11 CSR — Department of Public Safety

Division 10 Adjutant General

Chapter 1 General Organization

11 CSR 10-1.010 Organization and Methods of Operation {#sec-11-csr-10-1.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-1.010}

(Moved to 23 CSR 10-1.010)

11 CSR 10-1.020 Missouri National Guard Trust Fund {#sec-11-csr-10-1.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-1.020}

(Moved to 23 CSR 10-1.020)

Chapter 2 Public Access to Training Sites

11 CSR 10-2.010 Public Access to Army National Guard Training Areas {#sec-11-csr-10-2.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-2.010}

11 CSR 10-2.010 Public Access to Army National Guard Training Areas {#sec-11-csr-10-2.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-2.010}

(Moved to 23 CSR 10-2.010)

Chapter 3 National Guard Member Educational Assistance Program

11 CSR 10-3.015 State Sponsored Missouri National Guard Member Educational {#sec-11-csr-10-3.015 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-3.015}

11 CSR 10-3.020 Eligibility and Qualifications of Applicants {#sec-11-csr-10-3.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-3.020}

(Rescinded February 28, 1999) ..3 Assistance Program

11 CSR 10-3.010 Definitions {#sec-11-csr-10-3.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-3.010}

11 CSR 10-3.015 State Sponsored Missouri National Guard Member Educational Assistance Program {#sec-11-csr-10-3.015 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-3.015}

(Moved to 23 CSR 10-3.015)

11 CSR 10-3.020 Eligibility and Qualifications of Applicants {#sec-11-csr-10-3.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-3.020}

11 CSR 10-3.030 Administration {#sec-11-csr-10-3.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-3.030}

11 CSR 10-3.040 Fiscal Management {#sec-11-csr-10-3.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-3.040}

11 CSR 10-3.050 Application Procedures {#sec-11-csr-10-3.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-3.050}

Chapter 4 National Guard Military Honor Detail Program

11 CSR 10-4.010 Missouri National Guard Military Honor Detail Program Program {#sec-11-csr-10-4.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-4.010}

11 CSR 10-4.010 Missouri National Guard Military Honor Detail Program {#sec-11-csr-10-4.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-4.010}

(Moved to 23 CSR 10-4.010)

Chapter 5 Missouri Veterans' Recognition Program

11 CSR 10-5.015 World War II Veterans’ Recognition Award Fund {#sec-11-csr-10-5.015 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-5.015}

11 CSR 10-5.010 Missouri Veterans’ Recognition Program {#sec-11-csr-10-5.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-5.010}

(Moved to 23 CSR 10-5.010)

11 CSR 10-5.015 World War II Veterans’ Recognition Award Fund {#sec-11-csr-10-5.015 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-5.015}

(Moved to 23 CSR 10-5.015)

Chapter 6 National Guard Armory Rentals

11 CSR 10-6.010 National Guard Armory Rentals {#sec-11-csr-10-6.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-6.010}

(Moved to 23 CSR 10-6.010)

Chapter 7 Missouri Military Family Relief Fund

11 CSR 10-7.010 Missouri Military Family Relief Fund {#sec-11-csr-10-7.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-7.010}

(Moved to 23 CSR 10-7.010)

Chapter 11 State Emergency Management Agency

11 CSR 10-11.100 Major Disasters, Presidentially Declared {#sec-11-csr-10-11.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.100}

11 CSR 10-11.120 Volunteer Inspectors Administrative Plan (State) {#sec-11-csr-10-11.120 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.120}

11 CSR 10-11.210 General Organization Missouri Emergency Response Commission {#sec-11-csr-10-11.210 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.210}

11 CSR 10-11.230 Emergency Notification of Releases of Hazardous Substances {#sec-11-csr-10-11.230 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.230}

11 CSR 10-11.240 Reporting Procedures Under the State and Federal Emergency Planning and Community Right-to-Know Act (EPCRA) {#sec-11-csr-10-11.240 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.240}

11 CSR 10-11.010 Emergency Operations Plan (State) {#sec-11-csr-10-11.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.010}

article VI, section 16 of the Missouri Constitution and sections 70.210, RSMo, respecting the establishment of a common disaster planning program required by section 44.080, RSMo, and may share the cost of the disaster planning office, director and staff thus established.

Op. Atty. Gen. No. 6, Weier (5-13-70). When the citizens of a county are threatened by a disaster, the county court has the

Chapter 44, RSMo (1969) and by the rules thereunder.

Op. Atty. Gen. No. 73, Antoine (8-1-68). The Missouri Civil Defense Act (Chapter 44, RSMo) envisions autono mous local civil defense organization in those political subdivisions defined by the law. Therefore, the county civil defense agency has duties and responsibilities only within the areas of the county lying outside any of the statutorily defined political subdivisions having their own local organization for disaster planning.

Op. Atty. Gen. No. 58, McDaniel (11-14-53). The same rules of negligence are applicable to volunteer participants in the civil defense program as are applied to private individuals in the conduct of their daily affairs, however no liability would be imposed upon such volunteers who, in the exercise of due care, cause damage to property under a lawful order issued by some

History

• AUTHORITY: sections 44.010 to 44.130, RSMo 1994. Original rule filed Sept. 10, 1969, effective Sept. 20, 1969. Amended: Filed Feb. 4, 1983, effective May 15, 1983. Amended: Filed Jan. 9, 1996, effective July 30, 1996. Rescinded: Filed March 1, 2019, effective Oct. 30, Op. Atty. Gen. No. 58, Wilson (3-14-79). Irrespective of the number or contiguity, counties may, by county court order duly made and entered, participate in cooperative agreements under
• authority to activate the county’s civil defense personnel without requesting authority from the governor; the persons so activated have all rights, duties and responsibilities granted them under
• authority constituted under the Civil Defense Law to act in time of emergency.

11 CSR 10-11.020 Emergency Operations Plan (State) {#sec-11-csr-10-11.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.020}

Original rule filed Dec. 20, 1966, effective Dec. 30, 1966. Amended:

Filed March 20, 1968, effective March 30, 1968. Amended: Filed Oct. 29, 1970, effective Nov. 8, 1970. Amended: Filed Jan. 26, 1971, effective Feb. 5, 1971. Amended: Filed March 25, 1971, effective April 4, 1971. Amended: Filed July 6, 1971, effective July 16, 1971.

Amended: Filed Nov. 5, 1971, effective Nov. 15, 1971. Amended:

Filed Feb. 22, 1972, effective March 4, 1972. Amended: Filed May 10, 1973, effective May 20, 1973. Amended: Filed Jan. 25, 1974, effective Feb. 4, 1974. Amended: Filed April 8, 1974, effective April 18, 1974. Amended: Filed Nov. 29, 1974, effective Dec. 9, 1974.

Amended: Filed Feb. 7, 1983, effective May 15, 1983. Amended:

Filed March 4, 2004, effective Sept. 30, 2004. Rescinded: Filed March 1, 2019, effective Oct. 30, 2019.

History

• AUTHORITY: sections 44.010 to 44.130, RSMo 2000 and Supp. 2003.

11 CSR 10-11.030 Federal Financial Assistance {#sec-11-csr-10-11.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.030}

(Rescinded May 15, 1983)

History

• AUTHORITY: sections 44.010 to 44.130, RSMo 1978. Original rule filed Dec. 9, 1978, effective Dec. 19, 1978. Rescinded: Filed Feb. 4, 1983, effective May 15, 1983.

11 CSR 10-11.040 Missouri Disaster Fund 6, 1986, effective April 14, 1986. Rescinded: Filed March 1, 2019, {#sec-11-csr-10-11.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.040}

11 CSR 10-11.050 Definitions 6, 1986, effective April 14, 1986. Rescinded: Filed March 1, 2019, {#sec-11-csr-10-11.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.050}

11 CSR 10-11.060 State Agency Reimbursement {#sec-11-csr-10-11.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.060}

(Moved to 11 CSR 20-1.060)

11 CSR 10-11.070 Political Subdivision Assistance effective June 29, 1989. Amended: Filed March 4, 2004, effective Sept. 30, 2004. Rescinded: Filed March 1, 2019, effective Oct. 30, {#sec-11-csr-10-11.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.070}

11 CSR 10-11.080 Individual Assistance {#sec-11-csr-10-11.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.080}

(Moved to 11 CSR 20-1.080)

11 CSR 10-11.090 Procedures for Submitting Requests effective June 29, 1989. Rescinded: Filed March 1, 2019, effective Oct. 30, 2019. {#sec-11-csr-10-11.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.090}

11 CSR 10-11.100 Major Disasters, Presidentially Declared 6, 1986, effective April 14, 1986. Amended: Filed March 4, 2004, effective Sept. 30, 2004. Rescinded: Filed March 1, 2019, effective Oct. 30, 2019. {#sec-11-csr-10-11.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.100}

11 CSR 10-11.110 Limitations (1/29/23) John R. Ashcroft effective June 29, 1989. Amended: Filed March 4, 2004, effective Sept. 30, 2004. Rescinded: Filed March 1, 2019, effective Oct. 30, {#sec-11-csr-10-11.110 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.110}

11 CSR 10-11.120 Volunteer Inspectors Administrative Plan (State) {#sec-11-csr-10-11.120 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.120}

History

• AUTHORITY: section 44.023, RSMo Supp. 2003. Original rule filed March 31, 1994, effective Sept. 30, 1994. Amended: Filed March 4, 2004, effective Sept. 30, 2004. Rescinded: Filed March 1, 2019,

11 CSR 10-11.210 General Organization Missouri Emergency Response Commission {#sec-11-csr-10-11.210 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.210}

(Moved to 11 CSR 20-1.210)

11 CSR 10-11.220 Definitions {#sec-11-csr-10-11.220 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.220}

(Moved to 11 CSR 20-1.220)

11 CSR 10-11.230 Emergency Notification of Releases of Hazardous Substances and Extremely Hazardous Substances {#sec-11-csr-10-11.230 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.230}

(Moved to 11 CSR 20-1.230)

11 CSR 10-11.240 Reporting Procedures Under the State and Federal Emergency Planning and Community Right-to- Know Act (EPCRA) {#sec-11-csr-10-11.240 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.240}

(Moved to 11 CSR 20-1.240)

11 CSR 10-11.250 Hazardous Chemical Fees {#sec-11-csr-10-11.250 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.250}

(Moved to 11 CSR 20-1.250)

Chapter 12 * - moved to 11 CSR 30-13

11 CSR 10-12.010 General Organization {#sec-11-csr-10-12.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-12.010}

(Moved to 11 CSR 30-13.010)

11 CSR 10-12.020 Definitions {#sec-11-csr-10-12.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-12.020}

(Moved to 11 CSR 30-13.020)

11 CSR 10-12.030 Initial Training {#sec-11-csr-10-12.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-12.030}

(Moved to 11 CSR 30-13.030)

11 CSR 10-12.040 Exemptions and Waiver of Initial Training Requirement {#sec-11-csr-10-12.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-12.040}

(Moved to 11 CSR 30-13.040)

11 CSR 10-12.050 Requirements for Continuing Education {#sec-11-csr-10-12.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-12.050}

(Moved to 11 CSR 30-13.050)

11 CSR 10-12.060 Procedures for Certification of Training Providers {#sec-11-csr-10-12.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 10-12.060}

(Moved to 11 CSR 30-13.060)

ROBINCARNAHAN(7/31/12)

Division 20 State Emergency Management Agency

Chapter 1 Administration

11 CSR 20-1.230 Emergency Notification of Releases of Hazardous Substances {#sec-11-csr-20-1.230 omnilex-key=us-mo-regs-official--title-11--11 CSR 20-1.230}

11 CSR 20-1.240 Reporting Procedures Under the State and Federal Emergency {#sec-11-csr-20-1.240 omnilex-key=us-mo-regs-official--title-11--11 CSR 20-1.240}

11 CSR 20-1.060 State Agency Reimbursement {#sec-11-csr-20-1.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 20-1.060}

PURPOSE: This rule outlines eligibility of state agencies for reimbursement of disaster-related expenses.

(1) When a disaster or emergency has been declared by the governor a state department or agency which is requested to provide services to the State Emergency Management Agency or to a political subdivision for disaster relief purposes may be reimbursed. Reimbursement will be from the Missouri Disaster Fund for actual and necessary expenses for emergency services provided which are in excess of normal expenses for response services. Terms and conditions are subject to approval of the director of the State Emergency Management Agency and to the availability of funds.

History

• AUTHORITY: section 44.032, RSMo Supp. 2022. This rule originally filed as 11 CSR 10-11.060. Original rule filed Jan. 6, 1986, effective April 14, 1986. Moved to 11 CSR 20-1.060, effective Dec. 8, 2022. Original authority: 44.032, RSMo 1985, 1998, 2016, 2022.

11 CSR 20-1.080 Individual Assistance {#sec-11-csr-20-1.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 20-1.080}

PURPOSE: This rule establishes eligibility of individuals to receive assistance for uninsured losses resulting from disaster-related damages.

(1) When an individual or a family suffers losses of basic needs or have necessary expenses which are uninsured and when assistance is not available from volunteer agencies or any other source they may apply for help from the Missouri Disaster Fund.

(2) The losses or needs must be verified and the application for assistance approved by the State Emergency Management Agency.

(3) Assistance will be provided when funds are available for essential repairs, items of equipment, supplies, or services necessary to reestablish the household, as determined by the director of the State Emergency Management Agency.

Moved to 11 CSR 20-1.080, effective Dec. 8, 2022. *Original authority: 44.032, RSMo 1985, amended 1998, 2016, 2022.

History

• AUTHORITY: section 44.032, RSMo Supp. 2022. This rule originally filed as 11 CSR 10-11.080. Original rule filed Jan. 6, 1986, effective April 14, 1986. Amended: Filed March 20, 1989, effective June 29, 1989. Amended: Filed March 4, 2004, effective Sept. 30, 2004.

11 CSR 20-1.210 General Organization Missouri Emergency Response Commission {#sec-11-csr-20-1.210 omnilex-key=us-mo-regs-official--title-11--11 CSR 20-1.210}

PURPOSE: This rule explains the formation of the Missouri Emergency Response Commission and its responsibilities under the Emergency Planning and Community Right-to-Know Act. Also explained is how to obtain additional information regarding these activities and where to make submittals.

(1) The Department of Public Safety is authorized under sections 292.600–292.625, RSMo, to administer the state and the federal Emergency Planning and Community Right-to- Know Act (EPCRA). The State Emergency Management Agency (SEMA) has been designated by the Department of Public Safety to provide the day-to-day operation and oversight of the Missouri Emergency Response Commission (MERC) the EPCRA Program and the Hazardous Materials Emergency Preparedness (HMEP) Program.

(2) The Missouri Emergency Planning and Community Rightto-Know Act (EPCRA or sections 292.600–292.625, RSMo) and the federal EPCRA (P.L. 99-499) are administered in Missouri by the Missouri Department of Public Safety in conjunction with the Missouri Emergency Response Commission (MERC). MERC was first established in 1987 by Executive Order of the Governor and was later established under statute in 1988 and revised in 1992. The commission resides within the Missouri Department of Public Safety. The commission in conjunction with the department is responsible for— (A) Carrying out the responsibilities assigned under the federal EPCRA and the state Act (sections 292.600–292.625, RSMo);

(B) Designating Local Emergency Planning Districts (LEPD), appointing a Local Emergency Planning Committee (LEPC) to each district; coordinating, supporting, and supervising LEPC activities and reviewing and commenting on LEPC plans;

(C) Establishing a single filing point for all state and federal EPCRA information;

(D) Accepting, receiving, and administering grants and gifts, including those from the federal government, for carrying out the purposes of the law;

(E) Providing assistance to LEPCs for carrying out responsibilities under the state and federal EPCRA laws;

(F) Providing training to LEPCs and others;

(G) Entering into agreements with other persons or agencies to carry out the requirements of the state and federal EPCRA legislation;

(H) Collecting and allotting funds as specified in sections 292.604 and 292.606, RSMo;

(I) Developing a data management system to store and retrieve EPCRA information. Assisting LEPCs, fire departments and others to make this information readily available for planning and emergency response purposes; and (J) In addition to subsections (2)(A)–(J), the director of the Department of Public Safety or authorized representative has the responsibility and authority under sections 292.600– 292.625, RSMo, to— 1. Promulgate rules to carry out Missouri’s EPCRA and to meet the reporting requirements of the federal EPCRA;

2. Exercise general supervision of the administration and enforcement of the state EPCRA and all rules adopted under it;

3. Hire staff, within appropriations, as may be necessary to carry out the provisions of the state EPCRA;

4. Budget and receive appropriated moneys to carry out the state EPCRA;

5. Accept, receive, and administer gifts and grants, including those from the federal government, to carry out the purposes of the state EPCRA;

6. Work with LEPCs to carry out the purposes of the state EPCRA; and 7. Administer the Chemical Emergency Preparedness Fund established in section 292.607, RSMo, in conjunction with the commission.

(3) Information.

(A) Requests for copies of rules, report forms, planning guides, and other EPCRA information may be made to the Missouri Emergency Response Commission, PO Box 3133, Jefferson City, MO 65102.

(B) The EPCRA files, except trade secrets, as provided in

section 292.610, RSMo, are public information and are located in the offices of the Missouri Emergency Response Commission, 2302 Militia Dr., Jefferson City, Missouri. Anyone wishing to review information in the EPCRA files is requested to make an appointment by writing to the MERC at the mailing address listed in subsection (3)(A). There is no fee for reviewing file information. There is a copying fee if copies of file information are made and it must be paid by check or money order. filed as 11 CSR 40-4.010, 10 CSR 24-1.010, and 11 CSR 10-11.210.

Original rule filed Nov. 30, 1983, effective April 12, 1984. Emergency amendment filed Dec. 2, 1992, effective Jan. 1, 1993, expired April 20, 1993. Amended: Filed Oct. 5, 1992, effective April 8, 1993.

Amended: Filed Nov. 5, 1993, effective June 6, 1994. Changed to

11 CSR 10-11.210. Amended: Filed Dec. 19, 2001, effective June 30, 2002. Amended: Filed March 4, 2004, effective Sept. 30, 2004. {#sec-11-csr-10-11.210. omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.210.}

Moved to 11 CSR 20-1.210, effective Dec. 8, 2022.

11 CSR 20-1.220 Definitions {#sec-11-csr-20-1.220 omnilex-key=us-mo-regs-official--title-11--11 CSR 20-1.220}

PURPOSE: This rule provides definitions for terms used in 11 CSR 10.

(1)

Administrator—the administrator of the United States Environmental Protection Agency.

(2)

Business—each corporation as defined under Chapter 351, RSMo; each business required to register under Chapter 417, RSMo; each person engaged in or transacting business in Missouri; each department of state government; and each political subdivision of the state.

(3)

Commission—the Missouri Emergency Response Commission (MERC) established under section 292.602, RSMo.

(4) Covered facility—any facility required to report to the commission under the state or federal Emergency Planning and Community Right-to-Know Act.

(5) Department—the Department of Public Safety.

(6) Director—director of the Department of Public Safety.

(7) Emergency Planning and Community Right-to-Know Act (EPCRA)—the federal Emergency Planning and Community Right-to-Know Act of 1986 (P.L. 99-499) and all rules promulgated under the federal Act or the Missouri EPCRA (sections 292.600– 292.625, RSMo). If not specified as to the federal or state Act, it refers to both.

(8) Employer—a person engaged in business and including the state and any political subdivision.

(9) Extremely hazardous substance—a substance listed under 40 CFR part 355 by the administrator.

(10) Facility—all buildings, equipment, structures and other stationary items that are located on a single site or on contiguous or adjacent sites and that are owned or operated by the same person (or by any person which controls, is controlled by, or under common control with that person). For purposes of emergency release notification, the term includes motor vehicles, rolling stock, and aircraft.

(11) Family farm—an unincorporated farming unit owned or leased by one (1) or more persons residing on the farm or actively engaged in farming.

(12) Form R or toxic release inventory—the report form as developed by the administrator to report toxic emissions under

Section 313 of the EPCRA.

(13) Hazard category—any of the following:

(A) “Immediate (acute) health hazard,” including “highly toxic,” “toxic,” “irritant,” “sensitizer,” “corrosive,” (as defined under Section 1910.1200 of Title 29 of the Code of Federal Regulations), and other hazardous chemicals that cause an adverse effect to a target organ and which effect usually occurs rapidly as a result of short-term exposure and is of short duration;

(B) “Delayed (chronic) health hazard,” including “carcinogens”

(as defined under Section 1910.1200 of Title 29 of the Code of Federal Regulations) and other hazardous chemicals that cause an adverse effect to a target organ and which effect generally occurs as a result of long-term exposure and is of long duration;

(C) “Fire hazard,” including “flammable,” “combustible liquid,” “pyrophoric” and “oxidizer” (as defined under Section 1910.1200 of Title 29 of the Code of Federal Regulations);

(D) “Sudden release of pressure,” including “explosive” and “compressed gas” (as defined under Section 1910.1200 of Title 29 of the Code of Federal Regulations); and (E) “Reactive,” including “unstable reactive,” “organic peroxide” and “water reactive” (as defined under Section 1910.1200 of Title 29 of the Code of Federal Regulations).

(14)

Hazardous chemical—any hazardous chemical as defined under Section 1910.1200(c) of Title 29 of the Code of Federal Regulations, that term does not include the following substances:

(A) Any food, food additive, color additive, drug, or cosmetic regulated by the Food and Drug Administration;

(B) Any substance present as a solid in any manufactured item to the extent exposure to the substance does not occur under normal conditions of use;

(C) Any substance to the extent it is used for personal, family, or household purposes, or is present in the same form and concentration as a product packaged for distribution and use by the general public;

(D) Any substance to the extent it is used in a research laboratory or a hospital or other medical facility under the direct supervision of a technically qualified individual; or (E) Any substance to the extent it is used in routine agricultural operations or is a fertilizer held for sale by a retailer to the ultimate customer.

(15) Hazardous Substance—any extremely hazardous substance listed in 40 CFR part 355; any hazardous chemical as defined in section (14); any pesticide for which a registration has been canceled or suspended under the provisions of section 263.300, RSMo, or the federal Insecticide, Fungicide and Rodenticide Act of 1972 (P.L. 92-516).

(16) Local Emergency Planning Committee (LEPC) chair—that person elected by the membership of the LEPC to call and chair LEPC meetings, to assign tasks, to develop LEPC subcommittees, and to oversee the functioning of the LEPC. The LEPC chair and LEPC coordinator may be the same person.

(17) LEPC coordinator—a staff person, usually from local government, a regional planning council, or a volunteer that maintains the day-to-day operations of the LEPC. Duties might include information management, facility compliance activities, hazardous materials planning, fund management, providing the functions of the community emergency coordinator, and various other duties necessary for an LEPC to function. The LEPC coordinator and LEPC chair may be the same person.

(18) LEPC or committee—the people appointed by the MERC for a local emergency planning district for the purpose of improving hazardous chemical safety and preparedness.

(19) Local Emergency Planning District (LEPD) or district—a geographical area in Missouri designated by MERC for the

purpose of hazardous chemical safety and planning.

(20) Local gas distribution system—a gas distribution system regulated by the Public Service Commission (PSC) that provides natural gas to the end use consumers of that gas. It does not include any pipeline, feeder line or transmission line, as defined by the PSC, that transports natural gas to other distribution systems or to other persons for subsequent distribution.

(21) Local government—any county, township, municipal corporation, school district, or other governmental body of equivalent rank.

(22) Material Safety Data Sheet (MSDS)—the sheet required to be developed under Section 1910.1200(g) of Title 29 of the Code of Federal Regulations.

(23) Missouri Emergency Response Commission (MERC) or commission—The commission established under section 292.602, RSMo.

(24) Missouri Tier Two Form (see 11 CSR 10-11.240)—the emergency and hazardous chemical inventory form developed by the MERC.

(25) Person—any individual, partnership, copartnership, firm, company, public or private corporation, association, joint stock company, trust, estate, political subdivision or any agency, board, department or bureau of the state or federal government, or any other legal entity which is recognized by law as the subject of rights and duties.

(26) Petroleum retail facility—a facility where more than fifty percent (50%) of the hazardous material revenues are from the retail sale and delivery of gasoline, diesel fuel, and propane to the general public at the facility.

(27)

Petroleum-related employer—the person, firm, or corporation earns more than fifty percent (50%) of its hazardous chemical revenues from the sale, delivery, or transport of petroleum products.

(28) Release—any threatened or real emission, discharge, spillage, leakage, pumping, pouring, emptying, or dumping of a substance into or onto the land, air, or waters of the state unless done in compliance with the conditions of a federal or state permit, unless the substance is confined and is expected to stay confined to property owned, leased, or otherwise controlled by the person having control over the substance or unless, in the case of pesticides, application is done in accordance with the product label.

(29) Threshold planning quantity—is the quantity of an extremely hazardous substance established by the administrator under 40 CFR part 355 for emergency planning purposes.

(30) Transportation fee—a fee paid to the United States Department of Transportation under Section 117A(h) of the Hazardous Materials Transportation Act (P.L. 101-615).

(31) Waters of the state—all rivers, streams, lakes and other bodies of surface and subsurface water lying within or forming a part of the boundaries of the state which are not entirely confined and located completely upon lands owned, leased or otherwise controlled by a single person or by two (2) or more persons jointly or as tenants in common and include waters of the United States lying within the state. filed as 11 CSR 40-4.020, 10 CSR 24-2.010, and 11 CSR 10-11.220.

Original rule filed Nov. 30, 1983, effective April 12, 1984. Emergency amendment filed Dec. 2, 1992, effective Jan. 1, 1993, expired April 30, 1993. Amended: Filed Oct. 5, 1992, effective April 8, 1993.

Amended: Filed Nov. 5, 1993, effective June 6, 1994. Changed to

11 CSR 10-11.220. Amended: Filed Dec. 19, 2001, effective June 30, 2002. Moved to 11 CSR 20-1.220, effective Dec. 8, 2022. {#sec-11-csr-10-11.220. omnilex-key=us-mo-regs-official--title-11--11 CSR 10-11.220.}

11 CSR 20-1.230 Emergency Notification of Releases of Hazardous Substances and Extremely Hazardous Substances {#sec-11-csr-20-1.230 omnilex-key=us-mo-regs-official--title-11--11 CSR 20-1.230}

PURPOSE: This rule establishes a statewide emergency telephone number to notify Missouri whenever a hazardous substance emergency occurs and specifies the requirements for emergency notification and follow-up written notices in the event of a hazardous substance emergency, the release of a reportable quantity of a hazardous substance and the release of a reportable quantity of an extremely hazardous substance.

(1) Any person required to report the release of a hazardous substance or extremely hazardous substance in accordance with Section 304 of the Federal Emergency Planning and Community Right-to-Know Act (EPCRA) shall meet this requirement by notifying the Missouri Department of Natural Resources (MDNR) at 314/634-2436 as specified in 10 CSR 24- 3.010 and shall provide such information as specified in 10 CSR 24-3.010(1) to the MDNR and to the emergency coordinator for the Local Emergency Planning Committee (LEPC) for any area likely to be affected by the release. If there is no LEPC or if a local emergency contact has not been designated by the LEPC, notification shall be provided to the appropriate local emergency response personnel.

(2) Any person required to provide an emergency notification under 11 CSR 10-11.230(1) shall provide a written follow-up emergency notice (or notices as more information becomes available) to the department and any affected LEPC. This written notice(s) shall contain the information described in 10 CSR 24-3.010(3). Also, written follow-up notice(s) shall be provided to the MDNR upon request of the MDNR. filed as 11 CSR 40-4.030 and 11 CSR 10-11.230. Original rule filed Nov. 30, 1983, effective April 12, 1984. Emergency amendment filed Dec. 2, 1992, effective Jan. 1, 1993, expired April 30, 1993.

Amended: Filed Oct. 5, 1992, effective April 8, 1993. Amended: Filed Nov. 5, 1993, effective June 6, 1994. Changed to 11 CSR 10-11.230.

Amended: Filed Dec. 19, 2001, effective June 30, 2002. Moved to 11 CSR 20-1.230, effective Dec. 8, 2022.

11 CSR 20-1.240 Reporting Procedures Under the State and Federal Emergency Planning and Community Right-to- Know Act (EPCRA) {#sec-11-csr-20-1.240 omnilex-key=us-mo-regs-official--title-11--11 CSR 20-1.240}

PURPOSE: This rule establishes reporting procedures for persons and businesses in Missouri to comply with the state and federal Emergency Planning and Community Right-to-Know Acts.

(1) The format for routine reporting under sections 302, 303, 311 and 312 of the federal Emergency Planning and Community Right-to-Know Acts (EPCRA) and sections 292.605 and 292.617, RSMo, of the state EPCRA is the Missouri Tier Two form. This form can be accessed on the Internet at www.sema.state. mo.us/mercc.htm. These reports are due to the department or postmarked by March 1 annually for the previous calendar year. The state EPCRA requires the names, current addresses, and phone numbers of at least two (2) individuals familiar with the kind, location, nature, and approximate quantities present in the facility, who may be contacted in the event of an emergency. The federal regulations for reporting under sections 302 and 303 of the EPCRA are in 40 CFR part 355.

Federal regulations for reporting under sections 311 and 312 of the EPCRA are in 40 CFR part 370.

(A) Section 302 of the federal EPCRA requires anyone in Missouri having an extremely hazardous substance at or above the threshold planning quantity at a facility to provide that information to the Missouri Emergency Response Commission (MERC).

(B) Section 303 of the federal EPCRA requires that anyone having an extremely hazardous substance at a facility at or above the threshold planning quantity provide the Local Emergency Planning Committee (LEPC) with the name of a facility coordinator to work with LEPC to plan for hazardous chemical emergencies at the facility. The first person listed in the Emergency Contact section of the Tier Two form shall be the facility coordinator for any facility with an extremely hazardous substance at or above the threshold planning quantity.

(C) The information required in subsections (1)(A) and (B) of this rule must be updated within sixty (60) days of a new extremely hazardous substance being present at the facility at or above the threshold planning quantity. Also, the owner or operator of a facility subject to subsection (1)(B) shall inform LEPC of any changes occurring at the facility which may be relevant to emergency planning.

(D) Any person engaged in business in Missouri having ten thousand pounds (10,000 lbs.) or more of a hazardous chemical at a facility or five hundred pounds (500 lbs.) or more (or the threshold planning quantity, whichever is less) of an extremely hazardous substance shall complete the Missouri Tier Two form for all such hazardous chemicals and extremely hazardous substances.

1. The Missouri Tier Two form is due each March 1 for the previous calendar year.

2. If any new hazardous chemical or extremely hazardous substance comes onto the site in a quantity sufficient to require reporting under this subsection, an updated Tier Two form must be provided within three (3) months.

3. The Tier Two form shall be provided to the local fire department, LEPC and MERC under this subsection.

(E) Owners and operators of facilities where one hundred pounds (100 lbs.) or more of explosives or blasting agents are present shall notify the fire department within twenty-four (24) hours of those materials being on-site. If the explosives or blasting agents are on-site for fifteen (15) days or more, a Tier Two form shall be provided to the fire department, LEPC, and MERC.

(2) Upon a request from the local fire department, LEPC, or the department, any person required to report under section (1) of this rule shall provide, as requested, a Missouri Tier Two form, Material Safety Data Sheet (MSDS), written description or diagram and other information regarding the kind, location, approximate quantities, hazardous nature, and method of containment of hazardous chemicals which are stored, used or produced at the facility. Upon a request for information from the fire department, LEPC, or department, the threshold for reporting under this section is anything over zero pounds (0 lbs.).

(3) Toxic Chemical Release Inventory (Form R) Reporting.

(A) Anyone required to report under Section 313 of the federal EPCRA shall file a copy of each Toxic Release Inventory with Department of Natural Resources at PO Box 176, Jefferson City, MO 65102. These forms are due by July 1 of each year for the previous calendar year.

(B) Submittal of the Toxic Release Inventory shall be on Form R as developed by the United States Environmental Protection Agency for each reporting year. Electronic or magnetic media submittals will not be accepted unless specifically authorized and in a format approved by the Missouri Department of Natural Resources. Federal regulations for submittal of Toxic Release Inventory forms (Form R) are contained in 40 CFR part 372. filed as 11 CSR 40-4.040, 10 CSR 24-4.010, and 11 CSR 10-11.240.

Emergency rule filed Dec. 2, 1992, effective Jan. 1, 1993, expired April 30, 1993. Original rule filed Oct. 5, 1992, effective April 8, 1993. Amended: Filed Nov. 5, 1993, effective June 6, 1994. Changed to 11 CSR 10-11.240. Amended: Filed Dec. 19, 2001, effective June 30, 2002. Moved to 11 CSR 20-1.240, effective Dec. 8, 2022.

11 CSR 20-1.250 Hazardous Chemical Fees {#sec-11-csr-20-1.250 omnilex-key=us-mo-regs-official--title-11--11 CSR 20-1.250}

PURPOSE: This rule describes the hazardous chemical fee system, how to calculate these fees, and when and where to submit them.

(1) Fees for Tier Two forms (see 11 CSR 10-11.220) are payable at the time Tier Two forms are due, each March 1 for the previous calendar year.

(A) Fees shall be calculated as described in this section. It shall be the employer’s responsibility to calculate the required fees on the fee calculation worksheet which can be accessed on the Internet at www.sema.state.mo.us/mercc.htm and to remit them to the Missouri Emergency Response Commission (MERC) at PO Box 3133, Jefferson City, MO 65102. Family farm operations and local government facilities are exempt from paying fees under this chapter.

(B) Fees that are owed are due at the MERC or postmarked no later than March 1 each year along with the Tier Two forms and the fee calculation worksheet. A late charge of ten percent (10%) of the fees owed will be assessed for fees that are not paid on time. An additional one percent (1%) per month of fees owed plus late charges will also be assessed for late submittal of fees.

(C) Owners or operators of petroleum retail facilities shall pay fifty dollars ($50) for each facility.

(D) Owners or operators of other facilities shall pay one hundred dollars ($100) for up to three (3) reportable hazardous chemicals listed on the Tier Two form and twenty dollars ($20) for each additional reportable hazardous chemical in excess of three (3).

(E) For each calendar year, fees shall be calculated based on each hazardous chemical on hand at any one (1) time at a facility in excess of ten thousand pounds (10,000 lbs.) or for extremely hazardous substances on hand at any one (1) time in excess of five hundred pounds (500 lbs.) or the threshold planning quantity, whichever is less, or for explosives or blasting agents on hand at any one (1) time in excess of one hundred pounds (100 lbs.).

(F) For the purpose of calculating fees, all grades of gasoline are considered to be one (1) product; all grades of heating oils, diesel fuels, kerosenes, naphthas, aviation turbine fuel, and all other heavy distillate products except for grades of gasoline are considered to be one (1) product, and all varieties of motor lubricating oil are considered to be one (1) product.

(2) Petroleum-Related Employers.

(A) Any employer that wants to be considered a petroleumrelated employer must certify to the commission that more than fifty percent (50%) of the employer’s hazardous chemical revenue is from the sale, delivery, or transport of petroleum products. This certification shall be in writing, signed by an officer of the company and shall pertain to the calendar year for which Tier Two forms are filed. The commission may require that additional documentation be provided on request to establish that an employer is a petroleum-related employer.

(B) An employer whose primary hazardous chemical business is petroleum related and who has paid federal hazardous materials transportation fees during the calendar year for which the Tier Two form is filed may deduct the amount of the transportation fee from the amount owed to MERC.

(C) In order to deduct transportation fees from fees otherwise owed to MERC, petroleum-related employers shall provide documentation with their Tier Two forms on the amount of transportation fees paid to the United States Department of Transportation. The transportation fees may be deducted only for the same calendar year that the Tier Two forms cover.

(D) If the federal transportation fees exceed the fees that would otherwise be owed to MERC, no fees shall be required to be paid to the MERC.

(E) In order to deduct federal transportation fees from those owed to the commission, a petroleum-related employer shall file all his/her Tier Two forms together, along with a list of the employer’s facilities by county. Also, that employer shall calculate and list the fees that would be paid for each facility, total those fees and subtract the federal transportation fee from that total.

(3) Any one employer shall not be required to pay more than ten thousand dollars ($10,000) per year in fees to MERC under sections (1)–(5) of this rule.

(A) Any employer requesting the use of this ten thousand dollar ($10,000)-cap on fees shall file all of his/her Tier Two forms together along with a list of each of the employer’s facilities by county.

(B) The employer also shall calculate and list the fee that would apply to each facility in the absence of the ten thousand dollar ($10,000)-cap.

(4) Employers, at their discretion, may list hazardous chemicals on their Tier Two form for which reporting is not required. The employer shall designate which chemicals are not required to be reported and shall not be required to pay fees for these chemicals.

(5) Employers engaged in transporting hazardous chemicals by pipeline, except local gas distribution companies regulated by the Missouri Public Service Commission, shall pay a fee of two hundred fifty dollars ($250) for each county in which they operate.

(A) These fees are due March 1 each year for pipelines operated during the previous calendar year.

(B) Along with the fees, an employer reporting under this

section shall list the counties in which they operated during the previous calendar year.

(C) A late charge of ten percent (10%) of the fees owed under this section will be assessed for fees that are not paid on time.

An additional one percent (1%) per month of fees owed plus late charges also will be assessed for late submittal of fees.

(6) Fees collected by the department and all funds provided to local emergency planning committees shall be used for chemical emergency preparedness purposes as outlined in sections 292.600 to 292.625, RSMo, and the federal act, including:

(A) Contingency planning for chemical releases;

(B) Exercising, evaluating, and distributing plans;

(C) Providing training related to chemical emergency preparedness and prevention of chemical accidents;

(D) Identifying facilities required to report;

(E) Processing the information submitted by facilities and making it available to the public;

(F) Receiving and handling emergency notifications of chemical releases;

(G) Operating a local emergency planning committee;

(H) Providing public notice of chemical preparedness activities.

(7) Local emergency planning committees receiving funds under this section may combine such funds with other local emergency planning committees to further the purposes of sections 292.600 to 292.625, RSMo, or the federal act.

(8) The commission shall establish criteria and guidance on how funds received by local emergency planning committees may be used.

(9) No funds provided to the local emergency planning committees under this program shall be used for salaries for full-time employee. filed as 11 CSR 40-4.050, 10 CSR 24-5.010, and 11 CSR 10-11.250.

Emergency rule filed Dec. 2, 1992, effective Jan. 1, 1993, expired April 30, 1993. Original rule filed Oct. 5, 1992, effective April 8, 1993. Amended: Filed Nov. 5, 1993, effective June 6, 1994. Changed to 11 CSR 10-11.250. Amended: Filed Dec. 19, 2001, effective June 30, 2002. Moved to 11 CSR 20-1.250, effective Dec. 8, 2022.

Division 30 Office of the Director

Chapter 1 General Organization

11 CSR 30-1.050 Approval of Motor Vehicle Safety Standard for Child Restraint System {#sec-11-csr-30-1.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-1.050}

(Rescinded October 30, 2019) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3

11 CSR 30-1.010 Organization and Operations {#sec-11-csr-30-1.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-1.010}

PURPOSE: This rule describes the organization and methods of operation of the Department of Public Safety.

(1) The Department of Public Safety, created by the Omnibus State Reorganization Act of 1974, is responsible for coordinating all elements of criminal investigation, law enforcement and public safety activities undertaken within the executive branch of state government. Its mission is not only to seek out those who disrupt society by violating its laws but to educate and motivate Missouri citizens to higher standards of personal and public safety.

(2) The Department of Public Safety is headed by a director, appointed by the governor, with the advice and consent of the senate. It is the responsibility of the director to provide overall coordination and unified direction in the state’s public safety program.

(3) The Department of Public Safety carries out its programs through the following major administrative divisions and units:

(A) Office of the Director is responsible for the overall coordination and unified budgeting within the department.

This office is responsible for the implementation of programs and procedures involving personnel, payroll, accounting, purchasing, and contracts. The director’s office also manages the Criminal Justice/Law Enforcement Unit, Peace Officer Standards and Training Unit, Crime Victims Services Unit, Crime Victims’ Compensation Program, Missouri Office of Homeland Security, Juvenile Justice, and the Missouri Statewide Interoperability Center;

(B) Alcohol and Tobacco Control Division is responsible for the enforcement of liquor and tobacco control laws in the state of Missouri as specified in Chapters 311 and 312, RSMo;

(C) Capitol Police Division is the primary law enforcement agency for the Capitol Complex. Officers patrol buildings and grounds and respond to medical emergencies, traffic accidents, and security and fire alarms. The division also provides residential security at the Missouri Governor’s Mansion;

(D) Fire Safety Division is responsible for the investigation of suspicious fires and explosions, performing fire safety inspections, regulating the manufacturing and sale of fireworks in Missouri, conducting safety inspections of boiler and pressure vessels, elevator and amusement ride safety, and firefighter training and certification;

(E) Gaming Commission regulates charitable gaming, riverboat casino gaming, and fantasy sports contests in Missouri and ensures the integrity of the gaming industry;

(F) Missouri State Highway Patrol Division is empowered to enforce traffic laws and promote safety upon Missouri highways and waterways. The division also provides executive protection to the Governor and First Family, aircraft operations, criminal investigation, law enforcement information systems, and education and training;

(G) State Emergency Management Agency teaches Missourians how to prepare for natural disasters, responds with assistance during a disaster, and provides recovery resources following a disaster; and (H) Veterans Commission provides benefits, assistance, skilled nursing care, and interment of eligible veterans in Missouri.

(4) The director of public safety coordinates the activities of these divisions and provides a centralized source of support and a central point of contact for local and federal law enforcement agencies.

(5) Any person desiring information or assistance on any matter falling within the jurisdiction of the Department of Public Safety should contact the Director of Public Safety, PO Box 749, Jefferson City, MO 65102, phone (573) 751-4905.

History

• AUTHORITY: section 536.023, RSMo 2016. Original rule filed Dec. 31, 1975, effective Jan. 10, 1976. Amended: Filed Nov. 16, 1993, effective June 6, 1994. Amended: Filed March 1, 2019, effective Oct. 30, 2019. Amended: Filed May 17, 2024, effective Jan. 30, 2025. Original authority: 536.023, RSMo 1975, amended 1976, 1997, 2004.

11 CSR 30-1.050 Approval of Motor Vehicle Safety Standard for Child Restraint System {#sec-11-csr-30-1.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-1.050}

(Rescinded October 30, 2019)

rule filed June 10, 1985, effective Aug. 26, 1985. Rescinded: Filed March 1, 2019, effective Oct. 30, 2019.

History

• AUTHORITY: sections 210.104–210.107, RSMo Supp. 1993. Original

Chapter 2 Driving While Intoxicated Records

11 CSR 30-2.010 Collection to the collection of information for the driving while intoxicated offender system mandated by sections 302.225 and 577.001–577.051, RSMo. {#sec-11-csr-30-2.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-2.010}

(1) Records required to be filed with the Missouri State Highway Patrol shall be filed upon forms and according to procedures promulgated by the director of the Department of Public Safety and approved by the Missouri Supreme Court. The records shall be forwarded to the Missouri State Highway Patrol, General Headquarters, P.O. Box 1408, Jefferson City, MO 65102.

(2) The record forwarded by the clerk to the Missouri State Highway Patrol involving any moving traffic violation conviction under the laws of this state, or county or municipal ordinance shall include, but not be limited to, the court date, the court, the court originating agency identifier (ORI) number, court case number, the name, address, race, sex and motor vehicle operator’s or chauffeur’s license number of the person who is the subject of the proceeding, the code or number identifying the particular arrest, the case disposition and any court action or requirements pertaining to and including, but not limited to, pleas of guilty, findings of guilty, suspended imposition of sentences, suspended execution of sentence, probation, conditional sentences and sentences of confinement. The record forwarded by the clerk involving a violation of state law, or county or municipal ordinance regulating alcohol- and/or drugrelated driving offenses shall include, in addition to the previously mentioned, the statute or ordinance number of the charge and the appropriate state charge code for the offense.

(3) The record(s) involving a violation of state law or county or municipal ordinance governing alcohol- and/or drug-related driving offenses shall indicate if the case is being appealed. In the event the case is being appealed, the trial court, upon final adjudication of the case being appealed, within fifteen (15) days thereafter, shall forward a record of the disposition to the Missouri State Highway Patrol, General Headquarters, P.O. Box 1408, Jefferson City, MO 65102, for inclusion in the Missouri Uniform Law Enforcement System records. The record shall be clearly identified as in section (2) under the collection section.

(4) Final disposition records for misdemeanor traffic violations will be recorded on the reverse side of the original copy of either the uniform traffic ticket or the uniform complaint and summons identified as the abstract of court record (Appendix A) or an approved record of conviction form (Appendix E).

Final disposition records for felony traffic violations shall be recorded upon an approved record of conviction form. Unless otherwise specified, an approved record of conviction form shall be substantially the same as set forth and shown in these regulations, and the form shall be used as applicable and disposition information shall be reported in accordance with the requirements for the form as established by the Supreme Court Rule Number 37.461. The Missouri State Highway Patrol, in order to maintain file integrity, may return to the originating court any disposition submitted upon the wrong form or which does not contain sufficient data or which is not sufficiently legible to allow entry of a complete record of conviction into the Missouri Uniform Law Enforcement System records. The corrected record of conviction shall be returned to the Highway Patrol within fifteen (15) days of receipt by the court.

(5) An approved record of conviction form, at the discretion of the director of the Department of Public Safety, may be either a manual reporting form or an automated reporting method or form. Records of conviction generated by the courts in paper format will be forwarded to the Missouri State Highway Patrol. Those records reported in an electronic format will be submitted to the Department of Revenue. Once processed, the Department of Revenue will forward records of conviction reported electronically to the Missouri State Highway Patrol. When reporting records of conviction for traffic offenses in an electronic format, the name of the court clerk is not required. Instead, courts shall use their originating agency identifier (ORI) number. The format of the record of conviction form, either paper or electronic shall be substantially the same as set forth and shown in these regulations and the form shall be used as applicable and disposition information shall be reported in accordance with the requirements of the form. The Department of Revenue, in order to maintain file integrity, may return to the originating court any record that is not submitted in the correct format, reported erroneously, or which does not contain sufficient data.

(6) The dispositions forwarded by the clerk involving a violation of state law, or county or municipal ordinance relating to offenses involving alcohol- and/or drug-related driving violations shall state if the defendant was represented by counsel, or if not represented by counsel, whether or not s/he waived his/her right to counsel.

(7) All agencies in the state of Missouri authorized by law to enforce the provisions of Chapters 302 and 577, RSMo or any other law of this state, or county or municipal ordinance regulating the operation of motor vehicles, shall use only those uniform traffic tickets or uniform complaint and summonses currently approved for use by the Missouri Supreme Court.

(8) Any uniform traffic ticket or complaint and summons submitted to the court shall clearly show the police department name and originating agency identifier (ORI) number in the upper left-hand corner and the unique traffic ticket number in the upper right-hand corner on the front side of each page.

(9) The Missouri State Highway Patrol shall serve as the central repository for the assignment of a unique number to every traffic ticket and complaint and summons issued for use in the state of Missouri by any court, law enforcement agency or other issuing authority. Every court, law enforcement agency or other issuing authority desirous of ordering uniform traffic tickets, prior to submission of each order of traffic tickets or complaint and summonses to a supplier or vendor, must contact the Missouri State Highway Patrol, General Headquarters, PO Box 1408, Jefferson City, MO 65102, (573) 751-3313, extension 185 or 189, in order that a set of unique numbers can be assigned to each set to be ordered.

rule filed Jan. 13, 1983, effective April 11, 1983. Amended: Filed Dec. 4, 1984, effective May 11, 1985. Amended: Filed Aug. 15, 1986, effective Jan. 29, 1987. Amended:

Filed March 13, 2001, effective Aug. 30, 2001. *Original authority: 302.225, RSMo 1939, amended 1951, 1961, 1978, 1982, 1989, 1997; 577.001–577.051, RSMo.

Please see Missouri Revised Statutes 2000.

4CODE OF STATE REGULATIONS

(7/31/01) MATTBLUNT

6CODE OF STATE REGULATIONS

(7/31/01) MATTBLUNT

History

• AUTHORITY: sections 302.225 and 577.001–577.051, RSMo 2000. Original

11 CSR 30-2.020 Storage to the storage of information driving while intoxicated offender system mandated by sections 302.225 and 577.001–577.051, RSMo. {#sec-11-csr-30-2.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-2.020}

(1) The Missouri State Highway Patrol will be responsible for developing the necessary computer programs to maintain the driving while intoxicated offender system as mandated by sections 302.225 and 577.001–577.051, RSMo (1986).

(2) The record of driving while intoxicated dispositions entered into the Missouri Uniform Law Enforcement System by the Missouri State Highway Patrol will include, but not be limited to, the court date, the court, the court originating agency identifier (ORI), the court case number, the name, address, race, sex and motor vehicle operator’s or chauffeur’s license number of the person who is the subject of the proceeding, the code or number identifying the particular arrest, the case disposition, including the date of disposition, and any court action or requirements pertaining thereto, and the arresting law enforcement agency.

(3) The disposition for any alcohol- and/or drug-related driving offense in violation of state law or county or municipal ordinance received by the Missouri State Highway Patrol and which shows a plea or finding of guilty, suspended imposition of sentence, suspended execution of sentence, probation, conditional sentences or sentences of confinement will be entered and shown accordingly in the Missouri Uniform Law Enforcement System records and shown as a conviction unless otherwise notified by a court of jurisdiction.

April 11, 1983. Amended: Filed Dec. 4, 1984, effective May 11, 1985. *Original authority: 577.051, RSMo 1982, amended 1995,

11 CSR 30-2.030 Dissemination to the dissemination of information for the driving while intoxicated offender system mandated by sections 302.225 and 577.001–577.051, RSMo. {#sec-11-csr-30-2.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-2.030}

(1) The dissemination of conviction records from the driving while intoxicated offender system shall be used primarily for the purpose of identifying previous convictions and directing law enforcement officers, prosecuting or circuit attorneys, or judges of a municipal or state court to the court of original jurisdiction.

(2) The Missouri State Highway Patrol shall record all disseminations from the driving while intoxicated offender system on a log showing the name of the accessor or requestor, the authority of the requestor, the

purpose of the request, the identity of the individual to whom the information relates, the disseminating employee and the date of dissemination. The log shall be maintained and retained for a period of at least thirteen (13) months from the date of release.

April 11, 1983. *Original authority: 577.051, RSMo 1982, amended 1995,

11 CSR 30-2.040 Closure, Sealing and Expungement to the closure, sealing and expungement of information for the driving while intoxicated offender system mandated by sections 302.225 and 577.001–577.051, RSMo. {#sec-11-csr-30-2.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-2.040}

(1) The closure, sealing and expungement of records required to be entered by the Missouri State Highway Patrol in the Missouri Uniform Law Enforcement System shall be in accordance with section 577.051 and Chapter 610, RSMo to the contrary notwithstanding.

April 11, 1983. *Original authority: 577.051, RSMo 1982, amended 1995

Chapter 3 Driver Improvement Program

11 CSR 30-3.010 Approval {#sec-11-csr-30-3.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-3.010}

(Moved to 7 CSR 60-3.010)

JOHNR. ASHCROFT(6/30/17)

Chapter 4 Missouri Criminal Records Repository and Privacy/Security Information

11 CSR 30-4.010 Definitions {#sec-11-csr-30-4.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-4.010}

PURPOSE: This rule defines terms used in the rules for maintaining the Records PUBLISHER’S NOTE: The secretary of state has determined that the publication of the entire text of the material which is incorporated by reference as a portion of this rule would be unduly cumbersome or expensive.

Therefore, the material which is so incorporated is on file with the agency who filed this

rule, and with the Office of the Secretary of State. Any interested person may view this material at either agency’s headquarters or the same will be made available at the Office of the Secretary of State at a cost not to exceed actual cost of copy reproduction. The entire text of the rule is printed here. This note refers only to the incorporated by reference material.

(1) Missouri Criminal Records Repository (MCRR)—The Missouri State Highway Patrol Criminal Records Division, located at 1510 East Elm, Jefferson City, Missouri will also be known as the Missouri Criminal Records Repository. MCRR is responsible for compiling and disseminating complete and accurate criminal history record information.

(2) Reportable offenses—All offenses listed in the Missouri Charge Code Manual that are identified as being reportable to the MCRR.

(3) Criminal history record information (CHRI)—Information collected by criminal justice agencies on individuals consisting of identifiable descriptions and notations of arrests, detentions, indictments, information or other formal criminal charges and any disposition arising from criminal charges, sentencing, correctional supervision and release.

(4) Final dispositions—The formal conclusion of a criminal proceeding at whatever stage it occurs in the criminal justice system.

(5) State offense cycle number (OCN)—A preprinted number on the state fingerprint card which is used to identify each arrest which may include multiple offenses for which a person is fingerprinted. This number will be associated with an offense from the date of arrest to the date the offender exits from the criminal justice system.

(6) Without undue delay—As soon as possible but not later than thirty (30) days after the criminal history event.

(7) Administration of criminal justice— Performance of any of the following activities: detection; apprehension; detention; pretrial release; posttrial release; prosecution; adjudication; or correctional supervision or rehabilitation of accused persons or criminal offenders. The administration of criminal justice shall include criminal identification activities and the collection, storage and dissemination of criminal history record information, including fingerprint searches, photographs and other indicia of identification.

(8) Police agency—Each city, county and state agency having employees with peace officer powers, regardless of size.

(9) Peace officer—Members of the state highway patrol, all state, county and municipal law enforcement officers possessing the duty and power of arrest for violation of the general criminal laws of the state.

(10) Statewide judicial information system (SWJIS)—The automated information system established by the Supreme Court to collect and compile court caseload data. The system is maintained by the Office of State Courts Administrator, Jefferson City, Missouri.

History

• AUTHORITY: sections 43.500 and 590.100, Filed July 15, 1991, effective Nov. 30, 1991. Original authority: 43.500, RSMo 1986 and 590.100, RSMo 1978, amended 1988.

11 CSR 30-4.020 Agencies and Persons Required to Furnish CHRI {#sec-11-csr-30-4.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-4.020}

PURPOSE: This rule establishes who is required to furnish criminal history record information to Missouri Criminal Records (1) All police agencies, prosecuting and circuit attorneys, court clerks and the Department of Corrections shall furnish criminal

history record information to Missouri Criminal Records Repository without undue delay.

Original authority: 43.503, RSMo 1986.

History

• AUTHORITY: section 43.503, RSMo 1986. Oct. 25, 1987.

11 CSR 30-4.030 Police Agency Procedures for Furnishing Descriptions of Persons and Their Charges to MCRR and Prosecuting or Circuit Attorneys each police agency to follow when furnishing a description of a person and his/her charges to Missouri Criminal Records Repository and to prosecuting or circuit attorneys. {#sec-11-csr-30-4.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-4.030}

(1) A police agency shall be responsible for completing a fingerprint card/form set supplied by Missouri Criminal Records Repository (MCRR) on reportable offenses as instructed in the following sections. The form set consists of a card having blocks to be filled in on both sides, and two (2) carbon copies having blocks to be filled in only on their front side. Normally the parts of the form set will not be separated until the front side has been filled in, including a complete set of fingerprints. In any event the officer or clerk making the entries on the front of the card shall verify that the same information is readable on the carbon copies. Listed as follows are procedures for police agencies to follow when taking a person into custody:

(A) Two (2) or more agencies/same offense—If peace officers from two (2) or more police agencies arrest a person for the same offense(s), the agency that will forward the information to the prosecutor or make application for warrant shall be responsible for completing the fingerprint card/form set and forward the appropriate forms to the prosecuting or circuit attorney;

(B) Single agency/prosecution—When an arresting officer releases a person s/he has arrested to a receiving officer who routinely reports to the same prosecuting or circuit attorney, the arresting officer should complete the fingerprint card/form set and forward the forms to the prosecuting or circuit attorney;

(C) Agency turned subject over to different jurisdiction—A police agency arresting a person, with or without a warrant, and releasing the person to a police agency in a different prosecutory jurisdiction for prosecution shall be responsible for completing the fingerprint card/form set and indicating in the final disposition block #19 as turned over to (TOT) or posted bond, name and address of police agency, date and warrant number if available.

The forms should be destroyed;

(D) Agency receiving subject from different jurisdiction—A police agency taking custody of a person arrested by an officer who routinely reports to a different prosecuting or circuit attorney shall also be responsible for completing a fingerprint card/form set and forwarding the disposition forms to the prosecuting or circuit attorney;

(E) Municipality/multiple counties—When peace officers arrest a person in reference to one (1) of their cases, regardless of the county of prosecution, they are responsible for completing the fingerprint card/form set and forwarding the forms to the prosecuting or circuit attorney. The agency who takes custody of the offender will not refingerprint the person. Example: Kansas City Police Department arrests a person in Jackson County in reference to a Kansas City case in Clay County. Kansas City Police Department would be responsible for completing the fingerprint card/form set and then submitting the disposition form set to the prosecuting attorney of Clay County. When Clay County authorities take the offender into custody, no additional fingerprints should be taken;

(F) Probation violation subject printed on original charge—When a peace officer arrests an individual for a probation violation and the person has been fingerprinted on the original charge, no additional fingerprints will be required. The court has agreed to include the offense cycle number (OCN) on the warrant.

If it is unknown whether the person has been fingerprinted or if additional charges are listed in conjunction with the probation violation, the fingerprint card/form set is required and forms should be forwarded to the prosecuting or circuit attorney; and (G) Arrest without warrant—If a peace officer makes an arrest in his/her jurisdiction without a warrant, s/he will fingerprint the individual and submit the forms to the prosecuting or circuit attorney for his/her action. If a warrant is issued for the person, the OCN number will be listed on the warrant. If the person is released pending issuance of the warrant, s/he need not be figerprinted when the arrest warrant is served unless additional charges are included.

(2) A police agency shall be ordered by the court to fingerprint and be responsible for completing a fingerprint card/form set on persons for which the court has pronounced sentence, if it determines that the person has not been previously fingerprinted for the same case. The police agency shall forward the fingerprint card to MCRR.

(3) The form set should be forwarded to the appropriate personnel by the arresting officer under the following conditions:

(A) A peace officer reports a reportable offense to a prosecuting or circuit attorney; and (B) When peace officers arrest a person in reference to one (1) of their cases, regardless of the county of prosecution, the arresting officer should complete the fingerprint card/form set and submit the form set to the prosecuting or circuit attorney.

(4) The form set shall be destroyed under the following conditions:

(A) Arrested subject released, information not referred to prosecuting or circuit attorney; or (B) If the person arrested is turned over to a peace officer or posted bond for prosecution in a different jurisdiction, with the exception of subsection (3)(B).

(5) Both sides of the fingerprint card are illustrated in Figures #1 which represents the front side and #2 which represents the back side.

(A) The card should be completed by using a typewriter. The completed fingerprint card less the disposition forms shall be forwarded to MCRR without undue delay.

(B) Instructions for completing the card are as follows:

1. State assigned identification number (SID), enter number if available in your file;

2. Complete name of subject arrested;

3. Give OCN. Preprinted eight (8)-digit number;

4. Use your agency’s OCN if assigned;

5. List any known aliases the subject uses;

6. State arresting agency identifier (ORI), MO____________, name and address of arresting agency;

7. Leave blank (for state usage only);

8. Provide signature of person fingerprinted. Should be signed in ink;

9. Enter date of birth of subject arrested. If subject is a juvenile, court certification that subject is to be tried as an adult must be attached;

10. Give date subject was fingerprinted and the signature of official taking the fingerprints. Signature should be in ink;

11. State sex, race*, height, weight, hair and eye color of subject arrested * W White (includes Mexicans and Latins)

B Black I (American Indian or Alaskan Native)

A (Asian or Pacific Islander)

U Unknown;

12. Give place of birth of subject arrested, state, territorial possessions, province or country of birth;

13. Date subject arrested or received;

14. Use your local agency case number;

15. Enter brief description of all charges and National Crime Information Center (NCIC) offense code, also the offense penal range (see Missouri Charge Code Manual). If the arrest is for parole or probation violations, include original charge information.

Enter any additional charges in space #32;

16. Give FBI number of subject arrested if available in your file;

17. Leave blank (for state usage, fingerprint classification);

18. Same as #1. Enter SID number if available in your file;

19. Enter one (1) of the following final dispositions if appropriate. Include warrant number if available:

A. TOT, name of police agency, date of disposition (use only when it is a different prosecutory jurisdiction);

B. Posted bond, name of agency who wanted the individual, date (use only when it is a different prosecutory jurisdiction); or C. Released, information not referred to prosecuting attorney or circuit attorney;

20. State Social Security number of the person arrested;

21. Fingerprint blocks, a complete set of ten (10) prints shall be obtained;

22. Use to indicate if palm prints and/or photograph are available;

23. Provide arresting agency name and ORI. If your agency is the contributor of the fingerprint card and your ORI is entered in block #6, leave blank;

24. Give county of arrest and arresting officer’s badge number;

25. Enter the Missouri statute(s) violated and corresponding Missouri offense code for all charges listed in block #15 (see Missouri Charge Code Manual);

26. Name subject’s employer if available;

27. Give occupation of subject arrested;

28. Provide residence of subject arrested;

29. Include all scars, marks, tattoos and amputations of person arrested;

30. Enter basis for caution;

31. Give date of offense if different than date of arrest;

32. Additional charges information should be included in this space. If charges are indicated, attach a list of these charges to the form set that is to be forwarded to the prosecuting or circuit attorney; and 4CODE OF STATE REGULATIONS 33. Enter the name and complete address of agencies desiring a copy of the subject’s criminal history record.

Filed July 15, 1991, effective Nov. 30, 1991. and 43.506, RSMo 1986, amended 1989, 1991.

11 CSR 30-4.040 Prosecuting and Circuit Attorney Procedures for Furnishing CHRI to MCRR and the Courts each prosecuting and circuit attorney to follow when furnishing criminal history record information to Missouri Criminal Records (1) Each prosecuting and/or circuit attorney, upon filing a reportable offense reported by a peace officer, shall furnish the information to Missouri Criminal Records Repository (MCRR) either by submitting the blue carbon copy of the disposition form set or by electronic medium. The white copy of the form set shall be furnished to the court of jurisdiction for purposes of making the offense cycle number (OCN) available to them. When charges are not filed, the complete form set shall be destroyed. If the OCN is known at the time the information or complaint is filed by the prosecuting or circuit attorney, the OCN shall be provided to the court. If the defendant is scheduled to appear in separate court divisions, the OCN shall be provided to each division. If the OCN is not known at the time of filing, the prosecuting or circuit attorney shall provide the number to the court as soon as known. When the court issues the warrant, the OCN should be listed on the warrant. The blue carbon copy is illustrated in Figure #3. The white court copy is illustrated in Figure #4. If reporting manually, the following method should be followed: {#sec-11-csr-30-4.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-4.040}

(A) Entries shall be made in blocks 1–5.

(B) Complete as instructed using typewriter or hard tip pen— 1. The prosecuting or circuit attorney must indicate the charges filed for the OCN.

All other charges reported by the arresting agency will be considered not filed by MCRR;

2. Enter prosecutor’s case number if charge(s) filed;

3. Enter the originating agency identifier (ORI) number of the prosecuting or circuit attorney’s office;

4. Enter date the action taken; and 5. Provide the signature of the prosecuting or circuit attorney taking the action.

(2) If electronic reporting is approved by the Criminal Records Committee, similar information must be provided in the appropriate format.

(3) Any change(s) in the prosecuting or circuit attorney’s action shall be reported to MCRR.

(A) The supplemental action form illustrated in Figure 5 will be used for reporting any changes if the blue copy of the prosecutor’s action form previously has been submitted to MCRR.

(B) The form should be completed as follows:

1. Enter defendant’s name;

2. Enter at least two (2) numeric identifiers (subject’s date of birth, OCN or SID);

3. Enter charge(s), date of arrest and count number(s) for which the supplemental information pertains;

4. Enter changes in prosecutor’s or circuit attorney’s action;

5. Enter any comments pertaining to the case;

6. Enter reporting agency name, address and ORI;

7. Give date of report; and 8. Provide the signature of person completing the form.

(4) In the event a court pronounces sentence, including an order of supervision or an order of probation granted for any offense which is required by statute to be collected by MCRR, the prosecuting attorney or the circuit attorney of a city not within a county shall ask the court to order a police agency to fingerprint immediately all sentenced persons appearing before the court who previously have not been fingerprinted for the same case. The police agency shall submit these fingerprints to MCRR without undue delay. and 43.506, RSMo 1986, amended 1989, 1991.

11 CSR 30-4.050 Court Clerk Procedures for Furnishing CHRI to MCRR and to Department of Corrections each court clerk to follow when furnishing criminal history record information to Missouri Criminal Records Repository and to the Department of Corrections. {#sec-11-csr-30-4.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-4.050}

(1) The court clerk shall furnish Missouri Criminal Records Repository (MCRR) with the final disposition of each case relating to a reportable offense filed by a prosecuting or circuit attorney to include when that offense is reduced. When a case has a charge(s) still pending after the disposition forms have been forwarded to MCRR, MCRR will forward disposition forms to the court of jurisdiction for the reporting of dispositions on the remaining pending charge(s). The court clerk shall report in one (1) of the following ways:

(A) By submitting the necessary case disposition and supplemental court action data to the Statewide Judicial Information System (SWJIS); or (B) By submitting the necessary case disposition data by electronic medium which has been approved by the Criminal Records Committee.

(2) When a change of venue is granted, the court clerk where the case was originally filed shall forward the state offense cycle number (OCN) received from the prosecuting or circuit attorney together with all other original papers to the court to which the case was transferred. The court clerk where the case was originally filed shall report the change of venue to SWJIS identifying the court to which the case was transferred.

(3) When the court pronounces sentence, including an order of supervision or an order of probation granted for any offense which is required by statute to be collected by MCRR and it is determined that the person(s) appearing before the court previously has not been fingerprinted for the same case, upon request of the prosecuting or circuit attorney, the court shall order a law enforcement agency to fingerprint immediately all sentenced person(s). The police agency shall submit these fingerprints to MCRR without undue delay and provide the OCN to the court of jurisdiction.

(4) When the court receives a complaint or information which contains an OCN from the prosecuting or circuit attorney, the OCN shall be listed on the warrant when it is issued.

(5) If a warrant is issued by the court for a probation violation on a reportable offense, the court clerk shall list the OCN from the original charges on the warrant.

(6) The court clerk shall report the original charge, including the OCN, if the probation is revoked.

(7) The court clerk shall also furnish the Department of Corrections information on all defendants convicted and sentenced to their department for custody supervision. The report shall include, but is not limited to, the name of the convicted person, state OCN, if known, charge, Missouri statute number, if known, court case number, date of sentence and length of sentence on all counts. and 43. 506, 1986, amended 1989, 1991.

11 CSR 30-4.060 Department of Corrections Procedures for Furnishing CHRI to MCRR the Department of Corrections to follow when furnishing criminal history record information to Missouri Criminal Records (1) The Department of Corrections shall furnish Missouri Criminal Records Repository (MCRR) with a complete description, including fingerprints, state offense cycle number, charge, state statute, Missouri state charge code, court case number, sentencing date, sentencing county and length of confinement. {#sec-11-csr-30-4.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-4.060}

The criminal history record information (CHRI) for each charge for which a person is serving shall be forwarded to MCRR on a specially designed fingerprint card which will be supplied by MCRR.

(2) Each time there is a change in an individual’s custody status or, if there is additional charge and sentence information added to a person’s commitment record, the Department of Corrections shall furnish MCRR with a copy of the additional charge and sentence information. This will be accomplished by using institution forms or by electronic medium. 1987, effective Oct. 25, 1987. *Original authority: 43.503, RSMo 1986 and 43.506, RSMo 1986.

11 CSR 30-4.070 Dissemination of CHRI From MCRR/User Fee When Required/ CHRI for Statistical Purposes the dissemination of criminal history record information for criminal justice purposes, employment purposes, statistical purposes, licensing and for concealable weapons permit, for the review and challenge and when the information is released to criminal justice, noncriminal justice, citizens or the individual of the record and for the paying of fees when required. {#sec-11-csr-30-4.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-4.070}

(1) Criminal justice agencies shall receive complete criminal history record information (CHRI) for criminal justice purposes and criminal justice employment purposes.

(2) Criminal justice agencies shall receive the following CHRI for the issuance of a concealable firearms permit:

(A) All conviction data;

(B) All charges for which an individual is (C) All charges which have resulted in an imposition of sentence being suspended (SIS) until the time as the case is finally terminated; and (D) Information regarding an arrest, if it is within thirty (30) days of the arrest and no (3) Noncriminal justice agencies or citizens shall receive the following CHRI for employment, licensing purposes or reasons stated in the request:

(A) All conviction data;

(B) All charges for which an individual is (C) All charges which have resulted in a imposition of SIS until the time as the case is finally terminated; and (D) Information regarding an arrest, if it is within thirty (30) days of the arrest and no (4) Federal noncriminal justice agencies shall receive complete CHRI for those investigative purposes as authorized by law or presidential executive order.

(5) The subject of an identification record may obtain a copy of his/her CHRI for review or challenge purposes by submitting a written request via United States mails directly to the Missouri State Highway Patrol, Criminal Records Division, P.O. Box 568, Jefferson City, Missouri 65102 or may present his/her written request in person during regular business hours to the Missouri State Highway Patrol, Criminal Records Division, Annex Building, 1510 East Elm Street, Jefferson City, Missouri.

(A) Requests for CHRI must be accompanied by satisfactory proof of identity, which shall consist of name, date of birth and a set of rolled-inked fingerprint impressions placed upon fingerprint cards or forms commonly utilized for applicant or law enforcement agencies. The request must be accompanied by a fee of fourteen dollars ($14) in the form of a certified check, warrant, voucher or money order payable to the “State of Missouri—Criminal Record System.” Any request for waiver of the fee shall accompany the original request for the CHRI and shall include a claim and proof of indigency.

(B) No fees will be charged for challenge of a presupplied record by an individual when a person challenges his/her record. A set of fingerprints will be required if the identity of the person is in question.

(6) Missouri Criminal Records Repository (MCRR) shall charge a fee of not more than five dollars ($5) for each name check and a fee of not more than fourteen dollars ($14) for each fingerprint processed before CHRI can be disseminated to any federal or nonstate of Missouri agency when that information is requested for a matter not related to the administration of criminal justice. The fee should be either a certified check, warrant, voucher or money order payable to the “State of Missouri—Criminal Record System.” The request with the fee stapled to it should be mailed to the Missouri State Highway Patrol, Criminal Records Division, P.O. Box 568, Jefferson City, MO 65102.

(7) Each request to obtain CHRI for employment or licensing purposes must be accompanied by a fee of five dollars ($5) in the form of a certified check, warrant, voucher or money order payable to the “State of Missouri—Criminal Record System.” The request with check stapled to it should be mailed to the Missouri State Highway Patrol, Criminal Records Division, P.O. Box 568, Jefferson City, MO 65102. Any request for waiver of the fee shall accompany the original request for the CHRI and shall include a claim and proof of indigency.

(8) MCRR shall not disseminate or publish statistical information derived from CHRI which identifies individual criminal justice agencies other than to compile or disseminate 6CODE OF STATE REGULATIONS statistical information from CHRI which describe general offender characteristics and the general disposition of the criminal cases.

History

• AUTHORITY: sections 43.506, 43.530, 610.100, 610.105 and 610.120, RSMo 1986. Oct. 25, 1987. Amended: Filed July 15, 1991, effective Dec. 9, 1991. Original authority: 43.506, RSMo 1986, amended 1989, 1991; 43.530, RSMo 1986; 610.100, RSMo 1973, amended 1981; 610.105, RSMo 1973, amended 1981; and 610.120, RSMo 1981, amended 1983, 1989.

11 CSR 30-4.080 Reporting CHRI to MCRR Via Electronic Medium {#sec-11-csr-30-4.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-4.080}

PURPOSE: This rule establishes a procedure for prosecuting or circuit attorneys, custody agencies and court clerks to follow when those agencies and persons choose to report criminal history record information to Missouri Criminal Report Repository via electronic medium.

(1) Prosecuting or circuit attorneys, custody agencies and court clerks have the capability to develop a system of reporting criminal history record information (CHRI) via electronic medium to Missouri Criminal Report Repository. Those agencies planning to implement this system should contact the Criminal Records Division of the Missouri State Highway Patrol. Arrangements will be made for your department’s personnel and personnel from the Missouri State Highway Patrol’s Information Systems Division to develop the necessary interface to allow for the reporting of the required data elements.

(2) All systems developed for the reporting of CHRI electronically must be approved by the Criminal Records Advisory Committee.

History

• AUTHORITY: section 43.506, RSMo 1986. Oct. 25, 1987. Original authority: 43.506, RSMo 1986.

11 CSR 30-4.090 Privacy and Security Requirements {#sec-11-csr-30-4.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-4.090}

PURPOSE: This rule establishes a rule governing the procedures for dissemination of criminal history record information and to assure that the privacy and security of individuals have not been violated.

(1) Criminal History Record Information (CHRI).

(A) CHRI means information collected by criminal justice agencies on individuals consisting of identifiable descriptions and notations of arrests, detentions, indictments, information or other formal criminal charges, any disposition arising from criminal charges, sentencing, correctional supervision and release.

(B) The regulations do not apply to CHRI contained in— 1. Posters, announcements or lists for identifying or apprehending fugitives or wanted persons;

2. Original records of entry, such as police blotters maintained by criminal justice agencies, compiled chronologically and required by law or long standing custom to be made public, if records are organized on a chronological basis;

3. Court records of public judicial proceedings;

4. Published court or administrative opinions or public, judicial, administrative or legislative proceedings;

5. Records of traffic offenses maintained by state departments of transportation, motor vehicles or the equivalent of those records for regulating the issuance, suspension, revocation or renewal of drivers’, pilots’ or other operators’ licenses; and 6. Announcements of executive clemency.

(2) Completeness and Accuracy.

(A) To meet accuracy and completeness requirements, the Missouri State Highway Patrol’s Criminal Records Division has been designated by state law as the central repository of CHRI for the state.

(B) For the purpose of maintaining complete and accurate criminal history record information, all police officers of this state, the clerk of each court, the Department of Corrections, the sheriff of each county, the chief law enforcement official of a city not within a county and the prosecuting attorney of each county or the circuit attorney of a city not within a county shall submit certain criminal arrest, charge and disposition information to the central repository for filing without undue delay (within thirty (30) days) in the form and manner required by sections 43.500–43.530, RSMo.

(3) Dissemination.

(A) Criminal justice agencies shall receive complete CHRI for criminal justice purposes and criminal justice employment purposes.

(B) Criminal justice agencies shall receive the following CHRI for the issuance of a concealable firearms permit:

1. All conviction data;

2. All charges for which an individual is 3. All charges resulting in an imposition of sentence being suspended (SIS) until the time as the case is final terminated; and 4. Information regarding an arrest, if it is within thirty (30) days of the arrest and no (C) Noncriminal justice agencies or citizens shall receive the following CHRI for employment, licensing purposes or reasons stated in the request:

3. All conviction data;

4. All charges for which an individual is 3. All charges resulting in an imposition of SIS until the time as the case is finally terminated; and 4. Information regarding an arrest, if it is within thirty (30) days of the arrest and no (D) Federal noncriminal justice agencies shall receive complete CHRI for those investigative purposes as authorized by law or presidential executive order.

(4) Agency Audit.

(A) By federal regulation, every state is required to conduct biennial audits of randomly selected criminal justice agencies to assure that privacy and security regulations are being followed.

(B) To make this audit possible, agencies are required to retain appropriate records.

Agencies will need to account for each dissemination in a log so that the audit can be performed. The log should contain the name of the subject on whom the record is disseminated, the name of the recipient of the information, the agency he represents, whether the agency is criminal justice or not, the purpose for which the information is to be used, address of the agency, date and time.

(C) Criminal justice agencies may choose a manual or automated dissemination logging system. Agencies which are not automated and rely on other systems, such as the central repository for automated dissemination logging, must log all secondary dissemination.

Secondary dissemination is defined as “The dissemination of any CHRI response to another criminal justice agency or to an individual within another criminal justice agency or to anyone legally entitled to receive such information who is outside the original receiving agency.” These logs shall be maintained for thirteen (13) months from the date of dissemination.

(D) The reporting of a criminal justice transaction to a state, local or federal repository is not a dissemination of information.

Also agencies are not required to account for no record responses.

(5) Security of CHRI.

(A) Agencies providing security must be mindful of computer software and hardware, restriction of file access and safeguard policies regarding computer operation in the following areas: protection through proper storage, protection through computer programs, legitimate destruction of records, detection of unauthorized penetration of programs or files, and protection of security and protection from destruction.

(B) Agencies must screen prospective employees who will have access to CHRI and be responsible for transferring or removing personnel in cases of violation.

(C) The agency must institute manual procedures for physical and data security, institute manual procedures to prevent file destruction and limit direct access to criminal

history record information.

(D) Each employee working with or having access to criminal history record information shall be made familiar with the substance and intent of these regulations.

(6) Access and Review.

(A) Any individual, upon satisfactory verification of his/her identity, shall be entitled to review without undue burden to either the criminal justice agency or the individual any CHRI maintained about him/herself and obtain a copy of the information when necessary for challenge or review.

(B) Employees who process access and review inquiries must be cautious when a person asks to see his/her CHRI. Positive identification is required. A driver’s license with a photo may be sufficient; however if identification is questionable, fingerprints may be required.

(C) If a person has accessed and reviewed his/her CHRI and disagrees with the information, a challenge can follow. The challenge may be oral or written indicating that the record is inaccurate or incomplete and be accompanied by a corrected version.

(D) If it is determined that there is an error in the record, the agency must make the necessary correction. At the individual’s request, the agency must give him/her the names of all noncriminal justice agencies to whom the data has been disseminated. Disseminations to criminal justice agencies will not be disclosed.

(E) The correcting agency shall notify all criminal justice recipients of the corrected information.

(F) The individual is not entitled to data contained in intelligence, investigatory or other related files and shall not be construed to include any other information than that defined as CHRI.

(G) When an error in a CHRI record has been detected and the correction has been made, the correcting agency shall forward corrected copies to the central repository including a copy for the Federal Bureau of Investigation.

(H) In the event an agreement cannot be reached between the individual and the agency being challenged, the individual may proceed with an administrative appeal to the director of the Department of Public Safety, Truman Building, 8th Floor, Jefferson City, MO 65101.

Chapter I, Part 20. Original rule filed Aug. 4, 1987, effective Oct. 25, 1987. Amended: *Original authority: 43.506, RSMo 1986, amended 1989, 1991; 43.515, RSMo 1986; 610.100, RSMo 1973, amended 1981; 610.105, RSMo 1973, amended 1981; and 610.120, RSMo 1981, amended 1983, 1989.

8CODE OF STATE REGULATIONS

10CODE OF STATE REGULATIONS

12CODE OF STATE REGULATIONS

14CODE OF STATE REGULATIONS

History

• AUTHORITY: sections 43.506, 43.515, 610.100, 610.105 and 610.120, RSMo 1986 and Code of Federal Regulations, Title 28,

Chapter 5 State Services to Victims Fund Grant Program

11 CSR 30-5.010 Definitions {#sec-11-csr-30-5.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-5.010}

PURPOSE: This rule defines terms used in the rules and regulations which pertain to the administration and operation of the State Services to Victims Fund Grant Program.

(1) State Services to Victims Fund Grant Program refers to the program created by sections 595.050 and 595.100, RSMo and administered by the Department of Public Safety for the purpose of establishing victim assistance programs.

(2) For the purposes of the rules and regulations pertaining to the State Services to Victims Fund Grant Program, the Department of Public Safety will use the legal definitions of terms contained in section 595.010, RSMo.

1984. Original rule filed Dec. 19, 1988, Feb. 26, 1998, effective Aug. 30, 1998.

11 CSR 30-5.020 Eligible Applicants {#sec-11-csr-30-5.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-5.020}

PURPOSE: This rule establishes criteria to determine the eligibility of applicant agencies to receive assistance through the State Services to Victims Fund Grant Program.

(1) As stated in section 595.050, RSMo, public and not-for-profit private agencies are eligible to apply for funds available through the State Services to Victims Fund Grant Program. Public agencies may not receive State Services to Victims Fund Grant Program funds to supplant existing funds presently being used to provide assistance to victims of crime.

History

• AUTHORITY: section 595.060, RSMo 2000. Emergency rule filed June 11, 1984, effective June 21, 1984, expired Oct. 19, 1984. Original rule filed Dec. 19, 1988, effective March 25, 1989. Amended: Filed Feb. 26, 1998, effective Aug. 30, 1998. Amended: Filed June 15, 2005, effective Feb. 28, 2006.

11 CSR 30-5.030 Crime Victim Eligibility {#sec-11-csr-30-5.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-5.030}

PURPOSE: This rule establishes criteria which govern the eligibility of victims to receive services from agencies receiving assistance through the State Services to Victims Fund Grant Program.

(1) The following criteria must be met in order for agencies to provide services to victims of crime under the State Services to Victims Fund Grant Program:

(A) The crime must have been committed in Missouri, or the crime victim must be a resident of the state of Missouri;

(B) The crime must have involved the threat or the use of force or violence in its commission;

(C) The crime must have been reported to an appropriate law enforcement office within forty-eight (48) hours of the time it was committed or within forty-eight (48) hours after the victim of the crime, a dependent or a member of the family of the victim could reasonably be expected to make a report; and (D) Notwithstanding the provisions of sub-

section 11 CSR 30-5.030(1)(C), funds may be allocated and distributed to provide financial assistance to shelters for victims of domestic violence.

(2) The public or not-for-profit private agency receiving assistance from the State Services to Victims Fund Grant Program will be responsible for the development and implentation of a recordkeeping system based on the previously mentioned criteria to verify the eligibility of victims of crime and/or their dependents to receive services.

1984. Original rule filed Dec. 19, 1988, Feb. 26, 1998, effective Aug. 30, 1998.

11 CSR 30-5.040 Notification and Filing Procedure {#sec-11-csr-30-5.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-5.040}

PURPOSE: This rule establishes the procedure for applying for assistance through the State Services to Victims Fund Grant Program.

(1) The actual amount and availability of funds for the State Services to Victims Fund Grant Program will depend upon the appropriations provided by the general assembly for each fiscal year for section 595.050, RSMo and upon the amount of monies collected and deposited into the State Services to Victims Fund established under section 595.100, RSMo.

(2) The Department of Public Safety, Office of the Director, may follow the procedures established by the Department of Public Safety, Office of the Director, for all federal funding programs administered by the Department of Public Safety, Office of the Director, in regard to the filing of applications by public agencies. However, the Department of Public Safety, Office of the Director, may elect to follow the procedures established in

Chapter 34, RSMo for filing applications for assistance by public agencies.

(3) The Department of Public Safety may follow the procedures established by the department for all federal funding programs administered by the department in regard to the filing of applications by public agencies.

However, the department may elect to follow the procedures in Chapter 34, RSMo for filing applications for assistance by public agencies.

1984. Original rule filed Dec. 19, 1988, Feb. 26, 1998, effective Aug. 30, 1998.

11 CSR 30-5.050 Contract Awards, Monitoring and Review {#sec-11-csr-30-5.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-5.050}

PURPOSE: This rule establishes the procedure to be used to review applications, to make awards, and to monitor contracts funded by the State Services to Victims Fund Grant Program.

(1) Applications will be reviewed to insure compliance with the provisions contained in

Chapter 595, RSMo and the rules and regulations published in theMissouri Register.

Funding recommendations will be based on the priorities established by section 595.050, RSMo and the Department of Public Safety.

The Director of the Department of Public Safety will approve all funding decisions.

ROBINCARNAHAN(1/29/06)

Chapter 5óState Services to Victims Fund Grant Program11 CSR 30-5 (2) Contracts may be monitored annually by the Department of Public Safety to insure that appropriate fiscal and program records are being maintained. The contractor may be required to submit such monitoring information in writing to the Department of Public Safety.

Filed June 15, 2005, effective Feb. 28, 2006. *Original authority: 595.060, RSMo 1981, amended 1993, 1995.

4CODE OF STATE REGULATIONS

(1/29/06) ROBINCARNAHAN 11 CSR 30-5óDEPARTMENT OF PUBLIC SAFETYDivision 30óOffice of the Director

History

• AUTHORITY: section 595.060, RSMo 2000. Emergency rule filed June 11, 1984, effective June 21, 1984, expired Oct. 19, 1984. Original rule filed Dec. 19, 1988, effective March 25, 1989. Amended: Filed Jan. 18, 1991, effective Aug. 30, 1991. Amended: Filed Feb. 26, 1998, effective Aug. 30, 1998. Amended:

Chapter 6 Commercial Motor Vehicle and Trailer Safety

11 CSR 30-6.010 Safety Requirements {#sec-11-csr-30-6.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-6.010}

PURPOSE: This rule establishes regulations for the operation, driver and equipment requirements of commercial motor vehicles and trailers as authorized by section 307.400, RSMo (1986).

Editorís Note: The secretary of state has determined that the publication of this rule in its entirety would be unduly cumbersome or expensive. The entire text of the rule has been filed with the secretary of state. The entire text of the rule may be found at the headquarters of the agency and is available to any interested person at a cost established by state law. This rule incorporates by reference 49 CFR 390ñ397 and 49 CFR 100ñ199.

(1) Commercial motor vehicles and trailers, in addition to all requirements of state law and consistent with section 307.400, RSMo (1986), shall be operated and equipped in compliance with the requirements for drivers and vehicles established in 49 CFR 390ñ397 and 49 CFR 100ñ199.

(2) Commercial motor vehicles and trailers may be declared out-of-service when their mechanical condition, loading or operation would likely cause an accident, breakdown or hazard to the public because of noncompliance with 49 CFR 390ñ397; or when public safety is threatened by failure to comply with the requirements for transporting hazardous materials as set forth in 49 CFR 100ñ199.

Vehicles placed out-of-service shall not be operated on public highways until such defects which caused the out-of-service action have been corrected.

(3) Drivers may be declared out-of-service when they have been on duty in excess of the maximum periods permitted by 49 CFR 395 or for failure to maintain a record of current duty status as required by 49 CFR 395. No driver who has been declared out-of-service shall operate a commercial motor vehicle until that driver can lawfully do so under the conditions of 49 CFR 395.

(4) Accidents involving commerical motor vehicles will be reported by law enforcement agencies authorized to report acccidents and submit accident reports to the Missouri State Highway Patrol in accordance with sections 43.250 and 43.251, RSMo.

(5) The planting season begins on January 1 and ends on December 31 of each calendar year. The harvesting season begins on January 1 and ends on December 31 of each calendar year.

Rebecca McDowell Cook (12/31/96)

History

• AUTHORITY: section 307.400, RSMo (Supp. 1995). Emergency rule filed Aug. 3, 1984, effective Aug. 13, 1984, expired Dec. 10, 1984. Original rule filed Sept. 6, 1984, effective Dec. 13, 1984. Amended: Filed June 5, 1996, effective Jan. 30, 1997. Original authority 1984, amended 1986, 1988, 1991, 1993, 1995.

Chapter 7 Driver and Vehicle Equipment Regulations

11 CSR 30-7.010 Motor Vehicle Window Tinting Permits {#sec-11-csr-30-7.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-7.010}

PURPOSE: This rule establishes procedures for the issuance of motor vehicle window tinting permits as authorized by section 307.173, RSMo.

(1) An applicant, upon proper presentation of a prescription issued by his/her physician stating s/he has a serious medical condition requiring its use, may be issued a permit (SHP-524) to operate a motor vehicle with a front side wing vent or window that has a sun screening device that has a light transmission of less than thirty-five percent (35%).

(2) Persons requiring such permit will:

(A) Obtain a prescription issued within one (1) year of application, from his/her physician indicating s/he has a serious medical condition that requires vehicle window tinting with less than thirty-five percent (35%) light transmission applied to the front side vent(s) or window(s);

(B) Present the prescription and the vehicle for which the permit is to be issued to the Missouri State Highway Patrol, Motor Vehicle Inspection Division;

(C) If a permit for more than one (1) vehicle is requested, only one (1) prescription is required. All vehicles must be presented.

(3) The certifying officer or motor vehicle inspector will:

(A) Verify the physician’s prescription for authenticity;

(B) Complete an SHP-524 form in triplicate, utilizing the vehicle presented to fill in the applicable blanks on the form;

(C) Affix the sticker to the inside of the windshield, on the lower left side, slightly above where the inspection sticker should be affixed. Affix the decal to the outside of the lower left corner of the rear glass or left corner of the rear bumper, at the vehicle owner’s option;

(D) Provide the applicant with the appropriate copy of the form and instruct him/her to maintain the copy in the vehicle at all times.

(4) The window tinting permit will remain valid during the current ownership of the vehicle. To obtain a replacement permit, the procedures outlined in sections (2) and (3) will be followed.

(5) Window tinting permits issued prior to August 28, 2001, which allowed a vehicle to be operated with vision reducing material in excess of thirty-five percent (35%) applied to the windshield, front side vents and front side windows pursuant to a physician’s prescription are considered to be valid for the purpose of this rule.

Amended: Filed Aug. 26, 1994, effective March 30, 1995. Rescinded: Filed Aug. 15, 2001, effective Feb. 28, 2002. Emergency rule filed Feb. 20, 2002, effective March 4, 2002, expired Aug. 30, 2002. Readopted: Filed Feb. 20, 2002, effective Aug. 30, 2002. *Original authority: 307.173, RSMo 1985, 1987, 1993, 1994, 1995, 1997, 2001, 2002.

History

• AUTHORITY: section 307.173, RSMo Supp. 2002. Original rule filed Sept. 8, 1987, effective Dec. 12, 1987. Amended: Filed Aug. 18, 1989, effective Nov. 26, 1989. Emergency amendment filed Aug. 26, 1994, effective Sept. 5, 1994, expired Jan. 2, 1995. Emergency amendment filed Jan. 3, 1995, effective Jan. 13, 1995, expired March 29, 1995.

11 CSR 30-7.020 Alternate Equipment Regulations for Animal-Drawn Vehicles {#sec-11-csr-30-7.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-7.020}

PURPOSE: This rule designates alternate lighting and rear reflective signage for animal-drawn vehicles as authorized by sections 307.125 and 307.127, RSMo.

(1) Non-electric lamps or lanterns may be used in lieu of the lights required by subsection 2 of section 307.125, RSMo. The lamps or lanterns must be amber at the front of the vehicle and red at the back and must be placed to the left side of the vehicle at a height of no more than six feet (6') from the ground. The lamps or lanterns shall be visible from the front and back of the vehicle at a distance of at least five hundred feet (500'), and any red lighting must not be visible from the front of the vehicle.

(2) An operator of an animal-drawn vehicle shall display an equilateral triangle that complies with subsection 2 of section 307.127, RSMo. Such emblem shall be placed no less than six inches (6") below the highest point on the rear of the vehicle. The reflective material shall be visible from a distance of not less than five hundred feet (500') to the rear when illuminated by the lower beams of vehicle headlights.

History

• AUTHORITY: section 307.127, RSMo 2016. Original rule filed Dec. 15, 2004, effective June 30, 2005. Amended: Filed Nov. 18, 2021, effective June 30, 2022. Original authority: 307.127, RSMo 1971, amended 1996, 2004.

Chapter 8 Local Government/School District Partnership Program

11 CSR 30-8.010 Definitions Supp. 1996). Emergency rule filed Aug. 6, 1996, effective Aug. {#sec-11-csr-30-8.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-8.010}

Jan. 30, 2025.

11 CSR 30-8.020 Eligible Applicants Supp. 1996). Emergency rule filed Aug. 6, 1996, effective Aug. {#sec-11-csr-30-8.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-8.020}

Jan. 30, 2025.

11 CSR 30-8.030 Notification and Filing Procedure {#sec-11-csr-30-8.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-8.030}

rule filed Sept. 20, 1996, effective April 30, 1997. Rescinded: Filed May 17, 2024, effective Jan. 30, 2025.

History

• AUTHORITY: section 589.307, RSMo (1994). Emergency rule filed Aug. 6, 1996, effective Aug. 16, 1996, expired Feb. 11, 1997. Original

11 CSR 30-8.040 Contract Awards, Monitoring and Review Supp. 1996). Emergency rule filed Aug. 6, 1996, effective Aug. {#sec-11-csr-30-8.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-8.040}

Jan. 30, 2025.

Chapter 9 Operation Payback

11 CSR 30-9.010 Definition {#sec-11-csr-30-9.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-9.010}

PURPOSE: This rule defines a crime tip organization as it applies under Operation Payback.

(1) “Crime tip organization” shall mean a Missouri, community-based partnership between the community, law enforcement and the media working together in the community’s fight against crime by encouraging citizens via cash rewards and anonymity to provide law enforcement information leading to the arrest of criminals.

2000. Original rule filed Feb. 28, 2000, effec-

11 CSR 30-9.020 Participation Eligibility Requirements for a crime tip organization to be registered with the Missouri Department of Public Safety and thus be eligible to request reimbursement funds through Operation Payback. {#sec-11-csr-30-9.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-9.020}

(1) To be registered with the Missouri Department of Public Safety, the crime tip organization must provide the Missouri Director, the following information:

(A) A current list of all board members, which includes at least one representative of the community’s municipal or county law enforcement agency;

(B) A copy of the crime tip organization’s bylaws; and (C) Information concerning the crime tip organization’s federal tax identification number and a copy of documents of incorporation filed with the Missouri secretary of state.

2000. Original rule filed Feb. 28, 2000, effec- *Original authority: 650.020, RSMo 1998 .

11 CSR 30-9.030 Reimbursement Criteria for a crime tip organization receiving reimbursement funds through Operation Payback. {#sec-11-csr-30-9.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-9.030}

(1) To be considered for reimbursement through Operation Payback, the requesting crime tip organization must be registered with the Missouri Department of Public Safety, Office of the Director.

(2) The crime tip organization must submit the following information with its request for reimbursement:

(A) The date each tip, for which reimbursement is requested, was provided to the crime tip organization;

(B) The date each informant was paid for a tip, for which reimbursement is requested;

(C) The total amount paid to the informant for each tip, for which reimbursement is requested;

(D) The number of arrests that resulted from each tip for which reimbursement is requested;

(E) The amount of methamphetamine seized as a result from each tip for which reimbursement is requested; and (F) A copy of the report filed by the law enforcement agency making the arrest/seizure or a case number of the arrest/seizure.

(3) A crime tip organization requesting reimbursement funds through Operation Payback may be reimbursed up to two hundred fifty dollars ($250) for each crime tip on methamphetamine. If a crime tip organization awards more than two hundred fifty dollars ($250) for a tip on methamphetamine, it may only receive two hundred fifty dollars ($250) in reimbursement funds. A crime tip organization may not receive in excess of five thousand dollars ($5,000) during any state fiscal year.

(4) A crime tip organization registered under Operation Payback may only receive reimbursement funds for methamphetamine seizures within the state of Missouri.

2000. Original rule filed Feb. 28, 2000, effec-

11 CSR 30-9.040 Operation Payback Restrictions {#sec-11-csr-30-9.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-9.040}

PURPOSE: This rule stipulates prohibited use of reimbursement funds through Operation Payback.

(1) Reimbursement funds through Operation Payback may only be utilized by crime tip organizations registered and approved through the Missouri Department of Public Safety, Office of the Director, and only for use of the registered crime tip organization as provided in section 650.020, RSMo.

(A) Crime tip organizations are not permitted to use Operation Payback funds to reimburse any law enforcement officer.

(B) Requests for reimbursement must only be for tips involving the sale or manufacture of methamphetamine that leads to a methamphetamine seizure.

2000. Original rule filed Feb. 28, 2000, effec-

11 CSR 30-9.050 Organization Disqualification for which a crime tip organization may be removed from, or denied entry into, the Operation Payback program. {#sec-11-csr-30-9.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-9.050}

(1) A crime tip organization may be removed from participation in Operation Payback if it is determined they have provided false information to the Missouri Department of Public Safety, Office of the Director, in order to receive reimbursement funds. False information may include, but is not limited to:

(A) Indicating a higher amount of rewards granted than they actually provided; or (B) Providing false information regarding seizures of methamphetamine or methamphetamine arrests; or (C) Using Operation Payback funds to pay law enforcement officers.

(2) A crime tip organization may be denied entry into Operation Payback by the Missouri Director, for the following reasons:

(A) The crime tip organization refuses or is unable to provide the information required in order to be registered with the Missouri Director; or Rebecca McDowell Cook (7/31/00)

(B) It is determined the crime tip organization has provided false information to the Missouri Department of Public Safety, Office of the Director.

2000. Original rule filed Feb. 28, 2000, effec- 4CODE OF STATE REGULATIONS (7/31/00) Rebecca McDowell Cook

Chapter 10 Amber Alert

11 CSR 30-10.010 Definitions for the Amber Alert {#sec-11-csr-30-10.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-10.010}

(Rescinded October 30, 2019)

2005. Original rule filed Oct. 3, 2005, effective March 30, 2006. Rescinded: Filed March 1, 2019, effective Oct. 30, 2019.

History

• AUTHORITY: section 210.1014, RSMo Supp.

11 CSR 30-10.020 Law Enforcement Agency Procedures for Activating an Amber Alert {#sec-11-csr-30-10.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-10.020}

PURPOSE: This rule establishes guidelines for determining when an Amber Alert should be activated and the procedure for activating the alert.

(1) In the event of a missing child, the reporting agency shall first determine the following criteria are met:

(A) The missing child qualifies as an “abducted child,” defined as a child age seventeen (17) or under whose whereabouts is unknown and who has been determined by local law enforcement to be— 1. The victim of kidnapping as defined by section 565.110, RSMo; or 2. The victim of a crime of child kidnapping as defined by section 565.115, RSMo, the statutory age limit notwithstanding;

(B) The child is in the custody of someone other than a parent, guardian, or other official custodial entity, or sufficient evidence exists to indicate harm may come to a child from a parent, guardian, or other official custodial entity; and (C) Sufficient descriptive information exists to enhance the possibility of recovery, such as— 1. The time and location of the incident;

2. A physical description of the abducted child or his or her clothing, if known;

3. A physical description and identity, if known, of the abductor and whether or not the abductor is armed; and 4. A vehicle description and direction of travel.

(2) The reporting agency shall take a complete report and validate the information.

(3) The reporting agency shall— (A) Complete and submit a Missouri AMBER Alert Abduction Form through the Missouri Uniform Law Enforcement System (MULES). A request can also be made by completing a Missouri AMBER Alert Abduction Form on the Missouri State Highway Patrol (MSHP) website. The form should then be emailed or faxed to the MSHP communications division; and (B) Enter the incident into MULES and the National Crime Information Center (NCIC) database.

(4) Upon receipt of the Amber Alert Abduction Form, MSHP Communications Division personnel shall contact the reporting agency to confirm the validity of the alert.

(5) After receiving confirmation, MSHP Communications Division shall then disseminate the alert.

History

• AUTHORITY: section 210.1014, RSMo Supp. 2020. Original rule filed Oct. 3, 2005, effective March 30, 2006. Amended: Filed Aug. 20, 2020, effective March 30, 2021. Original authority: 210.1014, RSMo 2003, amended 2019.

Chapter 11 Missouri Uniform Crime Reporting Program

11 CSR 30-11.010 Missouri Uniform Crime Reporting Quality Assurance Review {#sec-11-csr-30-11.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-11.010}

PURPOSE: This rule establishes the requirement of county, municipal and state law enforcement agencies to submit to a Uniform Crime Reporting Quality Assurance Review to ensure the reliable reporting of crime data, to ensure compliance with the national Uniform Crime Reporting requirements, to identify strengths/weaknesses in reporting methods, to improve the accuracy in crime reporting practices, to assure the validity of crime statistics, to increase awareness of national and state procedures and guidelines and to assist agencies with customized Uniform Crime Reporting training.

(1) Each law enforcement agency in the state shall submit to a Uniform Crime Reporting Quality Assurance Review at least once every five (5) years.

(2) All records relevant to a determination of compliance with section 43.505, RSMo, or these rules shall be open to inspection by the auditors without a subpoena. Records reviewed shall not predate the review by more than one (1) year, and shall include calls for service, complaint cards, investigative reports, arrest and booking records, or any other records required to determine agency compliance with 43.505, RSMo.

(3) For overall unsatisfactory findings, the Uniform Crime Reporting program manager may send a letter to the chief executive officer at the agency, specifying areas of noncompliance. The letter will request a response in writing within thirty (30) days detailing the corrective action the agency will take and a projected date of compliance. A follow-up review will then be scheduled to ensure noncompliant topic areas have been corrected. If an agency fails to take corrective action, a report shall be delivered to the director of public safety at the end of the review cycle to notify the director the data from this agency is not compliant with state or national program standards. Data received during a specific time frame may also be identified as questionable within the state data repository until it is corrected by the agency. The Federal Bureau of Investigation may also be notified the data they received from this agency for a specified time frame is of questionable accuracy.

ROBINCARNAHAN(6/30/07)

History

• AUTHORITY: section 43.505, RSMo 2000. Original rule filed Dec. 14, 2006, effective July 30, 2007. Original authority: 43.505, RSMo 2000.

Chapter 12 Forensic Examinations

11 CSR 30-12.010 Payments for Sexual Assault Forensic Examinations {#sec-11-csr-30-12.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-12.010}

PURPOSE: This rule sets out the reporting and billing procedures for appropriate medical providers who conduct sexual assault forensic examinations, commonly known as SAFE exams. This rule sets out the requirements for the appropriate medical provider in submitting a SAFE exam claim to the Department of Public Safety for payment. This rule also establishes the criteria by which SAFE exam expenses are paid and sets out the maximum payments for SAFE exams performed at an emergency room and the maximum payments for SAFE exams performed at a clinic.

(1) For purposes of this section, the following terms mean:

(A) “Appropriate medical provider,” any licensed nurse, physician, or physician assistant, and any institution employing licensed nurses, physicians, or physician assistants, provided that such licensed professionals are the only persons at such institution to perform tasks under the provisions of this section;

(B) “Child abuse medical resource centers,” medical institutions affiliated with accredited children’s hospitals or recognized institutions of higher education with accredited medical school programs that provide training, support, mentoring, and peer review to Sexual Assault Forensic Examination – Child Abuse Resource and Education (SAFE-CARE) providers in Missouri;

(C) “Sexual assault forensic examination child abuse resource education network” or “SAFE-CARE network,” a network of SAFE- CARE providers and child abuse medical resource centers that collaborate to provide forensic evaluations, medical training, support, mentoring, and peer review for SAFE- CARE providers for the medical evaluation of child abuse victims in this state to improve outcomes for children who are victims of, or at risk for, child maltreatment by enhancing the skills and role of the medical provider in a multidisciplinary context;

(D) “SAFE-CARE provider,” a physician, advanced practice nurse, or physician’s assistant licensed in this state who provides medical diagnosis and treatment to children suspected of being victims of abuse and who receives— 1. Missouri-based initial intensive training regarding child maltreatment from the SAFE-CARE network;

2. Ongoing update training on child maltreatment from the SAFE-CARE network;

3. Peer review and new provider mentoring regarding the forensic evaluation of children suspected of being victims of abuse from the SAFE-CARE network;

(E) “Evidentiary collection kit,” a kit used during a forensic examination that includes materials necessary for appropriate medical providers to gather evidence in accordance with the forms and procedures developed by the attorney general for forensic examinations;

(F) “Forensic examination” or “Sexual Assault Forensic Examination (SAFE) exam,” an examination performed by an appropriate medical provider on a victim of an alleged sexual offense to gather evidence for the evidentiary collection kit or using other collection procedures developed for victims who are minors;

(G) “Medical treatment,” the treatment of all injuries and health concerns resulting directly from a patient’s sexual assault or victimization;

(H) “Laboratory fees,” those laboratory fees associated with a forensic examination of a child age thirteen (13) or under or those laboratory fees associated with lab tests which the appropriate medical provider deems necessary to determine whether the victim had been drugged;

(I) “Emergency forensic examination,” an examination of a person under fourteen (14) years of age that occurs within five (5) days of the alleged sexual offense; and (J) “Non-emergency forensic examination,” an examination of a person under fourteen (14) years of age that occurs more than five (5) days after the alleged sexual offense.

(2) The victim or the victim’s parent or guardian shall consent in writing to the examination. If the victim is a minor, then a representative from the requesting agency which is referring the victim for the exam, such as law enforcement or Children’s Division, may sign for consent of the forensic exam.

(3) Claims for payment of forensic examination expenses shall be submitted to, and received by, the Missouri Department of Public Safety, Sexual Assault Forensic Examination (SAFE) Program within ninety (90) days from the date of the forensic examination.

(4) Claims shall be made on the Sexual Assault Forensic Examination Program Report form approved by the Missouri attorney general. The appropriate medical provider must ensure that all lines of the report form are completely and legibly filled out. The appropriate medical provider shall sign and date the report. If the report is incomplete, unsigned, or not dated, the claim may be denied.

(5) To qualify for payment, all claims shall include the Sexual Assault Forensic Examination Program Report, the Sexual Assault Forensic Examination Checklist, and an itemized billing statement.

(6) For billing purposes, all appropriate charges for the sexual assault forensic examination shall be itemized with each billable procedure, service, or supply described, including the accompanying International Classification of Disease (ICD-9) and Current Procedural Terminology (CPT) code(s). Written explanation and reasoning may be required to justify certain codes.

(7) To qualify for payment on claims for a non-emergency forensic exam, physicians, advance practice nurses (APRN), or physician assistants (PA) must meet at least one (1) of the following criteria:

(A) Child Abuse Pediatrics Sub-board eligibility or Certificate of Added Qualification; or (B) A SAFE-CARE provider.

(8) To qualify for payment on claims for a non-emergency forensic exam, licensed nurses must meet the following criteria:

(A) Pediatric Sexual Assault Nurse Examiners (SANE) certification (if performing exams on children age thirteen (13) or younger);

(B) Meet all SAFE-CARE training requirements; and (C) Review of the exam by a health care provider who is a SAFE-CARE provider.

(9) Emergency forensic exams performed by an appropriate medical provider including advance practice nurses (APRN) will be reimbursed provided that the incident meets the following criteria:

(A) The alleged assault may have resulted in the transfer of trace biological material; or (B) The alleged assault may have placed the child at risk for pregnancy; or (C) The child complains of pain in the genital or anal area related to the disclosure of sexual abuse; or (D) There is evidence or complaint of anogenital bleeding or injury.

(10) Payment shall not exceed— (A) Nine hundred dollars ($900) for forensic exams performed in an emergency room, including all costs associated with the facility and the appropriate medical provider fee.

1. When the exam is performed by a physician, physician assistant, or an advanced practice nurse in an emergency room, payment shall not exceed— A. Five hundred forty dollars ($540) for the emergency room fee; and B. Three hundred sixty dollars ($360)

2. When the exam is performed in an emergency room by an appropriate medical provider other than a physician, physician assistant, or an advanced practice nurse, payment shall not exceed— A. Six hundred forty dollars ($640) for the emergency room fee if submitted separately; and B. Two hundred sixty dollars ($260)

(I) If a non-emergency sexual assault forensic examination is performed on a child age thirteen (13) or younger by a SAFE-CARE provider and the exam is reviewed by a SAFE-CARE provider, then the provider will receive one hundred and ten dollars ($110) and the SAFE-CARE provider will receive one hundred and fifty dollars ($150).

(II) If a non-emergency sexual assault forensic examination is performed on a child age thirteen (13) or younger by a SAFE-CARE provider and the exam is not reviewed by a SAFE-CARE provider, then payment will not issue;

(B) Six hundred fifty dollars ($650) for forensic exams performed in a clinic, including all costs associated with the facility and the appropriate medical provider.

1. When the exam is performed by a physician, physician assistant, or an advanced practice nurse in a clinic, payment shall not exceed— A. Two hundred ninety dollars ($290) for the clinic fee if submitted separately; and B. Three hundred sixty dollars ($360)

2. When the exam is performed in a clinic by an appropriate medical provider other than a physician, physician assistant, or an advanced practice nurse, payment shall not exceed— A. Three hundred ninety dollars ($390) for the clinic fee if submitted separately; and B. Two hundred sixty dollars ($260)

(I) If a non-emergency sexual assault forensic examination is performed on a child age thirteen (13) or younger by a provider under this subsection who is not a SAFE- CARE provider and the exam is reviewed by a SAFE-CARE provider, then the provider will receive one hundred and ten dollars ($110) and the SAFE-CARE provider will receive one hundred and fifty dollars ($150).

(II) If a non-emergency sexual assault forensic examination is performed on a child age thirteen (13) or younger by a SAFE-CARE provider and the exam is not reviewed by a SAFE-CARE provider, then payment will not issue; and (C) Two hundred dollars ($200) for any laboratory fees associated with the forensic examination, whether the forensic examination is conducted at an emergency room or clinic.

(11) The billing statement must include an itemization of the charges incurred while conducting the forensic examination, including, if applicable, the itemized laboratory fees.

(12) For the purposes of billing the Sexual Assault Forensic Examination Program, claims shall not include charges for medical procedures that are not part of the SAFE exam. The SAFE Program shall not pay for any portions of the itemized bill that are not

part of the SAFE exam. The SAFE Program shall not pay for any laboratory fees associated with a SAFE exam except for qualified laboratory fees.

(13) Only one (1) forensic examination per victim per sexual offense may be reimbursed.

(14) For a forensic examination to be eligible for reimbursement by the SAFE Program— (A) The victim of the alleged sexual offense must be a Missouri resident; or (B) The alleged sexual offense must have occurred in Missouri.

(15) The department, at its discretion, may require additional information regarding the forensic examination for auditing purposes.

History

• AUTHORITY: section 595.220, RSMo Supp. 2013. Emergency rule filed Dec. 7, 2011, effective Dec. 17, 2011, expired June 13, 2012. Original rule filed Dec. 7, 2011, effective Aug. 30, 2012. Amended: Filed Feb. 2, 2015, effective July 30, 2015. Original authority: 595.220, RSMo 2009, amended 2011.

11 CSR 30-12.020 Payments for Child Physical Abuse Forensic Examinations {#sec-11-csr-30-12.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-12.020}

PURPOSE: This rule sets out the requirements of submitting a claim for payment, establishes the criteria by which expenses are paid, and sets out the maximum payment for SAFE-CARE providers who perform or provide a case review of a forensic examination of a person under eighteen (18) years of age who is an alleged victim of physical abuse.

(1) For purposes of this section, the following terms mean:

(A) “Child abuse medical resource centers” medical institutions affiliated with accredited children’s hospitals or recognized institutions of higher education with accredited medical school programs that provide training, support, mentoring, and peer review to SAFE-CARE providers in Missouri;

(B) “SAFE-CARE provider” - a physician, advanced practice nurse, or physician’s assistant licensed in this state who provides medical diagnosis and treatment to children suspected of being victims of abuse and who receives— 1. Missouri-based initial intensive training regarding child maltreatment from the SAFE-CARE network;

2. Ongoing update training on child maltreatment from the SAFE-CARE network;

3. Peer review and new provider mentoring regarding the forensic evaluation of children suspected of being victims of abuse from the SAFE-CARE network;

(C) “Sexual assault forensic examination child abuse resource education network” or “SAFE-CARE network” - a network of SAFE- CARE providers and child abuse medical resource centers that collaborate to provide forensic evaluations, medical training, support, mentoring, and peer review for SAFE- CARE providers for the medical evaluation of child abuse victims in this state to improve outcomes for children who are victims of or at risk for child maltreatment by enhancing the skills and role of the medical provider in a multidisciplinary context;

(D) “Child physical abuse forensic examination” - a physical examination performed on an alleged victim of physical abuse who is under eighteen (18) years of age by a SAFE- CARE provider to collect and preserve evidence;

(E) “Case Review” - a written record review or evaluation of previously gathered photographs, medical records, including, but not limited to, radiology and laboratory tests, medical chart documentation, and investigative information including, but not limited to, information provided by a multidisciplinary team, Missouri Children’s Division, law enforcement, or juvenile authorities; and (F) “Department” - the Missouri Department of Public Safety.

4CODE OF STATE REGULATIONS

(3/31/16) JASONKANDER

(2) All claims for reimbursement of a child physical abuse forensic examination shall be submitted to the department’s Child Physical Abuse Forensic Examination Program as a payor of first resort within ninety (90) days of the child physical abuse forensic examination.

All claims for reimbursement of case reviews shall be submitted within one hundred eighty (180) days after the child physical abuse forensic examination. The department shall only reimburse professional fees to SAFE-CARE providers who perform a child physical abuse forensic examination or professional fees to SAFE-CARE providers who provide a case review of a child physical abuse forensic examination. The department shall not reimburse providers for medical procedures, facility fees, supplies, laboratory/radiology tests, court preparation, or court testimony.

(3) All claims for reimbursement shall be made on the Child Physical Abuse Forensic Examination form. The SAFE-CARE provider must ensure that all fields of the claim form are completely and legibly filled out. If the claim form is incomplete or unsigned, the claim may be rejected or denied.

(4) The Child Physical Abuse Forensic Examination form must include all applicable signatures, including consent or authorization for the child physical abuse forensic examination as well as the signature of the SAFE-CARE provider who performed the child physical abuse forensic examination and/or the signature of the SAFE-CARE provider who performed the case review, if applicable.

(5) All claims for reimbursement shall include an itemized billing invoice which includes appropriate charge amounts for the child physical abuse forensic examination or case review including the accompanying current International Classification of Disease (ICD) code(s).

Written explanation and reasoning may be required to justify certain codes.

(6) The itemized billing statement must include at least one (1) of the following ICD diagnosis codes, as applicable:

(A) With forensic findings— 1. Child abuse, unspecified - 995.50 2. Child physical abuse - 995.54 3. Shaken infant syndrome - 995.55 4. Other child abuse and neglect - 995.59; or (B) With no forensic findings— 1. Observation following other inflicted injury - V71.6 2. Abuse and neglect - V71.81.

(7) Maximum reimbursement for eligible claims shall be— (A) Seven hundred fifty dollars ($750.00) for a child physical abuse forensic examination; or (B) Four hundred dollars ($400.00) for a case review of the child physical abuse forensic examination.

(8) Professional fee charges for the child physical abuse forensic examination or case review shall not be billed to other payment resources, such as the patient’s parent or guardian, health insurance, Medicaid, or Medicare.

(9) If the same SAFE-CARE provider performs both the child physical abuse forensic examination and the case review on the same child, such provider cannot be reimbursed for both, but may be reimbursed for one (1) if all criteria are met.

(10) Only one (1) child physical abuse forensic examination per report of physical abuse on an alleged victim may be reimbursed and no reimbursement will be made for any subsequent exam on the same victim. Reimbursement will not be made for more than one (1) case review per report of physical abuse and no reimbursement will be made for any subsequent case review for the same victim.

(11) In the event that the child has been the victim of both physical and sexual abuse, the department will reimburse one (1) forensic examination performed per report of abuse, whether sexual, physical, or both. A claim for reimbursement may be submitted to only one (1) program, either the Child Physical Abuse Forensic Examination Program or the Sexual Assault Forensic Examination (SAFE)

Program.

(12) For a claim to be eligible for reimbursement by the Child Physical Abuse Forensic Examination Program— (A) The alleged physical abuse incident must have occurred in Missouri; or (B) The alleged victim of physical abuse must be a Missouri resident.

(13) The department, at its discretion, may require additional information regarding the child physical abuse forensic examination or case review for auditing purposes.

Original rule filed Nov. 2, 2015, effective April 30, 2016. *Original authority: 334.950, RSMo 2010, amended 2014.

History

• AUTHORITY: section 334.950, RSMo Supp. 2014. Emergency rule filed Nov. 2, 2015, effective Nov. 12, 2015, expired May 9, 2016.

Chapter 13 911 Training and Standards Act

11 CSR 30-13.010 General Organization {#sec-11-csr-30-13.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-13.010}

(Moved to 11 CSR 90-4.010)

11 CSR 30-13.020 Definitions {#sec-11-csr-30-13.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-13.020}

(Moved to 11 CSR 90-4.020)

11 CSR 30-13.030 Initial Training {#sec-11-csr-30-13.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-13.030}

(Moved to 11 CSR 90-4.030)

11 CSR 30-13.040 Exemptions and Waiver of Initial Training Requirement {#sec-11-csr-30-13.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-13.040}

(Moved to 11 CSR 90-4.040)

11 CSR 30-13.050 Requirements for Continuing Education {#sec-11-csr-30-13.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-13.050}

(Moved to 11 CSR 90-4.050)

11 CSR 30-13.060 Minimum Standards for Continuing Education Training {#sec-11-csr-30-13.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-13.060}

(Moved to 11 CSR 90-4.060)

11 CSR 30-13.070 Procedure to Obtain Continuing Education Provider Approval for 911 Telecommunicators {#sec-11-csr-30-13.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-13.070}

(Moved to 11 CSR 90-4.070)

11 CSR 30-13.080 Procedure to Obtain Approval for an Individual Continuing Education Course for 911 Telecommunicators {#sec-11-csr-30-13.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-13.080}

(Moved to 11 CSR 90-4.080)

11 CSR 30-13.090 Out-of-State, Federal and Organizations or Commercial Entities Continuing Education Credit for 911 Telecommunicators {#sec-11-csr-30-13.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-13.090}

(Moved to 11 CSR 90-4.090)

11 CSR 30-13.100 In-Service Continuing Education Training for 911 Telecommunicators {#sec-11-csr-30-13.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-13.100}

(Rescinded September 30, 2021)

2011. Original rule filed Jan. 3, 2012, effective Aug. 30, 2012. Rescinded: Filed March 12, 2021, effective Sept. 30, 2021.

History

• AUTHORITY: section 650.340, RSMo Supp.

11 CSR 30-13.110 Computer-Based Continuing Education Training for 911 Telecommunicators {#sec-11-csr-30-13.110 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-13.110}

(Moved to 11 CSR 90-4.100)

Chapter 14 Approval of Accrediting Organizations for Crime Laboratories

11 CSR 30-14.010 Approval of Accrediting Organizations for Crime Laboratories {#sec-11-csr-30-14.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-14.010}

PURPOSE: This rule identifies the process and criteria used to approve organizations that accredit crime laboratories that provide reports or testimony in state court pertaining to the forensic analysis of evidence. The department is required to promulgate a rule identifying approved accrediting bodies and establish procedures for the monitoring of crime laboratory compliance with the approved accrediting bodies under section 650.060.4, RSMo.

PUBLISHER’S NOTE: The secretary of state has determined that the publication of the entire text of the material which is incorporated by reference as a portion of this rule would be unduly cumbersome or expensive.

This material as incorporated by reference in this rule shall be maintained by the agency at its headquarters and shall be made available to the public for inspection and copying at no more than the actual cost of reproduction.

This note applies only to the reference material. The entire text of the rule is printed here.

(1) “Approved accrediting organization” means an organization that— (A) Complies with ISO/IEC 17011 “Conformity assessment—general requirements for accreditation bodies accrediting conformity assessment bodies”; and (B) Accredits crime laboratories— 1. To the standards established in ISO/IEC 17025 “General requirements for the competence of testing and calibration laboratories”;and 2. To any supplemental forensic science standards adopted by the organization.

(2) The list of approved accrediting organizations, which is incorporated by reference, may be obtained by making a request for the printed list published by the Missouri Department of Public Safety on December 21, 2012 to the Missouri Department of Public Safety, PO Box 749, Jefferson City, MO 65102 or by going online at www.dps.mo.gov. The list of approved accrediting organizations does not include any later amendments or additions.

(3) “Crime laboratory” means a laboratory operated or supported financially by the state or any unit of city, county, or other local Missouri government that employs at least one (1) scientist who examines physical evidence in criminal matters and provides expert or opinion testimony with respect to such physical evidence in a state court of law.

(4) Each crime laboratory shall submit documentation annually, no later than December 31, to the department verifying its accreditation status with an approved accrediting organization. That documentation shall consist of the following:

(A) A copy of the current certificate of accreditation issued by an approved accrediting organization; and (B) Any periodic letters or assessment reports, issued by an approved accrediting organization, confirming conformance with its standards and confirming the accreditation status of the crime laboratory.

JASONKANDER(1/29/15)

History

• AUTHORITY: sections 650.060 and 650.100, RSMo Supp. 2014. Emergency rule filed Jan. 8, 2013, effective Jan. 18, 2013, expired July 16, 2013. Original rule filed Aug. 8, 2013, effective Feb. 28, 2014. Amended: Filed July 25, 2014, effective Feb. 28, 2015. Original authority: 650.060, RSMo 2008 and 650.100, RSMo 1979, amended 2004, 2006, 2008, 2012.

Chapter 15 Format for Concealed Carry Permits

11 CSR 30-15.010 Format for Concealed Carry Permits {#sec-11-csr-30-15.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-15.010}

PURPOSE: This proposed rule sets out the required information that shall appear on a concealed carry permit. Pursuant to section 571.101.8, RSMo Supp. 2013, beginning August 28, 2013 county sheriffs are responsible for issuing a concealed carry permit to qualifying applicants. This rule will ensure that there is a uniform format for each concealed carry permit issued by all county sheriffs.

(1) For purposes of this section, the following terms mean:

(A) “Concealed carry permit,” a permit issued by the sheriff or his or her designee that authorizes the permittee to carry a concealed firearm subject to the limitations set out in sections 571.101 to 571.121, RSMo; and (B) “Provisional concealed carry permit,” a temporary permit issued by the sheriff or his or her designee that authorizes the permittee, while the permittee’s criminal background check is pending, to carry a concealed firearm subject to the limitations set out in sections 571.101 to 571.121, RSMo.

(2) When a sheriff or designee issues a concealed carry permit to a successful applicant, the permit shall include only the following information in the manner and location prescribed in form 1 included herein:

(A) Name;

(B) Address;

(C) Date of birth;

(D) Gender;

(E) Height;

(F) Weight;

(G) Hair color;

(H) Eye color;

(I) Signature of permit holder;

(J) Signature of sheriff;

(K) Date permit is issued;

(L) Expiration date; and (M) Permit number assigned by the sheriff or designee pursuant to section 571.101.8, RSMo. The permit number shall include the three (3) digit county code followed by a unique permit number assigned to the individual obtaining the permit.

(3) When a sheriff or designee issues a provisional concealed carry permit to an applicant whose criminal background check is pending, the provisional permit shall include only the following information in the manner and location prescribed in form 2 included herein:

(A) Name;

(B) Address;

(C) Date of birth;

(D) Gender;

(E) Height;

(F) Weight;

(G) Hair color;

(H) Eye color;

(I) Signature of permit holder;

(J) Signature of sheriff;

(K) Date permit is issued;

(L) In lieu of an expiration date, the word “PROVISIONAL” shall appear on the permit; and (M) Permit number assigned by the sheriff or designee pursuant to section 571.101.8, RSMo. The permit number shall include the three (3) digit county code followed by a unique permit number assigned to the individual obtaining the provisional permit.

(4) Any concealed carry permit or provisional concealed carry permit issued shall include the Missouri state seal in the manner and location prescribed in forms 1 and 2.

(5) Pursuant to section 571.101.8, RSMo, the permit shall be two inches wide by three and one-fourth inches long (2" × 3 1/4").

(6) The concealed carry permit or provisional concealed carry permit shall not include a photograph of the permit holder.

JASONKANDER(1/29/14)

4CODE OF STATE REGULATIONS

(1/29/14) JASONKANDER

History

• AUTHORITY: section 571.101, RSMo Supp. 2013. Emergency rule filed Aug. 2, 2013, effective Aug. 28, 2013, expired Feb. 27, 2014. Original rule filed Aug. 2, 2013, effective Feb. 28, 2014. Original authority: 571.101, RSMo 2003, amended 2008, 2011, 2012, 2013.

Chapter 16 Higher Education Memorandums of Understanding

11 CSR 30-16.010 Higher Education Memorandums of Understanding {#sec-11-csr-30-16.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-16.010}

PURPOSE: This rule facilitates the implementation of section 173.2050, RSMo.

(1) Definitions.

(A) “Assessment” is a survey that includes the following:

1. Distributing a copy of section 173.2050, RSMo, to institutions; and 2. Requesting that institutions report to the department whether they have complied with section 173.2050, RSMo.

(B) “Department” is the Department of Public Safety, Office of the Director.

(C) “Public institution of higher education” or “institution” is any public community college, public college, or public university located in the state of Missouri.

(2) An assessment is to be conducted by the department, and the results are to be published on the department’s website.

(3) Following the assessment, any institution entering into or revoking a memorandum of understanding pursuant to section 173.2050, RSMo, is to notify the department within sixty (60) days of such action. The department is to update its website to reflect this change.

History

• AUTHORITY: section 173.2050, RSMo 2016. Original rule filed March 1, 2019, effective Oct. 30, 2019. Original authority: 173.2050, RSMo 2016.

Chapter 17 Technical Standards for Criminal Justice Information Sharing

11 CSR 30-17.010 Definitions and Technical Standards for Information Sharing {#sec-11-csr-30-17.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-17.010}

PURPOSE: This rule defines terms and establishes technical standards for any vendor wishing to sell or lease their information sharing system product(s) in Missouri to a criminal justice agency, as well as establishes requirements for any criminal justice agency building an information sharing system.

(1) Definitions.

(A) Central Vendor File (CVF)—The Criminal Justice Information Services (CJIS)

Systems Agency (CSA) maintains a Central Vendor File (CVF) that contains vendor information for vendors and vendor staff who have met the latest Federal Bureau of Investigation (FBI) CJIS security policy requirements to handle Criminal Justice Information (CJI) and who the Criminal Records and Justice Information Advisory Committee (CRJI- AC) certifies as compliant with the state of Missouri’s information standards contained in this rule. The CVF will contain information about CJI sharing systems that have been certified, and versions of said products, that have been certified.

(B) Criminal justice agency means— 1. Courts; and 2. A governmental agency or any subunit thereof that performs the administration of criminal justice pursuant to a statute or executive order, and that allocates a substantial part of its annual budget to the administration of criminal justice. State and federal inspector general offices are included.

(C) Criminal Justice Information (CJI)— All of the FBI CJIS provided data necessary for law enforcement and civil agencies to perform their missions including, but not limited to; biometric, identity history, biographic, property, and case/incident history data, as defined per the FBI’s Criminal Justice Information Services (CJIS) Security Policy.

(D) Criminal Justice Information Interface (CJI-I)—System interface used for the electronic sharing of CJI or Missouri court data related to the administration of criminal justice as defined in section 43.500, RSMo, or victim notification responsibilities required by section 595.209, RSMo, from a local entity to another local entity, or to a state agency or program, as well as from a state agency or program to a federal agency or program, as defined per the FBI’s Criminal Justice Information Services (CJIS) Security Policy.

(E) Criminal Justice Information Service (CJIS) Criminal Systems Agency (CSA)—An FBI designated agency for the State of Missouri responsible for establishing and administering an information technology security program throughout the CSA’s user community, to include the local levels, as defined per the FBI’s Criminal Justice Information Services (CJIS) Security Policy.

(F) Criminal Records and Justice Information Advisory Committee (CRJIAC)—Committee established pursuant to section 43.518, RSMo, the purpose of which includes recommend policies and strategies, including standards and technology, for promoting electronic justice information sharing, between authorized agencies and institutions. For purposes of this regulation, CRJIAC includes any subcommittee that has been designated by CRJIAC to act on its behalf.

(G) Director—The director of the Department of Public Safety.

(H) Information Sharing System—An agency-wide system that provides for the storage, retrieval, retention, manipulation, archiving, and viewing of information, records, documents, or files pertaining to a criminal justice agency’s administration of criminal justice that uses a Criminal Justice Information Interface.

(I) Missouri Court Data—Data that falls within the rules established by the Missouri Supreme Court for data sharing that apply to state and local courts within Missouri.

(J) Missouri Incident Based Reporting System (MIBRS)—A Missouri program, established pursuant to section 43.505, RSMo that is used by law enforcement to collect and report data on crimes that occur in Missouri for compilation at the state and federal level.

(K) Metadata—Structured information that describes, explains, locates, or otherwise makes it easier to retrieve, use, or manage an information resource. Metadata is commonly referred to as data about data, information about information, or information describing the characteristics of data. Whenever the term “data” is used in this rule, such term includes metadata.

(L) National Incident Based Reporting System (NIBRS)—A national program that is used by law enforcement to collect and report data on crimes to the Federal Bureau of Investigation for compilation at the federal level.

(M) National Identity Exchange Federation (NIEF)—An organization establishing a national standard for securing the sharing of information across diverse organizations and systems.

(N) National Information Exchange Model (NIEM)—A national standard for the efficient sharing of information across diverse organizations and systems.

(O) National Data Exchange (N-DEx)— The unclassified national information sharing system that enables criminal justice agencies to search, link, analyze, and share local, state, tribal, and federal records.

(P) Vendor—Any entity that supplies products or services to a criminal justice agency for a fee.

(2) Technical Standards for Information Sharing.

(A) Vendors seeking to sell or lease, or criminal justice agencies seeking to build, an information sharing system in Missouri shall ensure the information sharing system abides by the standards on file with the CSA for the purposes of contributing to criminal justice information sharing programs, including, but not limited to, MIBRS, NIBRS, and N-DEx.

(B) Any vendor seeking to sell or lease a CJI sharing system to any criminal justice agency located within the state of Missouri, shall provide written notice of this rule within any related marketing materials to such criminal justice agency. Such marketing materials must also state if the information sharing system is listed and approved on the CSA CVF.

(C) Any criminal justice agency contracting with a vendor to develop or operate a CJI interface shall use a vendor on the CSA CVF.

(D) All data associated with an information sharing system shall remain the property of the originating criminal justice agency. Such data shall be returned to the originating criminal justice agency upon the termination of the contract in a format that meets the standards of this rule or as otherwise agreed to in writing by both parties.

(E) No data associated with an information sharing system may be sold, transferred, or shared with a third party without consent from the owner of the data except as otherwise provided by statute. In no event shall any CJI data be transferred to or shared with any entity not eligible to receive such data or metadata pursuant to section 43.500, RSMo, et seq., Code of Federal Regulations (CFR)

Title 28 Part 20 Criminal Justice Information Systems, or any other applicable law.

(F) Adoption of standards for CJI interfaces and CJI sharing.

1. In general, CRJIAC may adopt or recommend to the director the existing national standards for CJI interfaces and CJI sharing, unless a national standard does not exist or the existing national standard deviates from a previously approved state standard. In those cases where a national standard does not exist or CRJIAC determines that the national standard is not aligned with the established state standard, providers shall use the NIEF and NIEM standards for the exchange and securing of CJI.

2. CRJIAC may recommend the standards for CJI interfaces related to those purposes described under subsection (2)(A). The director may adopt the recommended standard, and the CSA shall place the recommended standards on file.

(G) The transfer of CJI from a local entity to a state agency or program or from a state agency or program to a federal agency or program shall comply with standards on file with the CSA.

(H) Vendor CJI system shall be reviewed by CRJIAC and recommended for approval by the director. If approved by the director, a vendor CJI system product shall be placed on the CSA CVF.

(I) If a criminal justice agency has an internally developed or operated information sharing system, any CJI interfaces shall comply with standards on file with the CSA.

(J) Any information sharing system using a CJI interface shall comply with the standards on file with the CSA no later than two (2) years following the effective date of this rule.

(K) CRJIAC may recommend that the director implement a compliance transition period following the adoption of or update to a standard.

(L) This rule shall only apply to CJI interfaces that share CJI in an ongoing or recurring manner and shall not apply to one- (1-) time transfers of information.

(M) CRJIAC may recommend strategies regarding appropriate remedies for vendors selling information sharing systems in Missouri that does not comply with these standards.

(4/30/21) JOHN R. ASHCROFT

History

• AUTHORITY: section 43.509, RSMo Supp. 2020. Original rule filed Sept. 29, 2020, effective May 30, 2021. Original authority: 43.509, RSMo 1986, amended 1994, 1995, 2005, 2018.

Chapter 18 Crime Victim's Compensation

11 CSR 30-18.010 Rules Governing Crime Victims’ Compensation {#sec-11-csr-30-18.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-18.010}

PURPOSE: This rule sets forth requirements for filing and pursuing claims under Chapter 595, RSMo.

(1) Definitions.

(A) All terms in this rule shall have the same meaning as in Chapter 595, RSMo.

(B) A “compensable crime” is the crime that is the subject of a claim for compensation.

(2) Filing of Documents.

(A) Unless otherwise specified in this rule, any document filed with the Crime Victims’ Compensation Program of the Department of Public Safety, Office of the Director (program) is considered filed on the date the document is received by the program.

(B) Documents received by mail are considered filed on the postmark date.

(C) Any document requiring a signature may be signed electronically.

(3) Review of Claims. It is the responsibility of the claimant to prove to the satisfaction of the program that it is more likely than not that the physical, emotional, or mental harm or trauma giving rise to the application, and the expense for which compensation is sought, is caused by a compensable crime under section 595.010.1(5), RSMo, that is the subject of the application.

(4) Supporting Documents.

(A) No compensation may be paid without proper documentation.

(B) Claimants are to produce any document or information requested by the program as necessary to support the claim.

(C) Following the initial filing of a claim, if a claimant fails to provide requested information, the claim may be denied.

(D) In cases involving the death of the victim, the claimant shall submit a death certificate.

(E) Claimants shall promptly provide, in writing, their current contact information, including mailing address, phone number and/or email address to the program. The claimant is responsible for informing the program of any change in contact information.

Failure to do so may result in denial of the claim.

(5) Cooperation. All claimants are to cooperate with the program and its representatives.

Lack of cooperation is grounds for claim denial.

(6) Reduction.

(A) Contributory conduct.

1. If, through consent, provocation, incitement, or negligence, the victim contributed to the infliction of the victim’s injury or death, the claim shall be denied.

2. In order to ensure consistency in awards, no partial reduction in the amount of compensation may be made due to contributory conduct by the victim.

3. Factors to be considered when determining whether a victim contributed to the conduct include, but are not limited to:

A. Whether the victim’s actions directly and substantially caused the offender’s actions;

B. Whether the victim’s misconduct was willfully part of a continuous flow of events leading to the crime and the victim’s involvement was reasonably avoidable;

C. Whether it was reasonably foreseeable that the victim’s actions would cause the offender to inflict an injury on the victim; and D. Whether the victim’s participation in the commission of a potential crime was the result of threat, force, coercion, or control.

4. Determinations regarding contributory conduct shall be made on basis of facts and substantial evidence.

(B) Fundraising and crowdsourcing.

1. Payments made to claimants shall be reduced by any amount received as a result of fundraising on behalf of the victim. Such sources include, but are not limited to, memorial funds, in-person fundraisers, and fundraising from websites such as GoFundMe.

2. In order to determine whether fundraising has been used to pay for otherwise compensable expenses, and thus constitutes a collateral source, the program may request any documentation necessary to determine the extent to which a claimant has received funding from such efforts. If the program cannot establish that the fundraising has paid for otherwise compensable expenses, then no reduction in payments may occur.

(C) Unrelated services. If expenses for services unrelated to a compensable crime are submitted by a claimant, those expenses shall not be reimbursed.

(7) Maximum Award Amounts. Maximum award amounts are set in Chapter 595, RSMo. The following are the current maximum award amounts:

(A) Reasonable and necessary expenses actually incurred for preparation and burial in the event of death, including funeral expenses: five thousand dollars ($5,000);

(B) Actual loss of earnings or support from gainful employment: four hundred dollars ($400) per week;

(C) Attorney fees related to filing of Crime Victims’ Compensation (CVC) application: up to fifteen percent (15%) of total award; and (D) Total for any claim, including funeral expenses, lost earnings, out-of-pocket losses, attorney fees, and all other categories of expenses: twenty-five thousand dollars ($25,000).

(8) Determination of Lost Earnings or Support.

(A) In determining whether to award lost earnings or support to a victim or a dependent of a victim, the program shall consider whether the victim was gainfully employed at the time of the crime.

(B) In order to make this determination, the program may request and consider the following documentation:

1. Documentation of wages, including pay stubs;

2. Federal or state income tax returns, including any forms showing estimated taxes;

3. A document releasing the victim to return to work, signed by a medical provider or a psychiatric treatment or counseling service provider, who treated or examined the victim for injuries caused by a compensable crime; or 4. Any other document that would demonstrate gainful employment.

(C) Lost earnings or support may include compensation in instances where a victim is unable to maintain employment as a result of the crime.

(D) Lost earnings or support may include earnings lost by a claimant as a result of participating in the criminal justice process, such as earnings lost due to meeting with officers or attending or participating in court proceedings.

(9) Determination of Out-of-Pocket Loss.

(A) An “out-of-pocket loss” is an unreimbursed or otherwise unreimbursable expense or indebtedness reasonably incurred. Out-ofpocket loss does not include loss of earnings or support.

(B) The following items are eligible for reimbursement as out-of-pocket loss if incurred as a result of a compensable crime:

1. Temporary lodging.

A. Temporary lodging may be reimbursed when a reasonable claimant would feel fear or apprehension if the claimant were to return to the claimant’s place of residence, and such fear or apprehension is related to a compensable crime.

B. Reimbursement may only be made for actual expenses of up to fourteen (14) days of temporary lodging, incurred at locations open to the general public that generally charge for accommodation. Examples of such locations are hotels; motels; bunkhouses; dormitories; campgrounds; and shortterm rentals in private residences offered through electronic platforms such as Airbnb, HomeAway, or VRBO.

C. No reimbursement may be made for lodging expenses exceeding the rate adopted by the State of Missouri, Office of Administration for state employee travel expenses or the General Services Association’s Continental United States (CONUS) per diem rates, whichever is lower;

2. Replacement costs for clothing and bedding held as evidence;

3. Replacement or repair of locks at the victim’s residence or other involved residence; and 4. Dependent care to allow victims to participate in criminal justice activities or secure medical treatment and rehabilitation services, when such care would not have been incurred but for the compensable crime. The care shall be provided by providers licensed by or registered with the Missouri Department of Health and Senior Services, the Missouri Department of Social Services, or a provider licensed by a similar entity to provide such care in the state in which the service is provided.

(C) The program shall develop a schedule of the amounts that are eligible for reimbursement pursuant to this section. This schedule shall be reviewed and updated at least once per state fiscal year.

(D) The following expenses shall not be allowed as out-of-pocket losses:

1. Pain and suffering;

2. Any expense not reasonably resulting from a compensable crime;

3. Any expense eligible for payment from another payer, such as insurance or other benefit programs, or fundraising or crowdsourcing; and 4. Any expense not listed in subsection (A) of this section.

(E) This section shall apply to any claim regarding a crime committed on or after the effective date of these rules. Claims arising from crimes committed prior to the effective date of this section are ineligible for reimbursement of losses under this section.

(10) Offer of Compensation and Award.

(A) Offer of compensation.

1. An “offer of compensation” or “offer” is notification of a determination as to the claimant’s eligibility for compensation and the anticipated amount of such compensation, if any.

2. Once the program issues an offer, the offer is final.

3. The program may rescind an offer at any time for ineligibility.

4. Acceptance of an offer does not establish a contract between the claimant and the program.

5. The program shall adopt procedures to provide claimants adequate notification of offers and document such notification. Such procedures shall be made publicly available upon request.

(B) Disbursement of award.

1. When disbursing an award, proceeds are applied in the following order:

A. Compensation paid to claimants, in the following order:

(I) Loss of income or support; and (II) Other expenses paid by the claimant; and B. Outstanding crime-related expenses to be paid directly to providers.

(I) The program may prorate the remaining amount of the award among providers after other compensation awarded has been deducted.

(II) If no response is received by the program within thirty (30) days of issuing an offer of compensation, the program may pay expenses compensable under this paragraph. Such expenses shall be debited against the maximum award amount. Once the maximum award amount is reached, no further payment will be made.

2. The program is not bound by any agreements between providers and claimants regarding priority of expenses.

(C) If the victim is legally incompetent, the program may require that a conservatorship be established and the award be delivered to the conservator.

(11) Attorneys.

(A) Claimants may be represented before the program by a licensed attorney. The attorney is to file a notice of appearance.

(B) Completion of the attorney information

section on the Application for Crime Victims’ Compensation form is considered the same as filing a notice of appearance.

(C) If an award of attorney fees is made pursuant to section 595.025.4, RSMo, such fees are considered awarded concurrently with other compensation awarded in the order of priority set in section (9) of this rule. For administrative convenience, the program may choose to pay such compensation in a lump sum at any time prior to closing a claim.

(12) Death of Victim During Claims Process.

If a person eligible for compensation pursuant to section 595.020.1(1) or (2), RSMo, files a claim for compensation and subsequently dies from causes unrelated to the crime, the program shall terminate proceedings on the claim, and no further compensation shall be paid.

(13) Expenses for Victims of Domestic Violence. The program shall consider compensation for victims of domestic violence, as such term is defined in section 455.010, RSMo, with a concern for their safety. No reduction in compensation may occur due to a potential collateral source of payment for expenses when— (A) A claimant has insurance or other similar benefits provided as a result of the claimant’s relationship with the offender (a “shared benefits plan”); and (B) The claimant fears harm if the claimant requests payment of expenses through the shared benefits plan.

(14) Reporting of Crimes. The following terms contained in section 595.030, RSMo, are defined as follows:

(A) “Proper authorities” for reporting purposes are the following:

1. For all offenses: Law enforcement agencies, prosecuting attorneys, the Attorney General’s Office, or courts; or 2. For sexual offenses: Appropriate medical providers, as defined in section 595.220, RSMo.

(B) “Official records” include the following:

1. For all offenses:

A. Records of courts, law enforcement agencies, prosecuting attorneys, or the Attorney General’s Office;

B. Records of the Address Confidentiality Program of the Missouri Secretary of State established pursuant to section 589.663, RSMo; or C. Any other record set forth in section 595.030, RSMo.

2. For sexual offenses: Any record of a medical provider demonstrating that the victim received a forensic examination.

(15) Statutory References. All statutory references in this section are to the Missouri Revised Statutes in effect on the effective date of this regulation. Any reference to a particular statute, regulation, or document shall be deemed to include its successor.

(9/30/21) JOHN R. ASHCROFT

History

• AUTHORITY: section 595.060, RSMo 2016. Original rule filed Feb. 26, 2021, effective Oct. 30, 2021. Original authority: 595.060, RSMo 1981, amended 1993, 1995, 2009, 2014.

11 CSR 30-18.020 Rules Governing Crime Victims’ Compensation Appeals {#sec-11-csr-30-18.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-18.020}

PURPOSE: This rule sets forth requirements for pursuing appeals of determinations of crime victim compensation under Chapter 595, RSMo.

(1) Procedure for Initiating Appeal.

(A) If the claimant disagrees with the decision of the Crime Victims’ Compensation Program (program), the claimant may appeal for an administrative review before the Director of the Department of Public Safety (director) by submitting a request in writing to the program.

(B) The deadline to request an administrative review is thirty (30) days after the date of the letter containing the decision of the program. Any request for administrative review submitted after this date shall be denied as untimely. Administrative reviews denied for this reason may be reinstated for good cause shown by the claimant.

(C) A request for administrative review shall identify the specific reasons why the director should reverse the decision of the program. Requests that do not comply with this requirement shall be denied.

(2) Review by Director.

(A) The director shall review each request for administrative review and determine whether the decision should be affirmed or reversed on the basis of the evidence previously submitted in the case or may take additional evidence in reviewing the decision.

(B) If the director takes additional evidence in reviewing the decision, the director may specifically request such evidence be provided and resolve the administrative review on the basis of that evidence, or the director may set the case for a hearing where additional evidence may be submitted.

(C) The decision of the director is the final decision of the department for purposes of appeal under section 595.036.2, RSMo.

(3) Procedure for Hearings.

(A) Administrative reviews before the director are simple, informal, and summary.

(B) The program may receive as evidence any statements, documents, information, or material that it finds is relevant and of a nature to afford the claimant a fair hearing.

The program may also accept law enforcement reports, hospital records and reports, physicians’ reports, and other documentation as proof of the crime and injuries sustained, without requiring the presence of the investigating officer or attending physician at the administrative review.

(C) If the claimant fails to appear at the scheduled review before the director, the administrative review shall be dismissed.

Administrative reviews dismissed for this reason may be reinstated for good cause shown by the claimant.

(D) Notice of the administrative review sent to a claimant’s attorney at the attorney’s last known address is deemed notice to the party.

(E) Administrative reviews may be heard in person, by phone, video conference, or any other manner approved by the director.

(4) Director’s Designee: Pursuant to section 595.010, RSMo, the director may designate a person to carry out any of the director’s duties in this rule.

History

• AUTHORITY: section 595.060, RSMo 2016. Original rule filed Feb. 26, 2021, effective Oct. 30, 2021. Original authority: 595.060, RSMo 1981, amended 1993, 1995, 2009, 2014.

Chapter 19 Viewing Crime Scene Photographs and Video Recordings

11 CSR 30-19.010 Credentialed Members of the Press Viewing Crime Scene Photographs Video Recordings {#sec-11-csr-30-19.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-19.010}

11 CSR 30-19.010 Credentialed Members of the Press Viewing Crime Scene Photographs and Videos {#sec-11-csr-30-19.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 30-19.010}

PURPOSE: This rule sets forth requirements for credentialed members of the press to view crime scene photographs and video recordings closed under section 610.205, RSMo.

(1) For purposes of this rule a “bona fide credentialed member of the press” is a member of the press who is acting in their capacity as a reporter and who represents a bona fide media organization, which is an organization that has demonstrable editorial oversight, a verifiable street address and telephone number, and has reported on matters of public concern.

(2) Any state or local agency closing crime scene photographs or video recordings pursuant to section 610.205, RSMo, notwithstanding any other provision of law to the contrary, shall make those photographs or video recordings viewable to any bona fide credentialed member of the press within fifteen (15) business days of receipt of a written request to the agency’s custodian of records by the bona fide credentialed member of the press to view the photographs or video recordings. The custodian of records shall attempt to notify the next of kin of the written request for viewing within three (3) days not including the day of receipt.

(3) The viewing shall be in person and consist of the bona fide credentialed member of the press being shown the photographs or video recordings in the presence of a designated member of the agency.

(4) The bona fide credentialed member of the press shall not remove, duplicate, or record—either by audio or video—any material viewed under this rule.

History

• AUTHORITY: section 610.205, RSMo 2016. Original rule filed May 17, 2024, effective Jan. 30, 2025. Original authority: 610.205, RSMo 2016.

Division 40 Division of Fire Safety

Chapter 1 General Organization

11 CSR 40-1.010 Organization and Methods of Operation {#sec-11-csr-40-1.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-1.010}

PURPOSE: This rule describes the organization and methods of operation of the office of the State Fire Marshal.

(1) The Office of the State Fire Marshal was created in 1972 by the 76th General Assembly. With the enactment of the Omnibus State Reorganization Act of 1974, the office was transferred to the Department of Public Safety on July 1, 1974.

(2) The state fire marshal is appointed by the governor, with the advice and consent of the senate. Responsible to the director of public safety, the state fire marshal is charged with the administration and enforcement of sections 320.200–320.270, RSMo.

(3) One function of the office of the Division of Fire Safety is to investigate suspicious fires and explosions and to develop information which will lead to prosecution for criminal fires. This active investigation and prosecution of incendiary fires is aimed at the apprehension of arsonists and the deterrence of other fires.

(4) The office of the Division of Fire Safety is also responsible for maintaining a state fire loss reporting system. This system is based upon reports submitted by each fire department in the state on every incident for which fire department equipment is used. The compiled data is disseminated in an annual report and is valuable in identifying Missouri’s fire prevention programs.

(5) On October 10, 1973, the Bureau of Safety and Fire Prevention was transferred from the Department of Public Health and Welfare to the office of the Division of Fire Safety. The transfer made the state fire marshal responsible for assisting institutional fire and safety supervisors in the review of building plans for fire prevention features and for providing technical assistance in the preparation of rules pertaining to fire prevention.

(6) The Division of Fire Safety is also responsible for fire safety inspections for the Divisions of Family Services and Mental Health and it serves in an advisory capacity for the Division of Aging. This data also appears in the annual report.

(7) The division, charged on September 28, 1985, with the regulation of fireworks manufacturing and sales in Missouri, now regulates all licensing and enforcement of the fireworks industry.

(8) On November 12, 1986, enforcement of Boilers & Pressure Vessels Act began. The Division of Fire Safety conducts safety inspections and certification of boiler and pressure vessels.

(9) On August 28, 1993, the division was authorized by sections 292.600–292.625, RSMo to administer the Emergency Planning and Community Right-to-Know Act. This act which also creates the Missouri Emergency Response Commission (MERC) sets up a framework for local government to better prepare for hazardous chemical emergencies.

(10) Any person desiring information or assistance on any matter falling within the scope of the office of the Division of Fire Safety should contact the Division of Fire Safety, P.O. Box 844, 301 W. High, Harry S Truman State Office Building, Jefferson City, MO 65102, (314) 751-2930.

Filed Nov. 5, 1993, effective June 6, 1994. *Original authority: 536.023, RSMo 1975, amended 1976.

MATTBLUNT(12/31/01)

History

• AUTHORITY: section 536.023, RSMo 1986. Original rule filed Dec. 31, 1975, effective Jan. 10, 1976. Amended: Filed June 2, 1977, effective Dec. 15, 1977. Amended: Filed Nov. 16, 1988, effective Feb. 24, 1989. Amended:

Chapter 2 Boiler and Pressure Vessel Safety Rules

11 CSR 40-2.062 Second-Hand and Reinstalled Used Boilers, Water Heaters and {#sec-11-csr-40-2.062 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-2.062}

11 CSR 40-2.010 Definitions {#sec-11-csr-40-2.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-2.010}

PURPOSE: This rule formulates definitions concerning boilers, water heaters, and pressure vessels in Missouri.

(1) Act—The Boiler and Pressure Vessel Safety Act which was enacted as sections 650.200–650.295, RSMo.

(2) ASME Code—The American Society of Mechanical Engineers International (ASME) Boiler and Pressure Vessel Code, including Code Cases and interpretations as made, approved, and adopted by the Council of the Society and approved and adopted by the board. Copies of the code may be obtained from the ASME at Three Park Ave., New York, NY 10016-5990.

(3) Alteration—Any change in the item described on the original manufacturer’s data report which affects the pressure containing capability of the pressure retaining item. Nonphysical changes such as an increase in the maximum allowable working pressure (internal or external), increase in design pressure, or a reduction in minimum temperature of a pressure retaining item.

(4) API Code—The edition and addenda of ANSI/API Std-510 as published by the American Petroleum Institute and adopted by the board.

(5) Approved—Approved by the Board of Boiler and Pressure Vessel Rules.

(6) Board—The Board of Boiler and Pressure Vessel Rules created by the Act and empowered to interpret the Act and to make, alter, amend, and interpret the rules for the safe construction, installation, inspection, alteration, and repair of boilers and pressure vessels.

(7) Boiler—A pressurized vessel in which water is heated, steam is generated, steam is superheated, or any combination of these, under pressure or vacuum by the direct application of heat.

The term boiler includes fired units for heating or vaporizing liquids other than water where these units are separate from processing systems and complete within themselves.

(8) Certificate of competency—A certificate issued to a person who has passed the examination(s) and met the experience requirements prescribed.

(9) Certificate inspection—An inspection, the report of which is used by the chief inspector as justification for issuing, withholding, or suspending the Inspection Certificate.

(A) Internal inspection—As complete an examination as can reasonably be made of the internal areas, including the wetted surfaces, and external surfaces of a boiler or pressure vessel while it is not in operation.

(B) External inspection—An inspection performed on the external surfaces of a boiler or pressure vessel including all fittings and appliances.

(10) Chief inspector—The chief boiler and pressure vessel inspector appointed by the director under the provisions of this Act.

(11) CSD-1—Standard for Control and Safety Devices for Automatically Fired Boilers published by the American Society for Mechanical Engineers (ASME).

(12) Deputy inspector—Any inspector appointed and employed by the director under the provisions of this Act.

(13) Director—The state fire marshal or appointed designee.

(14) Emergency installation—The unplanned replacement of a boiler, water heater, pool heater, or pressure vessel due to failure.

(15) Existing installation—Includes any boiler, water heater, or pressure vessel constructed, installed, placed in operation, or under contract on or before November 12, 1986.

(16) Fittings and appliances—Include but not limited to pressure relief devices, low water protection, pressure controls, temperature controls, thermometers, gages, expansion tanks, pipe, pipe fittings, pipe valves, etc., within the scope of the Act and these rules.

(17) Hobby boiler—A boiler operated as a personal hobby and not used for commercial gain.

(18) Hot water heating boiler—A boiler in which no steam is generated, from which hot water is circulated for heating purposes and then returned to the boiler, and which operates at a pressure not exceeding one hundred sixty (160) pounds per square inch (psi) and/or a temperature of two hundred fifty degrees Fahrenheit (250 °F) at or near the boiler outlet.

(19) Hot water supply boiler—A boiler completely filled with water that furnishes hot water to be used externally to itself at pressures not exceeding one hundred sixty (160) psi or at temperatures not exceeding two hundred fifty degrees Fahrenheit (250 °F) at or near the boiler outlet.

(20) Inspection certificate—A certificate issued by the chief inspector for the operation of a boiler, water heater, or pressure vessel as required by the Act and these rules.

(21) Inspector—The chief inspector, deputy inspector, special inspector, or owner-user inspector authorized to perform certificate inspections in Missouri.

(22) Installation site—The physical location where one (1) or more boilers, water heaters, pressure vessels, or a combination thereof are located. Examples of installation sites include but are not limited to a single boiler room in a building, a single process building, a single laboratory building, or a central utility building.

(23) Installer—The organization responsible for the installation of a boiler, water heater, or pressure vessel, including any associated control systems and protective equipment.

(24) International Mechanical Code—International Code Council, Inc.

(25) Fired jacketed steam kettle—A gas-fired or electrically heated kettle with jacket(s), operating at pressure not exceeding fifty (50) psi.

(26) Labeled—Equipment or materials to which the label of a nationally recognized testing agency, such as Underwriters Laboratory (UL) or Factory Mutual (FM), has been applied.

Application of the label indicates compliance with the agency’s standards.

(27) Listed—Equipment or materials which are included on a list published by a nationally recognized testing agency, such as Underwriters Laboratory (UL) or Factory Mutual (FM). Listing indicates compliance with nationally recognized standards.

(28) MAWP—Maximum allowable working pressure.

(29) National Board (NB)—The National Board of Boiler and Pressure Vessel Inspectors.

(30) National Board Commission—The commission issued to an inspector by the National Board of Boiler and Pressure Vessel Inspectors.

(31) National Board Inspection Code (NBIC)—The edition and addenda of ANSI/NB-23 currently adopted by the board.

(32) New installation—Includes all boilers, water heaters, or pressure vessels constructed, installed, placed in operation, or under contract on or after November 12, 1986.

(33) Nonstandard boiler, water heater, or pressure vessel—A boiler, water heater, or pressure vessel that does not bear the ASME stamp.

(34) Object—A boiler, water heater, or pressure vessel.

(35) Owner or user—Any person, firm, or corporation legally responsible for the safe installation, operation, and maintenance of any boiler, water heater, or pressure vessel within the state of Missouri.

(36) Plans—Drawings, specifications, schematics, etc., acceptable to the chief inspector and suitable for determining if the installation meets the requirements of the statute and these (37) Pool heater—An appliance designed for heating nonpotable water stored at atmospheric pressure, such as water in swimming pools, spas, hot tubs, and similar applications.

(38) Power boiler—A boiler in which steam or other vapor is generated at a pressure of more than fifteen (15) psi for use external to itself or a water (or other liquid) boiler intended for operation at pressures in excess of one hundred sixty (160) psi and/or temperatures in excess of two hundred fifty degrees Fahrenheit (250 °F).

(39) Pressure vessel—A vessel in which the pressure is obtained from an external source or by the application of heat from an indirect source, other than those vessels defined as boilers.

(40) Reinstalled boiler, water heater, or pressure vessel—A boiler, water heater, or pressure vessel removed from its original setting and reinstalled at the same location or at a new location without change of ownership.

(41) Repair—The process of restoring a component or system to a safe and satisfactory condition such that the existing design conditions are met.

(42) Replacement—The removal of an existing boiler, water heater, or pressure vessel and installation of a new secondhand or re-installed boiler, water heater, or pressure vessel.

(43) Second-hand boiler, water heater, or pressure vessel—A boiler, water heater, or pressure vessel which has changed both location and ownership.

(44) Special inspector—Any inspector commissioned by the chief inspector who is employed by an insurance company authorized to provide boiler and pressure vessel insurance in this state or an inspector who is employed by a company that maintains an inspection department whose organization and inspection procedures meet the requirements of the National Board for an Owner-User Inspection Agency and are acceptable to the chief inspector.

(45) Standard boiler, water heater, or pressure vessel—A boiler, water heater, or pressure vessel that bears the ASME stamp.

(46) State special—A boiler, water heater, or pressure vessel of special construction, or which is designed or constructed to other than the ASME Code and is not inconsistent with the spirit and safety objectives of the ASME Code.

(47) Steam heating boiler—A steam or vapor boiler operating at pressures not exceeding fifteen (15) psi.

(48) Waste heat boiler—A boiler that has, as its principal source of thermal energy, a hot gas stream from the exhaust of a gas turbine or internal combustion engine.

(49) Water heater—A fired, pressurized vessel in which water is heated by electricity, or by the combustion of solid, liquid, or gaseous fuels and withdrawn for use external to the heater at pressures not exceeding one hundred sixty (160) psi and temperatures not exceeding two hundred ten degrees Fahrenheit (210 °F). Water heaters include service water heaters, domestic water heaters, potable water heaters, and car wash hot water supply boilers. The term “water heater” does not include vessels used solely for closed loop hot water heating service.

(50) Variance—An exception to the Act or these rules authorized by the board for the installation, inspection, repair, or alteration of a boiler, water heater, or pressure vessel. 12, 1986, effective Oct. 27, 1986. Amended: Filed Oct. 3, 1995, effective April 30, 1996. Rescinded: Filed March 10, 2003, effective Aug. 30, 2003. Readopted: Filed Sept. 25, 2002, effective May 30, 2003.

Amended: Filed Jan. 12, 2006, effective June 30, 2006. Amended:

Filed March 23, 2006, effective Dec. 30, 2006. Amended: Filed June

11 CSR 40-2.015 Code/Standards Adopted by Board {#sec-11-csr-40-2.015 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-2.015}

PURPOSE: This rule identifies the codes/standards applicable and adopted by the board.

PUBLISHER’S NOTE: The secretary of state has determined that the publication of the entire text of the material which is incorporated by reference as a portion of this rule would be unduly cumbersome or expensive. This material as incorporated by reference in this

rule shall be maintained by the agency at its headquarters and shall be made available to the public for inspection and copying at no more than the actual cost of reproduction. This note applies only to the reference material. The entire text of the rule is printed here.

(1) ASME Boiler and Pressure Vessel Code of the American Society of Mechanical Engineers is hereby incorporated by reference in this rule. ASME Boiler and Pressure Vessel Code is published by the American Society of Mechanical Engineers. A copy of this code can be obtained from The American Society of Mechanical Engineers, Three Park Ave, New York, NY 10015- 5990 or Internet: www.asme.org, Phone: 1 (800) 843-2763. This to the ASME Boiler and Pressure Vessel Code:

(A) 2019 ASME Boiler and Pressure Vessel Code; and (B) Sections III and XI are exempt from state regulation.

(2) National Board Inspection Code (ANSI/nb23) is hereby incorporated by reference in this rule. The National Board Inspection Code is published by The National Board. A copy of this code may be obtained from The National Board, 1055 Crupper Ave, Columbus, OH 43229-1183 or Internet: www. nationalboard.org, Phone: (614) 888-8320. This regulation does not include any later amendments or additions to the National Board Inspection Code. NB-23—Manual for Boiler and Pressure Vessel Inspectors:

(A) 2019 Edition; Parts 1, 2, and 3, with Part 2 being permissive.

(3) ASME Code for Power Piping, B31.1 of the American Society of Mechanical Engineers. ASME Boiler and Pressure Vessel Code is hereby incorporated by reference in this rule. It is published by the American Society of Mechanical Engineers. A copy of this code can be obtained from The American Society of Mechanical Engineers, Three Park Ave, New York, NY 10015- 5990 or Internet: www.asme.org, Phone: 1 (800) 843-2763. This to the ASME Boiler and Pressure Vessel Code.

(A) 2018 Edition.

(B) Adopted for Boiler Proper and Boiler External Piping only; requirements for Non-Boiler External Piping and Joint (NBEP) as defined in B31.1, 2018 Edition are permissive.

(4) Code for Controls and Safety Devices for Automatically Fired Boilers CSD-1-2018 Edition of the American Society of Mechanical Engineers. The Code for Controls and Safety Devices for Automatically Fired Boilers CSD-1-2018 edition is hereby incorporated by reference in this rule. It is published by the American Society of Mechanical Engineers. A copy of this code may be obtained from The American Society of Mechanical Engineers, Three Park Ave, New York, NY 10015-5990 or Internet: www.asme.org, Phone: 1 (800) 843-2763. This regulation does not include any later amendments or additions to the Code for Controls and Safety Devices for Automatically Fired Boilers CSD- 1-2018.

(A) With part CM being permissive.

(5) NFPA 85, Boiler and Combustion Systems Hazards Code, 2019 Edition. The Boiler and Combustion Systems Hazards Code NFPA 85, 2019 Edition is hereby incorporated by reference in this rule.

It is published by the National Fire Protection Agency. A copy of this code may be obtained from National Fire Protection Agency, 1 Batterymarch Park, Quincy, MA 02169-7471, Internet: www.nfpa.org, Phone: 1 (617) 770-3000. This regulation does not include any later amendments or additions to the Boiler and Combustion Systems Hazards Code NFPA 85, 2019 Edition.

(6) NFPA 54, National Fuel Gas Code (ANSI Z221.1-2006), 2018 Edition. The National Fuel Gas Code NFPA 54, 2015 Edition is hereby incorporated by reference in this rule. It is published by the National Fire Protection Agency. A copy of this code may be obtained from National Fire Protection Agency, 1 Batterymarch Park, Quincy, MA 02169-7471, Internet: www.nfpa.org, Phone: 1 (617) 770-3000. This regulation does not include any later amendments or additions to the National Fuel Gas Code NFPA 54, 2018 Edition.

(7) Pressure Vessel Inspection Code, API-510 of the American Petroleum Institute, 2014 Edition is hereby incorporated by reference in this rule. The American Petroleum Institute 510 is published by the American Petroleum Institute. A copy of this code may be obtained from The American Petroleum Institute, 1220 L Street NW, Washington, DC 20005-4070, Internet: http:// api-ec.api.org/frontpage.cfm, Phone: (202) 682-8000. This to the American Petroleum Institute 510.

(8) American National Standard/CSA Standard For Gas-Fired Pool Heaters (ANSI Z21.56-2006/CSA 4.7-2013) is hereby incorporated by reference in this rule. A copy of this standard may be obtained from CSA America, 8501 East Pleasant Valley Road, Cleveland, OH 44131-5575, Internet: www.csa-america.org, Phone: (216) 524-4990. This regulation does not include any later amendments or additions to the Standard for Gas-Fired Pool Heaters, 2013 Edition.

(9) American National Standard/CSA Standard for Gas Water Heaters (ANSI Z21.10.3-2015/CSA 4.3-2015) is hereby incorporated by reference in this rule. A copy of this standard may be obtained from CSA America, 8501 East Pleasant Valley Road, Cleveland, OH 44131-5575, Internet: www.csa-america.org, Phone: (216) 524-4990. This regulation does not include any later amendments or additions to the Standard for Gas Water Heaters, 2015 Edition.

(10) NFPA 31-Standard for Installation of Oil-Burning Equipment, 2016 Edition is hereby incorporated by reference in this rule.

The Standard for Installation of Oil-Burning Equipment is published by the National Fire Protection Agency. A copy of this code may be obtained from National Fire Protection Agency, 1 Batterymarch Park, Quincy, MA 02169-7471, Internet: www.nfpa.org, Phone: (617) 770-3000. This regulation does not include any later amendments or additions to the Standard for Installation of Oil-Burning Equipment, 2016 Edition.

(11) ASME PVHO-1-2016, Safety Standard for Pressure Vessels for Human Occupancy is hereby incorporated by reference in this

rule. A copy of this code can be obtained from The American Society of Mechanical Engineers, Three Park Ave, New York, NY 10015-5990 or Internet: www.asme.org, Phone: 1 (800) 843- 2763. This regulation does not include any later amendments or additions to the ASME Safety Standard for Pressure Vessels for Human Occupancy, 2016 Edition.

(12) NFPA 57—Liquefied Natural Gas (LNG) Vehicular Fuel Systems Code, 2002 Edition is hereby incorporated by reference in this

rule. The Liquefied Natural Gas Vehicular Fuel Systems Code is published by the National Fire Protection Agency. A copy of this standard may be obtained from NFPA, 1 Batterymarch Park, Quincy, Massachusetts 02169. This regulation does not include any later amendments or additions to The Liquefied Natural Gas (LNG) Vehicular Fuel Systems Code, 2002 Edition.

History

• AUTHORITY: section 650.215, RSMo 2016. Original rule filed Sept. 25, 2002, effective May 30, 2003. Amended: Filed Jan. 12, 2006, effective June 30, 2006. Amended: Filed June 30, 2009, effective Feb. 28, 2010. Amended: Filed Oct. 16, 2019, effective April 30, 2020.

11 CSR 40-2.020 Administration {#sec-11-csr-40-2.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-2.020}

(Rescinded August 30, 2003)

Amended: Filed March 15, 1999, effective Sept. 30, 1999. Rescinded:

Filed March 10, 2003, effective Aug. 30, 2003.

History

• AUTHORITY: section 650.215, RSMo 1998. Original rule filed May 12, 1986, effective Oct. 27, 1986. Amended: Filed Dec. 1, 1987, effective Feb. 11, 1988. Amended: Filed Sept. 27, 1990, effective Feb. 14, 1991. Amended: Filed Oct. 3, 1995, effective April 30, 1996.

11 CSR 40-2.021 Inspector/Qualifications/Examinations/ Responsibilities {#sec-11-csr-40-2.021 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-2.021}

PURPOSE: This rule addresses the qualifications and responsibilities of boiler, water heater and pressure vessel inspectors.

(1) As used in this rule, the term “these rules” is intended to (2) Identification Card Issued by Chief Inspector.

(A) Each deputy and special inspector engaged in the inspection of boilers, water heaters or pressure vessels shall obtain an identification card prior to performing any inspection.

(B) An identification card is valid until December 31 of the year in which it is issued and must be renewed annually.

Requests for renewal shall be submitted in writing to the chief inspector prior to the expiration date.

(C) An initial identification card may be obtained from the chief inspector after passing the required examination(s) and payment of fees. An examination is not required for renewal.

(D) Each applicant for an initial identification card shall submit a written application and the required fee to the chief inspector at least thirty (30) days prior to the next scheduled examination, on forms furnished by the chief inspector, stating the applicant’s education and work experience, including the names of current and previous employers, length of time employed by each employer and position held. The applicant shall also submit a copy of a photo identification card from the employer or a copy of a valid photo identification driver’s license and a copy of the applicant’s most recent national board commission.

(E) An applicant shall have education and experience equal to at least one (1) of the following:

1. A degree in mechanical engineering plus one (1) year of experience in design, construction, operation or inspection of boilers or pressure vessels; or 2. A degree in a branch of engineering, other than mechanical engineering or an associates degree in mechanical technology plus two (2) years of experience in design, construction, operation or inspection of boiler or pressure vessels; or 3. The equivalent of a high school education plus three (3) years of experience— A. In boiler or pressure vessel construction or repair; or B. As an operating engineer in charge of high pressure boiler operation; or C. As an inspector of boilers or pressure vessels; or 4. A valid commission from the national board.

(F) Applicants whose education and work experience are acceptable to the chief inspector will be permitted to take a two (2)-part written examination. Part 1 of the examination will test the applicant’s knowledge of the ASME Code. Part 2 of the examination will test the applicant’s knowledge of the Missouri Boiler and Pressure Vessel Act (Act) and these rules. An applicant must pass both parts of the examination. Part 1 of the examination may be waived by the chief inspector for those applicants who have a valid national board commission.

(G) Upon completing the requirements of this rule and payment of the required fees, an identification card will be issued.

(H) An identification card shall be invalid when the inspector to whom it was issued is no longer employed by the organization shown on the identification card. Within thirty (30) days of termination of employment, the inspector shall return their identification card to the chief inspector. A new identification card will not be issued until the previous identification card is returned.

(I) After due investigation, an identification card may be suspended for cause by the chief inspector at the recommendation of the board. Cause for suspension may include but is not limited to neglect of duty, untrustworthiness, conflict of interest, or willful falsification of information on a report of inspection or an application for an identification card.

Falsification of information on a report may include, but is not limited to the omission of material information that would affect the issuance or non-issuance of an inspection certificate.

(3) Inspector’s Responsibilities.

(A) The inspector is responsible for:

1. Performing a complete and thorough inspection of each object in accordance with the Act and these rules;

2. Submitting inspection reports in accordance with the requirements of these rules and reporting any condition that is not in accordance with the Act or these rules;

3. Notifying the chief inspector of a boiler, water heater, or pressure vessel failure or of an injury or fatality involving a boiler, water heater, or pressure vessel incident in a timely manner; and 4. Advising owner/users of the requirements of the Act and these rules;

(B) The inspector shall not receive reimbursement for operating or servicing any boiler, water heater or pressure vessel in Missouri or engaging in:

1. The sale, manufacture or repair of any boiler, water heater or pressure vessel; or 2. The sale of any chemical, service, article or device relating to boilers, water heaters or pressure vessels or their appurtenances.

11 CSR 40-2.022 Certificates, Inspections, and Fees {#sec-11-csr-40-2.022 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-2.022}

PURPOSE: This rule addresses the tagging, frequency of inspection, inspection reports, and fees for inspection of objects that are included in the Boiler and Pressure Vessel Safety Act (Act) and these (1) As used in this rule, the term “these rules” is intended to (2) Initial Inspection and Tagging an Object.

(A) Upon completion of the installation of a boiler, water heater, pool heater, or pressure vessel, or at the time of the initial certificate inspection, each object shall be stamped or tagged with a unique serial number issued by the state. The stamping will consist of letters and figures to be not less than five-sixteenths inch (5/16") in height and arranged as follows:

MO 123456

Alternatively, a metal tag issued by the chief inspector may be securely affixed using screws, rivets, wire, or other means so that the tag cannot be easily removed. The “MO” number or metal tag (not less than one inch by four inches (1" × 4") in size) shall have the serial number of the state stamped on it and may not be transferred to any other object. The tag or stamping shall be readily visible and placed as close to the ASME nameplate as practical. The tag shall preferably be attached directly to the object.

(B) It is the responsibility of the special inspector and the owner, to report untagged boilers, water heaters, and pressure vessels that fall under this Act and these rules, to the chief inspector.

(C) When an object is inactivated or scrapped, the tag shall be bent in half and shall remain with the object. The inspector shall submit an inspection report to the chief inspector indicating the new status.

(3) Frequency of Inspection of Power Boilers.

(A) Power boilers shall receive a certificate inspection annually, which shall be an internal inspection where construction permits; otherwise it shall be as complete an inspection as possible while the boiler is in operation. Boilers shall also be annually inspected externally while under normal operating conditions.

(B) Coil-type steam generators that do not have inspection openings, hot liquid (other than water) boilers, and waste heat boilers (with welded closure heads) need not be internally inspected. However, they shall be annually inspected externally while in operation. The inspector may mandate an internal inspection if the inspector feels it is necessary.

(C) Any single power boiler used to generate more than four hundred thousand pounds per hour (400,000 lbs/hr) is required to be internally inspected every two (2) years provided the following is verified by the inspector annually and reported to the chief inspector:

1. Full-time operators attend the boiler;

2. Chemical water analysis is monitored and documented at least weekly by a competent individual when the boiler is in operation and at least quarterly if the boiler is not in operation;

3. All welding of pressure parts and welding to pressure parts shall be in accordance with the National Board Inspection Code (NBIC) and these rules;

4. An inspector shall perform an external inspection, annually, while the boiler is in operation. A report of all inspections must be submitted to the chief inspector. All inspections shall verify compliance with subsection (3)(C) of this rule.

(4) Frequency of inspection of heating boilers, water heaters, pool heaters, and fired jacketed steam kettles.

(A) Steam heating boilers shall be inspected every two (2) years. The certificate inspection shall be an internal inspection where construction permits; otherwise the inspection shall be as complete as possible while the boiler is in operation.

(B) Hot water heating boilers and fired jacketed steam kettles shall be inspected every two (2) years.

1. Hot water heating and hot water supply boilers over thirty (30) years old shall be internally inspected every two (2) years where construction permits, otherwise the inspection shall be as complete as possible while the boiler is in operation.

2. Hot water heating and hot water supply boilers that are not over thirty (30) years old shall be externally inspected every two (2) years. The inspector may mandate an internal inspection if the inspector feels it is necessary.

3. Water heaters, pool heaters, and fired jacketed steam kettles shall be externally inspected every two (2) years.

(C) Exemptions from Internal Inspections.

1. Coil-type steam generators that do not have inspection openings, hot liquid (other than water) boilers, and waste heat boilers (with welded closure heads) need not be internally inspected. However, they shall be biennially inspected externally while in operation. The inspector may mandate an internal inspection if the inspector feels it is necessary.

(5) Frequency of Inspection of Pressure Vessels.

(A) Pressure vessels shall receive a certificate inspection every two (2) years. This inspection shall be an external inspection.

The inspector may mandate an internal inspection if the inspector feels it is necessary.

(6) Variations in Inspection Frequency.

(A) Based upon documentation of actual service conditions, the chief inspector, at his discretion, may permit variations in the inspection frequency requirements as provided in the Act and these rules.

(7) Access and Scheduling of Inspections.

(A) The owner or user of a boiler, water heater, or pressure vessel shall provide the inspector access, during reasonable working hours, to perform a certificate inspection or to determine whether a boiler, water heater, or pressure vessel subject to inspection under the statute exists at the location.

Boilers, water heaters, and pressure vessels that are subject to inspection and have not been previously inspected shall be inspected immediately or at a time mutually agreeable to the owner and the inspector, within twenty- (20-) working days.

(B) The inspector shall make every effort to perform the certificate inspection prior to the expiration date of the certificate. When this is not possible, the inspector has a thirty (30)-calendar day grace period past the expiration date in which to perform the inspection. Inspection reports shall be submitted to the chief inspector within thirty- (30)-calendar days of the inspection.

(C) External inspections may be performed by the inspector without prior notification to the owner or user. The inspector may require additional tests or inspections including an internal inspection when, in the inspector’s judgment, continued operation of the boiler, water heater, or pressure vessel constitutes a menace to public safety. The owner or user, at his expense, shall prepare the boiler, water heater, or pressure vessel for the inspections or tests required by the inspector.

(D) Internal inspections shall be scheduled at a time mutually agreeable to the inspector and the owner or user. The owner or user shall bear all inspection preparation and restoration cost associated with inspection.

(8) Preparation for Inspection. The owner or user shall prepare each boiler, water heater, and pressure vessel for inspection.

(A) Preparation for internal inspection shall be as follows:

1. Water shall be drawn off and the boiler washed thoroughly;

2. Manhole and handhole plates, washout plugs, and inspection plugs in water column connections shall be removed as required by the inspector. The furnace and combustion chambers shall be cooled and thoroughly cleaned;

3. All grates of internally fired boilers shall be removed as required by the inspector;

4. Insulation or brickwork shall be removed or opened as required by the inspector to determine the condition of the boiler, headers, furnace, supports, or other parts;

5. Burners shall be removed, if necessary, to inspect the external firebox areas;

6. The pressure gage shall be removed for testing if required by the inspector;

7. All low water fuel cut off devices shall be removed from the boiler or disassembled to the satisfaction of the inspector;

8. Any leakage of steam or hot water into the boiler shall be prevented by disconnecting the pipe or valve at the most convenient point or any other appropriate means approved by the inspector;

9. Before opening the manhole or handhole covers and entering any part of the steam generating unit connected to a common header with other boilers, the nonreturn and steam stop valves must be closed, tagged, and padlocked.

The drain valves or cocks between the two (2) steam valves shall be opened. The feed valves must be closed, tagged, and padlocked and drain valves or cocks located between the two (2) valves opened. After draining the boiler, the blow off valves shall be closed, tagged, and padlocked. Blow off lines, where practicable, shall be disconnected between pressure parts and valves. All drains and vent lines shall be opened; and 10. Steam drums shall have all trays and other attachments removed to the extent required by the inspector.

(B) Preparation for external inspection shall be as required by the inspector.

(C) If a boiler, water heater, or pressure vessel has not been properly prepared for an internal inspection, the inspector may decline to make the inspection. The inspection certificate shall be voided or not renewed until the owner or user complies with the requirements. The owner or user shall provide at least twenty-four (24)-hour notice if it is necessary to cancel a prearranged internal inspection with a deputy inspector or the chief inspector. Failure to provide such notice or failure to properly prepare the boiler, water heater, or pressure vessel for inspection may result in the assessment of an hourly fee for travel time plus expenses and mileage in addition to the inspection fee and inspection certificate fee as listed in this

rule.

(D) Removal of Covering to Permit Inspection. Sufficient jacketing or other form of casing or housing shall be removed to permit reasonable inspection of the object.

(E) If additional tests are required by the inspector, such tests shall be scheduled by the owner or user at the owner or user’s expense. Pressure test shall not exceed the maximum allowable working pressure (MAWP) unless acceptable to the owner or user, and the inspector.

(9) Inspection Reports.

(A) Inspectors shall submit to the chief inspector an inspection report on the Missouri Boiler and Pressure Vessel website or by electronic interface in a format acceptable to the board for each boiler, water heater, pool heater, and pressure vessel subject to inspection in this state. Complete data and calculations that may be required by these rules shall be submitted for each nonstandard boiler, water heater, or pressure vessel when it is first tagged or stamped with a state number.

(B) Inspection reports shall be submitted within thirty- (30-) calendar days from the date of inspection.

(10) Insurance Companies to Notify Chief Inspector of New, Cancelled, or Suspended Insurance on Boilers, Water Heaters, or Pressure Vessels.

(A) All insurance companies shall notify the chief inspector, within thirty- (30-) calendar days of all boilers, water heaters, or pressure vessels on which insurance is written, cancelled, or not renewed. When an insurance company suspends coverage due to an unsafe condition, the chief inspector shall be notified within seven- (7-) calendar days. All notices shall reference each object by the Missouri identification number.

(11) Owner or User to Notify Chief Inspector of Accident.

(A) When an accident occurs to a boiler, water heater, or pressure vessel, the owner or user shall promptly notify the chief inspector by submitting a detailed report of the accident.

In the event of an injury, fatality, or any explosion, notice shall be given immediately to the chief inspector.

(12) Validity of Inspection Certificate.

(A) An inspection certificate shall be valid until expiration unless some defect or condition affecting the safety of the boiler, water heater, or pressure vessel is disclosed or the installation is altered to make it in noncompliance with the Act or these rules. The inspection certificate expires when a boiler, water heater, or pressure vessel is moved to another location or is reinstalled.

(13) Issuance of Certificates.

(A) Upon completion of a satisfactory inspection, an inspection certificate shall be issued for each boiler, water heater, or pressure vessel conforming to these rules following payment of the required fees by the owner or user. When conflict exists between the owner and user concerning the repairs or payment of fees for any object, the owner is ultimately responsible for the payment of fees and/or repairs.

Payment shall be made payable to the Division of Fire Safety.

(14) Fee Schedule.

(A) Inspections by the chief inspector or deputy inspector shall be paid in accordance with the fee schedule below. These inspection fees are in addition to the inspection certificate fee.

1. Power Boilers— A. Internal inspections— 4,000 lbs/hr capacity or less $125 Over 4,000 lbs/hr up to 16,000 lbs/hr $150 16,000 lbs/hr or greater $195 B. External inspections— 4,000 lbs/hr capacity or less $85 Over 4,000 lbs/hr $110 2. Heating Boilers, Water Heaters, Pool Heaters, and Fired Vessels— A. Internal inspections— 4,000 lbs/hr capacity or less $85 Greater than 4,000 lbs/hr $95 B. External inspections— Hot water heating boilers, hot water supply boilers, pool heaters, circulating water heaters, and steam heating boilers less than or equal to 15 psi $70 Fired storage water heaters and fired jacketed steam kettles $60 3. Pressure Vessels— A. 1,000 cu. ft. (7,500 gal.) or less in volume $50 B. Over 1,000 cu. ft. (7,500 gal.) in volume $60 C. Internal inspection requiring entry $70 D. No more than one hundred twenty dollars ($120) shall be charged for any one (1) pressure vessel, except inspection under subparagraph (14)(A)3.C. and paragraph (14)(B)7., in any one (1) year for a routine certificate inspection.

(B) Miscellaneous fees.

1. Examination fees $70 2. Commissions A. New issuance $45 B. Renewal (commission previous year) $35 3. Inspection certificate $40 4. Reprint for each certificate/Change of certificate name for each $30 5. Accreditation reviews— ASME and National Board $1,040 plus expenses 6. Hourly rates:

A. Each hour or part thereof up to eight hours $100 B. Each hour or part thereof over eight hours in any one (1) day $115 7. Reinspection fee for improperly prepared object hourly rate plus expenses (15) Refusal to Permit Inspection or Pay Fees.

(A) If the owner or user of a boiler, water heater, or pressure vessel refuses to allow an inspection to be made, or refuses to pay the fee stipulated, a new inspection certificate shall not be issued.

(16) Posting of Inspection Certificate.

(A) It is the owner or user’s responsibility to assure a valid inspection certificate is posted at the location of the object.

(17) Operation Without a Valid Inspection Certificate.

(A) The owner or user who causes or permits operation of a boiler or pressure vessel without a valid inspection certificate shall be subject to the penalties as provided for in the Act.

Filed June 30, 2009, effective Feb. 28, 2010. Amended: Filed Dec. 12, 2022, effective June 30, 2023. *Original authority: 650.215, RSMo 1984, amended 1990, 1993, 1995. 650.275, RSMo 1984, amened 1990; and 650.277, RSMo 2002.

History

• AUTHORITY: sections 650.215, 650.275, and 650.277, RSMo 2016. Original rule filed Sept. 25, 2002, effective May 30, 2003. Amended:

11 CSR 40-2.025 Installation Permits {#sec-11-csr-40-2.025 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-2.025}

PURPOSE: This rule addresses the application requirement, issuing of permits and installation inspections for the repair, replacement, or new installation of objects that are subject to the Act and these (1) As used in this rule, the term “these rules” is intended to (2) Effective January 1, 2007, an installation permit shall be obtained by the installer from the Division of Fire Safety, Boiler and Pressure Vessel Unit before the start of work for each new, second hand, or reinstalled boiler, water heater or pressure vessel. Replacement or relocation of an existing boiler, water heater, or pressure vessel shall be permitted as a new installation. The requirement to obtain an installation permit prior to the start of work is waived for an emergency replacement upon notification to the chief inspector.

(3) An application for an installation permit shall be submitted to the chief inspector on forms provided by the Division of Fire Safety, Boiler and Pressure Vessel Unit at least sixty (60) days prior to the start of the installation.

(A) In the case of an emergency replacement, the application shall be submitted to the chief inspector as soon as possible but not more than seven (7) calendar days after the work has started.

(B) Installation permits for multiple boilers, water heaters, or pressure vessels may be requested on a single application provided they are all located at the same installation site. In such cases separate installation permits will be issued and fees will be charged for each permit.

(C) Upon review of the installation permit, the chief inspector may require a plan review prior to issuing an installation permit. A separate fee of thirty-five dollars ($35) per hour not to exceed five hundred dollars ($500) total will be charged for the plan review.

(D) Upon completion of the review process and payment of the required fees an installation permit will be issued. The installer shall maintain a legible copy of the installation permit at the installation site.

(4) Fees.

(A) Plan Review Hourly Fee $ 35 (B) Installation Permit Fees— 1. Hot Water Heating Boiler— A. 400,000 BTUH and less $ 70 B. Greater than 400,000 BTUH C. 12,500,000 BTUH and above $245 2. Hot Water Supply Boilers, Circulating Water Heaters, and Pool Heaters— A. 400,000 BTUH and less $ 70 B. Greater than 400,000 BTUH C. 12,500,000 BTUH and above $245 3. Fired Jacketed Steam Kettles $ 70 4. Power Boilers— A. 400,000 BTUH and less $ 70 B. Greater than 400,000 BTUH C. 12,500,000 BTUH and above $245 5. Pressure Vessel— A. 1,000 cu.ft.

(7,500 gallons) or less $ 70 B. Greater than 1,000 cu. ft. $175 C. Compressed air receivers including tank mounted air compressors designed to operate at 250 psi or less and having a volume of 250 gallons or less $ 25 D. Carbon Dioxide Storage Vessels used solely for carbonated beverage systems $ 25 6. Steam Heating Boilers— A. 400,000 BTUH or less $ 70 B. Above 400,000 BTUH but less than 12,500,000 BTUH $175 C. 12,500,000 BTUH and above $245 7. Fired Storage Water Heaters (Above 200,000 BTUH or 120 gallons) $ 70 (5) Upon completion of an installation, the chief inspector or a deputy inspector shall perform a certificate inspection. After correcting any deficiencies noted during the certificate inspection and payment of the required fees, the chief inspector will issue an Inspection Certificate.

(A) The Special Inspectors shall perform a certificate inspection, with an Approved Installation Permit from the Chief Inspector, on all boilers and pressure vessels insured by their respective companies, and, when so inspected, the owners and users of the boilers and pressure vessels shall be exempt from the payment to the state of the inspection fees provided for in

section 650.275, RSMo. All pressure vessels in which steam is generated by the application of heat resulting from the combustion of fuel (solid, liquid, or gaseous) or electrical energy for use external to itself shall be classified as a fired steam boiler.

(6) Any boiler, water heater, or pressure vessel installed on or after January 1, 2007, without obtaining the required permit shall obtain an installation permit and correct any deficiencies identified during the certificate inspection before an Inspection Certificate can be issued. If additional inspections are required to confirm the adequacy of the required corrective actions the applicable inspection fees will be charged.

Amended: Filed Dec. 22, 2008, effective June 30, 2009. Amended:

Filed Sept. 13, 2024, effective April 30, 2025.

History

• AUTHORITY: section 650.215, RSMo 2016. Original rule filed March 23, 2006, effective Dec. 30, 2006. Emergency amendment filed Dec. 22, 2008, effective Jan. 1, 2009, expired June 29, 2009.

11 CSR 40-2.030 Power Boilers tion, and operation of power boilers. {#sec-11-csr-40-2.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-2.030}

(1) As used in this rule, the term “these rules” is intended to (2) Power Boilers Installed or Contracted for, Prior to November 12, 1986.

(A) The service life of any boiler of standard construction shall be unlimited provided it meets the inspection requirements of 11 CSR 40-2.022.

(B) The service life of any nonstandard boiler shall be thirty (30) years. The thirty (30)-year life may be extended with the chief inspector’s approval and compliance with the following requirements:

1. The operating pressure cannot exceed the maximum allowable working pressure (MAWP). The boiler MAWP shall be calculated in accordance with American Society of Mechanical Engineers (ASME) Section I Code or the requirements of the original Code of construction. Boilers manufactured to a standard other than the ASME Code shall be evaluated in accordance with the “state special” requirements of 11 CSR 40-2.064. The allowable stress shall be no greater than twentytwo percent (22%) of the tensile strength of the material. If the tensile strength is unknown, an allowable stress of twelve thousand pounds per square inch (12,000 psi) shall be used.

The joint efficiency shall be in accordance with the appropriate edition and addenda of the ASME Section I Code or the National Board Inspection Code (NBIC);

2. Biennial pressure test shall be performed at or above normal operating pressure, not to exceed the MAWP of the boiler. The pressure test shall be held for at least thirty (30) minutes and documented to the satisfaction of the inspector.

The inspector need not witness the test. If the boiler exhibits any leaks, the boiler shall be repaired prior to restoring it to service;

3. All safety devices and controls required by the ASME

Section I Code and these rules shall be installed and operable.

(3) Power Boilers Installed or Contracted for After November 12, 1986.

(A) New and second hand boilers shall be designed, fabricated, and installed in accordance with the ASME Section I Code and these rules.

(B) Reinstalled boilers may be of standard or nonstandard construction and shall be installed in accordance with the requirements of the ASME Code and these rules. Approval of the chief inspector shall be obtained prior to reinstalling a nonstandard boiler.

(4) Boiler external piping (BEP) shall be designed, fabricated, and installed in accordance with the ASME Section I and B31.1 Codes. The piping is considered part of the boiler unit and need not be separately tagged and inspected.

(A) Installations made, or contracted for, after November 12, 1986, shall meet the requirements of ASME Section I, and B31.1 Codes and these rules for boiler external piping except as follows:

1. BEP assembled by bolting, threading, or other mechanical means need not be installed by an ASME certificate holder provided all of the following apply:

A. The MAWP of the boiler does not exceed one hundred fifty (150) psi; and B. The maximum pipe size does not exceed two inches (2") nominal pipe size (NPS); and C. The maximum operating temperature does not exceed four hundred degrees Fahrenheit (400 °F); and D. The piping is schedule 80 or greater SA-53 or SA-106 material; and E. All valves, flanges, and fittings are American National Standards Institute (ANSI) class 150 or greater; and F. All welding, including attachments and seal welds are by an ASME certificate holder; and G. The completed installation is tested in accordance with the American Society of Mechanical Engineers Code

Section I.

(B) Installations made prior to November 12, 1986, may remain in service provided the installation is acceptable to the inspector.

(5) General Requirements for Power Boilers.

(A) Boilers with heat input less than 12,500,000 British thermal units per hour (Btu/hr) contracted after January 1, 2004, shall meet the requirements of ASME CSD-1. Fuel gas piping for these boilers shall comply with the requirements of National Fire Protection Association (NFPA) 54. Oil burning equipment shall comply with the requirements of NFPA 31. Single unit boilers with heat input greater than or equal to 12,500,000 Btu/hr, boilers with pulverized fuel systems, and waste heat boilers shall meet the requirements of NFPA 85. All controls required by NFPA 85 for automatically fired boilers shall be installed in accordance with the installation requirements of ASME CSD-1. Existing installations are exempt from these rules except that any modification or replacements to the controls after January 1, 2004, shall meet the requirements for new installations. Boilers installed on or after January 1, 2010, must be in accordance with the National Board Inspection Code, Part 1, and these rules.

(B) A pressure-reducing valve is required in the fluid supply to a boiler when the fluid supply pressure exceeds the maximum allowable working pressure of the boiler. All devices shall operate so as to protect the lowest pressure rated object from an over pressure condition.

(C) Blowoff/blowdown equipment shall meet the requirements of the National Board Rules and Recommendations for the Design and Construction of Boiler Blowoff Systems. Blowoff tanks shall be constructed to the ASME Section VIII, Division 1 Code.

(D) All safety and safety relief valve outlets shall be piped to a safe discharge. There shall be no valves on the outlet piping or between the boiler and the safety or safety relief valve inlet.

The end of all discharge piping shall be visible to the operator when piped into a drain. Drains on safety or safety relief valve bodies shall remain open at all times. Safety or safety relief valve inlets and outlets shall not be reduced. Weighted-lever safety valves are prohibited. Safety valves with either the seat or disk of cast iron are prohibited. The minimum valve capacity shall be in accordance with ASME Section I Code. Alternatively, the capacity shall be determined based on the burner output rating or by multiplying the heating surface in square feet by the applicable value in the following table.

Minimum Pounds of Steam per Hour per Square Foot of Heating Surface Fire Tube Water Tube Boiler Boiler Boiler Hand fired 5 6 Stoker fired 7 9 fuel fired 8 10 Waterwall Hand fired 8 8 Stoker fired 10 12 fuel fired 14 16 When a boiler is fired only by a gas having a heat value not in excess of two hundred British thermal units per cubic foot (200 Btu/cu. ft.), the minimum safety or safety relief valve capacity may be based on the value given for hand fired boilers. The minimum safety or safety relief valve capacity for electric boilers shall be 3.5 pounds per hour per kilowatt input.

(E) Each boiler shall be safely supported. There shall be no excessive vibration in either the boiler or the connecting piping.

(F) All existing boilers shall have adequate clearance on all sides and top to facilitate repair, maintenance, and inspection.

Boilers installed or reinstalled on or after January 1, 2010, shall meet the following requirements:

1. There shall be at least thirty-six inches (36") of clearance on each side of the boiler. Boilers in battery shall not be installed any closer than forty-eight inches (48"). The front and rear of the boiler shall not be located nearer than thirty-six inches (36") from any wall or structure;

2. Boilers shall be installed to allow for removal and installation of tubes;

3. Boilers with top-opening manholes shall have at least eighty-four inches (84") of unobstructed clearance above the manhole to the ceiling of the boiler room;

4. Boilers without top-opening manholes shall have at least thirty-six inches (36") clearance from the top of the boiler; and 5. Boilers with bottom openings used for inspection or maintenance shall have at least twelve inches (12") of unobstructed clearance.

5. Note: Alternatively, clearances in accordance with the manufacturer’s recommendations are subject to the approval of the chief inspector.

(G) All rooms containing boilers and/or water heaters with a combined capacity over one (1) million Btu/hr and over five hundred (500) square feet floor area shall have at least two (2) exits remotely located from each other.

(H) Ladders and runways shall be provided between or over the top of boilers installed or reinstalled on or after January 1, 2010, that are more than eight feet (8') above the operating floor to afford accessibility for normal operation, maintenance, and inspection. These ladders and runways must be built and installed in accordance with the National Board Inspection Code, Part 1.

(I) Combustion air—The boiler room shall have an adequate air supply to permit clean, safe combustion, minimize soot formation, and maintain a minimum of nineteen and onehalf percent (19.5%) oxygen in the air of the boiler room.

The combustion and ventilation air shall be supplied by an unobstructed opening or by power ventilation or fans.

1. Unobstructed air openings shall be sized on the basis of one (1) sq. in. (6.50 sq. mm) free area per two thousand British thermal units per hour (2,000 Btu/hr) (five hundred eightysix watts per hour (586 W/hr)) maximum fuel input of the combined burners located in the boiler room or as specified in the National Fire Protection Association (NFPA) standards for oil and gas burning installations for the particular job conditions.

The boiler room air supply openings shall be kept clear at all times.

2. Power ventilators or fans shall be sized on the basis of 0.2 cfm (.0057 cubic meters per minute) for each one thousand British thermal units per hour (1,000 Btu/hr) (two hundred ninety-three watts per hour (293 W/hr)) of maximum fuel input for the combination burners of all boilers located in the boiler room. Additional capacity shall be required for any other fuel burning equipment in the boiler room.

3. When power ventilators or fans are used to supply combustion air, they shall be installed with interlock devices so that the burners will not operate without an adequate number of ventilators/fans in operation.

4. When combustion air is supplied to the boiler by an independent duct, with or without the employment of power ventilators or fans, the duct shall be sized and installed in accordance with the manufacturer’s recommendations.

However, ventilation of the boiler room must still be considered.

5. Care should be taken to ensure that steam and water lines are not routed across combustion air openings, where freezing may occur.

6. Opening boiler room door(s) and/or window(s) is unacceptable for supplying combustion air.

(J) Controls— 1. Oil-fired, gas-fired, and electrically heated boilers shall be equipped with suitable primary (flame safeguard) safety controls, limit switches, and burners or electric elements that are labeled and listed by a nationally or internationally recognized standard.

2. All controls and devices shall be installed in accordance with the manufacturer’s recommendations, and/or industry standards, as applicable.

3. All automatically fired boilers shall have a disconnecting means capable of being locked in the open position and shall be installed at an accessible location in the same room as the object. This disconnect means shall disconnect all sources of potential from the object.

4. A manually operated remote shutdown switch or circuit breaker shall be located just outside the entrance door of the room the object is located in and be marked for easy identification. Consideration should be given to the type and location of the switch to safeguard against tampering. If the entrance door is on the building exterior, the switch should be located just inside the door. If there is more than one (1) door to the room, there should be a switch located at each door.

The emergency switch must be installed in accordance with the manufacturer’s instructions or a nationally recognized standard and must cause a safety shutdown and lockout.

(K) Code nameplates shall remain readily accessible at all times. Loose or missing nameplates shall be replaced or reattached as provided for in the NBIC.

(L) Rental boilers used for temporary service shall meet all of the requirements of these rules.

Readopted: Filed Sept. 25, 2002, effective May 30, 2003. Amended:

Filed Jan. 12, 2006, effective June 30, 2006. Amended: Filed June

History

• AUTHORITY: section 650.215, RSMo 2000. Original rule filed May 12, 1986, effective Oct. 27, 1986. Amended: Filed Dec. 1, 1987, effective Feb. 11, 1988. Amended: Filed Sept. 27, 1990, effective Feb. 14, 1991. Amended: Filed Oct. 3, 1995, effective April 30, 1996. Rescinded: Filed March 10, 2003, effective Aug. 30, 2003.

11 CSR 40-2.040 Heating Boiler tion, and operation of heating boilers, water heaters, and jacketed steam kettles. {#sec-11-csr-40-2.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-2.040}

(1) As used in this rule, the term “these rules” is intended to (2) Heating Boilers, Water Heaters, Pool Heaters, and Fired Jacketed Steam Kettles, Installed or Contracted for Prior to November 12, 1986.

(A) The service life of any boiler, water heater, pool heater, or fired jacketed steam kettle of standard construction shall be unlimited, provided:

1. It meets the inspection requirements of 11 CSR 40-2.022; and 2. All controls and safety devices required by American Society of Mechanical Engineers (ASME) Section IV Code for heating boilers and water heaters and ASME Section VIII, Division 1 Code for fired jacketed steam kettles and these rules shall be installed and operable.

(B) The service life of any heating boiler, water heater, pool heater, or fired jacketed steam kettle of nonstandard construction shall be thirty (30) years. The thirty (30)-year life may be extended with the chief inspector’s approval and compliance with the following requirements:

1. The operating pressure cannot exceed the maximum allowable working pressure (MAWP). The boiler, water heater, or fired jacketed steam kettle MAWP shall be calculated in accordance with the ASME Code or the requirements of the original code of construction. Objects manufactured to a standard other than the ASME Code shall be evaluated in accordance with the “state special” requirements in accordance with 11 CSR 40-2.064. The allowable stress shall be no greater than eleven thousand pounds per square inch (11,000 psi). The joint efficiency shall be in accordance with the appropriate edition and addenda of the ASME Code, most applicable for the type of construction. The MAWP of any cast iron boiler shall not be greater than fifteen (15) psi steam or thirty (30) psi water pressure;

2. A pressure test shall be conducted every four (4) years at normal operating pressure not to exceed the MAWP of the object. The test pressure shall be held for at least thirty (30) minutes without evidence of leakage and documented to the satisfaction of the inspector. The inspector need not witness the test. The test may be an operational test. If the object exhibits any signs of leakage, it shall be repaired prior to restoring the object to service;

3. All safety devices and controls required by the applicable ASME Code and these rules shall be installed and operable.

(3) Heating Boilers, Water Heaters, Pool Heaters, and Fired Jacketed Steam Kettles Contracted after November 12, 1986.

(A) New and second-hand heating boilers, water heaters, and pool heaters shall be designed, fabricated, and installed to the requirements of ASME Section IV Code and these rules. New and second-hand fired jacketed steam kettles shall be designed, fabricated, and installed to the requirements of ASME Section VIII, Division 1 Code and these rules.

(B) Reinstalled boilers may be of standard or nonstandard construction and shall be installed in accordance with the requirements of the ASME Code and these rules, non-standard heating boilers cannot be reinstalled in Missouri except when relocating from one location to another location within Missouri. Approval of the chief inspector shall be obtained prior to reinstalling a nonstandard boiler.

(4) General Requirements for Heating Boilers, Water Heaters, Pool Heaters, and Fired Jacketed Steam Kettles.

(A) Heating boilers, water heaters, pool heaters, and fired jacketed steam kettles shall not be operated for a purpose not originally intended by the manufacturer unless approved by the board (i.e., potable water heaters may not be operated as a steam or hot water heating boiler).

(B) Heating boilers, water heaters, pool heaters, and fired jacketed steam kettles must be installed in accordance with the manufacturer’s instructions and these rules, unless otherwise approved by the chief inspector.

(C) Heating boilers with heat input less than 12,500,000 British thermal units per hour (Btu/hr) contracted after January 1, 2004, shall meet the requirements of ASME CSD-1. Fuel gas piping for these boilers shall comply with the requirements of National Fire Protection Association (NFPA) 54. Oil burning equipment shall comply with the requirements of NFPA 31. Single unit boilers with heat input greater than or equal to 12,500,000 Btu/hr, boilers with pulverized fuel systems, and waste heat boilers shall meet the requirements of NFPA 85. All controls required by NFPA 85 for automatically fired boilers shall be installed in accordance with the installation requirements of ASME CSD-1. Existing installations are exempt from these rules except that any modification or replacements to the controls after January 1, 2004, shall meet the requirements for new installations. Boilers installed on or after January 1, 2010, must be in accordance with the National Board Inspection Code, Part 1, and these rules.

(D) All safety and safety relief valve outlets shall be piped to a safe discharge. There shall be no valves on the outlet piping or between the boiler and the safety or safety relief valve inlet.

The end of all discharge piping shall be visible to the operator when piped into a drain. Drains on safety or safety relief valve bodies shall remain open at all times. Safety or safety relief valve inlet and outlets shall not be reduced. Weighted lever safety valves are prohibited. Safety valves with either the seat or disk of cast iron are prohibited. The minimum valve capacity shall be in accordance with ASME Section IV Code for heating boilers and hot water heaters and Appendix 19 of ASME Section VIII, Division 1 Code for fired jacketed steam kettles. Alternatively, the relieving capacity for heating boilers may be determined based on the burner output rating or by multiplying the heating surface in square feet by the applicable value in the following table:

Minimum Pounds of Steam Per Hour Per Square Foot of Heating Surface Fire Tube Water Tube Boiler Boiler Boiler Hand fired 5 6 Stoker fired 7 9 fuel fired 8 10 Waterwall Hand fired 8 8 Stoker fired 10 10 fuel fired 14 16 When a boiler is fired only by a gas having a heat value not in excess of two hundred (200) Btu/cubic feet (cu. ft.), the minimum safety or safety relief valve capacity may be based on the value given for hand fired boilers. The minimum safety or safety relief valve capacity for electric boilers shall be three and one-half (3.5) pounds per hour per kilowatt input.

(E) Each heating boiler, water heater, and fired jacketed steam kettle shall be safely supported. There shall be no excessive vibration in either the object or the connecting piping.

(F) All existing heating boilers, water heaters, pool heaters, and fired jacketed steam kettles shall have adequate clearance on all sides and top to facilitate repair, maintenance, and inspection. Heating boilers, water heaters, pool heaters, and fired jacketed steam kettles, installed or reinstalled on or after January 1, 2010, shall meet the following requirements:

1. There shall be at least thirty-six inches (36") of clearance on each side of the boiler. Boilers in battery shall not be installed any closer than forty-eight inches (48"). The front and rear of the boiler shall not be located nearer than thirty-six inches (36") from any wall or structure;

2. Boilers shall be installed to allow for removal and installation of tubes;

3. Boilers with top-opening manholes shall have at least eighty-four inches (84") of unobstructed clearance above the manhole to the ceiling of the boiler room;

4. Boilers without top-opening manholes shall have at least thirty-six inches (36") clearance from the top of the boiler;

5. Boilers with bottom openings used for inspection or maintenance shall have at least twelve inches (12") of unobstructed clearance; and 6. Modular heating boilers that require individual units to be set side by side, front to back, or by stacking may provide clearances in accordance with the manufacturer’s recommendations with the approval of the chief inspector.

6. Note: Alternatively, clearances in accordance with the manufacturer’s recommendations are subject to the approval of the chief inspector.

(G) All rooms containing heating boilers, water heaters, and fired jacketed steam kettles with a combined capacity over one (1) million Btu/hr and over five hundred (500) square feet floor area shall have at least two (2) exits remotely located from each other.

(H) Ladders and runways shall be provided between or over the top of boilers installed or reinstalled on or after January 1, 2010, that are more than eight feet (8') above the operating floor to afford accessibility for normal operation, maintenance, and inspection. These ladders and runways must be built and installed in accordance with the National Board Inspection Code, Part 1.

(I) Combustion air—The boiler room shall have an adequate air supply to permit clean, safe combustion, minimize soot formation, and maintain a minimum of nineteen and onehalf percent (19.5%) oxygen in the air of the boiler room.

The combustion and ventilation air shall be supplied by an unobstructed opening or by power ventilation or fans.

1. Unobstructed air openings shall be sized on the basis of one (1) sq. in. (6.50 sq. mm) free area per two thousand British thermal units per hour (2,000 Btu/hr) (five hundred eighty-six watts per hour (586 W/hr)) maximum fuel input of the combined burners located in the boiler room or as specified in the National Fire Protection Association (NFPA) standards for oil and gas burning installations for the particular job conditions.

The boiler room air supply openings shall be kept clear at all times.

2. Power ventilators or fans shall be sized on the basis of 0.2 cfm (.0057 cubic meters per minute) for each one thousand British units per hour (1,000 Btu/hr) (two hundred ninety-three watts per hour (293 W/hr)) of maximum fuel input for the combination burners of all boilers located in the boiler room.

Additional capacity shall be required for any other fuel burning equipment in the boiler room.

3. When power ventilators or fans are used to supply combustion air, they shall be installed with interlock devices so that the burners will not operate without an adequate number of ventilators/fans in operation.

4. When combustion air is supplied to the boiler by an independent duct, with or without the employment of power ventilators or fans, the duct shall be sized and installed in accordance with the manufacturer’s recommendations. However, ventilation of the boiler room must still be considered.

5. Care should be taken to ensure that steam and water lines are not routed across combustion air openings, where freezing may occur.

6. Opening boiler room door(s) and/or window(s) is unacceptable for supplying combustion air.

(J) Controls— 1. Oil-fired, gas-fired, and electrically heated heating boilers, water heaters, pool heaters, and fired jacketed steam kettles shall be equipped with suitable primary (flame safeguard) safety controls, limit switches, and burners or electric elements that are labeled and listed by a nationally or internationally recognized standard.

2. All controls and devices shall be installed in accordance with the manufacturer’s recommendations, and/or industry standards, as applicable.

3. All automatically fired heating boilers, water heaters, pool heaters, and fired jacketed steam kettles shall have a disconnecting means capable of being locked in the open position and shall be installed at an accessible location in the same room as the object. This disconnect means shall disconnect all sources of potential from the object.

4. A manually operated remote shutdown switch or circuit breaker shall be located just outside the entrance door of the room the object is located in and be marked for easy identification. Consideration should be given to the type and location of the switch to safeguard against tampering. If the entrance door is on the building exterior, the switch should be located just inside the door. If there is more than one (1) door to the room, there should be a switch located at each door. The emergency switch must be installed in accordance with the manufacturer’s instructions or a nationally recognized standard and must cause a safety shutdown and lockout.

(K) Each gas-fired water heater contracted after January 1, 2010, must be certified to the American National Standard/CSA Standard for Gas Water Heaters, Volume III (ANSI Z21.10.3 CSA 4.3) and must bear a label as proof of this certification.

(L) Each gas-fired pool heater contracted after January 1, 2010, must meet one (1) of the following— 1. Be certified to the American National Standard/CSA Standard For Gas-Fired Pool Heaters, (ANSI Z21.56 CSA 4.7) and bear the label as proof of this certification; or 2. Commercial pool heaters applications that do not have one hundred percent (100%) of pool loop water flow circulating through the pool heater may be certified to the American National Standard/CSA Standard for Gas Water Heaters, Volume III (ANSI Z21.10.3 CSA 4.3) and must bear a label as proof of this certification, provided the unit must bear a label from the manufacturer as evidence that the water heater has been approved for commercial pool heating applications when installed per the manufacturer’s instructions. Additionally, the manufacturer must provide additional listed temperature controls that will limit the water temperature delivered to the pool from exceeding one hundred eight degrees Fahrenheit (108 °F) with details for the installation of these controls.

(M) The Code nameplates shall remain readily accessible at all times. Loose or missing nameplates shall be replaced or reattached as provided for in the National Board Inspection Code.

(N) Rental heating boilers, water heaters, and fired jacketed steam kettles, used for temporary service, shall meet all of the requirements of these rules. The internal inspection, required by 11 CSR 40-2.022, may be waived by the inspector, based on documentation that a national board-commissioned inspector has evaluated the internal surfaces of the object within the past twelve (12) months and found the object acceptable for use. An external, in-operation inspection shall be the basis for the inspection certificate. The inspection certificate shall expire no later than twenty-four (24) months from the date of the last internal inspection. 12, 1986, effective Oct. 27, 1986. Amended: Filed Sept. 27, 1990, effective Feb. 14, 1991. Amended: Filed Oct. 3, 1995, effective April 30, 1996. Rescinded: Filed March 10, 2003, effective Aug. 30, 2003.

Readopted: Filed Sept. 25, 2002, effective May 30, 2003. Amended:

Filed Jan. 12, 2006, effective June 30, 2006. Amended: Filed June

11 CSR 40-2.050 Pressure Vessels tion and operation of pressure vessels. {#sec-11-csr-40-2.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-2.050}

(1) As used in this rule, the term “these rules” is intended to (2) Pressure vessels installed or contracted for, prior to November 12, 1986.

(A) The service life of any pressure vessel of standard construction shall be unlimited provided it meets the inspection requirement of 11 CSR 40-2.022.

(B) The service life of any nonstandard pressure vessel shall be thirty (30) years. The thirty (30)-year life may be extended with the chief inspector’s approval and compliance with the following requirements:

1. The operating pressure cannot exceed the maximum allowable working pressure (MAWP). The pressure vessel MAWP shall be calculated in accordance with the American Society of Mechanical Engineers (ASME) Section VIII Code or to the requirements of the original code of construction. Objects manufactured to a standard other than the ASME Code shall be evaluated in accordance with the “state special” requirements of 11 CSR 40-2.064. The allowable stress shall be no greater than twenty-two percent (22%) of the tensile strength of the material.

If the tensile strength is unknown, an allowable stress of twelve thousand (12,000) pounds per square inch (psi) shall be used.

The joint efficiency shall be in accordance with the following for welded and brazed joints;

A. Single lap weld = 0.4 B. Double lap weld = 0.5 C. Single butt weld = 0.6 D. Forge welded = 0.7 E. Brazed (steel) = 0.8 F. Seamless = 0.85 unless radiography of all butt welds is performed G. Seamless = 1.0 if radiography of butt welds is performed H. Riveted = use the appropriate ASME Code or the National Board Inspection Code (NBIC) rules.

2. The pressure vessel shall be tested every six (6) years at normal operating pressure not to exceed the MAWP of the pressure vessel. The pressure test shall be held for at least thirty (30) minutes and documented to the satisfaction of the inspector. An inspector need not witness the test. Any leaks shall be repaired prior to restoring the object to service.

3. All safety devices and controls required by the ASME Code and these rules shall be installed and operable.

(3) Pressure vessels installed or contracted for after November 12, 1986.

(A) New and second hand pressure vessels shall be designed, fabricated and installed in accordance with the ASME Code and these rules.

(B) Reinstalled pressure vessels may be of standard or nonstandard construction and shall be installed in accordance with the requirements of the ASME Code and these rules.

Approval of the chief inspector shall be obtained prior to reinstalling a nonstandard pressure vessel.

(4) General Requirements for Pressure Vessels.

(A) All pressure vessels shall be equipped with pressure relief devices in accordance with their code of construction.

In cases where the original code of construction does not address pressure relief devices, such devices shall be installed in accordance with the most applicable ASME Code.

(B) Each pressure vessel shall be safely supported. There shall be no excessive vibration in either the pressure vessel or the connecting piping.

(C) Pressure vessels shall have adequate clearance on all sides and top to facilitate repair, maintenance and inspection.

Manufacturer’s recommendations, when provided, shall be followed.

(D) Code nameplates shall remain readily accessible at all times. Loose or missing nameplates shall be replaced or reattached as provided for in the National Board Inspection Code.

(E) Rental pressure vessels used for temporary service shall meet all of the requirements of these rules. 12, 1986, effective Oct. 27, 1986. Amended: Filed Oct. 3, 1995, effective April 30, 1996. Rescinded: Filed March 10, 2003, effective Aug. 30, 2003. Readopted: Filed Sept. 25, 2002, effective May 30, 2003.

11 CSR 40-2.060 General Requirements {#sec-11-csr-40-2.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-2.060}

(Rescinded August 30, 2003)

Rescinded: Filed March 10, 2003, effective Aug. 30, 2003.

History

• AUTHORITY: section 650.215, RSMo 1994. Original rule filed May 12, 1986, effective Oct. 27, 1986. Amended: Filed Dec. 1, 1987, effective Feb. 11, 1988. Amended: Filed Sept. 27, 1990, effective Feb. 14, 1991. Amended: Filed Oct. 3, 1995, effective April 30, 1996.

11 CSR 40-2.061 New Installations {#sec-11-csr-40-2.061 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-2.061}

PURPOSE: This rule addresses the safe design, construction, installation, inspection, operation, maintenance, and repair of new boilers, water heaters, and pressure vessels.

(1) As used in this rule, the term “these rules” is intended to (2) Minimum construction standards for new boilers, water heaters, and pressure vessels contracted for after November 12, 1986.

(A) All new boilers, water heaters, and pressure vessels shall be designed, constructed, inspected, stamped, and installed in accordance with the American Society of Mechanical Engineers (ASME) Code and these rules, unless exempted from such construction by the Act. Boilers, water heaters, and pressure vessels for which an ASME Manufacturers’ Data Report is required shall be registered with the National Board. All pressure vessels in which steam is generated by the application of heat resulting from the combustion of fuel (solid, liquid, or gaseous) or electrical energy for use external to itself shall be classified as a fired steam boiler.

(B) New boilers, water heaters, and pressure vessels may be manufactured to internationally recognized standards with acceptance of the board as outlined in 11 CSR 40-2.064. 25, 2002, effective May 30, 2003. Amended: Filed June 30, 2009, effective Feb. 28, 2010.

11 CSR 40-2.062 Second-Hand and Reinstalled Used Boilers, Water Heaters and Pressure Vessels {#sec-11-csr-40-2.062 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-2.062}

PURPOSE: This rule addresses the safe installation of second-hand and reinstalled boilers, water heaters and pressure vessels.

(1) Minimum Requirements for Second-Hand Boilers, Water Heaters and Pressure Vessels.

(A) The owner or user shall obtain approval from the chief inspector prior to installation.

(B) The object must be American Society of Mechanical Engineers (ASME) Code constructed. The manufacturer’s data report must be provided to the chief inspector.

(C) A certificate inspection shall be performed by the chief inspector or his/her designee prior to operation.

(D) All welded repairs or alterations shall have been in accordance with the National Board Inspection Code.

(2) Minimum Requirements for Reinstalled Boilers, Water Heaters and Pressure Vessels.

(A) The owner or user shall obtain approval from the chief inspector prior to installation.

(B) A nonstandard boiler, water heater, or pressure vessel cannot be reinstalled in Missouri except when relocating from one (1) location to another location within Missouri.

(C) A certificate inspection shall be performed by the chief inspector or his/her designee prior to operation.

(D) All welded repairs or alterations shall have been in accordance with the National Board Inspection Code.

(3) Boilers, water heaters and pressure vessels shall be equipped with piping, fittings and appurtenances that comply with the requirements for new installations.

11 CSR 40-2.064 State Special and Variances {#sec-11-csr-40-2.064 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-2.064}

PURPOSE: This rule addresses alternatives for the design, construction, installation, inspection and repair of boilers, water heaters and pressure vessels.

(1) Boilers, water heaters and pressure vessels that were contracted for after November 12, 1986 and are not designed or constructed in accordance with the Act and these rules, may be approved by the board as a state special. This paragraph also applies to nonstandard second-hand objects installed after November 12, 1986. The owner or user must submit the following information to the board for consideration:

(A) A signed statement describing the intended use of the object and the reason why the object cannot meet the Act and/ or these rules;

(B) Design calculations and drawings, in United States customary units, certified by a licensed professional engineer competent in boiler, water heater or pressure vessel design, as applicable;

(C) Complete details of the design, material, workmanship, and construction shall indicate equivalency to the appropriate American Society of Mechanical Engineers (ASME) Code, the Act and these rules;

(D) The name of the third party inspection agency for the construction;

(E) A data report or other manufacturer’s document certifying that the design and construction meets the Code that the object was constructed to; and (F) Any additional information that the board deems necessary to evaluate the object as being similar to an ASME Code constructed object.

(2) Any variance to the Act and these rules other than described in 11 CSR 40-2.064(1) shall be approved by the board except that a time extension for the inspection required in 11 CSR 40- 2.022(3)(C)4., (4)(A) and (5)(A) may be approved by the chief inspector. The owner or user must submit a written request for a variance to the chief inspector indicating why the variance or time extension is necessary.

11 CSR 40-2.065 Repairs/Alterations {#sec-11-csr-40-2.065 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-2.065}

PURPOSE: This rule addresses the maintenance and repair of boilers, water heaters and pressure vessels.

(1) Welded Repairs (including welding of attachments to the pressure boundary).

(A) When welded repairs are to be made to boilers, pressure vessels and water heaters, the repair organization must have a valid Certificate of Authorization for use of the “R” symbol issued by the National Board Inspection Code.

(B) All work shall conform to the rules of National Board Inspection Code, (NB-23) or American Petroleum Institute, (API- 510), as applicable.

(2) Alterations.

(A) Alterations must be performed by a repair organization as specified in 11 CSR 40-2.065(1)(A) that has alterations within the scope of their authorization.

(3) Safety Fittings and Appliances.

(A) Should any of these fittings or appliances be removed for any reason, they must be reinstalled and in proper working order before the object is placed in service.

(B) No person shall alter any safety or safety relief valves or pressure relief devices in any manner to maintain a working pressure in excess of that stated on the inspection certificate.

(C) Repair of code required safety or safety relief valves shall be made only by an organization that has obtained a valid Valve Repair (VR) Certificate of Authorization issued by the National Board. The scope to the certificate shall include the appropriate type of valve to be repaired.

Chapter 3 Fireworks

11 CSR 40-3.010 Fireworks—Licensing, Permits, Sales, Inspection, and Penalties {#sec-11-csr-40-3.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-3.010}

PURPOSE: This rule explains the licensing/permit process for the sales, discharge, possession and inspections associated with consumer, display and proximate fireworks.

PUBLISHER’S NOTE: The secretary of state has determined that the publication of the entire text of the material which is incorporated by reference as a portion of this rule would be unduly cumbersome or expensive.

This material as incorporated by reference in this rule shall be maintained by the agency at its headquarters and shall be made available to the public for inspection and copying at no more than the actual cost of reproduction.

This note applies only to the reference material. The entire text of the rule is printed here.

(1) The following definitions shall be used in interpreting this rule:

(A) American Pyrotechnics Association (APA), Standard 87-1 (2004), PO Box 30438 Bethesda, MD 20824-0348; as incorporated by reference is a standard for manufacturers, importers and distributors of fireworks to assist them in accordance with applicable federal laws;

(B) Chemical composition, all pyrotechnic and explosive composition contained in fireworks devices as defined in American Pyrotechnics Association (APA), Standard 87-1;

(C) Consumer fireworks, explosive devices designed primarily to produce visible or audible effects by combustion and includes aerial devices and ground devices, all of which are classified as fireworks, UN0336, 1.4G by regulation of the United States Department of Transportation, Title 49 CFR (2003), 400 7th Street S.W., Washington, D.C. 20590, as incorporated by reference, and which were formerly classified as class C common fireworks by regulation of the United States Department of Transportation;

(D) Discharge site, the area immediately surrounding the fireworks mortars used for an outdoor fireworks display;

(E) Display site, the immediate area where a fireworks display is conducted, including the discharge site, the fallout area, and the required separation distance from mortars to spectator viewing areas, but not spectator viewing areas or vehicle parking areas;

(F) Display fireworks, explosive devices designed primarily to produce visible or audible effects by combustion, deflagration or detonation. This term includes devices containing more than two (2) grains (130 mg) of explosive composition intended for public display. These devices are classified as fireworks, UN0335, 1.3G by regulation of the United States Department of Transportation, as amended from time-to-time, and which were formerly classified as class B display fireworks by regulation of the United States Department of Transportation;

(G) Distributor, any person engaged in the business of selling fireworks to wholesalers, jobbers, seasonal retailers, other persons, or governmental bodies that possess the necessary permits as specified in sections 320.106 to 320.161, RSMo including any person that imports any fireworks of any kind in any manner into the state of Missouri;

(H) Fireworks, any composition or device for producing a visible, audible, or both visible and audible effect by combustion, deflagration, or detonation and that meets the definition of consumer, proximate, or display fireworks as set forth by 49 CFR part 171 to end, United States Department of Transportation hazardous materials regulations, and American Pyrotechnics Association, Standard 87-1;

(I) Fireworks season, the period beginning on the twentieth day of June and continuing through the tenth day of July of the same year and the period beginning on the twentieth day of December and continuing through the second day of January of the next year, which shall be the only periods of time that seasonal retailers may be permitted to sell consumer fireworks;

(J) Illegal fireworks include fireworks whose explosive composition exceeds the limits for consumer fireworks or display fireworks, UN0336, 1.4G, UN0335, 1.3G and UN0431, 1.4G or UN0432, 1.4S by the United States Department of Transportation, and American Pyrotechnics Association, Standard 87-1 including ground salutes commonly known as cherry bombs, M-80’s, M- 100’s, M-1000’s or other fireworks designated with an “M” prefix whose explosive composition exceeds the limits for consumer fireworks by the United States Department of Transportation;

(K) Jobber, any person engaged in the business of making sales of consumer fireworks at wholesale or retail, within the state of Missouri to nonlicensed buyers for use and distribution outside the state of Missouri during a calendar year from the first day of January through the thirty-first day of December;

(L) Licensed operator, any person who supervises, manages, or directs the discharge of outdoor display fireworks, either by manual or electrical means; who has met additional requirements established by promulgated

rule and has successfully completed a display fireworks training course recognized and approved by the state fire marshal;

(M) Manufacturer, any person engaged in the making, manufacture, assembly or construction of fireworks of any kind within the state of Missouri;

(N) NFPA, National Fire Protection Association, Standards 101 (2003 edition) as used in setting standards for proximate fireworks; 1123 (2000 edition); 1124 (2003 edition) as used in setting standards for display and proximate fireworks; and 1126 (2001 edition), #1 Batterymarch Park, PO Box 9101, Quincy, MA 02269, as incorporated by reference; an international codes and standards organization;

(O) Permanent structure, buildings and structures with permanent foundations other than tents, stands, mobile homes, and trailers;

(P) Permit, the written authority of the state fire marshal issued pursuant to sections 320.106 to 320.161, RSMo, to sell, possess, manufacture, discharge, or distribute fireworks;

(Q) Person, any corporation, association, partnership or individual or group thereof;

(R) Proximate fireworks, a chemical mixture used in the entertainment industry to produce visible or audible effects by combustion, deflagration, or detonation, as defined by the most current edition of the American Pyrotechnics Association (APA), Standard 87-1, section 3.8, specific requirements for theatrical pyrotechnics;

(S) Pyrotechnic operator or special effects operator, an individual who has responsibility for pyrotechnic safety and who controls, initiates, or otherwise creates special effects for proximate fireworks and who has met additional requirements established by promulgated rules and has successfully completed a proximate fireworks training course recognized and approved by the state fire marshal;

(T) Sale, an exchange of articles of fireworks for money, including barter, exchange, gift or offer thereof, and each such transaction made by any person, whether as a principal proprietor, salesman, agent, association, copartnership or one or more individuals;

(U) Seasonal retailer, any person within the state of Missouri engaged in the business of making sales of consumer fireworks in Missouri only during a fireworks season as defined by subsection (I) of this section;

(V) Wholesaler, any person engaged in the business of making sales of consumer fireworks to any other person engaged in the business of making sales of consumer fireworks at retail within the state of Missouri.

(2) General Requirements: Licenses, Permits and Fees.

(A) Each firm or person engaged in the manufacture, transportation, wholesale or retail sales of consumer fireworks, public displays utilizing fireworks 1.3G, proximate and consumer fireworks 1.4G, proximate fireworks 1.4S theatrical, pyrotechnic special effects operators, licensed display fireworks operator shall have an applicable license or permit issued by the state fire marshal.

1. License by type:

A. Licensed operator, a fee of one hundred dollars ($100) for three (3)-year license; and B. Pyrotechnic or special effects operator, a fee of one hundred dollars ($100) for three (3)-year license.

2. Permits by type:

A. Manufacturer, fee of seven hundred seventy-five dollars ($775) per calendar year per location;

B. Distributor, fee of seven hundred seventy-five dollars ($775) per calendar year per location;

C. Wholesaler, fee of two hundred seventy-five dollars ($275) per calendar year per location;

D. Jobber, a fee of five hundred twenty-five dollars ($525) per calendar year per location;

E. Seasonal retailer, a fee of fifty dollars ($50) per calendar year per sales location;

F. Display fireworks, a fee of one hundred dollars ($100) per calendar year per location;

G. Proximate fireworks display, a fee of one hundred dollars ($100) per calendar year per location.

(B) All fees shall be paid by cash, money order, or check payable to the Missouri Division of Fire Safety and are nonrefundable or nontransferable except for overpayments resulting from mistakes of law or fact.

(C) All permits except for seasonal retailer shall be for the calendar year or any fraction thereof and shall expire on the thirty-first day of December each year.

(D) Seasonal retail permit(s) shall be valid from the twentieth day of June through the tenth day of July of the same year and the period beginning on the twentieth day of December through the second day of January of the next year.

(E) No seasonal retail, wholesaler or jobber permit shall be issued to a person under the age of eighteen (18) years.

(F) No manufacturer or distributor permit shall be issued to a person under the age of twenty-one (21) years.

(G) No permit or license shall be transferable nor shall a person operate under a permit or license issued to another person or location.

(H) All original permits issued shall be made available for review at the location for which it was issued.

(I) Manufacturer, wholesaler, jobber and distributor permit holders operating out of multiple locations shall obtain a permit for each location.

(J) Upon determining that an applicant has furnished or supplied false information in applying for a license or permit or attempting to renew a license or permit, or has failed to notify the state fire marshal of any change in the information supplied in an application, the state fire marshal may refuse to license or permit the applicant or may revoke or suspend any license or permit issued to the applicant for a period of not more than three (3) years.

(K) The state fire marshal may refuse to issue a license or permit to any applicant when the permit or license of the individual, corporation or partner is under suspension or revocation. The state fire marshal may also refuse to issue a license or permit to a person who is a partner, shareholder, manager, officer, spouse or relative of the applicant or a party to the applicant or is in a position to obtain any financial gain should the application be granted during the period of suspension or revocation.

(L) The state fire marshal may refuse to issue a license or permit for a period not to exceed three (3) years to an applicant whose license or permit has been revoked for the possession or sale of illegal fireworks as referred to in section 320.136, RSMo.

(M) In addition to any other penalty, any person who manufacturers, sells, offers for sale, ships or causes to be shipped into or caused to be shipped into Missouri for use in Missouri any items of fireworks without first having obtained the applicable permit or license shall be assessed a civil penalty of up to a one thousand dollar ($1,000) fine for each day of operation up to a maximum of ten thousand dollars ($10,000).

(N) Any person aggrieved by any official action of the state fire marshal affecting their license or permit status including revocation, suspension, failure to renew or refusal to issue a license or permit may seek a determination by the Administrative Hearing Commission pursuant to the provisions of section 621.045, RSMo.

(3) Applications for Permit: Manufacturer, Distributor, Wholesaler, Jobber, Seasonal Retail.

(A) Applications for a permit shall be on forms provided by the state fire marshal and shall be accompanied by the appropriate fee and documentation as required.

1. Copy of Missouri retail sales tax license.

2. Copy of current certificate of “No Tax Due” for the preceding year obtained from Missouri Department of Revenue, except if the applicant is pursuing any proper remedy at law challenging the amount, collection, or assessment of any sales tax.

3. If applicable, copy of “Certificate of Good Standing” from Missouri Secretary of State.

4. If applicable, copy of federal license or permit.

(B) Failure to make application for seasonal retail permit by May thirty-first of the calendar year may result in the fire marshal’s refusal to issue a permit to the applicant for such calendar year.

(C) Every application for a permit to sell fireworks shall be signed by the permitee or a responsible agent for the permitee who, by signing the application, acknowledges that the permitee will take reasonable steps to see that all employees, agents and officers of the permitee will be familiar with all rules applicable to fireworks operations and will abide by those rules.

(4) Requirements: Manufacturer, Distributor, Jobber or Wholesaler.

(A) A holder of a manufacturer’s permit shall not be required to have any additional permits in order to sell to distributors, wholesalers, jobbers or seasonal retailers, or to sell display or proximate fireworks.

(B) A holder of a distributor’s permit shall not be required to have any additional permit in order to sell consumer fireworks to wholesalers, jobbers, seasonal retailers, consumers during the fireworks season or to sell display or proximate fireworks.

(C) A holder of a jobber’s permit shall not be required to have any additional permit in order to sell consumer fireworks at retail during the fireworks season from such jobber’s permanent structure.

(D) Any wholesale transaction by a manufacturer, distributor, wholesaler or jobber to any seasonal retailer doing business in Missouri shall be permitted only if the purchaser has been issued a seasonal retail permit from the state fire marshal as a seasonal retailer.

(E) Any sales by jobbers to nonpermitted persons or entities during any period of time other than the fireworks season as defined in

section 320.106(3), RSMo, shall be to nonresidents of Missouri, or to residents of Missouri only after a reasonable inquiry and a waiver signed by the buyer on a form provided by the state fire marshal indicating that the fireworks are for use outside of Missouri if the sale is a retail transaction.

(F) A holder of a manufacturer, distributor, wholesaler or jobber’s permit shall be required to operate out of a permanent structure in compliance with applicable building and fire regulations in the city or county where located.

(G) Any person engaged in more than one (1) permit classification shall pay one (1) permit fee based upon the permit classification yielding the highest amount of revenue.

(H) Any person, entity, partnership, corporation, or association transporting display or proximate fireworks into Missouri for the

purpose of resale, or to conduct a 1.3G fireworks display, or to conduct a proximate fireworks display shall be permitted by the state fire marshal as a distributor or manufacturer and have obtained applicable federal license or permit.

(I) Sale of display or proximate fireworks shall be limited to a holder of a federal license or permit and a distributor or manufacturer permit issued by the state fire marshal.

(J) No holder of a manufacturer or distributor permit shall sell, barter, or transfer display or proximate fireworks to anyone not possessing an applicable permit or license.

(K) No wholesaler or jobber, or any other person shall sell, offer for sale, store, display, or have in their possession any consumer fireworks that have not been approved as fireworks UN0336, or 1.4G by the United States Department of Transportation.

(L) Possession of display or proximate fireworks for resale to holders of a permit for display or proximate fireworks shall be confined to a holder of a manufacturer or distributor permit and applicable federal license or permit.

(M) No jobber, wholesaler, manufacturer, or distributor shall sell to seasonal retail dealers, or any other person in this state for the

purpose of resale, or use in this state, any consumer fireworks which do not have the numbers and letter “1.4G” printed with an orange diamond shaped label printed on or attached to the fireworks shipping carton.

(N) Possession of display or proximate fireworks shall be limited to:

1. A holder of a display or proximate fireworks permit issued by the authority having jurisdiction where the display or proximate fireworks display is proposed to be held; or 2. A holder of a display or proximate fireworks permit issued by the state fire marshal; or 3. A holder of a state manufacturer or distributor permit and applicable federal license or permit.

(5) Requirements: Seasonal Retail Sales.

(A) A seasonal retail permit shall be required for each retail sales location.

(B) Consumer fireworks UN0336, 1.4G shall be sold to the general public only from permitted seasonal retail sites and only during the fireworks season as defined in section (1) of this rule.

(C) It is unlawful to attempt to sell or to sell any fireworks to children under the age of fourteen (14) years except when such child is in the presence of a parent or guardian.

(D) It is unlawful for any person under the age of sixteen (16) to sell fireworks or work in a facility where fireworks are stored, sold, or offered for sale unless under the supervision of an individual at least eighteen (18) years of age.

(E) Seasonal retail permit locations shall be in compliance with all applicable building and fire regulations and may be subject to a fire safety inspection by the state fire marshal per section (7) of this rule.

(F) A seasonal retailer shall acquire and present the appropriate permit from the state fire marshal before any manufacturer, distributor, wholesaler or jobber is allowed to sell consumer fireworks to such seasonal retailer provided that such retailer is purchasing the consumer fireworks for resale in this state.

(6) General Requirements: Fireworks Safety/Authority to Inspect.

(A) Fireworks shall not be stored, kept, or sold within fifty feet (50') of any gasoline pump, gasoline filling station, gasoline bulk station, or any building in which gasoline or volatile liquids are sold in quantities in excess of one (1) gallon.

(B) Fireworks shall not be manufactured, stored, kept or sold within one hundred feet (100') of any dispensing unit for ignitable liquids or gases.

(C) It is unlawful to explode or ignite consumer fireworks within six hundred feet (600') of any church, hospital, mental health facility, or school or within one hundred feet (100') of any location where fireworks are stored, sold or offered for sale.

(D) No person shall ignite or discharge fireworks within three hundred feet (300') of any permanent storage of ignitable liquid, gases, gasoline pump, and gasoline filling station.

(E) No person shall ignite or discharge any fireworks within or throw the same from or into a motorized vehicle including watercraft or any other means of transportation or at or near any person or group of people, except where display permit has been issued for a floating vessel or floating platform.

(F) All person(s) selling or offering fireworks for sale or barter or trade will permit the state fire marshal and the marshal’s deputies to conduct inspections, based on Code of State Regulations, of the business premises or any location where fireworks are stored or kept and will cooperate with any inspection or investigation. Failure to cooperate or refusal to allow an inspection shall result in suspension or revocation of the permitee’s permit(s) or refusal of a permit to be issued. This inspection shall be performed during normal business hours.

(7) Requirements: Fire Safety Inspection— Retail Sales.

(A) Portable Fire Extinguishers.

1. Every seasonal retail sales location shall have not less than two (2) portable fire extinguishers with a minimum 2A rating, at least one (1) of which shall be a pressurized water type.

2. Temporary seasonal retail sales locations less than two hundred (200) square feet in area shall be required to have at least one (1) portable fire extinguisher with a minimum 2A rating.

3. The maximum travel distance to a fire extinguisher in any seasonal retail sales location shall be no greater than thirty-five feet (35').

4. All fire extinguishers shall be inspected annually by a fire extinguisher company and have documentation to this effect attached to them.

5. All fire extinguishers shall be located in an accessible location to the staff.

6. Employees shall be trained to operate fire-extinguishing equipment and shall be required to exhibit their skill when requested by the authority having jurisdiction.

(B) Site Requirements.

1. The authority having jurisdiction shall require a certificate or other evidence of acceptance by an organization or laboratory of recognized standing or manufacturer verifying that the tent fabric material has been treated with a flame resistant material.

2. No hay, straw, shavings, or similar combustible materials that have not been treated to make them flame retardant shall be permitted within any seasonal retail sales 3. The area located within thirty feet (30') of a retail sales location shall be kept free of accumulated dry grass, dry brush, and combustible debris.

3. Fireworks shall not be displayed or stored behind glass through which direct sunlight will shine on the fireworks except for where the fireworks are in their original package.

4. Fireworks shall be kept in a location out of the reach of the public when an attendant is not on duty.

5. Seasonal retail sales locations shall be secured when unoccupied and not open for business.

(C) Fireworks Discharge.

1. Fireworks shall not be ignited, discharged, or otherwise used within one hundred feet (100') of any location where fireworks are stored, sold, or offered for sale.

2. At least one (1) sign that reads as follows, in letters at least four inches (4") high on a contrasting background, shall be conspicuously posted at each entrance of seasonal retail sales locations:

NO FIREWORKS DISCHARGE

WITHIN 100 FEET

(D) No Smoking Signs.

1. Smoking shall not be permitted inside or within twenty-five feet (25') of the seasonal retail sales area.

2. One (1) or more signs reading, “FIREWORKS—NO SMOKING” shall be displayed at each entrance of seasonal retail sales locations in letters not less than four inches (4") in height on a contrasting background.

(E) Separation Distances.

1. No motor vehicle shall be parked within ten feet (10') of a seasonal retail sales 2. No trailer used for the storage of consumer fireworks shall be parked within ten feet (10') of a seasonal retail sales location.

2. Temporary seasonal retail sales stands and tent side walls shall not be located within twenty feet (20') of the following, unless authorized by the authority having jurisdiction:

A. Another building;

B. Another seasonal retail sales location;

C. Cooking equipment of any type.

4. Seasonal retail sales locations shall not be located within fifty feet (50') of the following:

A. Any gasoline pump, gasoline filling station, gasoline bulk station, or any building in which gasoline or volatile liquids are sold in quantities in excess of one (1) gallon;

B. Compressed natural gas dispensing facilities;

C. Retail propane dispensing station;

D. Aboveground storage tanks for flammable or combustible liquid, flammable gas or flammable liquefied gas;

E. Any type of open flame cooking equipment.

5. Portable generators shall be located not less than twenty feet (20') from a seasonal retail sales location.

(F) Means of Egress.

1. All means of egress from any temporary seasonal retail sales tent or stand shall remain clear and free of obstructions.

2. A minimum of two (2) remote means of egress shall be located in a seasonal retail sales location.

3. Exits provided for temporary seasonal retail sales stands shall be arranged so that the maximum egress travel distance does not exceed thirty-five feet (35').

4. Exits provided for seasonal retail tents shall be arranged so that the maximum egress travel distance measured from the most remote point to an exit along the natural and unobstructed path of egress travel, does not exceed seventy-five feet (75').

5. Aisles within a temporary seasonal retail sales tent, where the interior is accessible to the public, the minimum clear width shall be permitted to be not less than fortyeight inches (48").

6. Aisles within a temporary seasonal retail sales stand, where the interior is not accessible to the public, the minimum clear width shall be permitted to be not less than twenty-eight inches (28").

7. The required width of aisles shall be maintained unobstructed at all times the facility is occupied by the public.

8. Dead end aisles shall be prohibited.

9. Exit openings from seasonal retail sales tents shall be not less than forty-four inches (44") in width.

10. Egress doors in temporary seasonal retail sales stands where the interior is not accessible to the public shall be permitted to be not less than twenty-eight inches (28") in width.

11. Egress doors in temporary seasonal retail sales stands where the interior is accessible to the public shall be permitted to be not less than thirty-six inches (36") in width.

12. No fireworks shall be displayed for sale or stored within two feet (2') of any public exit, or private entrance or exit in an enclosed building.

(G) Exit Signs and Emergency Lighting.

1. Exit signs shall be required to be selfluminous or internally or externally illuminated.

2. Exit signs shall not be required to be illuminated in tents or stands that are not open for business after dusk or in temporary seasonal retail sales stands where the interior is not accessible to the public.

3. Emergency lighting shall not be required in tents or stands that are not open for business after dusk or for temporary seasonal retail sales stands where the interior is not accessible to the public.

4. Emergency lighting shall be required in seasonal retail sales locations when the retail sales area is eight hundred (800) square feet or greater.

(H) Electrical Equipment.

1. The electrical system and equipment shall be isolated from the public by proper elevation or guarding, and all electrical fuses and switches shall be enclosed in approved enclosures.

2. Electrical cables, including extension cords on the ground in areas traversed by the public shall be placed in trenches or protected by approved covers.

3. All extension cords shall be a minimum fourteen (14) gauge and multi-outlet power strips shall be UL approved and of the grounding type.

4. All multi-outlet power strips shall be UL approved and of the type with a circuit breaker for overload protection.

5. All electrical wiring, equipment, and devices shall be UL approved, installed and maintained to prevent electrical hazards.

6. All electrical lighting shall be UL approved, mounted and installed in a safe manner.

7. Branch circuits for receptacles, lighting and other uses shall be protected by ground fault circuit interrupters if susceptible to water exposure.

8. The power distribution panel shall be properly grounded with a minimum #6 solid copper wire connected to a copper clad ground rod. The ground wire must be connected to the ground rod using a UL approved ground rod clamp with the clamp being visible.

(I) Prohibited Activity/Items.

1. The retail sales of pest control devices, including their related storage and display shall be prohibited.

2. No electronic pest control device(s) shall be located inside a seasonal retail sales 3. The consumption or possession of alcoholic beverages in any seasonal retail sales location is prohibited during business hours.

3. Any person selling fireworks shall not knowingly sell consumer fireworks to any person who is obviously under the influence of alcohol or drugs.

4. Proximate and display fireworks shall not be allowed to be sold with consumer fireworks.

(8) Permit Requirements: Discharging Display or Proximate Fireworks.

(A) Permit(s) for display or proximate fireworks may be granted to municipalities, fair associations, amusement parks, organizations, persons, firms or corporations. Such permits may be granted upon application and approval by the state fire marshal or local

1. Application for a permit to conduct a display/proximate fireworks show issued by the state fire marshal shall meet the following requirements and be on a form provided by the state fire marshal:

A. Applicant shall be at least twentyone (21) years of age;

B. The permit shall be issued per location per calendar year, except— (I) Any change from the original site plan relating to distances, mortar size, mortar installation, firing method, etc. shall require a new application and submission of an additional permit fee;

C. A fee of one hundred dollars ($100) shall be paid to the state fire marshal at the time of initial application for permit;

D. Identity of state licensed display/pyrotechnic operator shall be provided;

E. Applicant shall submit proof of insurance coverage insuring the applicant with liability insurance in order to satisfy claims for damages to property or personal injuries arising out of any act or omission on the part of such person, firm or corporation or any agent or employee thereof with an occurrence limit of not less than one (1) million dollars. Additionally, insurance coverage of an employer for whom the individual is employed shall be considered to comply with the aforementioned, if the coverage provides equivalent coverage for each employee;

F. If applicant is conducting a display under the auspices of a municipality or political subdivision the applicant shall be exempt from liability insurance coverage if the municipality or political subdivision possesses liability insurance covering the applicant with an occurrence limit of not less than one (1) million dollars;

G. Applicant shall submit a detailed site plan, to include but not be limited to distance requirements per NFPA, firing method, mortar installation and product being used along with the name of the licensed or pyrotechnic operator to the state fire marshal a minimum of ten (10) working days prior to the date of the event;

H. Upon request applicant shall provide Material Safety Data Sheets (MSDS) relating to the products being used;

I. No permit granted shall be transferable;

J. The permit shall apply to only one (1) location.

2. A copy of a display or proximate fireworks permit issued by the local authority having jurisdiction shall be submitted by the permit holder to the state fire marshal within forty-five (45) days of the display or upon request of the state fire marshal.

3. Any venue where proximate fireworks are to be discharged shall be inspected by the state fire marshal or local authority having jurisdiction for compliance with NFPA 1126.

4. Any establishment where proximate fireworks are to be discharged indoors shall be inspected by the state fire marshal or local

5. Provisions shall be made for adequate fire protection at a level determined by the jurisdiction where the display is to be conducted.

6. Safety monitors shall be required per NFPA 1123 and/or NFPA 1126.

7. This subsection shall not preclude a political subdivision, county or city from imposing by ordinance the requirement to notify local authorities of the intent to conduct such display.

(9) Licensed/Pyrotechnic Display Operator.

(A) Every fireworks display or proximate fireworks display shall be supervised, managed, or directed by a Missouri state licensed operator or pyrotechnic operator on-site.

(B) Licensed/pyrotechnic display operators shall complete and submit, on a form provided by the state fire marshal a licensed/ pyrotechnic display operator application and meet the minimum requirements listed below:

1. Applicant shall be at least twenty-one (21) years of age;

2. Applicant shall not have a felony conviction or have pleaded guilty to a felony;

3. A fee of one hundred dollars ($100) shall be paid to the state fire marshal at the time of application for licensure;

4. Applicant shall provide two (2) passport type photographs per license requested;

5. The state fire marshal will consider the following criteria in determining whether to issue a license to the applicant under the provisions of this rule:

A. Documentation that applicant has attended courses relating to pyrotechnics;

B. An applicant shall submit evidence of experience, which must include active participation as an assistant or operator in the performance of at least three (3) fireworks displays or proximate fireworks displays, at least one of which must have occurred in the current or preceding year;

C. Applicant shall complete a written examination administered by the state fire marshal and achieve a passing score of at least seventy percent (70%).

(I) Any person failing to pass the examination may retake the examination after a thirty (30)-day waiting period.

(II) Any person failing to pass the examination a second time may retake the examination after a ninety (90)-day waiting period;

D. Any licenses or certifications from other jurisdictions or licensing entities approved by the state fire marshal;

E. References from local authorities, sponsors, employers, and fireworks/pyrotechnic companies;

F. Copy of U.S. Bureau of Alcohol, Tobacco, Firearms and Explosives permit/ license if applicable;

6. To obtain recertification, the applicant shall be required to meet the following criteria:

A. Provide documentation that applicant has attended a minimum of twelve (12) hours of continuing education relating to pyrotechnics within the past three (3) years.

B. Provide documentation of actively participating in at least three (3) fireworks displays or proximate fireworks displays.

C. A fee of one hundred dollars ($100) shall be paid at the time of recertification to the state fire marshal;

7. The licensee shall carry his/her license at all times when engaging in pyrotechnic display activity;

8. Each license issued pursuant to this

section shall specify the licensee’s name, state issued license number, the license’s effective date and expiration date and photograph;

9. In any case where the state fire marshal denies, suspends or revokes a license, a written notice of the basis for the denial, suspension or revocation shall be provided to the applicant or license holder;

10. Upon notice of revocation or suspension, the license holder shall surrender the license and all copies thereof to the state fire marshal immediately. No person shall supervise a fireworks display or proximate display once their license has been revoked or suspended;

11. Upon notice of denial, suspension or revocation of a license, the decision may be appealed in writing to the state fire marshal within forty-five (45) days of the denial, suspension or revocation requesting an administrative hearing pursuant to the provisions of

section 621.045, RSMo;

12. The state fire marshal may deny, suspend or revoke licensure of any applicant when it is found that the applicant or licensee:

A. Has knowingly made a material misrepresentation of any information required for licensure;

B. Has knowingly by any means of false pretense, deception, fraud, misrepresentation or cheating obtained training or licensure;

13. No person shall handle display/proximate fireworks or cause any person to handle or discharge display/proximate fireworks in this state unless such use of display/proximate fireworks are under the direct supervision and responsibility of a state licensed operator or pyrotechnic operator pursuant to this rule. Persons working under the direct supervision of a licensed operator or pyrotechnic operator at the site shall not be in violation of this rule.

(10) Violations.

(A) A permitee will receive a written warning from the state fire marshal for violation of any of the following:

1. Failing to properly display a No Smoking sign(s);

2. Failing to properly display a No Smoking sign(s) of sufficient size;

3. Failing to properly display a permit or license;

4. Selling or offering for sale fireworks that are not properly labeled;

5. Exposing fireworks not in the original package to direct sunlight while displayed and unattended, as defined by section 320.146.1, RSMo;

6. Leaving unattended fireworks accessible to the public;

7. Attempting to make or making a sale of fireworks out of season as defined in section 320.106(9), RSMo to someone for use or distribution within the state of Missouri;

8. Knowingly allowing an open flame or smoking within twenty-five feet (25') of a place where fireworks are manufactured, stored, kept, or offered for sale;

9. Selling to a child under the age of fourteen (14) who is not in the presence of his/her parent or guardian;

10. Receiving fireworks without a permit if the permitee was permitted but failed to renew;

11. Selling fireworks without a permit if the permitee was permitted but failed to renew;

12. Selling from other than a permanent structure, except for retail sales during fireworks seasons;

13. Storing fireworks too close to volatile liquids or gases, as defined by section 320.146(2), RSMo;

14. Selling or shipping fireworks to a consumer within a city or county lawfully prohibiting the sale or possession of fireworks pursuant to section 320.121, RSMo;

15. Employing a person less than sixteen (16) years of age who is unsupervised;

16. Selling or offering for sale or displaying fireworks to consumers that are marked other than UN0336, 1.4G;

17. Failure of distributors and manufacturers to retain copies of applicable permit(s) or license(s) issued for display and/or proximate fireworks transactions for one (1) year after the transaction;

18. Selling fireworks for resale in this state to a distributor, manufacturer, jobber, wholesaler or seasonal retailer who has not first obtained their current permits as required by law.

(B) Subsequent violation of any of the acts set forth in subsection (10)(A) will result in the suspension or revocation of the permit(s) of the permittee for a period as determined by the state fire marshal.

(C) Violation of any of the following laws or regulations may result in the suspension or revocation of the permit(s) for a period not to exceed three (3) years and/or the refusal of the fire marshal to renew or issue a permit(s) to the permitee or owner:

1. Selling or improperly possessing fireworks while the permit or license has been suspended or revoked;

2. Allowing another person or business to use or display the license of a licensee;

3. Possessing or manufacturing illegal fireworks or selling or offering for sale illegal fireworks as defined in section 320.136, RSMo;

4. Failing or refusing to allow a reasonable inspection of any premises and all portions of buildings where fireworks are being stored or are being offered for sale. A reasonable request is one made either during daylight hours or while the premises or building are open for business;

5. Failing to fully cooperate with a reasonable request during an inspection;

6. Failure to obtain a permit for display or proximate fireworks site;

7. Performing a display or proximate fireworks display without having obtained a licensed operator or pyrotechnic operator permit from the Missouri State Fire Marshal;

8. Failure of the applicant to obtain all required permit(s) and/or license(s) required as per 320.111(1), RSMo.

(D) The state fire marshal will indicate to the permit holder, in writing, the statute(s) and any regulations violated. Appeals from any decision of the state fire marshal will be made to the Administrative Hearing Commission, except in cases in which a charged violation includes a violation of the criminal laws.

(E) The period of suspension or revocation imposed by the state fire marshal will remain in effect against the permit holder’s future business, partnership, corporation or entity even if an attempt to change ownership or control of that permit holder’s business, partnership, corporation or entity is made or attempted.

(F) Persons found guilty of handling or discharging display/proximate fireworks, or directing, ordering or otherwise causing any person to handle or fire display/proximate fireworks in this state without having a valid license shall be guilty of a Class A misdemeanor.

(11) Incident Reporting; Licensed Operator/Pyrotechnic Operator Responsibility.

(A) It is the responsibility of the licensed operator/pyrotechnic operator to immediately report any discharge related incident identified below to local law enforcement or fire service agencies and request such agency to notify the Office of the State Fire Marshal— 1. Injury to any person requiring immediate medical treatment;

2. A fire or damage to property in an amount reportable to the operator’s insurance company;

3. Loss of life.

(B) After a reportable incident has occurred, the scene shall not be altered or tampered with in any manner unless authorized by the state fire marshal or designee, until an investigation/inspection can be completed.

(C) Failure of the licensed operator/pyrotechnic operator to report an incident identified in this section may be subject to their license being suspended or revoked by the state fire marshal for a period of time not to exceed three (3) years.

Rescinded and readopted: Filed Aug. 31, 2004, effective March 30, 2005. ** *Original authority: 320.111.9, RSMo 1985, amended 1987, 1993, 1995, 1999, 2004. **Pursuant to Executive Orders 20-04, 20-10, and 20-12, 11 CSR 40-3.010, subparagraphs (2)(A)1.A. and (2)(A)1.B. was suspended from April 16, 2020 through December 30, 2020.

History

• authority having jurisdiction where the display is proposed to be held.
• authority having jurisdiction for compliance with NFPA 1126 and NFPA 101 Life Safety Code or equivalent nationally recognized code in relation to means of egress, occupancy load, and automatic sprinkler and fire alarm systems.
• AUTHORITY: section 320.111.9, RSMo Supp. 2004. Original rule filed Sept. 29, 1988, effective Feb. 24, 1989. Amended: Filed May 1, 1989, effective July 13, 1989. Emergency rescission and rule filed Aug. 31, 2004, effective Sept. 10, 2004, expired March 9, 2005.

Chapter 4 moved to 11 CSR 10-11

11 CSR 40-4.010 Organization {#sec-11-csr-40-4.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-4.010}

(Moved to 11 CSR 10-11.210)

11 CSR 40-4.020 Definitions {#sec-11-csr-40-4.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-4.020}

(Moved to 11 CSR 10-11.220)

11 CSR 40-4.030 Emergency Notification of Releases of Hazardous Substances and Extremely Hazardous Substances {#sec-11-csr-40-4.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-4.030}

(Moved to 11 CSR 10-11.230)

11 CSR 40-4.040 Reporting Procedures Under the State and Federal Emergency Planning and Community Right-to-Know Act (EPCRA) {#sec-11-csr-40-4.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-4.040}

(Moved to 11 CSR 10-11.240)

11 CSR 40-4.050 Hazardous Chemical Fees {#sec-11-csr-40-4.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-4.050}

(Moved to 11 CSR 10-11.250)

MATTBLUNT(5/31/02)

Chapter 5 Elevators

11 CSR 40-5.010 Purpose {#sec-11-csr-40-5.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.010}

PURPOSE: This rule is to establish the purpose for the section’s rules 11 CSR 40-5.020 through 11 CSR 40-5.150, which relate to 701.350 through 701.380, RSMo.

(1) The purpose of this rule is to establish— (A) Minimum safety standards for the maintenance, inspection, tests, and operation of all elevator equipment;

(B) Minimum safety standards for the construction of new elevator equipment;

(C) Minimum safety standards for the alteration of existing elevator equipment;

(D) Minimum safety standards for existing elevator equipment;

(E) Rules and regulations prescribing registration and permitting of all elevator equipment;

(F) Rules and regulations prescribing fees;

(G) Rules and regulations for the application and granting of variances and exceptions;

(H) Minimum standards for registering, certifying and qualifying elevator inspectors; and (I) Rules and regulations for the effective administration and enforcement of sections 701.350–701.380, RSMo.

(2) These rules and regulations are intended to protect the general public, invitees, guests, employees, and all persons who could reasonably be expected to use elevator equipment.

11 CSR 40-5.020 Scope and Application {#sec-11-csr-40-5.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.020}

PURPOSE: The purpose of this rule is to specifically identify the scope of elevator construction, maintenance, and inspection.

(1) These rules and regulations apply to all elevator equipment in the state of Missouri except as specifically exempted herein.

(2) These rules and regulations do not apply to— (A) A conveyor, chain or bucket hoist, construction hoist or similar devices used for primary purpose of elevating or lowering materials and is not used for elevating or lowering workers or other riders, including those workers loading and unloading such devices;

(B) Tiering, piling, feeding, or similar machines or devices giving service within only one (1) story;

(C) Elevator equipment installed in a single-family residence or those installed completely within a single unit of a multi-family residence. These regulations do apply to elevator equipment installed in the common areas of multi-family residences;

(D) Any device inaccessible to the public, not used to transport passengers and built prior to January 1, 1940; or (E) Single person elevator lifts and belt manlifts operating only in grain elevators or feed mills unless inspection is requested by the owner.

History

• AUTHORITY: section 701.355, RSMo 2000. effective June 30, 2003.

11 CSR 40-5.030 Definitions {#sec-11-csr-40-5.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.030}

PURPOSE: This rule is to define terms common to elevator and other objects that fall under sections 701.350–701.380, RSMo.

(1) As used in these rules and regulations the following terms mean:

(A) Alteration—Any change or addition to any elevator equipment other than ordinary repairs and replacements;

(B) Automatic transfer device—A mechanism which automatically moves a load consisting of a cart, tote box, pallet, wheeled vehicle, box or similar object to and from the platform of the lift but does not carry personnel;

(C) Authorized representative—The department within cities, towns, and other governmental subdivisions designated by the Elevator Safety Board to enforce certain provisions of sections 701.350–701.380, RSMo;

(D) Board—The Elevator Safety Board appointed as provided in sections 701.350– 701.380, RSMo;

(E) Department—The Department of Public Safety;

(F) Dumbwaiter—A hoisting and lowering mechanism with a car of limited capacity and size which moves in guides in a substantially vertical direction, and is used exclusively for carrying material;

(G) Elevator equipment—Any equipment regulated by these rules and regulations as described in 11 CSR 40-5.020 defined in 11 CSR 40-5.030 as listed herein;

(H) Elevator—A hoisting and lowering mechanism designed to carry passengers or authorized personnel and equipped with a car which moves in fixed guides and serves two (2) or more fixed landings;

(I) Escalator—A power-driven inclined continuous stairway used for the raising and lowering of passengers;

(J) Existing installation—An installation for which prior to the effective date of these rules and regulations— 1. All work to install the installation was completed; or 2. The plans and specifications were filed with the permitting authority and work begun no later than twelve (12) months after the date of the permit;

(K) Freight elevator—An elevator used primarily for carrying freight and on which only the operator and persons necessary for unloading and loading the freight are permitted to ride;

(L) Installation—An automatic transfer device, dumbwaiter, elevator, escalator, manlift, material lift, moving walk and stairway inclined lift, including its hoistway, hoistway enclosure and related construction, and all machinery and equipment;

(M) Licensed inspector—Any inspector in the employ of the department, in the employ of any authorized representative, or any special inspector certified and licensed by the board in accordance with 11 CSR 40-5.120 as listed herein;

(N) Major alteration—Refer to definition of alteration;

(O) Manlift—A device consisting of a power-driven endless belt moving in one direction only and provided with steps and platforms and handholds attached to it for the transportation of personnel from floor to floor which is not accessible to or used by the general public;

(P) Material lift—A hoisting and lowering mechanism normally classified as an elevator which has been modified to adapt it for automatic movement of material by means of an integrally mounted automatic transfer device;

(Q) Moving walk—A type of passengercarrying device in or on which passengers stand, sit, or walk and in which the movement of the passenger-carrying device is uninterrupted and remains parallel to its direction of motion;

(R) New installation—Any installation not classified as an existing installation, or any existing installation, moved to a new location subsequent to the effective date of these rules;

(S) Personnel hoist—A mechanism and its hoistway for use in connection with the construction, alteration, maintenance, or demolition of a building, structure, or other work.

It is used for hoisting and lowering workers or materials, or both, and is equipped with a car that moves on guide members during its vertical movement;

(T) Special inspector—An inspector certified by the board, but not employed by the Department of Public Safety or by a municipality or political subdivision;

(U) Special purpose personnel elevator— An elevator installed in a structure and location to provide vertical transportation of authorized personnel, their tools and equipment only. Such an elevator is typically installed in structures such as grain elevators, radio antennae and bridge towers, underground facilities, dams, power plants, construction job sites and similar structures, where by reason of their limited use and types of construction served, full compliance with the applicable standards is not practical nor necessary; and (V) Stairway inclined lift—A power passenger lift installed on an incline for raising and lowering persons from one floor to another.

11 CSR 40-5.040 Registration {#sec-11-csr-40-5.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.040}

PURPOSE: This rule is to provide a twelvemonth extension to register elevators, after the adoption of the rules.

(1) Within twelve (12) months after adoption of these rules and regulations under this section relating to registration of an existing installation the owner, operator, lessee or agent of either, shall register each installation, whether or not dormant with the Department of Public Safety, giving type, contract load and speed, name of manufacturer, its location and the purpose for which it is used, and such additional information as the department may require. Registration must be made on a form to be furnished by the department, upon request. Existing or new installations, the construction of which are commenced subsequent to the date of promulgation of these rules, must be registered in the manner prescribed by the department.

(2) Any owner, operator, lessee or agent of either who fails to register an existing installation as required by 11 CSR 40-5.040 may be assessed a penalty as prescribed in 11 CSR 40-5.110 as listed herein. effective Feb. 28, 2001.

11 CSR 40-5.050 New Installations {#sec-11-csr-40-5.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.050}

PURPOSE: This rule is to provide the standards for new installations.

(1) Minimum Standards. All new elevator equipment shall be constructed and installed in conformity with the standards prescribed in the American Society of Mechanical Engineers, ASME A17.1, 2016 edition adopted by the board, Safety Code for Elevators and Escalators, A18.1, 2014 edition, Safety Standards for Platform Lifts and Stairway Chair Lifts, ASME A17.2 2014 edition Guide for Inspection of Elevators, Escalators, and Moving Walks, American National Standard Institute Safety Code for Manlifts ANSI A90.1, 2015 edition, American National Standard Institute Safety Code for Personnel Hoist ANSI A10.4, 2016 edition, ANSI/SIA A92.10 Transport Platforms, 2009 edition unless exempted by section 701.359, RSMo.

(2) Installation Permit.

(A) Prior to the installation or construction of any elevator equipment, an elevator equipment permit shall be obtained from the department or its authorized representative.

(B) Elevator Installation Permit Obtained from the Department.

1. Application for an elevator equipment permit shall be made on a form furnished by the department and shall be submitted by the installing contractor. The application shall require the submission of detailed plans and specifications.

2. Upon receipt of an application for installation of elevator equipment, the required plans and specifications, and the required fee for an elevator equipment permit, the department shall review the application for compliance with the provisions of these rules and regulations. The department shall issue an elevator equipment permit or shall notify the applicant, in writing, of the reasons the elevator equipment permit is denied.

3. Any applicant who has been denied an elevator equipment permit by the department may appeal that denial to the Elevator Safety Board, as provided in 11 CSR 40- 50.140 as listed herein.

(C) Elevator installation permit obtained from authorized representative. Procedures for new installation permits shall be defined by the authorized representative.

(3) Inspection and Testing.

(A) Prior to the operation of any new elevator equipment or the issuance of the operating certificate, such elevator equipment shall be inspected by a licensed inspector.

Testing must be performed by a Licensed Mechanic in accordance with these rules and regulations. The testing must be witnessed by a licensed inspector.

(B) An inspection report shall be filed with the department or its authorized representative, installing contractor and the owner, operator, lessee, or agent of either, by the licensed inspector making the inspection within ten (10) days after completion of the inspection. The inspection report shall be on a form furnished and approved by the department or its authorized representative. It shall indicate whether the elevator equipment was installed in accordance with the plans and specifications approved by the department or its authorized representative and meets the requirements of these rules and regulations.

(4) Operating Certificate for New Installations. Prior to operating a new installation, an operating certificate must be obtained in accordance with 11 CSR 40-5.100 as listed herein. effective Feb. 28, 2001. Amended: Filed Dec. 16, 2002, effective June 30, 2003. Amended:

Filed Dec. 4, 2006, effective May 30, 2007.

11 CSR 40-5.055 Code Additions, Amendments and Interpretations {#sec-11-csr-40-5.055 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.055}

PURPOSE: This rule is to reference the interpretations and amendments to the ASME Elevator and Escalator Codes specified in sections 701.350–701.380, RSMo. entire text of the material which is incorporated by reference as a portion of this rule would be unduly cumbersome or expen sive. This (3/31/20)* JOHN R. ASHCROFT material as incorporated by reference in this

rule shall be maintained by the agency at its headquarters and shall be made available to the public for inspection and copying at no rial. The entire text of the rule is printed (1) The definitions, rules, and regulations for new construction shall be based upon and, at all times, follow the generally accepted nationwide engineering standards, formulae, and practices established and pertaining to elevator equipment construction and safety, known as the Elevator and Escalator Safety Code of the American Society of Mechanical Engineers, 2016 Edition, which is incorporated by reference in this rule as published by ASME, Three Park Avenue, New York, NY 10016-5990. This rule does not include any later amendments or additions. Amendments and interpretations to the code shall be effective immediately upon being promulgated, to the end that the definitions, rules, and regulations shall at all times follow the generally accepted nationwide engineering standards.

(2) Amendments to American Society of Mechanical Engineers, ASME A17.1, 2016 (A) Code deletions.

1. Section 1.2.1 Purpose.

2. Section 2.20.1 Suspension Means.

3. Section 2.20.4.2 Aramid Fiber Ropes.

(B) Code additions.

1. Purpose of this code is to provide for safety and to promote the public welfare. The provisions of this code are not intended to prevent the use of systems, methods, or devices of equivalent or superior quality, strength, fire resistance, effectiveness, durability, and safety to those prescribed by this code, provided there is technical documentation to demonstrate the equivalency of the system, method, or device. The specific stipulations of this code may be modified by the

2. Suspension means.

A. Elevator cars and counterweights shall be suspended by steel wire ropes or noncircular elastomeric-coated steel suspension members attached to the car frame or passing around sheaves attached to the car frame specified in 2.15.1.

B. Suspension means which have previously been installed and/or used on another installation are not to be reused. All suspension members in a set of suspension means need to be the same material, grade, construction, and dimensions. A suitable means is to be provided to protect the suspension means during the installation process. Only the following may be permitted:

(I) Steel wire ropes constructed in accordance with ASME A17.6 2010 Edition,

Part 1; or (II) Noncircular elastomeric-coated steel suspension members constructed in accordance with ASME A17.6 2010 Edition,

Part 3.

July 1, 1999. Amended: Filed Oct. 16, 2019, effective April 30, 2020.

History

• authority having jurisdiction based upon technical documentation or physical performance verification to allow alternative arrangements that will assure safety equivalent to that which would be provided by conformance to the corresponding requirements of this code or functions that do not conform with certain requirements in ASME A17.1/CSA B44, but do conform with the applicable requirements in ASME A17.1/CSA B44.7 may be considered by the board for meeting the requirements of this code. Exceptions may be based on the stipulations of the above section.

11 CSR 40-5.060 Existing Elevators {#sec-11-csr-40-5.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.060}

PURPOSE: This rule is to provide minimum standards for elevators installed prior to the adoption of this rule.

Therefore, the material which is so incorporated is on file with the agency who filed this

rule, and with the Office of the Secretary of State. Any interested person may view this material at either agency’s headquarters or the same will be made available at the Office of the Secretary of State at a cost not to exceed actual cost of copy reproduction. The entire text of the rule is printed here. This note refers only to the incorporated by reference material.

(1) Minimum Standards. All existing elevator equipment installed prior to the effective date of these rules and regulations shall conform to the Missouri Minimum Safety Codes for Existing Elevator Equipment as promulgated by the Elevator Safety Board in 11 CSR 40- 5.065. These standards are hereby adopted and incorporated by reference.

(2) Time Period to Comply. The owner, operator, lessee or agent of either, of any existing elevator equipment, subject to this

section shall have one (1) year from the effective date of these rules and regulations, or when notice is given to comply; or within one (1) year the owner, operator, lessee, or agent of either, of any existing elevator equipment, subject to this section shall submit a plan to the board, for approval, outlining the dates to which the requirements of this section will be complied with.

(3) Operating Certificate for Existing Elevator Equipment. Any elevator equipment installed and in existence prior to the effective date of these rules and regulations shall conform to the standards established by 11 CSR 40-5.090. In addition, the owner, operator, lessee, or agent of either shall obtain an operating certificate in accordance with 11 CSR 40-5.100 as listed herein.

(4) Alteration Permit, Inspection and Operating Certificate. The owner, operator, lessee or agent of either, of any elevator equipment which must be altered in order to comply with the Missouri Minimum Safety Codes for Existing Elevator Equipment shall obtain an alteration permit, an inspection, and an operating certificate in the same manner as provided in 11 CSR 40-5.080 and 11 CSR 40- 5.110.

11 CSR 40-5.065 Missouri Minimum Safety Codes for Existing Elevator Equipment {#sec-11-csr-40-5.065 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.065}

PURPOSE: The purpose of this rule is to take exceptions to the referenced Codes or provide alternatives. It has been noted that some areas of the referenced Codes are too restrictive or may not be feasible to implement, or may be unreasonable for certain types of installations.

(1) In a political subdivision or municipality that had adopted an edition of ASME A17.1 code, elevator equipment shall conform to the code requirements adopted and enforced at the time the elevator equipment was installed.

The following standards apply to all existing elevator equipment installed prior to July 1, 1999 as provided in 11 CSR 40-5.060. Any installation which is in compliance with the latest ASME A17.1 version adopted and amended by the Elevator Safety Board, unless as exempted by 701.359, RSMo shall be considered to be in compliance with 11 CSR 40- 5.065.

(A) Hoistways.

1. Each passenger elevator hoistway landing shall be protected with a door or gate. The door or gate shall be of solid construction and shall guard the entire entrance.

2. All automatic passenger elevators with power doors shall have non-vision panels on hoistway doors.

3. Each hoistway landing in any elevator hoistway shall be continuously provided with a properly working door or gate.

4. Where freight elevator hoistway doors or gates are of open or lattice construction they shall be at least six feet (6') high and shall come within two inches (2") of the floor when closed. Gates shall be constructed as to reject a ball two inches (2") in diameter. They shall withstand a force of two hundred fifty (250) pounds pressure applied in the center of the gate without breaking or forcing it out of its guides.

5. Manually operated bi-parting entrances of elevators which can be operated from the landings shall be provided with pull straps on the inside and outside of the upper panel where the lower edge of the upper panel is more than six feet six inches (6'6") above the landing when the panel is in the fully opened position.

6. Each hoistway door or gate shall be provided with interlocks designed to prevent the car from moving unless the doors or gates are closed. Where doors or gates do not lock when closed they shall lock when the elevator is not more than twelve inches (12") away from the floor. Passenger elevator hoistway doors shall be closed and locked before the car leaves the floor.

7. All hoistway-door interlocks shall be of the hoistway unit type.

8. Automatic fire doors shall not lock any landing opening in the hoistway enclosure from the hoistway side nor lock any exit leading from any hoistway landing to the outside of the building.

9. Emergency keys for hoistway doors and service keys shall be kept readily accessible to authorized persons.

10. Access means shall be provided at one (1) upper landing to permit access to the top of the car, and at the lowest landing if this landing is the normal point of access to the pit.

11. Each hoistway door or gate, which is counterweighted, shall have its weights enclosed in a box-type guide or run in metal guides. The bottom of the guides or boxes shall be so constructed as to retain the counterweight if the counterweight suspension means breaks.

12. Hoistways containing freight elevators shall be fully enclosed. Enclosures shall be unperforated to a height of six feet (6') above each floor or landing and above the treads of adjacent stairways. Unperforated enclosures shall be so supported and braced as to deflect not over one inch (1") when subjected to a force of one hundred (100) pounds applied horizontally to any point. Open work enclosure may be used above the six-foot (6') level and shall reject a ball two inches (2") in diameter.

13. Hoistways containing passenger elevators shall be fully enclosed and the enclosure shall be of solid construction to its full height.

14. Except where vertical opening biparting doors are provided, all elevators provided with automatic leveling, inching, or teasing devices and where the landing sills project within the hoistway, shall be equipped with a bevel on the underside of the landing sill. Bevels shall be constructed of smooth concrete or not less than sixteen (16) gauge metal securely fastened to the hoistway entrance. Bevels shall extend the full depth of the leveling zone plus three inches (3").

15. Every hoistway window opening seven (7) stories or less on an outside wall above a thoroughfare and every such window three (3) stories or less above a roof of the building or of an adjacent building shall be guarded to prevent entrance by fire or emergency rescue persons. Each such window shall be marked “hoistway” in a readily visible manner.

16. All electrical wiring in the hoistway shall be enclosed in metal conduit, flexible conduit or metal raceway or be in compliance with NFPA 70, National Electric Code.

17. No pipes conveying liquids, gases, or vapors shall be located in a hoistway.

Exception: branch lines for sprinkler system and low pressure steam lines for heating.

(B) Car Enclosure: Passenger.

1. Each passenger car shall be fully enclosed except on the sides used for entrance and exit. The enclosure shall be of solid construction. Grill work at the top of the sides shall not be more than eight inches (8") high.

If the car is provided with a solid door and there is no grill work in the enclosure, adequate means of ventilation shall be provided.

2. Each passenger car enclosure shall have a top constructed of solid material. The top shall be capable of sustaining a load of three hundred (300) pounds on any area of two feet (2') on a side and one hundred (100) pounds applied at any point. Simultaneous application of these loads is not required.

3. Passenger car enclosure tops shall have an emergency exit with cover. Opening size shall be as set forth in ASME A17.1,

rule 204.1E, 1955 edition. Exception:

Hydraulic elevators provided with a manual lowering valve.

4. Each passenger car shall have a door or gate at each entrance. Doors or gates shall be of the horizontally sliding type. Doors shall be of solid construction. Gates shall be of the collapsible type. Gates and doors shall conform to ASME A17.1, rule 204.4, 1955 5. Each passenger car door or gate shall have an electric contact to prevent the car from running with doors or gates open.

Exceptions:

A. By a car-leveling or truck-zoning device;

B. By a combination hoistway access switch and operating device; or C. When a hoistway access switch is operated.

6. All automatic passenger elevators with power doors shall have reopening devices on the doors, designed to reopen doors in the event the doors should become obstructed.

7. Where a car door or gate of an automatic or continuous-pressure operation passenger elevator is closed by power, or is of the automatically released self-closing type, and faces a manually operated or self-closing hoistway door, the closing of the car door or gate shall not be initiated unless the hoistway door is in the closed position; and the closing mechanism shall be so designed necessary to prevent closing of a horizontally sliding car door or gate from rest shall be not more than thirty (30) pounds. Exception: Where a car door or gate is closed by power through continuous pressure of a door-closing switch, or of the car operating device, and where the release of the closing switch or operating device will cause the car door or gate to stop or to stop and reopen.

8. Each passenger car shall have lighting inside the enclosure of not less than five (5) foot-candles. Bulbs and tubes shall be guarded to prevent breakage.

9. Each passenger elevator shall have a capacity plate prominently displayed in its enclosure. The capacity plate shall list its capacity in pounds.

10. All passenger elevator car floors shall be maintained so that persons are not exposed to the hazards of tripping or falling.

11. All automatic passenger elevators shall be provided with an alarm bell capable of being activated from inside the car and audible outside the hoistway. If the elevator is not equipped with a bell, a two- (2-) way conversation device to the elevator and a ready accessible point outside the hoistway may be acceptable.

12. All automatic passenger elevators shall have their door open zones adjusted to where the door shall not open unless the car has stopped within six inches (6") of floor level.

(C) Car Enclosure: Freight.

1. Each freight elevator car shall have a solid enclosure of at least six feet (6') in height. The space between the solid section and the car top shall be covered solid or with perforated or lattice-type work. The perforated or lattice work shall reject a ball one and one-half inches (1 1/2") in diameter. The portion of open-type enclosure, which passes the counterweights, shall be of solid construction the entire width of the counterweights plus six inches (6") on either side. The enclosure top shall be provided with an emergency exit.

Exception: Hydraulic elevators provided with a manual-lowering valve.

2. Each freight car enclosure shall have doors or gates at each entrance and shall be not less than six feet (6') high. Each door or gate shall be constructed in accordance with ASME A17.1, rule 204.4, 1955 edition.

3. Each car door or gate on a freight elevator shall have electric contacts to prevent the car from running with doors or gates open. Exceptions:

A. By a car-leveling or truck-zoning device;

B. By a combination hoistway access switch and operating device; or C. When a hoistway access switch is operated.

4. Each freight elevator car enclosure shall be provided with a top. The top may be solid or open-work construction and shall be of metal. The open work shall reject a ball two inches (2") in diameter. Car tops shall be constructed to sustain a load of two hundred (200) pounds applied at any point on the car top. The top shall not have hinged or folding panels other than the emergency exit cover.

5. Each freight car enclosure shall have lighting not less than two and one-half (2 1/2) foot-candles. Bulbs or tubes shall be guarded to prevent breakage.

6. Each freight car enclosure shall have capacity plate, loading class plates, and a “No Passengers” sign conspicuously posted.

Letters shall not be less than one-half inch (1/2") high.

7. Freight elevators shall not be loaded to exceed the rated load as stated on their capacity plates.

8. Each freight elevator car floor shall be maintained so that personnel will not readily slip or trip. The floor shall be maintained so that it will hold its rated load without breaking through at any place in the car.

9. Freight elevators shall not be permitted to carry passengers other than persons to load and unload material and the operator.

Permission may be granted to allow the carrying of employees on freight elevators.

Application shall be submitted and may be approved by the authorized representative after which the installation shall be tested as determined by the Department of Public Safety.

(D) Brakes.

1. Each electric elevator shall be provided with an electric brake.

2. Each brake shall be of the friction type applied by a spring or springs or gravity and released electrically. The brake shall be capable of holding the car at rest with its rated load.

(E) Machines.

1. Friction gearing or clutch mechanisms shall not be used for connecting the drum or sheaves to the main driving mechanism.

2. Set screw fastenings shall not be used on power elevators in lieu of keys or pins on connections subject to torque or tension.

3. Portable power-chain or cable hoist machines shall not be used to raise or lower an elevator car.

4. No belt or chain driven power machine shall be used for any elevator unless the machine is provided with a broken belt or broken chain safety switch of the electrical non-automatic reset type. Exception:

Hydraulic machines.

(F) Electrical Switches.

1. All electric elevators shall have a labeled emergency stop switch. The switch shall be located on or adjacent to the operating panel.

2. All electric elevators shall have upper and lower final limit switches. Open-type switches shall not be accepted. Drum-type machines shall have final limit switches mounted on the machine and hoistway final limit switches.

3. All operating devices of car switch operations shall automatically return to the stop position and latch there when released.

4. Tiller-cable operations shall not be used unless all direction switches on controllers are mechanically operated. Contacts on direction switches shall be broken when the cable is at the centered position.

5. No elevator shall be provided with a switch or device which makes more than one (1) door or gate switch inoperative at any one time. Exception: Fire fighter service switches.

6. No person at any time shall make any required safety device or electrical protective device inoperative, except where necessary during tests, inspections or maintenance.

Such devices shall be restored to their normal operating conditions as soon as all tests, inspections and maintenance has been completed. The facility shall not be left unattended while any of these devices are inoperative.

7. Each winding drum machine shall be provided with an electrical switch which shall disconnect power to the hoisting motor and brake when cables are slackened.

8. Any persons entering an elevator pit for any reason shall have the power to the elevator removed at the main line disconnect switch. The disconnect switch shall be red tagged to prevent the power from being placed back on the elevator controls. Exception: Elevators provided with a pit stop switch.

9. A fused disconnect means for all elevators shall be provided. Disconnect switch shall be located in the machine room and be readily accessible from the machine.

(G) Maintenance, Repair and Alterations.

1. All maintenance, repair and replacement shall comply with the applicable standard established by 11 CSR 40-5.050(1)

ASME A17.1, section 8.6 Safety Code for Elevators and Escalators.

2. All alterations shall comply with the applicable standards established by 11 CSR 40-5.050(1) ASME A17.1, section 8.7 Safety Code for Elevators and Escalators.

3. All maintenance, repair and alterations to platform lifts and stairway chair lifts shall comply with the applicable standards established by 11 CSR 40-5.050(1) ASME A18.1, Safety Standard for Platform Lifts and Stairway Chair Lifts.

(H) Machine Rooms.

1. All means of access to elevator machine rooms shall be of a permanent nature and shall be constructed and maintained in a clear and unobstructed manner.

2. The elevator machine and control equipment shall be located in a separate room or separated space designed as an elevator machine room or space and shall be accessible only to authorized personnel. Existing machines and equipment essential to the operation and purpose of the building are permitted but must not interfere with the safety and work area for maintaining elevator equipment. Pipes conveying liquid, gas, or vapor that cross overhead of elevator equipment or come in close proximity of the equipment shall be guarded or guttered. Where other existing machines and equipment essential to the operation and purpose of the building are located in the machine room or space, the elevator related equipment and machines shall be separated by a substantial grill constructed of noncombustible material not less than six feet (6') high and the grill shall be of a design that will reject a ball two inches (2") in diameter. All rooms or enclosures shall have a self-closing and self-locking door and shall be operable from the interior space without use of a key. After the effective date of this rule, no equipment shall be added to the machine room or space that is not used in connection with the operation of the elevator.

3. All elevator machine rooms shall be provided with a floor. The floor shall cover the entire area of the machine room and hoistway.

4. Machine room floors shall be kept clean and free of grease and oil. Articles or materials not necessary for the maintenance or operation of the elevator shall not be stored therein. Flammable liquids having a flash point of less than one hundred ten degrees Fahrenheit (110°F) shall not be stored in the machine room.

5. Lighting in the machine room shall be not less than ten (10) foot-candles at floor level.

6. Where there is more than one machine in a room, each machine shall have a different number conspicuously marked on it. The controller, disconnect switch, and relay panels for each machine shall be conspicuously numbered to correspond to the machine it controls.

7. All electrical equipment in the machine room shall be grounded which shall conform to ASME A17.1, 1996 edition and NFPA, 70, National Electric Code.

8. All electrical wiring in the machine room shall be enclosed in metal conduit, flexible conduit or metal raceways or be in compliance with NFPA 70, National Electric Code.

9. Each elevator having polyphase alternating current power supply shall be provided with means to prevent the starting of the elevator motor if:

A. The phase rotation is in the wrong direction; or B. There is a failure of any phase.

This protection shall be considered provided in the case generator-field control having alternating current motor-generator driving motors, provided a reversal of phase will not cause the elevator driving-machine motor to operate in the wrong direction. Controllers whose switches are operated by polyphase torque motors provide inherent protection against phase reversal or failure.

(I) Pits.

1. All pits shall be kept dry, clean, and free of equipment or material not relating to the operation of the elevator. Exception:

Sump pumps.

2. Buffers (spring or oil type) under cars and counterweights shall be permanently fastened to the floor or their supporting beams.

3. All elevators shall have counterweight guards. Guards shall be of unperforated metal of at least the strength of or braced to the equivalent strength of number fourteen (14) gauge sheet steel. Guards shall extend from a point not more than twelve inches (12") above the pit floor to a point not less than seven feet (7') above the pit floor. Where guards are not feasible, warning chains shall be installed on the bottom of the counterweights and shall extend no less than five feet (5') below counterweight. Chains shall be of a number ten (10) U.S. gauge wire or of equal size. Exception: When compensating chains or ropes are used, a counterweight guard is not required.

4. Buffers shall be installed where elevator pits are not provided with buffers and where the pit depth will permit, buffers shall comply with ASME A17.1, 1955 edition,

section 201.

5. Where the depth of any pit is four feet (4') or more it shall have a ladder permanently installed. The ladder shall extend not less than thirty inches (30") above the sill of the access door, or hand grips shall be provided to the same height. Ladder shall be of noncombustible material.

6. A permanent lighting fixture shall be provided in all pits to provide an illumination of not less than five (5) foot-candles at the pit floor. The fixture switch shall be provided and accessible from the pit access door.

7. An enclosed stop switch meeting the requirements of ASME A17.1, 1995 edition,

rule 210.2(e) shall be installed in the pit of all power elevators and be accessible from the pit access door.

8. Pit sump holes, with or without pumps, and well holes that are accessible, shall be covered flush with the pit floor. The covering shall consist of a noncombustible material.

(J) Counterweights.

1. Broken or cracked sections of counterweights shall be replaced.

2. Counterweight hanger rods, tie rods or both shall firmly support and secure the counterweight sections in place.

3. Wire ropes extending through counterweights from one (1) stack to another shall be guarded by metal sleeves attached to the wire ropes. Guards shall be of a suitable design to prevent accidental crushing or deforming for the ropes and rope sockets.

Stacks shall not be spaced less than eight inches (8") apart.

(K) Car Platforms and Car Slings.

1. All platforms shall be soundly constructed without cracks or breaks in stringers or frames. All floors shall be free of holes.

2. All car slings shall be soundly constructed and free of cracks or breaks.

3. Where cable sheaves are used on the crosshead, they shall be firmly attached and free of cracks or breaks.

4. All elevators shall have data plates attached to the crosshead.

5. All elevators with automatic leveling, inching or teasing devices shall have a platform guard or an apron. All other elevators shall have warning chains hung within two inches (2") of the edge of the platform on the entrance sides. Chains shall be of number ten (10) U.S. gauge wire or of equal size. Chains shall extend not less than five feet (5') below the platform and shall not be spaced more than four inches (4") apart.

6. All car slings shall have guide shoes at the top and bottom of the sling. Shoes that are worn to a degree which affect the safe operation of the car shall be repaired or replaced.

(L) Wire Ropes—Hoisting, Governor, and Tiller.

1. All hoisting and governor ropes, when replaced, shall have rope tags. The tags shall provide the following information:

A. The diameter in inches;

B. The manufacturer’s rated breaking strength;

C. The grade of material used;

D. The month and year ropes were installed;

E. Whether preformed or non-preformed;

F. Construction classification;

G. Name of person or firm who installed ropes; and H. Name of manufacturer of ropes.

2. Wire ropes on drum-type machines shall be resocketed in compliance with ASME A17.1, 1996 edition, rule 1206.3.

3. Suspension ropes on drum-type machines shall have not less than one (1) turn of the rope on the drum when the car is resting on the fully compressed buffers.

4. Winding drum machines shall not be used unless they are provided with not less than two (2) hoisting ropes. Each counterweight stack shall be provided with not less than two (2) ropes.

5. Tiller cables on cable-operated elevators shall be kept free of breaks.

6. On tiller-cable operations, the cable shall pass through a guiding or stopping device mounted on the car. The cable shall be provided with adjustable stop balls and be provided with means to lock and hold the car at a floor. Stop balls at top and bottom shall be adjusted to automatically stop the car.

The tiller cable shall be completely enclosed in the hoistway.

7. All hoisting or counterweight ropes located outside of the hoistway that are exposed shall be covered with a box-type guard. The guard shall be not less than six feet (6') high from floor level.

8. Hoisting, governor, and tiller ropes shall not be lengthened or repaired by splicing.

9. Suspension means of chains other than a roller chain type shall not be allowed.

Any elevator suspended by a roller chain type shall not be used for the carrying of passengers. Exception: Elevators for the disabled.

10. Hoisting ropes for power elevators shall not be less than three-eighths inch (3/8") in diameter.

11. Hoisting rope fastening means shall be of the socket, babbitting, or wedge type.

Clamps shall not be used.

12. Rope (cable) replacement. Hoisting, governor, and tiller ropes shall be replaced when the Inspection of Elevators, Escalators and Moving Walks, ASME A17.2, 1996 edition Inspectors’ Manual, Division 103, Item 103.4 dictates they shall be changed.

(M) Car Safeties and Speed Governors.

1. Each elevator suspended by ropes shall be provided with mechanically applied car safeties which shall be capable of stopping and sustaining its rated load.

2. Broken rope or slack rope safeties may be allowed if the car speed is not in excess of fifty feet per minute (50 fpm).

3. Elevators which are provided solely with broken rope or slack rope safeties shall not be used for passenger service. Exception:

Elevators for the disabled.

4. All safeties shall be adjusted so that clearances from the rail shall be in accordance with ASME A17.1, 1955 edition rule 1001.2.

5. All slack cable safeties shall be provided with an electrical switch which disconnects power to the elevator machine and brake when setting of the safeties occurs.

6. All safeties operated by a speed governor shall be provided with a speed switch operated by the governor when used with type B or C car safeties on elevators having a rated speed exceeding one hundred fifty (150)

fpm. A switch shall be provided on the speed governor when used with a counterweight safety for any car speed.

7. Speed governors shall have their means of speed adjustment sealed.

8. For hoistways not extending to the lowest floor and where space below the hoistway is used for a passageway or is occupied by persons, or if unoccupied but not secured against unauthorized access, the counterweights of the elevator shall be provided with safeties. Safeties shall be tripped by a speed governor if the car speed is in excess of one hundred fifty (150) fpm. Speed governors shall be set to trip above the car governor tripping speed but not more than ten percent (10%) greater.

(N) Guide Rails.

1. All guide rails and brackets whether of wood or steel shall be firmly and securely anchored or bolted in place. Where T rail is used all fish-plate bolts shall be tight. This shall comply with ASME A17.1, 1955 edition, section 200.

2. Where guide rails which are worn to such a point that proper clearance of safety jaws cannot be maintained, the worn sections shall be replaced to achieve clearances as specified in ASME A17.1, 1996 edition, rule 1001.2.

(O) Existing Hydraulic Elevators.

1. Cylinders of hydraulic-elevator machines shall be provided with a means for releasing air or other gas.

2. Each pump or group of pumps shall be equipped with a relief valve conforming to the following requirements:

A. Type and location. The relief valve shall be located between the pump and the check valve and shall be of such a type and so installed in the bypass connection that the valve cannot be shut off from the hydraulic system;

B. Setting. The relief valve shall be preset to open at a pressure not greater than that necessary to maintain one hundred twenty-five percent (125%) of working pressure;

C. Size. The size of the relief valve and bypass shall be sufficient to pass the maximum rated capacity of the pump without raising the pressure more than twenty percent (20%) above that at which the valve opens.

Two (2) or more relief valves may be used to obtain the required capacity; and D. Sealing. Relief valves having exposed pressure adjustments if used, shall have their means of adjustment sealed after being set to the correct pressure. Exception:

No relief valve is required for centrifugal pumps driven by induction motors, provided the shut-off, or maximum pressure which the pump can develop, is not greater than one hundred and thirty-five percent (135%) of the working pressure at the pump.

3. Storage and discharge tanks shall be covered and suitably vented to the atmosphere.

4. All repair and alterations of hydraulic elevators shall comply with ASME A17.1, 1996 edition, section 1201 with supplements thereto.

(P) Existing Sidewalk Elevators.

1. Hoistways shall be permanently enclosed. The enclosures shall conform to ASME A17.1, 1955 edition rule 401.1.

2. All interior landings shall have a door or gate which shall be provided with an interlock.

3. Doors opening in sidewalks or other areas exterior to the building shall be of the hinged type. Doors or covers shall be designed to hold a static load of three hundred pounds per square foot (300 ppsf).

Doors shall always be closed unless elevator is at the landing.

4. Stops shall be provided to prevent the cover in the opening of the sidewalk from opening more than ninety degrees (90°) from its closed position.

5. Covers in sidewalk shall be designed to close when the car descends from the top landing.

6. Recesses or guides which will securely hold the cover in place on the car stanchions shall be provided on the underside of the cover.

7. All electrical wiring shall be enclosed in metal conduit, flexible conduit, or metal raceways. If hoistway opens in the sidewalk, the wiring shall be weatherproof.

8. Operating devices and control equipment shall comply with ASME A17.1, 1955 edition, rule 402.4.

9. All electric sidewalk elevators shall have upper and lower final limit switches.

Open-type switches shall not be allowed.

10. Cars shall have enclosures which shall be not less than six feet (6') in height provided the stanchions and bow iron are of sufficient height. The enclosure shall be provided with electric contacts to prevent the car from running with doors or gates open.

11. Cars shall have safeties. Where the speed of the elevator does not exceed fifty (50) fpm, car safeties which operate as a result of breaking or slackening of the hoisting ropes may be used. Such safeties may be of the inertia type or approved type without governors. Governors shall not be required when car speed does not exceed fifty (50) fpm.

12. Car enclosures and car gates shall not be required for hand-powered sidewalk elevators.

13. All repair and alterations shall comply with ASME A17.1, 1955 edition, section 1200.

(Q) Existing Hand Elevators.

1. Hand-powered elevators shall have hoistway doors. Doors shall be of the selfclosing and self-locking type.

2. Hoistway doors shall have signs attached to them indicating elevator hoistway.

Sign shall be as follows in not less than twoinch (2") letters: DANGER ELEVATOR— KEEP CLOSED.

3. All hand-powered elevators shall be provided with safeties or slack cable devices.

Safeties do not have to be operated by a speed governor unless the speed is in the excess of fifty (50) fpm.

4. Hand-powered elevators shall have a car enclosure which shall be constructed of metal or sound seasoned wood. The enclosure shall cover all sides which are not used for entrance or exit. The enclosure shall be secured to the car platform or frame in such a manner that it cannot work loose or become displaced in ordinary service.

5. Each hand-powered elevator shall be provided with a brake which shall be capable of stopping and sustaining the car whether loaded or unloaded.

6. Hand-powered elevators shall not be converted or changed to electric powered unless the complete facility is brought into conformity with ASME A17.1, 1996 edition.

7. Repair or replacement of worn or broken parts shall be in compliance with ASME A17.1, 1996 edition, rule 1202.2.

(R) Power Operated Special Purpose Elevators.

1. Elevators complying with the following requirements may be installed in any structure where the elevator is not accessible to the general public, is used exclusively for designated operating and maintenance employees only, and where transportation of one (1) or two (2) persons is required to attend machinery or equipment frequently.

2. The inside platform area of the car shall not exceed nine (9) square feet. The rated speed shall not exceed one hundred (100) fpm. The rated load shall not exceed six hundred fifty (650) pounds.

3. Hoistways shall be enclosed to their full width, to a height of not less than seven feet (7') with solid or perforated noncombustible material braced to deflect not more than one inch (1") when subjected to a force of one hundred (100) pounds applied horizontally at any point. Open work enclosures shall be at least number thirteen (13) steel wire gauge or expanded metal at least number thirteen (13) U.S. gauge and shall reject a ball two inches (2") in diameter. Where counterweights pass, landing and stairway side shall be of solid construction.

4. Wiring shall comply with the requirements of ASME A17.1, 1978 edition and NFPA 70.

5. Counterweights shall comply with the requirements of ASME A17.1, 1978 edition,

Part XV.

6. Hoistway doors shall comply with rules ASME A17.1, 1978 edition, Part XV.

7. Cars shall be solidly constructed in accordance with ASME A17.1, 1978 edition,

Part XV.

8. Car enclosure.

A. Except at the entrance, the car shall be enclosed on all sides and the top.

The enclosure at the sides shall be solid or open work. All open work shall reject a ball one inch (1") in diameter. The enclosure shall be constructed of sufficient strength that it will not deflect more than one inch (1") at any one (1) point.

B. There shall be an electric light to illuminate the car or hoistway with the switch placed on or near the operating panel.

C. There shall be no glass used in the elevator car except for the car light.

9. A car door shall be provided at each car entrance. Door or gate shall guard the complete entrance. The door or gate shall be at least seven feet (7') high, of metal construction with solid or open construction to reject a ball one inch (1") in diameter. A contact switch shall be provided to prevent the operation of the elevator with doors or gates open. The door or gate shall be provided with interlocks.

10. Guide rails shall comply with ASME A17.1, 1978 edition, Part XV.

11. The means and methods of suspension shall comply with ASME A17.1, 1978 edition, Part XV.

12. Electrical switches shall comply with ASME A17.1, 1978 edition, Part XV.

13. Brakes shall comply with ASME A17.1, 1978 edition Part XV.

14. Emergency signal or communication shall comply with ASME A17.1, 1978 edition, Part XV.

(S) Fire Service.

1. Elevators with fire service features shall comply with the edition of ASME A17.1 that the elevator was constructed to meet.

(T) Existing Dumbwaiters, Escalators, and Moving Walks.

1. Dumbwaiters. All dumbwaiters whether electric or hand powered shall conform to ASME A17.1, 1971 edition, section 700. Exceptions: Required rules for hoistway construction as set forth in ASME A17.1, 1971 edition shall not apply to existing installations.

2. Escalators.

A. Each escalator shall be provided with an electrically released mechanically applied brake capable of stopping the up and down traveling escalator with any load up to and including the rated load. The brake shall be located either on the driving machine or on the main drive shaft.

B. Starting switches shall be of the key-operated type. Starting switches shall be located on or near the escalator.

C. Emergency stop buttons or other type manually operated switches having red buttons or handles shall be accessibly located at or near the bottom and top landings. The buttons or levers shall be protected to prevent accidental operation.

D. A broken step-chain device shall be provided on each escalator that will cause interruption of power to the driving machine if a step chain breaks or if excessive sag occurs in either step chain.

E. Each escalator shall have comb plates at top and bottom landings of the escalator. Comb plate teeth shall be meshed with and set into slots in the tread surface of the steps so that the points of the teeth are always below the upper surface of the treads.

F. Each escalator balustrade or molding on the balustrade shall have a smooth surface. Screw heads shall set flush with the surface or be of the oval head type without any burrs or rough places on their surface.

G. The clearance on either side of the steps between the step tread and the adjacent skirt panel shall be not more than three-sixteenths inch (3/16").

H. Step treads shall be illuminated throughout their run. The light intensity shall be not less than two (2) foot-candles.

I. An enclosed fused disconnect switch or circuit breaker arranged to disconnect the power supply to the escalator shall be in each machine room or wherever the controller is located.

J. A stop switch shall be provided in each machinery space where means of access to the space is provided. The switch when opened shall cause electric power to be removed from the escalator driving-machine motor and brake. The switch shall be of the manually opened and closed type and shall be marked “STOP.”

K. Hand or finger guards shall be provided at the point where the handrail enters the balustrade.

L. Where the clearance of the upper outside edge of the balustrade and a ceiling or scaffold is less than twelve inches (12") or where the intersection of the outside balustrade and a ceiling or soffit is less than twenty-four inches (24") from the centerline of the handrail, a solid guard shall be provided in the intersection of the angle of the outside balustrade and the ceiling or soffit. The vertical front edge of the guard shall project a minimum of fourteen inches (14") horizontally from the apex of the angle. The escalator side of the vertical face of the guard shall be flush with the face of the wellway. The exposed edge of the guard shall be rounded.

3. Moving walks.

A. Each moving walk shall be provided with an electrically released, mechanically applied brake capable of stopping and holding treadway with a load up to and including the rated load.

B. Starting switches shall be of the key-operated type and shall be located within sight of the exposed treadway.

C. Each moving walk shall be provided with an emergency stop button or manually operated switch at each entrance and exit.

The switches shall be protected to prevent the accidental operation of them. The operation of any of these switches shall interrupt the power to the driving-machine motor and brake.

D. A device shall be provided which will cause interruption of power to the driving-machine motor and brake if the connecting means between pallets break.

E. The entrance to and exit from a moving treadway shall be provided with a threshold plate which shall have teeth and be adjusted so that the teeth are below the treadway.

F. An enclosed fused disconnect switch or a circuit breaker arranged to disconnect the power supply to the moving walk shall be provided in the space where the controller is located.

G. If the balustrade covers the edge of the treadway the clearance between the top surface of the treadway and the underside of the balustrade shall not exceed one-fourth inch (1/4"). Where skirt panels are used the horizontal clearance on either side of the treadway and the adjacent skirt panel shall be not more than one-fourth inch (1/4").

H. A stop switch shall be provided in each machinery space where means of access to the space is provided. The switch when opened shall cause electrical power to be removed from the driving-machine motor and brake. The switch shall be of the manually operated type, and shall be marked “STOP.”

I. Hand or finger guards shall be provided at the point handrails enter the balustrade.

J. All balustrades shall be smooth and free of rough surfaces. All screws shall be flush or oval head. Screw heads shall be smooth and free of burrs.

K. On pallet type treadways adjacent ends of the pallets shall not vary in elevation more than one-sixteenth inch (1/16"). The distance between pallets shall not exceed five thirty-seconds inch (5/32").

L. All repairs and alterations shall comply with ASME A17.1, 1996 edition.

(U) Existing Vertical and Inclined Platform Lifts.

1. Existing vertical and inclined platform lifts shall meet the requirements of ASME A17.1, 1984 edition, Part 20.

(V) Existing Manlifts.

1. Existing manlifts shall be inspected per the requirements of ASME A90.1, 1997 effective Feb. 28, 2001. Emergency amendment filed April 30, 2001, effective May 10, 2001, expired Nov. 5, 2001. Amended: Filed April 30, 2001, effective Oct. 30, 2001.

Amended: Filed Dec. 16, 2002, effective June 30, 2003. Amended: Filed June 14, 2004, effective Dec. 30, 2004. Amended: Filed Dec.

11 CSR 40-5.070 Accessibility to the Disabled {#sec-11-csr-40-5.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.070}

PURPOSE: This rule is to address the ADA requirements for elevators.

This material as incorporated by reference in this rule shall be maintained by the agency at its headquarters and shall be made available to the public for inspection and copying at no rial. The entire text of the rule is printed (1) New Installations of Accessible Passenger Elevators and Wheelchair Lifts. In addition to the standards imposed, the board hereby adopts and incorporates herein the American National Standards Institute Standard for Buildings and Facilities Providing Accessibility and Usability for Physically Disabled People, ANSI A117.1 2009 edition, Sections 407, 408, and 410, American Society of Mechanical Engineers (ASME), Three Park Avenue, New York, NY 10016 adopted by the Elevator Safety Board. This rule does not include any later amendments or additions.

(2) All elevator equipment installed prior to the development and adoption by the authority having jurisdiction of national accessibility standards are not required to meet this rule unless the equipment undergoes a major alteration. effective June 30, 2003. Amended: Filed Dec.

11 CSR 40-5.080 Alterations {#sec-11-csr-40-5.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.080}

PURPOSE: This rule is to address alterations/repairs, replacements, and maintenance of elevators.

(1) Minimum Standards. When any alterations are made, all elevator equipment, as a minimum, shall conform to the applicable requirements of section 8.7 of the ASME A17.1 as amended by the Elevator Safety Board.

(A) Major Alterations listed below require an alteration permit to be obtained and submission of plans or scope of work for review by the division. The plan review fee is one hundred fifty dollars ($150) plus twenty-five dollars ($25) per each floor opening including the bottom floor plus twenty-five dollars ($25) for the alteration permit fee. An acceptance inspection shall be conducted after completion of the alteration.

ItemElectricHydraulicMW & Esc. **Change in Power Supply8.7.2.27.38.7.3.31.4 *Car, increase/decrease in dead weight of Car8.7.2.15.28.7.3.21 **Controller8.7.2.27.48.7.3.31.5 **Alterations to Driving Machines and Sheaves8.7.2.25.1 **Hydraulic Jack8.7.3.23.1 *Driving machine, change in location8.7.2.25.28.7.3.23.6 **Electrically operated control valve in place of Mechanical valve8.7.3.24 *Carrying of Passengers of Freight Elevators8.7.2.16.38.7.3.19 *Increase in rated load8.7.2.16.48.7.3.20 *Change in Rise or Rated Speed8.7.2.17 *Change in Travel or Rated Speed8.7.3.22 *Change in Type of Service8.7.2.16.18.7.3.17 *Change in Type of Operation Control8.7.2.27.68.7.3.31.7 ** Increase in working pressure 8.7.3.23.4 *Addition of elevator to existing hoistway8.7.2.1.2 *Hoistway Enclosures8.7.3.1 **Increase or Decrease in Deadweight of Car.8.7.2.15.28.7.3.21 *Change in Location of Driving Machine8.7.2.25.28.7.3.23.6 *Location of hydraulic jack, change in8.7.3.23.5 *Relocation of moving walk8.7.6.2.2 *Relocation of escalator8.7.6.2.1 *Trusses and Girders (New onto Existing Truss) Escalator8.7.6.1.9 *Trusses and Girders (New onto Existing Truss) Moving Walk8.7.6.2.9 *Top of car operating device8.7.2.27.18.7.3.31.1 **Change in Suspension Means8.7.2.21.18.7.3.25.1 * Plans submitted with permit ** Scope of work submitted with permit ItemElectricHydraulic *Buffer8.7.2.238.7.3.27 *Car safeties8.7.2.188.7.3.15 **Valves, Pressure Piping, and Fittings8.7.3.24 *Counterweight safeties8.7.2.188.7.3.15 *Hydraulic Jack8.7.3.23 **Power Operation of Hoistway Doors8.7.2.128.7.3.12 **Emergency operation 8.7.2.288.7.3.31.8 **Final terminal stopping device8.7.2.26(none) **Firefighters service8.7.2.288.7.3.31.8 **Speed Governor and Governor Ropes.8.7.2.198.7.3.16 **Guide rail8.7.2.248.7.3.28 **Normal terminal stopping device8.7.2.268.7.3.30 **Piping supply8.7.3.24 *Piston8.7.3.23.2 **Plunger Gripper8.7.3.23.7 *Operating device8.7.2.278.7.3.31 **Cylinders replaced, altered or sleeved8.7.3.23.3 **Suspension Means and Their Connections8.7.2.218.7.3.25 **Brake8.7.2.25.1(a) **Capacity, Loading and Classification8.7.2.168.7.3.18 * Plans submitted with permit ** Scope submitted with permit (B) Alterations and major repairs listed below only require an alteration permit to be obtained and an acceptance inspection conducted. Alteration permit fee is twenty-five dollars ($25).

(C) All other alterations are required to conform to 11 CSR 40-5.050 ASME A17.1

section 8.7 as amended by the Elevator Safety Board.

(2) Alteration Permit.

(A) Prior to the alteration or major repair of any elevator equipment, an alteration permit shall be obtained from the department or its authorized representative.

(B) Alteration Permit Obtained from the Department.

1. Application for an alteration permit shall be made on a form furnished by the department and shall be submitted by the installing contractor. The application shall require the submission of detailed plans and specifications.

2. Upon receipt of an application and the required fee for an alteration permit, the required plans and specifications, shall be reviewed by the department for compliance with the provisions of these rules and regulations. The department shall issue an alteration permit or shall notify the applicant in writing of the reasons the alteration permit is denied.

3. Any applicant who has been denied an alteration permit by the department may appeal that denial to the Elevator Safety Board, as provided in 11 CSR 40-5.140 as listed herein.

(C) Alteration Permits Obtained from Authorized Representative. Procedures for alteration permits shall be defined by the authorized representative.

(3) Inspection and Testing.

(A) Prior to the operation of any elevator equipment, which has undergone an alteration or major repair and prior to the issuance of a new operating certificate, the elevator equipment shall be inspected by a licensed inspector. Testing must be performed by a licensed mechanic in accordance with these rules and regulations. The testing must be witnessed by a licensed inspector.

(B) An inspection report shall be filed with the department or its authorized representative, installing contractor and the owner, operator, lessee, or agent of either, by the licensed inspector within ten (10) days after completion of the inspection. The inspection report shall be on a form furnished and approved by the department or its authorized representative. It shall indicate whether the elevator equipment was installed in accordance with the plans and specifications approved by the department or its authorized representative and meets the requirements of these rules and regulations.

(4) Operating Certificate for Alterations.

Prior to operating any altered elevator equipment, an operating certificate must be obtained in accordance with 11 CSR 40- 5.100 as listed herein. effective June 30, 2003. Amended: Filed Dec.

11 CSR 40-5.090 Inspection and Testing {#sec-11-csr-40-5.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.090}

PURPOSE: The purpose of this rule is to identify requirements for periodic inspections and testing of elevators. Inspections will be by qualified elevators inspectors (QEI) every year.

(1) Minimum Standard. All inspections and testing required by Missouri Statute 701.350– 701.380 and these rules and regulations shall be made in accordance with the applicable standards established by 11 CSR 40-5.050, adopted by the Elevator Safety Board excluding periodic inspection requirements of Table N-1, six- (6-) month interval in ASME A17.1 The requirements of the six- (6-) month periodic inspection is to be performed with the twelve- (12-) month periodic inspection. The foregoing standards are incorporated by reference in this rule. This does not include any later amendments or additions.

(2) Periodic Inspections.

(A) The owner, operator, lessee, or agent of either of any elevator equipment as described herein shall have it inspected, every twelve (12) months, as defined by sections regulations. The inspection may be made within thirty (30) days prior to or thirty (30) days following the anniversary date of the initial inspection. Other variations to the twelve- (12-) month inspection period may be authorized by the chief elevator inspector as deemed necessary to schedule inspections in remote locations or for multiple elevator equipment situations.

(B) Any inspection required by sections regulations shall be made only by inspectors licensed in accordance with the provisions of sections 701.350–701.380, RSMo and 11 CSR 40-5.120 of these rules and regulations.

(C) In addition to required inspections, the department or its authorized representative may designate a licensed inspector to make such additional inspections as may be required to enforce the provisions of sections regulations.

(3) Testing Procedures.

(A) All tests shall be made in accordance with the applicable ASME code as adopted and amended by the Elevator Safety Board.

(B) Licensed inspectors shall not be allowed to perform any testing.

(C) Tests required by these rules and regulations shall be made by a licensed elevator mechanic to perform such service employed by the owner, operator, lessee, or agent of either, in the presence of a licensed inspector.

The department has within its discretion, the

(4) Inspection Reports.

(A) Inspection Reports Filed with the Department by Licensed Inspectors. A report of every required inspection shall be filed with the department by the licensed inspector making the inspection, on a form approved by the department, within fifteen (15) days after the inspection or test has been completed.

(B) Inspection Reports Filed with Authorized Representatives by Licensed Inspectors.

Procedures for filing inspection reports with the authorized representative shall be defined by the authorized representative.

(C) Inspection Reports Filed with the Department by Authorized Representatives.

The authorized representative shall file all inspection reports, completed within their designated area, with the department, within thirty (30) days after the inspection or test has been completed, on a form approved by the department.

(D) In the event the required inspection report is not filed with the department in the applicable time frame after the final date when the elevator equipment should have been inspected, the chief elevator inspector may allow for an extension of time or may require additional inspections as deemed necessary to enforce the provisions of sections regulations. effective Feb. 28, 2001. Amended: Filed June 14, 2004, effective Dec. 30, 2004. Amended:

Filed Dec. 4, 2006, effective May 30, 2007.

History

• authority to allow the testing to be performed without a licensed inspector present. In such cases, the elevator equipment shall be properly tagged by the qualified person performing the testing. The inspector shall verify the proper tagging of the elevator equipment within a ten- (10-) day period. It will be required, without exception, that the testing be witnessed in the presence of a licensed inspector, at least every five (5) years.

11 CSR 40-5.100 State Operating Certificate and Local Operating Certificate {#sec-11-csr-40-5.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.100}

PURPOSE: This rule is to require a state operating permit for all elevators.

(1) State Operating Certificate Requirements.

(A) A state operating certificate shall be issued by the department directly to the owner, operator, lessee or agent of either, of the elevator equipment when the inspection report indicates compliance with the applicable provisions of sections 701.350–701.380, RSMo these rules and regulations and the state operating certificate fees have been paid. Following receipt of the inspection report, the department shall issue a notice that state operation certificate fees are due.

The owner, operator, lessee or agent of either will then have thirty (30) days to respond to the department. The department may allow for an extension of fees as deemed necessary by the chief elevator inspector upon a proper written request received prior to the expiration of the thirty (30) days. No elevator equipment shall be operated after one hundred twenty (120) days, after an inspection report or after an extension granted by the chief elevator inspector has expired, unless the owner, operator, lessee or agent of either has obtained a state operating certificate issued by the department or unless the owner, operator, lessee or agent of either has complied with all provisions of these rules and regulations, but has not yet received the certificate. The burden of proof to establish compliance with all provisions of these rules and regulations shall be on the owner, operator, lessee or agent of either.

(B) A state operating certificate shall be issued for a period of one (1) year and the expiration date shall appear on its face.

(2) Display of State Operating Certificate.

The owner, operator, lessee or agent of either shall post the operating certificate in the elevator equipment room, in a noncombustible frame with a clear protective vision plate over it. For installations without an elevator room the state operating certificate shall be posted as directed by the chief elevator inspector.

(3) State Operating Certificate Information.

(A) The state operating certificate shall indicate the following information:

1. The state number, issued by the department to that installation;

2. The type of elevator equipment for which it is issued;

3. In the case of elevators, whether passenger or freight;

4. The owner, operator, lessee or agent of either to whom the certificate is issued;

5. The location of the elevator equipment;

6. The contract load and rated speed;

7. The expiration date;

8. The name of the permitting authority and the licensed inspectors name; and 9. The date of the periodic inspection and test.

(B) In addition to other requirements, state operating certificates for vertical wheelchair lifts, inclined wheelchair lifts and inclined stairway chair lifts shall state the following:

LIMITED USE ONLY

NOT FOR GENERAL PUBLIC USE

(4) Denial of State Operating Certificate.

(A) State operating certificate will be referred to as certificates.

(B) The certificate may not be issued if the fees required by 11 CSR 40–5.110 have not been paid.

(C) The department may deny any certificate for cause, which shall include the failure to comply with the provisions of sections 701.350–701.380, RSMo, these rules and regulations or the detailed plans and specifications approved by the department at time of installation. In determining whether there exists cause to deny any certificate, the department may rely on an inspection report filed by a licensed inspector.

(D) The department shall notify the owner, operator, lessee or agent of either, in writing of the reasons for which the certificate is denied; the changes necessary for compliance; and information regarding their right to appeal.

(E) Any owner, operator, lessee or agent of either who has been denied a certificate by the department may appeal that denial to the department, provided a written request to appeal is received by the department with twenty-one (21) days from the issuance of the notice of the denial to the owner, operator, lessee or agent of either.

(F) As a condition of maintaining his/her license, the department may require the presence of the licensed inspector, upon whose report the denial of the certificate was based, at any hearing on such denial.

(5) Revocation of State Operating Certificate.

(A) State operating certificate will be referred to as certificates.

(B) A certificate may be revoked if the fees required by 11 CSR 40-5.110 have not been paid.

(C) The department may immediately revoke any certificate if it determines there is a failure to comply with the provisions of sections 701.350–701.380, RSMo, these rules and regulations, or the detailed plans and specifications approved by the department at the time of installation and such elevator equipment is in an unsafe condition, where its continued operation may be dangerous to the public safety. In making such a determination the department may rely on an inspection report filed by a licensed inspec- (D) Immediate Revocation.

1. In order to immediately revoke a certificate, the licensed inspector shall place a tag or warning notice on or in the elevator equipment notifying the owner, operator, lessee or agent of either and the public that its use has been ordered to be discontinued.

Such warning shall read as follows:

WARNING

ORDER

The Missouri Department of Elevator Safety has determined that this equipment is in an unsafe condition, so that its continued operation would be dangerous. The Missouri Department of Elevator Safety has ordered that the use of this equipment be discontinued until it has been made safe in conformity with the provisions of sections 701.350–701.380, RSMo and the rules and regulations of the Missouri Elevator Safety Board.

Continued operation of this equipment or removal of this notice may result in criminal and/or civil penalties.

This action is taken pursuant to the

The specific conditions found by the Missouri Department of Elevator Safety, which has rendered this equipment unsafe, are as follows:

This tag shall only be removed by

A. A copy of any applicable inspection report;

B. A copy of the warning notice;

C. The reason for revocation of the certificate;

D. The changes necessary for compliance; and E. Information on how to appeal a revocation order.

(E) Any person aggrieved by a revocation order may appeal by the rules and regulations established under 11 CSR 40-5.140 as listed herein.

(F) In the event the owner, operator, lessee or agent of either is not present at the location of the elevator equipment, the licensed inspector shall mail the notice required by 11 CSR 40-5.100, subsection (5)(D) as listed herein, to the owner, operator, lessee or agent of either within twenty-four (24) hours.

(6) Local Operating Certificate. Procedures for local operating certificates shall be defined by the authorized representative.

History

• authority granted by sections 701.350– 701.380, RSMo.
• authority of the Chief Elevator Inspec- Department of Public Safety Division of Elevator Safety P.O. Box 844 Jefferson City, Missouri 65102 By: ______________________ Date: _____________________ 2. The licensed inspector shall provide immediate written notice to the owner, operator, lessee or agent of either present at the location of the elevator equipment and to the department. This notice shall include the following:

11 CSR 40-5.110 Fees and Penalties {#sec-11-csr-40-5.110 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.110}

PURPOSE: This rule is to meet the statutory requirement that sections 701.350–701.380, RSMo be self-funding without use of general fund monies once the program is running. It is estimated that it will take approximately two (2) years to become self-funding.

(1) New Construction.

(A) Plan Review Fee. The following plan review fees shall be paid to the department for each elevator equipment to be installed within its governing authority, excluding any elevator equipment being installed in the authorized representatives designated areas.

In such cases the fee schedule would be as defined by and paid to the authorized representative. The plan review fee for each elevator is a base fee of one hundred fifty dollars ($150) plus twenty-five dollars ($25) for each opening. The plan review fee for each platform lift or stair lift is a base fee of seventyfive dollars ($75) plus twelve dollars and fifty cents ($12.50) for each opening.

(B) Installation/Alteration Permit Fee. The installation/alteration permit fee shall be twenty-five dollars ($25).

(C) Inspection Fee. The following inspection fee shall be paid to the department for each unit of elevator equipment to be inspected by a department employed licensed inspector, excluding any elevator equipment being inspected in the authorized representatives designated areas or if being inspected by a special inspector. In such cases the fee schedule would be as defined by and paid to the authorized representative or special inspector.

The initial inspection fee is one hundred twenty-five dollars ($125) plus any expenses incurred. The reinspection fee for each reinspection is one hundred twenty-five dollars ($125) plus any expenses incurred.

(D) Temporary Operating Fees. The department may, at its discretion, permit temporary operation pending correction of defects. Such temporary operation shall be limited to sixty (60) days but may be renewed at the discretion of the department for additional periods of not more than thirty (30) days each. The following temporary fee shall be paid to the department for each unit of elevator equipment to be used on temporary operation. The fee for temporary operation is seventy-five dollars ($75) per each thirty (30)-day period.

(E) State Operating Certificate Fee. The annual state operating certificate fee of twenty-five dollars ($25) shall be paid directly to the department for each unit of elevator equipment installed within the state regardless of geographic location of the elevator. If fees are not paid to the department within the required amount of time, revocation of operation may be enforced, per 11 CSR 40-5.100.

(2) Alterations.

(A) Plan Review Fee. To be same as for new construction, of this section, except when plans are not applicable, a letter describing the work to be performed may be submitted, which clearly defines that the work will comply with these rules and regulations.

(B) Inspection Fee. To be same as for new construction, of this section.

(C) Temporary Operating Fees. To be (D) State Operating Certificate Fee. To be (3) Periodic Inspections.

(A) Inspection Fee. To be same as for new construction, of this section.

(B) State Operating Certificate Fee. To be (4) Inspector License Fee. The annual license fee shall be one hundred twenty-five dollars ($125).

(5) Penalties.

(A) Any owner, operator, lessee or agent of either who willfully violates any provision required by sections 701.350–701.380, RSMo and these rules and regulations or operates an installation ordered out of service shall be guilty of the crime abuse of elevator safety.

(B) Abuse of elevator safety is a class C misdemeanor.

(6) Fee Schedule. Fees are established and set in accordance with the sections 701.350– 701.380, RSMo. The board is to review the fee schedule once a year and alter as deemed necessary to comply with sections 701.350– 701.380, RSMo.

Amended: Filed Dec. 4, 2006, effective May 30, 2007. Amended: Filed May 1, 2007, effective Nov. 30, 2007. *Original authority: 701.335, RSMo 1994.

History

• AUTHORITY: section 701.355, RSMo 2000. July 1, 1999. Amended: Filed Feb. 20, 2003, effective Aug. 30, 2003. Amended: Filed April 27, 2005, effective Nov. 30, 2005.

11 CSR 40-5.120 Inspectors {#sec-11-csr-40-5.120 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.120}

PURPOSE: This rule identifies qualifications for inspectors employed by the state, private industry, and authorized jurisdictions.

(1) Certification Required. The inspection of all elevator equipment required by sections regulations shall be made only by a licensed inspector certified by the board.

(A) Inspectors certified by the board and directly employed by the state, municipality, political subdivision, or authorized representative in a full-time position are exempt from the insurance requirements listed herein, until such time as they perform inspections outside the jurisdiction of the governing authority.

(2) Qualification of Special Inspector. To be eligible for a license to inspect elevator equipment, the applicant or licensee shall— (A) Have a high school diploma or general (B) Have had at least four (4) years experiendeavor, at least one (1) year of which shall have been in the design, construction, installation, repair, or inspection of elevators. The non-elevator, mechanical, or electrical expe-

basis for the non-elevator qualifying experience. The one (1) year of required elevator experience may be on the basis of continuous employment for one (1) year in which at least half (1/2) of the applicant’s time is devoted to elevator work;

(C) Have successfully passed the written examination for elevator inspectors administered by an association accredited by a nationally or internationally recognized organization and evidenced by a certification of the applicant or licensee as a qualified elevator inspector (QEI). This is commonly referred to as being QEI certified;

(D) Have submitted proof of insurance coverage insuring the applicant against professional liability, insurance covering the errors and omissions of the applicant and commercial general liability coverage, with an occurrence limit of not less than one (1) million dollars and a general aggregate limit of not less than three (3) million dollars. Additionally, insurance coverage of an employer for whom the special inspector is employed shall be considered to comply with the aforementioned, if the coverage provides equivalent coverage for each special inspector; and (E) Have no direct financial interest in any business or operation which manufactures, obtaining a license as an inspector.

(3) Grandfather Clause for Special Inspector.

All special inspectors shall have one (1) year from the effective date of these rules and regulations to meet the qualifications established by sections 701.350–701.380, RSMo. At the end of one (1) year from the effective date of these rules and regulations, the applicant must comply with the requirements as defined in 11 CSR 40-5.120 as listed herein.

(4) Qualifications of Municipal or Political Subdivision Inspector. To be eligible for a license to inspect elevator equipment for a municipality or political subdivision, the applicant or licensee shall meet the requirements listed in subsections 11 CSR 40- 5.120(2)(A), (2)(B), (2)(C), and (2)(E). If applicant or licensee does not meet these requirements then (4)(A), (4)(B), (4)(C), and (4)(F) shall be met:

(A) Have a high school diploma or general (B) Have had at least one (1) year experiendeavor. The mechanical or electrical expe-

basis for the qualifying experience;

(C) Have successfully passed the written examination for elevator inspectors administered by an association accredited by the American Society of Mechanical Engineers and evidenced by a certification of the applicant or licensee as a qualified elevator inspector (QEI). This is commonly referred to as being QEI certified. If applicant or licensee does not meet subsections (4)(A), (4)(B), (4)(C) and (4)(F) then (4)(D), (4)(E), and (4)(F) shall be met;

(D) Have successfully completed the Building Officials Code Administrators (BOCA) certification program for elevator inspector and evidenced by a certification of the applicant or licensee as a BOCA certified elevator inspector, or a nationally recognized elevator certification program approved by the Elevator Safety Board;

(E) Attend one (1) continuing education and certification class per year as approved by the Missouri Elevator Safety Board; and (F) Have no direct financial interest in any business or operation that manufactures, obtaining a license as an inspector. If applicant or licensee does not meet subsections (4)(D), (4)(E), and (4)(F) then section (5) candidate’s license requirements shall be met.

(5) Apply for a Candidate’s License to the Missouri Elevator Safety Board. To be eligible for and to maintain a candidate’s license to inspect elevator equipment for a municipality or political subdivision the applicant shall— (A) Have a high school diploma or general (B) Have had at least one (1) year experiendeavor. The mechanical or electrical expe-

basis for the qualifying experience;

(C) Have their elevator equipment inspections directly supervised by a QEI or BOCA certified elevator inspector or a nationally recognized certified elevator inspector approved by the Missouri Elevator Safety Board;

(D) Within one (1) year of application for candidacy applicant shall have successfully completed the training class for QEI or BOCA certification presented by an association accredited by the American Society of Mechanical Engineers or the Missouri Elevator Safety Board;

(E) Beginning with the second year of their candidacy status the applicant shall attend one (1) continuing education and certification class as approved by the Missouri Elevator Safety Board per year;

(F) Within five (5) years of the date of application to the Missouri Elevator Safety Board for a candidate’s license to inspect elevator equipment the applicant shall have successfully passed the written examination for elevator inspectors administered by an association accredited by the American Society of Mechanical Engineers and evidenced by a certification of the applicant or licensee as a qualified elevator inspector (QEI), commonly referred to as being QEI certified; or have successfully completed the Building Officials Code Administrators (BOCA) certification program for Elevator Inspector and evidenced by a certification of the applicant or licensee as a BOCA certified elevator inspector, or a nationally recognized elevator certification program approved by the Elevator Safety Board; and (G) Have no direct financial interest in any business or operation that manufactures, obtaining a license as an inspector.

(6) Grandfather Clause for Municipal and Political Subdivision Inspector. All existing inspectors shall have one (1) year from the effective date of these rules and regulations to meet the qualifications established by sections 701.350–701.380, RSMo. At the end of one (1) year from the effective date of these rules and regulations, the applicant must comply with the requirements as defined in 11 CSR 40-5.120 as listed herein, except that upon application to the Missouri Elevator Safety Board for a candidate’s license, existing inspectors need not comply with subsection 11 CSR 40-5.120(5)(F).

(7) Application.

(A) A written application for a license shall be on a form supplied by the department, which shall include a statement of the applicant’s experience and proof that the applicant is QEI certified.

(B) The board shall consider an application for a license at its next regular meeting, which shall in no event be more than three (3) months from the date the department received the application.

(8) Issuance.

(A) The department shall issue a license immediately upon the board’s approval of an applicant and the payment of a fee in accordance with 11 CSR 40-5.110.

(B) A license shall expire one (1) year from the date of issuance or renewal.

License shall be renewed annually. The annual inspector license fee shall be in accordance with 11 CSR 40-5.110 as listed herein.

(9) Prohibited Activities.

(A) No licensed inspector shall inspect any elevator equipment if the licensed inspector, has a direct financial interest in the building or operation in which the elevator equipment is located.

(B) No licensed inspector shall have or maintain a financial interest in any business which manufactures, installs, alters, or services elevator equipment.

(C) No licensed inspector shall recommend or refer one of his/her clients or customers to a specific business, firm, or corporation which manufactures, installs, repairs, alters, or services elevator equipment.

(10) Financial Disclosure. On or before January 31 of each year, all licensed inspectors shall file, with the department, a financial disclosure statement on forms provided by the department and approved by the board. Such forms shall include, but not be limited to, the (A) The name and address of any corporation, firm, or enterprise in which the licensed inspector has a direct financial interest of a value in excess of one thousand dollars ($1,000). Policies of insurance issued to the licensed inspector or their spouse are not to be considered a financial interest;

(B) A list of every office or directorship held by the licensed inspector or their spouse, in any corporation, firm, or enterprise subject to jurisdiction of the board; and (C) A list showing the name and address of any person, corporation, firm, or enterprise from which the licensed inspector received compensation in excess of one thousand five hundred dollars ($1,500) during the preceding year.

(11) Revocation of License.

(A) The board may revoke any license for cause. Such cause includes, but is not limited to, the following:

1. Failure to comply with the provisions of sections 701.350–701.380, RSMo, or these rules and regulations;

2. Falsifying or making a material misstatement or omission on any application for license, financial disclosure statement, or inspection report;

3. Failure to attend at least one (1) Missouri state elevator code update meeting per calendar year conducted by the department; and 4. Conducting or performing state required safety inspections without a state licensed mechanic, if required.

(B) The department shall give notice to the licensee by mail at least fifteen (15) days prior to any hearing before the board regarding a license suspension or revocation. Such notice shall state the date, time, and place of hearing, and shall contain a statement of the alleged facts or conduct warranting the proposed suspension or revocation.

(C) If the chief elevator inspector notifies the board or the board finds that the public safety imperatively requires emergency action, and the board incorporates a finding to that effect in its order, summary suspension of a license may be ordered pending the immediate initiation of the license revocation procedures. In such an event, the licensee shall be given written notice of the suspension. Such notice shall state the date, time, and place of an emergency revocation hearing and a statement of the alleged facts or conduct warranting the summary suspension and proposed revocation. Hearing to be held within five (5) days of receipt of the notice.

July 1, 1999. Emergency amendment filed Aug. 24, 2000, effective Sept. 4, 2000, expired March 2, 2001. Amended: Filed Aug. 29, 2000, effective Feb. 28, 2001. Amended:

Filed Dec. 16, 2002, effective June 30, 2003.

11 CSR 40-5.130 Variances {#sec-11-csr-40-5.130 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.130}

PURPOSE: This rule describes the process to request exceptions or variances to the rules.

Therefore, the material which is so incorporated is on file with the agency who filed this

rule, and with the Office of the Secretary of State. Any interested person may view this material at either agency’s headquarters or the same will be made available at the Office of the Secretary of the State at a cost not to exceed actual cost of copy reproduction. The entire text of the rule is printed here. This note refers only to the incorporated by reference material.

(1) Sections 701.350–701.380, RSMo, and these rules and regulations authorize the board in any particular case to grant exceptions and variances. Such exceptions or variances shall only be granted where it is clearly evident that they are necessary in order to prevent undue hardship or where the existing conditions prevent compliance with the literal requirements of the rules and regulations.

In no case shall any exception or variation be granted unless, in the opinion of the board, reasonable safety will be secured.

(2) Application for a Variance.

(A) An application for a variance shall be submitted by the owner, operator, lessee or agent of either to the department on a form supplied by and approved by the department.

The application shall be accompanied by the 1. An application for installation, and detailed plans and specifications as required by 11 CSR 40-5.050 as listed herein; or 2. An application for alteration, and detailed plans and specifications as required by 11 CSR 40-5.080 as listed herein.

(B) The department shall review the application for a variance and its attachments. The department shall conduct an on-site inspection of any elevator equipment in existence.

The department shall prepare a report for the board and its recommendations which shall include a copy of any inspection report and copies or citations to any applicable ASME Code standards, which are incorporated in this rule by reference.

(3) The department shall notify the applicant for the variance of the date, time, and place of the hearing, before the board, on the application for a variance. Such notice shall include a copy of the department’s report for the board and its recommendations.

(4) After the hearing, the board shall grant or deny the variance. The board may grant a variance conditioned upon the provision of alternate means of providing for public safety.

(5) If the board grants a variance, a variance certificate shall be issued by the department.

Such a certificate shall reflect on its face the (A) The state number assigned by the department;

(B) The type of equipment for which it is issued;

(C) The owner, operator, lessee or agent of either to whom the variance is granted;

(D) The location of the elevator equipment; and (E) Any conditions imposed by the board.

(6) The owner, operator, lessee or agent of either shall maintain the variance certificate at the location of the elevator equipment and make it accessible to any licensed inspector.

11 CSR 40-5.140 Appeals {#sec-11-csr-40-5.140 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.140}

PURPOSE: This rule identifies the appeal process for persons aggrieved by sections 701.350–701.380, RSMo or rules 11 CSR 40- 5.010 through 11 CSR 40-5.115.

(1) Appeals as Provided by Sections 701.350–701.380, RSMo.

(A) Any person aggrieved by an order or act of the department, under sections regulations, may within fifteen (15) days after notice thereof, appeal the order or act to the board which shall, within forty-five (45) days thereafter, hold a hearing of which at least fifteen (15) days written notice shall be given to all interested parties.

(B) The board shall, within forty-five (45) days after the hearing, issue an appropriate order modifying, approving, or disapproving the order or act.

(C) A copy of the order, by the board, shall be served upon all interested parties.

11 CSR 40-5.150 Repealer and Effective Date {#sec-11-csr-40-5.150 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.150}

PURPOSE: This rule repeals any previous rules or regulations concerning elevators that may have been issued. It also provides for a six-month exemption from some situations.

(1) All previous rules and regulations of the Elevator Safety Board are hereby repealed.

(2) The effective date of these rules and regulations is the first day of July, 1999.

(3) The director of the Department of Public Safety may grant a grace period of six (6) months for those persons aggrieved by the promulgation of these rules and regulations under this section. Within thirty (30) days after notice thereof, written notice shall be given to all interested parties.

11 CSR 40-5.165 Elevator Mechanic {#sec-11-csr-40-5.165 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.165}

PURPOSE: This rule specifies the scope of work performed by an elevator mechanic and license application process.

PUBLISHERS NOTE: The secretary of state This material as incorporated by reference in this rule shall be maintained by the agency at its headquarters and shall be made available to the public for inspection and copying at no rial. The entire text of the rule is printed (1) No person shall erect, construct, alter, replace, test, relocate, maintain, remove, dismantle, or wire any conveyance from the mainline feeder terminals on the controller of any equipment covered by sections 701.350 to CSR 40-5.150 except a person who solely installs and maintains equipment covered by American National Standard Institute (ANSI)

A10.4 and ANSI A90.1 unless they possess a Missouri Elevator Mechanic License as described in this rule and are working for a Missouri elevator contractor pursuant to this

rule. Use of a licensed elevator mechanic is not required for removing or dismantling equipment covered by sections 701.350 to CSR 40-5.150 which is destroyed as a result of a complete demolition of a secured structure or where the hoist-way or well-way is demolished back to the basic support structure, as long as no access is permitted therein to endanger the safety and welfare of a person. A licensed mechanic who performs work on any equipment not currently registered with the department shall report such non-registered equipment to the department as soon as possible, but not to exceed five (5) business days after performing work thereon. Failure to provide notification to the department may result in disciplinary action against the mechanic’s license. No future work on such equipment shall be performed until such equipment is registered with the department.

(2) No licensed mechanic shall have under their direct supervision more than two (2) helpers/apprentices.

(A) Direct supervision of a helper/apprentice in construction, modernization, and repair is defined as having a licensed mechanic on the same jobsite.

(B) Direct supervision of a helper/apprentice in maintenance is defined as a licensed mechanic having the ability to physically intervene with a helper/apprentice within a safe and prudent timeframe. Only a licensed mechanic shall be allowed to take equipment covered by sections 701.350 to 701.383, RSMo, and 11 CSR 40-5.010 to 11 CSR 40- 5.150 out of service or return such equipment to service.

(3) The licensee shall carry his/her license on their person at all times when performing the duties of an elevator mechanic I or II.

(4) Performing work as an elevator mechanic without first obtaining an elevator mechanic I or II license may result in permanent licensure denial by the board.

(5) Any elevator equipment work performed by a state licensed elevator mechanic pursuant to 11 CSR 40-5.165 and requiring a state inspection, such work shall only be inspected by a state licensed elevator inspec- (6) Any elevator equipment testing performed by a state licensed elevator mechanic and requiring a state elevator safety inspection, such testing shall only be witnessed by a state licensed elevator inspector.

(7) All applicants for an elevator mechanic I or II license shall submit to the board the following:

(A) A completed Application for Elevator Mechanic, a copy of the Application for Elevator Mechanic form may be obtained from the Missouri Division of Fire Safety, PO Box 844, Jefferson City, MO 65102-0844 and online at www.dfs.dps.mo.gov;

(B) A copy of a valid state driver’s license or state identification card as proof of applicant’s identity;

(C) Two (2) passport-type photographs (2 × 2 inches (51 × 51 mm) in size); and (D) The applicable fee, as set out in 11 CSR 40-5.195.

11 CSR 40-5.170 Elevator Mechanic License {#sec-11-csr-40-5.170 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.170}

PURPOSE: This rule describes the scope of work and eligibility requirements to obtain an elevator mechanic I or II license.

(1) Elevator Mechanic I—This license authorizes the holder to construct, install, alter, maintain, examine, relocate, test, remove, service, and repair all types of elevators and other conveyances in any location as covered in sections 701.350 to 701.383, RSMo, 11 CSR 40-5.010 to 11 CSR 40-5.195, and American Society of Mechanical Engineers (ASME) A17.1 and ASME A18.1.

(A) Elevator Mechanic I license may be granted only to individuals who have demonstrated their qualifications and abilities in meeting one (1) of the following paragraphs:

1. Possess a certificate of completion of an apprenticeship program registered with the United States Department of Labor’s Bureau of Apprenticeship and Training for elevator mechanics;

2. Applicants with licenses issued by another state shall provide the board documentation that the out-of-state licensing requirements meet or exceed Missouri requirements, and that the license is valid and has not been revoked or suspended; or 3. The board may, at its discretion, issue a license to an applicant who provides documentation the applicant has a minimum of four (4) years of prior experience and acceptable training, and has successfully passed a mechanic examination of a nationally recognized training program acceptable to the board; and 4. Upon approval of an application by the board and receipt of the applicable fee, the board may issue an elevator mechanic I license effective for a two- (2-) year period from date of issuance or renewal, unless thereafter revoked or suspended.

(2) Elevator Mechanic II—This license authorizes the holder to construct, install, alter, maintain, examine, relocate, test, remove, service, and repair all types of conveyances in any location, as covered in sections 701.350 to 701.383, RSMo, 11 CSR 40-5.010 to 11 CSR 40-5.150, and ASME A18.1, as well as

section 5.2 of ASME A17.1 as it specifically relates to Limited-Use/Limited Application elevators and Section 7 of ASME A17.1 as it specifically relates to dumbwaiters.

(A) Elevator mechanic II license may be granted only to individuals who have demonstrated their qualifications and abilities meeting (1) of the following paragraphs:

1. Possess a certificate of completion documenting the applicant has successfully passed the mechanic examination of a nationally recognized training program for the elevator industry access products (ASME A18.1) as accepted by the board;

2. Possess a certificate of completion of an apprenticeship program registered with the United States Department of Labor’s Bureau of Apprenticeship and Training for elevator mechanics;

3. Applicants with licenses issued by another state shall provide the board documentation that the out-of-state licensing requirements meet or exceed Missouri requirements, and that the license is valid and has not been revoked or suspended; or 4. For an applicant whose experience does not immediately precede their application the board may, at its discretion, issue a license to an applicant who provides documentation acceptable to the board to establish the applicant has sufficient previous training and experience related to the elevator industry; and 5. Upon approval of an application by the board and receipt of the applicable fee, the board may issue an elevator mechanic license II, which will be in effect for a two- (2-) year period from date of issuance or renewal, unless thereafter revoked or suspended.

RSMo 2016.* Original rule filed Nov. 12, 2014, effective June 30, 2015. Amended:

11 CSR 40-5.175 Elevator Contractor {#sec-11-csr-40-5.175 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.175}

PURPOSE: This rule describes the scope of work and eligibility requirements to obtain an elevator contractor I or II license.

(1) No sole proprietor, partnership, corporation, limited liability company (LLC), or firm shall erect, construct, alter, replace, test, relocate, maintain, remove, dismantle, or wire any conveyance from the mainline feeder terminals on the controller of any equipment covered by sections 701.350 to CSR 40-5.150 except those sole proprietors, partnerships, corporations, LLC, or firms who solely install and maintain equipment covered by American National Standard Institute (ANSI) A10.4 and ANSI A90.1 unless they possess a Missouri Elevator Contractor License as described in this rule and either possess a Missouri Elevator Mechanic License or employ licensed elevator mechanics. Use of a licensed contractor is not required for removing or dismantling equipment covered by sections 701.350 to CSR 40-5.150 which is destroyed as a result of a complete demolition of a secured structure or where the hoist-way or well-way is demolished back to the basic support structure, as long as no access is permitted therein to endanger the safety and welfare of a person. A licensed contractor who performs work on any equipment not currently registered with the department shall report such non-registered equipment to the department as soon as possible, but not to exceed five (5) business days after performing work thereon.

Failure to provide notification to the department may result in disciplinary action against the contractor’s license. No future work on such equipment shall be performed until such equipment is registered with the department.

(A) An elevator contractor license may be granted by the board to an elevator contractor who provides the board with acceptable proof it employs state licensed elevator mechanics, is a business in good standing with the secretary of state, and provides verification of no retail sales tax due.

(B) A licensed elevator contractor shall have in its employment state licensed elevator mechanic(s) who perform the work described in this rule.

(C) No plan review for new installation or alteration will be conducted or no permit application will be accepted unless submitted to the department by a state licensed elevator contractor.

(D) No elevator contractor shall have any installation or alteration approved by a state licensed elevator inspector unless the elevator contractor was licensed at the time the installation or alteration was made.

(E) All applicants for an elevator contractor license shall submit the following;

1. A completed Application for Elevator Contractor, a copy of the Application for Elevator Contractor form may be obtained from the Missouri Division of Fire Safety, PO Box 844, Jefferson City, MO 65102-0844 and online at www.dfs.dps.mo.gov;

2. The applicable fee, as set out in 11 CSR 40-5.195; and 3. Evidence the applicant is covered by general liability, personal injury, and property damage insurance in an amount of at least one (1) million dollars for injury or death of any number of persons in any one (1) occurrence with the coverage of at least five hundred thousand dollars ($500,000) for property damage in any one (1) occurrence and statutory worker’s compensation insurance coverage.

(F) Upon approval of an application by the board, the contractor shall be issued a license in effect for a two- (2-) year period from date of issuance or renewal, unless thereafter revoked or suspended.

11 CSR 40-5.180 Elevator Contractor License {#sec-11-csr-40-5.180 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.180}

PURPOSE: This rule outlines the scope of work for an elevator contractor I or II.

(1) Elevator Contractor I—A sole proprietor, partnership, corporation, limited liability company (LLC), or firm authorized by the board to engage in the business of erecting, constructing, installing, altering, maintaining, testing, examining, relocating, removing, servicing, or repairing of all types of elevators and other conveyances in any location as covered by sections 701.350 to 701.383, RSMo, 11 CSR 40-5.010 to 11 CSR 40- 5.195, and American Society of Mechanical Engineers (ASME) A17.1 and A18.1.

(2) Elevator Contractor II—A sole proprietor, partnership, corporation, LLC, or firm authorized by the board to engage in the business of erecting, constructing, installing, altering, maintaining, testing, examining, relocating, removing, servicing, or repair of platform lifts and stairway chairlifts as covered by sections 701.350 to 701.383, RSMo,

11 CSR 40-5.010 to 11 CSR 40-5.195, and ASME A18.1. {#sec-11-csr-40-5.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.010}

11 CSR 40-5.190 Disciplinary Action {#sec-11-csr-40-5.190 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.190}

PURPOSE: This rule establishes conditions and procedures related to disciplinary action against an elevator mechanic or contractor license.

(1) The board shall have cause to discipline any licensee for any one (1) of the following reasons:

(A) Licensee has made a false statement as to material matter in his or her application;

(B) Licensee has committed fraud, misrepresentation, or bribery in securing a license;

(C) Licensee has violated any provision of

11 CSR 40-5.160 to 11 CSR 40-5.195; {#sec-11-csr-40-5.160 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.160}

(D) Licensee has had an elevator mechanic or contractor license issued by another state revoked or suspended;

(E) Licensee has violated the provisions of sections 701.350 to 701.383, RSMo;

(F) Licensee failed to notify the department and the owner or lessee of non-registered elevator equipment non-compliant with sections 701.350 to 701.383, RSMo, and 11 CSR 40-5.010 to 11 CSR 40-5.195;

(G) Licensee fails to maintain insurance as provided in 11 CSR 40-5.175;

(H) Performing work on previously unknown elevator equipment not registered with the department in compliance with section 701.371, RSMo; or (I) Licensee has a direct or indirect ownership or financial interest in an inspection business entity as it relates to sections 701.350 to 701.383, RSMo.

(2) When the board has knowledge of cause to discipline a licensee pursuant to this rule, the board may cause a complaint to be filed with the Administrative Hearing Commission, which shall conduct a hearing to determine whether the board has cause for discipline, and which shall issue findings of fact and conclusions of law on the mat ter. The administrative hearing commission shall not consider the relative severity of the cause for discipline or any rehabilitation of the licensee or otherwise impinge upon the discretion of the board to determine appropriate discipline when cause exists pursuant to this section.

(3) Upon a finding by the Administrative Hearing Commission that cause to discipline exists, the board shall, within thirty (30) days, hold a hearing to determine the form of discipline to be imposed and thereafter shall probate, suspend, or permanently revoke the license at issue. If the licensee fails to appear at the board’s hearing, this shall constitute a waiver of the right to such hearing.

(4) Notice of any hearing pursuant to this rule may be made by certified mail to the licensee’s address of record on the license application. Proof of refusal by the licensee to accept delivery or the inability of postal authorities to deliver such certified mail shall be evidence that required notice has been given. Notice may be given by publication.

(5) Nothing contained in this rule shall prevent a licensee from informally disposing of a cause for discipline with the consent of the board by voluntarily surrendering a license or voluntarily submitting to discipline.

(6) The provisions of Chapter 621, RSMo and any amendments thereto shall apply to and govern the proceedings of the Administrative Hearing Commission and pursuant to this rule the rights and duties of the parties involved.

(7) If the chief elevator inspector notifies the board or the board finds that the public safety imperatively requires emergency action, and the board incorporates a finding to that effect in its order, summary suspension of a license may be ordered pending the immediate initiation of the license revocation procedures. In such an event, the licensee shall be given a written notice of the suspension. Such notice shall state the date, time, and place of an emergency revocation hearing and a statement of the alleged facts or conduct warranting the summary suspension and proposed revocation.

11 CSR 40-5.195 Fees {#sec-11-csr-40-5.195 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-5.195}

PURPOSE: This rule establishes a licensing fee schedule and requires fees collected to be deposited into the Elevator Safety Fund.

(1) License type and fee— (A) Initial Elevator Mechanic I or II and renewal, a fee of seventy-five dollars ($75) for a two- (2-) year license; and (B) Initial Elevator Contractor I or II and renewal, a fee of two hundred dollars ($200) for a two- (2-) year license; and (C) All fees shall be payable to the Elevator Safety Fund—Missouri Division of Fire Safety and are non-refundable or non-transferable except for overpayments resulting from mistakes of law or fact.

Chapter 6 Amusement Rides

11 CSR 40-6.055 Cost; Inspection/Investigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6 {#sec-11-csr-40-6.055 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.055}

11 CSR 40-6.060 Director; Qualified Amusement Ride and Aerial Adventure Course {#sec-11-csr-40-6.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.060}

11 CSR 40-6.010 Purpose {#sec-11-csr-40-6.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.010}

PURPOSE: This rule establishes the purpose for rules 11 CSR 40- 6.015 through 11 CSR 40-6.100, which relate to sections 316.200 through 316.237, RSMo Supp. 1998.

(1) The purpose of this chapter is to establish— (A) Procedures to be followed when an amusement ride accident occurs involving a serious physical injury, serious incident or death;

(B) Rules and regulations to be followed by an amusement ride owner/operator;

(C) Rules and regulations to be followed by a rider of an amusement ride; and (D) Rules and regulations for the effective administration and enforcement of sections 316.200 through 316.237, RSMo Supp. 1998.

(2) These rules and regulations are intended to protect the general public and all persons who could reasonably be expected to use amusement rides.

11 CSR 40-6.015 Scope and Application {#sec-11-csr-40-6.015 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.015}

PURPOSE: This rule specifically identifies the scope of conducting an inspection/investigation of an amusement ride accident.

(1) These rules and regulations apply to all amusement rides in the state of Missouri as defined in 11 CSR 40-6.020. 11 CSR 40- 6.010 through 11 CSR 40-6.100 shall be known and cited as the Missouri Amusement Ride Safety Act.

11 CSR 40-6.020 Terms; Defined {#sec-11-csr-40-6.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.020}

PURPOSE: This rule defines terminology used throughout the rules and regulations.

(1) The following definitions shall be used in interpreting this Act unless the context otherwise requires:

(A) Amusement ride—any of the following, which is primarily for the purpose of giving its patrons amusement, pleasure, thrills, or excitement, and which is open to the general public excluding skill teaching, exercise, and team building:

1. Any mechanical device that carries or conveys passengers along, around, or over a fixed or restricted route or course or within a defined area;

2. Any dry slide over twenty feet (20') in height;

3. Any tram, open car, or combination of open cars or wagons pulled by a tractor or other motorized device, except hayrack rides, those used solely for transporting patrons to and from parking areas, or those used for guided or educational tours, but does not necessarily follow a fixed or restricted course;

4. Any bungee cord attraction or similar elastic device;

5. Any climbing wall over ten feet (10') in height except for not-for-profit entities that follow the YMCA Services Corporation’s Climbing Walls Safety Guidelines or the Boy Scouts of America Guidelines;

(B) Board—the amusement ride safety board established in

section 316.204, RSMo;

(C) Department—the Department of Public Safety;

(D) Designee—an individual acting under the authority of the Office of the State Fire Marshal;

(E) Director—the director of the Department of Public Safety;

(F) Division—Division of Fire Safety, Office of the State Fire Marshal;

(G) Operator—a person or the agent of a person who owns or controls, or has the duty to control, the operation of an amusement ride or related electrical equipment;

(H) Owner—a person who owns, leases, controls, or manages the operations of an amusement ride and may include the state or any political subdivision of the state;

(I) Qualified Amusement Ride Inspector—any person who is— 1. Found by the director to possess the requisite training and experience in respect to amusement rides to perform competently the inspection/investigation required by the Missouri Amusement Ride Safety Act;

2. Certified by the National Association of Amusement Ride Safety Officials (NAARSO) to have and maintain at least a level one certification; or 3. Certified by the Amusement Industry Manufacturers and Suppliers (AIMS International);

(J) Qualified Aerial Adventure Course Inspector—any person who is— 1. Found by the director to possess the requisite training and experience with respect to Aerial Adventure Course amusement rides to perform competently the inspection/ investigation required by the Missouri Amusement Ride Safety Act; or 2. Certified by the Association for Challenge Course Technology (ANSI/ACCT) to have and maintain at least a level one professional certification; or 3. Certified by The American National Standards Instituteaccredited Standards Committee of the Professional Ropes Course Association (ANSI/PRCA); or 4. Certified by an industry-recognized organization not listed above. Such requests shall be reviewed for approval by the director. Requests shall be reviewed on a case-by-case basis and approval is at the sole discretion of the director;

(K) Related electrical equipment—any electrical apparatus or wiring used in connection with amusement rides;

(L) Safety rules—the rules and regulations governing a rider’s conduct on an amusement ride, provided such rules and regulations are prominently displayed at or near the entrance to, or loading platform for, the amusement ride;

(M) Serious incident—any single incident where three (3) or more persons are immediately transported to a licensed off-site medical care facility for treatment of an injury as a direct result of being on, or the operation of, the amusement ride;

(N) Serious physical injury—a patron personal injury immediately reported to the owner or operator as occurring on an amusement ride and which results in death, dismemberment, significant dismemberment, or other significant injury that requires immediate inpatient admission and twenty-four (24) hour hospitalization under the care of a licensed physician for other than medical observation;

(O) Stop order—a written and/or verbal order issued by a qualified inspector, state fire marshal or designee for the temporary immediate cessation of the operation of any amusement ride; and (P) Aerial Adventure Course—any activity where patrons are suspended from a pulley over an open span consisting of an inclined wire or fiber to traverse with the primary force for propulsion being gravity. effective April 30, 2005. Amended: Filed Sept. 13, 2024, effective April 30, 2025.

11 CSR 40-6.025 Exemptions {#sec-11-csr-40-6.025 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.025}

PURPOSE: This rule identifies those rides that are exempt from this Act.

(1) The following rides are exempt from the provisions of this Act:

(A) Unpowered, non-mechanical playground equipment including but not limited to: swings, seesaws, stationary springmounted animal features, rider-propelled merry-go-rounds, climbers, slides, and trampolines;

(B) Any single passenger manually, mechanically, or electrically operated, coin-actuated ride, which is customarily placed singly, or in groups, in a public location and which does not normally require the supervision or services of an operator;

(C) Water slide;

(D) Dry slide less than twenty feet (20') in height;

(E) Tram, open car, or combination of open cars or wagons pulled by a tractor or other motorized device used solely for transporting patrons to and from parking areas, or those used for guided/educational tours;

(F) Any climbing wall less than ten feet (10') in height;

(G) Any climbing wall owned by a not-for-profit entity that follows the YMCA Services Corporation’s Climbing Walls Safety Guidelines, the Boy Scouts of America Guidelines, or the American National Standards Institute/Association for Challenge Course Technology (ANSI/ACCT) or American National Standards Institute/Professional Ropes Course Association (ANSI/PRCA) Standards; and (H) Temporary structures, including but not limited to funhouses, haunted houses, etc. without mechanical components.

March 1, 1999, effective Sept. 30, 1999. Amended: Filed Oct. 15, 2004, effective April 30, 2005. Amended: Filed Sept. 13, 2024, effective April 30, 2025.

11 CSR 40-6.030 Division; Promulgate Rules and Regulations; {#sec-11-csr-40-6.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.030}

Administer Act

PURPOSE: This rule grants authority to the division to promulgate rules and regulations to administer this Act.

(1) The division shall adopt and promulgate rules and regulations necessary to carry out the provisions of this Act.

11 CSR 40-6.031 Amusement Ride Inspection {#sec-11-csr-40-6.031 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.031}

PURPOSE: This rule explains the procedures to obtain a Missouri amusement ride operating permit and the requirement of an annual safety inspection of amusement rides by a qualified amusement ride inspector.

(1) No amusement ride shall operate in Missouri without a current state operating permit issued by the division. An amusement ride owner shall apply for an operating permit to the division on a form furnished by the division and containing such information as the division may require. Such permit is valid for twelve (12) months from the date of the completed Amusement Ride Inspection report and is not transferable.

(2) State operating permit(s) shall be issued by the division upon receipt of the following:

(A) Completed Application for Amusement Ride Operating Permit;

(B) Completed Amusement Ride Inspection Report signed by an approved qualified inspector, to include a state inspection checklist;

(C) Current certificate of insurance with one (1) million dollars minimum liability insurance coverage;

(D) Permit fee of fifty dollars ($50) per ride; and (E) Current itinerary containing all required information in accordance with 11 CSR 40-6.033.

(3) Ride owner shall affix permit inspection decal issued by the division to a basic structure of the ride readily accessible to the authorized inspector.

(4) Upon the sale or transfer of a state permitted amusement ride the current permit holder shall notify the division in writing within five (5) working days of such transaction and provide information concerning the recipient. The state permit inspection decal shall be removed or obliterated before the ride is sold or transferred by the permit holder. The new owner shall comply with the inspection/permit process as outlined in this rule.

(5) A renovation of an amusement ride that changes the dynamics or control system of the ride shall require a reinspection by a qualified amusement ride inspector before being operated in Missouri.

(6) The inspection required in section 316.210.1(1), RSMo shall be conducted at a minimum to meet the manufacturer’s or engineer’s specifications and to follow the applicable national standards.

(7) The department or designee may conduct a spot safety inspection of any amusement ride at any time that is operating or that is setting up to operate in this state. Upon discovery of a hazardous or unsafe condition, a temporary suspension of the operating permit will occur. The amusement ride shall not be allowed to be operated until a reinspection by the division is performed. The reinspection fee shall be based upon an hourly rate of thirty dollars ($30).

History

• AUTHORITY: section 316.206, RSMo 2016. Original rule filed April effective April 30, 2005. Amended: Filed Sept. 13, 2024, effective April 30, 2025.

11 CSR 40-6.033 Itinerary Required {#sec-11-csr-40-6.033 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.033}

PURPOSE: This rule requires each amusement ride company/ owner to provide the Missouri Division of Fire Safety with an itinerary of their event dates and locations in the state.

(1) The owner of a portable amusement ride(s) shall file with the division an annual event itinerary on a division form indicating the information listed below. The form shall be submitted with an operating permit application pursuant to 11 CSR 40-6.031. An additional itinerary shall be submitted within five (5) days when cancellations or additional locations occur.

The itinerary shall contain the following information:

(A) Name of amusement ride owner/company;

(B) Name of carnival, fair, or activity sponsor;

(C) Address and telephone number of the site or event sponsor;

(D) Event date(s) open to the public;

(E) Date of setup; and (F) Name of the amusement ride company contact person on-site.

History

• AUTHORITY: section 316.206, RSMo 2016. Original rule filed Oct. 15, 2004, effective April 30, 2005. Amended: Filed Sept. 13, 2024, effective April 30, 2025.

11 CSR 40-6.035 Political Subdivisions; Regulations of Rides; {#sec-11-csr-40-6.035 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.035}

Inspections

PURPOSE: This rule permits political subdivisions to continue to regulate and inspect amusement rides within their jurisdiction.

(1) Nothing contained in this Act shall prevent cities and counties from licensing or regulating any amusement ride electrical equipment, carnival or circus nor prevent them from enacting ordinances which may be more restrictive than this Act.

11 CSR 40-6.040 Liability Insurance—Amusement Rides Owner; Required {#sec-11-csr-40-6.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.040}

PURPOSE: This rule requires liability insurance, bond or other security to be in existence prior to the operation of amusement rides.

(1) No amusement ride shall be operated unless at the time of operation there is in existence— (A) A policy of insurance written by an insurance company authorized to do business in this state in an amount not less than one (1) million dollars per occurrence against liability for injury to persons arising out of the operation of the amusement ride and the owner shall provide a certificate of liability insurance to the division with the Missouri Division of Fire Safety listed as a certificate holder; or (B) A bond in a like amount, provided that the aggregate liability of the surety under such bond shall not exceed the face amount thereof; or (C) Cash or other security acceptable to the division.

11 CSR 40-6.045 Accident; Reporting of Injuries/Death {#sec-11-csr-40-6.045 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.045}

PURPOSE: This rule specifically outlines the responsibilities of the amusement ride owner/operator, the Division of Fire Safety and the contracted inspector(s) when an amusement ride accident occurs.

(1) When any serious physical injury, serious incident or any death occurs as a result of an amusement ride— (A) Unless authorized in writing by the division, no amusement ride subject to the provisions of this Act may be operated, moved, altered, repaired, or tampered with, except to protect life, limb, and property after such injury or death occurred until the inspection/investigation is completed;

(B) Immediately after such occurrence the owner shall notify and provide an initial accident report which involves a serious physical injury, serious incident or death to the Division of Fire Safety, Office of the State Fire Marshal by— 1. Requesting local law enforcement agency or local fire service agency to contact the Division of Fire Safety, Office of the State Fire Marshal; or 2. Telephoning the Division of Fire Safety, Office of the State Fire Marshal;

(C) Within twenty-four (24) hours after receipt of any such report, the Division of Fire Safety, Office of the State Fire Marshal shall cause an investigation of the occurrence and an inspection of the ride to determine the cause of such serious physical injury, serious incident or death and perform the inspection/investigation in a manner that proceeds with all practicable speed and minimizes the disruption where the ride is located;

(D) The division, or its designee may enter into any place or upon any premises where such accident occurred;

(E) The amusement ride owner shall provide the qualified inspector or the director’s designee all information or facts known as to the cause of such accident.

(2) Nothing contained in this section shall be construed as limiting or otherwise affecting the liability and responsibilities of an amusement ride operator. In addition, nothing in this

section shall be construed as limiting or otherwise affecting the responsibility and liability of an amusement ride owner/ operator to provide reasonable supervision for riders.

(3) Within seven (7) calendar days upon completion of the accident inspection/investigation, the inspector shall provide to the division an incident report stating the findings and conclusions of said inspection/investigation.

11 CSR 40-6.050 Cessation Order; Operation {#sec-11-csr-40-6.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.050}

PURPOSE: This rule requires an unsafe amusement ride to immediately cease operation by order of the division’s contracted inspector(s).

(1) The division or a qualified inspector contracted by the division may order verbally or in writing as soon as practical a temporary and immediate cessation of operation of any amusement ride if it has been determined after inspection to be hazardous or unsafe. Operation of the amusement ride shall not resume until the unsafe or hazardous condition is corrected to the satisfaction of the division or such contracted inspector.

11 CSR 40-6.055 Cost; Inspection/Investigation {#sec-11-csr-40-6.055 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.055}

PURPOSE: This rule holds the amusement ride owner responsible for the cost of an inspection/investigation resulting from an accident falling within the purview of this Act.

(1) The cost of an inspection/investigation as a direct result of an accident as defined in this Act shall be the responsibility of the amusement ride owner due upon completion of the inspection/investigation by the contracted inspector at a rate of one hundred twenty-five dollars ($125) per hour plus actual expenses.

11 CSR 40-6.060 Director; Qualified Amusement Ride and Aerial Adventure Course Inspectors {#sec-11-csr-40-6.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.060}

PURPOSE: This rule authorizes the Division of Fire Safety to certify qualified inspectors to conduct the inspections of amusement rides and investigations resulting from an accident.

(1) The director or his/her designee shall certify such qualified inspectors as may be necessary to carry out the Missouri Amusement Ride Safety Act. The inspector shall be considered an independent contractor and not a state employee. The inspector will provide professional references and credentials and/or accreditation relating to education and experience, as outlined in sections (2), (3), (4), and (5) of this rule, to the division. The applicant shall update this information annually.

The division will maintain this information on file.

(2) Minimum qualifications of an Amusement Ride Inspector are as follows:

(A) Shall provide to the division a resume detailing inspector’s educational/experience history; and (B) Shall be at least twenty-one (21) years of age; and (C) Shall possess a high school diploma or equivalent General Education Development (GED); and (D) Possess basic knowledge of ASTM International standards for amusement rides and devices; and (E) Shall provide documentation as being certified by the National Association of Amusement Ride Safety Officials (NAARSO) to have and maintain at least a level one certification; or (F) Shall provide documentation as being a certified Amusement Ride Inspector with the Amusement Industry Manufacturers and Suppliers (AIMS International).

(3) Minimum qualifications of an Aerial Adventure Course Inspector are as follows:

(A) Shall provide to the division a résumé detailing inspector’s education/experience history; and (B) Shall be at least twenty-one (21) years of age; and (C) Shall possess a high school diploma or equivalent General Education Development (GED) credential; and (D) Shall provide documentation as being a certified Aerial Adventure Course Inspector with the Association for Challenge Course Technology (ACCT); or (E) Shall provide documentation as being a certified Aerial Adventure Course Inspector with The American National Standards Institute Accredited Standards Committee of the Professional Ropes Course Association (ANSI/PRCA); or (F) Shall provide documentation as being certified by an industry-recognized organization not listed above. Such requests shall be reviewed for approval by the director. Requests shall be reviewed on a case-by-case basis and approval is at the sole discretion of the director.

(4) Application.

(A) A written application for an Amusement Ride or Aerial Adventure Course Inspector license shall be on a form approved and supplied by the division.

(5) Fees.

(A) A fee of seventy-five dollars ($75) shall be paid with each application for a license under 11 CSR 40-6.060 and any application for renewal of such license. The fee shall be paid at the time the application is submitted.

(6) Issuance.

(A) The division shall issue a license to an applicant upon receiving all required documentation and any other requirements of this chapter.

(B) A license shall expire one (1) year from the date of issuance or renewal. The license shall be renewed annually.

March 1, 1999, effective Sept. 30, 1999. Emergency amendment filed March 16, 2001, effective March 26, 2001, expired June 26, 2001. Amended: Filed April 2, 2003, effective Oct. 30, 2003.

Amended: Filed Sept. 13, 2024, effective April 30, 2025.

11 CSR 40-6.065 Assignment/Contract Criteria-Qualified Inspector {#sec-11-csr-40-6.065 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.065}

PURPOSE: This rule is to reduce potential conflict of interest issues between the contracted inspector and amusement ride owner.

(1) No qualified inspector will be assigned/contracted to conduct an installation inspection or an investigation into an incident under this Act if a “conflict of interest” issue is present.

A “conflict of interest” exists where a qualified inspector has a pecuniary interest in the amusement ride that he or she is inspecting or investigating, or where other circumstances exist that would lead a reasonable person to question the validity of the inspection or investigation. The division will resolve questions involving a potential “conflict of interest.”

March 1, 1999, effective Sept. 30, 1999. Amended: Filed Sept. 13, 2024, effective April 30, 2025.

11 CSR 40-6.070 Liability Insurance Coverage-Qualified Inspector; Required {#sec-11-csr-40-6.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.070}

PURPOSE: This rule requires the contracted inspector to have liability insurance.

(1) A qualified inspector, assigned/contracted by the division is required to show proof of liability insurance in the amount of one (1) million dollars.

11 CSR 40-6.075 Owner; Maintain Records {#sec-11-csr-40-6.075 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.075}

PURPOSE: This rule specifies maintenance record keeping requirements by the amusement ride owner and authorizes access to such records by the Division of Fire Safety.

(1) The owner of an amusement ride shall maintain the following records and make them available to the division and/ or the contracted qualified inspector:

(A) Daily inspection records shall be prepared and maintained by the owner or operator who shall be experienced and knowledgeable in the proper assembly and operation of the ride. The inspection and tests shall include operation of control devices, speed-limiting devices, brakes and other safety equipment. The inspection shall be made each day the ride is open to the public;

(B) Tests recommended by the manufacturer, to include but not limited to nondestructive testing, shall be recorded and a copy made available to the division and/or contracted qualified inspector. Evidence of satisfactory test results shall be recorded on a form or statement by one (1) of the following:

1. The manufacturer of the ride;

2. An insurance carrier lawfully doing business in Missouri and carrying public liability insurance on the ride; or 3. A registered licensed professional engineer; and (C) A complete history file, to include current owner’s manual, any operational manuals or maintenance guides, complete maintenance, inspection, accident, and testing records for each amusement ride shall be maintained by the company for at least three (3) years. The current year’s history file shall be available on-site and the owner shall make such records available to the division or his/her designee or qualified inspector upon request. Failure to have, maintain, or make available for review the materials described above constitutes grounds for the division to temporarily suspend a ride’s operating permit during the term of failure or refusal.

11 CSR 40-6.080 Operator; Requirements {#sec-11-csr-40-6.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.080}

PURPOSE: This rule provides specific safety procedures to the operator of an amusement ride.

(1) No person shall operate an amusement ride unless he or she is at least sixteen (16) years of age.

(2) The operator shall operate no more than one (1) amusement ride at any given time, even if automatic timing devices are used to control the time cycle of the ride.

(3) An operator shall be in attendance at all times and within arms length of the operator’s station when the ride is in operation.

(4) The operator shall be trained in the proper use and operation of the amusement ride as provided for in American Society of Testing and Materials F770 and American Society of Testing and Materials F853. Verification of such training shall be made available upon request.

(5) The operator shall ensure that all passengers’ safety devices are in place around patrons before starting.

(6) The operator shall not operate or be in physical control of any amusement ride while under the influence of alcohol, a controlled substance, or drug, or any combination thereof. For the purposes of this section, the term “controlled substance” includes substances defined by Chapter 195, RSMo.

(7) The operator shall ensure that no one is permitted on a ride while carrying any article, i.e., food, beverages, packages, lighted cigarettes, etc., which could endanger the rider or spectators.

(8) The operator shall be an employee of the owner.

(9) Based upon probable cause, the operator of an amusement ride shall submit to a breath test or chemical tests of blood, saliva, or urine to determine the alcohol or drug content.

11 CSR 40-6.085 Passenger/Rider Responsibility/Conduct; {#sec-11-csr-40-6.085 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.085}

Posting Rules

PURPOSE: This rule is to specify passenger/rider rules and make these rules known by posting signs outlining such rules, responsibilities and conduct of the passenger/rider.

(1) No amusement ride shall be operated in this state unless there are posted safety rules and responsibilities of passenger/ rider based upon standards set forth by the American Society for Testing and Materials. Signs presented for instruction to the public shall be prominently placed at each ride, bold in design, with wording short, simple and to the point.

(2) Any amusement ride, which is subject to guardian, height, or weight requirement established by manufacturer, owner, or operator, shall have such legible restriction in plain view at the loading area to the ride. Such restrictions shall not be waived.

(3) A passenger/rider on an amusement ride shall, at a minimum— (A) Obey the reasonable safety rules posted in accordance with this act and oral instructions for an amusement ride issued by the amusement ride owner or such owner’s employee or agent.

(B) Refrain from acting in any manner that may cause or contribute to injuring such passenger/rider or others, including:

1. Interfering with safe operation of the amusement ride;

2. Not engaging any safety devices that are provided;

3. Disconnecting or disabling a safety device except at the express instruction of the operator;

4. Altering or enhancing the intended speed, course or direction of an amusement ride;

5. Extending arms and legs beyond the carrier or seating area except at the express direction of the ride operator;

6. Throwing, dropping or expelling an object from or toward an amusement ride;

7. Getting on or off an amusement ride except at the designated time and area, if any, at the direction of the ride operator, or in an emergency;

8. Unreasonably controlling the speed or direction of such passenger or an amusement ride; and 9. A rider may not board or attempt to board any amusement ride while under the influence of alcohol, a controlled substance, or drug, or any combination thereof, as defined by Chapter 195, RSMo.

11 CSR 40-6.090 Denial of Entry; Passenger/Rider {#sec-11-csr-40-6.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.090}

PURPOSE: This rule prohibits any person entry to an amusement ride if such entry may jeopardize their safety or the safety of others.

(1) The operator of an amusement ride may deny a person entry to an amusement ride if, in the owner’s or operator’s opinion, such entry may jeopardize the safety of such person or the safety of any other person.

(2) Nothing in this Act will permit an owner or operator to deny a division contracted inspector or designee access to an amusement ride when such individual is acting within the scope of his/her duties under this Act.

11 CSR 40-6.095 Violation; Penalty {#sec-11-csr-40-6.095 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.095}

PURPOSE: This rule defines the penalty for violations of this Act.

(1) Any person who violates the provisions of this section shall be guilty of a class A misdemeanor. Each day a violation continues shall constitute a separate offense.

(2) Any person who interferes with, impedes, or obstructs in any manner the director or any authorized representative of the department in the performance of their duties under this Act shall be guilty of a class A misdemeanor.

11 CSR 40-6.100 Application for Injunction {#sec-11-csr-40-6.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-6.100}

PURPOSE: This rule authorizes the director to petition the circuit court for an injunction against any amusement ride owner.

(1) The Division of Fire Safety or its designee, or the county attorney in a county in which an amusement ride is located or operated may apply to the circuit court, pursuant to the rules of civil procedure, for an order enjoining operation of any amusement ride operated in violation of the Missouri Amusement Ride Safety Act.

Chapter 7 Blasting

11 CSR 40-7.010 Blasting—Licensing, Registration, Notification, Requirements, and Penalties {#sec-11-csr-40-7.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 40-7.010}

PURPOSE: This rule explains the licensing and registration processes for explosive users and blasters and the standards for the use of commercial explosives in regulated activities.

(1) The following definitions shall be used in interpreting this rule:

(A) “Blaster,” a person qualified to be in charge of and responsible for the loading and firing of an explosive or explosive material;

(B) “Blast,” detonation of explosives;

(C) “Blasting,” the use of explosives in mining or construction;

(D) “Blast site,” the area where explosives are handled during loading of a bore hole, including fifty feet (50') in all directions from the perimeter formed by loaded holes. A minimum of thirty feet (30') may replace the fifty- (50-) foot requirement if the perimeter of loaded holes is marked and separated from non-blast site areas by a barrier. The fifty- (50-) foot or thirty- (30-) foot distance requirements, as applicable, shall apply in all directions along the full depth of the bore hole;

(E) “Board,” the State Blasting Safety Board created in section 319.324, RSMo;

(F) “Bore hole,” a hole made with a drill, auger, or other tool in which explosives are placed in preparation for detonation;

(G) “Burden,” the distance from an explosive charge to the nearest free or open face at the time of detonation;

(H) “Business day,” any day of the week except Saturday, Sunday, or a federal or state holiday;

(I) “Deck,” charge of explosives separated from other charges by stemming;

(J) “Delay period,” the time delay provided by blasting caps which permits firing of bore holes in sequence;

(K) “Detonation,” the action of converting the chemicals in an explosive charge to gases at a high pressure by means of a self-propagating shock wave passing through the charge;

(L) “Detonator,” any device containing initiating or primary explosive that is used for initiating detonation of another explosive material. A detonator may not contain more than ten (10) grams of total explosives by weight, excluding ignition or delay charges.The term includes, but is not limited to, electric blasting caps of instantaneous and delay types, blasting caps for use with safety fuse, detonating cord delay connectors, and nonelectric instantaneous and delay blasting caps which use detonating cord, nonelectric shock tube, or any other replacement for electric leg wires;

(M) “Division,” the Missouri Division of Fire Safety;

(N) “Direct supervision,” to mean the supervisor (blaster) is physically present on the same job site as the person loading or firing the explosives;

(O) “Explosives,” any chemical compound, mixture, or device, the primary or common purpose of which is to function by explosion, including, but not limited to, dynamite, black powder, pellet powder, initiating explosives, detonators, millisecond connectors, safety fuses, squibs, detonating cord, igniter cord, and igniters; includes explosive materials such as any blasting agent, emulsion explosive, water gel, or detonator.

Explosive materials determined to be within the coverage of sections 319.300 to 319.345, RSMo shall include all such materials listed in Chapter 40 of Title 18 of the United States Code, as amended, as issued at least annually by the Department of Justice, Bureau of Alcohol, Tobacco, Firearms and Explosives;

(P) “Firing,” causing explosives to be detonated by the use of a fuse, electric detonator, or nonelectric shock tube;

(Q) “Fire protection official,” an authorized representative of a municipal fire department, fire protection district, or volunteer fire protection association for the area where blasting occurs;

(R) “Fugitive from justice,” any person who has fled from the jurisdiction of any court of record to avoid prosecution for any crime or to avoid giving testimony in any criminal proceeding. The term shall also include any person who has been convicted of any crime and has fled to avoid case disposition;

(S) “Initiation system,” components of an explosive charge that cause the charge to detonate, such as primers, electric detonators, and detonating charge;

(T) “Loading,” placing of explosives in a hole in preparation for detonation;

(U) “Local government,” a city, county, fire protection district, volunteer fire protection association, or other political subdivision of the state;

(V) “Person using explosives,” any individual, proprietorship, partnership, firm, corporation, company, or joint venture that is required to hold authority to receive or use explosives under statutes or regulations administered by the U.S. Department of Justice, Bureau of Alcohol, Tobacco, Firearms and Explosives and who employs licensed blasters;

(W) “Scaled distance,” a value determined by dividing the linear distance, in feet, from the blast to a specified location, by the square root of the maximum weight of explosives, in pounds, to be detonated in any eight- (8-) millisecond period;

(X) “Seismograph,” an instrument that measures ground vibration and acoustic effects;

(Y) “Stemming,” inert material that is placed above explosives that have been placed in a blast hole in preparation for detonation or vertically between columnar decks of explosives that have been placed in a hole in preparation for detonation; and (Z) “Uncontrolled structure,” any dwelling, public building, school, church, commercial building, or institutional building that is not owned or leased by the person using explosives, or otherwise under the direct contractual responsibility of the person using explosives.

(2) The following fees shall apply for the licensing of blasters, registration of persons using explosives, explosives use reporting, and testing:

(A) Individual Blaster’s License: one hundred dollars ($100) for a three- (3-) year license;

(B) Registration fee for a person using explosives (one- (1-) time fee): two hundred dollars ($200);

(C) Annual explosive use fee: five hundred dollars ($500) plus five dollars ($5) per ton of explosives or explosive materials used within the state.

1. When the total pounds of explosive materials used results in a portion of a ton, the tonnage reported shall be rounded to the nearest ton.

2. Per ton fees shall not include any items defined by statute as “detonators”; and (D) Testing/retesting fee: twenty-five dollars ($25) per individual test.

(3) Blaster Licensing.

(A) Any individual, except as exempted by statute, who conducts blasting or is in charge of or responsible for the loading and firing of any explosive material in the state shall be licensed by the division as a blaster.

1. Any individual, proprietorship, partnership, firm, corporation, company, or joint venture defined as a “person using explosives” shall not be required to hold license as a blaster; however, any blasting conducted on behalf of a person using explosives shall be conducted by a licensed blaster.

(B) Exemptions. The requirement for obtaining a blaster’s license shall not apply to:

1. Individuals employed by universities, colleges, or trade schools when the use of explosives is confined to instruction or research;

2. Individuals using explosive materials in the forms prescribed by the official U.S.

Pharmacopoeia or the National Formulary and used in medicines and medicinal agents;

3. Individuals conducting training or emergency operations of any federal, state, or local government including all departments, agencies, and divisions thereof, provided they are acting in their official capacity and in the proper performance of their duties or functions;

4. Individuals that are members of the armed forces or any military unit of Missouri or the United States who are using explosives while on official training exercises or who are on active duty;

5. Individuals using pyrotechnics, commonly known as fireworks, including signaling devices such as flares, fuses, and torpedoes;

6. Individuals using small arms ammunition and components thereof which are subject to the Gun Control Act of 1968, 18 U.S.C., Section 44, and regulations promulgated thereunder;

7. Any individual performing duties in underground mines regulated by 30 CFR Part 48, Subpart A, 30 CFR Part 57, or performing duties in coal mining regulated by 30 CFR Part 75, and 30 CFR Part 77 of the Code of Federal Regulations, as amended, or using explosives within an industrial furnace;

8. Any individual having a valid blaster’s license or certificate issued under the provisions of any requirement of the U.S. government in which the requirements for obtaining the license or certificate meet or exceed the requirements of sections 319.300 to 319.345, RSMo;

9. Individuals using agricultural fertilizers when used for agricultural or horticultural purposes;

10. Individuals handling explosives while in the act of transporting them from one (1) location to another;

11. Individuals assisting or training under the direct supervision of a licensed blaster;

12. Individuals handling explosives while engaged in the process of explosives manufacturing;

13. Employees, agents, or contractors of rural electric cooperatives organized or operating under Chapter 394, RSMo; and 14. Individuals discharging historic firearms and cannon or reproductions of historic firearms and cannon. (319.321, RSMo)

(C) All applicants for a blaster’s license shall meet all the following requirements:

1. Be at least twenty-one (21) years of age;

2. Not have willfully violated any provisions of sections 319.300 to 319.345, RSMo;

3. Not have knowingly withheld information or have not made any false or fictitious statement intended or likely to deceive in connection with the application;

4. Have familiarity and understanding of relevant federal and state laws relating to explosive materials;

5. Not have been convicted in any court of, or pleaded guilty to, a felony;

6. Not be a fugitive from justice;

7. Not be an unlawful user of any controlled substance in violation of Chapter 195, 8. Not have been adjudicated as mentally defective; and 9. Not advocate or knowingly belong to any organization or group that advocates violent action.

(D) An applicant for a blaster’s license shall also meet one (1) of the following licensing criteria, to be eligible to apply to the division for a license:

1. Licensing by reciprocity. Within the three (3) years prior to applying for a license, the individual must have held a valid license or certification from a source identified by the division as meeting or exceeding the provisions for licensing within the state of Missouri. (319.306.12, RSMo)

2. Licensing by equivalency. An individual employed as a blaster on or before December 31, 2000, who, within the two (2) years prior to applying for a license, has accumulated one thousand (1,000) hours of training or education and experience employed or contracted by a person using explosives, must produce an affidavit signed by that person using explosives validating the training or education and experience.

A. A license granted pursuant to this provision shall only be valid for blasting conducted for the person using explosives submitting the affidavit.

B. An individual granted a license that then leaves the employment of or no longer contracts with the person submitting the affidavit shall surrender their license and then shall be subject to the licensing requirements as a new blaster.

3. New blaster. An individual must have accumulated one thousand (1,000) hours of documented experience, as approved by the division, directly relating to the use of explosives within the two (2) years immediately prior to applying for a license, completed an approved course of instruction and then successfully passed an approved licensing examination.

(E) All applicants shall submit the following to the division when applying for a license:

1. A completed “Application for Licensed Blaster”;

2. A copy of a valid state driver’s license or state ID card as proof of applicant’s age and identity;

3. An approved criminal background check conducted within the applicant’s state of residence;

4. Copy of U.S. Bureau of Alcohol, applicable federal laws relating to possession, sales, storage, or use of explosives;

5. Two (2) passport-type photographs;

6. A check, money order, or bank draft in the amount of one hundred dollars ($100)

(U.S.) payable to the Missouri Division of Fire Safety.

(F) All applicants applying as a new blaster must also submit all the following to the division when applying for a license:

1. Documentation of having successfully completed a training course approved by the division; and 2. Documentation affirming required approved training and experience related to the use of explosives.

(G) A blaster’s license issued by the division shall expire three (3) years from the date of issuance.

1. To be eligible for renewal of a blaster’s license, the individual seeking relicensure must submit all of the following to the division no less than thirty (30) days before the date of current license expiration:

A. A completed “Application for Licensed Blaster”;

B. A copy of a valid state driver’s license or state ID card;

C. Documentation of having successfully completed a total of eight (8) hours of approved continuing education training related to the use of explosives. Four (4) hours of which must have occurred within the twelve (12) months immediately before the date of license expiration;

D. An approved current criminal background check conducted within the applicant’s state of residence;

E. Copy of U.S. Bureau of Alcohol, applicable federal laws relating to possession, sales, storage, or use of explosives, if applicable;

F. Two (2) passport-type photographs;

G. A check, money order, or bank draft in the amount of one hundred dollars ($100) (U.S.) payable to the Missouri Division of Fire Safety.

2. Any individual whose license has been expired for a period of three (3) years or less shall be required to submit documentation of successfully passing an approved examination and completion of eight (8) hours of approved training prior to being eligible to apply for renewal of a license.

3. Any individual whose license has been expired for a period of more than three (3) years shall be required to submit documentation of successfully passing an approved examination and completion of twenty (20) hours of approved training prior to being eligible to apply for a blaster’s license.

(H) Blasters Training Courses.

1. The division shall review and approve training courses that fulfill the training requirement of qualifying for a blaster’s license and fulfill the training requirement for renewal of a blaster’s license.

2. Any person applying to the division for approval of a course of instruction that meets the blasters’ training requirement shall submit the following:

A. A completed “Application for Blaster Training Course Approval”;

B. A description and copy of instructional materials to be used in the course;

C. An outline of the subject matter to be taught, including course objectives and the minimum hours of instruction on each topic;

D. A description of the qualifications of the instructor or instructors; and E. Copies of the tests, quizzes, activities, and/or projects included in the course.

3. To be approved by the division, a blaster’s training course shall contain at least twenty (20) hours of instruction to prepare attendees for obtaining a blaster’s license the first time, or eight (8) hours of instruction to prepare attendees for obtaining a license renewal.

4. The division shall review the application regarding the knowledge and experience of proposed instructors, the total hours of training, and the adequacy of proposed training in subject matter.

5. If the division determines that training proposed by the applicant is adequate, a letter of approval shall be issued to the applicant.

6. Course approval shall be effective for a period of three (3) years, after which the materials required in paragraph (3)(H)2. above must be submitted again.

7. If at any time the division determines that an approved training course no longer meets the standards of this section, the letter of approval may be revoked with written notice.

8. The division or any person providing a course of instruction may charge an appropriate fee to recover the cost of conducting such instruction.

9. The division shall maintain a current list of persons who provide approved training and shall make this list available by any reasonable means to professional and trade associations, labor organizations, universities, vocational schools, and others upon request.

10. Any person providing training in an approved course shall submit a list of individuals that attended any such course to the division within ten (10) business days after completion of the course.

11. The division or its authorized agent shall offer annually at least two (2) courses of instruction that fulfill the training requirement of qualifying for a blaster’s license and two (2) courses that fulfill the training requirement for renewal of a blaster’s license.

(I) Testing for Licensure.

1. The division shall approve and administer a standard examination or examinations for the purpose of qualifying an individual to obtain a blaster’s license.

A. All examinations shall remain the property of the division and in the possession of the division.

2. Individuals applying to test as a blaster must submit a completed “Application for Licensed Blaster Examination” and the appropriate testing fee.

3. Applications must be received by the division no less than twenty (20) business days prior to the scheduled exam date. Preregistration is required for all examinations.

4. The division will score all exams and applicants will be notified by letter accordingly within thirty (30) days of the exam.

5. Notification will indicate only pass/fail status.

6. A passing score shall be a score of seventy-five percent (75%) or above on the exam.

7. An applicant shall not be eligible to retest until after receiving notification of failure.

8. Should an applicant fail the exam a second time, he or she must retake an approved training course before being allowed to retest for a license.

9. If an applicant has not taken a retest within six (6) months of original test date, he or she must take an approved course again to be eligible to test.

(4) Persons Using Explosives.

(A) Any person using explosives in Missouri shall register with the division prior to first using explosives in Missouri.

(B) Upon initial registration, the person using explosives shall submit to the division:

1. The name of the person, company, or organization;

2. The address of the person, company, or organization;

3. The telephone and facsimile number of the person, company, or organization;

4. The email address;

5. The name of the principal individual having responsibility for supervision of the use of explosives;

6. Copy of U.S. Bureau of Alcohol, applicable federal laws relating to possession, sales, storage, or use of explosives, if applicable; and 7. A fee of two hundred dollars ($200)

(U.S.).

(C) For persons using explosives at multiple locations under the operational control of one (1) parent company or organization, only one (1) registration fee for the parent company or organization shall be required.

(5) Each registered person using explosives in Missouri shall, by January 31 of each year after registering, file an annual report with the division for the preceding calendar year.

(A) The initial annual report shall only include that portion of the preceding calendar year after the date the person became subject to the requirement to register.

(B) The report shall include:

1. Any change or addition to the information required in this section;

2. The name and address of the distributors from which explosives were purchased;

3. The total number of pounds of explosives purchased for use in Missouri; and 4. The total number of pounds actually used in Missouri during the period covered by the report.

(C) Persons required to report annually shall maintain records sufficient to prove the accuracy of the information reported.

(D) The person using explosives shall submit with the report, an explosive use fee of five hundred dollars ($500) plus five dollars ($5) per ton of explosives or explosive materials used within the state.

(E) Any initial increase of the explosive use fee promulgated by rule shall be only on those explosives used from July 1 of the calendar year preceding the annual report required in section (5) above unless the report is an initial report pursuant to subsection (5)(A).

1. If the report of total pounds used results in a portion of a ton, the cumulative total of the fee shall be rounded to the nearest ton.

2. In the event that less than one (1) ton of explosives has been used in the reporting period, the five hundred dollar ($500) annual fee shall be submitted with the annual report to the division.

(F) The division may audit the records of any person using explosives required to report annually to determine the accuracy of the number of pounds of explosives reported.

(G) In connection with such audit, the division may also require any distributor of explosives to provide a statement of sales during the year to persons required to report.

(6) Notification of Blasting Operations.

(A) Any person using or intending to use explosives within Missouri shall notify the division in writing or by telephone at least two (2) business days in advance of first using explosives at a site where blasting has not been previously conducted.

(B) If blasting will be conducted at an ongoing project, such as a long-term construction project, or at a permanent site, the person shall only be required to make one (1) notice to the division in advance of the first use of explosives.

(C) The notice required by this section shall state the name, address, and telephone number of the person using explosives, the name of the individual responsible for supervision of blasting, the date or approximate period over which blasting will be conducted, the location of blasting by street address, route, or other description, and the nature of the project or reason for blasting.

(D) This section shall not apply to any blasting required by a contract with any agency of the state of Missouri, any federal agency, or any political subdivision.

(7) Exemptions. Sections (4) through (6) above shall not apply to:

(A) Any individual, proprietorship, partnership, firm, corporation, company, or joint venture defined as a “person using explosives” that does not employ blasters required to be licensed by the division;

(B) Universities, colleges, or trade schools when confined to the purpose of instruction or research;

(C) The use of explosive materials in the forms prescribed by the official U.S. Pharmacopoeia or the National Formulary and used in medicines and medicinal agents;

(D) The training or emergency operations of any federal, state, or local government including all departments, agencies, and divisions thereof, provided they are acting in their official capacity and in the proper performance of their duties or functions;

(E) The use of explosives by the military or any agency of the United States;

(F) The use of pyrotechnics, commonly known as fireworks, including signaling devices such as flares, fuses, and torpedoes;

(G) The use of small arms ammunition and components thereof which are subject to the Gun Control Act of 1968, 18 U.S.C., Section 44, and regulations promulgated thereunder.

Any small arms ammunition and components thereof exempted by the Gun Control Act of 1968 and regulations promulgated thereunder are also exempted from the provisions of sections 319.300 to 319.345, RSMo;

(H) Any person performing duties using explosives within an industrial furnace;

(I) The use of agricultural fertilizers when used for agricultural or horticultural purposes;

(J) The use of explosives for lawful demolition of structures;

(K) The use of explosives by employees, agents, or contractors of rural electric cooperatives organized or operating under Chapter 394, RSMo; and (L) Individuals discharging historic firearms and cannon or reproductions of historic firearms and cannon.

(8) Local Jurisdictions.

(A) Any person using explosives that will conduct blasting within the jurisdiction of a municipality shall notify the appropriate representative of the municipality in writing or by telephone at least two (2) business days in advance of blasting at that location.

1. An appropriate representative shall be deemed to be the city’s public works department, code enforcement official, or an official at the main office maintained by the municipality.

2. In any area where blasting will be conducted, whether in a municipality or in an unincorporated area, the person using explosives also shall notify the appropriate fire protection official for the jurisdiction where blasting will occur, which may be a city fire department, fire protection district, or volunteer fire protection association.

3. The notice shall state:

A. The name, address, and telephone number of the person using explosives;

B. The name of the individual responsible for supervision of blasting;

C. The date or approximate period over which blasting will be conducted;

D. The location of blasting by street address, route, or other description; and E. The nature of the project or reason for blasting.

4. If blasting will be conducted at an ongoing project, such as a long-term construction project, or at a permanent site, such as a surface mine, the person shall only be required to make one (1) notice to the municipality or appropriate fire protection official in advance of the first use of explosives.

5. Any such ongoing projects or permanent sites in existence at the time of the effective date of sections 319.300 to 319.345, RSMo shall not be required to provide notice as described in this subsection.

6. Any person using explosives, which will conduct blasting within the jurisdiction of a municipality, shall notify the owner or occupant of any residence or business located within a scaled distance of fifty-five (55) from the site of blasting prior to the start of blasting at any new location.

A. One (1) notification delivered by mail, by telephone, through the printed notification posted prominently on the premises or the property of the owner or occupant of the residence or business, or delivered in person to any such owner or occupant meets the requirements of this subsection.

B. A municipality may provide the name, last known address, and telephone number of the owners or occupants of any residence or business that may be located within the scaled distance of fifty-five (55) from the site of blasting to the person using explosives upon that person’s request.

(B) Any municipality or county may by ordinance or order— 1. Require that a permit be obtained in addition to the notice required by this section, with such application for permit being due no more than ten (10) days prior to the first use of explosives;

2. Require that the application for the permit contain specific information about the type of explosives to be used and their storage location at the site where used;

3. Require the applicant to demonstrate an acceptable plan for signage or other means of informing the public of blasting in proximity to public streets or highways and any request for temporary closing of streets or routing of traffic;

4. Specify the times of day blasting may be conducted, which shall not be less than eight (8) consecutive hours on any day of the week except the ordinance or order may prohibit blasting on Sunday unless approved by the municipality or county upon application by the person using explosives;

5. Require that the applicant submit proof that the person using explosives is registered with the division and that blasting will be conducted by a licensed blaster;

6. Require that the applicant submit proof of commercial general liability insurance in an acceptable amount, which shall be no less than one (1) million dollars and no more than five (5) million dollars;

7. Require that the applicant make at least three (3) documented attempts to contact the owner of any uncontrolled structures within a scaled distance of thirty-five (35) from the blast site in order to conduct a preblast survey of such structures. A preblast survey is not required if the owner of any such structure does not give permission for a survey to be conducted;

8. Enact any other provision necessary to carry out the provisions of the ordinance or order, including the conditions under which the permit may be suspended or revoked or appropriate fines may be imposed for failure to obtain a permit or violations of the permit;

9. A permit for blasting under a municipal or county ordinance or order and complying with this section shall be granted by the municipality or county upon satisfying the requirements of the ordinance or order and upon the applicant’s payment of a reasonable fee to cover the administration of the permit system.

(C) Any authorized representative of a municipality, county, or an appropriate fire protection official may— 1. Require any person using explosives to show proof that he or she is registered with the division and blasting is being conducted by an individual that is licensed under the provisions of section 319.306, RSMo;

2. Request and be allowed access to the site of blasting by the person using explosives and shall be allowed to observe blasting from a safe location as designated by the blaster;

3. Examine records of blasting required to be maintained by sections 319.309 and 319.315, RSMo;

4. However, no municipality, county, or fire protection official shall require a person using explosives or a blaster to surrender such records, or a copy of such records, to the municipality or fire protection official except as necessary under an investigation of the blaster’s violation of a municipal or county permit; and 5. Report suspected violations of sections 319.300 to 319.345, RSMo to the division.

(D) Except in any county included in section 319.342, RSMo or quarries operating within a county meeting the requirements of

section 319.343, RSMo, no existing or future ordinance or order shall— 1. Preempt, exceed, amend, or conflict with the provisions of sections 319.309 to 319.342, RSMo or any rule promulgated pursuant to section 319.327, RSMo; or 2. Preempt, amend, exceed, or conflict with the provisions of any statute, regulation, or policy established by— A. The United States Department of Justice, Bureau of Alcohol, Tobacco, Firearms and Explosives;

B. Chapter 40 of Title 18 of the United States Code, as amended;

C. The United States Department of Transportation;

D. The federal Mine Safety and Health Administration; or E. The federal Occupational Safety and Health Administration.

(E) The requirements for notification and provisions of local ordinances shall not apply to any blasting required by a construction contract with any agency of the state of Missouri, any federal agency, or any political subdivision.

(F) Nothing in these rules shall preempt the rights and remedies afforded by the general assembly or common law to persons damaged by blasting.

(G) Nothing in this section shall be construed to exempt any person using explosives from the requirements of registering with and reporting explosives used to the division and paying the associated fees.

(9) It shall be the duty of each licensed blaster and each person using explosives to assure that the requirements of this section are met.

(A) Any person using explosives in the state of Missouri shall calculate the scaled distance to the nearest uncontrolled structure.

If more than one (1) uncontrolled structure is the same approximate distance from the blast site, then the person using explosives may select one (1) representative structure for calculation of scaled distance.

(B) In any instance when the calculated scaled distance value is fifty-five (55) or less, any person using explosives shall use at least one (1) seismograph calibrated to the manufacturer’s standard for use to record the ground vibration and acoustic levels that occur from the use of such explosives or explosive materials.

(C) When measuring ground vibration and acoustic levels, the seismograph shall be placed in the proximity of the nearest uncontrolled structure or, at the option of the person using explosives, closer to the blast site.

If more than one (1) uncontrolled structure is the same approximate distance from the blast site, then the person using explosives may select one (1) representative structure for placement of the seismograph.

(D) Any person using explosives who is voluntarily using a seismograph calibrated to the manufacturer’s standard for use for all blasting is exempt from the requirements of this section.

(E) Seismograph recordings of the ground vibration and acoustic levels created by the use of explosives, when required as above, shall be retained for at least three (3) years.

Such recordings shall be made available to the division within twenty-four (24) hours of a request by any representative of the division.

(F) Each seismograph recording and the accompanying records shall include the— 1. Maximum ground vibration and acoustics levels recorded;

2. Specific geographic information system data (GIS) of the location of the seismograph equipment, its distance from the detonation of the explosives, the date of the recording, and the time of the recording;

3. Name of the individual responsible for operation of the seismograph equipment and performing an analysis of each recording;

4. Type of seismograph instrument, its sensitivity and calibration signal, or certification date of the last calibration.

(G) Any person using explosives in the state of Missouri in which monitoring with a seismograph is required shall limit acoustic values from blasting to one hundred thirtythree decibels (133 dB) using a two hertz (2 Hz) flat response measuring system based on the Office of Surface Mining regulation 30 CFR 816.67(b)(1)(i).

(H) Any person using explosives in the state of Missouri in which monitoring with a seismograph is required shall comply with ground vibration limits based on the U.S.

Bureau of Mines Report of Investigations 8507, Appendix B:

(I) In lieu of the ground vibration limit established above, the person using explosives may submit a written request to the division to use an alternate compliance method. Such written request shall be supported by sufficient technical information, which may include, but not be limited to, documented approval of such method by other federal, state, or local political subdivisions which regulate the use of explosives.

Upon submittal by the person using explosives of a request to use an alternate compliance method, the State Blasting Safety Board shall issue a written determination as to whether the technical information submitted provides sufficient justification for the alternate method to be used as a method of demonstrating compliance with the provisions of this section.

(J) A record of use of explosives shall be made and retained for at least three (3) years.

1. Licensed blasters shall create the record required in this section and provide such record to the person using explosives, who shall be responsible for maintaining records required in this section.

2. The record shall be completed on a form provided or approved by the division and completed by the end of the business day following the day in which the explosives were detonated.

3. Such records shall be made available to the division, upon request, within twenty four (24) hours of the request.

4. Each record shall include the— A. Name of the person using the explosives;

B. Location, geographic information system data (GIS), date, and time of the detonation;

C. Name of the licensed blaster responsible for use of the explosives;

D. Type of material blasted;

E. Number of bore holes, burden, and spacing;

F. Diameter and depth of bore holes;

G. Type of explosives used;

H. Weight of explosives used per bore hole and total weight of explosives used;

I. Maximum weight of explosives detonated within any eight- (8-) millisecond period;

J. Maximum number of bore holes or decks detonated within any eight- (8-) millisecond period;

K. Initiation system, including number of circuits and the timer interval, if a sequential timer is used;

L. Type and length of stemming;

M. Type of detonator and delay periods used, in milliseconds;

N. Sketch of delay pattern, including decking;

O. Distance and scaled distance to the nearest uncontrolled structure; and P. Location of the nearest uncontrolled structure, using the best available information.

5. If the type of blasting being recorded by a seismograph does not involve bore holes, then the record required in paragraph (9)(J)4. shall contain the— A. Name of the person using the explosives;

B. Location, geographic information system data (GIS), date, and time of the detonation;

C. Name of the licensed blaster responsible for use of the explosives;

D. Type of material blasted;

E. Type of explosives used;

F. Weight of explosives used per shot and total weight of explosives used;

G. Maximum weight of explosives detonated within any eight- (8-) millisecond period;

H. Initiation system, including number of circuits and the timer interval, if a sequential timer is used;

I. Type of detonator and delay periods used, in milliseconds;

J. Sketch of delay pattern;

K. Distance and scaled distance, if required under the provisions of section 319.309, RSMo, to the nearest uncontrolled structure; and L. Location of the nearest uncontrolled structure, using the best available information.

(10) Violations and Penalties.

(A) The division shall follow the procedure outlined below for violations of any of the provisions of section (9):

1. A written notification of violation will be issued to a licensed blaster and the explosive user for which the blaster is employed for a violation of a provision of section (9).

A. Any notice of violation of any provision of sections 319.300 to 319.345, RSMo shall be in writing and shall state the section or sections violated and the circumstance of the violation, including date, place, person involved, and the act or omission constituting the violation.

B. The notice shall also inform the person receiving the notice of the right to request a hearing before the State Blasting Safety Board for any violation, except for the violation of failure to hold a blasting license as required by section 319.306, RSMo for which no appeal may be made.

2. The state fire marshal shall consider the seriousness of each violation and implement the action considered appropriate.

(B) A blaster’s license issued under the provisions of this section may be suspended or revoked by the division upon substantial proof that the individual holding the license has— 1. Knowingly failed to monitor the use of explosives as provided in section 319.309, 2. Negligently or habitually exceeded the limits established under section 319.312, 3. Knowingly or habitually failed to create a record of blasts as required by section 319.315, RSMo;

4. Had a change in material fact relating to their qualifications for holding a blaster’s license as required by these rules;

5. Failed to advise the division of any change of material fact relating to his or her qualifications for holding a blaster’s license; or 6. Knowingly made a material misrepresentation of any information by any means of false pretense, deception, fraud, misrepresentation, or cheating for the purpose of obtaining training or otherwise meeting the qualifications of obtaining a license.

(C) The division shall provide any notice of suspension or revocation in writing, sent by certified mail to the last known address of the holder of the license.

1. The notice may also be verbal, but this does not eliminate the requirement for written notice.

2. Upon receipt of a verbal or written notice of suspension or revocation from the division, the individual holding the license shall immediately surrender all copies of the license to a representative of the division and shall immediately cease all blasting activity.

(D) The individual holding the license may appeal any suspension or revocation to the State Blasting Safety Board established under

section 319.324, RSMo within forty-five (45) days of the date written notice was received.

1. The division shall immediately notify the chairman of the board that an appeal has been received and a hearing before the board shall be held.

2. The board shall consider and make a decision on any appeal received by the division within thirty (30) days of the date the appeal is received by the division.

3. The board shall make a decision on the appeal by majority vote of the board and shall immediately notify the licensee of its decision in writing.

4. The written statement of the board’s decision shall be prepared by the division or its designee and shall be approved by the chairman of the board.

5. The approved statement of the board’s decision shall be sent by certified mail to the last known address of the holder of the license.

rule filed April 2, 2008, effective Jan. 1, 2009. Amended: Filed Oct. 16, 2019, effective April 30, 2020. ** *Original authority: 319.306, RSMo 2007, amended 2010. **Pursuant to Executive Order 21-09, 11 CSR 40-7.010, subsection (3)(G) was suspended from April 16, 2020 through December 31, 2021.

History

• AUTHORITY: section 319.306, RSMo 2016. Emergency rule filed April 1, 2008, effective July 1, 2008, expired Jan. 1, 2009. Original

Division 45 Missouri Gaming Commission

Chapter 1 Organization and Administration

11 CSR 45-1.010 Organization and Administration {#sec-11-csr-45-1.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-1.010}

PURPOSE: This rule establishes the organization and administration of the Missouri Gaming Commission.

(1) The chairman of the commission shall be the chief public spokesperson for the commission in all dealings with the media.

(2) The executive director (director) shall be responsible for the daily operation of the commission’s business as delegated by the commission provided, however, that any party aggrieved by any action of the director, by petition to the chairman, may request that action be reviewed as an agenda item in a commission meeting.

(3) The director shall have the power to appoint, fire, and discipline commission employees as delegated by the commission.

(4) All records of the commission shall be maintained by the custodian of records at the commission’s office at 3417 Knipp Drive, Jefferson City, MO 65109.

(5) Unless otherwise required, all gaming tax and admission fee records and forms, application forms, fees, documents, papers, and materials to be filed with the commission shall be submitted to the commission’s office in Jefferson City, Missouri.

1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed Jan. 21, 1997, effective Aug. 30, 1997.

Amended: Filed June 30, 2010, effective Jan. 30, 2011. Amended:

Filed May 14, 2025, effective Nov. 30, 2025.

11 CSR 45-1.015 Code of Ethics {#sec-11-csr-45-1.015 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-1.015}

PURPOSE: The Missouri Gaming Commission is obligated to promote the public interest and maintain public confidence in the commission’s integrity and impartiality. As a state regulatory agency, the commission and its staff are held to the highest ethical and professional standards and must conduct all business in a manner which maintains the public trust. Furthermore the commission is charged with ensuring the integrity of the legalized gaming in Missouri. Therefore, the following Code of Ethics prescribes measures to prohibit practices that possess a potential of wrong-doing or the appearance of impropriety.

(1) Standard of Compliance for Commission and its Employees.

Each member of the commission and all of its employees are directed to read and comply with this Code of Ethics and with Executive Order 92-04 dated January 31, 1992. For the purposes of this Code of Ethics, the term employee shall include all direct employees of the commission as well as all persons who are employed by entities which have contracted with the commission to perform investigations or have entered into a Memorandum of Understanding with the commission where specific mention is made of this Code of Ethics. The commission shall be responsible for the enforcement of applicable statutes, the provisions of the Executive Order, and this rule by the suspension or discharge of the employee or other disciplinary action as the commission deems appropriate. The definitions at 11 CSR 45-5.056(1)(H) and (K) shall be applicable to this Code of Ethics.

(2) Prohibition of Gratuities From Persons Subject to Commission

Regulation. All members of the commission and commission employees are prohibited from accepting a gift from any any representative or agent of such license holder or applicant.

(3) Recommendations for Employment Prohibited. Every commissioner and every person employed by the commission or appointed to a commission committee is forbidden and prohibited to solicit, suggest, request, or recommend to any any representative or agent of such license holder or applicant the appointment of any person to any office, place, position or employment.

(4) Stock Ownership and Non-Fair Market Value Contracts Prohibited. No commissioner or any employee of the commission, while in office or employed by the commission, or during the first two (2) years after termination of office or employment, may own any stock or other ownership interest in any holder of or applicant for a license issued by the commission or enter into any contractual relationship with any any representative or agent of such license holder or applicant in which the commissioner or commission employee receives consideration that is above fair market value.

(5) Prohibited Relationships. No person who is related to a member or employee of the commission within the second degree of consanguinity or affinity shall possess any type of license issued by the commission.

(6) Compensation. No member or employee of the commission shall solicit any thing of value, nor shall any member or employee of the commission accept any thing of value, in addition to that compensation received from Missouri in their official capacity, intended to influence the member or employee’s official duties or in exchange for having exercised the member’s or employee’s official powers or performed the member’s or employee’s official duties in a particular manner.

For the purposes of this section, grant or payment of a thing of value to another person on behalf of the member or employee shall be considered grant or payment to the member or employee and an offer of an employment opportunity to any person shall constitute a thing of value. Nothing in this section shall preclude the acceptance of any award, presentation, honor, or memorabilia presented to the member or employee of the commission in recognition of his/her performance in his/her official capacity and not designed to influence any particular action taken by the member or employee of the commission.

(7) Gambling Prohibited at Certain Properties. No member or employee of the commission shall participate in any gaming, fantasy sports, or sports wagering offered by any licensee or applicant, or under the jurisdiction of the commission.

(8) Confidentiality. No information furnished to the commission by a corporation, organization, or person, except such matters as are specifically required to be open to public inspection by the provisions of Chapter 313 and Chapter 610, RSMo, shall be open to public inspection or made public except on order of the commission.

(9) Ex Parte Contacts. No commissioner shall knowingly have ex parte conversations related to matters under the jurisdiction of the commission with any applicant or licensee, their representatives, or any party to a matter pending before the commission. As ex parte communications, either oral or written, may occur inadvertently, any member of the commission who receives such a communication shall immediately prepare a written report concerning the communication and submit it to the chairman and each member of the commission. The report shall identify the person(s) who participated in the ex parte communication, the circumstances which resulted in the communication, the substance of the communication, and the relationship of the communication to a particular matter at issue before the commission.

(10) Confidential Information. No member or employee of the commission shall use or disclose confidential information gained in the course of or by reason of the member’s or employee’s official position or activities to further the member’s or employee’s own financial or political interests or the financial or political interests of anyone else.

(11) Confidential Information. A former member of the commission having information that s/he knows is confidential governmental information or knew was confidential governmental information at the time the member or employee acquired the information about a person or matter subject to the jurisdiction of the commission while the member or employee was associated with the commission may not disclose such information without the consent of the commission granted prior to such disclosure and after complete disclosure to the commission of the information sought to be disclosed, all persons to whom the information is to be disclosed, and the reasons for such disclosure. Confidential information means information that has been obtained under governmental authority and which, at the time this rule is applied, the government or the Missouri Gaming Commission is prohibited by law from disclosing to the public or has a legal privilege not to disclose, and which is not otherwise available to the public.

RSMo 2016, and section 313.955, RSMo Supp. 2025.* Original rule filed March 29, 1994, effective Sept. 30, 1994. Emergency rule filed June 14, 1994, effective June 24, 1994, expired Oct. 21, 1994.

Amended: Filed Feb. 19, 1998, effective Aug. 30, 1998. Amended:

Filed Nov. 10, 1998, effective June 30, 1999. Amended: Filed Sept. 29, 2011, effective May 30, 2012. Amended: Filed April 26, 2018, effective Dec. 30, 2018. Amended: Filed May 14, 2025, effective Nov. 30, 2025. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.955, RSMo 2016, amended 2019.

11 CSR 45-1.020 Commission Meetings {#sec-11-csr-45-1.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-1.020}

PURPOSE: This rule establishes the conditions for a commission meeting.

(1) The meetings shall be conducted in accordance with Robert’s Rules of Order.

(2) The chairman shall preside over each meeting of the commission. The commission shall elect officers from its membership as it determines, including vice-chairman and secretary.

(3) Minutes of each meeting, open or closed, including special meetings, shall be prepared in written form and shall be subject to the approval of the commission.

(4) The commission may delegate to the chairman of the commission the limited authority to extend any existing license for up to sixty (60) days without a prior vote of the commission. Any action taken by the chairman pursuant to such delegation of authority shall have the full force and effect of a majority vote of the commission, but must be ratified by a subsequent majority vote of the commission at the next public meeting. If such action is not ratified by the commission as provided herein, such action shall be cancelled, withdrawn, or rescinded as of the date of the public commission meeting at which the ratification failed. Such delegation of commission

1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed Jan. 23, 2004, effective Aug. 30, 2004.

Amended: Filed May 14, 2025, effective Nov. 30, 2025.

History

• authority to the chairman shall expire twelve (12) months after its adoption by a majority of the commission, unless rescinded or renewed by the commission prior to its expiration.

11 CSR 45-1.030 No Opinion or Approval by the Commission {#sec-11-csr-45-1.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-1.030}

PURPOSE: This rule establishes the meaning of a licensing decision.

(1) Any action of the commission relating to an applicant or a licensee shall not indicate or suggest that the commission has considered or passed in any way on the marketability of the applicant or licensee securities, or any other matter, other than the applicant or licensee’s suitability for licensure under Missouri law.

History

• AUTHORITY: sections 313.004 and 313.805, RSMo Supp. 1993. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Original authority: 313.004, RSMo 1993 and 313.805, RSMo 1991, amended 1993.

11 CSR 45-1.040 Enrollment of Attorneys and Scope of Practice {#sec-11-csr-45-1.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-1.040}

(Rescinded July 30, 2018)

Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

History

• AUTHORITY: sections 313.004 and 313.805, RSMo Supp. 1993.

11 CSR 45-1.080 Participation in Games by Employees of the Commission {#sec-11-csr-45-1.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-1.080}

PURPOSE: This rule establishes the conditions under which employees may participate in regulated games.

(1) Unless participating in a regulatory investigation, no member of the commission, the director, or any employees or agents of the commission may— (A) Participate in any game or activity, which is regulated by the Act, and is owned or operated by a licensee of the commission or license applicant;

(B) Gamble at any premises of a licensee or applicant; and (C) Accept or request complimentaries for themselves or others from a Missouri licensee or applicant, or any properties owned or operated by the licensee or applicant.

1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed Sept. 29, 2011, effective May 30, 2012.

Amended: Filed May 14, 2025, effective Nov. 30, 2025.

11 CSR 45-1.090 Definitions {#sec-11-csr-45-1.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-1.090}

PURPOSE: This rule establishes definitions.

(1) Definitions beginning with A— (A) Act—The Riverboat Gambling Act (sections 313.800– 313.850, RSMo);

(B) Alcoholic liquor—Alcohol or intoxicating liquor for beverage purposes, alcoholic, spirituous, vinous, fermented, malt, or other liquors or combination of liquors, a part of which is spirituous, vinous, or fermented, and all preparations or mixtures for beverage purposes, containing in excess of onehalf of one percent (.5%) by volume;

(C) Associated equipment—Equipment used in conjunction with gaming equipment and supplies or associated systems to facilitate payouts to patrons, including but not limited to the following: redemption kiosks and jackpot kiosks;

(D) Associated systems—Any system connected to or interfacing with gaming devices or table games, including but not limited to the following: slot accounting systems, ticket validation systems, cashless systems, bonusing systems, promotional systems, progressive systems, hybrid table game systems, and operator content delivery systems;

(E) Attendant paid external bonus payout—The total value of cashable credits electronically awarded by an external bonusing system, which are paid by an attendant and are uniquely metered by the electronic gaming device (EGD); and (F) Attributed interest—A direct or indirect interest in a business entity deemed to be held by a person not through the person’s actual holdings but either through the holdings of the person’s relatives or through a third party or parties on behalf of the person pursuant to a plan, arrangement, or agreement.

(2) Definitions beginning with B— (A) Base amount—The initial amount of the progressive jackpot before it increments and the amount upon reset, not including any incrementation related to a secondary meter, following the progressive jackpot being awarded;

(B) Bill validator—Peripheral equipment attached to an electronic device for the purpose of dispensing an amount of credits equal to the amount of cash or cash equivalency inserted into the bill validator; and (C) Bonusing system—A system external to and functionally independent of EGDs, that electronically communicates system bonuses to participating EGDs.

(3) Definitions beginning with C— (A) Cashable electronic promotion in (CEP In)—The total value of cashable credits electronically transferred to the EGD from a player reward account by means of an external (B) Cashable electronic promotion out (CEP Out)—The total value of cashable credits electronically transferred from the EGD to a player reward account by means of an external connection between the EGD and a cashless system;

(C) Cashless system—Any system used to facilitate the electronic transfer of promotional funds, wagering account funds, or digital wallet funds to and from approved gaming devices and other authorized devices. The system may also allow patrons to deposit funds to and withdraw funds from wagering accounts and digital wallets at the cage. The system includes the collective hardware, software, communications technology, and other ancillary equipment used to conduct cashless transactions;

(D) Casino surveillance room—A room on a riverboat used by authorized personnel of a Class B licensee to monitor and record gaming and other activities conducted within the riverboat gaming operation;

(E) Certification by independent testing laboratories (ITLs)—A written document issued by an independent testing laboratory attesting to the compliance of a particular product with applicable Missouri laws, regulations, Minimum Internal Control Standards (MICS), and adopted technical standards;

(F) Chief administrative officer—Means the president of a corporation, the managing partner of a partnership, the general partner(s) of a limited partnership, the individual of a sole proprietorship, the managing agent of a joint venture, or the managing agent of a limited liability company. For a consortium of financial participants where no formal chief administrative officer exists, chief administrative officer shall mean the chief administrative officer of the largest financial participant;

(G) Chip—A nonmetal or partly metal representative of value, redeemable for cash, and issued and sold by a holder of a Class B license for use in gaming other than in electronic gaming devices on the license holder’s riverboat;

(H) Commission—The Missouri Gaming Commission or its agents;

(I) Commission surveillance room—A room(s) on each riverboat for the exclusive use of the commission or commission agents for monitoring and recording of gaming and other activities;

(J) Confidence intervals—A range of values calculated at a given assurance level to measure where the actual return to player (RTP) of an EGD game should statistically be, given the number of game plays;

(K) Continuously docked excursion—A continuously docked excursion boat shall set a schedule of excursion as required by the definition of excursion. This schedule shall designate a specific time for boarding. On each scheduled excursion, no new passengers shall board after the specified time for boarding has expired;

(L) Counter check—A type of credit instrument provided by the Class B licensee that is completed as is necessary to be presented by the Class B licensee to the patron’s bank for payment; and (M) Critical program storage media—Any media device containing controlled software that may affect the integrity of a gambling game or associated equipment, or which significantly influences the operation and calculation of game play, game display, game result determination, or game accounting.

(4) Definitions beginning with D— (A) Debt instrument—Any bond, loan, mortgage, trust deed, note, debenture, subordination, guaranty, letter of credit, security agreement, surety agreement, pledge, chattel mortgage, or other form of indebtedness;

(B) Dependent—Any individual who received over half of his or her support in a calendar year from any other individual;

(C) Digital wallet—An electronic monetary account maintained outside the Class A and B licensees’ operations funded by patrons and used to transfer patron funds directly to and from approved gaming devices and other authorized devices through the cashless system without the use of a wagering account;

(D) Director—The executive director employed by the commission;

(E) Docksite commission offices—Offices at the dockside, approved by the commission, for the exclusive use of commission agents; and (F) Drop bucket—That portion of gaming equipment internally contained which serves as a repository for tokens.

(5) Definitions beginning with E— (A) Electronic card—A card used for cash or cash equivalent;

(B) Electronic gaming device (EGD)—Any electrical device or machine which upon payment of consideration is available to play or operate, the operation of which, whether by reason of the skill of the operator, application of the element of chance, or both, may deliver or entitle the person playing or operating the machine to receive premiums, merchandise, tokens, redeemable game credits, or anything of value other than unredeemable free games whether the payoff is made automatically from the machines or in any other manner;

(C) Electronic gaming device drop—The total value of tokens contained in the drop bucket;

(D) Electronic gaming device win—The electronic gaming device drop minus hand-paid jackpots minus hopper fills plus hopper credits;

(E) EPROM—Literally means erasable, programmable, readonly memory, but also applies to all main game program storage media on electronic games built after 2002;

(F) Excluded person—Any person whose name appears on any exclusion list, or any person whose name does not appear on an exclusion list, but is excluded or ejected pursuant to the law;

(G) Exclusion list—A list(s) which contains identities of persons who are to be excluded or ejected from any licensed gaming operation in any jurisdiction; and (H) Excursion—A two- (2-) hour period approved by the commission that an excursion gaming boat shall operate and, if required, cruise. The commission may allow patrons to board and exit the boat at will if the integrity of the admission fee collection process can be maintained. Gaming may be permitted at any time during the excursion. The commission shall approve all schedules of excursion prior to the schedule becoming effective. The provisions of this definition to the contrary notwithstanding, the commission may approve an excursion schedule that includes a single three- (3-) hour excursion if it is the last excursion of the gaming day.

(6) Terms beginning with F— (A) FEIN—Federal Employer Identification Number.

(7) Terms beginning with G— (A) Gambling game—Includes games of skill or games of chance approved by the commission to be offered for public play by a Class B licensee;

(B) Gaming—The dealing, operating, carrying on, conducting, maintaining, or exposing for play of any game;

(C) Gaming equipment and supplies—Any machine, mechanism, device, or implement which affects the result of a game by determining win or loss including, without limitation, electronic, electrical or mechanical devices or machines, progressive controllers, shufflers, software, cards, and dice; and any representative of value used with any game including, without limitation, chips, tokens, or electronic debit cards and related hardware and software; and (D) Gaming operations manager—A person or business entity other than the holder of a Class B license who has the ultimate responsibility to manage, direct, or administer the conducting of gaming.

(8) Definitions beginning with H— (A) Hand—Either one (1) game in a series, one (1) deal in a card game, or the cards held by a player.

(9) Definitions beginning with I— (A) Independent testing laboratory (ITL)—A testing laboratory that tests and evaluates gaming devices and associated systems and equipment against applicable Missouri laws, regulations, MICS, and adopted technical standards. To be considered independent, the testing laboratory shall not have developed or manufactured any of the products it tests;

(B) Indirect interest—An interest in a business entity that is deemed to be held by the holder of a Class B license not through the holder’s actual holdings in the business entity but through the holder’s holdings in other business entities; and (C) Internal control system—Administrative and accounting controls designed by the holder of a Class B license, for the

purpose of exercising control over the riverboat gaming operation.

(10) Definitions beginning with J— (A) Jackpot kiosk—A slot attendant interface unit used to process jackpots from the slot accounting system and dispense the proper payment amount.

(11) Definitions beginning with K— (A) Key business entity—A holder of any direct or indirect legal or beneficial publicly traded or privately held interest whose combined direct, indirect, or attributed publicly traded interest is five percent (5%) or more or privately held interest is one percent (1%) or more in an applicant or licensee or in a key business entity of an applicant or licensee, any entity, excluding any governmental entity, that owns the real estate of an excursion gambling boat, or any business entity so designated by the commission or director; and (B) Key person—Includes the following individuals:

1. An officer, director, trustee, proprietor, managing agent, or general manager of an applicant or licensee or of a key business entity of an applicant or licensee;

2. A holder of any direct or indirect legal or beneficial publicly traded interest whose combined direct, indirect, or attributed publicly traded interest is five percent (5%) or more in an applicant or licensee or in a key business entity of an applicant or licensee;

3. A holder of any direct or indirect legal or beneficial privately held interest whose combined direct, indirect, or attributed privately held interest is one percent (1%) or more in an applicant or licensee or in a key business entity of an applicant or licensee;

4. A holder of any direct or indirect legal or beneficial interest in an applicant or licensee or in a key business entity of an applicant or licensee if the interest was required to be issued under agreement with or authority of a government entity;

5. An owner of an excursion gambling boat; and 6. Any individual so designated by the commission or director.

(12) (Reserved)

(13) Definitions beginning with M— (A) Machine paid external bonus payout—The total value of cashable credits electronically awarded by an external bonusing system to the credit meter and are uniquely metered by the EGD.

(14) Definitions beginning with N— (A) Nominee—Any individual or business entity that holds, as owner of record, the legal title to tangible or intangible personal or real property, including, without limitation, any stock, bond, debenture, note, investment contract, or real estate on behalf of another individual or business entity, and is designated and authorized to act on his, her, or its behalf with respect to the property;

(B) Non-cashable electronic promotion in (NCEP In)—The total value of non-cashable credits electronically transferred to the EGD from a player reward account by means of an external (C) Non-cashable electronic promotion out (NCEP Out)—The total value of non-cashable credits electronically transferred from the EGD to a player reward account by means of an external connection between the EGD and a cashless system; and (D) Nonvalue chip—A chip, clearly and permanently impressed, engraved, or imprinted with the name of the riverboat, but bearing no value designation.

(15) (Reserved)

(16) Definitions beginning with P— (A) Payout—Winnings earned on a wager;

(B) Peripheral equipment—An internal or external device connected to an EGD or kiosk that supports credit acceptance, credit issuance, player interaction, or other specialized function(s);

(C) Person—Any individual, corporation, partnership, limited partnership, joint venture, limited liability corporation, or unincorporated association;

(D) Petitioner—A person, applicant, licensee, or excluded person who requests a hearing before the commission;

(E) Pit or pit area—An area that is completely enclosed or encircled by gaming tables and into which access is restricted to specific casino employees and officials whose job descriptions authorize them being within the enclosed area;

(F) Player reward account—An account assigned to a patron in the player tracking system which is used to record the patron’s play and may allow for the direct electronic transfer of promotional giveaway credits, player reward credits, or another source of credits approved by the commission to an EGD;

(G) Player reward credits—Player reward points that are converted into downloadable credits;

(H) Player reward points—Points earned by patrons, which increment with play and are based on predetermined formulas;

(I) Poker—Approved gambling games which are played in a poker room and use poker cards dealt by a nonplaying dealer in which a maximum of eleven (11) players wager on the superiority of their individual hands against the hands of the other players;

(J) Political contribution—The making of any gift of any kind or paying or giving money or any other thing of value to— 1. Any candidate or nominee for any public office in Missouri;

2. Any public official; or 3. Any fund-raising committee or other fund-raising entity, whether located in Missouri or elsewhere, that gives, lends, or otherwise provides funds to meet the expenses of any candidate for public office or public official;

(K) Probability accounting report (PAR sheet)—A document describing the math of a game, including return to player (RTP) percentages and all possible payouts/awards;

(L) Progressive controller—The hardware and software that controls all communications within a progressive game link and its associated progressive meter;

(M) Progressive incremental amount—The difference between the amount of a progressive jackpot and its base amount;

(N) Progressive jackpot—An EGD or table game payoff that increases over time solely as a function of the wagers played on the progressive game at an EGD, a table game, or a group of EGDs or table games;

(O) Promotional giveaway credits—Downloadable credits awarded to a player’s account based on predefined criteria outlined by the rules of a promotion, where the patron provides no consideration;

(P) Promotional system(s)—A collection of files which electronically transfers credits bi-directionally between any player reward account and EGD through the use of a cashless system; and (Q) Proprietary—Relating to financial, ownership, legal, security, operational, or contractual matters.

(17) (Reserved)

(18) Definitions beginning with R— (A) Redemption kiosk—A patron interface unit used to accept redeemable tickets by communicating ticket information to the ticket validation system and pay the ticket amount to the patron. Redemption kiosks may also perform various other tasks including but not limited to bill breaking, check cashing, and ATM functions;

(B) Regulatory and review agency—Any United States classification society or its agents recognized by the United States Secretary of Transportation under authority of 46 U.S.C. 3316(c)(1) to conduct inspections, make examinations of, and issue certificates for vessels of the United States;

(C) Relative—Spouse, parents, grandparents, children, siblings, uncles, aunts, nephews, nieces, fathers-in-law, mothers-in-law, sons-in-law, daughters-in-law, brothers-in-law and sisters-in-law, whether by whole or half blood, by marriage, adoption, or natural relationship, and their dependents;

(D) Return to player (RTP)—A ratio of the total amount won to the total amount wagered by a player. Such a return may be “theoretical,” which is based on the mathematical calculations or simulations, or “actual,” which is based on the amounts wagered and won by patrons on a gaming device;

(E) Riverboat gaming operation—The conducting of gaming and all related activities including, without limitation, the purveying of food, beverages, retail goods and services, and transportation, on a riverboat and at its support facilities; and (F) ROM—Read-only memory.

(19) Definitions beginning with S— (A) Server(s)—Physical computer hardware or virtual software that manages network resources and provides services in response to requests;

(B) Shoe—A device used to dispense cards in gambling games;

(C) Signature—The definitive identity of an individual specific ROM or EPROM chip, determined by electronic analysis and reflective of the ROM or EPROM chip’s game behavior capability;

(D) Slot machine—A type of electronic gaming device;

(E) Slot machine interface board (SMIB)—An interface device which permits systems to bi-directionally communicate to EGDs;

(F) Sole proprietor—A person who in his or her own name owns one hundred percent (100%) of the assets and is solely liable for the debts of a business;

(G) Substantial creditor—The holder of any debt instrument of whatever character, against an individual or business entity, whether secured or unsecured, matured or unmatured, liquidated or unliquidated, absolute, fixed, or contingent, the aggregate amount of which is fifty thousand dollars ($50,000) or more;

(H) Substantial owner—The holder of at least twentyfive percent (25%) of the total combined voting power of a corporation or at least twenty-five percent (25%) of the total value of shares of all classes of stock of a corporation; or at least a twenty-five percent (25%) interest in a partnership, or at least twenty-five percent (25%) of the value of a trust computed actuarially; or at least twenty-five percent (25%) of the legal or beneficial interest in any other business entity. For purposes of computing these percentages, a holder shall be deemed to own any stock or other interest in a business entity, whether owned directly or indirectly;

(I) Supervisor—a person with one (1) or more identified subordinate job position(s) reporting to his or her job position according to the Class B licensee’s organizational chart;

(J) Supplier—Any independent testing laboratory or a person who manufactures, sells, or leases gaming equipment and supplies to any licensee or any person whose product connects with approved gaming devices;

(K) Support facility—A place of business which is part of, or operates in connection with, a riverboat gaming operation and is owned in whole or in part by a holder of a Class B license, or any of their key persons including, without limitation, riverboats, offices, docking facilities, parking facilities, and land-based hotels or restaurants; and (L) System bonus—A promotional award external to an approved gaming device, in the form of credits added directly to the credit meter or paid by an attendant, triggered by an event in accordance with the rules of a promotion.

(20) Definitions beginning with T— (A) Table drop—The total amount of cash or cash equivalents contained in the drop box for chips purchased at a live gaming device;

(B) Table game—A gambling game (other than poker played in a poker room) using playing cards, dice, wheels, balls, or other approved equipment in which the players wager against the house and the table used for the game is one of several gaming tables used to form a pit;

(C) Table win—The dollar amount won by the holder of a Class B license through play at a live game which is the total of the table drop plus ending chip inventory plus credits minus opening chip inventory minus fills;

(D) Test cases—A description of processes utilized by the ITL to assess compliance with test scripts;

(E) Test scripts—A template to record findings constructed by the ITL to assess compliance with all applicable Missouri statutes, regulations, adopted technical standards, and MICS;

(F) Theoretical payout percentage—The total value of wins expected to be paid by an EGD divided by the total value of EGD wagers expected to be made on that EGD for the series of all possible outcomes;

(G) Ticket of admission—A physical or electronic implement, approved by the commission, which records and verifies the admission of patrons onto an excursion gambling boat for the purpose of accounting for the admission fee imposed by

section 313.820, RSMo;

(H) Ticket validation system—Any system used to print and redeem tickets to and from approved gaming devices and other authorized devices. The system includes the ticket database, collective hardware, software, communications technology, and other peripheral equipment used to conduct ticketing transactions;

(I) Token—A metal object or other representation of value that is authorized by statute and/or approved by the commission, which is redeemable for cash only at the issuing riverboat gaming operation, and issued and sold by a holder of a Class B license for use in electronic gaming devices; and (J) Tournament chip—A chip issued by a Class B licensee for use in tournaments at the licensee’s gaming establishment.

(21) Definitions beginning with U— (A) Unauthorized gambling games—Any gambling game not defined as such in this rule, allowed by law or any such defined game which has not been approved by the commission; and (B) United States government agency securities—Negotiable, senior, non-callable, debt obligations issued by a United States agency that on the date of funding possess an issuer credit rating equivalent to the highest investment grade rating given by Standard & Poor’s or Moody’s Investors Service.

(22) Definitions beginning with V— (A) Value chip—A chip, clearly and permanently impressed, engraved, or imprinted with the name of the riverboat and the specific value of the chip; and (B) Volatility index (VI)—A calculation of an EGD’s payout volatility used to calculate confidence intervals.

(23) Definitions beginning with W— (A) Wagering account—A patron account held by the Class A or B licensee that allows the electronic transfer of the patron’s funds to or from an approved gaming device and other authorized devices through the cashless system;

(B) Wagering account transfer in (WAT In)—The total value of cashable credits electronically transferred to the EGD from a wagering account or digital wallet by means of an external (C) Wagering account transfer out (WAT Out)—The total value of cashable credits electronically transferred from the EGD to the wagering account or digital wallet by means of an external connection between the EGD and a cashless system; and (D) Wide-area progressive system—A system linked across a communication network at multiple Class B licensees, which allows the same progressive jackpots to be offered on multiple EGDs.

(24) (Reserved)

(25) (Reserved)

(26) (Reserved)

rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994.

Emergency amendment filed March 2, 1995, effective March 12, 1995, expired July 9, 1995. Amended: Filed March 2, 1995, effective Aug. 30, 1995. Amended: Filed June 2, 1995, effective Dec. 30, 1995.

Amended: Filed March 18, 1996, effective Oct. 30, 1996. Emergency amendment filed June 25, 1996, effective July 5, 1996, expired Dec. 31, 1996. Amended: Filed June 25, 1996, effective Feb. 28, 1997.

Amended: Filed Sept. 2, 1997, effective March 30, 1998. Amended:

Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed June 4, 1999, effective Jan. 30, 2000. Amended: Filed March 30, 2000, effective Oct. 30, 2000. Amended: Filed Dec. 7, 2001, effective June 30, 2002. Amended: Filed Jan. 18, 2005, effective Aug. 30, 2005.

Amended: Filed Feb. 28, 2007, effective Oct. 30, 2007. Emergency amendment filed Oct. 29, 2008, effective Nov. 15, 2008, expired May 13, 2009. Amended: Filed Oct. 29, 2008, effective April 30, 2009. Amended: Filed July 28, 2010, effective Feb. 28, 2011.

Amended: Filed Jan. 30, 2014, effective Sept. 30, 2014. Amended:

Filed July 31, 2014, effective Feb. 28, 2015. Amended: Filed Aug. 27, 2015, effective March 30, 2016. Amended: Filed April 26, 2018, effective Dec. 30, 2018. Amended: Filed Feb. 25, 2022, effective Sept. 30, 2022. Amended: Filed Dec. 5, 2024, effective July 30, 2025. *Original authority: 313.004, RSMo 1993, amended 1994, 2014; 313.800, RSMo 1991, amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; and 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022.

History

• AUTHORITY: section 313.004, RSMo 2016, and sections 313.800 and 313.805, RSMo Supp. 2024. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency

11 CSR 45-1.100 Waivers and Variances {#sec-11-csr-45-1.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-1.100}

PURPOSE: This rule permits licensees to apply for and receive waivers or variances to regulatory requirements.

(1) The commission may waive or grant a variance from the provisions of Title 11, Division 45, Chapters 1–40 of the Code of State Regulations upon a licensee’s or a Fantasy Sports Contest Operator applicant’s written request, if the commission determines that the waiver or variance is in the best interests of the public. Any waiver or variance granted pursuant to this

section constitutes an order of the commission pertaining to gaming, violation of which subjects a licensee to discipline under sections 313.812.14(2) and 313.950, RSMo.

(2) In granting any variance authorized by this section, the commission may impose certain conditions and restrictions with which the licensee must comply to accept and use the variance. Failure to meet the conditions or restrictions contained in the variance will immediately render the variance void, and the licensee may be subject to discipline in the same manner as if the variance had never been issued.

History

• AUTHORITY: section 39(g) of Article III, Mo. Const., section 313.004, RSMo 2016, and sections 313.805, 313.950, and 313.955, RSMo Supp. 2025. Original rule filed Aug. 27, 2004, effective March 30, 2005. Emergency amendment filed Aug. 29, 2016, effective Sept. 8, 2016, expired March 6, 2017. Amended: Filed Aug. 29, 2016, effective March 30, 2017. Amended: Filed May 14, 2025, effective Nov. 30, 2025. Original authority: 313.004, RSMo 1993, amended 1994, 2014; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010, 2021, 2022; 313.950, RSMo 2016, amended 2019; and 313.955, RSMo 2016, amended 2019.

Chapter 2 Practice and Procedures Before the Commission

11 CSR 45-2.010 Addressing Commission {#sec-11-csr-45-2.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-2.010}

PURPOSE: This rule establishes procedures for the public to address the commission.

(1) All persons wishing to address the commission about an agenda item at an open meeting must file a petition to appear twenty-four (24) hours before the noticed meeting.

This petition shall state the name of the person who wishes to address the commission and a summary of the material to be presented. The commission will rule on the petition at the noticed meeting. No person interested in a case, matter, or application pending before the commission shall improperly attempt to influence the judgment of the commission by undertaking, directly or indirectly, to pressure or influence the commission, with regard to the case, matter, or application.

rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed May 14, 2025, effective Nov. 30, 2025. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010, 2021, 2022.

History

• AUTHORITY: section 39(g) of Article III, Mo. Const., section 313.004, RSMo 2016, and section 313.805, RSMo Supp. 2025. Emergency

Chapter 3 Records

11 CSR 45-3.010 Commission Records {#sec-11-csr-45-3.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-3.010}

PURPOSE: This rule establishes procedures to maintain the records of the commission.

(1) All records of the commission shall be maintained by the custodian of records at one (1) or more of the commission’s offices in Jefferson City, St. Louis, Kansas City, or the commission’s office at each gaming facility.

(2) The director or designee shall be the custodian of records for the commission.

(3) The director or designee shall respond to any request for documents in accordance with the law.

Filed May 3, 2001, effective Dec. 30, 2001.

Amended: Filed April 29, 2002, effective Nov. 30, 2002. Amended: Filed Jan. 24, 2003, effective Aug. 30, 2003. Amended: Filed March 21, 2006, effective Nov. 30, 2006.

Emergency amendment filed Aug. 29, 2016, effective Sept. 8, 2016, expired March 6, 2017. Amended: Filed Aug. 29, 2016, effective March 30, 2017. Amended: Filed March 1, 2018, effective Oct. 30, 2018. *Original authority: 313.004, RSMo 1993, amended 1994, 2014; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; 313.847, RSMo 1993, amended 1994; 313.945, RSMo 2016; 313.950, RSMo 2016; and 313.955, RSMo 2016.

History

• AUTHORITY: sections 313.004, 313.805, 313.847, 313.945, 313.950, and 313.955, RSMo 2016. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed June 25, 1996, effective Feb. 28, 1997. Amended:

Chapter 4 Licenses

11 CSR 45-4.020 Licenses, Restrictions on Licenses, Licensing Authority of the {#sec-11-csr-45-4.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.020}

11 CSR 45-4.025 Incorporation of Application Information by Reference {#sec-11-csr-45-4.025 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.025}

11 CSR 45-4.050 Application Period and Fees for Class A License {#sec-11-csr-45-4.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.050}

11 CSR 45-4.380 Occupational and Key Person/Key Business Entity License Application 2CODE OF STATE REGULATIONS (5/31/19) JOHNR. ASHCROFT {#sec-11-csr-45-4.380 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.380}

11 CSR 45-4.500 Junket, Junket Enterprises, Junket Representatives—Definitions {#sec-11-csr-45-4.500 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.500}

11 CSR 45-4.510 Junket Enterprise; Junket Representative—Licensing Requirements {#sec-11-csr-45-4.510 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.510}

11 CSR 45-4.520 Junket Arrangements—Criteria by Which Patrons Selected Determinant {#sec-11-csr-45-4.520 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.520}

11 CSR 45-4.530 Junket Enterprise; Junket Representative; Agents; Employees—Policies and {#sec-11-csr-45-4.530 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.530}

11 CSR 45-4.540 Junket—Agreements, Schedules, and Final Reports PUBLIC SAFETY Commission {#sec-11-csr-45-4.540 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.540}

11 CSR 45-4.010 Types of Licenses {#sec-11-csr-45-4.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.010}

PURPOSE: This rule establishes the types of licenses.

(1) The types of licenses shall include:

(A) Class A;

(B) Class B;

(C) Supplier and temporary supplier;

(D) Key business entity;

(E) Key person; and (F) Occupational:

1. Level I;

2. Level II;

3. Restricted Level II.

(2) The commission may classify an activity to be licensed in addition to, different from, or at a different level than the types set forth in section (1) of this rule. The commission shall investigate all levels of license applications. and section 313.807, RSMo Supp. 2013.* Sept. 20, 1993, expired Jan. 17, 1994.

Jan. 18, 1994, expired Jan. 30, 1994.

Jan. 31, 1994. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended: 30, 2014. and 313.807, RSMo 1991, amended 1993, 2000.

11 CSR 45-4.020 Licenses, Restrictions on Licenses, Licensing Authority of the Executive Director, and Other Definitions {#sec-11-csr-45-4.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.020}

PURPOSE: This rule defines and describes types of licenses, restrictions on licenses, licensing authority of the executive director, and other definitions.

(1) A Class A license shall be a license granted by the commission to allow the parent organization(s) or controlling entity, as determined by the executive director, to develop and operate Class B licensee(s). A Class A licensee may, if authorized by the commission, operate more than one Class B licensee.

Class A and Class B licensees may not be licensed as suppliers.

(2) A Class B license shall be a license granted by the commission to maintain, conduct gambling games on, and operate an excursion gambling boat and gaming facility at a specific location.

(3) Exemptions.

(A) A key person or key business entity who is the holder of five percent (5%) or more publicly traded interest or one percent (1%) or more privately held interest, but not more than ten percent (10%) publicly traded or privately held interest, who holds such interest only for passive (“Not involving active participation; esp., of or relating to a business enterprise in which an investor does not have immediate control over the activity that produces income.” Black’s Law DictionarySeventh Edition) investment purposes (including economic purposes) may be exempted from licensure by the executive director.

(B) The commission by majority vote may grant exemption from licensure for holdings of up to twenty percent (20%).

(C) Exemptions may be granted to institutional investors in advance to hold interest in multiple licensees.

(D) Exemptions shall be for two (2) years unless renewed.

(E) Requests for exemption from licensure must be submitted on a Request of Waiver for Licensure of Institutional Investor form, which is available for public inspection at the offices of the commission and online at the commission’s website (www.mgc.dps.mo.gov).

Request forms shall be submitted in advance of acquiring such interest or within ten (10) days thereafter certifying under oath— 1. The interest is being acquired for passive investment purposes;

2. The holder does not nor will it have any involvement in the management activities of the entity;

3. The holder does not have any intention of controlling the entity regardless of additional stock that may be acquired;

4. The holder will within ten (10) days notify the commission of any purchase of stock in the entity which causes the total holding of the entity’s outstanding stock to exceed the threshold for which the waiver is granted;

5. In the event the holder subsequently develops an intention of controlling or participating in the management of said entity, said holder shall notify the commission of said change and refrain from participating in management or exercising such control until approved for licensure by the commission;

6. The home and business address, occupation, employer, and title if the applicant is an individual; and 7. The type of entity (corporation, partnership, limited partnership, LLC, LLP, etc.), state of charter, and the names and both home and business address of the following personnel if the applicant is a business entity— A. Chief executive officer (CEO);

B. Chief financial officer (CFO);

C. Chief operating officer (COO);

D. Managing partner(s);

E. General partner(s);

F. Members of the Board of Directors; and G. The registered agent;

8. The executive director shall keep a record of all such exemptions granted and the positions held by each entity and shall present a written report on the same to the commission on a monthly basis; and 9. Nothing in this section, including the granting of an exemption, shall prohibit the commission, at a future date, in its sole discretion, with or without cause from requiring any owner of any interest in a licensee from becoming licensed by the commission or to divest itself of stock ownership.

(4) Occupational license Level I is a person other than a key person/key business entity who has management control or decisionmaking authority over the gaming operation, a key function of the gaming operation, or the development or oversight of the testing of gaming equipment or systems, including but not limited to:

(A) Director of casino operations;

(B) Highest ranking table games department employee;

(C) Highest ranking security department employee;

(D) Highest ranking Management Information Systems (MIS) department employee;

(E) Highest ranking surveillance department employee;

(F) Assistant general manager;

(G) Highest ranking slot department employee;

(H) Managers responsible for ensuring the integrity of all testing standards and certifica- (I) Highest ranking finance department employee; or (J) Any other person directed by the commission to file a Level I application.

(5) Each Class B licensee at a minimum shall individually staff the following Level I positions with employees of the Class B licensee, which shall not be combined with any other required position:

(A) General manager (may be a Class A employee);

(B) Casino operations manager/director, or a table games department manager/director and a slot department manager/director;

(C) Security department manager/director;

(D) Finance department manager/director;

(E) MIS department manager/director; and (F) Surveillance department manager/director.

(6)

In the event that one of the positions, required by section (5) becomes vacant, an interim replacement licensee shall be immediately appointed to serve. Except for the surveillance manager/director position, the interim appointee may be one of the current Level I licensees required by section (5). The permanent position shall be staffed within one hundred eighty (180) days, unless otherwise approved by the commission.

(7) Occupational License Level II includes any of the following positions that are not required to hold an Occupational License Level I:

(A) Any position within a Class A or Class B licensee that would require the holder to have access to the excursion gambling boat or secured area to perform his or her function or duties; provided that agents and nongaming vendors are not considered within Occupational License Level I or II unless otherwise notified by the commission;

(B) Any position related to a Class B licensee in one (1) of the following areas: security, surveillance, audit, accounting, MIS, cage, ticketing, hard and soft count, and marine operations;

(C) Any position with a licensed gaming supplier company that would require the holder to have access to the excursion gambling boat to perform his or her function or duties if such function or duties involve installation, servicing, maintenance, repair or accessing secured or locked components of any gaming equipment or supplies, or involve verification or payment of patron awards; and (D) Any other person or entity directed by the commission or the director to file a Level II application as an occupational licensee applicant.

(8) Supplier license is a license issued to a person or entity that— (A) Manufactures, sells, or leases gaming equipment, gaming supplies, or both;

(B) Provides gaming equipment maintenance or repair; or (C) Provides testing services on gaming related equipment, components, peripherals, systems, or other items directed by the commission to a Class A or Class B licensee, or the commission.

(9) Temporary supplier license is a license authorized by the commission until the appropriate license can be obtained.

(10) A restricted Level II license is issued to an occupational Level II licensee under the age of twenty-one (21).

(11) After May 30, 2008, all existing Class A licenses shall be divided into a Class A license, which shall be the operating company and one (1) or more Class B license(s), which shall be the licensed riverboat gaming operation. Rules adopted prior to the adoption of this rule which previously referred to a Class A licensee shall refer to both Class A licensee and Class B licensee unless specifically identified otherwise.

Amended: Filed Dec. 28, 1995, effective June 30, 1996. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Rescinded and readopted: Filed Dec. 3, 2007, effective May 30, 2008. Amended: Filed Aug. 3, 2009, effective March 30, 2010. Amended: Filed July 28, 2010, effective Feb. 28, 2011. Amended: Filed 30, 2014. Amended: Filed Aug. 27, 2015, effective March 30, 2016. Amended: Filed April 26, 2018, effective Dec. 30, 2018. 2008, 2010; and 313.807, RSMo 1991, amended 1993, 2000, 2012.

History

• AUTHORITY: sections 313.004, 313.805, and 313.807, RSMo 2016. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, Filed June 2, 1995, effective Dec. 30, 1995.

11 CSR 45-4.025 Incorporation of Application Information by Reference {#sec-11-csr-45-4.025 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.025}

(Rescinded October 30, 1998)

RSMo Supp. 1993. Emergency rule filed June 14, 1994, effective June 24, 1994, expired Oct. 21, 1994. Original rule filed April 22, 1994, effective Sept. 30, 1994. Rescinded:

11 CSR 45-4.030 Application for Class A or Class B License {#sec-11-csr-45-4.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.030}

PURPOSE: This rule establishes applications.

(1) License application shall be made on a form obtained from the commission. Each Class A or Class B license applicant must submit the Riverboat Gaming Application Form for itself, a Key Person and License Level I Application for each individual key person associated with the application and a Key Business Entity Riverboat Application Form for each key business entity associated with the applicant. The applicant must also submit Personal Disclosure Form II for any other person or entity (other than occupational licensees) associated with the applicant in any way, who is required by the commission or the director to execute such forms, which forms shall become part of the Class A or Class B application along with the key person/key business entity forms. A copy of all necessary forms is available for public inspection at the offices of the commission and online at the commission’s website.

(2) For a Class A or Class B license an applicant must disclose on an application form obtained from the commission at a minimum— (A) The applicant’s full name, telephone number, and the type of organizational structure under which the organization operates, including, without limitation, whether the applicant is an operating company or a holding company, identification of key persons/key business entities, including identification of chief administrative officers, the background and skills of applicant and key persons;

(B) The business address and telephone number of the organization and all former addresses within ten (10) years, and all addresses of subsidiary or parent corpora- (C) The name, address, and telephone number of applicant’s registered agents, legal representatives, accounting representatives, banking and financial representatives, underwriters, and custodian of records in Missouri and elsewhere;

(D) Information on the ability of applicant and key persons/key business entities to conduct gaming operations;

(E) If the applicant is an individual, the license application must disclose— 1. The applicant’s legal name and address and all former addresses within ten (10) years;

2. Whether the applicant is a United States citizen;

4CODE OF STATE REGULATIONS

3. Any aliases or business names which have ever been or are being used by the applicant; and 4. Copies of state and federal tax returns for the past five (5) years;

(F) If the applicant is a corporation, the applicant must disclose on the application— 1. The applicant’s full corporate name and any trade names or fictitious names used by the applicant in this or any other jurisdic- 2. The jurisdiction and date of incorporation;

3. The date the applicant commenced doing business in Missouri, if any, and if the applicant is incorporated in any jurisdiction other than Missouri, a copy of the applicant’s certificate or authority to do business in 4. Copies of each of the following:

A. Articles of Incorporation;

B. Bylaws and all bylaw amendments;

C. Federal corporate tax returns for the past five (5) years;

D. State corporate tax returns for the past five (5) years; and E. The applicant’s most current annual report, which shall include audited financial statements;

5. To the extent not disclosed in any document required to be submitted, the applicant’s Federal Employer Identification Number (FEIN), and all tax identification numbers including, without limitation: sales tax number, employer withholding tax number, and corporate income tax number;

6. The location and custodian of the applicant’s business records;

7. A statement of the general nature of applicant’s business;

8. Whether the applicant is publicly held as defined by the rules of the Securities and Exchange Commission;

9. All the classes of stock authorized by the Articles of Incorporation. As to each class, the applicant shall disclose— A. The number of shares authorized;

B. The number of shares issued;

C. The number of shares outstanding;

D. The par value of each share;

E. The issue price of each share;

F. The current market price of each share;

G. The number of shareholders currently listed on the corporate books; and H. The terms, rights, privileges, and other information each class of stock possesses;

10. If the applicant has any other obligations or securities authorized or outstanding which bear voting rights either absolutely or upon any contingency, together with the nature of the obligations. In addition, the following shall be disclosed for each obligation:

A. The face or par value;

B. The number of units authorized;

C. The number of units outstanding;

D. Any conditions upon which the units may be voted;

11. The names in alphabetical order and addresses of the directors. As to each director, the following information shall be included: the number of shares held of record as of the application date— A. If the director owns no shares, the B. Ownership of shares shall include beneficial owners of the stocks or certificates or other evidence of ownership in such organization, may become the owner or holder, directly or indirectly, of any such shares of stocks or certificates or other evidence of ownership;

12. The names, in alphabetical order, and addresses of the officers of the applicant.

The following information shall be included for each officer: the number of shares held on record as of the application date— A. If the officer owns no shares, the B. Ownership of shares shall include beneficial owners. Beneficial ownership ship and:

(I) Stock or other ownership in one (1) or more entities in a chain of parent and ownership involved; or (II) Any interest which entitles a standing, relationship, agreement, or other record owner. Unless there are special circumstances, securities held by an individual’s the individual;

13. The names, in alphabetical order, and addresses of each record stockholder of the corporation. Stockholder shall mean record owners or beneficial owners (as defined in (2)(F)12.B. above) of the stocks or certificates or other evidence of ownership in such organization, may become the owner or holder, directly or indirectly, of any such shares of stocks or certificates or other evidence of ownership. The applicant shall also include a percentage of the voting shares of stock owned by each record stockholder. If the applicant is publicly held and shares of stock are held in street name by a nominee, an agent or trust, the applicant shall render maximum assistance to the commission, upon its request, to determine the beneficial ownership of the shares of stock;

14. Each jurisdiction for which the corporation has met filing and disclosure requirements of state securities registration and filing laws, the Securities Act of 1933 or the Securities and Exchange Act of 1934. The applicant shall include the most recent registration statement and annual report filed with the Securities and Exchange Commission and each state in which the corporation has registered or filed the report.

A. If the applicant has not registered or filed any statements with the Commissioner of Securities of the Secretary of State of Missouri, the applicant must state the reason the filing has not been made, including specific reference to the exemption or exception upon which the applicant relies for not filing with the Commissioner of Securities of the Secretary of State of Missouri; and B. If the applicant has filed with the Commissioner of Securities of the Secretary of State of Missouri, copies of all filings beginning with the most recent, up to and including the first statement filed or for the past five (5) years, whichever is shorter, shall be included with the application;

15. The name and address of any previous owners (within five (5) years) of the applicant, together with the previous owner’s FEIN and all applicable tax numbers; and 16. All documents concerning transfer of ownership (within five (5) years), a list of assets, the purchase price, the date of purchase, and any agreements for the purchase of assets by and between the applicant and any previous owner or successor;

(G) If the applicant is an organization other than a corporation, the following information must be disclosed:

1. The applicant’s full name including any trade names or fictitious names currently in use by the applicant in Missouri or any other jurisdiction;

2. The jurisdiction in which the applicant is organized;

3. Copies of any written agreement, constitution, or other document creating or governing the applicant’s organization, powers of organization;

4. The date the applicant commenced doing business in Missouri— A. If the applicant is organized under laws other than Missouri law, a copy of the authorization of the state of Missouri to do business in Missouri; and B. If no authorization to do business in Missouri has been obtained, the applicant must state the reason the authorization has not been obtained;

5. The applicant’s federal and state tax 6. The general nature of the applicant’s business;

6. The names, in alphabetical order, and addresses of each partner, officer, or other person having or sharing policy-making

A. Ownership interest shall include any beneficial owner. Beneficial ownership ship and:

(I) Stock or other ownership in one (1) or more entities in a chain of parent and ownership involved; or (II) Any interest which entitles a standing, relationship, agreement, or other record owner. Unless there are special circumstances, securities held by an individual’s the individual.

B. Any voting interest, whether absolute or contingent, and the terms upon which the interest may be voted;

8. The names, in alphabetical order, and addresses of any individual or other entity who holds a record or beneficial ownership.

Beneficial ownership includes, but is not limited to, record ownership and: 1) Stock or other ownership in one (1) or more entities in a chain of parent and subsidiary or affiliated entities, any one (1) of which participates in the capital or profits of a licensee, regardless of the percentage of ownership involved; or 2) Any interest which entitles a person to benefits substantially equivalent to ownership by reason of any contract, understanding, relationship, agreement, or other arrangement even though the person is not the record owner. Unless there are special circumstances, securities held by an individual’s the individual. The following information shall be given concerning each individual:

A. The nature of the ownership interest;

B. Whether the ownership interest carries a vote and the terms upon which the interest may be voted; and C. The percentage of ownership;

(H) Whether the applicant is directly or indirectly controlled to any extent or in any manner by another individual or entity. If so, the applicant must disclose the identity of the controlling entity and a description of the nature and extent of the control. If the controlling entity is not an individual, the information required by this rule for the corporation, partnership or other organization controlling the applicant must be disclosed;

(I) Any agreements or understandings which the applicant or any individual or entity identified in this rule has entered into regarding operation of gambling games. If the agreement or understanding is written, a copy of the agreement must accompany the application. If the agreement or understanding is oral, the terms shall be reduced to writing and must accompany the application.

Should the agreement or understanding be contingent in nature, the applicant shall disclose the nature of the contingency;

(J) Any agreements or understandings which the applicant has entered into for the payment of fees, rents, salaries, or other compensation by the applicant or to the applicant. If the agreements or understandings are written, copies of the written documents must accompany the application. If the agreement or understanding is oral, the terms shall be reduced to writing and must accompany the application. Should the agreement or understanding be contingent in nature, the applicant shall disclose the nature of the contingency;

(K) Whether applicant or parent company, if applicant is a subsidiary, or any key person/key business entity currently holds or has ever held a license or permit issued by a governmental authority to own or operate a gaming facility or conduct any aspect of gambling. If the applicant, parent company, or key person/key business entity has held or holds a license or permit, the following must be disclosed:

1. The identity of the license or permit holder;

2. The jurisdiction issuing the license or permit;

3. The nature of the license or permit;

4. The dates of issuance and termination, if any;

(L) Whether any person currently serving, or any person who has within the past two (2) years served, as a member of the commission, an employee of the commission, a member of the general assembly, or as an elected or appointed official of the state, or of any city or county in Missouri in which the licensing of excursion gambling boats has been approved, has any ownership interest in (M) The applicant must disclose names and titles of all public officials, or officers of any unit of government, and relatives of the public officials or officers who, directly or indirectly, own any financial interest in, have any beneficial interest in, or the creditors of, or hold any debt instrument issued by, or hold and have any interest in any contractual service relationship with applicant;

(N) The applicant must disclose all political contributions, loans, donations, or other payments of one hundred dollars ($100) or more, applicant has made directly or indirectly to any candidate or officeholder, within five (5) years prior to application; and (O) The applicant shall provide a detailed itemized summary of all income received and expenses incurred relating to the preparation of the application for a Class A or Class B license. The summary shall include the source of income and the amount paid, the recipient, and a brief description of goods or services purchased. The summary shall be updated by the applicant periodically throughout the application process.

(3) If the “applicant” as used in this rule shall include the controlling individual or entity, is directly or indirectly controlled by another individual or entity, the applicant must disclose with respect to applicant and all key persons— (A) Whether the individual or entity has been charged, convicted, or both, or entered a plea of guilty or nolo contendere, or forfeited bail concerning any charge in any criminal proceeding, and whether or not a sentence was imposed. If any individual or entity has been so charged, convicted, or both, the 1. The date charged, convicted, or both, or entry of judgment;

2. Arresting agency and prosecuting agency;

3. The court;

4. The case number;

5. The offense of which charged or convicted;

6. If convicted, whether by plea or finding of a judge or jury; and 7. If convicted, the sentence imposed, if any;

(B) Whether any individual or entity has been a party in a civil proceeding in which s/he has been alleged to have engaged in any unfair or anti-competitive business practice, a securities violation or false or misleading advertising. If any individual or entity has been a party to the civil proceeding, the applicant must provide:

1. The date of commencement of the 6CODE OF STATE REGULATIONS proceeding;

2. The court and location;

3. The circumstances;

4. The date of any resolution including settlements;

5. The terms of any settlement;

6. The result of any trial; and 7. The result of any appeal;

(C) Whether any individual or entity has ever applied for, withdrawn, had a gambling, or other business or professional license or permit revoked, suspended, restricted, denied or the renewal of the license denied, or has been a party in any proceeding to do so. If any applicant or entity has been involved in a proceeding, the applicant must disclose— 1. The licensing authority;

2. The date of commencement;

3. The circumstances;

4. The date of decision; and 5. The result;

(D) Whether any individual or entity has been accused in an administrative or judicial proceeding of the violation of a statute or rule relating to unfair labor practices, discrimination, or gambling. If any individual or entity has been involved in any proceeding, the 1. The date of commencement;

2. The forum;

3. The circumstances;

4. The date of any decision; and 5. The result;

(E) Whether any individual or entity has commenced an administrative or judicial action against a government regulator of gambling. If so, the applicant must disclose— 1. The date of commencement;

2. The forum;

3. The circumstances;

4. The date of any decision; and 5. The result;

(F) Whether any individual or entity has been the subject of voluntary or involuntary bankruptcy proceeding or has ever been involved in any formal process to adjust, defer, suspend, or otherwise work out payment of any debt. If so, the applicant must disclose— 1. The date of commencement;

2. The forum;

3. The case number;

4. The circumstances;

5. The date of decision; and 6. The result;

(G) Whether any individual or entity has failed to satisfy any judgment, decree or order of any administrative or judicial tribunal. If so, the applicant must disclose— 1. The date; and 2. The circumstances surrounding the failure;

(H) Whether any individual or entity has been delinquent in filing a tax report required or remitting a tax imposed by any government or has been served with a complaint or other notice regarding delinquency or a dispute over filings concerning any payment of tax to any government. If so, the applicant must disclose— 1. The taxing agency and location;

2. The amount and type of tax;

3. The date the filing or tax report was required;

4. The date the filing or remission was accomplished; and 5. The complete circumstances surrounding the delinquent filing or remission;

(I) Whether any individual suffers from a current addiction to a controlled substance. If so, the applicant must disclose the circumstances.

(4) If the applicant is directly or indirectly controlled by another individual or entity, this must be disclosed. “Applicant” as used in this

rule shall include the controlling individual or entity.

(5) If an individual, the applicant must disclose all businesses in which applicant, applicant’s spouse or applicant’s children have an equity interest.

(6) If the applicant is a corporation, partnership, other business entity or individual, the applicant must disclose all other corporations, partnerships, or business entities in which it has an equity interest including state of incorporation or registration, if applicable.

This information need not be provided by a corporation, partnership, or business entity that has a pending registration statement filed with the Federal Securities and Exchange Commission.

(7) An applicant for a Class A or Class B license must disclose all financial interests that any officer, director, or significant shareholder (defined as having an ownership interest in the applicant of five percent (5%) or more) has in any entity involved in gambling.

The financial interests shall include all direct and indirect interests.

(8) The financial interests of each individual disclosed under this rule shall be set forth separately and shall include:

(A) The entity in which the financial interest exists;

(B) The nature of the financial interests;

(C) The amount of capital investment; and (D) Actual returns for the past five (5) years.

(9) Applicants must disclose all improvements and equipment, including:

(A) A complete description of each gambling boat including:

1. The extent the boat recreates boats that are significant to Missouri’s riverboat

history and if it is a cruising or continuously docked boat;

2. The complete layout of the boat;

3. The gambling games for which the boat is designed;

4. The capacity of the boat;

5. The proposed location and configuration of gaming and non-gaming areas;

6. The proposed location and configuration of concessions including food and beverage service and Missouri theme gift shop;

7. The number and location of men’s and women’s restrooms;

8. A description of improvements and equipment for security purposes; and 9. A description of disabled persons’ access; and (B) A complete description of the docking area including: a description of improvements and proposed use— 1. An address of the facility, its size, and geographical location, including reference to county and municipal boundaries;

9. A site map which reflects current and proposed highways and streets adjacent to the facility;

10. A description of parking, including all of the following information:

A. A detailed description of access to parking from surrounding streets and highways;

B. The number of parking spaces available;

C. A description of any parking other than public parking and its location;

D. A description of the road surface on the parking area;

E. The distance between the parking area(s) and the dock facility;

F. A road map of the area showing the relationship of parking to surrounding streets and highways. The requirements of this part may be included on the site map required by subparagraph (1)(B)1.B. of this rule; and G. A description of security plans including attendants, lights, phones, and emergency auto service;

4. A description of access of the facility to public transportation, specifics of the type of transportation and schedules, road maps of area indicating pickup and drop-off points.

The requirements of this part may be included on the site map required in subparagraph (1)(B)1.B. of this rule;

5. A description of the overnight accommodations for the public including:

A. The number of hotel/motel rooms;

B. The number of campgrounds, if any; and C. The distance from other population centers to the facility for all population centers from which the applicant expects to draw patrons;

6. A description of the public access to the community surrounding the proposed facility including air service, train service, and highways; and 7. A schedule of excursions or, if appropriate, a schedule of continuously docked excursions.

(10) With regard to the development of its gambling facility, applicants must disclose— (A) The total cost of construction of the facility or any modifications of an existing facility, distinguishing between fixed costs and projections;

(B) Separate identification of the following costs, if applicable, distinguishing between fixed costs and projections:

1. Facility design;

2. Land acquisition;

3. Site preparation;

4. Improvements and equipment;

5. Interim financing;

6. Permanent financing; and 7. Organization, administrative, accounting, and legal;

(C) Documentation of fixed costs;

(D) The schedule for construction, if any, of the facility or any modifications to an existing facility including estimated completion date— 1. Provide an estimated time schedule for construction, including how long after licensure will the proposed project be fully operational. Show the number of months after the license is granted that each of the following activities will commence and be completed:

A. Solicitation of bids;

B. Award of construction contract(s);

C. Construction commencement;

D. Completion of construction;

E. Occupancy of new facility or space;

F. Training of staff; and G. Commission check and inspection of facility for public and gambling readiness;

2. With respect to the solicitation of bids, awarding of construction contracts, commencement of construction and completion of construction, provide an itemized timetable for the components of the construction program listed here:

A. Construction of dock facilities;

B. Land clearing;

C. Site preparation and grading;

D. Landscaping; and E. Other (specify); and 3. The applicant’s plans must meet the fire safety requirements of the state fire marshal.

Applicants shall attach a letter from the state fire marshal stating tentative approval;

(E) Schematic drawings;

(F) Copies of any contracts with and performance bonds for each of the following:

1. Architect or other design professional;

2. Project engineer;

3. Construction engineer;

4. Contractors and subcontractors; and 5. The equipment procurement personnel; and (G) Evidence of acquisition or lease of the site by applicant. If the site is not owned or currently leased by the applicant, the applicant must disclose the plans for the acquisition or lease or other use of the site.

(11) If the “applicant” as used in this rule shall include the controlling individual or entity, is directly or indirectly controlled by another individual or entity, an applicant for a Class A or Class B license must disclose the following with regard to financial resources:

(A) Most recent audited financial statements prepared in accordance with generally accepted accounting principles; and (B) Equity and debt sources of funds to develop and operate each riverboat gambling operation for which the license is requested:

1. For each source of equity contribution, the following information must be included:

A. Identification of the source;

B. The amount;

C. The form;

D. Method of payment;

E. The nature and amount of present commitment; and F. Documentation;

2. For each source of debt contribution, the following information must be provided:

A. Identification of the source;

B. The amount;

C. Terms of the debt;

D. Collateral, if any;

E. Identity of guarantors, if any;

F. Nature and amount of commitments; and G. Documentation; and 3. If the applicant anticipates obtaining further equity or debt contributions, the applicant must disclose the plans for obtaining commitments;

(C) Identification and description of sources of additional funds, if needed, due to cost overruns, nonreceipt of expected equity or debt funds, failure to achieve projected revenues, or other cause; and (D) An applicant for a Class A or Class B license must disclose the following with regard to bank accounts:

1. The name and address of all banking institutions or depositories holding funds of the applicant;

2. Corresponding account numbers for each account;

3. The name and address of the responsible bank officer; and 4. All authorized signatures for the deposit and withdrawal of funds.

(12) The applicant for a Class A or Class B license must disclose its financial projections for the developmental period and for the first two (2) years of the conducting of excursions, including all related assumptions and anticipated impact of competition from other riverboats licensed in Missouri and other neighboring states.

(13) The applicant for a Class A or Class B license must disclose any lease with a home dock city or county.

(14) The applicant for a Class A or Class B license must disclose any resolution adopted by the city or county where operations will be located, supporting the docking and landbased economic development or impact plan of the applicant.

(15) An applicant for a Class A or Class B license must disclose with regard to governmental agencies— (A) The street and highway improvements necessary to insure adequate access to applicant’s facility and the cost of improvements, status, likelihood of completion and estimated date;

(B) The sewer, water and other public utility improvements necessary to serve applicant’s facility and the cost of improvements, status, likelihood of completion and estimated date;

(C) If the applicant has obtained or must obtain any required governmental improvements for its development, ownership, or operation by the applicant or any other entity, the following must be disclosed:

1. If the approvals have been obtained— A. A description of the approval, unit of government, date and documentation;

B. Whether public hearings were held and if they were, the dates and locations of the hearings. If hearings were not held, the applicant must explain the reason; and C. Whether the unit of government 8CODE OF STATE REGULATIONS conditioned its approval and, if so, the conditions imposed, including documentation; and 2. As to any approvals from governmental units which remain to be obtained— A. A description of the approval;

B. The governmental unit which must approve;

C. The status;

D. The likelihood of approval; and E. The estimated date of approval;

(D) Whether an environmental assessment of the facility has been or will be prepared— 1. If so, the applicant must disclose its status and the governmental unit with jurisdiction; and 2. The applicant must provide a copy of any assessment to the commission;

(E) Whether an environmental impact statement is required for applicant’s facility— 1. If so, the applicant must disclose its status and the governmental unit with jurisdiction; and 2. The applicant must provide the commission with a copy of any statement; and (F) Whether the applicant is in compliance with all statutes, charter provisions, ordinances and regulations pertaining to the development, ownership, and operation of its facility. If the applicant is not in compliance, the following information must be disclosed:

1. The reasons why the applicant is not in compliance; and 2. The plans for compliance or exemption from any such requirements.

(16) An applicant for a Class A or Class B license must disclose each of the following for the development and ownership of the proposed facility:

(A) A description of the applicant’s management plan including:

1. A budget;

2. Identification of management personnel by function;

3. Job descriptions for each position;

4. Qualifications for each position; and 5. A copy of the organizational chart;

(B) Management personnel to the extent known, including the following information for each person:

1. Legal name, including any alias(es) or previous names;

2. Current residence and business addresses and telephone numbers;

3. Qualifications and experience in the following areas:

A. General business;

B. Real estate development;

C. Construction;

D. Marketing promotion and advertising;

E. Financing and accounting;

F. Gambling operations; and G. Security; and 4. A description of the terms and conditions of employment, including a copy of any employment agreements;

(C) The following information, to the extent known, must be provided for each consultant or other contractor who has provided or will provide management related services to the applicant:

1. Full name including any alias(es) or previous names;

2. Current residence and business addresses and telephone numbers;

3. Nature of the services provided or to be provided;

4. Qualifications and experience of the consultant or contractor; and 5. Description of the terms and conditions of any agreement including a copy of the agreement;

(D) A description of the applicant’s security plan in compliance with 11 CSR 45-7.120, 1. Number and development/deployment of security personnel used by the applicant during the excursions, security staff levels, and deployment at other times;

2. Specific security plans;

3. Specific plans to discover persons to be excluded;

4. Description of video-monitoring equipment and its use; and 5. Coordination of security with law enforcement agencies in the area;

(E) A description of the applicant’s marketing, promotion and advertising plans;

(F) A description of the applicant’s plans for concessions, including whether the licensee will operate concessions, and if not, who will;

(G) A description of training of the applicant’s personnel; and (H) A description of plans for compliance with the following:

1. The laws pertaining to discrimination, equal employment, and affirmative action;

2. Policies regarding recruitment, use and advancement of women and minorities;

3. Policies with respect to minority contracting;

4. A copy of Equal Opportunity Statement and Policy of the applicant dated and signed by the chief executive officer;

5. A copy of an Affirmative Action Policy Procedures dated and signed by the chief executive officer; and 6. Identification of the affirmative action officer including his/her name, title, address, and telephone number.

(17) An applicant for a Class A or Class B license must disclose the impact of its gambling facility including:

(A) Economic impact— 1. The employment created and specifics as to the number of jobs, distinguishing between permanent and temporary, the type of work, compensation, employer, and how created;

2. Purchase of goods and services and specifics as to the amounts and types of purchases, including use of Missouri goods and services;

3. Public and private investment; and 4. Tax revenues generated;

(B) Ecological impact;

(C) Impact on energy conservation and development of alternative energy sources;

(D) Social impact.

(18) An applicant for a Class A or Class B license must disclose public support and opposition, whether by governmental officials or agencies, private individuals or groups and must supply documentation for the support or opposition.

(19) By applying for a license, an applicant agrees that if granted a license, s/he irrevocably consents and agrees— (A) To the appointment of a supervisor by the commission to exercise any powers that the licensee would have in the conduct of his/her gaming enterprise in the event the commission suspends or revokes his/her license;

(B) To the appointment by the commission, or its designee, of his/her attorney-in-fact in the event of a commission Order of Supervision to exercise any authority of the licensee or any of its officers or employees including, but not limited to, the right of the attorney-in-fact to affix his/her signature to any document appropriate to the operation and management of the gaming enterprise;

(C) That subsequent change in Missouri law or of the commission rules may diminish the value of his/her license to any extent possible.

(20) The applicant shall be responsible to keep the application current at all times. The applicant shall notify the commission in writ ing within ten (10) days of any changes to any response in the application and this responsibility shall continue throughout any period during which an application is being considered by the commission. All updates to applications must be submitted by exhibit so that each affected exhibit is resubmitted with the updated information and with the date of resubmission. If any application update is not made in this manner, the commission may deem the update not to be effective.

(21) The commission may require an affidavit, signed on behalf of the applicant or licensee, to be submitted as an addendum to the application, regarding matters related to the applicant or licensee or the proposed operation, including but not limited to, the involvement of any individual in the proposed or licensed riverboat gaming operations of the applicant or licensee.

Amended: Filed March 2, 1995, effective Aug. 30, 1995. Amended: Filed June 25, 1996, effective Feb. 28, 1997. Amended:

Filed Sept. 2, 1997, effective March 30, 1998. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed Oct. 29, 2001, effective May 30, 2002. Amended:

Amended: Filed Feb. 23, 2011, effective Oct. 30, 2011. Amended: Filed Dec. 5, 2013, effective Aug. 30, 2014. Amended: Filed Aug. 27, 2015, effective March 30, 2016. 2010; and 313.807, RSMo 1991, amended 1993, 2000, 2012.

History

• authority. As to each such person, the applicant must disclose the nature and extent of any ownership interest.
• AUTHORITY: section 313.004, RSMo Supp. 2014, and sections 313.805 and 313.807, RSMo Supp. 2013. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Emergency amendment filed March 2, 1995, effective March 12, 1995, expired July 9, 1995.

11 CSR 45-4.040 City or County Input {#sec-11-csr-45-4.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.040}

PURPOSE: This rule establishes city or county input.

(1) Before the commission considers an application for a Class A or Class B license to operate in a given city or county, the city or county shall submit a plan outlining the following:

(A) Recommended number of licenses;

(B) Recommended applicants;

(C) Community economic development, impact and affirmative action plan;

(D) Proposed revenue sharing with other municipalities;

(E) Any other information the city or county deems necessary; and (F) Any other information the commission may request.

(2) Upon receipt of the initial application seeking a Class A or Class B license or both licenses to operate in a given city or county, the commission will notify the home dock city or county and the applicant must file a copy of the application’s public information with that city or county.

(3) The home dock city or county must submit its plan in writing to the commission within thirty (30) days after the filing by the applicant.

(4) The commission may grant the city or county an opportunity at a commission meeting to orally present its plan.

RSMo 2000.* Emergency rule filed Sept. 1, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed Dec. 3, 2007, effective May 30, 2008. and 313.805, RSMo 1991, amended 1993, 1994, 2000.

11 CSR 45-4.050 Application Period and Fees for Class A License {#sec-11-csr-45-4.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.050}

(Rescinded March 30, 2013)

RSMo 2000. Emergency rule filed Sept. 1, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed Dec. 7, 1995, effective June 30, 1996. Amended:

Filed Aug. 30, 1996, effective April 30, 1997. 30, 1998. Rescinded: Filed Dec. 3, 2007, changed to amended April 25, 2008, effective July 30, 2008. Rescinded: Filed Aug. 30, 2012, effective March 30, 2013.

11 CSR 45-4.055 Application Period and Fees for Class A and Class B Licenses {#sec-11-csr-45-4.055 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.055}

PURPOSE: This rule establishes an application period and fees.

(1) The one (1)-time nonrefundable application fee for a Class A license shall be the greater of a) fifty thousand dollars ($50,000) or b) fifteen thousand dollars ($15,000) per key person/key business entity not licensed as a key person/key business entity or under investigation for a license as a key person/key business entity at the time of application, or a greater amount as determined by the commission. The applicant or licensee shall be assessed fees, if any, to cover the additional costs of the investigation.

(2) The one (1)-time nonrefundable application fee for a Class B license shall be fifty thousand dollars ($50,000). The applicant or licensee shall be assessed fees, if any, to cover the additional costs of the investigation.

(3) For any Class A or Class B applicant that has not been selected for priority investigation or had other affirmative action taken on their application within one (1) year, the application shall lapse and consideration for either a Class A or Class B license in the future shall require submittal of a new application and fee.

(4) The annual fee for a Class A license and a Class B license shall be twenty-five thousand dollars ($25,000) each, said amount being the minimum statutory annual license fee for anyone licensed under subsection 313.807.1, RSMo, and is due upon issuance of the initial license and thereafter is due annually. The Class A and all Class B licenses owned by the same Class A license shall renew all licenses within the same month, after the second year. The commission may adjust renewal dates of the Class A and Class B licenses so as not to consume commission resources in any particular month. Any such adjustments shall result in a pro rata adjustment of fees. This fee is nonrefundable and is due regardless of whether the renewal applicant obtains a renewed license. The applicant or licensee shall be assessed fees, if any, to cover the additional costs of the investigation.

(5) A Class A license is not transferable except by change of control as provided in

Chapter 11 CSR 45-10.

(6) A Class B license is transferable to a Class A licensee with prior approval of the commission as provided in Chapter 11 CSR 45-10.

RSMo 2000, and section 313.807, RSMo Supp. 2013.* This rule originally filed as 11 CSR 45-4.050, renumbered as 11 CSR 45- 4.055, effective May 30, 2008. Original rule filed Dec. 3, 2007, effective May 30, 2008.

March 30, 2013. Amended: Filed Dec. 5, 2013, effective Aug. 30, 2014. 313.807, RSMo 1991, amended 1993, 2000, 2012; and 313.812, RSMo 1991, amended 1993, 1994, 2000.

11 CSR 45-4.060 Priority of Applications {#sec-11-csr-45-4.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.060}

PURPOSE: This rule will establish process for prioritizing applications.

(1) The commission shall prioritize the order 10CODE OF STATE REGULATIONS in which applications are investigated and evaluated by the commission. Factors to be considered in setting the priority shall include the following:

(A) The support or opposition of the governing body of the home dock city or county;

(B) The availability and suitability of a docking site;

(C) The financial resources of the applicant, including the criteria identified in 11 CSR 45-4.080(2)(E);

(D) The applicant’s experience in managing a licensed gaming operation;

(E) The applicant’s history of regulatory compliance in Missouri and/or other jurisdic- (F) The economic impact to the state;

(G) The economic impact on the home dock city or county and the surrounding region, including competing excursion gambling boats, local businesses, and local governments;

(H) The quality and scope of the proposed development;

(I) The status of governmental actions required for the facility as identified in 11 CSR 45-4.080(2)(F); and (J) Other factors as the commission deems appropriate. 313.850, RSMo 2000 and Supp. 2001.* Sept. 20, 1993, expired Jan. 17, 1994.

Jan. 18, 1994, expired Jan. 30, 1994.

Jan. 31, 1994. Amended: Filed July 24, 2002, effective March 30, 2003.

Missouri, 2000 and Supp. 2001).

11 CSR 45-4.070 Competitiveness Standards {#sec-11-csr-45-4.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.070}

(Rescinded July 30, 2018) 313.850, RSMo 2000 and Supp. 2007.

Sept. 20, 1993, expired Jan. 17, 1994.

Jan. 18, 1994, expired Jan. 30, 1994.

Jan. 31, 1994. Amended: Filed Dec. 3, 2007, effective May 30, 2008. Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

11 CSR 45-4.080 License Criteria {#sec-11-csr-45-4.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.080}

PURPOSE: This rule will establish license criteria.

(1) The commission may issue a Class A or Class B license or both if it determines on the

basis of all the facts before it that the applicant meets the criteria contained in Chapter 313, RSMo.

(2) In making the required determinations, the commission may consider the following factors and indices, among others:

(A) The integrity of the applicant and any personnel employed to have duties and responsibilities for the operation of gaming.

This determination shall include consideration of— 1. Any criminal record including any federal, state, county, city violations to include ordinance violation(s) of any individual;

2. The involvement in litigation over business practices by the applicant or any individuals or entities employed by the applicant;

3. The involvement in proceedings in which unfair labor practices, discrimination or regulation of gambling was an issue; and 4. Failure to satisfy any judgments, orders or decrees of any court;

(B) The types and variety of games which the applicant may offer;

(C) The quality of the physical facility together with improvements and equipment;

(D) The imminence of completion of the facility or any of its improvements;

(E) Financial ability to develop and operate a facility successfully, including:

1. Ownership and control structure;

2. Amounts and reliability of development costs;

3. Certainty of site acquisition or lease;

4. Current financial conditions;

5. Sources of equity and debt funds, amounts, terms and conditions and certainty of commitment;

6. Provisions for cost overruns, nonreceipt of expected equity or debt funds, failure to achieve projected revenues or other financial adversity; and 7. Feasibility of financial plan;

(F) The status of governmental actions required by the applicant’s facility including:

1. Necessary road improvements;

2. Necessary public utility improvements;

3. Required governmental approvals for development, ownership and operation; and 4. Acceptance of any required environmental assessment and preparation of any required environmental impact statement;

(G) Management ability of the applicant 1. Qualifications of managers, consultants and other contractors to develop and own a gaming facility and the likelihood of projected operation;

2. Security plan;

3. Plans for marketing, promotion and advertising;

4. Concession plan;

5. Plan for training personnel; and 6. Equal employment and affirmative action plan;

(H) Compliance with applicable statutes, rules, charters and ordinances;

(I) The impact of the facility including:

1. The economic impact— A. The employment created;

B. The purchases of goods and services, including Missouri goods and services;

C. Public and private investment; and D. Taxes generated;

2. Ecological impact;

3. Social impact; and 4. Cost of public improvements;

(J) The extent of any public support or opposition;

(K) The plan adopted by the home dock city or county; and (L) Effects on competition, including:

1. Number, nature and relative location of other Class A licensees; and 2. Number, nature and relative location of gaming facilities in other states.

(3) The commission may also consider any other information which the applicant discloses and which is relevant or helpful to a proper determination by commission and any information disclosed during the background RSMo 2000.* Emergency rule filed Sept. 1, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended: and 313.805, RSMo 1991, amended 1993, 1994, 2000.

11 CSR 45-4.085 Expiration of Temporary {#sec-11-csr-45-4.085 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.085}

(Rescinded October 30, 2018)

Original rule filed Dec. 3, 2007, effective May 30, 2008. Rescinded: Filed March 1, 2018, effective Oct. 30, 2018.

History

• AUTHORITY: section 313.807, RSMo 2000.

11 CSR 45-4.190 License Renewal and Continuing Suitability Requirement {#sec-11-csr-45-4.190 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.190}

PURPOSE: This rule establishes license renewal procedures.

(1) At least ninety (90) days before the first and second anniversary of its license and one hundred eighty (180) days before the anniversary date for each subsequent four (4) years thereafter, each Class A and Class B licensee shall file for license renewal on forms available on the commission’s website.

(2) Class A, Class B, and supplier licensees and the key person, key business entity, and occupational licensees thereof shall have a continuing obligation to demonstrate suitability to hold a license by complying with all gaming laws and regulations. The commission may reopen the investigation of a licensee at any time. The licensee shall be assessed fees, if any, to cover the additional costs of the investigation. and sections 313.800–313.850, RSMo 2000 and Supp. 2013.* Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Emergency amendment filed June 25, 1996, effective July 5, 1996, expired Dec. 31, 1996. Amended: Filed June 25, 1996, effective Feb. 28, 1997.

Amended: Filed July 2, 1997, effective Feb. 28, 1998. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed Dec.

Filed Aug. 3, 2009, effective March 30, 2010.

March 30, 2013. Amended: Filed Dec. 5, 2013, effective Aug. 30, 2014.

Missouri, 2000 and Supp. 2013).

11 CSR 45-4.200 Supplier’s License {#sec-11-csr-45-4.200 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.200}

PURPOSE: This rule establishes supplier’s license.

(1) A supplier’s license is required of persons who or entities which manufacture, sell, or lease gaming equipment, gaming supplies, or both; or provide gaming equipment maintenance or repair; or provide testing services on gaming related equipment, components, peripherals, or systems; or provide services on the gaming floor that relate to gaming equipment of a Class A or Class B licensee, or other items directed by the commission; unless exempted by the executive director.

Additionally the executive director may waive or modify licensing fees and requirements.

Such waiver, modification, or exemption shall not be applicable for testing laboratories.

(2) An application for a supplier’s license shall be made on a form obtained from the commission. Each supplier license applicant must submit the Supplier’s License Application Form for itself, a key person/key business entity and Level I application for each individual key person associated with the application and a Supplier’s License Application Form for each key business entity associated with the applicant. The applicant must also submit Personal Disclosure Form II for any other person or entity (other than occupational licensees) associated with the applicant in any way, who is required by the commission or the director to execute such forms, which forms shall become part of the supplier application along with the key person/key business entity forms. A copy of all necessary forms is available for public inspection at the offices of the commission and online at the commission’s website.

(3) Applications shall include:

(A) The name, address and telephone number of the applicant;

(B) Federal Employer Identification Number or Social Security Number;

(C) The name, position, address, telephone number, and authorized signature of the chief administrative officer;

(D) Name, position, address, telephone number, and authorized signature of the registered agent, legal service representative and accounting, banking and financial service representative;

(E) A key person/key business entity and Level I application for each key person;

(F) A complete description of applicant’s business and products, including forms to be used by applicant in Missouri for lease, purchase, or service;

(G) Any agreements or understanding which the applicant has entered into for the payment of fees, rents, salaries, or other compensation by the applicant or to the applicant. If the agreements or understandings are written, copies of the written documents must accompany the application. If the agreement or understanding is oral, the terms shall be reduced to writing and must accompany the application. Should the agreement or understanding be contingent in nature, the applicant shall disclose the nature of the contingency;

(H) The applicant’s full name and the type of organizational structure under which the organization operates, including the identity of any key persons;

(I) If the applicant is an individual, the license application must disclose— 1. The applicant’s legal name;

2. Whether the applicant is a United States citizen;

3. Any alias(es) or business name(s) which have ever been or are being used by the applicant; and 4. Copies of the state and federal tax (J) If the applicant is a corporation, the application must disclose— 1. The applicant’s full corporate name and any trade names or fictitious names used by the applicant in this or any other jurisdic- 2. The jurisdiction and date of incorporation;

4. The date the applicant commenced doing business in Missouri, if any, and if the applicant is incorporated in any jurisdiction other than Missouri, a copy of the applicant’s certificate or authority to do business in 4. Copies of each of the following:

A. Articles of Incorporation;

B. Bylaws;

C. Federal corporate tax returns for the past five (5) years; and D. State corporate tax returns for the past five (5) years;

5. Whether the applicant is publicly held as defined by the rules of the Securities and Exchange Commission;

6. All the classes of stock authorized by the Articles of Incorporation. As to each class, the applicant shall disclose— A. The number of shares authorized;

B. The number of shares issued;

C. The number of shares outstanding;

D. The par value of each share;

E. The issue price of each share;

F. The current market price of each share;

G. The number of shareholders currently listed on the corporate books; and H. The terms, rights, privileges and other information each class of stock possesses;

7. If the applicant has any other obligations or securities, authorized or outstanding, 12CODE OF STATE REGULATIONS which bear voting rights, either absolutely or upon any contingency, together with the nature of the obligations. In addition, the following shall be disclosed for each obligation:

A. The face or par value;

B. The number of units authorized;

C. The number of units outstanding;

D. Any conditions upon which the units may be voted;

8. The names and addresses of the directors. As to each director, the following information shall be included: the number of shares held of record as of the application date— A. If the officer owns no shares, the B. Ownership of shares shall include beneficial owner(s). Beneficial ownership (1) or more entities in a chain of parent and tract, understanding, relationship, agreement, or other arrangement even though the person is not the record owner. Unless there are special circumstances, securities held by an individual’s spouse or relatives, including children, living in the home, who are beneficially owned by the individual;

9. The names and addresses of the officers of the applicant. As to each officer, the following information shall be included: the number of shares held on record as of the application date.

A. If the officer owns no shares, the B. Ownership of shares shall include beneficial owners. Beneficial ownership (1) or more entities in a chain of parent and tract, understanding, relationship, agreement, or other arrangement even though the person is not the record owner. Unless there are special circumstances, securities held by an individual’s spouse or relatives, including children, living in the home, who are beneficially owned by the individual;

10. The names, in alphabetical order, and addresses of each record stockholder of the corporation. Stockholder shall mean record owners as defined in (3)(J)9.B. above.

The applicant shall also include a percentage of the voting shares of stock owned by each record stockholder;

11. Each jurisdiction, including the United States, for which the corporation has met filing and disclosure requirements of state securities registration and filing laws, the Securities Act of 1933 or the Securities and Exchange Act of 1934. The applicant shall include the most recent registration statement and annual report filed with the Securities and Exchange Commission and each state in which the corporation has registered or filed the report. If the applicant has not registered or filed any statements with the Commissioner of Securities of the Secretary of State of Missouri, the applicant must state the reason the filing has not been made, including specific reference to the exemption or exception upon which the applicant relies for not filing with the Commissioner of Securities of the Secretary of State of Missouri; and (K) If the applicant is an organization other than a corporation, the following information must be disclosed:

12. The applicant’s full name including any trade names or fictitious names currently in use by the applicant in Missouri or any other jurisdiction;

13. The jurisdiction in which the applicant is organized;

14. Copies of any written agreement, constitution, or other document creating or governing the applicant’s organization or powers of organization;

15. The date the applicant commenced doing business in Missouri.

A. If the applicant is organized under laws other than Missouri laws, a copy of the authorization of Missouri to do business in B. If no authorization to do business in Missouri has been obtained, the applicant must state the reason the authorization has not been obtained;

5. The applicant’s federal and state tax 6. The general nature of the applicant’s business;

6. The names and addresses of each partner, officer, or other person having or sharing policy-making authority who is a key person. As to each such person, the applicant must disclose—the nature and extent of any ownership interest— A. Ownership interest shall include any beneficial owner. Beneficial ownership (1) or more entities in a chain of parent and tract, understanding, relationship, agreement, or other arrangement even though the person is not the record owner. Unless there are special circumstances, securities held by an individual’s spouse or relatives, including children, living in the home, who are beneficially owned by the individual; and B. Any voting interest, whether absolute or contingent, and the terms upon which the interest may be voted; and 8. The names, in alphabetical order, and addresses of any individual or other entity holding a record or beneficial ownership in the application. Beneficial ownership includes, but is not limited to, record ownership and: 1)

Stock or other ownership in one (1) or more entities in a chain of parent and subsidiary or affiliated entities, any one (1) of which participates in the capital or profits of a licensee, regardless of the percentage of ownership involved; or 2) Any interest which entitles a standing, relationship, agreement or other record owner. Unless there are special circumstances, securities held by an individual’s the individual. The following information shall be given concerning each individual:

A. The nature of the ownership interest;

B. Whether the ownership interest carries a vote and the terms upon which the interest may be voted; and C. The percentage of ownership;

(L) Whether the applicant is directly or indirectly controlled to any extent or in any manner by another individual or entity. If so, the applicant must disclose the identity of the controlling entity and a description of the nature and extent of the control. If the controlling entity is not an individual, the information required by this rule for the corpora tion or partnership or other organization controlling the applicant must be disclosed;

(M) Whether applicant or any key person/key business entity currently holds, has ever held or applied for, a license or permit issued by a governmental authority to own or supply gaming equipment or operate a gaming facility or conduct any aspect of gambling. If the applicant has held or holds a license or permit, the applicant must dis close— 1. The identity of the license or permit holder;

2. The jurisdiction issuing the license or permit;

3. The nature of the license or permit;

4. The dates of issuance and termination, if any;

(N) Whether any person currently serving, or any person who within the past two (2) years has served, as a member of the commission, an employee of the commission, a member of the general assembly, or as an elected official of the state, or if any city or county in the state in which licensing or excursion gambling boats have been approved, has any ownership interest in the (O) The applicant must disclose names and titles of all public officials, or officers of any unit of government, and relatives of the public officials or officers who, directly or indirectly, own any financial interest in, have any beneficial interest in, or are the creditors of, or hold any debt instrument issued by, or hold or have any interest in any contractual or service relationship with applicant; and (P) The applicant must disclose all political contributions, loans, donations, or other payments of one hundred dollars ($100) or more, that the applicant has made directly or indirectly to any candidate or office holder, within five (5) years prior to application.

(4) The applicant must disclose with respect to the applicant and all key persons/key business entities— (A) Complete information about whether the individual or entity has been or currently is a party to a lawsuit, including, but not limited to:

1. Bankruptcies, whether voluntary or involuntary, or any other proceeding or formal process to adjust, deter, suspend, or otherwise work out payment of any debt;

2. Criminal proceedings;

3. Any other civil proceeding, including disputes over filings concerning the payment of any required tax;

4. Any administrative proceeding where an individual or entity has had a supplier, gambling or other business or professional license or permit revoked, suspended, restricted, denied or the renewal of that license denied or has been a party in any proceeding to do so. If any applicant or entity has been involved in a proceeding, the applicant must disclose— A. The licensing authority and loca- B. The date of commencement;

C. The circumstances;

D. The date of decision; and E. The result;

5. Any administrative or judicial proceeding of the violation of a statute or rule relating to unfair labor practices, discrimination, or gambling. If any individual or entity has been involved in any proceeding, the A. The date of commencement;

B. The forum;

C. The circumstances;

D. The date of any decision; and E. The result;

6. Any action against a government regulator of gambling. If so, the applicant must disclose— A. The date of commencement;

B. The forum;

C. The circumstances;

D. The date of any decision; and E. The result;

7. Whether any individual or entity has failed to satisfy any judgment, decree, or order of any administrative or judicial tribunal. If so, the applicant must disclose— A. The date and location;

B. The circumstances surrounding the failure;

C. Whether any individual suffers from a current addiction to a controlled substance;

D. If so, the applicant must disclose the circumstances; and E. All financial interests in the following categories:

(I) If an individual, the applicant must disclose all businesses in which applicant, applicant’s spouse or applicant’s children have an equity interest;

(II) If applicant is a corporation, partnership, or other business entity, the applicant must disclose all other corporations, partnerships, or business entities in which it has an equity interest including state of incorporation or registration, if applicable.

This information need not be provided by a corporation, partnership, or business entity that has a pending registration statement filed with the Federal Securities and Exchange Commission;

(III) An application for a supplier license must disclose all financial interest that any officer, director or shareholder has in any entity involved in gambling. The financial interest shall include all direct and indirect interests;

(IV) The financial interests of each individual disclosed under this rule shall be set forth separately and shall include:

(a) The entity in which the financial interest exists;

(b) The nature of the financial interests;

(c) The amount of capital investment;

(d) The expected return for the current fiscal year; and (e) Actual returns for the past five (5) years; and (V) The applicant or licensee shall be responsible to keep its application current at all times. The applicant or licensee shall notify the commission in writing within ten (10) days of any changes to any response in the application. All updates to applications must be submitted by exhibit so that each affected exhibit is resubmitted with the updated information and with the date of resubmission. If any application update is not made in this manner, the commission may deem the update not to be effective.

(5) The commission may require an affidavit, signed on behalf of the applicant or licensee, to be submitted as an addendum to the application, regarding matters related to the applicant or licensee or the proposed supplier business, including but not limited to, the involvement of any individual in the proposed or licensed supplier business of the applicant or licensee. and sections 313.805 and 313.810, RSMo Supp. 2013.* Emergency rule filed Sept. 1, 1994. Original rule filed Sept. 1, 1993, effecfiled March 2, 1995, effective March 12, 1995, expired July 9, 1995. Amended: Filed March 2, 1995, effective Aug. 30, 1995.

Amended: Filed June 25, 1996, effective Feb. 28, 1997. Amended: Filed Sept. 2, 1997, effective March 30, 1998. Amended: Filed May 13, 1998, effective Oct. 30, 1998.

Amended: Filed Oct. 29, 2001, effective May 30, 2002. Amended: Filed Dec. 3, 2007, effective May 30, 2008. Amended: Filed Aug. 3, 2009, effective March 30, 2010. Amended:

Filed March 30, 2011, effective Nov. 30, 2011. 30, 2014. 2010; and 313.810, RSMo 1991, amended 1993, 2003.

11 CSR 45-4.205 Affiliate Supplier’s {#sec-11-csr-45-4.205 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.205}

(Rescinded August 30, 2014)

14CODE OF STATE REGULATIONS

RSMo 2000, and sections 313.800, 313.805, and 313.807, RSMo Supp. 2012. Original

rule filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed Oct. 29, 2001, effective May 30, 2002. Amended: Filed Dec. 3, 2007, effective May 30, 2008. Amended:

Filed Aug. 30, 2012, effective March 30, 2013. Rescinded: Filed Dec. 5, 2013, effective Aug. 30, 2014.

11 CSR 45-4.210 Temporary Supplier’s {#sec-11-csr-45-4.210 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.210}

PURPOSE: This rule establishes procedures whereby the commission may issue temporary supplier’s licenses.

(1) The commission, in its sole discretion, may issue a temporary supplier’s license to any applicant for a supplier’s license other than one which provides testing services for gaming related equipment, components, peripherals, systems, or other items directed by the commission, who has fulfilled the following criteria:

(A) The applicant has completed an application for a supplier’s license to the satisfaction of the commission; and (B) Has paid the application fee; and (C) All persons required to submit fingerprints to the commission have submitted fingerprints on forms provided by the commission; and (D) The application does not reveal any information that would result in an automatic denial pursuant to Chapter 313, RSMo or 11 CSR 45-1, et seq., as amended from time-totime; and (E) A criminal history check completed by a commission agent does not reveal that the applicant has been convicted of a felony under Missouri law, the laws of any other state, or the laws of the United States; and (F) The applicant shows good cause for granting the temporary license.

(2) A temporary license holder remains an applicant for a supplier’s license and is subject to all limitations and restrictions relating to applicants and licensees under sections 313.800 to 313.850, RSMo, and 11 CSR 45- 1 et seq., as amended from time-to-time, except that the applicant is accorded the privileges that are granted to the temporary licensee pursuant to the provisions of this

rule.

(3) A temporary license issued under the provisions of this rule shall not be transferred. If an applicant fails to begin providing goods or services to a Class A or Class B licensee within ninety (90) days of issuance of the temporary license, the applicant shall advise the commission immediately and the commission may, in its discretion, revoke the temporary license.

(4) A temporary license is issued in the sole discretion of the commission. The commission may refuse to issue a temporary supplier’s license, or revoke a temporary supplier’s license for any of the following reasons:

(A) The applicant or temporary licensee is the subject of a criminal or regulatory investigation in any jurisdiction; or (B) The applicant or temporary licensee has had its license revoked or been disciplined in another jurisdiction;

(C) The applicant or temporary licensee fails to pay applicable taxes;

(D) The applicant or temporary licensee violates a provision of sections 313.800 to 313.850, RSMo or violates a rule of the commission;

(E) There is evidence that could lead to the applicant or temporary licensee being found unsuitable to hold a license.

(5) The following procedure may be used to revoke a temporary license issued under the provisions of this rule:

(A) The executive director may, upon written notice to the temporary licensee, revoke a temporary supplier’s license if the executive director determines that the background investigation reveals information that would lead the commission staff to recommend that the applicant be found not suitable for licensure. The executive director shall also notify all Class B licensees of the revocation of the applicant’s temporary supplier’s license;

(B) If an applicant’s temporary supplier’s license is revoked, the applicant shall not be permitted to provide any riverboat licensee with gaming equipment or supplies; and (C) If an applicant’s temporary supplier’s license is revoked by the executive director, the executive director shall immediately forward the application to the commission for action.

(6) The holder of a temporary supplier’s license shall file an annual renewal application pursuant to 11 CSR 45-4.250 and the annual fee as provided for in 11 CSR 45- 4.240. The applicant shall be responsible for a prorated annual fee as set forth in 11 CSR 45-4.240(2)(B) upon issuance of a supplier’s license, notwithstanding the payment of the annual fee at the time the temporary supplier’s license is issued.

(7) A temporary supplier’s license entitles the holder to sell or lease gaming equipment and supplies to any Class B licensee, subject to the conditions and restrictions imposed by this rule.

(8) If the holder of a temporary supplier’s license is issued a supplier’s license under 11 CSR 45-4.230, such supplier’s license shall supersede the existing temporary supplier’s license, and the temporary supplier’s license shall be null and void upon issuance of the supplier’s license; provided that the fee due for the temporary supplier’s license shall not be refunded in whole or in part and the fee for the supplier’s license shall be paid as set forth in 11 CSR 45-4.240(2)(B).

(9) Gaming laboratories that test and certify gaming equipment shall not be issued temporary licenses.

rule filed March 18, 1996, effective Sept. 30, 1996. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed Dec. 3, 2007, effective May 30, 2008. Amended:

Filed April 26, 2018, effective Dec. 30, 2018. 2008, 2010; 313.807, RSMo 1991, amended 1993, 2000, 2014; and 313.812, RSMo 1991, amended 1992, 1993, 1994, 2000, 2014.

History

• AUTHORITY: sections 313.004, 313.805, 313.807, and 313.812, RSMo 2016. Original

11 CSR 45-4.230 Supplier’s License Criteria {#sec-11-csr-45-4.230 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.230}

PURPOSE: This rule establishes criteria for a supplier’s license.

(1) The commission may issue a supplier’s license if it determines on the basis of all the facts before it that the applicant meets the criteria contained in Chapter 313, RSMo.

(2) In making the required determinations, the commission may consider the following factors and indices, among others:

(A) The integrity of the applicant and any personnel to have duties or responsibilities for the applicant. This determination shall include consideration of:

1. Any criminal record including any federal, state, county, city violations to include ordinance violation(s) of any individual;

2. The involvement in litigation over business practices by the applicant or any individuals or entities affiliated with the 3. The involvement in proceedings in which unfair labor practices, discrimination or regulation of gambling was an issue; and 4. Failure to satisfy any judgments, orders or decrees of any court;

(B) The types and variety of gaming equipment or supplies which the applicant may offer;

(C) The quality, availability, practicality or legality of the gaming equipment or supplies to be offered;

(D) Financial ability to operate its business successfully, including:

1. Ownership and control structure;

2. Current financial conditions;

3. Sources of equity and debt funds, amounts, terms and conditions, and certainty of commitment;

4. Provisions for cost overruns, nonreceipt of expected equity or debt funds, failure to achieve projected revenues or other financial adversity; and 5. Feasibility of financial plan;

(E) The status of governmental actions required by the applicant’s gaming equipment or supplies to be offered, including required governmental approvals for development, ownership and operation;

(F) Management ability of the applicant 1. Qualifications of managers, consultants and other contractors to operate a supplier company;

2. Plans for marketing, promotion and advertising;

3. Plan for training personnel; and 4. Equal employment and affirmative action plan;

(G) Compliance with applicable statutes, rules, charters and ordinances;

(H) The impact of the business proposed to be conducted in Missouri including:

1. The economic impact;

A. The employment created;

B. The purchases of goods and services, including Missouri goods and services;

C. Public and private investment;

D. Taxes generated; and 2. Social impact;

(I) The extent of any public support or opposition;

(J) Effects on competition, including the number, nature and products offered of other supplier licensees or applicants;

(K) The failure to disclose information called for in the application process or the false statement of information called for in the application process; and (L) Any just cause.

(3) Any supplier licensee shall maintain a log of all written, electronic, or otherwise documented complaints received relating to gaming products and services provided and shall provide the log and supporting documentation to the commission upon request. The log shall be provided to the commission with the renewal application. The complaint log and supporting documentation shall be a closed record pursuant to section 313.847, RSMo unless otherwise determined by the commission.

(4) An independent testing laboratory (ITL) applying for or currently holding a supplier license is subject to compliance with all other requirements of this rule in addition to the following criteria:

(A) The ITL shall test, evaluate, conduct math analyses, verify, certify, and/or render opinions as directed by the commission on— 1. Table games, including electronic and dealer assisted electronic table games;

2. Electronic gaming devices and payglass;

3. Random number generators;

4. Progressive gaming devices and controllers;

5. Wide area progressive systems and associated equipment;

6. Online monitoring and control systems;

7. Ticket validation systems;

8. Wireless devices and systems;

9. Cashless, promotional, and bonusing systems;

10. Redemption kiosks;

11. All gaming related peripherals, software, and systems;

12. Electronic bingo devices, software, and systems;

13. Shuffling devices; and 14. Other gaming devices and associated equipment (hereinafter referred to as “gaming equipment”) for compliance with Missouri laws, regulations, minimum internal control standards, adopted technical standards, and requirements as codified or otherwise set forth;

(B) No test laboratory or its owners, officers, directors, managers, consultants, employees, or any other position deemed by the director shall— 1. Own any interest in or be employed by:

A. A Class A licensee; or B. A Class B licensee; or C. A Level I occupational licensee; or D. A Level II occupational licensee; or E. A supplier licensee other than the test laboratory for whom the person is an officer, director, manager, consultant, or employee.

2. This regulation shall not preclude ITLs from contracting directly with suppliers or gaming companies to produce test reports that are in turn used to show evidence of regulatory compliance;

(C) No Class A, Class B, supplier, or occupational licensee shall own an interest in or be employed by an ITL performing services relating to the conduct or regulation of gaming in Missouri unless such person is required to be licensed as a key person or occupational licensee in conjunction with an ITL’s licensing as a supplier. No person may be a key person or employed by more than one (1) ITL licensed by a jurisdiction within the United States;

(D) The ITL shall make available upon the commission’s request the background investigations conducted on each of its employees pursuant to 11 CSR 45-10.090;

(E) The ITL shall verify compliance with all requirements to the sole satisfaction of the (F) All testing and certification of gaming equipment performed for or on behalf of the commission shall be conducted at the ITL’s place(s) of business. ITLs shall maintain current International Organization for Standardization (ISO) (17020/17025) certification and accreditation. Upon request, the ITL shall supply the commission all ISO required internal controls, policies and procedures;

(G) The ITL shall not subcontract any testing or certification of gaming equipment performed for or on behalf of the commission;

(H) The commission shall, at all times, have immediate and unfettered access to the ITL’s place(s) of business. Should it be determined necessary by the commission, the ITL shall reimburse the commission for all reasonable and necessary expenses incurred by its agents:

1. To travel to the site to inspect the operations and certification process of gaming equipment;

2. To inspect each of the ITL’s place(s) where testing for the commission is conducted to ensure the integrity of work is maintained;

3. To investigate issues as determined by the commission; and 4. For such reasons as the commission deems appropriate;

(I) All reports, documentation, and material developed or acquired by the ITL while conducting work for or on behalf of the commission shall become the joint property of the commission and the ITL. Upon expiration or revocation of its license, certified copies of all documents, data, reports, and accomplishments prepared, furnished, or completed by the ITL for or on behalf of the commission 16CODE OF STATE REGULATIONS shall be delivered to the commission within forty-five (45) calendar days and shall remain the joint property of the commission and the ITL. In addition, the ITL shall provide access to any equipment or materials used while conducting work for or on behalf of the commission for a period of one hundred twenty (120) days after the expiration or revocation of its license.

1. Reports, documentation, conversation, discussions, forensic evaluations, and material prepared, including program(s) or source code developed as a result of work performed for or on behalf of the commission, are proprietary and confidential and shall not be used or marketed by the ITL or released to the public without the prior written consent of the commission.

2. The ITL shall employ data redundancy that permits a complete and prompt recovery of all information and documentation retained by the ITL in the event of any malfunction and shall utilize environmental controls such as uninterruptible power supplies, fireproofing materials, and waterproofing materials to protect critical hardware and software from natural disasters.

3. The ITL shall maintain an electronic repository of approved and revoked software for all gaming equipment submitted for testing for the Missouri jurisdiction. Such electronic repository shall utilize tools which support hash-based message authentication code using Secure Hash Algorithm 1 (HMAC-SHA1) seeding and SHA1 hashing. The repository of critical program storage media (CPSM) shall be secure and have restricted access. The primary electronic repository shall reside at the ITL’s place of business and shall be equipped with environmental controls such as fireproofing materials and waterproofing materials to protect software from natural disasters.

4. All documents, data, reports, and correspondence prepared, furnished, or completed by the ITL for or on behalf of the commission shall be retained until its disposal is approved in writing by the commission;

(J) Upon the ITL’s certification of gaming equipment, a unique identification code or signature acceptable to and approved by the commission shall be assigned to each CPSM as defined by 11 CSR 45-1.090 using a commission approved tool which possesses the ability to export results. The assigned identification code or signature and the means for generating such code or signature shall be included in all documents, reports, and databases as determined by the commission.

1. The ITL shall provide the commission with step-by-step verification procedures for each tool, device, or mechanism used to assign the unique identification codes or signatures.

2. The ITL shall provide to the commission, at no charge, in quantities determined by the commission, any verification tool, device, or mechanism that is required for commission agents to verify the code or signature of any approved CPSM. The ITL may charge the supplier for expenses associated with such verification tools.

3. The ITL must support the verification tools, devices, or mechanisms and replace, repair, update, or upgrade them as deemed necessary by the commission. The ITL may charge the supplier for expenses associated with such verification tools.

4. All equipment, procedures, software or other intellectual property developed, or owned and protected by United States patents, copyrights, or trademark laws in conjunction with the unique identification signature process shall be closed record under section 313.847, RSMo, provided such information is mutually agreed upon between the commission and the ITL and labeled as proprietary;

(K) The ITL shall provide, in a commission approved format:

1. A verification manual, including tables and color photographs, of recommended critical components to be verified and sealed;

2. Flow charts and diagrams of each system and its associated hardware and software approved by the ITL on behalf of the commission, depicting the interrelationship of system components, identifying components which are recommended to be field tested and verified by commission agents; and 3. The supplier of the equipment to be verified shall be responsible for all expenses associated with providing the verification manuals and diagrams. Failure of the supplier to pay the necessary expenses shall in no way release the ITL from providing to the commission current documentation;

(L) The ITL shall develop and maintain a database, acceptable to the commission, of all gaming equipment certified by the ITL for the state of Missouri.

1. The ITL shall maintain a quality assurance mechanism to ensure uniform data and data entry processes.

2. The database and report(s) must be current as of the end of the previous business day, and in a commission approved format;

(M) Should the ITL be informed of any situation or incident involving the integrity of any gaming equipment presently approved for Missouri, the ITL shall notify the commission of the incident within forty-eight (48) hours of being apprised of the situation or incident. The notification shall be in a format approved by the commission;

(N) The ITL shall directly invoice the licensee, manufacturer, entity, or individual for whom the testing services were provided;

(O) The ITL shall annually, or as changes occur, provide documentation to the commission of all possible billable hourly rates for services offered, including nights, weekend, or holiday rates. Documentation shall include discounted rates that may be offered;

(P) The ITL shall not receive any bonus, or other compensation from any licensee, manufacturer, entity, or individual(s) above the provided billable hourly rates provided to the commission for services provided;

(Q) The ITL shall, upon request, provide the commission a summary report of all invoices to licensees, manufacturers, entities, or individuals. The report shall include for each submission the item submitted— 1. The date on which the submission was received in the laboratory;

2. The date rejected, withdrawn, or certified;

3. The invoice number;

4. Invoice date;

5. Name of licensee, manufacturer, entity, or individual for whom the services were rendered;

6. Billable hours;

7. Hourly rates; and 8. Invoice total;

(R) The ITL shall possess and maintain all online computerized monitoring systems approved by the commission which are utilized in Missouri licensed gaming establishments. Such online computerized data monitoring systems shall be used in the interoperability testing;

(S) The ITL shall provide, free of charge to the commission, technical and regulatory compliance support. The ITL shall provide responses and follow-up as directed by the MGC. In instances where the ITL providing the support is also conducting the testing for the device, the time allocated for support shall be considered part of the testing process and the ITL may bill the manufacturer for the cost of the technical support. In instances where the ITL providing the support is not conducting the testing for the device, the commission may require the manufacturer of the device to reimburse the ITL at the rate the ITL charges manufacturers for such support;

(T) The ITL shall, as required by the commission, perform on-site field testing or inspections of gaming equipment. During these visits, the ITL personnel shall— 1. Not socialize with gaming operators’ or manufacturers’ staff;

2. Furnish all necessary material and equipment to perform the required services;

18CODE OF STATE REGULATIONS

3. Be competent and properly trained personnel in accordance with testing standards, Missouri laws, regulations, and minimum internal control standards;

4. Invoice for actual and reasonable travel and travel-related expenses consistent with ordinary and prudent business practices given the circumstances of the travel required for the project. The commission shall not be liable for reimbursement for such travel and travel-related expenses. The licensee, for whom the onsite inspection occurred, shall be responsible for the payment of travel and related travel expenses;

5. Obtain a Missouri Level II occupational license prior to performing any actions on the gaming floor;

6. Not consume alcohol while performing in their official capacity at the Class B licensee’s property; and 7. Not participate in gambling activities while performing in their official capacity at the Class B licensee’s property;

(U) The ITL shall provide, free of charge to the commission, additional consulting services for commission personnel on an as needed basis. Such additional services at a minimum shall include, but not be limited to:

1. Providing consultation to the commission and assisting the commission in drafting rules and procedures regarding the establishment of uniform operating procedures for gaming equipment testing;

2. Providing training to commission employees on gaming equipment testing, new technology, and auditing procedures;

(V) The ITL shall draft and maintain gaming equipment test scripts to address Missouri statutes, regulations, minimum internal control standards, and adopted technical standards for testing a specific device. In addition, the ITL shall create specific testing procedures (test cases) that shall be used to assess compliance with the applicable test scripts. All gaming equipment shall be tested in accordance with said test scripts and test cases. Each test script shall have a unique version number. The ITL shall modify the test scripts and test cases to adapt to new technology, rule changes, or as directed by the commission. Anytime a Missouri test script is revised, a copy with the effective date shall be forwarded to the commission. The ITL and commission will conduct an annual review of the test scripts and the ITL shall modify them as necessary. All documents, procedures or other intellectual property employed by an ITL in conjunction with the development of Missouri test case(s) shall be deemed to be proprietary information and a closed record under section 313.847, RSMo, unless otherwise determined by the (W) The ITL shall conduct forensic evaluations or analyses on gaming equipment (whether legal or illegal) as directed by the commission. A final forensic report must be drafted outlining all testing performed, the cause of the problem, and the outcome of the investigation, if specifically identified, and shall remain a closed record under section 313.847, RSMo, unless otherwise determined by the commission;

(X) The ITL shall employ a staff of fulltime skilled professionals of such number to afford a separation of responsibilities that provides independent work product verification and fulfills the requirements stated herein to the satisfaction of the commission. The ITL shall, at a minimum, employ personnel in the disciplines of mathematics, engineering (mechanical, electrical, and software), systems and communication protocol, compliance and quality assurance, and field inspec- (Y) The ITL shall provide all services using competent personnel who are properly trained in Missouri test scripts and test cases before performing work for or on behalf of the commission. All training shall be documented and such documentation shall be available upon request;

(Z) The ITL shall be subject to commission audits, the costs for which shall be borne by the ITL;

(AA) The ITL shall maintain all commercial test equipment in accordance with manufacturer’s specifications and recommendations, and shall provide the commission with evidence of such upon request;

(BB) If an ITL hires an individual who was previously employed by, or performed any work for any licensee, the ITL shall not permit that individual to inspect, test, or certify any gaming equipment produced by the licensee for use in Missouri, for a period of one (1) year from the individual’s date of termination from the licensee;

(CC) Other than to perform evaluation for regulatory compliance, ITLs shall not participate, consult, or otherwise be involved in the design, development, programming, or manufacturing of any game, gaming equipment, cashless wagering system or any component thereof, or online monitoring system or any component thereof or modification thereto;

(DD) All test cases conducted and the results of those procedures shall be documented by the ITL. Such documentation shall be made available to the commission upon request;

(EE) The ITL shall maintain copies of the results of any International Organization of Standardization/International Electrotechnical Commission (ISO/IEC) 17025 audits or reviews and shall forward a copy of the results to the commission within fifteen (15) days of when they become available to the ITL;

(FF) All source code and binary images tested by the ITL shall be maintained and provided to the commission upon request;

(GG) The ITL shall provide the commission with all forensic procedures and utilities for electronic gaming devices currently in operation in Missouri; and (HH) The ITL shall report to the commission, within forty-eight (48) hours, any known ITL test script deficiency or failure to properly perform testing against any Missouri standard that has been identified for any hardware or software that is currently certified for the Missouri jurisdiction. The ITL shall perform an investigation and report the findings to the commission within seven (7) days of the ITL being apprised of the deficiency.

(5) The commission may also consider any other information which the applicant discloses and which is relevant or helpful to a proper determination by commission and any information disclosed during the background and sections 313.805 and 313.807, RSMo Supp. 2013.* Emergency rule filed Feb. 3, 1995, effective Feb. 13, 1995, expired June 12, 1995. Original rule filed Feb. 3, 1995, effective Aug. 30, 1995. Amended: Filed Dec.

Filed Jan. 30, 2014, effective Sept. 30, 2014. 2010; and 313.807, RSMo 1991, amended 1992, 2000, 2012.

11 CSR 45-4.240 Supplier’s License Application and Annual Fees {#sec-11-csr-45-4.240 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.240}

PURPOSE: This rule establishes fees for all types of supplier’s licenses.

(1) The one (1)-time nonrefundable application fee for a supplier’s license shall be ten thousand dollars ($10,000), or a greater amount as determined by the commission.

The applicant or licensee shall be assessed fees, if any, to cover the additional costs of the investigation. The executive director may waive or modify licensing fees.

(2) The annual fee for a supplier’s license shall be— (A) Five thousand dollars ($5,000);

(B) In the case of a supplier’s license being issued to an applicant that is currently the holder of a temporary supplier’s license, the initial annual fee shall be paid in a prorated amount of five thousand dollars ($5,000) to cover the time from the original expiration of the current temporary supplier’s license until the expiration of the supplier’s license; or (C) A greater amount as determined by the commission.

(3) The annual fee for supplier’s licenses is due upon issuance of the initial license and thereafter is due annually. This fee is nonrefundable and is due regardless of whether the renewal applicant obtains a renewed license. 313.850, RSMo 2000 and Supp. 2012.* Sept. 20, 1993, expired Jan. 17, 1994.

Jan. 18, 1994, expired Jan. 30, 1994.

Jan. 31, 1994. Amended: Filed June 2, 1995, effective Dec. 30, 1995. Amended: Filed Aug. 30, 1996, effective April 30, 1997. Amended: effective March 30, 2013.

Missouri, 2000 and Supp. 2012).

11 CSR 45-4.250 Supplier’s License Renewal {#sec-11-csr-45-4.250 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.250}

PURPOSE: This rule establishes the process for renewal of a supplier’s license.

(1) At least one hundred twenty (120) days before license expiration, each supplier licensee shall register on forms available on the commission’s website for renewal of its license.

(2) The commission may adjust renewal dates of the supplier licenses to economize commission resources in any particular month.

Any such adjustments shall result in a pro rata adjustment of fees. 313.850, RSMo 2000 and Supp. 2012.* Sept. 20, 1993, expired Jan. 17, 1994.

Emergency ruled filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994.

Jan. 31, 1994. Amended: Filed June 25, 1996, effective Feb. 28, 1997. Amended:

Filed July 2, 1997, effective Feb. 28, 1998. effective March 30, 2013.

Missouri, 2000 and Supp. 2012).

11 CSR 45-4.260 Occupational Licenses for Class A, Class B, and Suppliers {#sec-11-csr-45-4.260 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.260}

PURPOSE: This rule establishes occupational licenses.

(1) Every person in a position classified as Occupational License Level I or Occupational License Level II or otherwise participating in gaming operations in any capacity shall, prior to performing or practicing his/her business profession or skills, be a current employee of the Class A, Class B, or supplier licensee, and have obtained the appropriate occupational license from the commission, except for public officers and public employees engaged in the performance of their official duties and other individuals exempted by the commission. The commission may authorize the director to license or make the initial determination of unsuitability on the application of any Level II occupational license applicant, and the commission may further authorize the director to make the initial determination to revoke or suspend the Level I or Level II occupational license of any person; provided, however, that this section shall not limit any other authorization of the director. The authorization provided hereunder shall not include the

(2) As a condition of licensure, all applicants for occupational licenses are required to be fingerprinted, photographed, and to execute such waivers as may be provided by forms approved by the commission, provided that applicants for a key business entity license need not be fingerprinted or photographed.

(3) On forms available on the commission’s website, the applicant must demonstrate that his/her experience, reputation, competence, and financial responsibility are consistent with the best interest of gaming and the provisions of the statutes of Missouri and the United States.

(4) The commission may refuse an occupational license to any person or revoke or suspend an occupational license of any person— (A) Who has been convicted of a crime or has been found guilty of, plead guilty or nolo contendereto, or entered an Alford plea to a crime, or received a suspended imposition of sentence, for violations of any federal, state, county, or city law including ordinance viola- (B) Who is unqualified to perform the duties required of the applicant;

(C) Who has a current addiction to a controlled substance;

(D) Who fails to disclose or states falsely information called for in the application process or uses fraud, deception, misrepresentation, or bribery in securing a permit or license issued under the Riverboat Gambling Act;

(E) Who has failed to comply with or make provision for complying with Chapter 313, RSMo, the rules of this commission, or any federal, state, or local law or regulation;

(F) Who fails to comply with any rule, order, or ruling of the commission or its agents;

(G) Whose license has been suspended, revoked or denied in any jurisdiction;

(H) Who is a past or present member or participant in organized crime as such membership or participation may be found or determined by the commission;

(I) Who is an illegal alien;

(J) Who is an employee of the commission or is a spouse, child, brother, sister, parent, son-in-law, daughter-in-law, stepchild, or stepparent of any employee or member of the (K) Who is currently serving or has within the past two (2) years served as a member or employee of the commission, a member of the general assembly, or as an elected or appointed official of the state or of any city or county within the state in which the licensing of excursion gambling boats has been approved in either the city or the county or both or as an employee of the state highway patrol designated by the superintendent of the highway patrol or any employee of the state attorney general’s office designated by the state attorney general to have direct regulatory authority related to excursion gambling boats;

(L) Who is financially irresponsible;

(M) Who is not of good moral character or has associated with, in either social or business affairs, or employed persons of notorious or unsavory reputation or who have police records, or who have failed to cooperate with any officially constituted investigatory or administrative body and would adversely affect public confidence and trust in gambling;

(N) Who provides the commission or its agents with false or misleading information, documents, or data or who makes false or misleading statements to the commission or its agents;

(O) Who commits an act or omission that, if committed by a Class A licensee, would be grounds for discipline or denial of an applica- (P) Who obtains or attempts to obtain any fee, charge, or other compensation by fraud, deception, or misrepresentation; or (Q) For incompetence, misconduct, gross negligence, fraud, misrepresentation, or dishonesty in the performance of the functions or duties regulated by sections 313.800 to 313.850, RSMo.

(5) Within the five (5)-year period immediately preceding application for an occupational license or while holding an occupational license, a conviction, plea of guilty or nolo contendere, or the entering of an Alford plea in any jurisdiction for the following types of misdemeanor or county or city violations to include ordinance violations, including such findings or pleas in a suspended imposition of sentence, shall make the applicant or licensee unsuitable to hold an occupational license: 1) any gambling-related offense; or 2) any offense an essential element of which is theft, fraud, or dishonesty. Applicants or licensees may be unsuitable to hold an occupational license for convictions, pleas of guilty or nolo contendere, or the entering of an Alford plea for other types of misdemeanor or county or city violations to include ordinance violations within such five (5)-year period, including such findings or pleas in a suspended imposition of sentence.

(6) If the employment of a key person, Level I, or Level II occupational licensee with a Class A, Class B, or supplier licensee is terminated for any reason, then the occupational license will be placed into a casino restricted status. Casino restricted status is the status assigned to an occupational licensee with a valid license who is not employed by a Class A, Class B, or supplier licensee.

(7) Any key person employed by a supplier will be required to be licensed by the Missouri Gaming Commission.

RSMo 2016.* Emergency rule filed Sept. 1, 1994. Original rule filed Sept. 1, 1993, effecfiled Dec. 20, 1994, effective Dec. 30, 1994, expired April 27, 1995. Amended: Filed March 2, 1995, effective Aug. 30, 1995.

Amended: Filed Dec. 7, 1995, effective June 30, 1996. Amended: Filed Aug. 30, 1996, effective April 30, 1997. Amended: Filed Jan. 21, 1997, effective Aug. 30, 1997. Amended:

Filed July 2, 1997, effective Feb. 28, 1998. 30, 1998. Amended: Filed Oct. 29, 2001, effective May 30, 2002. Amended: Filed Dec. 7, 2001, effective Aug. 30, 2002. Amended:

Filed Feb. 24, 2004, effective Oct. 30, 2004.

Amended: Filed April 28, 2004, effective March 30, 2005. Amended: Filed March 21, 2006, effective Nov. 30, 2006. Amended:

March 30, 2013. Amended: Filed Jan. 31, 2013, effective Sept. 30, 2013. Amended:

Filed Dec. 5, 2013, effective Aug. 30, 2014.

Amended: Filed April 26, 2018, effective Dec. 30, 2018. 2014 and 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010.

History

• authority to review findings of a hearing officer under the provisions of 11 CSR 45-13.

11 CSR 45-4.380 Occupational and Key Person/Key Business Entity License Application and Annual Fees {#sec-11-csr-45-4.380 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.380}

PURPOSE: This rule establishes license fees for occupational and key person/key business entity licensees of Class A, Class B, and supplier licensees.

(1) The one (1)-time nonrefundable application filing fee shall be— (A) Key person/key business entity— 1. Class A and B $15,000 2. Supplier $ 1,000 (B) Level I $ 1,000 (C) Level II $ 75.

(2) The annual licensing fee shall be— (A) Key person/key business entity— 1. Class A and B $ 250 2. Supplier $ 100 (B) Level I $ 100 (C) Level II $ 50.

(3) The applicant or licensee shall be assessed fees, if any, to cover the additional costs of the (4) The initial annual fee for occupational licenses shall be due upon the earlier of— (A) The date that a temporary identification badge is issued to the applicant;

(B) The date that a permanent identification badge is issued to the applicant; or (C) The date that the commission passes a resolution granting the license to the applicant.

(5) The initial annual fee for occupational licenses shall be paid in full to cover the first year of licensure. The license expires biennially on the last day of the month of issue. The annual occupational license renewal fee will be billed to the Class A, Class B, or supplier licensee.

(6) Each occupational license shall expire biennially on the last day of the month of issue, but the licensing hearing shall be subject to being reopened at any time.

(7) The annual fee for an occupational license is nonrefundable and is due regardless of whether the renewal applicant obtains a renewed license.

(8) The executive director may waive or modify licensing fees. Exemption shall not be applicable for testing laboratories.

Amended: Filed March 18, 1996, effective Oct. 30, 1996. Amended: Filed Oct. 1, 1996, effective April 30, 1997. Amended: Filed Jan. 21, 1997, effective Aug. 30, 1997. Emergency amendment filed Oct. 4, 2000, effective Oct. 14, 2000, expired April 11, 2001. Amended:

Filed Oct. 4, 2000, effective April 30, 2001.

Amended: Filed May 3, 2001, effective Dec. 30, 2001. Amended: Filed Dec. 3, 2007, effective May 30, 2008. Amended: Filed Aug. 30, 2012, effective March 30, 2013. 30, 2014. Amended: Filed April 26, 2018, effective Dec. 30, 2018. 2008, 2010; and 313.807, RSMo 1991, amended 1993, 2000, 2012.

History

• AUTHORITY: sections 313.004, 313.805, and 313.807, RSMo 2016. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, Filed June 2, 1995, effective Dec. 30, 1995.

11 CSR 45-4.390 Occupational License Renewal {#sec-11-csr-45-4.390 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.390}

PURPOSE: This rule establishes the process for occupational license renewal.

(1) At least sixty (60) days for key person and Level I licensees and fifteen (15) days for Level II licensees before the first day of the month of expiration, each licensee shall file for renewal on forms available on the commission’s website or authorize a Class A or Class B licensee to submit an application for renewal on his/her behalf in accordance with

11 CSR 45-10.110. Alternatively, each licensee may file for renewal as provided in 11 CSR 45-10.110(2). {#sec-11-csr-45-10.110. omnilex-key=us-mo-regs-official--title-11--11 CSR 45-10.110.}

(2) A Level I or Level II licensee may only renew his/her license if the licensee is a current employee of a Class A, Class B, or supplier licensee. A key person may only renew 20CODE OF STATE REGULATIONS his/her license if the licensee is associated with a Class A or supplier licensee.

(3) The director shall have the power to renew any occupational license, provided that if the director intends not to renew an occupational license which the licensee has appropriately requested to have renewed, the director shall notify the commission in writing of his/her intention not to renew and the reasons for his/her decision at least ten (10) days before the license expires. and sections 313.800, 313.805, and 313.822, RSMo Supp. 2013.* Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, Filed June 25, 1996, effective Feb. 28, 1997.

Amended: Filed July 2, 1997, effective Feb. 28, 1998. Amended: Filed Dec. 12, 1997, effective July 30, 1998. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Emergency amendment filed Oct. 4, 2000, effective Oct. 14, 2000, expired April 11, 2001. Amended:

Filed Oct. 4, 2000, effective April 30, 2001. effective March 30, 2013. Amended: Filed Dec. 5, 2013, effective Aug. 30, 2014. 313.800, RSMo 1991, amended 1993, 1994, 2005; 2010; and 313.822, RSMo 1991, amended 1993, 2000, 2008, 2009.

11 CSR 45-4.400 Licensee Performance of Duties {#sec-11-csr-45-4.400 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.400}

PURPOSE: This rule establishes occupational license levels.

(1) An occupational licensee may perform only the activities approved by the commission for that licensee to perform in his/her licensed position in the riverboat gaming operation. and section 313.805, RSMo Supp. 2013.* Sept. 20, 1993, expired Jan. 17, 1994.

Jan. 18, 1994, expired Jan. 30, 1994.

Jan. 31, 1994. Emergency amendment filed March 2, 1995, effective March 12, 1995, expired July 9, 1995. Amended: Filed March 2, 1995, effective Aug. 30, 1995. Amended:

Amended: Filed Dec. 7, 2001, effective June 30, 2002. Amended: Filed Dec. 3, 2007, effective May 30, 2008. Amended: Filed Dec. 5, 2013, effective Aug. 30, 2014. and 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010.

11 CSR 45-4.410 Identification Badge Requirements {#sec-11-csr-45-4.410 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.410}

PURPOSE: This rule establishes requirements for identification badges.

(1) All employees and occupational licensees shall at all times while performing the functions of their positions display on their person in a clearly visible manner a valid, riverboatissued, casino access badge, unless a waiver has been granted in writing for a particular job function. No casino access badge granting access to any riverboat gaming operation may be held by any person unless that person is an employee of the Class B licensee and has been authorized for such access by the Class B applicant or licensee of the riverboat gaming operation for which the badge is to be issued. Each Class B applicant or licensee must notify the commission that such authorization has been granted before any identification badge may be issued to the person.

Each Class B applicant or licensee must notify the commission within ten (10) days if any such authorization has been revoked. General managers, other key person licensees, internal auditors who are employees of the Class A licensee, and Class A employees who have job responsibilities that require them to work at more than one (1) Class B facility may also be granted casino access badges. All other employees of the Class A licensee must obtain and display a visitor badge while performing the functions of their positions at the riverboat gaming operation.

(2) The casino access badge shall— (A) Be of a color selected by the riverboat gaming operation for use on all casino access badges utilized by occupational licensees;

(B) Be a three and three-eighths by two and one-eighth-inch (3 3/8" × 2 1/8") card bearing on the front side the name and logo of the riverboat gaming operation;

(C) Provide a base for a one-inch by one and one-fourth-inch (1" × 1 1/4") photograph on the front side;

(D) Provide a space for a six (6)-digit number at least one-fourth inch (1/4") in height on the front side;

(E) Display the employee’s first name or nickname and job title on the front side;

(F) Provide on the reverse side a line for the employee’s full name and date of birth;

(G) Provide a space for color coded backgrounds for use around the occupational field or title on the front side as follows:

1. Solid white—non-casino occupations: all Level II or higher personnel whose job responsibilities do not require access inside the casino turnstiles or to other gaming areas, including but not limited to, cages and count rooms;

2. Solid green—surveillance occupations: all personnel whose job responsibilities include the operation, maintenance, and installation of surveillance equipment and the supervision of those surveillance personnel;

3. Solid red—security and guest safety occupations: all personnel whose job responsibilities include the security of the casino facilities, safety of customers and employees, rendering of medical aid and supervision of security personnel;

4. Red diagonal stripes—gaming occupations: all personnel whose job responsibilities are directly related to conducting a gambling game or the repair of a gaming related device, including but not limited to, cage department employees, casino operations employees, count department employees, revenue audit employees, slot department employees, and table game department employees;

5. Solid blue—non-gaming occupations: all personnel whose job responsibilities require access inside the casino turnstiles but are not directly related to gaming activities and not handling chips or tokens, including but not limited to, environmental services or housekeeping employees; food and beverage employees; maintenance, marine operations or boat operations employees; retail employees, ticketing employees; and 6. Red horizontal stripes—other nongaming occupations including but not limited to non-gaming personnel responsible for clerical duties requiring limited access to the gaming pits and other non-gaming areas for the purposes of, for example, player tracking or other marketing duties; the installation, operation, or repair of information systems equipment; pit clerks; pit administrators; table games assistants; marketing; and all information systems personnel and related supervisors.

(3) Casino access badges are not transferable and upon resignation or termination of employment, the access badge must be returned by the occupational licensee to the holder of a Class B license.

Filed Jan. 21, 1997, effective Aug. 30, 1997. 30, 1998. Amended: Filed Dec. 7, 2001, effective June 30, 2002. Amended: Filed Dec.

Filed Dec. 5, 2013, effective Aug. 30, 2014. 313.800, RSMo 1991, amended 1993, 1994, 2005; and 313.850, RSMo 1993.

History

• AUTHORITY: sections 313.004 and 313.850, RSMo 2000, and section 313.800, RSMo Supp. 2013. Emergency rule filed Sept. 1, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed June 2, 1995, effective Dec. 30, 1995. Amended:

11 CSR 45-4.420 Occupational License {#sec-11-csr-45-4.420 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.420}

PURPOSE: The commission proposes to provide for a commission-issued occupational license badge distinct from riverboat licensee-issued casino access badges.

(1) Occupational licensees other than key persons shall at all times while performing the functions of their positions display in a clearly visible manner, a valid, commissionissued occupational license badge.

(2) Upon the filing of an application for an occupational license, the director may issue a temporary occupational license to allow an applicant to perform the function for which the applicant has applied. The director may withdraw or suspend this temporary occupational license by withdrawing the holder’s occupational license badge upon a determination to seek denial of licensure by the commission and on so doing report this action to the commission, the Class B licensee who employed the applicant, and the applicant.

(3) Upon issuance of an occupational license to applicant, applicant shall receive an occupational license badge from the commission.

(4) Whenever an occupational license badge is lost or destroyed, a duplicate occupational license badge in lieu of the lost or destroyed occupational license badge will be issued by the commission. The fee for a replacement occupational license badge is fifteen dollars ($15). Application for a duplicate occupational license badge shall be by affidavit of the licensee which shall set forth— (A) The date upon which the occupational license badge was lost or destroyed;

(B) The circumstances under which the occupational license badge was lost or destroyed; and (C) A request that a duplicate occupational license badge be issued.

rule filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed Dec. 7, 2001, effective June 30, 2002. Amended: Filed Dec. 3, 2007, effective May 30, 2008. Amended: Filed Dec. 5, 2013, effective Aug. 30, 2014. Amended:

Filed Nov. 1, 2018, effective June 30, 2019. 2014; 313.800, RSMo 1991, amended 1993, 1994, 2005, 2014, 2016; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; and 313.807, RSMo 1991, amended 1993, 2000, 2012.

History

• AUTHORITY: sections 313.004, 313.800, 313.805, and 313.807, RSMo 2016. Original

11 CSR 45-4.430 Waiver of Requirements {#sec-11-csr-45-4.430 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.430}

(Rescinded July 30, 2018)

RSMo 1994. Emergency rule filed Sept. 1, 1994. Original rule filed Sept. 1, 1993, effecfiled Dec. 20, 1994, effective Dec. 30, 1994, expired April 27, 1995. Amended: Filed Jan. 21, 1997, effective Aug. 30, 1997. Rescinded:

Filed Dec. 7, 2017, effective July 30, 2018.

11 CSR 45-4.440 Possession of Gaming Equipment by Applicants {#sec-11-csr-45-4.440 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.440}

PURPOSE: This rule establishes procedures for bringing gaming equipment into the state.

(1) Any applicant who has been selected by the commission for investigation, may apply to the commission for permission to possess gaming equipment in Missouri under any of the following situations:

(A) When an applicant wishes to participate in the operation of a training school or to a joint venture with a Missouri junior college or proprietary or vocational school, to train potential workers for the Missouri gaming industry; or (B) When an applicant wishes to transport gaming equipment into the state for training or the equipping of an excursion gambling boat or floating facility; or (C) When an applicant wishes to transport an excursion gambling boat, riverboat or floating facility containing gaming equipment to a dock site or other point in the state of Missouri prior to the commission deciding if a license will be issued; or (D) When an applicant wishes to open a showroom to display gaming equipment for sale.

(2) The commission may grant permission for the applicant to possess gaming equipment providing the commission finds the following:

(A) The applicant has filed an internal control document with the commission that indicates the precautions being taken to ensure the gaming equipment will not be used for any illegal purposes and, when not required to be used, the gaming equipment is made as inoperable as is practical; and (B) The applicant has executed any waiver or agreement that may be required by the commission; and (C) Any other restriction or condition the commission considers necessary to ensure that the gaming equipment will not be used for any illegal purposes.

(3) If the commission grants the permission to possess gaming equipment, the applicant must supply detailed information about the equipment and its expected storage location prior to the equipment entering Missouri. The commission shall have the right to inspect the equipment before transporting, upon arrival, or any other time, such inspection to be paid for by the applicant. The possession of gaming equipment in Missouri pursuant to authority granted by the commis sion under this section shall be considered licensed activity under

section 572.070, RSMo.

(4) The commission may withdraw its grant of permission at any time when the commission determines that the best interests of the state of Missouri require such action.

(5) Use of the gaming equipment authorized under this section in a manner other than that set forth will result in the imposition of any penalties the commission has the power to assess by law, which may include the applicant being permanently denied any type of gaming license.

Emergency rule filed May 22, 1995, effective June 1, 1995, expired Sept. 28, 1995.

Original rule filed May 22, 1995, effective Dec. 30, 1995. Amended: Filed July 2, 1997, effective Feb. 28, 1998.

22CODE OF STATE REGULATIONS

(5/31/19) JOHNR. ASHCROFT *Original authority: 313.004, RSMo 1991, amended 1993.

History

• AUTHORITY: section 313.004, RSMo 1994. Emergency rule filed Oct. 29, 1993, effective Nov. 8, 1993, expired March 2, 1994.

11 CSR 45-4.500 Junket, Junket Enterprises, Junket Representatives—Definitions {#sec-11-csr-45-4.500 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.500}

(Moved to 11 CSR 45-5.400)

11 CSR 45-4.510 Junket Enterprise; {#sec-11-csr-45-4.510 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.510}

Junket Representative—Licensing Requirements (Rescinded November 30, 2011)

History

• AUTHORITY: sections 313.004 and 313.807, RSMo 2000, and section 313.805, RSMo Supp. 2009. Original rule filed Aug. 3, 2009, effective March 30, 2010. Rescinded: Filed

11 CSR 45-4.520 Junket Arrangements— Criteria by Which Patrons Selected Determinant of Junket {#sec-11-csr-45-4.520 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.520}

(Rescinded November 30, 2011)

History

• AUTHORITY: sections 313.004 and 313.807, RSMo 2000, and section 313.805, RSMo Supp. 2009. Original rule filed Aug. 3, 2009, effective March 30, 2010. Rescinded: Filed

11 CSR 45-4.530 Junket Enterprise; Junket Representative; Agents; Employees— Policies and Prohibited Activities {#sec-11-csr-45-4.530 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.530}

(Moved to 11 CSR 45-5.410)

11 CSR 45-4.540 Junket—Agreements, Schedules, and Final Reports {#sec-11-csr-45-4.540 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-4.540}

(Moved to 11 CSR 45-5.420)

Chapter 5 Conduct of Gaming

11 CSR 45-5.030 Participation in Gambling Games by a Holder of a Class A, Class B, or Supplier License, and the Directors, Officers, Key Persons, or Employees {#sec-11-csr-45-5.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.030}

11 CSR 45-5.065 Patrons Unlawfully on Excursion Gambling Boat—Not Eligible for {#sec-11-csr-45-5.065 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.065}

11 CSR 45-5.140 Receipt of Gaming Chips or Tokens from Manufacturer . . . . . . . . . . . . . . . . . . 13 {#sec-11-csr-45-5.140 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.140}

11 CSR 45-5.184 Table Game Cards—Receipt, Storage, Inspections, and Removal from {#sec-11-csr-45-5.184 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.184}

11 CSR 45-5.220 Computer Monitoring Requirements of Electronic Gaming Devices {#sec-11-csr-45-5.220 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.220}

11 CSR 45-5.237 Shipping of Electronic Gaming Devices, Gaming Equipment, or {#sec-11-csr-45-5.237 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.237}

11 CSR 45-5.280 Forfeiture of Illegal Winnings {#sec-11-csr-45-5.280 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.280}

(Rescinded July 30, 2018) . . . . . . . . . . . . . . . . . .34

11 CSR 45-5.400 Junket, Junket Enterprises, Junket Representatives—Definitions {#sec-11-csr-45-5.400 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.400}

11 CSR 45-5.410 Junket Enterprise; Junket Representative; Agents; Employees—Policies {#sec-11-csr-45-5.410 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.410}

11 CSR 45-5.010 Presumption of the Right of Patrons to Participate in Gambling Games {#sec-11-csr-45-5.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.010}

PURPOSE: This rule establishes the general right of a patron to participate in gambling games unless such patron engages in unlawful or disruptive conduct.

(1) Unless otherwise authorized by sections 313.800, RSMo et seq., as amended from time-to-time, and 11 CSR 45-1 et seq., as amended from time-to-time (collectively, the “Riverboat Gambling Act and Regulations”), no licensee may deny a patron the right to play a table game that involves playing cards and which is offered to the general public. A patron may be denied such right if the patron engages in unlawful or disruptive conduct. The licensee shall notify a commission agent prior to removing such patron.

rule filed Dec. 17, 1999, effective Aug. 30, 2000. amended 1992, 1993, 1994.

History

• AUTHORITY: sections 313.004 and 313.805, RSMo 1994. Original

11 CSR 45-5.020 Posting of Address of Commission {#sec-11-csr-45-5.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.020}

Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

History

• AUTHORITY: sections 313.004 and 313.805, RSMo Supp. 1993.

11 CSR 45-5.030 Participation in Gambling Games by a Holder of a Class A, Class B, or Supplier License, and the Directors, Officers, Key Persons, or Employees of Such Licensees {#sec-11-csr-45-5.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.030}

PURPOSE: This rule prohibits participation in games for certain people.

(1) No holder of a Class A or Class B license or any director, officer, key person, or any other occupational licensee of such Class A or Class B licensee shall play or be permitted to play any gambling game in an establishment owned or operated in Missouri by such Class A licensee.

(2) No holder of a Supplier license or any director, officer, key person, or any other employee of a Supplier licensee shall play or be permitted to play on an excursion gambling boat its gambling game which the Supplier licensee provides under the authority of the license. sections 313.800 and 313.805, RSMo Supp. 2023.* Emergency 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, Jan. 31, 1994. Amended: Filed May 13, 1998, effective Oct. 30, 1998.

Amended: Filed Feb. 26, 2001, effective Sept. 30, 2001. Amended:

Filed Sept. 29, 2011, effective May 30, 2012. Amended: Filed Aug. 31, 2023, effective March 30, 2024. 1991, amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991,

11 CSR 45-5.050 Authorized Games {#sec-11-csr-45-5.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.050}

PURPOSE: This rule requires each game to be submitted and (1) No holder of a Class B license shall permit any game to be played other than those approved by the commission. For each game, the holder of a Class B license shall provide a set of game rules to the commission one hundred twenty (120) days in advance of the game’s operation or within a time period as the commission may designate and these games must be approved by the commission. Changes in permissible rules must be submitted in writing and approved by the commission prior to implementation.

Filed June 2, 1995, effective Dec. 30, 1995. Amended: Filed June 25, 1996, effective Feb. 28, 1997. Amended: Filed Feb. 19, 1998, effective Aug. 30, 1998. Amended: Filed May 13, 1998, effective Oct. 30, 1998.

Amended: Filed June 29, 2023, effective Feb. 29, 2024. 1991, amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991,

11 CSR 45-5.051 Minimum Standards for Blackjack {#sec-11-csr-45-5.051 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.051}

PURPOSE: This rule establishes a set of minimum standards for the game of Blackjack.

(1) The following words and terms, when used in this rule, shall have the following meanings unless the context clearly indicates otherwise.

(A) “Bart Carter Shuffle” means the shuffling procedure whereby approximately one deck of cards is shuffled after being dealt, segregated into separate stacks and each stack is inserted into pre-marked locations within the remaining decks contained in the dealing shoe.

(B) “Determinant card” means the first card drawn for each round of play to determine from which side of the two (2)-compartment dealing shoe the cards for that hand shall be dealt.

(C) “Double shoe” means a dealing shoe that has two (2) adjacent compartments in which cards are stacked separately and which permits cards to be dealt from only one (1) compartment at any given time.

(2) A person who, without the assistance of another person or without the use of a physical aid or device of any kind, uses the ability to keep track of the value of cards played in Blackjack and uses predictions formed as a result of the tracking information in his/her playing and betting strategy shall not (2/29/24) John R. Ashcroft be considered to be cheating.

(3) A Class B licensee may implement any of the following options at a Blackjack table provided that the casino licensee complies with the notice requirements contained in 11 CSR 45-5.060:

(A) Persons who have not made a wager on the first round of play may not enter the game on a subsequent round of play until a reshuffle of the cards has occurred;

(B) Persons who have not made a wager on the first round of play may be permitted to enter the game, but may be limited to wagering only the minimum limit posted at the table until a reshuffle of the cards has occurred;

(C) Persons who, after making a wager on a given round of play, decline to wager on any subsequent round of play may be precluded from placing any further wagers until a reshuffle of the cards has occurred;

(D) Persons who, after making a wager on a given round of play, decline to wager on any subsequent round of play may be permitted to place further wagers, but may be limited to wagering only the minimum limit posted at the table until a reshuffle of the cards has occurred; and (E) Use a double shoe with a determinate card that selects which shoe to deal from during a particular hand.

(4) If a Class B licensee implements any of the options in

section (3) of this rule, the option shall be uniformly applied to all persons at the table; provided, however that if a Class B licensee has implemented either of the options in subsection (3)(C) or (D) of this rule, an exception may be made for a patron who temporarily leaves the table if, at the time the patron leaves, the Class B licensee agrees to reserve the patron’s spot until his or her return.

(5) Immediately prior to the commencement of play and after any shuffle of the cards, the dealer shall require that the cards be cut in a manner set forth in the Class B licensee’s internal controls as approved by the commission. Such internal controls shall be subject to the following conditions:

(A) If the “Bart Carter Shuffle” is utilized and the cards in the discard rack exceed approximately one (1) deck in number, the dealer shall continue dealing the cards until that round of play is completed after which he shall remove the cards from the discard rack and shuffle those cards so that they are randomly intermixed. After the cards taken from the discard rack are shuffled, they shall be split into three (3) separate stacks and each stack shall be inserted into pre-marked locations within the remaining decks contained in the dealing shoe.

(6) A floor supervisor or above may direct the dealer to shuffle the cards after any round of play is completed and all wagers have been resolved.

(7) After the cards have been cut and before any cards have been dealt, a floor supervisor may require the cards to be recut if he or she determines that the cut was performed improperly or in any way that might affect the integrity or fairness of the game. If a recut is required, the cards shall be recut, at the Class B licensee’s option, by the player who last cut the cards, or by the next person entitled to cut the cards, as determined by the Class B licensee’s internal controls.

Amended: Filed July 28, 2010, effective Feb. 28, 2011. amended 1993, 1994, 2000, 2008, 2010.

History

• AUTHORITY: section 313.004, RSMo 2000 and section 313.805, RSMo Supp. 2010. Original rule filed Dec. 17, 1999, effective Aug. 30, 2000. Amended: Filed Feb. 28, 2007, effective Oct. 30, 2007.

11 CSR 45-5.053 Policies {#sec-11-csr-45-5.053 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.053}

PURPOSE: This rule details policies regarding methods of operation to be followed by licensees.

(1) A holder of a Class B license shall comply with all federal regulations and requirements for the withholding of taxes from winnings and the filing of currency transaction reports.

(2) It is the policy of the commission to require that all excursion gambling boats and gaming conducted on excursion gambling boats be operated in a manner suitable to protect the public health, safety, morals, good order, and general welfare of Missouri. Responsibility for the employment and maintenance of suitable methods of operation rests with the holder of a operator’s license and willful or persistent use or toleration of methods of operation deemed unsuitable will constitute grounds for disciplinary action, up to and including license revocation.

(3) The holder of a Class A or B license is expressly prohibited from the following activities:

(A) Failing to exercise discretion and good judgment to prevent incidents which might reflect on the repute of the state of Missouri and act as a detriment to the development of the industry, including allowing lewd entertainment on a boat;

(B) Permitting persons who are visibly intoxicated to participate in gaming activity;

(C) Failing to conduct advertising and public relations activities in accordance with decency, dignity, good taste, and honest and fair representation;

(D) Failing to comply with or make provision for compliance with all federal, state, and local laws and regulations pertaining to the operation of a license, including paying license fees, withholding payroll taxes, and violating alcoholic beverage laws or rules;

(E) Permitting to remain in, or upon any licensed premises, any associated gambling equipment (primarily, but not limited to, cards or dice), which may have in any manner been marked, tampered with, or otherwise placed in a condition or operated in a manner which might affect the game and its payouts;

(F) Permitting, if the licensee was aware or should have been aware of, any cheating whatsoever;

(G) Permitting to remain in or upon any licensed premises, any cheating device whatsoever; or conducting, carrying on, operating, or dealing any cheating or thieving game or device on the premises;

(H) Permitting to remain in or upon any licensed premises, if the licensee was aware, or should have been aware of, any gambling device which tends to alter the normal random selection of criteria which determines the results of the game or deceives the public in any way;

(I) Failing to conduct gaming operations in accordance with proper standards of custom, decorum, and decency; or to permit any type of conduct on the excursion gambling boat which reflects negatively on the repute of the state of Missouri or acts as a detriment to the gaming industry;

(J) Denying a commissioner or commission agent access to, for inspection purposes, any portion or aspect of the excursion gambling boat or attendant shore facilities;

(K) Denying a commissioner or commission agent information concerning any aspect of the excursion gambling boat operation; and (L) Failing to report to the commission known or suspected violations of commission rules and applicable law.

(4) No person shall use, or possess with the intent to use, any calculator, computer, or other electronic, electrical, or mechanical device at any table game that— (A) Assists in projecting the outcome of a game;

(B) Keeps track of cards that have been dealt;

(C) Keeps track of changing probabilities; or (D) Keeps track of playing strategies being utilized, except as permitted by the commission.

(5) Wagers may only be made— (A) By a person present on a licensed gambling boat;

(B) By persons twenty-one (21) years of age or older; and (C) At the times allowed by the commission.

Amended: Filed March 1, 2000, effective Sept. 30, 2000. Emergency amendment filed Oct. 29, 2008, effective Nov. 15, 2008, expired May 13, 2009. Amended: Filed Oct. 29, 2008, effective April 30, 2009. Emergency amendment filed July 31, 2014, effective Aug. 28, 2014, expired Feb. 26, 2015. Amended: Filed July 31, 2014, effective Feb. 28, 2015. Amended: Filed March 1, 2018, effective Oct. 30, 2018. Amended: Filed June 29, 2023, effective Feb. 29, 2024. 1991, amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022; 313.807, RSMo 1991, amended 1993, 2000, 2012; 313.812, RSMo 1991, amended 1992, 1993, 1994, 2000, 2014, 2021; 313.817, RSMo 1991, amended 1992, 1993, 2000, 2008, 2014, 2016; and 313.830, RSMo 1991, amended 1992, 1993, 2000, 2010, 2014.

History

• AUTHORITY: sections 313.004, 313.807, 313.817, and 313.830, RSMo 2016, and sections 313.800, 313.805, and 313.812, RSMo Supp. 2023. Original rule filed Feb. 19, 1998, effective Aug. 30, 1998. Amended: Filed May 13, 1998, effective Jan. 30, 1999.

11 CSR 45-5.056 Ethical Restrictions {#sec-11-csr-45-5.056 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.056}

PURPOSE: This rule establishes ethical restrictions for gambling licensees.

(1) For purposes of this rule— (A) “Affiliate” shall be defined as any entity with a parent company that is a holder of or applicant for a Class A or Supplier’s license, or any entity that shares a common parent company with a holder of or applicant for a Class A or Supplier license;

(B) “Appointed official” shall be defined as any employee or agent of a governmental entity who holds a position with discretionary authority to take or vote on the following actions:

1. Promulgation of ordinances, rules, or regulations with the effect of law that are applicable to the operations of a holder of or applicant for a Class A, Class B, or Supplier license;

2. Granting of governmental approvals, licenses, or certifications to a holder of or applicant for a Class A, Class B, or Supplier license;

3. Enforcement of statutes or of ordinances, rules, or regulations with the effect of law against a holder of or applicant for a Class A, Class B, or Supplier license; provided that, in the case of law enforcement personnel, such person must— A. Actually exercise such authority;

B. Be specifically assigned by the governmental entity to exercise such authority; or C. Hold the power to assign such personnel to exercise such authority; and 4. Entering into any contract or agreement between the governmental entity and a holder of or applicant for a Class A, Class B, or Supplier license;

(C) “Commission representative” shall be defined as any member, employee or agent of the commission or any employee of the state highway patrol designated by the superintendent of the highway patrol to have direct regulatory authority related to excursion gambling boats or any employee of the state attorney general’s office designated by the state attorney general to have direct regulatory authority related to excursion gambling boats;

(D) “Direct gaming activity” shall be defined as the management of a casino, the operation of gambling games, the receipt of wagers as part of such games, the payment of winnings to wagerers involved in such games, and the providing of gaming equipment or supplies;

(E) “Direct ownership interest” shall be defined as any financial interest, equitable interest, beneficial interest, or ownership control held by the government official, or such person’s family member related within the second degree of consanguinity or affinity, in an excursion gambling boat operation; in any holder of or applicant for a Class A, Class B, or Supplier license; or in any holding company or affiliate company of a holder of or applicant for a Class A, Class B, or Supplier license; provided that a direct ownership interest shall not include any equity interest purchased at fair market value, or equity interest received as consideration for goods and services provided at fair market value, of less than one percent (1%) of the total outstanding shares of stock of any publicly traded corporation or certificates of partnership of any limited partnership which is listed on a regulated stock exchange or automated quotation system;

(F) “Direct regulatory authority” shall be defined as any role in the enforcement of the Riverboat Gambling Act and the regulations promulgated thereunder;

(G) “Employ” shall be defined as any of the following:

1. Hiring a person as an employee;

2. Engaging the services of a person with knowledge or reason to believe that the person’s employer provides consideration to the person that is derived from or contingent upon consideration paid to that employer for the services provided; or 3. Engaging the services of an entity controlled by a person with knowledge or reason to believe that the person will receive consideration that is derived from or contingent upon consideration paid to the entity for the services provided, in which case the controlling person is “employed”;

(H) “Ex parte communication” shall be defined as direct or indirect communication by any holder of or applicant for a Class A, Class B, or Supplier license, or any representative or agent of such license holder or applicant, with any commission member regarding any matters under the jurisdiction of the commission related to the respective holder of or applicant for a Class A, Class B, or Supplier license, unless such communications take place during an official commission or commission committee meeting, or, if written, are provided to all other commission members within five (5) days of the initial communication and prior to any commission action on the matter. The following shall not be defined as ex parte communication:

1. Any written communication addressed and sent to all commission members;

2. Any communication taking place at a meeting of a governmental entity subject to the Missouri Open Meetings (2/29/24) John R. Ashcroft Act, including but not limited to meetings of the commission or any committee of the commission;

3. Any communication with employees or agents of the commission who are not commission members, including any such communication that may also involve a commission member as a participant, provided that, if a commission member does participate in such communication, this exemption shall apply only if the holder of or applicant for a Class A, Class B, or Supplier license summarizes, reduces to writing, and distributes such writing, to all commission members within five (5) days of the communication and prior to any commission action on the matter; and 4. Any communication between a commission member and a government official;

(I) “Government official” shall be defined as any of the 1. A commission representative;

2. A member of the General Assembly; or 3. An elected official or an appointed official of the state of Missouri or of any Missouri city or county in which the licensing of excursion gambling boats has been approved in either the city or county or both;

(J) “Parent company” shall be defined as a holding company defined in 11 CSR 45-10.040 or as any other entity which, directly or indirectly through one or more intermediaries, possesses the power to direct or cause the direction of the management and policies of a person, whether through the ownership of voting shares, by contract or otherwise; and (K) “Representative or agent” of a license holder or applicant shall be defined as a key person or occupational licensee employee of the license holder or applicant or any individual who acts as a common law agent on behalf of the license holder or applicant before the commission, such as an attorney, accountant, or lobbyist.

(2) No holder of or applicant for a Class A, Class B, or Supplier license may have a contractual relationship involving, as a party or agent of a party, a person who is a government official at the time of the relationship or who has been a government official within (2) two years prior to the relationship, if such contractual relationship is one in which any aspect of direct gaming activity is included in the duties or obligations of the government official, former government official, or the party for which he or she acts as an agent.

(3) No holder of or applicant for a Class A, Class B, or Supplier license, or any representative or agent of such license holder or applicant, may enter into any contractual relationship with any commission representative in which the commission representative receives consideration that is above fair market value.

(4) No holder of or applicant for a Class A, Class B, or Supplier license may employ or offer to employ a person, or the spouse or dependent child of such a person, who is a government official at the time of such employment or offer, or who has been a government official within two (2) years prior to such employment or offer.

(5) No holder of or applicant for a Class A, Class B, or Supplier license, or any representative or agent of such license holder or applicant, may attempt to influence any official action of a government official by reason of offering to employ any person, provided that this section shall not prohibit offering employment to any person who has been recommended for employment by a government official, if the offer of employment is not an attempt to influence a specific official action of that government official.

(6) No representative or agent of a holder of or applicant for a Class A, Class B, or Supplier license may employ or offer employment to any commission representative.

(7) No holder of or applicant for a Class A, Class B, or Supplier license may knowingly offer a direct ownership interest to or allow a direct ownership interest to be held by a person who is a government official at the time of holding such direct ownership interest or who has been a government official within two (2) years prior to holding such direct ownership interest, provided that knowledge of a broker or transfer agent for a publicly traded license holder or applicant shall not be imputed to such license holder or applicant for purposes of this

rule.

(8) No holder of or applicant for a Class A, Class B, or Supplier license, or any representative or agent of such license holder or applicant, may offer any gift to any commission representative or to any peace officer of any city or county which has approved gambling games on excursion gambling boats.

(9) No holder of or applicant for a Class A, Class B, or Supplier license, or any representative or agent of such license holder or applicant, may knowingly engage in ex parte communication with any commission member.

(10) No holder of or applicant for a license or any representative or agent of such license holder or applicant may offer, promise, or give anything of value or benefit to a person who is connected with a licensee including but not limited to an officer or employee of a licensee or holder of an occupational license, pursuant to an agreement or arrangement or with the intent that the promise or thing of value or benefit will influence the actions of the person to whom the offer, promise, or gift was made in order to affect or attempt to affect the outcome of a gambling game, or to influence official action of a member of the commission.

(11) No holder of or applicant for a license or any representative or agent of such license holder or applicant may solicit or knowingly accept or receive a promise of anything of value or benefit while the person is connected with an excursion gambling boat including but not limited to an officer or employee of a licensee or holder of an occupational license, pursuant to an agreement or arrangement or with the intent that the promise or thing of value or benefit will influence the actions of the person to affect or attempt to affect the outcome of a gambling game, or to influence official action of a member of (12) No holder of or applicant for a Class A, Class B, or Supplier license or any representative or agent of such license holder or applicant may solicit, suggest, request, or recommend to any individual or entity the appointment of any commission representative to any office, place, position, or employment.

(13) No holder of or applicant for a Class A, Class B, or Supplier license or any representative or agent of such license holder or applicant may hire or utilize the services of a commission representative or a person who has been a commission representative within the previous two (2) years as a representative or agent of the holder of or applicant for a Class A, Class B, or Supplier license.

(14) No holder of or applicant for a Class A, Class B, or Supplier license may enter into any scheme or arrangement through which one (1) or more of the relationships, transactions, or activities prohibited by this rule is knowingly effected through an affiliate or parent company of the applicant or license holder in an attempt to circumvent the provisions of this rule.

(15) Notwithstanding sections (1) through (14), this rule shall not prohibit any applicant or licensee from— (A) Allowing any person to engage in legal gaming activity as a patron of a casino;

(B) Charging an admission fee to any person to enter a gaming establishment; or (C) Entering into an agreement with the state, any political subdivision of the state or any other governmental entity that is otherwise legal and that has been disclosed to the commission within ten (10) days of consummation; including, but not limited to, agreements for the reimbursement of expenses incurred by a governmental entity for services of agents or employees of that entity acting in their official capacities.

History

• AUTHORITY: section 313.830, RSMo 2016, and sections 313.800, 313.805, and 313.812, RSMo Supp. 2023. Original rule filed Feb. 19, 1998, effective Aug. 30, 1998. Amended: Filed May 13,1998, effective Jan. 30, 1999. Amended: Filed Nov. 12, 1998, effective June 30, 1999. Amended: Filed June 29, 2023, effective Feb. 29, 2024. Original authority: 313.800, RSMo 1991, amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022; 313.812, RSMo 1991, amended 1992, 1993, 1994, 2000, 2014, 2021; and 313.830, RSMo 1991, amended 1992, 1993, 2000, 2010, 2014.

11 CSR 45-5.060 Publication of Rules and Payoff Schedules for All Permitted Games {#sec-11-csr-45-5.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.060}

PURPOSE: This rule establishes procedures for publication of rules and payoff schedules for all permitted games.

(1) A holder of a Class B license shall provide in printed form, to all patrons who request one, the rules and accurate payoff schedules for each game in the area in which the game is played. The license holder(s) shall make payment in strict accordance with the published payoff schedules. Payoff schedules must accurately state actual payoffs applicable to a particular game or device and shall not be worded in a manner so as to mislead the public. Maintenance of any misleading or deceptive matter on any payoff schedule or failure on the

part of a Class B licensee to make payment in strict accordance with the published payoff schedules may be deemed an unsuitable method of operation. This form shall be posted in a conspicuous position on the boat. 1991, amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991,

11 CSR 45-5.065 Patrons Unlawfully on Excursion Gambling Boat—Not Eligible for Gambling Game Winnings {#sec-11-csr-45-5.065 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.065}

PURPOSE: This rule establishes a procedure for denying a patron that is unlawfully on the casino floor from claiming winnings from a gambling game.

(1) As used in this rule, “gambling game payout” means any money, merchandise or thing of value that, according to the rules of the gambling game that have been approved by the commission, is to be paid to a patron because of a specific combination(s) of characters or symbols on an electronic gaming device or a specific result in a table game.

(2) Patrons that are excluded from excursion gambling boats pursuant to 11 CSR 45-15 et seq., 11 CSR 45-17 et seq., and patrons who are under twenty-one (21) years of age are not eligible to claim gambling game payouts.

(3) If, prior to awarding a gambling game payout, a licensee learns that the patron attempting to claim the winnings fits the criteria in section (2) of this rule, the licensee shall immediately notify a commission agent. The commission agent shall require the patron to produce positive photo identification.

If the commission agent determines that the patron fits the criteria set forth in section (2) of this rule, he shall order the licensee to return the wager to the patron and deny the patron the proceeds of the gambling game payout. The agent shall then escort the patron off the excursion gambling boat and shall take enforcement action as deemed appropriate or as mandated by law. For accounting purposes, the proceeds of the gambling game payout shall be treated as though the wager had not been made.

Amended: Filed Sept. 29, 2011, effective May 30, 2012. Amended:

Filed April 26, 2018, effective Dec. 30, 2018. amended 1993, 1994, 2000, 2008, 2010; 313.817, RSMo 1991, amended 1993, 2000, 2008, 2014, 2016; and 313.822, RSMo 1991, amended 1993, 2000, 2008, 2009.

History

• AUTHORITY: sections 313.004, 313.805, 313.817, and 313.822, RSMo 2016. Original rule filed Dec. 27, 2000, effective July 30, 2001.

11 CSR 45-5.070 Payout Percentage for Electronic Gaming Devices {#sec-11-csr-45-5.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.070}

PURPOSE: This rule requires the payout percentage for electronic gaming devices to be posted.

(1) A holder of a Class B license shall, by the tenth day of each calendar month, display signage containing the actual aggregate payout percentage to the nearest one-tenth percent (0.1%) of all the electronic gaming devices in operation during the previous month and the following statement “For more information on payout percentages by denomination visit www.mgc.dps.mo.gov.” The signs shall be conspicuously placed so they can be readily seen by patrons at each patron entrance to the gaming floor and at each cashier cage that redeems tickets.

History

• AUTHORITY: section 313.004, RSMo 2016, and section 313.805, RSMo Supp. 2023. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed March 1, 2002, effective Sept. 30, 2002. Amended: Filed Nov. 4, 2015, effective June 30, 2016. Amended: Filed June 29, 2023, effective Feb. 29, 2024. Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022.

11 CSR 45-5.075 Payout Percentage for Table Games and Progressive Table Games {#sec-11-csr-45-5.075 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.075}

PURPOSE: This rule establishes minimum payout percentages for progressive wagers on table games.

(1) Table games shall have a minimum theoretical return to players of seventy percent (70%) of the total amount wagered and a maximum theoretical hold distributed to the Class B licensee of thirty percent (30%). The computation of the theoretical return to player and hold shall be based on the optimum player strategy for the game and use generally accepted mathematical analysis techniques.

(2) Table games progressive wagers shall have a minimum theoretical return to players of seventy percent (70%) of the amount wagered and a maximum theoretical hold distributed to the Class B licensee of thirty percent (30%). Table games that include progressive jackpots shall include a progressive meter, visible to the public. If any part of the distribution to the progressive jackpot(s) is being used to fund a secondary jackpot, visible signage informing players of this supplemental distribution must be placed in the immediate area of the table.

The existence of progressive jackpots and the distributions to those jackpots shall be set forth in the “rules of the game” within a licensee’s internal controls for each game having a progressive jackpot(s).

(3) Any table game not meeting these distribution requirements shall be deemed an unauthorized gambling game. 313.805, RSMo Supp. 2010.* Original rule filed May 10, 2000, effective Nov. 30, 2000. Amended: Filed March 1, 2002, effective Sept. 30, 2002. Amended: Filed July 28, 2010, effective Feb. 28, 2011. amended 1993, 1994, 2000, 2008, 2010; 313.807, RSMo 1991, amended 1992, 1993, 2000.

11 CSR 45-5.080 Purchases of Gaming Equipment and Supplies {#sec-11-csr-45-5.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.080}

PURPOSE: This rule establishes the items that must be purchased from licensed suppliers.

(1) Chips, tokens, dice, playing cards, shufflers, progressive controllers, electronic gaming devices, associated systems, and associated equipment may only be purchased from a licensed supplier of those items. sections 313.800 and 313.805, RSMo Supp. 2024.* Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994.

Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed Dec. 5, 2024, effective July 30, 2025. 1991, amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991,

11 CSR 45-5.090 Submission of Chips for Review and Approval {#sec-11-csr-45-5.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.090}

PURPOSE: This rule establishes process for submission of chips for review and approval.

(1) Each holder of a Class B license shall submit to the commission for approval a sample of each denomination of primary and secondary value chips and a sample of each color of primary and reserve nonvalue chips. The Class B licensee shall not utilize these chips for gaming purposes until (A) In requesting approval of these chips, a holder of a Class B license prior to having the chips manufactured, shall first submit to the commission a detailed schematic of its proposed chips, and a sample chip, which shall show the front, back, and edge of each denomination of value chip and each nonvalue chip and the design and wording to be contained on the chip, all of which shall be depicted on the schematic or chip as they will appear, both as to size and location, on the actual chip. Once the design schematics or chip is approved by the commission, no value or nonvalue chip shall be issued or utilized unless and until a sample of each denomination of value chip and each color of nonvalue chip is also submitted to and approved by the commission.

(B) The name and address of the manufacturer shall be provided to the commission.

(C) No holder of a Class B license or other person licensed by the commission shall manufacture for, sell to, distribute to, or use in any casino outside of Missouri, any value or nonvalue chips having the same edge design as those approved for use in Missouri.

Filed April 1, 2021, effective Dec. 30, 2021. amended 1993, 1994, 2000, 2008, 2010, 2021; and 313.807, RSMo 1991, amended 1993, 2000, 2012.

History

• AUTHORITY: section 313.004, 313.805, and 313.807, RSMo 2016. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed June 2, 1995, effective Dec. 30, 1995. Amended: Filed May 13, 1998, effective Oct. 30, 1998.

11 CSR 45-5.100 Chip Specifications {#sec-11-csr-45-5.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.100}

PURPOSE: This rule establishes chip specifications.

(1) Value Chips.

(A) Each chip issued by a holder of a Class B license shall be round in shape, have clearly and permanently impressed, engraved, or imprinted on both sides of the chip the name of the excursion gambling boat and the specific value of the chip, and, on at least one (1) side of the chip, the city or other locality and the state where the establishment is located and the manufacturer’s name or a distinctive logo or other mark identifying the manufacturer. Chips with a value contained on them shall be known as value chips and chips without a value contained on them shall be known as nonvalue chips.

(B) Unless otherwise authorized by the commission, value chips may be issued by Class B licensees in denominations of fifty cents, one, two, two and one-half, five, twenty-five, one hundred, five hundred, one thousand, five thousand, and ten thousand dollars (50¢, $1, $2, $2.50, $5, $25, $100, $500, $1,000, $5,000, and $10,000). The licensees shall have the discretion to determine the denominations to be utilized and the amount of each denomination necessary for the conduct of gaming operations.

(C) Each denomination of value chip shall have a different primary color from every other denomination of value chip.

Unless otherwise approved by the commission, value chips shall fall within the colors set forth in this subsection when the chips are viewed both in daylight and under incandescent light. In conjunction with these primary colors, each holder of a Class B license shall utilize contrasting secondary colors for the edge spots on each denomination of value chip. Unless otherwise approved by the commission, no holder of a Class B license shall use a secondary color on a specific denomination of chip identical to the secondary color used by another holder of a Class B license on that same denomination of value chip.

The primary color to be utilized by each holder of a Class B license for each denomination of value chip shall be— 1. 50¢ Pink 2. $ 1 White 3. $ 2 Beige 4. $2.50 Blue 5. $ 5 Red 6. $ 25 Green 7. $100 Black 8. $500 Fire Orange 9. $1,000 Purple 10. $5,000 Gray 11. $10,000 Yellow (D) Each denomination of value chip utilized by a holder of a Class B license, unless otherwise authorized by the commission, shall— 1. Have its center portion impressed, engraved, or imprinted with the value of the chip and the excursion gambling boat issuing it and utilize a different center shape for each denomination;

2. Be designed so as to be able to determine on surveillance closed circuit television the specific denomination of a chip when placed in a stack of chips of other denominations; and 3. Be designed, manufactured, and constructed so as to prevent, to the greatest extent possible, the counterfeiting of value chips.

(2) Nonvalue Chips.

(A) Each nonvalue chip utilized by a excursion gambling boat shall be issued solely for the purpose of gaming at roulette. The nonvalue chip(s) at each roulette table shall— 1. Be round in shape;

2. Have the name of the excursion gambling boat issuing it clearly and permanently impressed, engraved, or printed into its center on both sides of the chip;

3. Contain a design, insert, or symbol differentiating it from the nonvalue chips being used at every other roulette table in the excursion gambling boat’s gaming operation;

4. Have “Roulette” clearly and permanently impressed, engraved, or printed on both sides; and 5. Be designed, manufactured, and constructed so as to prevent, to the greatest extent possible, the counterfeiting of these chips.

(B) Nonvalue chips issued at a roulette table shall only be used for gaming at that table and shall not be used for gaming at any other table in the excursion gambling boat’s gaming operation, nor shall any holder of a Class B license or its employees allow any patron to remove nonvalue chips permanently from the table from which they were issued.

(C) No person at a roulette table shall be issued or permitted to game with nonvalue chips that are identical in color and design to value chips or to nonvalue chips being used by another person at the same table. When a patron purchases nonvalue chips, a nonvalue chip of the same color shall be placed in a slot or receptacle attached to the outer rim of the roulette wheel. At that time, a marker denoting the value of a stack of twenty (20) chips of that color shall be placed in the slot or receptacle.

(D) Nonvalue chips shall only be presented for redemption at the table from which they were issued and shall not be redeemed or exchanged at any other location in the excursion gambling boat’s gaming operation. When so presented, the dealer at the issuing table shall exchange them for an equivalent amount of value chips which may then be used by the patron in gaming or redeemed as any other value chips.

(E) Each holder of a Class B license shall have the discretion to permit, limit or prohibit the use of value chips in gaming at roulette provided, however, that it shall be the responsibility of the licensee to keep an accurate account of the wagers being made at roulette with value chips so that the wagers made by one player are not confused with those made by another player at the table.

Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed April 3, 2001, effective Oct. 30, 2001. Amended: Filed Oct. 29, 2008, effective April 30, 2009. Amended: Filed June 30, 2009, effective Jan. 30, 2010. Amended: Filed Aug. 31, 2023, effective March 30, 2024. 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022; 313.807, RSMo 1991, amended 1993, 2000, 2012; and 313.817, RSMo 1991, amended 1992, 1993, 2000, 2008,

11 CSR 45-5.110 Primary, Secondary, and Reserve Sets of Gaming Chips {#sec-11-csr-45-5.110 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.110}

PURPOSE: This rule establishes the requirement for having primary, secondary, and reserve sets of gaming chips.

(1) Unless otherwise authorized by the commission, each Class B licensee shall have a primary set of value chips, a primary set of nonvalue chips, a separate secondary set of value chips, and a separate reserve set of nonvalue chips which shall conform to the color and design specifications set forth in 11 CSR 45-5.100.

An approved secondary set of value chips or reserve nonvalue chips shall be placed into active play whenever the primary set is removed.

(A) The secondary set of value chips shall have different secondary colors than the primary set and shall be required for all denominations.

(B) Each holder of a Class B license shall have a reserve set of nonvalue chips for each color utilized with a design insert or symbol different from those nonvalue chips comprising the primary set.

(C) The holder of a Class B license shall remove the primary set of gaming chips from active play whenever— 1. A determination is made by the licensee that its gaming operation is taking on a significant number of counterfeit chips;

2. Any other impropriety or defect in the utilization of the primary set of chips makes removal of the primary set necessary; or 3. The director so directs.

(D) Whenever the primary set of chips is removed from active play, the licensee shall immediately notify a representative of the commission as to the reason for this occurrence.

rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994.

Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended:

Filed April 1, 2021, effective Dec. 30, 2021. Amended: Filed June 29, 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022; 313.807, RSMo 1991, amended 1993, 2000, 2012; and 313.817, RSMo 1991, amended 1992, 1993, 2000, 2008,

11 CSR 45-5.120 Issuance and Use of Tokens for Gaming in Electronic Gaming Devices {#sec-11-csr-45-5.120 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.120}

PURPOSE: This rule establishes design requirements, approval procedures, and issuance standards for tokens used in electronic gaming devices.

(1) No holder of a Class B license shall issue or cause to be utilized in its gaming operation any tokens for gaming in electronic gaming devices unless the tokens are approved by the commission. In requesting approval of the tokens, the licensee shall first submit to the commission a detailed schematic of its proposed token which shall show its front, back, and edge; its diameter and thickness; and any logo, design, or wording to be contained on it; all of which shall be depicted on the schematic as they will appear, both as to size and location, on the actual token. Once the design schematics are approved by the commission, no token shall be issued or utilized until a sample of the token is also submitted and (2) A holder of a Class B license with the approval of the commission, shall issue metal tokens designed for gaming in its electronic gaming devices. These tokens shall— (A) Be round in shape, have clearly and permanently impressed, engraved or imprinted on them the name of the casino and the specific value of the token, and at least on one (1) side of the token, the city or other locality and the state where the establishment is located and the manufacturer’s name or a distinctive logo or other mark identifying the (B) Contain the statement—“Not Legal Tender”;

(C) Not be deceptively similar to any current or past coin of the United States or a foreign country;

(D) Not be of a size or shape or have other characteristics which will physically present their use to activate lawful vending machines or other machines designed to be operated by coins of the United States; and (E) Not be manufactured from a ferromagnetic material or from a three (3)-layered material consisting of a coppernickel alloy clad on both sides of a pure copper core or from a copper-based alloy, except if the total zinc, nickel, aluminum, magnesium and other alloying metal exceeds twenty-five percent (25%) of the token’s weight.

(3) Tokens approved for issuance by a holder of a Class B license shall be— (A) Issued to a patron upon payment for a token or in accordance with a complimentary distribution program;

(B) Capable of insertion into designated electronic gaming devices operated by the holder of a Class B license for the

purpose of activating play;

(C) Available as a payout from the hopper of the electronic gaming devices; and (D) Redeemable by the patron in accordance with the Act.

Filed June 2, 1995, effective Dec. 30, 1995. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed June 29, 2023, effective Feb. 29, 2024. 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022; 313.807, RSMo 1991, amended 1993, 2000, 2012; and 313.817, RSMo 1991, amended 1992, 1993, 2000, 2008,

11 CSR 45-5.130 Exchange of Chips and Tokens {#sec-11-csr-45-5.130 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.130}

PURPOSE: This rule establishes the process for exchange of chips and tokens.

(1) Chips shall be issued to a person only at the request of that person and shall not be given as change in any other transaction. Chips shall be issued to excursion gambling boat patrons at cashier’s cages, at the live gaming devices, or at stations adjacent to the gaming area if approved by the commission. Chips may be redeemed at cashier’s cages.

(2) Tokens shall only be issued upon the request of a patron from a cashier’s cage or from employees of the holder of a Class B license at the electronic gaming devices area. Tokens may be redeemed at a cashier’s cage.

(3) Chips or tokens shall only be redeemed by a holder of a Class B license for its patrons and shall not be knowingly redeemed from any nonpatron source, provided, however, that nongaming employees of the excursion gambling boat may redeem chips or tokens they have received as gratuities.

(4) Value chips may be accepted from patrons as payment at face value for food or beverages purchased on the gaming floor. Any change due back to the patron shall be provided in cash or U.S. coin. All value chips accepted as payment for food or beverages shall be exchanged for cash at the cage or main bank during the same shift they were accepted as payment.

Non-value (roulette) and tournament chips shall not be used for purposes other than wagering on approved gambling games. Currency transaction reporting requirements shall apply to any qualifying dollar value exchanges of value chips for products or services.

(5) Each excursion gambling boat shall promptly redeem its own chips and tokens by cash or by check dated the day of the redemption on an account of the excursion gambling boat as requested by the patron, except when the chips and tokens were obtained or used unlawfully.

(6) Each excursion gambling boat may demand the redemption of its chips or tokens from any person in possession of them and that person shall redeem the chips or tokens upon presentation of an equivalent amount of cash by the excursion gambling boat.

(7) No excursion gambling boat shall knowingly accept, exchange, use, or redeem gaming chips or tokens issued by another excursion gambling boat.

(8) Each excursion gambling boat shall cause to be posted and remain posted in a prominent place— (A) On the front of a cashier’s cage, a sign that reads as follows—“Gaming chips issued by another riverboat may not be used, exchanged or redeemed on this riverboat”;

(B) On electronic gaming device token redemption booths, a sign that reads—“Tokens issued by another riverboat may not be used, exchanged or redeemed on this riverboat”; and (C) Near each entrance to the casino floor, a sign that reads— “State law prohibits the use of gaming chips for purchases off the gaming floor.”

Filed Feb. 19, 1998, effective Aug. 30, 1998. Amended: Filed May 13, 1998, effective Jan. 30, 1999. Amended: Filed Oct. 22, 2010, effective June 30, 2011. Amended: Filed June 29, 2023, effective Feb. 29, 2024. 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022; 313.807, RSMo 1991, amended 1993, 2000, 2012; and 313.817, RSMo 1991, amended 1992, 1993, 2000, 2008,

11 CSR 45-5.140 Receipt of Gaming Chips or Tokens from Manufacturer {#sec-11-csr-45-5.140 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.140}

PURPOSE: This rule establishes the process for receipt of gaming chips and tokens from manufacturers.

(1) When chips or tokens are received from the manufacturer, they shall be opened and checked by at least two (2) employees from different departments of the holder of a Class B license.

Any deviation between the invoice accompanying the chips or tokens and the actual chips or tokens received or any defects found in the chips or tokens shall be reported promptly to the commission. An agent of the commission will be notified both by the supplier and the casino manager of the time of delivery of any chips or tokens to the holder of a Class B license.

(2) After checking the chips or tokens received, the holder of a Class B license shall cause to be reported in a chip and token inventory ledger—the denomination of the chips or tokens received, the number of each denomination of chip or token received, the number and description of all nonvalue chips received, and the date of receipt. The individuals who check the chips or tokens shall sign the chip and token inventory ledger or the supporting documentation.

(3) If any of the chips received are to be held in reserve and not utilized they shall be stored in a separate locked compartment either in the vault, main bank, or in a cashier’s cage and shall be recorded in the chip and token inventory ledger as reserve chips.

(4) Any chips received that are part of the secondary set of chips of the excursion gambling boat shall be recorded in the chip and token inventory ledger as such and shall be stored in a locked compartment in the vault, main bank, or in a cashier’s cage separate from the reserve chips.

Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed April 1, 2021, effective Dec. 30, 2021. Amended: Filed Aug. 31, 2023, effective March 30, 2024. 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022; 313.807, RSMo 1991, amended 1993, 2000, 2012; and 313.817, RSMo 1991, amended 1992, 1993, 2000, 2008,

11 CSR 45-5.150 Storage and Inventory of Chips and Tokens {#sec-11-csr-45-5.150 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.150}

PURPOSE: This rule establishes the process for the storage and inventory of chips and tokens and the computation of unredeemed liability.

(1) In the presence of at least two (2) individuals, chips shall be taken from or returned to either the reserve chip inventory or the secondary set of chips. The denominations, number and amount of chips taken or returned shall be recorded in the chip and token inventory ledger together with the date and signatures of the individuals carrying out this process.

(2) Each holder of a Class B license, on a monthly basis, shall compute and record the unredeemed liability for each denomination of chips and tokens and cause to be made an inventory of chips and tokens in circulation and cause the result of this inventory to be recorded in the chip and token inventory ledger. On a monthly basis, each holder of a Class B license shall cause an inventory of chips in reserve to be made and cause the result of this inventory to be recorded in the chip and token inventory ledger. The procedures to be utilized to compute the unredeemed liability and to inventory chips and tokens in circulation and reserve shall be submitted to the commission for approval. If the inventory procedures incorporate the sealing of the locked compartment, a physical inventory of chips in reserve shall be required within three hundred sixty-five (365) days of the seal being placed.

(3) During nongaming hours, all primary chips and tokens in the possession of the excursion gambling boat shall be stored in the main bank, or in a locked compartment in a cashier’s cage or poker cage, or in a locked transparent compartment on gaming tables on the gaming floor.

(4) All tournament chips, secondary chips, reserve chips, and non-value chips shall be stored in the main bank, a locked compartment in a cashier’s cage, or a locked compartment in another commission-approved location.

(5) A physical inventory of tournament chips shall be completed following each use. If tournament chips are not used for a period of three hundred sixty-five (365) days, an inventory shall be conducted within seven (7) calendar days.

Filed June 2, 1995, effective Dec. 30, 1995. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed April 28, 2004, effective Dec. 30, 2004. Amended: Filed Aug. 31, 2023, effective March 30, 2024. 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022; 313.807, RSMo 1991, amended 1993, 2000, 2012; and 313.817, RSMo 1991, amended 1992, 1993, 2000, 2008,

11 CSR 45-5.160 Destruction of Chips and Tokens {#sec-11-csr-45-5.160 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.160}

PURPOSE: This rule establishes the procedures for the destruction of chips and tokens.

(1) Prior to the destruction of chips or tokens, the holder of a Class B license shall notify the commission, in writing, of the date and the location at which the destruction will be performed; the denomination, number, and amount of value chips or tokens to be destroyed; the description and number of nonvalue chips to be destroyed; and a detailed explanation of the method of destruction. Unless otherwise authorized by the director, the destruction of chips or tokens shall be carried out in the presence of at least two (2) individuals, one (1) of whom shall be an agent of the commission. The denomination, number, and amount of value chips or tokens or, in the case of nonvalue chips, the description and number so destroyed, shall be recorded in the chip and token inventory ledger together with the signatures of the individuals carrying out the destruction and the date on which destruction took place. 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022; 313.807, RSMo 1991, amended 1993, 2000, 2012; and 313.817, RSMo 1991, amended 1992, 1993, 2000, 2008,

11 CSR 45-5.170 Destruction of Counterfeit Chips and Tokens {#sec-11-csr-45-5.170 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.170}

PURPOSE: This rule establishes the process for the destruction of counterfeit chips and tokens.

(1) As used in this rule, counterfeit chips or tokens means any chip- or token-like objects that have not been approved pursuant to this chapter, including objects commonly referred to as slugs, but not including coins of the United States or any other nation.

(2) Unless a peace officer instructs or a court of competent jurisdiction orders otherwise in a particular case, licensees shall destroy or otherwise dispose of counterfeit chips and tokens discovered at their establishments in a manner as their internal controls specify.

(3) Each licensee shall record, in addition to other information that the commission may require the number and denominations, actual and purported, of the coins and counterfeit chips and tokens destroyed or otherwise disposed of pursuant to this rule.

(4) A holder of a Class B license shall maintain each record required by this rule for at least five (5) years, unless the commission approves or requires otherwise.

History

• AUTHORITY: sections 313.004, 313.805, 313.807, and 313.817, RSMo 2016. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed March 1, 2018, effective Oct. 30, 2018. amended 1993, 1994, 2000, 2008, 2010; 313.807, RSMo 1991, amended 1993, 2000, 2012; and 313.817, RSMo 1991, amended 1993, 2000, 2008, 2014, 2016.

11 CSR 45-5.180 Tournament Chips and Tournaments {#sec-11-csr-45-5.180 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.180}

PURPOSE: This rule establishes the process for offering tournaments for play and the use of tournament chips.

(1) As used in this rule, tournament chip means a chip issued by a licensee for use in tournaments at the licensee’s gaming establishment.

(2) Tournament chips shall be designed, manufactured, approved, and used in accordance with the provisions of rules in this chapter applicable to chips, except as follows:

(A) Tournament chips shall be of a shape and size and have such other specifications so as to be distinguishable from other chips used in the Class B licensee’s gaming operation;

(B) Each side of each tournament chip shall conspicuously bear the inscription—“No Cash Value”;

(C) Tournament chips shall not be used, and licensees shall not permit their use in transactions other than the tournaments for which they are issued; and (D) The provisions of 11 CSR 45-5.170 shall not apply to tournament chips.

(3) As used in this rule, entry fees shall be defined as the total amount paid by patrons for participation in a tournament and any amounts awarded by the Class B licensee to patrons from previous tournament play for participation in that tournament.

A tournament is a contest offered and sponsored by a Class B licensee in which patrons may be assessed an entry fee or be required to meet some other criteria to compete against one another in a gambling game or series of gambling games in which winning patrons receive a portion or all of the entry fees, if any, which may be increased with cash or non-cash prizes from the Class B licensee. Class B licensees may conduct tournaments provided— (A) The licensee shall notify the gaming agent in charge at that property and the commission tax section of the planned tournament at least ten (10) calendar days before the first day of the event;

(B) A copy of the tournament rules shall be submitted to the gaming agent in charge at that property and the commission tax section at least ten (10) calendar days before the first day of the event;

(C) The licensee shall conduct the tournament in compliance with all applicable rules, regulations, and laws;

(D) The licensee shall maintain written, dated rules governing the event, and the rules shall be immediately available to the public and the commission upon request. Tournament rules shall at a minimum include:

1. The date, time, and type of tournament to be held;

2. The amount of the entry fee, if any;

3. The minimum and maximum number of participants;

4. A description of the tournament structure, i.e., number of rounds, time period, players per table, and criteria for determining winner(s);

5. The prize structure, including amounts and/or percentages for prize levels; and 6. Procedures for the timely notification of entrants and the gaming agent in charge at the property and the refunding of entry fees in the event of cancellation;

(E) No false or misleading statements, written or oral, shall be made by a licensee or its employees or agents regarding any aspect of the tournament, and all prizes offered in the tournament shall be awarded according to the Class B licensee’s rules governing the event. Tournaments shall not be structured or conducted in a manner that reflects negatively on the licensee, the commission, or the integrity of gaming in Missouri;

(F) The Class B licensee’s accounting department shall keep a complete record of the rules of the event and all amendments thereto, including criteria for entry and winning, names of all entrants, all prizes awarded and prize winners, source documentation evidencing the payout amounts which shall be signed by the prize winners, for a minimum of two (2) years from the last date of the tournament and shall be made readily available to the commission upon request;

(G) Entry fees shall be subject to the adjusted gross receipts tax pursuant to section 313.822, RSMo. At least eighty percent (80%) of all entry fees must be returned to tournament participants as winnings;

(H) The total entry fees shall be reported as adjusted gross receipts for a tournament and no portion shall be held in abeyance to be applied to a future tournament or another tournament in the same series of tournaments; and (I) Cash and non-cash winnings paid in a tournament shall be deductible from adjusted gross revenue, but any such deduction shall not exceed the total entry fees received for the tournament and non-cash winnings shall be deductible only to the dollar value thereof actually invoiced to and paid by the licensee.

(4) Free tournaments are considered tournaments and promotional activities as defined in 11 CSR 45-5.181 and shall comply with both 11 CSR 45-5.180 and 11 CSR 45-5.181.

Filed Nov. 10, 1997, effective June 30, 1998. Amended: Filed May 6, 1999, effective Dec. 30, 1999. Amended: Filed July 9, 2004, effective Jan. 30, 2005. Amended: Filed June 30, 2005, effective Jan. 30, 2006. Amended: Filed Aug. 30, 2006, effective March 30, 2007.

Filed June 29, 2023, effective Feb. 29, 2024. 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022; 313.807, RSMo 1991, amended 1993, 2000, 2012; and 313.817, RSMo 1991, amended 1992, 1993, 2000, 2008,

11 CSR 45-5.181 Promotional Activities {#sec-11-csr-45-5.181 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.181}

PURPOSE: This rule defines and clarifies the requirements for approval of giveaways and promotions.

(1) For the purposes of this rule, the following words are defined as:

(A) Promotional giveaway—a promotional gift or item given by a licensee to any person meeting the licensee’s promotional criteria, where the person provides no consideration and there is no chance or skill involved in the awarding of the promotional gift or item, and all persons meeting the criteria receive the same promotional gift or item;

(B) Patron—any person present on the premises of a Class B licensee that is not employed by such Class B licensee or the commission and is not on the premises as a vendor of the Class B licensee;

(C) Promotional coupon—any instrument offering any person something of value and issued by a Class B licensee to entice the person to come to the Class B licensee’s premises or for use in or related to licensed gambling games at a licensee’s gaming establishment;

(D) Promotional game—a drawing, event, contest or game in which patrons of a Class B licensee may, without giving consideration, participate or compete for the chance to win a prize or prizes of different values; and (E) Player reward program—a promotional activity that provides redeemable player reward points to patrons as a result of wagering regardless of game outcome and based on predetermined formulas.

(2) Class B licensees may provide promotional activities such as promotional giveaways, promotional coupons, promotional games, player reward programs, or similar activities for patrons without the prior approval of the commission, provided the promotional activity is not structured or conducted in a manner that reflects negatively on the licensee, the commission, or the integrity of gaming in Missouri and complies with the (A) No false or misleading statements, written or oral, shall be made by a licensee or its employees or agents regarding any aspect of any promotional activity;

(B) The promotional activity shall comply with all applicable laws and regulations and shall not constitute illegal gambling under federal or state law;

(C) The Class B licensee shall create dated, written rules governing the promotional activity, which rules shall be immediately available to the public and the commission upon request. The licensee shall maintain the rules of the event and all amendments thereto, including criteria for entry and winning, prizes awarded, and prize winners, for a minimum of two (2) years from the last day of the event;

(D) All prizes offered in the promotional activity shall be awarded according to the Class B licensee’s rules governing the event;

(E) The licensee’s employees shall not be permitted to participate as a player in any gambling game as defined in

section 313.800, RSMo, including games for which there is no cost to participate;

(F) The Class B licensee shall designate in its internal control system an employee position acceptable to the commission that shall be responsible for ensuring adherence to the rules set forth in this section; and (G) These standards do not apply to promotional activities exclusively related to food, concerts, hotels, and other nongaming establishments.

(3) Documentation of any change or cancel lation of a promotional activity shall be maintained on file for two (2) years.

(4) Payouts from promotional activities are not winnings paid to wagerers under section 313.800.1(1), RSMo, and as such shall not be deductible when calculating adjusted gross receipts.

(5) Promotional coupons shall contain the following information preprinted on the coupon:

(A) The name of the gaming facility;

(B) The city or other locality and state where the gaming facility is located;

(C) Specific value of any monetary coupon stated in U.S. dollars;

(D) Sequential identification numbers, player tracking numbers with unique numbers added to them, or other similar means of unique identification of each coupon for complete, accurate tracking and accounting purposes;

(E) A specific expiration date or condition; and (F) All conditions required to redeem the coupon.

(6) Class B licensees may use mass media to provide promotional coupon offers to prospective patrons; however, such offers may only be redeemed for a preprinted coupon that contains all of the information required for a promotional coupon in section (5) of this rule.

(7) Class B licensees offering promotional coupons shall track the issuance and redemption of each promotional coupon.

Documentation of the promotional coupon tracking shall be maintained on file for two (2) years and made readily available to the commission upon request. The inventory of unissued promotional coupons must be maintained in a reasonable manner that prevents theft or fraud.

(8) Promotional coupons shall be cancelled at the time they are redeemed in a manner that will prevent multiple redemptions of the same coupon.

rule filed July 9, 2004, effective Jan. 30, 2005. Amended: Filed June 30, 2005, effective Jan. 30, 2006. Amended: Filed March 29, 2012, effective Nov. 30, 2012. Amended: Filed April 26, 2018, effective Dec. 30, 2018. *Original authority: 313.004, RSMo 1993, amended 1994, 2014 and 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010.

History

• AUTHORITY: sections 313.004 and 313.805, RSMo 2016. Original

11 CSR 45-5.183 Table Game and Poker Cards—Specifications {#sec-11-csr-45-5.183 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.183}

PURPOSE: This rule establishes minimum standards for cards used for gambling games.

(1) Unless otherwise approved by the commission, all cards used for gambling games must meet the following specifications:

(A) Cards used to play table games and poker shall be in standard decks of fifty-two (52) cards each with each card identical in size and shape to every other card in such deck or as otherwise approved by the commission;

(B) Each standard deck shall be composed of four (4) suits: diamonds, spades, clubs, and hearts;

(C) Each suit shall be composed of thirteen (13) cards: ace, king, queen, jack, 10, 9, 8, 7, 6, 5, 4, 3, 2. The face of the ace, king, queen, jack, and 10 value cards may contain an additional marking, as approved by the commission, which will permit a dealer, prior to exposing his/her hole card at the game of blackjack, to determine the value of that hole card;

(D) The backs of each card in the deck shall be identical and no card shall contain any marking, symbol, or design that will enable a person to know the identity of any element printed on the face of the card or that will in any way differentiate the back of that card from any other card in the deck;

(E) The backs of all cards in the deck shall be designed so as to diminish as far as possible the ability of any person to place concealed markings thereon;

(F) The design to be placed on the backs of cards used by licensees shall contain the name or trade name of the Class B licensee where the cards are to be used and shall be submitted to the commission for approval prior to use of such cards in gaming activity;

(G) Each deck of cards for use in table games as defined in this section shall be boxed separately or boxed in sets of two (2) or more manufacturer pre-shuffled decks and wrapped with cellophane or shrink wrap or other similar material as approved by the commission and such packaging shall have a tamper resistant destructive security seal and a tear band.

Each deck of poker cards shall be boxed in sets of two (2) decks and wrapped with cellophane or shrink wrap or other similar material as approved by the commission and have a tamper resistant destructive security seal and a tear band;

(H) Nothing in this section shall prohibit decks of cards with one (1) or more jokers contained therein; provided, however, such jokers shall be used by the Class B licensee only in the play of any games approved by the commission for that manner of play; and (I) In addition to satisfying the requirements of this section, the cards used by a Class B licensee in any poker room game must— 1. Be visually distinguishable from the cards used by that Class B licensee to play any table games;

2. Be made of plastic; and 3. Each set of poker cards shall have two (2) decks with visually distinguishable card backings. These card backings may be distinguished, without limitation, by different logos, different colors, or different design patterns.

Amended: Filed July 3, 2000, effective Feb. 28, 2001. Amended:

Filed May 29, 2002, effective Dec. 30, 2002. Amended: Filed Feb. 28, 2007, effective Oct. 30, 2007. Amended: Filed July 31, 2014, effective Feb. 28, 2015. Amended: Filed Oct. 27, 2016, effective June 30, 2017. amended 1993, 1994, 2000, 2008, 2010; 313.830, RSMo 1991, amended 1993, 2000, 2010, 2014; and 313.845, RSMo 1991, amended 1993, 1994, 1995.

History

• AUTHORITY: sections 313.004, 313.805, 313.830, and 313.845, RSMo 2016. Original rule filed Dec. 17, 1996, effective Aug. 30, 1997.

11 CSR 45-5.184 Table Game Cards—Receipt, Storage, Inspections, and Removal from Use {#sec-11-csr-45-5.184 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.184}

PURPOSE: This rule establishes procedures for the handling of table game cards within the gaming operation.

(1) When decks of table game cards are received for use in the facility from a licensed supplier, the boxes shall be promptly inspected and the decks shall be stored in a primary or secondary storage area by at least (2) employees, one (1) of whom shall be from the table games department and the other from the security department. The primary card storage area shall be located in a secure place, the location and physical characteristics of which shall be approved by the commission.

Secondary storage areas, if needed, shall be used for the storage of surplus cards. Cards maintained in secondary storage areas shall be transferred to the primary card storage area before being distributed to the pits or tables. All secondary storage areas shall be located in secure areas, the location and physical characteristics of which shall be approved by the commission.

(2) All primary and secondary storage areas shall have two (2) separate locks. The security department shall be the authorized user of one (1) key and the pit manager, poker room manager, or supervisor thereof in the organizational hierarchy shall be the authorized user of the other key.

(3) Immediately prior to the commencement of each gaming day and at other times as may be necessary, the pit manager, poker room manager, or supervisor thereof, in the presence of a security officer, shall remove the appropriate number of decks of table games cards from the primary card storage area for that gaming day.

(4) Once removed from the primary card storage area, the pit manager, poker room manager, or supervisor thereof, in the presence of a security officer, shall take the decks to the pit(s) and distribute the decks to the floor supervisor(s) for distribution to the dealer at each table.

(5) The pit manager, poker room manager, or supervisor thereof, shall place extra decks into a single locked compartment of a pit stand located within the pit(s). The floor supervisor or above shall have access to the extra decks of cards to be used for that gaming day.

(6) Cards will not be moved outside of the enclosed or encircled area without a security escort and notification to surveillance except when being collected by security.

(7) Prior to being placed into play, all decks shall be inspected by the dealer, and the entire inspection observed by a floor supervisor or above. Card inspection at the gaming table shall require each deck to either be sorted into sequence and into suit or processed through an automated shuffler or similar device capable of reading the card faces to ensure that all cards are in the deck. For decks that may be used more than once, the inspection shall also require the dealer to check the back of each card to ensure that it is not flawed, scratched, or marked in any way. Card inspection for games may be conducted at an alternate table in the same pit or at an alternate table in a closed pit. In these instances, the floor supervisor or above shall notify surveillance and surveillance shall record on the surveillance shift log both the table number where the card inspection is conducted and the table number at which the cards are to be placed into play.

(A) If, after checking the cards, the dealer finds that a card is unsuitable for use, a floor supervisor or above shall bring a replacement card from the replacement deck or replace the entire deck.

(B) The unsuitable card(s) shall be placed in a transparent sealed envelope or container, identified by the table number, date, and time removed from the table and shall be signed by the dealer and floor supervisor assigned to that table. The floor supervisor or above shall maintain the envelope or container in a secure place within the pit until collected by a security officer.

(8) When cards are placed in play, the Class B licensee shall record on each deck/multi-deck box the table number, the date, and the time the cards were placed on the table for use.

(9) All envelopes and containers used to hold or transport cards collected by security shall be transparent.

(A) The envelopes or containers and the method used to seal them shall be designed or constructed so that any tampering shall be evident.

(B) The envelopes or containers and seals shall be approved by the commission.

(10) Any cards which have been opened and placed on a gaming table shall be changed at least once every twenty-four (24) hours. In addition— (A) Cards opened for use on games in which dealing procedures require the cards to be dealt only once (e.g., baccarat) shall be changed upon the completion of each shoe;

(B) Cards opened for use on any table game in which the cards are handled by the players shall be changed at least every six (6) hours.

(11) Card(s) damaged during the course of play shall be replaced by the dealer who shall request a floor supervisor or above to bring a replacement card(s) or deck/multi-deck from the pit stand.

(A) The damaged card(s) shall be placed in a sealed envelope, identified by table number, date, and time removed from the table and shall be signed by the dealer and the floor supervisor or above who brought the replacement card to the table.

(B) The floor supervisor or above shall maintain the envelope or container in a secure place within the pit until collected by a security officer.

(12) At the end of the gaming day or, in the alternative, at least once each gaming day at the same time each day, as designated by the licensee and approved by the commission, and at other times as may be necessary, the floor supervisor or above shall collect all used cards.

(A) These cards shall be counted down manually by the dealer or by an automated shuffler and placed in the original deck/multi-deck boxes. The time the decks were removed from the table and an indication as to whether or not the cards were handheld shall be recorded on the deck/multi-deck boxes. The boxes shall be placed in a sealed envelope or container. For games in which dealing procedures require cards to be dealt only once, the sealed envelopes or containers shall be easily distinguishable from those used for all other table games. The bags will be conspicuously labeled as containing single-use cards.

(B) A label shall be attached to each envelope or container which identifies the table number, date, and time and shall be signed by the dealer and floor supervisor assigned to the table.

(C) The floor supervisor or above shall maintain the envelopes or containers in a secure place within the pit until collected by a security officer.

(13) The licensee shall remove any cards from use any time there is indication of tampering, flaws, scratches, marks, or other defects that might affect the integrity or fairness of the game, or at the request of the commission.

(14) At the end of each gaming day or, in the alternative, at least once each gaming day, as designated by the licensee in the internal controls and approved by the commission, and at other times as may be necessary, a table game supervisor or above shall collect all extra decks of cards. All extra decks with broken seals shall be placed in a sealed envelope or container, with a label attached to each envelope or container which identifies the date and time and is signed by the floor supervisor and the pit manager or above.

(15) At the end of the gaming day or, in the alternative, at least once each gaming day at the same time each day, as designated by the licensee in the internal controls and approved by the commission, and at other times as may be necessary, a security officer shall collect all decks in the pit(s), including sealed decks, sealed envelopes or containers with damaged cards, decks used during the gaming day, and decks with broken seals. The collection shall be recorded on the Card and Dice Collection Log. All sealed decks shall be returned directly to the primary storage area. The security officer shall return the envelopes or containers and the log to the card inspection room.

(16) When the envelopes or containers of used cards and reserve cards with broken seals are returned to the security department, they shall be inspected within forty-eight (48) hours by a member of the security department who has been trained in proper card inspection procedures. The cards will be inspected for tampering, marks, alterations, missing or additional cards, or anything that might indicate unfair play.

(A) With the exception of cards which are changed upon the completion of each shoe and dealt only once, all cards used in table games in which the cards are handled by the player shall be inspected. Cards that are changed upon completion of each shoe and are dealt only once shall be recorded separately on the Card Inspection Log and are not required to be inspected.

(B) In other table games, if less than three hundred (300) decks are used in the gaming day, at least ten percent (10%) of those decks will be selected at random to be inspected. If three hundred (300) or more decks are used that gaming day, at least five percent (5%) of those decks but no fewer than thirty (30) decks will be selected at random to be inspected.

(C) The licensee shall also inspect— 1. Any cards which the commission requests the licensee to remove for the purpose of inspection; and 2. Any cards the licensee removed for indication of tampering.

(D) The procedures for inspecting all decks required to be inspected under this subsection shall, at a minimum, include:

1. The sorting of cards sequentially by suit or using an automated deck checking device to establish all cards are present;

2. The inspection of the backs of the cards with an ultraviolet light; and 3. The inspection of the sides of the cards for crimps, bends, cuts, and shaving.

(E) The individuals performing said inspection shall complete the Card Inspection Log which shall detail the procedures performed and list the tables from which the cards were removed and the results of the inspection. The individual shall sign the form upon completion of the inspection procedures.

(F) Evidence of tampering, marks, alterations, missing, or additional cards, or anything that might indicate unfair play discovered at this time, or at any other time, shall be reported to the commission by the completion and delivery of a Card Discrepancy Report. All Card/Dice Discrepancy Reports generated for the cards for each gaming day shall be delivered prior to or immediately following the inspection process for that gaming day.

1. The report shall accompany the card(s) when delivered to the commission.

2. Security shall maintain the second part of the discrepancy report.

(17) The Class B licensee shall— (A) Maintain a card inventory ledger for each primary and secondary storage location, which shall document the 1. Balance of decks on hand;

2. Decks removed from storage;

3. Decks returned to storage or received from the 4. Date of the transaction; and 5. Signatures of the security officer and the pit manager or poker room manager conducting the transaction;

(B) Verify on a daily basis the number of decks stored, distributed, destroyed or cancelled, and returned to the storage area; and (C) Perform an independent inventory of the cards at least once each calendar quarter.

1. This inventory shall be performed by an employee from the compliance or accounting department and shall be verified to the balance of decks on hand as recorded on the inventory ledger.

2. The employee conducting this inventory shall make an entry and sign the Cards/Dice Inventory Ledger in a manner that clearly distinguishes this count as the independent inventory.

3. Any discrepancies shall immediately be reported to the commission agent on duty.

(18) Where cards in an envelope or container are inspected and found to be without any indication of tampering marks, alterations, missing, or additional cards, or anything that might indicate unfair play, those cards shall be destroyed or cancelled. Once released by the commission, the cards submitted as evidence shall be destroyed or cancelled. Cards shall be destroyed or cancelled prior to removal from inventory.

The destruction/cancellation shall be recorded on the Card and Dice Cancellation/Destruction Log.

(A) Destruction shall occur by shredding or other method (B) Cancellation shall occur by drilling a circular hole of at least one-fourth of one inch (1/4") in diameter through the center of each card in the deck, or by removing at least onefourth of an inch (1/4") from at least one (1) corner of each card, or other method approved by the commission.

(C) The destruction and cancellation of cards shall take place in a secure place, the location and physical characteristics of which shall be approved by the commission, and shall be performed by a member of the security department specifically trained in proper procedures.

(19) The Class B licensee shall not allow players to handle cards except as permitted by the Class B licensee’s internal control system Rules of the Game.

Filed Oct. 27, 2016, effective June 30, 2017. Amended: Filed April 26, 2018, effective Dec. 30, 2018. Amended: Filed Jan. 20, 2022, effective Sept. 30, 2022. amended 1992, 1993, 1994, 2000, 2008, 2010, 2021; and 313.830, RSMo 1991, amended 1992, 1993, 2000, 2010, 2014.

History

• AUTHORITY: sections 313.004 and 313.830, RSMo 2016, and section 313.805, RSMo Supp. 2021. Original rule filed Dec. 17, 1996, effective Aug. 30, 1997. Amended: Filed Feb. 28, 2007, effective Oct. 30, 2007. Amended: Filed Aug. 30, 2012, effective March 30, 2013.

11 CSR 45-5.185 Poker Cards—Receipt, Storage, Inspections, and Removal from Use {#sec-11-csr-45-5.185 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.185}

PURPOSE: This rule establishes procedures for the handling of poker cards within the gaming operation.

(1) Only plastic cards that have been approved by the commission shall be used for poker.

(2) When decks of poker cards are received for use in the facility from a licensed supplier, the decks shall be placed for storage in a primary or secondary storage area by at least two (2) employees, one (1) of whom shall be from the table games department and the other from the security department. The primary storage area shall be located in a secure place, the location and physical characteristics of which shall be approved by the commission. Secondary storage areas, if needed, shall be used for the storage of surplus poker cards. Cards maintained in secondary storage areas shall be transferred to the primary card storage area before being distributed to the poker room or tables. All secondary storage areas shall be located in secure areas, the location and physical characteristics of which shall be approved by the commission.

(3) All primary and secondary card storage areas shall have two (2) separate locks. The security department shall maintain one (1) key and the table games department shall maintain the other key; provided, however, that no person employed by the table games department below the pit manager or poker room manager in the organizational hierarchy shall have access to the table games department key for the primary and secondary card storage areas.

(4) Evidence of tampering, marks, alterations, missing or additional cards or anything that might indicate unfair play discovered at any time shall be reported to the commission by the completion and delivery of a Card Discrepancy Report.

(A) The report shall accompany the card(s) when delivered to (B) The card(s) shall be retained for further inspection by the (C) The commission agent receiving the report shall sign the Card Discrepancy Report and retain the original at the commission office.

History

• AUTHORITY: section 313.805, RSMo Supp. 2014. Original rule filed Feb. 28, 2007, effective Oct. 30, 2007. Amended: Filed Jan. 26, 2012, effective Aug. 30, 2012. Amended: Filed July 31, 2014, effective Feb. 28, 2015. Original authority: 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010.

11 CSR 45-5.190 Minimum Standards for Electronic Gaming {#sec-11-csr-45-5.190 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.190}

PURPOSE: This rule establishes the minimum standards for EGDs.

(1) EGDs shall not be programmed to pay out less than eighty percent (80%) of all wagers, including bonus games, for ten (10) million handle pulls using the volatility index calculated at a ninety-five percent (95%) confidence level. The minimum payout percentage requirement shall be met regardless of the amount wagered per game.

(2) EGDs that may be affected by player skill must meet the minimum payout percentage requirement even when the skill of the player provides the lowest possible return to the player from the skill portion of the game.

(3) Any advertised payout on an EGD shall occur, statistically, at least once in fifty (50) million games.

(4) EGDs shall— (A) Be subject to testing prior to implementation within the state and at any time thereafter by the commission or an independent testing laboratory (ITL) licensed by the commission, and subject to review and approval by the commission for adherence to the regulations and technical standards;

(B) Be controlled by a microprocessor or the equivalent in such a manner that the game outcome is completely controlled by the microprocessor or equivalent device as approved by the (C) Utilize an industry standard communication protocol approved by the commission that is compatible with and interfaces with the communication protocol used by all slot accounting systems approved by the commission for use at an excursion gambling boat. Any new EGDs and any new slot machine interface board (SMIB), including the device’s or board’s communication software, shall, prior to approval for use within the state, be tested for interoperability with all slot accounting systems utilized in Missouri excursion gambling boats, by a licensed ITL, to ensure compliance with this chapter. Once approved, modifications to said EGDs, SMIBs, or the device’s or board’s communication software shall be further tested for interoperability to ensure compliance with this chapter, unless otherwise approved by the commission;

(D) Have a logic area in a separate locked internal enclosure within the device which houses electronic components that have the potential to significantly influence the operation of the gaming device. Electronic components required to be housed within the logic area include computer processor units (CPUs) and all critical program storage media;

(E) Clearly and accurately display, via Attendant Menu, the identification number and version, as applicable, of all software and firmware contained within the EGD and its top box which are involved in game communication or the operation and calculation of game play, game display, or game result determination;

(F) Be able to recover to the state the gaming devices were in immediately prior to the occurrence of a program interruption or power loss and continue a game with no data loss. Upon program resumption, the following procedures must be performed:

1. Any communications to an external device shall not begin until the program resumption routine, including selftests, is completed successfully;

2. Gaming device control programs test themselves for possible corruption due to failure of the program storage media; and 3. The integrity of all critical memory is checked;

(G) Have game data recall capable of providing all information required to fully reconstruct at least the last ten (10) games, retrievable upon the operation of an external key-switch or other secure method not available to the player. The ten- (10-) game recall shall reflect bonus rounds in their entirety. For bonus rounds that may have a variable number of free spins, there shall be a minimum of fifty (50) recallable spins for each bonus round;

(H) Have a random selection process that must not produce detectable patterns of game elements or detectable dependency upon any previous game outcome, the amount wagered, or upon the style or method of play; however, the commission may allow a game with a game feature or play mechanic with a detectable dependency if a white paper for the game feature or play mechanic is submitted to and approved by the commission prior to testing by an ITL. The commission reserves the right to require the removal of the program if it determines, in its sole discretion, that removal is in the best interest of the state of Missouri;

(I) Clearly and accurately display applicable rules of play and the award that will be paid to the player when the player obtains a specific win, including mystery awards. The displays shall clearly indicate whether awards are designated in denominational units, currency, credits, or some other unit.

All paytable information must be able to be accessed by a player prior to the player committing to a wager. Pay glass and its corresponding artwork for mechanical displays must be submitted to an ITL designated by the commission for review and approval prior to implementation within the state;

(J) Display an accurate representation of each game outcome.

After selection of the game outcome, the EGD must not make a variable secondary decision which affects the result shown to the player;

(K) Have a complete set of nonvolatile meters including coin in, coin out, bills in, tickets in, tickets out, coupons in, cashable electronic promotion in (CEP In), cashable electronic promotion out (CEP Out), non-cashable electronic promotion in (NCEP In), non-cashable electronic promotion out (NCEP Out), attendant paid external bonus payout, machine paid external bonus payout, wagering account transfer in (WAT In), wagering account transfer out (WAT Out), number of games played, attendant paid progressive, machine paid progressive, attendant paid cancel credits, and attendant paid jackpots, or their equivalent as approved by the commission;

(L) Have available for random selection at the initiation of each play based upon the selected wager, each possible permutation or combination of game elements which produce winning or losing game outcomes for that wager; however, the commission may allow a game with a game feature or play mechanic that does not offer each possible winning or losing game outcome if a white paper for the game feature or play mechanic is submitted to and approved by the commission prior to testing by an ITL. The commission reserves the right to require the removal of the program if it determines, in its sole discretion, that removal is in the best interest of the state of Missouri; and (M) Not automatically alter paytables or any function of the EGD based on internal computation of the hold percentage.

(5) For games which utilize physical reel strips, the EGD shall have the capablity to perform a reel strip and paytable test for each award, which allows the Class B licensee to verify the combination and payout listed on the pay glass/pay screen matches the reel strip combination and the award credits displayed.

(6) EGDs shall not display the highest advertised award following a random access memory (RAM) clear or when exiting a tilt condition, except when returning to the last known play state.

(7) When an EGD is unable to automatically provide payment of jackpots requiring the payment to be made by the excursion gambling boat, jackpot slips must be prepared either by the slot accounting system or manually by casino personnel.

(8) An EGD and its associated equipment or associated system shall not display a payout to the patron that is not achievable on that EGD.

(9) In addition to the requirements of this rule, all licensees shall comply with Chapter E of the Minimum Internal Control Standards as authorized by 11 CSR 45-9.105.

Filed June 25, 1996, effective Feb. 28, 1997. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed March 31, 2005, effective Oct. 30, 2005. Amended: Filed Aug. 30, 2006, effective March 30, 2007. Amended: Filed Jan. 30, 2014, effective Sept. 30, 2014. Amended: Filed April 25, 2019, effective Dec. 30, 2019.

Amended: Filed Feb. 25, 2022, effective Sept. 30, 2022. Amended:

Filed June 29, 2023, effective Feb. 29, 2024. Amended: Filed Dec. 5, 2024, effective July 30, 2025. 1991, amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991,

11 CSR 45-5.192 Electronic Gaming Device (EGD) {#sec-11-csr-45-5.192 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.192}

Authentication

PURPOSE: This rule establishes the minimum standards for authenticating critical program storage media (CPSM).

(1) EGD platforms submitted for approval shall provide the following support for authenticating CPSM:

(A) A verification mechanism, approved by the commission, which authenticates all CPSM. The verification mechanism shall— 1. Be accessible via a communication port and protocol approved by the commission;

2. Possess an approved communication port located within the locked EGD cabinet and be accessible without requiring access to the locked logic compartment;

3. Provide on-demand authentication of each EGD CPSM.

This function shall not require the EGD power to be cycled and the execution time shall not exceed twenty (20) minutes;

4. Generate a unique signature for each CPSM utilizing Secure Hashing Algorithm-1 (SHA-1) with Hash-Based Message Authentication Code (HMAC), as defined by the National Institute of Standards and Technology (NIST). Hashing methodologies will be continually reevaluated by the commission; and 5. Provide support for escrowing verification results.

Verification results shall be preserved and retrievable pending a subsequent verification request or a loss of power; and (B) A means for the use of third-party authentication tools (2) Legacy EGD platforms which do not offer a communication port are excluded from the requirements in subsection (1)(A).

(3) All EGDs shall be designed to permit a copy of random access memory (RAM) to be extracted utilizing tools and procedures approved by the commission and which shall be provided by the EGD supplier.

(4) All licensees are required to submit a request to the commission for authorization of installation and use of any diagnostic data collection device on the gaming floor. The request shall contain the following:

(A) The licensee making the request;

(B) Description of the device;

(C) Installation date and time;

(D) Expected duration of use;

(E) Personnel performing the installation; and (F) A technical description as to why the device is needed. sections 313.800 and 313.805, RSMo Supp. 2024.* Original rule filed March 30, 2011, effective Nov. 30, 2011. Amended: Filed Dec. 5, 2024, effective July 30, 2025. 1991, amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991,

11 CSR 45-5.193 Statistical Performance of Electronic Gaming {#sec-11-csr-45-5.193 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.193}

PURPOSE: This rule establishes the standards for EGD statistical performance.

(1) Gaming equipment suppliers shall— (A) Provide the volatility index (VI) on all Probability Accounting Report (PAR) sheets. The volatility index shall be calculated at ninety-five percent (95%) confidence level and at one- (1-) line played, or the EGD minimum bet where applicable. For EGDs with non-linear paytables, the bet with the lowest payout shall be used. The calculations shall be accomplished by utilizing the below formulas:

VI = κσ Where κ equals the z score for the required confidence level and σ is the standard deviation for the game.

The standard deviation is calculated as follows:

Net Pay = the amount of each individual pay divided by the number of credits wagered or the total win amount of one wagered game, including all wins in any bonus rounds, divided by the number of credits wagered E.V. = the payback percentage for the game Probability = probability of each Net Pay (B) Calculate PAR sheets utilizing theoretical analysis where feasible. When the Return To Player (RTP) percentage cannot be feasibly computed using theoretical analysis, the RTP percentage shall be computed such that the half-width of the ninety-five percent (95%) confidence interval is not more than .01%;

(C) Obtain written authorization from the commission prior to submitting any EGDs that support features which introduce independent VIs, separate from the base game VI, to an independent testing laboratory (ITL);

(D) Ensure each EGD payout that is calculated into the PAR sheet’s RTP for the game increments the appropriate coin-out, attendant-paid jackpot, attendant-paid progressive payout, or machine-paid progressive payout meter to allow for the analysis of game performance for all EGD software submitted for approval after January 1, 2014. Any features not calculated into the PAR sheet’s RTP of the game shall not increment these meters, unless otherwise approved by the commission;

(E) Ensure all base game, bonus, and progressive winnings from a wager are aggregated to determine whether the EGD payout is a reportable and/or taxable event requiring the EGD to lock up, allowing for the preparation of a W-2G and state withholdings as required by section 313.826, RSMo;

(F) Provide to the commission and Class B licensees a PAR sheet for each game theme and any additional products which utilize a random number generator (RNG) to determine game outcome. PAR sheets shall list the software identification number of the product for which the PAR sheet applies and each paytable shall include— 1. The minimum and maximum theoretical RTP;

2. An explanation of how the expected theoretical RTP was calculated for games of skill/strategy;

3. Identification of each winning combination and its award value;

4. Volatility Index; and 5. Standard confidence intervals at a confidence level of ninety-five percent (95%) with each interval showing 10,000, 100,000, 1,000,000, 10,000,000, and 100,000,000 games played;

(G) Provide to the commission the following supporting documentation for each game theme and any additional products which utilize an RNG to determine game outcome:

1. Identification of available and valid configuration options, including payline options, denominations supported, maximum bets supported, bet per line options, mandatory feature or bonus bets, and optional feature or bonus bets;

2. Progressive awards, if offered, including— A. Identification of each progressive supported;

B. The recommendation or required reset value;

C. The default incrementation rate; and D. The odds of winning each progressive;

3. List of symbols as placed on each reel strip, including actual reel stop positions for each symbol;

4. Identification of the base game top award and the odds of winning the base game top award; and 5. Identification of and frequency of obtaining all features and bonuses; and (H) Calculate the theoretical payout percentage of strategy card games such as video poker using optimal strategy.

(2) ITLs shall— (A) Independently verify the VI and RTP percentage, then detail the findings in the certification letter;

(B) Provide standard confidence intervals at a confidence level of ninety-nine percent (99%) in the certification letters using this formula— with the number of games played for each interval being 10,000, 100,000, 1,000,000, 10,000,000, and 100,000,000; and (C) Calculate the theoretical payout percentage of strategy card games such as video poker using optimal strategy.

Sept. 27, 2012, effective May 30, 2013. Amended: Filed Dec. 5, 2024, effective July 30, 2025. 1991, amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991,

11 CSR 45-5.194 Operator Content Delivery Systems {#sec-11-csr-45-5.194 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.194}

PURPOSE: This rule establishes the minimum standards for operator content delivery systems (OCDSs). The OCDSs technology authorizes video mixing technology which is displayed on the Electronic Gaming Device (EGD) monitor(s). The OCDS is limited to activities involving promotional and service windows.

(1) For the purposes of this rule, the following words are defined as— (A) Content—All images, graphics, text, and messages displayed on the electronic gaming device (EGD) game monitor(s);

(B) Game monitor(s)—The video display(s) used by an EGD;

(C) Gaming window—A window that contains the underlying content which is produced, controlled, and transmitted by the EGD critical program storage media (CPSM), displayed on the EGD game monitor(s);

(D) System window—A window that contains the underlying content, which is produced, controlled, and transmitted by a source independent of the EGD CPSM, displayed on the EGD game monitor(s); and (E) Operator content delivery systems (OCDSs)—Hardware and software which is responsible for providing content to the system window.

(2) The supplier of any OCDSs which include functionality to introduce communication messages between an EGD or its host slot accounting system, as referenced in 11 CSR 45-5.220, shall obtain a Supplier license as outlined in 11 CSR 45-4.

(3) OCDSs shall be subject to testing by the commission or a commission licensed independent testing laboratory.

(4) A system window being displayed during game play shall not, unless otherwise approved in writing— (A) Overwrite, overlap, or otherwise obscure content in the gaming window; and (B) Exceed thirty percent (30%) of the game monitor.

(5) An OCDS system window being displayed while an EGD has credits shall not obstruct the view of the credit meter.

(6) The OCDS shall— (A) Accurately remap and/or reproduce the content and equipment functionality associated with the original gaming window;

(B) Be designed in a manner which logically separates critical files from noncritical files;

(C) Be designed to permit an on-demand, independent integrity check of all files which are deemed critical to the proper operation of the OCDS by a commission licensed independent testing laboratory. The integrity check (i.e., authentication process) shall be accomplished by utilizing a commission-approved, external third-party verification tool;

(D) Perform an integrity check of all critical memory, including a self-test before any communication is established to an external device.

(7) An OCDS system window may be displayed at any time provided the window does not interfere with or impede the EGD from displaying information required by the Missouri Code of State Regulations (CSR) and Minimum Internal Control Standards (MICS).

(8) Any OCDS which interfaces with an EGD must do so in such a manner that does not adversely impact the requirements set forth by 11 CSR 45-5.270, the play of the game, operation of peripheral hardware or software on the EGD, or any slot accounting system meters.

(9) EGDs connected to an OCDS shall include a mechanism, approved by the commission, which permits the patron to close the system window, on demand, and return to the original gaming window.

(10) OCDSs shall be prohibited from delivering content which is considered a gambling game as defined in Chapter 572, RSMo, or which is otherwise prohibited by commission rules. The use of promotional giveaway credits and player reward credits as consideration in order to participate in any type of promotional activity with a chance of winning something of value would be considered a gambling game and hence prohibited. The Class B licensees shall be responsible for all content displayed in the system window.

May 26, 2011, effective Jan. 30, 2012. Amended: Filed Dec. 5, 2024, effective July 30, 2025. 1991, amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991,

11 CSR 45-5.200 Progressive Electronic Gaming Devices (EGDs) {#sec-11-csr-45-5.200 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.200}

PURPOSE: This rule establishes the requirements for progressive EGDs.

(1) A meter that shows the accurate amount of the progressive jackpot must be conspicuously displayed at or near the EGDs to which the jackpot applies.

(2) Suppliers shall have progressive reconciliation instructions and a method to adjust the current progressive award value(s) displayed, including hidden meters, for each progressive EGD, provide them to the Class B licensee, and make the instructions immediately available to the commission upon request.

(3) A licensee may impose a limit on the jackpot of a progressive EGD if the limit imposed is greater than the possible maximum jackpot payout on the EGD at the time the limit is imposed.

The licensee must inform the public with a prominently posted notice of progressive EGDs that have limits. Such notice shall clearly state the amount of the limits and must be approved by (4) A licensee shall not reduce the amount displayed on a progressive jackpot meter or otherwise reduce or eliminate a progressive jackpot unless— (A) A player wins the jackpot;

(B) The licensee adjusts the progressive jackpot meter to correct a malfunction or to prevent the display of an amount greater than a limit imposed pursuant to section (3) of this rule and the licensee documents the adjustment and the reasons for it;

(C) The licensee’s gaming operations at the establishment cease for any reason other than a temporary closure where the same licensee resumes gaming operations at the same establishment within a month;

(D) The licensee distributes the incremental amount to another progressive jackpot that does not require a larger wager on a single play to win the jackpot; or (E) The commission for good cause approves in writing a reduction, elimination, or distribution that does not meet the requirements in this rule.

(5) If the incremental amount of a progressive jackpot is moved to another EGD, the distribution shall be documented and shall occur within thirty (30) days of the jackpot being removed.

(6) Licensees shall preserve the records required by this rule for at least five (5) years after they are made.

(7) During the normal mode of progressive EGDs, the progressive controller or other approved device shall continuously monitor each EGD on the link for amounts inserted and shall multiply the accepted amounts by the rate of progression and denomination in order to determine the correct amounts to apply to the progressive jackpot. The progressive display shall be constantly updated, in a manner approved by the commission, as play on the link is continued.

(8) The expected value of winning a progressive award shall be the same within five thousandths percent (0.005%), across wagers for all themes, paytables, and denominations, as calculated by the reset value divided by the wager divided by the odds.

(9) If this rule prescribes multiple items of information to be displayed on an EGD, it is sufficient to have the information displayed in an alternating fashion.

(10) In addition to the metering requirements provided for in the Minimum Internal Control Standards (MICS), each EGD attached to one (1) or more progressive EGD meters must have a separate software meter that counts the number of times each primary progressive meter is activated.

(11) Each EGD must have a separate key and key switch to reset the progressive meter or meters or another reset mechanism (12) Unless the commission has approved the payment of prizes by installments, a licensee who has a progressive EGD must maintain minimum cash reserves in accordance with

11 CSR 45-8.150. The commission must approve all such cash reserves. Notwithstanding the provisions of 11 CSR 45-5.240 to the contrary, the commission shall require that the licensee authorized to provide a wide-area progressive system— (A) Maintain in a restricted account a reserve consisting of cash, United States Government Treasury Securities, United States Government Agency Securities, surety bonds, or Missouri state debt instruments of not less than the sum of the following amounts: {#sec-11-csr-45-8.150. omnilex-key=us-mo-regs-official--title-11--11 CSR 45-8.150.}

1. The present value of the aggregate remaining balances owed on all jackpots previously won by patrons through the wide-area progressive system; and 2. An amount sufficient to fully fund the present value of all amounts currently reflected on the progressive meters of the wide-area progressive systems; and (B) In addition, the licensee authorized to provide the widearea system shall at all times satisfy and be in compliance with the following ratios and tests:

2. An interest coverage ratio of not less than three to one (3:1);

3. Debt to EBITDA (earnings before interest, taxes, depreciation, and amortization) of not more than four to one (4:1); and 3. Satisfaction of one (1) of the following ratios and tests:

A. A current ratio of not less than two to one (2:1);

B. Working capital that is greater than twenty percent (20%) of the licensee’s total jackpot liability; or C. Working capital in excess of one hundred (100) million dollars and a credit rating from at least two (2) of the following credit rating organizations equal to or higher than the following:

(I) Standard & Poor’s Corporate BBB–;

(II) Moody’s Long-Term Baa3; or (III) Fitch Corporate BBB–.

(13) The operation of wide-area progressive EGDs is allowed only within the state of Missouri subject to compliance with all other requirements of this rule, in addition to the following conditions:

(A) The wide-area system must have the ability to monitor entry into the main door of each networked EGD as well as the logic area of each networked EGD and report it to the central system immediately;

(B) The licensee authorized to provide a wide-area progressive system shall perform a weekly reconciliation for each system provided by such licensee to ensure the jackpot amount(s) is accurate;

(C) A licensee utilizing a wide-area progressive system must suspend play on the system if a communication failure in the system cannot be corrected within a period of time approved by the commission prior to the commencement of play on the wide-area progressive system. If a communication failure occurs in a wide-area progressive system, the licensee authorized to provide the system must take a reading during the time the system is down to make sure that the jackpot amount is the same at all excursion gambling boats connected to the system before bringing the system that failed back online;

(D) The licensee authorized to provide a wide-area system must keep a log of all events for a period of at least sixty (60) days;

(E) Jackpot verification procedures must include the following:

1. When a jackpot is won, the licensee authorized to provide the wide-area system may inspect the EGD when accompanied by a gaming agent. The inspection shall include examining the critical program storage media, the error events received by the central system, and any other data which could reasonably be used to ascertain the validity of the jackpot;

2. The central system shall produce reports that will clearly demonstrate the method of arriving at the payoff amount. This shall include the amount contributed beginning at the polling cycle or data transfer immediately following the previous jackpot and will include all amounts contributed up to and including the polling cycle or data transfer, which includes the jackpot signal. Amounts contributed to the system before the jackpot message is received will be deemed to have been contributed to the progressive amount prior to the current jackpot. Amounts contributed to the system subsequent to the jackpot message being received will be deemed to have been contributed to the progressive amount of the next jackpot; and 3. The jackpot may be paid in installments as long as each EGD clearly displays the fact that the jackpot will be paid in installments. In addition, the number of installments and time between installments must be clearly displayed on the face of the EGD in a non-misleading manner that is approved by the (F) Approval by the commission of any wide-area progressive system shall occur in two (2) phases— 1. The “initial approval” stage, wherein the underlying gaming devices and any associated device or system, including all hardware and software, shall be subject to testing by the commission or an independent testing laboratory designated by the commission; and review and approval by the commission. Testing shall include examination for adherence to the regulatory and technical standards adopted by the commission; and 2. The “on-site testing” phase, wherein a field inspection is conducted at the central computer site as well as multiple field sites to ensure compliance with these rules. Operation of the system will be authorized only after the commission is satisfied that the system meets both the Phase I and Phase II testing requirements, as well as any other requirements that the commission may impose to assure the integrity, security, and legal operation of the wide-area progressive system;

(G) Any licensee authorized to provide a wide-area progressive system must supply reports to the commission which support and verify the economic activity on the system;

(H) Any licensee authorized to provide a wide-area progressive system must supply, as requested, reports and information to the commission indicating the amount of and basis for the current jackpot amount (the amount currently in play). Such reports shall include an “aggregate report” and a “detail report.”

The “aggregate report” shall show only the balancing of the system with regard to system-wide totals. The “detail report” shall be in such form as to indicate for each EGD, summarized by location, the amount-in and amount-out totals as such terms are commonly understood in the industry. In addition, upon the invoicing of any licensee participating in a wide-area progressive system, each such licensee must be given a printout of each EGD at that licensee’s establishment linked to the system, the amount contributed by each EGD to the jackpot for the period for which an invoice is remitted, and any other information required by the commission to confirm the validity of the licensee’s contributions to the jackpot amount;

(I) The licensee authorized to provide a wide-area progressive system must obtain approval from the commission as to the methods of funding the progressive prize pool and calculating and receiving payments from participating licensees for the provision of equipment and services associated with the widearea progressive system;

(J) In calculating adjusted gross receipts, a licensee may deduct its pro rata share of the present value of any progressive jackpots awarded during the month. The deducted amount shall be listed on the detailed accounting records provided by the licensee authorized to provide the wide-area progressive system. A licensee’s contribution is based on the amount-in from EGDs at that licensee’s gaming establishment which are on the wide-area progressive system, compared to the total amount-in on the whole system for the time period(s) between jackpot(s) awarded;

(K) The right to receive the jackpot payments may not be encumbered, assigned, or otherwise transferred in any way by any winner, estate, or heir(s) of a deceased winner, except to the estate or heir(s) of such person upon his or her death and that any attempt to make a prohibited transfer may result in such person forfeiting the right to receive future payments;

(L) In the event a licensee ceases operations and a progressive jackpot is awarded subsequent to the last day of the final month of operation, the licensee may not file an amended tax return or make claim for a gaming tax refund based on its contributions to that particular progressive prize pool;

(M) The central monitoring system for the wide-area progressive system must be in a location approved by the commission. The office containing the central monitoring system shall be secure and shall have surveillance coverage that has been approved by the commission. The central monitoring system shall employ online data redundancy that permits a complete and prompt recovery of all information in the event of any malfunction and utilize environmental controls such as uninterruptible power supplies and fireproof and waterproof materials to protect critical hardware and software from natural disasters. The licensee authorized to provide a wide-area progressive system shall be required to keep and maintain an entry and exit log for the office in a manner approved by the commission. The commission shall at all times have the right to immediate access to the office containing the central monitoring system and the system itself. If the licensee operating the central monitoring system proposes to locate the system outside the state of Missouri, the licensee shall reimburse the commission for all reasonable and necessary expenses incurred by its agents— 1. To travel to the site to inspect the system’s configuration and operation prior to authorizing use of the system;

2. To otherwise inspect the system location in connection with investigations concerning failures of the system or its operation; or 3. For such other reasons as the commission deems appropriate;

(N) The provider of the wide-area progressive system may not allow any agent or employee to work on any component of the system until that person has obtained a level II occupational license from the commission; however, the commission may require any agent or employee of the licensee to obtain a level I occupation license;

(O) The licensee authorized to provide a wide-area progressive system must maintain a copy of all lease and contractual agreements relating to the wide-area progressive system and supply a copy to the commission upon request;

(P) The licensee authorized to provide a wide-area progressive system shall ensure the wide-area progressive system prize fund (the amount of money contributed by the participating licensees) is audited, in accordance with generally accepted auditing standards, on the fiscal year-end of the licensee, by an independent certified public accountant licensed by the Missouri State Board of Accountancy pursuant to Chapter 326, RSMo. Two (2) copies of this report must be submitted to the commission upon issuance of the audit report or ninety (90) days after the conclusion of the licensee’s fiscal year, whichever occurs first. The cost of the audit shall be paid by the licensee providing the wide-area progressive system; and (Q) Each progressive controller linking one (1) or more widearea progressive EGDs must be housed in a double-keyed compartment. A gaming agent must be in possession of one (1) of the keys and no person may have access to the controller without the presence of a gaming agent. Wide-area progressive controllers on the Class B licensee’s premises shall not be accessed remotely and access shall only be permitted by an authorized licensee through entrance to the controller’s secured location. The progressive controller critical program storage media (CPSM) shall have a unique signature that allows verification by an agent of the commission through use of a commission-approved verification device. After verification, the CPSM shall be secured in the controller with a commission security seal. The security seal must be affixed by and may only be broken and removed by an authorized commission agent. sections 313.800 and 313.805, RSMo Supp. 2024.* Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994.

Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed Aug. 30, 1996, effective March 30, 1997.

Amended: Filed July 2, 1997, effective Feb. 28, 1998. Amended:

Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed Aug. 30, 2002, effective March 30, 2003. Amended: Filed Jan. 24, 2003, effective Aug. 30, 2003. Amended: Filed Feb. 24, 2004, effective Oct. 30, 2004. Amended: Filed Jan. 18, 2005, effective Aug. 30, 2005.

Amended: Filed Aug. 30, 2006, effective March 30, 2007. Amended:

Filed July 28, 2010, effective Feb. 28, 2011. Amended: Filed July 28, 2011, effective March 30, 2012. Amended: Filed April 25, 2019, effective Dec. 30, 2019. Amended: Filed Dec. 5, 2024, effective July 1991, amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991,

11 CSR 45-5.210 Integrity of Electronic Gaming Devices (EGDs) {#sec-11-csr-45-5.210 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.210}

PURPOSE: This rule establishes the standards for the integrity of EGDs.

(1) EGDs shall— (A) As authorized by the commission, accept only electronic cards, tickets, coupons, credits, currency, or tokens as wagers;

(B) Be electronic in design and operation and not be electromechanical or mechanical in operation;

(C) Not subject a player to physical hazards;

(D) Have a secure and dedicated data protocol link to any slot accounting system, which shall be a closed system inaccessible to unauthorized communication with any other computer, device, or mode of telecommunications unless otherwise approved by the commission;

(E) Have an on/off switch that controls the electrical current used in the operation of the EGD and any associated equipment, which shall be located in an accessible place within its interior;

(F) Be designed so that it shall not be adversely affected by magnetic, electromagnetic, electrostatic, or radio frequency interference;

(G) If designed to accept physical tokens, have at least one (1) electronic token acceptor. Token acceptors must be designed to accept designated tokens and reject others. The token acceptor on an EGD must be designed to prevent the use of cheating methods such as slugging, stringing, spooning, the insertion of foreign objects, and other manipulation. All token acceptors are subject to approval by the commission.

Tokens deemed invalid by the acceptor shall be rejected to the coin tray and shall not be counted as credits. The EGD control program must be capable of handling rapidly fed tokens or simultaneously fed tokens so that occurrences of inappropriate token-ins are prevented. Gaming devices shall have sensors capable of determining the direction and speed of token travel in the receiver and any improper direction or coin traveling at too slow of a speed shall result in the EGD going into an error condition;

(H) Be designed so the internal space of the EGD is not readily accessible when the front door is both closed and locked;

(I) Have a hopper contained in a locked area within the EGD if designed to dispense tokens. The EGD control program shall ensure the diverter directs tokens to the hopper or, in the alternative, to the drop compartment when the token level in the hopper makes contact with the diverter’s hopper-full sensor probe. Hopperless gaming devices shall always divert tokens to the drop compartment;

(J) Contain no hardware or software switches that alter the paytables or payout percentages in its operation, other than as approved by the commission and which require access to a locked logic area;

(K) Conspicuously display an identification plate with the following information securely affixed by the manufacturer to the exterior of the EGD cabinet:

1. Manufacturer;

2. Serial number;

3. Model number; and 4. Date of manufacturer;

(L) Contain the rules of play for each EGD displayed on the face or screen. Rules shall be complete, clear, and easily understood. Each EGD must also display the credits wagered and the credits awarded for the occurrence of each possible winning combination based on the number of credits wagered.

All information required by this subsection must be kept under glass or another transparent substance and at no time may stickers or other removable items be placed over this information. Additionally— 1. If the game contains a bonus feature including a game within a game, the following rules shall be met:

A. The game shall display clearly to the player which game rules apply to the current game state;

B. If the game requires obtaining several events or symbols toward a bonus feature, the number of events or symbols needed to trigger the bonus feature shall be indicated along with the number of events or symbols collected at any point;

C. The game shall not adjust the likelihood of a bonus feature occurring based on the history of prizes obtained in previous games; however, the commission may allow the likelihood to be adjusted if a white paper is submitted to and approved by the commission prior to testing by an independent testing laboratory;

D. If a bonus game is triggered after accruing a certain number of events or symbols or combination of events or symbols of a different kind, the probability of obtaining like events or symbols shall not decrease as the game progresses;

E. The game display shall make it clear to the player that the game is in a bonus mode;

2. If a bonus feature requires extra credits to be wagered and the game accumulates all winnings to a temporary win meter, the game shall— A. Provide a means where winnings on the temporary meter can be bet to allow for instances where the player has an insufficient credit meter balance to complete the feature;

B. Transfer all credits on the temporary meter to the credit meter upon completion of the feature; and C. Provide the player an opportunity not to participate;

3. If the game offers a menu of games to a player— A. The methodology employed by a player to select and discard a particular game for play shall be clearly displayed on the gaming device and easily followed;

B. The gaming device shall be able to clearly display to the player, at the player’s request, all games, game rules and paytables before the player must commit to playing any game;

C. The player shall at all times be made aware of which game has been selected for play and is being played, as applicable;

D. The player shall not be forced to play a game just by selecting that game. The player shall be able to return to the main menu;

E. It shall not be possible to start a new game before the current play is completed and all game meters have been updated;

F. The set of games offered to the player for selection or the paytable can be changed only by a secure method approved by the commission, which includes turning on and off games available for play through a video screen interface;

G. No changes to the set of games offered to the player for selection or to the paytable are permitted while there are credits on the player’s credit meter or while a game is in progress;

(M) Be capable of continuing the current game with all current game features after a malfunction is cleared. This rule does not apply if an EGD is rendered totally inoperable;

(N) If designed to accept tokens, have attached a drop bucket housed within a locked compartment separate from any other compartment of the EGD to collect and retain all tokens, diverted to the drop compartment;

(O) Be capable of detecting and displaying the following error conditions which an attendant must clear:

1. Token-in jam;

2. Token-out jam;

3. Hopper empty or time-out;

4. Program error;

5. Hopper runaway or extra token paid out;

6. Reverse token-in;

7. Reel error; and 8. Door open;

(P) Use a data communication protocol which ensures that erroneous data or signals will not adversely affect the operation of the EGD;

(Q) Display a Missouri Gaming Commission registration number permanently imprinted, affixed or impressed on the outside of each EGD;

(R) Have the capacity to display on the front of each EGD its rules of play, character combinations requiring payouts, and the amount of the related payouts. In addition, the Class B licensee shall display on each EGD either— 1. A clear description of any merchandise or thing of value offered as a payout, including the cash equivalent value of the merchandise or thing of value offered, the dates the merchandise or thing of value will be offered if the Class B licensee establishes a time limit upon initially offering the merchandise or thing of value and the availability or unavailability to the patron of the optional cash equivalent value; or 2. The name or a brief description of the merchandise or thing of value offered, provided, however, a sign containing the information specified in paragraph (1)(R)1. of this subsection shall be displayed in a prominent location approved by the commission near the EGD;

(S) Have a mechanical, electromechanical, or electronic device that automatically precludes a player from operating the EGD after a jackpot;

(T) Be designed in such a manner that the microprocessor or equivalent which operates the EGD is assigned a unique identification code, and that the critical program storage media (CPSM) is subject to authentication via an external thirdparty verification tool approved by the commission;

(U) If designed to accept currency, tickets, or coupons, have a bill validator into which a patron may insert such items in exchange for an equal value of EGD credits. EGDs containing a bill validator— 1. May accept any single denomination or combination of denominations of the following United States currency:

A. One dollar ($1) bills;

B. Five dollar ($5) bills;

C. Ten dollar ($10) bills;

D. Twenty dollar ($20) bills;

E. Fifty dollar ($50) bills; and F. One hundred dollar ($100) bills;

2. May accept tickets and coupons in compliance with established commission regulations;

3. Shall have software programs that enable the bill validator to differentiate between genuine and counterfeit bills to a high degree of accuracy;

4. Shall be equipped with a bill validator drop box to collect the currency, tickets, and/or coupons inserted and accepted by the bill validator. The bill validator drop box shall— A. Be housed in a locked compartment separate from any other compartment of the EGD;

B. Be accessible by a key that will access only the bill validator drop box and no other area of the EGD;

C. Have a slot opening through which currency, tickets, or coupons can be inserted;

D. Be readily identifiable to the EGD from which it was removed; and E. Have a separate lock to secure access to the contents of the drop box, the key to which shall not access any other area of the EGD; and 5. Shall maintain sufficient electronic metering to report the— A. Total monetary value of all items accepted;

B. Total number of all items accepted;

C. Number of bills accepted for each bill denomination;

D. Number of items accepted for each item type; and E. The last five (5) items accepted;

(V) Have a tower light or candle located conspicuously on top of the gaming device that automatically illuminates when a player has won an amount or is redeeming credits the device cannot automatically pay, an error condition has occurred, or a call attendant condition has been initiated by the player. This requirement may be substituted for an audible alarm for bartop style devices;

(W) Not contain or display the following content:

1. The performance of acts or simulated acts of sexual intercourse, masturbation, sodomy, bestiality, oral copulation, flagellation, or any sexual acts which are prohibited by law;

2. Any portion of the areola of the female breast;

3. The actual or simulated touching, caressing, or fondling of another person’s breast, anus, or genitals;

4. The actual or simulated displaying of the pubic hair, anus, vulva, or genitals;

5. Obscene language; or 6. Any other content deemed inappropriate by the (X) Not be capable of reproducing or reprinting gaming tickets; and (Y) Transfer ticket information to the database or other secured component(s) of the validation system before the ticket information is removed from memory.

(2) EGD CPSM shall not execute any functionality not intended for normal game play or tournament play, such as demonstration software or show mode features.

(3) Any EGD manufacturer holding a supplier license under the provisions of 11 CSR 45-4 et seq. shall notify the commission of any malfunction or anomaly affecting the integrity or operation of devices or systems provided under the scope of such license regardless of the gaming jurisdiction in which the malfunction or anomaly occurred or was discovered. The notification shall occur within forty-eight (48) hours of the supplier licensee being apprised of the malfunction or anomaly and shall be in a format approved by the commission.

(4) The commission shall be provided, free of charge, forensic tools which permit the recovery of non-volatile memory of EGDs approved for use. Such recovery techniques shall be satisfactory to the commission.

Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed March 31, 2005, effective Oct. 30, 2005. Amended: Filed April 25, 2019, effective Dec. 30, 2019. Amended: Filed Feb. 25, 2022, effective Sept. 30, 2022. Amended: Filed June 29, 2023, effective Feb. 29, 2024.

Amended: Filed Dec. 5, 2024, effective July 30, 2025. 1991, amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991,

11 CSR 45-5.215 Cashless, Promotional, and Bonusing Systems {#sec-11-csr-45-5.215 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.215}

PURPOSE: This rule establishes requirements for cashless, promotional, and bonusing systems. This rule also moves requirements that were incorporated by reference in 11 CSR 45- 9.121 to this rule to clarify these requirements apply to suppliers.

(1) All files which are deemed to be critical for the proper operation of cashless, promotional, and/or bonusing functionality shall be designed to permit an on-demand, independent integrity check. The integrity check (i.e., authentication process) shall be accomplished utilizing a commission approved, external third-party verification tool.

(2) Cashless and promotional systems shall perform the following minimum functions:

(A) Prohibit monetary transfers between patron accounts;

(B) Ensure all patron accounts are solely owned and accessed by one (1) account number and one (1) unique identifier per patron;

(C) Prohibit the ability to place a wager directly at a gaming device by the means of an external electronic funds transfer (EFT) to a gaming device through the use of a credit card or other external debit instrument(s);

(D) Possess the ability to flag accounts to identify Disassociated Persons and Excluded Persons;

(E) Ability to lock the patron’s account after three (3) failed personal identification number (PIN) entry attempts;

(F) Validate the identity of those devices from which a transmission is received;

(G) Monitor data for complete and accurate transmission;

(H) Detect the presence of corrupt or lost data packets and, as necessary, reject the transmission.

(3) If a player’s mobile device is used in lieu of a physical player’s card to card into a game, the wireless connection to the electronic gaming device (EGD) shall register as a card in and the break in connection shall be registered in the slot accounting system as a card out.

(4) Electronic gaming devices (EGDs) participating in the cashless system shall, at the EGD level, display the relevant informational message whenever any patron-initiated cashless transaction occurs. During the transaction, the EGD shall possess bi-directional communication and “lock” until the transfer is confirmed.

(5) Wagering account and digital wallet transfers to the EGD shall be metered using the wagering account transfer in (WAT In) meter and transfers out shall be metered using the wagering account transfer out (WAT Out) meter.

(6) Cashable credits electronically transferred from promotional accounts to the EGD shall be metered using the cashable electronic promotion in (CEP In) meter and transfers out shall be metered using the cashable electronic promotion out (CEP Out) meter.

(7) Noncashable credits electronically transferred from promotional accounts to the EGD shall be metered using the non-cashable electronic promotion in (NCEP In) meter and transfers out shall be metered using the non-cashable electronic promotion out (NCEP Out) meter.

(8) If NCEP credits are co-mingled with cashable credits on one credit meter at an EGD, the EGD shall wager the NCEP funds first.

(9) Cashless systems shall be designed to upload to the patron’s promotional account any non-wagered NCEP credits upon card out.

(10) EGDs participating in the cashless environment shall possess a combined one hundred- (100-) event log by transaction type which provides an audit trail for WAT In, WAT Out, CEP In, CEP Out, NCEP In and NCEP Out or provide a twenty-five- (25-) event log for all cashless transfers that increment the aforementioned in-meters and a twenty-five- (25-) event log for all cashless transfers that increment the aforementioned out-meters. The EGD shall provide the following information by transaction, accessible through the attendant menu:

(A) The type of transaction;

(B) The monetary value of the transaction;

(C) The time and date of the transaction; and (D) A unique transaction number, which shall be utilized to authenticate the source of funds.

(11) If online access is provided for patrons to view their account balances or transaction histories from the cashless and/or promotional system, physical or logical restrictions shall exist to provide independent operation from the cashless system.

(12) Cashless systems.

(A) Any supplier of a cashless system, or any portion thereof, shall be licensed by the commission.

(B) Cashless systems shall be designed to upload to the patron’s wagering account or digital wallet all non-wagered credits upon a card out or a break in connection between the player’s mobile device and the EGD.

(C) All cashless wagering transactions from a patron’s wagering account or digital wallet shall be initiated or authorized by the patron, except for adjustments made to correct errors.

(D) Self-limiting options shall be available for patrons who use wagering accounts and digital wallets.

(13) Bonusing systems.

(A) EGDs participating in the bonusing system shall, at the EGD level, display a clear message indicating a bonus has been won. During the transaction, the EGD shall possess bi-directional communication until the system bonus is confirmed.

(B) EGDs participating in the bonusing system shall possess a log history for the last twenty-five (25) events for monetary transactions received from the external bonus system or possess a single one hundred- (100-) event log for bonus and cashless transfers. System bonuses shall increment the machine paid external bonus payout or attendant paid external bonus payout meters. The EGD shall provide the following information by transaction, accessible through the attendant menu:

1. The type of transaction;

2. The monetary value of the transaction; and 3. The time and date of the transaction.

(14) Digital wallets.

(A) Digital wallet central servers shall possess sufficient high availability features and employ redundancy techniques to prevent loss of data.

(B) The supplier licensee offering digital wallets shall establish “terms and/or conditions” (notice) for accounts prior to activating the digital wallet. Patrons participating in the digital wallet shall receive a copy of the notice upon the establishment or activation of a digital wallet, and upon request. The notice, at a minimum, as applicable, shall include the disclosures as required by federal law and procedures for disposition of the patron’s funds in the event the patron is placed on the List of Disassociated Persons or the Exclusion List.

(C) A digital wallet shall be established by the patron online.

The process shall require the patron to access his/her player reward account online and provide, at a minimum, his/her— 1. Legal name;

2. Date of birth;

3. Email address;

4. Physical address;

5. Social Security number/tax ID number; and 6. Phone number.

(D) The supplier licensee shall use an independent thirdparty identity verification service provider when creating a digital wallet.

(E) The licensee who holds the patron’s digital wallet shall maintain liability for the funds until the patron’s digital wallet has a zero (0) balance. A patron’s digital wallet shall not be allowed to have a negative balance.

(F) The supplier of a digital wallet shall provide upon patron request with proper identification or login, his/her last thirty (30) days of digital wallet transactions. If the patron requests additional transaction history beyond the thirty (30) days, the supplier shall provide the information within seven (7) calendar days.

(G) Digital wallet providers shall retain a record of all transactions for at least five (5) years. sections 313.800, 313.805, and 313.812, RSMo Supp. 2021.* Original

rule filed Feb. 25, 2022, effective Sept. 30, 2022. amended 1992, 1993, 1994, 2005, 2014, 2016, 2021; 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021; 313.807, RSMo 1991, amended 1993, 2000, 2012; and 313.812, RSMo 1991, amended 1992, 1993, 1994, 2000, 2014, 2021.

11 CSR 45-5.220 Computer Monitoring Requirements of Electronic Gaming Devices (EGDs) {#sec-11-csr-45-5.220 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.220}

PURPOSE: This rule establishes computer monitoring requirements of EGDs.

(1) The Class B licensee must have a computer connected to all EGDs in the excursion gambling boat to record and monitor the activities of these devices. Unless otherwise approved by the commission, EGDs shall be operated online and in communications with a slot accounting system approved by the commission. This slot accounting system shall provide online, real-time monitoring and data acquisition capability in the format and media approved by the commission.

(2) The computer required by section (1) of this rule shall be designed and operated to automatically perform and report functions relating to EGD meters and other event codes and reports including— (A) Coin in (credits wagered);

(B) Bills in, tickets in, cashable electronic promotion in (CEP In), non-cashable electronic promotion in (NCEP In), and wagering account transfer in (WAT In);

(C) Coin out (credits won);

(D) Tickets out, cashable electronic promotion out (CEP Out), non-cashable electronic promotion out (NCEP Out), machine paid external bonus payout, wagering account transfer out (WAT Out), and machine paid progressive payout;

(E) Attendant paid external bonus payout, attendant paid progressive, attendant paid cancel credits, and attendant paid jackpots; and (F) Number of games played.

(3) The computer required by section (1) of this rule shall be designed and operated to— (A) Have an online computer alert and alarm monitoring capability to ensure direct scrutiny of any device malfunction, tampering, or any open door to the EGD; and (B) Identify any EGD taken offline or placed online with the slot accounting system, including the date, time, and EGD identification number.

(4) The holder of an operator’s license shall store, in machinereadable format, all information required by section (2) of this rule for the period of five (5) years. The holder of an operator’s license shall store all information in a secure area and certify that this information is complete and unaltered.

This information shall be available in the format and media (5) The commission surveillance room for the sole accessibility of commission personnel provided in accordance with these rules shall house a secured dedicated computer monitoring line which provides computer accessibility to commission personnel to review, monitor, and record data identical to that specified in this rule.

Filed June 2, 1995, effective Dec. 30, 1995. Amended: Filed June 25, 1996, effective Feb. 28, 1997. Amended: Filed Dec. 17, 1996, effective July 30, 1997. Amended: Filed May 13, 1998, effective Oct. 30, 1998.

Amended: Filed June 29, 2023, effective Feb. 29, 2024. Amended: 1991, amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991,

11 CSR 45-5.225 Request for Approval of Gaming Devices, Equipment, and Systems {#sec-11-csr-45-5.225 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.225}

PURPOSE: This rule establishes the process for requesting approval of gaming devices, equipment, and systems for use in Missouri.

This rule also addresses new technology and field trials associated with new technology.

(1) Prior to any new technology being certified for use in Missouri, the licensee shall consult with the commission to ensure such new technology would be compliant with Missouri rules, regulations, and statutes.

(2) Prior to any associated system being certified for use in Missouri, the licensee shall submit a document to the commission listing all applicable regulations and how the system complies with each. The document shall be updated with any applicable rule changes or system modifications and submitted to the commission.

(3) The commission is the sole approval authority for all gaming devices, associated equipment, associated systems, bill validators, ticket printers, shufflers, and progressive controllers.

After submitting a request for approval, the licensee must receive an authorization letter from the commission before such gaming devices, associated equipment, associated systems, bill validators, ticket printers, shufflers, and progressive controllers are considered “approved” for use in the state of Missouri.

(4) Gaming devices, associated equipment, associated systems, bill validators, ticket printers, shufflers, and progressive controllers shall be tested and certified by a licensed independent testing laboratory (ITL) prior to submitting a request for approval as required in this rule. Gaming devices, associated equipment, associated systems, bill validators, ticket printers, shufflers, and progressive controllers shall comply with the applicable Missouri statutes, regulations, and Minimum Internal Control Standards.

(5) The licensee submitting a request for approval of a gaming device, associated equipment, associated system, bill validator, ticket printer, shuffler, or progressive controller shall do so through the commission’s electronic portal.

(A) All information in the request shall be complete and accurate. If any information is later determined to be inaccurate, the licensee shall immediately notify the commission. The request shall include the following:

1. ITL’s certification documentation;

2. A complete list of hardware and software modifications requested for approval;

3. Test Script version number used by the ITL for testing;

4. Probability Accounting Report (PAR) sheets, if applicable;

5. Documentation describing the installation, configuration, and operating procedures;

6. The applicable functionality being requested; and 7. Any additional supplemental documentation clarifying the technology requested for approval (e.g., white paper).

(B) Additional information may be requested by the commission at any time, including the digital image(s) (critical executable files) of the production version of the device or system.

(C) The submitting licensee shall digitally sign a statement that the product meets all regulatory requirements.

(6) The commission may make a preliminary, nonbinding determination whether any new gaming device, associated shuffler, or progressive controller meets the Missouri rules, regulations, and statutes. At the commission’s sole discretion, the commission may require any new gaming device, associated shuffler, or progressive controller to be tested in a field trial environment(s) at a licensed gaming establishment(s). Each field trial shall be conducted for at least thirty (30) calendar days and no more than one hundred eighty (180) calendar days under terms and conditions that the commission may approve or require. The supplier shall submit a report to the commission every thirty (30) days detailing the performance of the product being tested, exception reports outlining any exception codes triggered, a list of customer complaints and inquiries regarding the performance, and other items as determined by the commission. A field trial may be terminated at any time, in which case the new gaming device, associated shuffler, or progressive controller will not be approved as a result of such field trial.

(7) The licensee manufacturing or offering any new gaming device, associated equipment, associated system, bill validator, ticket printer, shuffler, or progressive controller shall be responsible for providing, in a format acceptable to the commission, electronic training modules denoting interrelationships between approved gaming devices and associated hardware/software and the systems. Subject-matter expert(s) may be requested for training as determined necessary by the commission. All costs associated with providing personnel and equipment shall be borne by the licensee.

(8) The testing, review, and approval shall be required prior to the implementation of any new gaming device, associated shuffler, or progressive controller. Once implemented, testing, review, and approval shall be required prior to any changes.

Testing, review, and approval may be required at any other time the commission deems appropriate.

Jan. 30, 2014, effective Sept. 30, 2014. Amended: Filed Feb. 25, 2022, effective Sept. 30, 2022. Amended: Filed Dec. 5, 2024, effective July 1991, amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991,

11 CSR 45-5.230 Approval and Registration of Electronic Gaming Devices (EGDs) {#sec-11-csr-45-5.230 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.230}

PURPOSE: This rule establishes requirements regarding the approval and registration of EGDs.

(1) The commission will review all EGDs for proper mechanical and electronic functioning. Before approval of an EGD, the commission may employ the services of an independent testing laboratory (ITL) to evaluate the device.

(2) After completing evaluations of the EGD, the commission may approve the EGD for registration.

(3) The Class B licensee shall not operate any EGD unless it is currently registered with the commission and has a commission registration number affixed to it.

(4) The Class B licensee shall not alter the operation of registered EGDs and shall maintain the EGDs in a suitable condition. Each Class B licensee shall keep a written list in the Machine Entry Authorization Log of any repairs made to an EGD offered for play to the public. Repairs include, without limitation, replacement of parts that may affect the game’s outcome. The Class B licensee shall make the list available for inspection by the commission upon request.

(5) The Class B licensee shall keep an EGD log, including the date of receipt; the serial number; the commission registration number; and effective July 30, 2025, the date of disposal for each EGD.

(6) The Class B licensee shall not dispose of any EGD without prior written approval of the commission. sections 313.800 and 313.805, RSMo Supp. 2024.* Emergency 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, Jan. 31, 1994. Amended: Filed May 13, 1998, effective Oct. 30, 1998.

Amended: Filed June 29, 2023, effective Feb. 29, 2024. Amended: 1991, amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991,

11 CSR 45-5.235 Analysis of Questioned Electronic Gaming {#sec-11-csr-45-5.235 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.235}

PURPOSE: This rule establishes the process for the analysis of questioned EGDs.

(1) If the operation of any EGD is questioned due to an unexplainable game event or graphic anomaly by any Class B licensee, patron, or commission agent, the questioned device shall be examined in the presence of a commission agent and a representative of the Class B licensee. If the question cannot be resolved, the EGD shall be evaluated as determined by the (2) If the evaluation is inconclusive, a commission agent may require the EGD be removed from service and secured in a locked area to preserve its forensic integrity. The EGD may then be transported to a licensed independent testing laboratory (ITL) where the device will be fully analyzed to determine the status and cause of the malfunction. All costs for transportation and analysis shall be borne by the Class B licensee. sections 313.800 and 313.805, RSMo Supp. 2024.* Emergency 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, Jan. 31, 1994. Amended: Filed May 13, 1998, effective Oct. 30, 1998.

Amended: Filed Aug. 31, 2023, effective March 30, 2024. Amended: 1991, amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991,

11 CSR 45-5.237 Shipping of Electronic Gaming Devices, Gaming Equipment, or Supplies {#sec-11-csr-45-5.237 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.237}

PURPOSE: This rule requires licensees to obtain Missouri Gaming Commission approval prior to shipping electronic gaming devices into, out of, or within the state.

(1) Licensees shipping electronic gaming devices or gaming equipment/supplies as defined in 11 CSR 45-1.090, with the exception of critical program storage media and progressive controllers as defined in 11 CSR 45-1.090, into, out of, or within Missouri, must file a request at least five (5) calendar days prior to such shipment. The request shall include the following information, if applicable:

(A) Shipper’s Name;

(B) Shipper’s Address;

(C) Shipper’s License Number;

(D) Submission Date;

(E) Shipping Date;

(F) Shipper’s Contact Information;

(G) Recipient’s Name;

(H) Recipient’s License Number;

(I) Item Type and Description (i.e. color, artwork number, size, finish, card type, cabinet/hardware, part number, model number, serial number, manufacturer);

(J) Invoice/Sales Order Number;

(K) Destination Name;

(L) Destination Address;

(M) Destination Contact Information;

(N) Quantity of Each Item; and (O) Estimated Arrival Date.

(2) The licensee shall receive MGC approval of the request prior to shipping the listed items.

(3) Critical program storage media shall be approved for use in the state prior to shipment.

Filed April 3, 2001, effective Oct. 30, 2001. Amended: Filed Oct. 31, 2005, effective May 30, 2006. Amended: Filed June 19, 2006, effective Feb. 28, 2007. Amended: Filed Oct. 31, 2013, effective June 30, 2014. Amended: Filed April 25, 2019, effective Dec. 30, 2019. amended 1993, 1994, 2000; and 313.807, RSMo 1991, amended 1993, 2000.

History

• AUTHORITY: sections 313.004, 313.805, and 313.807, RSMo 2016. Original rule filed Sept. 2, 1997, effective March 30, 1998. Amended:

11 CSR 45-5.240 Periodic Payments {#sec-11-csr-45-5.240 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.240}

PURPOSE: This rule establishes the process of periodic payments.

(1) Except as provided in this rule, a holder of a Class B license shall remit the total winnings and noncash prizes awarded to a patron as the result of any licensed game, tournament, contest, or promotional activity upon validation of the win.

(2) For the purpose of this rule, the following words have the following meanings:

(A) Independent financial institution means— 1. A financial institution licensed by Missouri or a national institution with an office in Missouri; or 2. An insurance company admitted to transact insurance in Missouri with an A.M. Best Insurance rating of A or another equivalent rating; and 3. One which is not affiliated through common ownership with a gaming licensee;

(B) Periodic payments means a series of payments that are paid at least annually; and (C) Trust means an irrevocable fiduciary relationship in which one (1) person is the holder of the title to property subject to an equitable obligation to keep or use the property for the benefit of another.

(3) Periodic payments of winnings and noncash prizes awarded to a patron as a result of any licensed game, tournament, contest, or promotional activity may be made if the method of funding the periodic payments provides these payments to a winning patron by establishing— (A) An irrevocable surety bond or an irrevocable letter of credit with an independent financial institution which provides periodic payments to a winner should the licensee default for any reason. The written agreement establishing an irrevocable surety bond or the irrevocable letter of credit shall be submitted to the commission for approval;

(B) An irrevocable trust with an independent financial institution in accordance with a written trust agreement approved by the commission, which provides periodic payments from an unallocated pool of assets to winning patrons which must expressly prohibit the winners from encumbering, assigning or otherwise transferring in any way their rights to receive the deferred portion of the winnings except to their estates. The assets of the trust must consist of federal government securities including but not limited to treasury bills, treasury bonds, savings bonds or other federally guaranteed securities in an amount sufficient to meet the periodic payment(s) as required; or (C) Another irrevocable method of providing the periodic payments to a winning patron consistent with the purpose of this rule and which is approved by the commission.

(4) The funding of the periodic payments must be completed within thirty (30) days of the date the patron wins or is awarded a prize.

(5) Periodic payments must not be used for winnings of or noncash prizes worth one hundred thousand dollars ($100,000) or less. Periodic payments for total amounts won greater than one hundred thousand dollars ($100,000) shall be paid as follows:

(A) For amounts won greater than one hundred thousand dollars ($100,000), but less than two hundred thousand dollars ($200,000), payments must be at least ten thousand dollars ($10,000) annually;

(B) For amounts won of two hundred thousand dollars ($200,000) or more, payments must be no less than onetwentieth (1/20) of the total amount annually; and (C) The first payment must be made upon validation of the win.

(6) Periodic payments of noncash prizes may only be offered if the patron shall have the right to elect whether to receive the noncash prize or cash equivalent of the noncash prize each time a periodic payment is to be made. The cash equivalent shall be the actual cost to the licensee of the noncash prize on the day the prize is won. The amount of the periodic payments to be funded shall be determined by the present value of the cash equivalent of the noncash prize.

(7) For any licensed game, tournament, contest or promotional activity for which periodic payments are utilized, the licensee must display signs on each gaming device or, if no gaming device is used, then the licensee must display signs in each gaming, promotional, tournament, or contest area specifically setting forth either the amount or terms of the payment to be made each time a periodic payment is to be made. The licensee must include in all radio, television, or print advertising regarding the activities set forth in this section, the fact that periodic payments are utilized for total amounts offered as a prize to a patron.

(8) Whenever there is an award of winnings to be made by periodic payments, and the Class B licensee fails to fund the periodic payments as required by this rule, the licensee shall immediately notify the commission in writing and shall immediately cease offering any licensed game, tournament, contest, or promotional activity for which periodic payments are utilized. 1991, amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991,

11 CSR 45-5.250 Finder’s Fees {#sec-11-csr-45-5.250 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.250}

rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994.

Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994.

Amended: Filed May 13, 1998, effective Oct. 30, 1998. Rescinded:

Filed Dec. 7, 2017, effective July 30, 2018.

History

• AUTHORITY: sections 313.004 and 313.805, RSMo 1994. Emergency

11 CSR 45-5.260 Dice Specifications {#sec-11-csr-45-5.260 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.260}

PURPOSE: The purpose of this rule is to establish minimum standards for dice used for gambling games.

(1) Except as otherwise provided in section (2), each die used in gaming shall— (A) Be formed in the shape of a perfect cube and of a size no smaller than .750 of an inch (.750") on each side nor any larger than .775 of an inch (.775") on each side;

(B) Be transparent and made exclusively of cellulose except for the spots, name or trade name of the Class B licensee and serial numbers or letters contained thereon;

(C) Have the surface of each of its sides perfectly flat and the spots contained in each side perfectly flush with the area surrounding them;

(D) Have all edges and corners perfectly square and forming perfect ninety degree (90°) angles;

(E) Have the texture and finish of each side exactly identical to the texture and finish of all other sides;

(F) Have its weight equally distributed throughout the cube and no side of the cube heavier or lighter than any other side of the cube;

(G) Have its six (6) sides bearing white circular spots from one to six (1)–(6) respectively with the diameter of each spot equal to the diameter of every other spot on the die;

(H) Have spots arranged so that the side containing one (1) spot is directly opposite the side containing six (6) spots, the side containing two (2) spots is directly opposite the side containing five (5) spots and the side containing three (3) spots is directly opposite the side containing four (4) spots; each spot shall be placed on the die by drilling into the surface of the cube and filling the drilled out portion with a compound which is equal in weight to the weight of the cellulose drilled out and which forms a permanent bond with the cellulose cube, and shall extend into the cube exactly the same distance as every other spot extends into the cube to an accuracy tolerance of .0004 of an inch (.0004"); and (I) Have the name or trade name of the Class B licensee in which the die is being used imprinted or impressed thereon.

(2) Each die used in gaming at pai gow poker shall comply with the requirements of section (1) except as follows:

(A) Each die shall be formed in the shape of a perfect cube not larger than .8 of an inch (.8") on each side;

(B) Instead of the name or trade name of the Class B licensee, the commission may approve an identifying mark or logo to be imprinted or impressed on each die;

(C) The spots on each die do not have to be equal in diameter;

(D) Edges and corners may be beveled so long as beveling is similar on each edge and each corner; and (E) Tolerances required by subsection (1)(H) of this regulation as applied to pai gow poker dice shall require accuracy of only .004 of an inch (.004").

(3) Dice designs shall be submitted by the Class B licensee to the commission and must be approved by the commission prior to use.

Filed Feb. 19, 1998, effective Aug. 30, 1998. Amended: Filed May 13, 1998, effective Jan. 30, 1999. Amended: Filed July 31, 2014, effective Feb. 28, 2015. Amended: Filed April 26, 2018, effective Dec. 30, 2018. amended 1993, 1994, 2000, 2008, 2010; and 313.830, RSMo 1991, amended 1993, 2000, 2010, 2014.

History

• AUTHORITY: sections 313.004, 313.805, and 313.830, RSMo 2016. Original rule filed Dec. 17, 1996, effective Aug. 30, 1997. Amended:

11 CSR 45-5.265 Dice—Receipt, Storage, Inspections, and Removal from Use {#sec-11-csr-45-5.265 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.265}

PURPOSE: The purpose of this rule is to establish procedures for the handling of dice within the gambling operation other than dice used in pai gow poker.

(1) When dice are received for use in the facility from a licensed supplier, the boxes shall be promptly inspected and the dice shall be stored in a primary or secondary storage area by at least two (2) employees, one (1) of whom shall be from the table games department and the other from the security department. The primary storage area shall be located in a secure place, the location and physical characteristics of which shall be approved by the commission. Secondary storage areas, if needed, shall be used for the storage of surplus dice. Dice maintained in secondary storage areas shall be transferred to the primary storage area before being distributed to the pits or tables. All secondary storage areas shall be located in secure areas, the location and physical characteristics of which shall be approved by the commission.

(2) All primary and secondary storage areas shall have two (2) separate locks. The security department shall maintain one (1) key and the table games department shall maintain the other key; provided, however, that no person employed by the table games department below the pit manager or poker room manager in the organizational hierarchy shall have access to the table games department key for the primary and secondary storage areas.

(3) Immediately prior to the commencement of each gaming day and at other times as may be necessary, the pit manager, poker room manager, or supervisor thereof, in the presence of a security officer, shall remove the appropriate number of dice from the primary storage area for that gaming day.

(4) Once removed from the primary storage area, the pit manager, poker room manager, or supervisor thereof, in the presence of a security officer, shall take the dice to the pit(s) and distribute the dice to the floor supervisor(s) or directly to the boxperson at each table.

(A) At any time prior to being introduced into play and in the presence of the floor supervisor, a boxperson at each craps table or another floor supervisor shall inspect the dice on a flat surface at the craps table or pit stand with a micrometer or any other approved instrument approved by the commission which performs the same function, a balancing caliper, a steel set square and a magnet to ensure that the dice are in a condition to ensure fair play and otherwise conform to sections 313.800 to 313.850, RSMo and the rules of the commission.

These instruments shall be kept in a compartment at a craps table or pit stand and shall be at all times readily available for use by the commission upon request.

(B) Following this inspection the boxperson shall in the presence of the floor supervisor place the dice in a cup on the table for use in gaming, and at all times while the dice are at the table, they shall never be left unattended. If the dice are inspected by a floor supervisor for future use that gaming day, the floor supervisor shall, in the presence of another floor supervisor, place the inspected dice in a single locked compartment in the pit stand.

(C) The pit manager shall place extra dice for dice reserve in a single locked compartment in the pit stand separate from any pre-inspected dice. The floor supervisor or above shall have access to the extra dice to be used for that gaming day.

(D) No dice taken from the reserve shall be used for actual gaming unless the dice are inspected in accordance with this

rule.

(5) The Class B licensee shall remove any dice from use any time there is any indication of tampering, flaws, or other defects that might affect the integrity or fairness of the game, or at the request of the commission.

(6) At the end of each gaming day and at such other times as may be necessary, a floor supervisor, other than the person who originally inspected the dice shall visually inspect each die for evidence of tampering. Such evidence discovered at this time or at any other time shall be immediately reported to the (A) Any die showing evidence of tampering shall be placed in a sealed envelope or container in a secure place within the pit until collected by a security officer.

1. A label shall be attached to each envelope or container which shall identify the table number, date, and time and shall be signed by the boxperson and floor supervisor.

2. A Card/Dice Discrepancy Report shall be completed.

The Card/Dice Discrepancy Report and the damaged die shall be maintained in a secure place within the pit until collected by a security officer. The Card/Dice Discrepancy Report shall be delivered to the MGC agent on duty for signature. Once completed, security shall retain one (1) copy of the report.

(B) All other dice shall be put into envelopes or containers at the end of each gaming day.

1. A label shall be attached to each envelope or container which shall identify the table number, date, and time and shall be signed by the boxperson and floor supervisor.

2. The envelope or container shall be appropriately sealed and maintained in a secure place within the pit until collected by a security officer.

(7) At the end of each gaming day or, in the alternative, at least once each gaming day at the same time each day, as designated by the Class B licensee and approved by the commission, and at such other times as may be necessary, a table games supervisor or above shall collect all extra dice in dice reserve.

(A) All extra dice in dice reserve that are to be destroyed or cancelled shall be placed in a sealed envelope or container, with a label attached to each envelope or container which identifies the date and time and is signed by the table games supervisor or above.

(B) All extra dice in dice reserve that are not to be destroyed or cancelled shall be returned to primary storage.

(8) At the end of each gaming day or, in the alternative, at least once each gaming day at the same time each day, as designated by the Class B licensee and approved by the commission, and at such other times as may be necessary, a security officer shall collect— (A) All envelopes or containers of used dice and any dice in dice reserve that are to be destroyed or cancelled and shall transport them to the card and dice inspection room for cancellation or destruction;

(B) All extra dice in dice reserve that are not to be destroyed or cancelled and shall transport them to primary storage; and (C) All copies of Card/Dice Discrepancy Reports.

(9) No dice that have been placed in a cup for use in gaming shall remain on a table for more than twenty-four (24) hours.

(10) The Class B licensee shall submit to the commission for approval procedures for— (A) A dice inventory system which shall include, at a minimum, the recordation of the following:

1. The balance of dice on hand;

2. The dice removed from storage;

3. The dice returned to storage or received from the 4. The date of the transaction; and 5. The signatures of the individuals involved.

(B) A reconciliation on a daily basis of the dice distributed, the dice destroyed and cancelled, the dice returned to the primary storage area; and (C) A physical inventory of the dice at least once each calendar quarter.

1. This inventory shall be performed by an employee from the compliance or accounting department and shall be verified to the balance of dice on hand as recorded on the inventory ledger.

2. The employee conducting this inventory shall make an entry and sign the Cards/Dice Inventory Ledgers in a manner that clearly distinguishes this count as the independent inventory.

3. Any discrepancies shall immediately be reported to the (11) Dice placed on a gaming table shall be cancelled and/or destroyed within a week.

(A) Cancellation shall occur by drilling a circular hole of at least three-sixteenths of one inch (3/16") in diameter through the center of each die or other method approved by the (B) Destruction shall occur by shredding or other method (C) The destruction and cancellation of dice shall take place in a secure place, the location and physical characteristics of which shall be approved by the commission.

(12) This rule shall not apply to pai gow poker dice.

Filed Jan. 20, 2022, effective Sept. 30, 2022. amended 1992, 1993, 1994, 2000, 2008, 2010, 2021; and 313.830, RSMo 1991, amended 1992, 1993, 2000, 2010, 2014.

History

• AUTHORITY: sections 313.004 and 313.830, RSMo 2016, and section 313.805, RSMo Supp. 2021. Original rule filed Dec. 17, 1996, effective Aug. 30, 1997. Amended: Filed Feb. 19, 1998, effective Aug. 30, 1998. Amended: Filed Feb. 28, 2007, effective Oct. 30, 2007.

11 CSR 45-5.270 Safety Standards for Electronic Gaming {#sec-11-csr-45-5.270 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.270}

PURPOSE: This rule establishes safety standards for EGDs.

(1) All Supplier licensees shall ensure that all EGDs meet the following safety requirements:

(A) Electrical and mechanical parts and the design of the EGD must not subject a player to physical hazards;

(B) Spilling a conductive liquid on the EGD must not create a safety hazard or alter the integrity of the EGD’s performance;

(C) The power supply used in an EGD must be designed to allow minimum leakage of current in the event of an intentional or inadvertent disconnection of the alternating current power ground; and (D) EGDs shall have an Underwriters Laboratories certification or an equivalent certification.

(2) Each Class B licensee shall ensure that a surge protector is installed on each EGD that is in operation on the excursion gambling boat. Surge protection can be internal to the power supply or external.

(3) A battery backup device must be installed and capable of maintaining accurate electronic meter information after power is discontinued from the EGD. The device must be kept within the locked or sealed logic board compartment and be capable of sustaining stored information for one hundred eighty (180) days.

Feb. 19, 1997, effective Aug. 30, 1997. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed Jan. 5, 1998, effective July 30, 1999. Amended: Filed June 29, 2023, effective Feb. 29, 2024.

Amended: Filed Dec. 5, 2024, effective July 30, 2025. 1991, amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991,

11 CSR 45-5.280 Forfeiture of Illegal Winnings {#sec-11-csr-45-5.280 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.280}

Original rule filed Nov. 10, 1997, effective June 30, 1998. Amended:

Filed May 13, 1998, effective Oct. 30, 1998. Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

History

• AUTHORITY: section 313.832, RSMo 1994. Emergency rule filed Nov. 10, 1997, effective Nov. 20, 1997, expired May 18, 1998.

11 CSR 45-5.290 Bingo Games {#sec-11-csr-45-5.290 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.290}

PURPOSE: This rule prohibits casinos from conducting bingo games on excursion gambling boats.

(1) The following words and terms, when used in this rule, shall have the following meanings:

(A) “Bingo games,” all games commonly known as bingo as defined in section 313.005(1), RSMo, and any variation thereof, including but not limited to electronic bingo games, bingo games played on electronic gaming devices, and promotional bingo games;

(B) “Promotional bingo games,” all bingo games offered by a Class B licensee to their patrons in order to directly or indirectly promote the licensee’s gambling games, whether or not the licensee receives consideration from the patrons playing the bingo games.

(2) Notwithstanding any other provision of this chapter to the contrary, no Class B licensee may conduct bingo games on an excursion gambling boat.

History

• AUTHORITY: section 313.004, RSMo 2016, and sections 313.800 and 313.805, RSMo Supp. 2023. Original rule filed Dec. 7, 2001, effective June 30, 2002. Amended: Filed July 9, 2004, effective Jan. 30, 2005. Amended: Filed June 29, 2023, effective Feb. 29, 2024. amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; and 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022.

11 CSR 45-5.300 Progressive Table Games {#sec-11-csr-45-5.300 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.300}

PURPOSE: This rule establishes the requirements for offering progressive table games.

(1) A meter that shows the accurate amount of the progressive jackpot must be conspicuously visible to the players at each table game to which the jackpot applies.

(2) A licensee shall not reduce the amount displayed on a progressive jackpot meter or otherwise reduce or eliminate a progressive jackpot unless— (A) A player wins the jackpot;

(B) The licensee adjusts the progressive jackpot meter to correct a malfunction and the licensee documents the adjustment and the reasons for it;

(C) The licensee’s gaming operations at the establishment cease for any reason other than a temporary closure where the same licensee resumes gaming operations at the same establishment within a month;

(D) The licensee distributes the incremental amount to another table game progressive jackpot as approved in writing by the commission and— 1. The licensee documents the distribution;

2. Any table game offering the jackpot to which the licensee distributes the incremental amount does not require that more money be played on a single play to win the jackpot than the table game from which the incremental amount is distributed; and 3. The distribution is completed within thirty (30) days after the progressive jackpot is removed from play or within a longer period as the commission for good cause may approve; or (E) The commission for good cause approves in writing a reduction, elimination, distribution, or procedure not otherwise described in this section.

(3) Licensees shall preserve the records required by this rule for at least five (5) years after they are made unless the commission approves otherwise in writing. The records should be stored in a location acceptable to the commission.

(4) During the normal mode of progressive table games, the progressive controller, or other approved device, must continuously monitor each table gaming position on the link for the progressive amounts wagered and must multiply the accepted amounts by the rate of progression in order to determine the correct amounts to apply to the progressive jackpot. The progressive display must be constantly updated, in a manner approved in writing by the commission, as play on the link is continued.

(5) Progressive games shall not be used across multiple table games unless— (A) The progressive monitoring system separately and accurately accounts for the total number of progressive wagers for each table game and all games offered for play contribute to the progressive jackpot;

(B) The odds of attaining the winning combination are the same for each game; and (C) Each game requires the same wager amount to win the progressive jackpot.

(6) The odds of winning a progressive jackpot shall not be greater than one in fifty million (1:50,000,000) unless specifically approved in writing by the commission.

(7) Each progressive controller must be housed in a secure, locked location which allows only authorized accessibility and which contains an EGD Machine Entry Access Log (MEAL Book) that is completed by any person gaining access to the secured location. Both the location housing progressive controllers and the form on which entry is logged shall be approved by the commission prior to use. The storage medium that contains the progressive controller program shall have a unique signature that allows program verification by an agent of the commission through use of a commission-approved verification device. After verification the storage medium shall be secured in the controller with a commission security seal.

The security seal must be affixed by and may only be broken and removed by an authorized commission agent. Normal operation of progressive gaming devices notwithstanding, communication to a progressive controller shall be permitted only by authorized personnel through access to the controller’s secured location and who document such access and the

purpose therefore on the MEAL Book.

(8) Each type of progressive game must have a unique key used to reset the progressive meter(s) or another reset mechanism (9) Unless the commission has approved the payment of prizes by installments, a licensee who has a progressive table game must maintain minimum cash reserves in accordance with

11 CSR 45-8.150. The commission must approve all such cash reserves. {#sec-11-csr-45-8.150. omnilex-key=us-mo-regs-official--title-11--11 CSR 45-8.150.}

(10) Progressive jackpots shall not be shared between multiple Class B licensees.

History

• AUTHORITY: section 313.004, RSMo 2016, and sections 313.800 and 313.805, RSMo Supp. 2024. Original rule filed July 28, 2010, effective Feb. 28, 2011. Amended: Filed Dec. 5, 2024, effective July amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; and 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022.

11 CSR 45-5.400 Junket, Junket Enterprises, Junket Representatives—Definitions {#sec-11-csr-45-5.400 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.400}

4.500. Original rule filed Aug. 3, 2009, effective March 30, 2010.

11 CSR 45-5.410 Junket Enterprise; Junket Representative; {#sec-11-csr-45-5.410 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.410}

Agents; Employees—Policies and Prohibited Activities 4.530. Original rule filed Aug. 3, 2009, effective March 30, 2010.

11 CSR 45-5.420 Junket—Agreements and Final Reports {#sec-11-csr-45-5.420 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-5.420}

4.540. Original rule filed Aug. 3, 2009, effective March 30, 2010.

Chapter 6 Safety and Environment Standards and Inspections

11 CSR 45-6.010 Safety and Environment {#sec-11-csr-45-6.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-6.010}

PURPOSE: This rule establishes requirements for safety and environment.

(1) The licensee shall maintain the excursion gambling boat in a physically safe and environmentally sound manner so as to protect the health and welfare of all employees and passengers as well as the environment and water quality.

(2) The licensee shall provide annually to the commission a safety plan for the operation of the excursion gambling boat. The safety plan shall comply with all applicable federal, state, and local laws, and shall include the following:

(A) Training of designated employees to ensure the life safety of the public, to include:

1. A description of the training;

2. The frequency of the training; and 3. Documentation of all training;

(B) Self-inspection procedures to ensure compliance with life safety standards;

(C) Procedures to ensure disabled persons access to the boat; and (D) An Emergency Operations/Response Plan (EOP) that ensures the safety and, when applicable, evacuation of excursion gambling boat employees and guests, to include the disabled, in the event of an emergency within or immediately around the excursion gambling boat. The EOP shall include, but not be limited to, response plans to the following:

1. Medical emergency;

2. Fire;

3. Explosion;

4. Elevator failure;

5. Chemical/biological threat;

6. Person overboard;

7. Tornado and/or severe weather;

8. Flooding;

9. Earthquake;

10. Power failure;

11. Civil disturbance;

12. Bomb threat;

13. Armed intruders/robbery/hostage situations; and 14. Terrorism.

(3) The licensee shall provide annually to the commission an environmental plan for the operation of the excursion gambling boat.

The environmental plan shall comply with all applicable federal, state, and local laws, and shall include the following:

(A) Training of designated employees to ensure the protection of the environment and water quality;

(B) Self-inspection procedures to ensure compliance with environmental and water quality standards; and (C) Procedures to ensure safe methods for sewage treatment and discharge and disposal of solid waste.

Sept. 1, 1993, effective Sept. 20, 1993, Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended:

Filed March 18, 1996, effective Oct. 30, 1996. Amended: Filed April 26, 2018, effective Dec. 30, 2018.

11 CSR 45-6.020 Safety Standards {#sec-11-csr-45-6.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-6.020}

PURPOSE: This rule establishes safety standards.

(1) For the purposes of this chapter, the following definitions shall apply:

(A) Certificate of inspection—a finding of compliance with requirements of all applicable laws and regulations that is issued to a licensee operating an excursion gambling boat by a third-party examiner;

(B) Permanently moored vessel—a vessel out of navigation that has become substantially a land structure mounted on a floating platform and subject to land based building codes rather than marine inspection laws;

(C) Continuously moored vessel—a vessel formerly self-propelled which previously cruised navigable waters but has now been determined by the United States Coast Guard to be continuously docked and removed from navigation; and (D) Third party examiner—an individual or entity specifically approved by the commission to conduct safety inspections as required by Missouri laws and rules.

(2) Third Party Examiner.

(A) At a minimum the third party examiner must provide evidence of experience with similar inspection services on similar vessels, financial responsibility in a minimum amount of one (1) million dollars each in general liability insurance, Worker’s Compensation, and longshoreman’s insurance (if required by law), and meet at least the following criteria:

1. Inspectors for superstructure and life safety systems must have at least five (5) years of experience in work directly relating to the design and/or fabrication and/or inspection of similar vessels, and knowledge of the fire safety standards of the Missouri laws and rules, as well as the building and fire codes adopted within the jurisdiction where the structure will be placed into service and be one (1) of the following:

A. An architect licensed in the state of Missouri with at least five (5) years of experience in work directly relating to the design and/or inspection of similarly sized vessels;

B. A professional engineer licensed in the state of Missouri with at least five (5) years of experience in work directly relating to the design and/or inspection of similarly sized vessels; or C. An architect or qualified engineer with a regulatory and review agency; and 2. Marine surveyors for hull inspections must have at least ten (10) years of experience in marine surveying work associated with the inspection of similar vessels and be one (1) of the following criteria:

A. An architect licensed in the state of Missouri;

B. A professional engineer licensed in the state of Missouri; or C. A marine surveyor with a regulatory and review agency.

(3) Fire Safety and Building Code Standards.

(A) Any excursion gambling boat that is continuously docked pursuant to section 313.805(16), RSMo will be required to meet— 1. The fire safety standards of the Missouri laws and rules; and 2. The building and fire codes adopted within the jurisdiction where the structure will be placed into service.

(4) Certification of Passenger-Carrying Capacity.

(A) A stability test shall be conducted by the licensee in accordance with 46 CFR, sub-

chapter S, part 170. This test shall be witnessed by a third party examiner. In lieu of a stability test, the licensee may elect to perform a Deadweight Survey to determine the Lightweight Displacement and Longitudinal Center of Gravity. The Vertical Center of Gravity shall be determined by a conservative estimate, subject to approval by a third party examiner.

(B) All permanently moored or continuously moored vessels shall be required to comply with— 1. One (1) compartment standard of flooding, as outlined in 46 CFR section 171.070, regardless of the passenger capacity of the vessel; and 2. Damage Stability Standards of 46 CFR section 171.080. Additionally, all vessels must comply with requirements for Stability After Damage (Damaging Righting Energy Criteria) as may be acceptable at that time to the United States Coast Guard, for certified passenger vessels.

(C) All stability calculations required by this rule shall be furnished by the licensee to a third party examiner, for review and approval by that examiner. All vessels must have a letter from a third party examiner stating compliance with these criteria.

(5) Certification of Certain Barges, Floating Platforms, and Vessels Other Than Excursion Gambling Boats.

(A) All barges, floating platforms, and vessels that will be used in conjunction with a riverboat gaming operation shall be inspected and certified as suitable for their intended use prior to being placed into service, and annually thereafter. The certification shall be performed by a third party examiner. The minimum standards for floating platform and/or hull integrity shall be found in Title 46 CFR,

Chapter I.

(B) Any structure constructed on any barge, floating platform, or vessel that will be normally occupied by persons, and used in conjunction with a riverboat gaming operation shall meet the building and fire codes adopted within the jurisdiction where the structure will be placed into service.

(C) The certification conformance and inspections required by this rule shall be submitted in writing to the commission prior to the barge, floating platform, vessel, or structure being placed into service, and annually thereafter.

(D) All costs and expenses associated with the certification conformance and inspections required in this rule shall be paid by the Class B applicant or licensee requesting to place such barge, floating platform, vessel, or structure into service.

Sept. 1, 1993, effective Sept. 20, 1993, Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Emergency amendment filed May 22, 1995, effective June 1, 1995, expired Sept. 28, 1995.

Amended: Filed May 22, 1995, effective Dec. 30, 1995. Amended: Filed Feb. 19, 1998, effective Aug. 30, 1998. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended:

Filed Dec. 7, 2001, effective July 30, 2002.

Amended: Filed April 26, 2018, effective Dec. 30, 2018.

11 CSR 45-6.025 Safety Inspections {#sec-11-csr-45-6.025 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-6.025}

PURPOSE: This rule establishes certain safety policies for excursion gambling boats.

(1) Each excursion gambling boat shall comply with all applicable federal, state, and local laws related to safety and— (A) Undergo an inspection prior to licensure and annually thereafter by a third party examiner resulting in a finding of safety and suitability for its intended purpose; and (B) Obtain approval by a third party examiner prior to licensure and annually thereafter of a plan for fire fighting and the protection and evacuation of personnel and maintain staff sufficiently trained as required to execute the plan.

(2) Each excursion gambling boat, as that term is defined in section 313.800.1(4), RSMo, for which the commission has granted continuous docking status, shall comply with all applicable standards for safety, design, construction, inspection, survey, and moorings of permanently moored or continuously moored excursion gambling boats.

(A) Any construction or modification of any portion of the excursion gambling boat shall require a third party examiner to conduct a review of the plans and to perform code inspections.

(B) Any plan review or code inspections required for construction or modification of structures off the excursion gambling boats, including areas through which gaming patrons may egress, shall be conducted by the local jurisdiction’s building inspector, fire inspector, and any other applicable local officials.

(3) Hull inspections by third party examiners shall comply with the standards set forth in

11 CSR 45-6.020 and shall meet the following requirements: {#sec-11-csr-45-6.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-6.020}

(A) An annual survey shall be conducted of permanently moored vessels by a third party examiner as defined in 11 CSR 45-6.020 to determine if structural changes exist which may affect the stability of the vessel. The survey shall consist of the following:

1. General inspection of the superstructure and layout of outfitting to ensure there are no changes to the approved arrangement that may affect the stability of the vessel;

2. Inspection of the underdock spaces to ensure watertight integrity of the vessel is maintained;

3. Inspection and report on the condition of the hull and watertight bulkheads;

4. Inspection and report on the condition of watertight doors and watertight bulkhead penetration;

5. Inspection and report on the condition of ventilator, hatch covers, and manhole covers;

6. Excursion gambling boats shall undergo dry-dock and internal structural examinations at intervals in accordance with 46 CFR section 71.50-3 or present evidence of compliance with alternative methods of hull examination as may be deemed acceptable at the time by the United States Coast Guard;

7. Inspection of permanently moored vessels having steel, aluminum, or concrete hulls may be performed in dry-dock or inthe-water. In-the-water inspections shall consist of an internal structural examination and a detailed nondestructive examination of the vessel’s hull. The non-destructive hull examination may be performed by underwater inspection methods or from inside the vessel if all compartments are safely accessible.

“Safely accessible” shall be dependent upon the issuance of a “gas free certificate” by a certified marine chemist or an individual otherwise qualified to issue such certificate;

8. All hull structural and in-the-water examinations and inspections of permanently moored vessels shall be under the direction of a third party examiner. Expertise of the third party examiner shall include knowledge of nondestructive testing methods and procedures for the materials being tested and the nature of testing being accomplished;

9. The inspection techniques must be under the general direction of an American Society for Nondestructive Testing (ASNT)

Level III nondestructive certified technician.

Inspections and measurements must be performed by an ASNT Level II (or higher) nondestructive certified technician;

10. The inspection results must be maintained in a format that will allow for examination by the commission’s representatives, including comparison of results from the previous inspections;

11. Repairs using underwater welding shall be subject to periodic re-evaluation at subsequent inspections. Such repairs shall be completed in accordance with the standards found in the American Welding Society’s 4CODE OF STATE REGULATIONS (11/30/18) JOHNR. ASHCROFT “Specifications for Underwater Welding” adopted by the jurisdiction where the structure is located; and 12. The commission may require immediate dry-docking of the vessel if structural examinations and underwater inspections or repair work are not conducted in accordance with these rules, or damage to the hull is extensive and compromises the structural integrity of the hull.

(B) Written documentation of compliance with the requirements of subsection (3)(A) shall be furnished to the commission by the licensee. A third party examiner shall certify such documentation.

(C) Written documentation of all findings, recommendations, or suggestions made by a third party examiner shall be furnished to the commission by the licensee. A third party examiner shall certify such documentation.

(D) In the event the licensee retains a subsequent third party examiner, within fifteen (15) days the licensee shall— 1. Notify the commission; and 2. Furnish the most recent findings, recommendations, or suggestions of the previous third party examiner to the subsequent third party examiner.

June 25, 1996, effective July 5, 1996, expired Dec. 31, 1996. Original rule filed June 25, 1996, effective Feb. 28, 1997. Amended:

Filed Feb. 19, 1998, effective Aug. 30, 1998.

Amended: Filed Dec. 7, 2001, effective July 30, 2002. Amended: Filed April 26, 2018, effective Dec. 30, 2018.

11 CSR 45-6.030 Firearms on the Riverboat {#sec-11-csr-45-6.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-6.030}

PURPOSE: This rule prohibits firearms on boats.

(1) The only individuals who may carry a firearm on an excursion gambling boat without the approval of the owner or general manager of the excursion gambling boat are commission agents, law enforcement officials as described in section 571.030.2, RSMo, security personnel authorized by the excursion gambling boat, and security personnel under contract with Class B licensees to transport money. Any other person must obtain approval from the owner or general manager of the excursion gambling boat prior to carrying any firearm on an excursion gambling boat. Any owner or general manager giving permission for a person to carry a firearm onto an excursion gambling boat shall notify the commission agent on duty in writing on a form approved by the commission immediately upon granting permission. Such notice to the commission agent shall identify the person to whom the permission was granted, verify that the person to whom permission was granted is in possession of a current, valid concealed carry endorsement issued pursuant to sections 571.101 to 571.121, RSMo, and contain the signature of the owner or general manager. Each Class B licensee shall provide to the commission a current list of all persons authorized to execute on its behalf the notice required by this

section.

(2) Excursion gambling boat licensees shall notify the commission of the licensee’s security personnel who have been authorized by the licensee to carry firearms. Such security personnel must be in compliance with applicable state and local requirements regarding the carrying of firearms.

rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994.

Amended: Filed March 18, 1996, effective Oct. 30, 1996. Amended: Filed Sept. 2, 1997, effective March 30, 1998. Amended:

Filed May 13, 1998, effective Oct. 30, 1998.

Amended: Filed April 28, 2004, effective Dec. 30, 2004. Amended: Filed April 26, 2018, effective Dec. 30, 2018. 2008, 2010; 313.824, RSMo 1991, amended 1993; and 571.107, RSMo 2003, amended 2010, 2011, 2013, 2014.

History

• AUTHORITY: sections 313.004, 313.805, 313.824, and 571.107, RSMo 2016. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency

11 CSR 45-6.040 Five Hundred Dollar- Loss Limit {#sec-11-csr-45-6.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-6.040}

(Rescinded April 30, 2009)

Filed Oct. 29, 2008, effective April 30, 2009.

History

• AUTHORITY: sections 313.004 and 313.805, RSMo 1994. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Emergency rescission filed Oct. 29, 2008, effective Nov. 15, 2008, expired May 13, 2009. Rescinded:

11 CSR 45-6.050 Limited License {#sec-11-csr-45-6.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-6.050}

(Rescinded July 30, 2018)

Filed Dec. 7, 2017, effective July 30, 2018.

History

• AUTHORITY: sections 313.004, 313.805 and 313.807, RSMo Supp. 1993. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Rescinded:

11 CSR 45-6.060 Excursions During Inclement Weather or Mechanical Difficulties {#sec-11-csr-45-6.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-6.060}

(Rescinded July 30, 2018)

Filed Dec. 7, 2017, effective July 30, 2018.

History

• AUTHORITY: sections 313.004, 313.800 and 313.805, RSMo Supp. 1993. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Rescinded:

Chapter 7 Security and Surveillance

11 CSR 45-7.160 Designated Security Officer Trained in Basic Life Support {#sec-11-csr-45-7.160 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-7.160}

11 CSR 45-7.010 Definition of Licensee {#sec-11-csr-45-7.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-7.010}

PURPOSE: This rule defines licensee as used in this chapter.

(1) For purposes of this chapter, licensee shall mean the holder of a Class B license.

rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994.

Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended:

Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed Oct. 27, 2022, effective June 30, 2023. amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022, and 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022; and 313.807, RSMo 1991,

History

• AUTHORITY: sections 313.004 and 313.807, RSMo 2016, and sections 313.800 and 313.805, RSMo Supp. 2022. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency

11 CSR 45-7.020 Purpose of Surveillance {#sec-11-csr-45-7.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-7.020}

PURPOSE: This rule establishes minimum standards for security and surveillance.

(1) The purposes of a casino surveillance system are to assist the licensee and the state in safeguarding the licensee’s assets, in deterring, detecting, and prosecuting criminal acts, and in maintaining public confidence and trust that licensed gaming is conducted honestly and free of criminal elements and activity.

History

• AUTHORITY: sections 313.004, 313.805, and 313.824, RSMo 2016. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed March 1, 2018, effective Oct. 30, 2018. amended 1993, 1994, 2000, 2008, 2010; and 313.824, RSMo 1991, amended 1993.

11 CSR 45-7.030 Required Surveillance Equipment {#sec-11-csr-45-7.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-7.030}

PURPOSE: This rule establishes required equipment.

(1) Each licensee shall install, maintain and operate in the riverboat a closed circuit television system in accordance with the specifications in this rule and shall provide access and override access for the system to the commission or commission’s agent. The closed circuit television system must meet or exceed the following:

(A) Solid-state, black-and-white cameras with minimum four hundred plus (400+) line resolution installed in fixed positions with matrix control or with pan, tilt and zoom capabilities, or a combination of them, secreted from public and nonsurveillance personnel view to effectively and clandestinely monitor in detail, from various vantage points, non-gaming areas set forth in the licensee’s surveillance system plan required by 11 CSR 45-7.120 and approved by the commission;

(B) Individual solid-state, color television cameras with minimum four hundred seventy plus (470+) line resolution with matrix or pan, tilt and zoom capabilities, or a combination of them, secreted from public and non-surveillance personnel view which is augmented with appropriate color corrected lighting to effectively and clandestinely monitor in detail from, various vantage points, all views required by 11 CSR 45-7.040;

(C) All closed circuit cameras must be routed through a central processor before reaching the recorders, and must be equipped with lenses of sufficient magnification to allow the surveillance operator to clearly distinguish the value of the chips, tokens, cash, ticket-in/ticket-out tickets, promotional tickets/coupons and playing cards;

(D) Video monitors that meet or exceed the resolution requirement for video cameras with solid-state circuitry, and time and date insertion capabilities for recording the images viewed by any camera in the system. Each video monitor screen must be of such size that all images depicted are clearly discernible by the surveillance operator from his/her normal working position, provided, however, every monitor screen must measure diagonally at least twelve inches (12”) and all controls must be front-mounted;

(E) Video printers capable of adjustment and possessing the capability to generate instantaneously, upon command, a clear, color or black and white, or both, copy of the image depicted on the video recording;

(F) Global date and time generators based on a synchronized, central or masterclock, recorded on an approved format tape and visible on any monitor when recorded;

(G) Wiring to prevent tampering. The system and its equipment must be directly and securely wired in a way to prevent tampering with the system. The system must be supplemented with a backup generator as a power source which is automatically engaged in case of a power outage and capable of returning to full power within seven to ten (7–10) seconds, and is capable of maintaining power until regular power is restored;

(H) An additional uninterrupted power supply system capable of sustaining the entire surveillance system at full operating capacity until the backup generator achieves full power;

(I) Video switchers capable of both manual and automatic sequential switching for the entire surveillance system;

(J) Video recorders capable of producing high quality first generation pictures with a minimum horizontal resolution of three hundred fifty plus (350+) lines for black and white and three hundred plus (300+) lines for color. Recorders shall be of non-consumer, professional or industrial grade recording on a standard one-half (1/2) high, VHS tape format or other format approved by the commission, with high speed scanning and flickerless playback capability. No recorder shall have a recording interval of less than twenty (20) frames per second; except those recording four (4) cameras, as provided in subsection (1)

(K) of this rule, which shall record at no less than fifteen (15) frames per second. By July 1, 2011 and thereafter, digital video recording (DVR) systems are required to be utilized which are capable of storage and playback of images at thirty (30) images per second for each camera at four (4) Common Intermediate Format (CIF) resolution, ensuring the video compression technology used shall not cause any degradation of the images recorded. All DVR equipment and systems shall have:

1. A failure notification system that provides an audible, as well as a visual notification of any failure in the surveillance system or the DVR media storage system;

2. A media storage system failover configured with full redundancy so that a failure of any single component will not result in the loss of any data;

3. Simultaneous playback and live viewing while recording live images; and 4. On any storage media produced from the system, the time and date it was recorded superimposed thereon, the media player software necessary to view the images, and a video verification encryption code (watermark);

(K) Until July 1, 2011, unless otherwise approved by the commission, one (1) video recorder is required for each video camera viewing entry and exit turnstiles; areas within cashier cages and booths, main banks and slot change booths; vaults; count rooms; table games; and all stationary fill/change banks on the gaming floor. No more than four (4) video cameras shall be recorded on any one (1) video recorder in all other areas;

(L) Audio capability in the soft count room; and (M) Adequate lighting in all areas where camera coverage is required. The lighting shall be of sufficient intensity to produce clear video recording and still picture production, and correct color correction where color camera recording is required.

Video output must demonstrate a clear picture, in existing light under normal operating conditions.

rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed June 2, 1995, effective Dec. 30, 1995. Amended: Filed July 2, 1997, effective Feb. 28, 1998. Amended: Filed Feb. 19, 1998, effective Aug. 30, 1998. Amended: Filed Feb. 26, 2001, effective Sept. 30, 2001.

Amended: Filed July 28, 2006, effective March 30, 2007. *Original authority: 313.004, RSMo 1993, amended 1994; 313.800, RSMo 1991, amended 1993, 1994, 2005; 313.805, RSMo 1991, amended 1993, 1994, 2000; and 313.824, RSMo 1991, amended 1993.

History

• AUTHORITY: sections 313.004, 313.805, and 313.824, RSMo 2000 and 313.800, RSMo Supp. 2006. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original

11 CSR 45-7.040 Required Surveillance {#sec-11-csr-45-7.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-7.040}

PURPOSE: This rule establishes required surveillance.

(1) Every licensee shall conduct and record surveillance which allows clear, unobstructed views in the following areas of the riverboat and the land-based facilities— (A) Overall views of the casino pit areas;

(B) All gaming or card table surfaces, including table bank trays, with sufficient clarity to permit identification of all chips, cash and card values, and the outcome of the game. Each gaming table shall have the capability of being viewed by no less than two (2) cameras, and must be continuously viewed by at least one (1) camera;

(C) Craps tables open for play must be continuously viewed by at least two (2) cameras;

(D) All roulette tables and wheels, recorded in a manner that permits the viewer to observe game outcome and payouts;

(E) Continuous views of all areas within cashier cages and booths, including, but not limited to, customer windows, employee windows, cash drawers, vaults, safes, counters, chip and token storage and fill windows. Every transaction occurring within or at the casino cashier cages must be recorded with sufficient clarity to permit identification of currency, chips, tokens, ticket-in/ticket-out tickets, promotional tickets/coupons, jackpot slips, fill slips, paperwork, employees and patrons;

(F) All entrance and exit doors to the casino area shall be monitored by the surveillance system. Also, elevators, stairs, ramps and loading and unloading areas shall be monitored if they are utilized for the movement of uncounted moneys, chips or tokens;

(G) Continuous views of all areas within a hardcount room and any area where uncounted coin is stored during the drop and count process, including walls, doors, scales, wrapping machines, coin sorters, vaults, safes and general work surfaces;

(H) Continuous views of all areas within a softcount room, including walls, doors, drop boxes, vaults, safes and counting surfaces which shall be transparent; including all areas where currency is sorted, stacked, counted, verified or stored, with sufficient clarity to view the currency input, output, and reject areas of currency counters and currency sorters;

(I) All areas where cards, dice, cash gaming assets, chips and tokens are stored;

(J) Overall views of patrons, dealers, spectators and pit personnel, with sufficient clarity to permit identification;

(K) Overall views of the movement of cash, gaming chips and tokens, table numbers, drop boxes and drop buckets;

(L) All areas on the general casino floor with sufficient clarity to permit identification of all players, employees, patrons and spectators; and (M) Other areas as the commission may designate through its approval of the licensee’s surveillance plan or as it may require.

(2) Every licensee who exposes slot machines for play shall install, maintain, and operate at all times a casino surveillance system that possesses the capability to monitor and record clear, unobstructed, overall and continuous views of all areas that contain slot machines, recorded with sufficient clarity to read external meters, and permit identification of slot machine numbers, reel positions, all players, employees, patrons and spectators; and shall conduct and record surveillance:

(A) Which allows clear, unobstructed overall and continuous views of all slot change booths, including their cash drawers, countertops, counting machines, customer windows and employee windows, recorded with sufficient clarity to permit identification of all transactions, cash, paperwork, patrons and employees; and (B) Of each slot machine offering a payout of more than two hundred fifty thousand dollars ($250,000).

History

• AUTHORITY: sections 313.004, 313.805 and 313.824, RSMo Supp. 2000. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed Feb. 26, 2001, effective Sept. 30, 2001. Amended: Filed July 28, 2006, effective March 30, 2007. Original authority: 313.004, RSMo 1993, amended 1994; 313.805, RSMo 1991, amended 1993, 1994, 2000; and 313.824, RSMo 1991, amended 1993.

11 CSR 45-7.050 Casino and Commission Surveillance Room Requirements {#sec-11-csr-45-7.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-7.050}

PURPOSE: This rule establishes surveillance room requirements.

(1) Each riverboat shall have rooms available for the exclusive use of commission agents to monitor and record riverboat gaming operations. Each such room shall be identified as the commission surveillance room. Each riverboat shall also have at least one (1) room for riverboat employees to use for monitoring and recording riverboat gaming operations. Each such room shall be identified as the casino surveillance room. The commission shall designate where the commission surveillance room(s) will be located.

(A) All equipment that is utilized to monitor or record must remain solely accessible to the casino surveillance room personnel and be exclusively for riverboat surveillance, except when this equipment is being repaired or replaced.

(B) The casino surveillance room shall have trained surveillance personnel present during all casino operating hours.

(C) Employees of the riverboat gaming operation assigned to monitoring duties in the casino surveillance room shall have no other gaming-related duties within the riverboat gaming operation.

(D) The interior of and entrance to the commission surveillance room and the casino surveillance room shall not be visible to the public.

(E) The entrance to the casino surveillance room must be locked or secured at all times.

(F) Each riverboat shall have a minimum of sixteen (16) monitors in the casino surveillance room and three (3) monitors in the commission surveillance room. Each room shall have appropriate switching capabilities to insure that all surveillance cameras are accessible to monitors in both surveillance rooms.

The equipment in the commission surveillance room must be able to monitor and record anything visible by monitor to employees of the licensee. The commission shall have total control to determine what is visible on the monitors.

(G) The commission or commission’s agent shall at all times be afforded immediate access to the casino surveillance room, other surveillance areas and all records relating to this surveillance.

(H) The casino surveillance room and the commission surveillance room shall be equipped with all the required surveillance equipment as specified in 11 CSR 45-7.030, and in addition, the commission surveillance room shall be equipped so as to be able to monitor the casino surveillance room. The camera to be placed in the casino surveillance room will meet the requirements as specified in 11 CSR 45-7.030(1)(A), including pan, tilt and zoom capabilities.

(I) No other employees may have entrance to the casino surveillance room without permission of the commission. 2000.* Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, 30, 1995. Amended: Filed March 1, 1999, effective Oct. 30, 1999.

Amended: Filed Feb. 26, 2001, effective Sept. 30, 2001. *Original authority: 313.004, RSMo 1993, amended 1994; 313.800, RSMo 1991, amended 1993, 1994; 313.805, RSMo 1991, amended 1993, 1994, 2000; and 313.824, RSMo 1991, amended 1993.

11 CSR 45-7.060 Segregated Telephone Communication {#sec-11-csr-45-7.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-7.060}

PURPOSE: This rule establishes segregated telephone lines.

(1) A segregated telephone communication system shall be provided for use by commission agents in the commission surveillance room.

Supp. 1993.* Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. *Original authority: 313.004, RSMo 1993 and 313.800, 313.805 and 313.824, RSMo 1991,

11 CSR 45-7.070 Surveillance Logs {#sec-11-csr-45-7.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-7.070}

PURPOSE: This rule establishes requirements for security logs.

(1) The licensee shall be required to maintain a security log of all surveillance activities in the casino surveillance room. The log shall be maintained by casino surveillance room personnel.

Only casino surveillance room personnel shall be allowed in the casino surveillance room. The commission shall have access at all times to the logs.

Amended: Filed March 1, 2018, effective Oct. 30, 2018. amended 1993, 1994, 2005, 2014, 2016; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; and 313.824, RSMo 1991, amended 1993.

History

• AUTHORITY: sections 313.004, 313.800, 313.805, and 313.824, RSMo 2016. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, 30, 1995. Amended: Filed Oct. 22, 2010, effective June 30, 2011.

11 CSR 45-7.080 Storage and Retrieval {#sec-11-csr-45-7.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-7.080}

PURPOSE: This rule establishes requirement for storage and retrieval of surveillance video recordings.

(1) All video recordings from cameras covering the turnstiles and areas within the cashier, cages, main banks, and count rooms shall be retained for a least thirty (30) days, and all other video recordings shall be retained for at least fourteen (14) days, unless a longer period is required by the commission or its agents. Storage media that must be copied or removed from the recording device to comply with these requirements shall be listed on a log by casino surveillance personnel with the date, times and identification of the person monitoring or changing the recording medium in the recorder. Original video recordings will be released to the commission upon demand. A receipt will be issued at that time.

(2) Any video recording of illegal or suspected illegal activity, upon completion of the recording, shall be removed from the recorder and etched with the date, time and identity of the casino surveillance personnel who conducted the recording. The video recording shall be placed in a separate, secure area and notification promptly given to the commission agent.

rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994.

Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended:

Filed June 2, 1995, effective Dec. 30, 1995. Emergency amendment filed Dec. 7, 1995, effective Dec. 17, 1995, expired June 13, 1996.

Amended: Filed Dec. 7, 1995, effective June 30, 1996. Amended:

Filed Feb. 26, 2001, effective Sept. 30, 2001. Amended: Filed July 28, 2006, effective March 30, 2007. *Original authority: 313.004, RSMo 1993, amended 1994; and 313.800, RSMo 1991, amended 1993, 1994, 2005; 313.805, RSMo 1991, amended 1993, 1994, 2000; and 313.824, RSMo 1991, amended 1993.

History

• AUTHORITY: sections 313.004, 313.805 and 313.824, RSMo 2000 and 313.800, RSMo Supp. 2006. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency

11 CSR 45-7.090 Dock Site Commission Facility {#sec-11-csr-45-7.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-7.090}

(Rescinded January 30, 2019)

1994. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, 30, 1995. Rescinded: Filed May 31, 2018, effective Jan. 30, 2019.

11 CSR 45-7.100 Maintenance and Testing {#sec-11-csr-45-7.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-7.100}

PURPOSE: This rule establishes requirements for maintenance and testing of equipment.

(1) At various times, all surveillance equipment shall be subject to impromptu commission testing of minimum standards of resolution and operation. Any malfunction of surveillance equipment shall necessitate the immediate replacement of the faulty unit with a working unit. If immediate replacement is not possible, alternative live monitoring must be provided by casino surveillance personnel. The live monitoring must meet the approval of the commission agent on board in order for gaming to continue in the affected surveillance area. If the commission agent deems the live monitoring by casino surveillance personnel to be inadequate, gaming in that area shall cease until the provision of adequate monitoring.

History

• AUTHORITY: sections 313.004, 313.800, 313.805, and 313.824, RSMo 2016. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, 30, 1995. Amended: Filed March 1, 2018, effective Oct. 30, 2018. amended 1993, 1994, 2005, 2014, 2016; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; and 313.824, RSMo 1991, amended 1993.

11 CSR 45-7.110 Casino Security Offices {#sec-11-csr-45-7.110 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-7.110}

PURPOSE: This rule establishes requirements for casino security offices.

(1) The surveillance system must cover all areas of any security office where any persons may be detained, questioned, interviewed or interrogated by casino security officers. Security office coverage must include both audio and video, be recorded at all times that a person is detained, questioned, interviewed or interrogated in the area, and the signal must terminate in the security room. The recordings must be retained by the licensee for at least thirty (30) days after the recorded event.

In each office or room covered by this section, a sign must be conspicuously displayed which states that the area is under constant audio and video surveillance.

rule filed Sept. 1, 1993, effective Jan. 31, 1994. *Original authority: 313.004, RSMo 1993, and 313.800, 313.805, 313.812 and 313.824, RSMo 1991, amended 1993.

History

• AUTHORITY: sections 313.004, 313.800, 313.805, 313.812 and 313.824, RSMo Supp. 1993. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original

11 CSR 45-7.120 Surveillance System Plans {#sec-11-csr-45-7.120 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-7.120}

PURPOSE: This rule establishes the requirements for surveillance system plans.

(1) Every applicant for a Class B license shall submit a surveillance system plan to the commission no later than sixty (60) days prior to the start of gaming operations.

(2) The surveillance system plan must include a casino floor plan that shows the placement of all surveillance equipment in relation to the locations required by this chapter to be covered and a detailed description of the procedures utilized in the operation of the casino surveillance systems and its equipment.

In addition, the plan may include other information that evidences compliance with this rule by the applicant.

(3) The licensee may not change the locations of table games, slot machines or other gaming devices without approval of the commission. The surveillance system must also be adjusted, if necessary, to provide the coverage required by this chapter.

(4) If, after reviewing the applicant’s or licensee’s written casino surveillance system plan, the commission determines the plan does not comply with the rules in this chapter, the commission shall notify the licensee in writing, and the applicant or licensee shall revise the plan to comply with the rules in this

chapter and submit the revised plan within thirty (30) days after receipt of the commission’s written notice. Final approval of the surveillance plan will be made by the commission only after a test of the system, under conditions of simulated gaming and counting of a drop.

(5) The licensee shall, in its surveillance department, maintain a copy of its surveillance system plan which shall be kept current, documenting any changes to the surveillance system, placement of equipment, or the description of procedures utilized in its operation. Surveillance system plans or a copy thereof shall be made immediately available to any agent of the commission upon request.

Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed May 13, 1998, effective Oct. 30, 1998.

Amended: Filed July 28, 2006, effective March 30, 2007. Amended:

Filed Oct. 27, 2022, effective June 30, 2023. amended 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022; and 313.824, RSMo 1991, amended 1993.

History

• AUTHORITY: sections 313.004 and 313.824, RSMo 2016, and sections 313.800 and 313.805, RSMo Supp. 2022. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994.

11 CSR 45-7.130 Non-Gambling Hours {#sec-11-csr-45-7.130 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-7.130}

PURPOSE: This rule establishes required surveillance staffing during non-gambling hours.

(1) At least one (1) trained surveillance operator must be on duty in the casino surveillance room actively monitoring activities during non-gambling hours when no drops and counts are being conducted. Additional personnel shall be available to allow for meals and breaks.

(2) Anytime the casino is closed and in a locked-down mode, sufficient surveillance coverage as approved by the commission must be conducted to monitor and record the casino, in general, so that security integrity is maintained.

rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed Feb. 26, 2001, effective Sept. 30, 2001. Amended: Filed Nov. 1, 2018, effective June 30, 2019. Amended: Filed Sept. 30, 2021, effective May 30, 2022. amended 1992, 1993, 1994, 2000, 2008, 2010, 2021; and 313.824, RSMo 1991, amended 1993.

History

• AUTHORITY: sections 313.004 and 313.824, RSMo 2016, and section 313.805, RSMo Supp. 2021. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original

11 CSR 45-7.140 Requests for Exemptions {#sec-11-csr-45-7.140 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-7.140}

(Rescinded July 30, 2018)

Supp. 1993. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

11 CSR 45-7.145 Reimbursement for Cost of Commission Agents {#sec-11-csr-45-7.145 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-7.145}

PURPOSE: This rule requires the reimbursement of the commission for the cost of contracted commission agents.

(1) Each holder of a Class B license shall reimburse the commission for the full cost of services provided pursuant to any agreement the commission has entered into with the Federal Bureau of Investigation, the Federal Internal Revenue Service, the Missouri State Highway Patrol, the state attorney general, or any state, federal, or local agency the commission deems necessary to carry out the duties of the commission when such agreements result in services provided for the supervision or

regulation of the licensee.

Original rule filed June 14, 1994, effective Jan. 29, 1995. Amended:

Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed Oct. 27, 2022, effective June 30, 2023. amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022; and 313.824, RSMo 1991,

History

• AUTHORITY: sections 313.004 and 313.824, RSMo 2016, and section 313.805, RSMo Supp. 2022. Emergency rule filed June 14, 1994, effective June 24, 1994, expired Oct. 21, 1994. Emergency rule filed Oct. 25, 1994, effective Nov. 4, 1994, expired March 3, 1995.

11 CSR 45-7.150 Compliance with this Chapter {#sec-11-csr-45-7.150 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-7.150}

PURPOSE: This rule establishes requirements for compliance.

(1) Applicants for a Class B license shall comply with the requirements set forth in this chapter no later than seven (7) days prior to the start of gaming operations.

(2) Existing licensees shall comply with the requirements set forth in this chapter within the time frame established by the commission.

Amended: Filed March 1, 2018, effective Oct. 30, 2018. amended 1993, 1994, 2005, 2014, 2016; and 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010.

History

• AUTHORITY: sections 313.004, 313.800, and 313.805, RSMo 2016. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed Feb. 26, 2001, effective Sept. 30, 2001.

11 CSR 45-7.160 Designated Security Officer Trained in Basic Life Support and First Aid Required {#sec-11-csr-45-7.160 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-7.160}

PURPOSE: This rule requires that a designated security officer trained in basic life support be available on the casino property when passengers are present.

(1) A designated security officer trained in basic life support and first aid is required to be on casino property at all times when gaming is being conducted or when patrons are present and shall not be assigned duties that would prevent the security officer from responding immediately.

(2) The Class B licensee is responsible for the full cost of training the designat ed security officer in basic life support and first aid.

(3) Each Class B licensee shall ensure all designated security officers— (A) Are, at a minimum, trained according to accepted standards in basic life support and first aid by an agency recognized for providing such training; and (B) Receive training in basic life support and first aid biennially.

(4) Each Class B licensee shall maintain documentation of the training received by the designated security officers for a period of five (5) years.

Amended: Filed Aug. 25, 2011, effective March 30, 2012. Amended:

Filed April 26, 2018, effective Dec. 30, 2018. amended 1993, 1994, 2000, 2008, 2010; and 313.824, RSMo 1991, amended 1993.

History

• AUTHORITY: sections 313.004, 313.805, and 313.824, RSMo 2016. Emergency rule filed June 14, 1994, effective June 24, 1994, expired Oct. 21, 1994. Original rule filed May 4, 1994, effective Sept. 30, 1994. Amended: Filed May 13, 1998, effective Oct. 30, 1998.

11 CSR 45-7.170 Access to Areas of Class B Licensee Facilities {#sec-11-csr-45-7.170 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-7.170}

PURPOSE: This rule establishes procedures for controlling access to areas of Class B licensee facilities.

(1) Secured areas shall include any area or location so designated by the licensee’s Internal Control System (ICS) or by the commission, including but not limited to:

(A) Surveillance;

(B) Areas housing critical information technology systems;

(C) Cage;

(D) Main bank/vault;

(E) Slot maintenance rooms;

(F) Electronic gaming devices (EGD) storage rooms;

(G) Count room and cart storage room;

(H) Pit;

(I) Card and dice storage and inspection rooms; and (J) Any other area designated by the commission.

(2) A security or area supervisor escort is required for any individual accessing a secured area, except for occupational licensees who work in that secured area at that property.

Vendors, visitors, and other personnel who need access to the Management Information Systems (MIS) secured areas may be escorted by MIS personnel instead of the area supervisor or security.

(3) Employees of non-gaming vendors that provide goods and services directly to Class B licensees and who require periodic access to public areas of the casino floor, or areas off the gaming floor open to all employees, may access these areas without an escort.

(A) The Class B licensee shall be responsible for the conduct and actions of the vendor while unescorted on the licensed premises.

(B) Vendors shall be required to report to security to obtain a vendor badge and sign the Visitor/Vendor Log indicating time in, time out, and the reason for their visit.

History

• AUTHORITY: section 313.004, RSMo 2000, and section 313.805, RSMo Supp. 2013. Original rule filed Dec. 5, 2013, effective Aug. 30, 2014. Original authority: 313.004, RSMo 1993, amended 1994 and 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010.

Chapter 8 Accounting Records and Procedures; Audits

11 CSR 45-8.010 Definition of Licensee {#sec-11-csr-45-8.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-8.010}

PURPOSE: This rule establishes definitions for the chapter.

(1) For purposes of this chapter, licensee shall mean a holder of a Class B license.

History

• AUTHORITY: sections 313.004 and 313.825, RSMo 2000, and section 313.805, RSMo Supp. 2012. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended: 2013. 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; and 313.825, RSMo 1991, amended 1993, 2000.

11 CSR 45-8.020 Record Retention; Noncompliance {#sec-11-csr-45-8.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-8.020}

PURPOSE: This rule establishes requirements for accounting records retention.

(1) Each licensee shall provide the commission, upon its request, with the records required to be maintained by this chapter.

Unless the commission approves or requires otherwise in writing, each licensee shall retain all these records within Missouri for at least five (5) years after they are made. Failure to keep and provide such records is an unsuitable method of operation.

History

• AUTHORITY: sections 313.004, 313.800 and 313.805, RSMo Supp. 1993. Emergency rule Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, Original authority: 313.004, RSMo 1993 and 313.800 and 313.805, RSMo 1991, amended 1993.

11 CSR 45-8.030 Ownership Records {#sec-11-csr-45-8.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-8.030}

PURPOSE: This rule establishes ownership records to be maintained.

(1) Each licensee shall keep and, upon request, provide to the commission the following records:

(A) If a corporation— 1. A certified copy of the Articles of Incorporation and any amendments;

2. A certified copy of the bylaws and any amendments;

3. A certificate of good standing from the state of its incorporation;

4. A certificate of authority from the Missouri Office of Secretary of State authorizing it to do business in Missouri if the corporation is operating as a foreign corporation in Missouri;

5. A list, including names and addresses, of all current and former officers and directors;

6. A certified copy of minutes of all meetings of the stockholders and directors;

7. A current list of all stockholders including the names of beneficial owners of shares held in street or other names;

8. The name of any business entity and a current list of all stockholders in that entity, including the names of beneficial owners of shares held in street or other names, in which the corporation has a direct or indirect interest;

9. A copy of the stock certificate ledger;

10. A complete record of all transfers of stock;

11. A record of amounts paid to the corporation for issuance of stock and other capital contributions and dates thereof;

12. A record of all dividends distributed by the corporation; and 13. A record for each year of the previous five (5) years of all salaries, wages and other remuneration (including perquisites), direct or indirect, paid during the calendar or fiscal year, by the corporation, to all officers, directors and stockholders with an ownership interest at any time during the calendar or fiscal year equal to or greater than five percent (5%) of the outstanding capital stock of any class of stock;

(B) If a partnership— 1. A certified copy of the partnership agreement;

2. If applicable, a certificate of limited partnership of its domicile;

3. A list of the current and former partners, including names, addresses, the percentage of interest in net assets, profits and losses held by each, the amount and date of each capital contribution of each partner and the date the interest was acquired;

4. A record of all withdrawals of partnership funds or assets; and 5. A record for each year of the previous five (5) years of salaries, wages and other remuneration (including perquisites), direct or indirect, paid to each partner during the calendar or fiscal year;

(C) If a sole proprietorship— 1. A record showing the name and address of the proprietor and the amount and date of his/her original investment;

2. A record of dates and amounts of subsequent additions to the original investment and any withdrawals; and 3. A record for each year of the previous five (5) years of salaries, wages and other remuneration (including perquisites), direct or indirect, paid to the proprietor during the calendar or fiscal year.

Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1,

11 CSR 45-8.040 Accounting Records {#sec-11-csr-45-8.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-8.040}

PURPOSE: This rule establishes standards for accounting records.

Editor’s Note: The secretary of state has determined that the publication of this rule in its entirety would be unduly cumbersome or expensive. The entire text of the material referenced has been filed with the secretary of state. This material may be found at the Office of the Secretary of State or at the headquarters of the agency and is available to any interested person at a cost established by state law.

(1) Each licensee shall maintain complete, accurate, legible and permanent records of all transactions pertaining to its revenues and expenses, assets, liabilities and equity. The commission, from time-to-time, may direct licensees to alter the manner in which these records are maintained.

(2) The accounting records shall be maintained in accordance with generally accepted accounting principles using a double entry system of accounting, with transactions recorded on the accrual basis and supported by detailed, supporting and subsidiary records.

(3) To insure consistency, comparability and effective disclosure of financial information, the commission shall prescribe a uniform general ledger chart of accounts and accounting classifications. The prescribed chart of accounts shall be the minimum level of detail to be maintained for each accounting classification by each licensee.

(4) The detailed, supporting and subsidiary records shall include as a minimum the following:

(A) Detailed records identifying all revenues, expenses, assets, liabilities and equity for each licensee;

(B) Records of all investments, advances, loans and receivables due the licensee;

(C) Records related to investments in property and equipment;

(D) Records of all loans and other amounts payable by the licensee;

(E) Records of all patron checks initially accepted by the licensee, deposited in licensee’s bank accounts, returned to the licensee as uncollected and ultimately written-off as uncollectible;

(F) Journal entries prepared by the licensee or the independent certified public accountant selected by the commission pursuant to 11 CSR 45-8.060(10);

(G) Tax workpapers used in preparation of any state or federal tax return;

(H) Records which identify table drop, table win and percentage of table win to table drop for each table game, and those records accumulated for each type of table game, either by shift or other accounting period approved by the commission, and accumulated on a month-to-date and year-to-date basis;

(I) Records which identify actual tokensin/out, drop, payouts, fills, win amounts and percentages, and differences between theoretical and actual win amounts and percentages for each electronic gaming device on a perday basis or other accounting period approved by the commission and accumulated on a month-to-date and year-to-date basis;

(J) Records of the cost for complimentary goods and services. Complimentary goods or services provided to patrons in the normal course of business shall be recorded at an amount based upon the full retail price normally charged for those goods or services;

(K) Records of the purchase, receipt and destruction of gaming chips and tokens;

(L) Records required to fully comply with all the federal financial recordkeeping requirements as enumerated in 31 CFR 103;

(M) Records of the number of persons admitted on the riverboat;

(N) Records required by the licensee’s internal control system; and (O) Any other records that the commission requires be maintained.

(5) If a licensee fails to maintain records used by it to compute taxes or fees due the state or any political subdivision of the state, the commission may compute and determine the amounts due on the basis of an audit conducted by the commission, available information, statistical analysis, or a combination of these.

(6) Each licensee shall permit the commission or commission agents access to its books and records upon request.

Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1,

11 CSR 45-8.050 Standard Financial and Statistical Reports {#sec-11-csr-45-8.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-8.050}

PURPOSE: This rule establishes the standards for financial and statistical reports.

(1) Each licensee shall file monthly, quarterly and annual reports of financial and statistical data with the commission using electronic transmission and software formats as prescribed.

(2) All reports required under this rule shall be prepared in accordance with generally accepted accounting principles.

(3) Annual reports shall be based on the licensee’s fiscal year. Quarterly reports shall be based on the licensee’s fiscal quarter.

Monthly reports shall be based on calendar months.

(4) The electronically transmitted reports required to be filed pursuant to this section shall be authorized by individuals designated by the licensee. In addition, a letter shall be submitted by the licensee attesting to the data and shall be signed by— (A) Director of Finance; or (B) Controller.

(5) Signatures required by section (4) of this

rule shall mean attestation to the completeness and accuracy of the electronically submitted reports. The letter of attestation may not be signed by the person(s) that prepared the reports.

(6) Letters shall be addressed to the commission and postmarked or faxed no later than the required filing date and reports shall be transmitted no later than the required filing date. The required filing dates are as follows:

(A) Monthly reports shall be due on the fifteenth calendar day of the following month or the next business day if the fifteenth falls on a weekend or legal holiday;

(B) Quarterly reports shall be due twenty (20) calendar days following the end of the licensee’s fiscal quarter;

(C) Annual reports shall be due ninety (90) calendar days following the end of the licensee’s fiscal year or ten (10) days after Form 10-K is filed with the Securities and Exchange Commission, whichever comes first;

(D) The licensee shall submit supporting schedules and documentation for the reports as prescribed by the commission; and (E) Any adjustments to the reports resulting from review and/or audit by the commission shall be made by the licensee within five (5) business days after written notification.

(7) Delays in mailing, mail pickup, postmarking, and electronic transmissions are the licensee’s responsibility.

(8) In the event of a termination or suspension of licenses, voluntary or involuntary change in business entity, or change in ownership of more than a twenty percent (20%) interest, a licensee shall file an interim monthly report as of the date of occurrence of the event, unless this event has already been disclosed in a regular monthly report or unless exempted by the commission. The filing date shall be thirty (30) calendar days after the date of occurrence of the event.

(9) Any adjustments resulting from the quarterly and annual audits performed by the independent certified public accountant (C.P.A.) as required in 11 CSR 45-8.060 shall be recorded in the accounting records of the period to which it relates. In the event that the adjustments were not reflected in the licensee’s quarterly or annual reports and the commission concludes the adjustments are significant, a revised report may be required from the licensee. The revised filing shall be due within thirty (30) calendar days after written notification to the licensee.

(10) Each licensee shall furnish to the commission, upon its written request, statistical and financial data for the purpose of compiling, evaluating and disseminating financial information regarding the economics and trends within the gaming industry in Missouri.

(11/30/18) JOHN R. ASHCROFT

Sept. 1, 1993, effective Sept. 20, 1993, Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 30, 1994. Amended: Filed June 25, 1996, effective Feb. 28, 1997. Amended: Filed Dec. 7, 2001, effective June 30, 2002. Amended:

Filed April 26, 2018, effective Dec. 30, 2018. 2008, 2010; and 313.825, RSMo 1991, amended 1993, 2000.

11 CSR 45-8.060 Audits {#sec-11-csr-45-8.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-8.060}

PURPOSE: This rule establishes standards for audits.

(1) Independent certified public accountants (C.P.A.s) registered or licensed in Missouri under Chapter 326, RSMo, shall conduct quarterly and annual audits of each licensee, as follows:

(A) On a quarterly calendar basis, except as noted— 1. Audit the respective quarter’s adjusted gross receipts and related taxes from gambling games, and total number and amount of fees received from admissions in order to report on the fair presentation of such amounts. A reconcilement of these audited amounts to similar amounts in monthly financial reports required by 11 CSR 45-8.050 shall be provided;

2. Consider, in connection with the audit of adjusted gross receipts and admission fees referred to in paragraph (1)(A)1., the related internal control structure and report whether there exists any material weaknesses and report any reportable conditions identified.

This evaluation shall include, at a minimum, walk-throughs of the internal control system, inquiries of licensee personnel, examination of supporting documents and unannounced observations of pit activity and table games and electronic gaming device drop and count procedures. For purposes of these procedures, unannounced means that no officers, directors, or employees of the licensee are given advance information regarding the dates or times of the observations; and 3. Report on compliance of the licensee’s operating procedures and written system of internal controls with the requirements of 11 CSR 45-9. Whenever, in the opinion of the independent C.P.A., the licensee’s operating procedures or written system of internal controls has deviated from the minimum internal control standards or variations to the standards approved by the commission, the report shall enumerate these deviations, regardless of materiality; and (B) On an annual basis— 1. Report on reportable conditions found during the annual audit of the licensee’s financial statements. A reportable condition shall be defined as a significant deficiency in the design or operation of the internal control structure, which would adversely affect the licensee’s ability to record, process, summarize, and report financial data consistent with the assertions of management in the financial statements. Reportable conditions that are also material weaknesses shall be identified as such in the report; and 2. Audit, in accordance with generally accepted auditing standards, the licensee’s annual financial statements covering all financial activities of the licensee’s operation, including a physical count of all assets inventoried on the Main Bank/Vault Accountability form in order to report on the fair presentation of the financial statements in conformity with generally accepted accounting principles. The annual count of assets shall be performed within thirty (30) days of the fiscal year end. The commission shall be notified at least thirty (30) days prior to the annual count. The audited annual financial statements must be prepared in a format consistent with the reporting requirements under 11 CSR 45-8.050(2). Unless the commission approves otherwise in writing, these statements must be prepared on a comparative

basis. If the licensee or a person controlling, controlled by, or under common control with the licensee owns or operates room, food or beverage facilities at the establishment, the financial statements must cover those operations as well as gaming operations;

(C) Sixty (60) days prior to the commencement of the annual financial audit, the independent C.P.A. shall submit to the commission a detailed written audit plan. The audit plan shall include a complete description of procedures to be performed by the licensee’s internal auditor, if applicable. At its discretion, the commission may require the independent C.P.A. to perform additional testing and/or procedures; and (D) The licensee’s internal auditor may provide direct assistance to the independent C.P.A. during the annual financial audit only pursuant to commission approval of the audit plan.

(2) The licensee shall prepare and send to the commission a written response to the independent C.P.A. reports required by paragraphs (1)(A)2. and 3., (1)(B)1. and 2. The response shall indicate in detail the licensee’s statement addressing each item and corrective actions taken.

(3) One (1) hard copy or an electronic copy of the reports required by section (1) shall be received by the commission or postmarked, no later than the required filing date.

(A) Quarterly reports shall be due not later than ninety (90) calendar days after the last day of the quarter; and (B) Annual reports shall be due not later than ninety (90) calendar days after the last day of the licensee’s fiscal year or ten (10) days after Form 10-K is filed with the Securities and Exchange Commission, whichever comes first.

(4) In the event of a license termination, change in business entity, or a change in the percentage of ownership of more than twenty percent (20%), the licensee or former licensee, not later than ninety (90) days after the event, shall submit to the commission four (4) copies of audited financial statements covering the period since the period covered by the previous statement. If a license termination, change in business entity, or a change in the percentage of ownership of more than twenty percent (20%) occurs within ninety (90) days after the end of business year for which a statement has not been submitted, the licensee may submit statements covering both the business year and the final period of business.

(5) If a licensee changes its business year, the licensee shall prepare and submit audited financial statements to the commission covering the stub period from the end of the previous business year to the beginning of the new business year not later than ninety (90) days after the end of the stub period or incorporate the financial results of the stub period in the statements for the new business year.

(6) Delays in mailing, mail pickup, and postmarkings are the licensee’s responsibility.

(7) The commission may request additional information and documents from either the licensee or the licensee’s C.P.A., through the licensee, regarding the financial statements or the services performed by the accountant.

Failure to submit the requested information or documents is an unsuitable method of operation.

(8) All of the audits and reports required by this rule, and any special audits of a licensee required by the commission or its director, shall be prepared at the sole expense of the licensee.

(9) Any audits conducted in accordance with this rule shall be conducted by independent C.P.A.s registered or licensed in Missouri under Chapter 326, RSMo.

(10) The term independent as used in section (9) of this rule is consistent with definitions set forth by the American Institute of Certified Public Accountants or the rules of the Securities and Exchange Commission, or both, to the extent applicable.

Sept. 1, 1993, effective Sept. 20, 1993, Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 30, 1994. Amended: Filed June 25, 1996, effective Feb. 28, 1997. Amended: Filed March 21, 2006, effective Nov. 30, 2006.

Amended: Filed March 28, 2013, effective Nov. 30, 2013. Amended: Filed April 26, 2018, effective Dec. 30, 2018. 2008, 2010; and 313.825, RSMo 1991, amended 1993, 2000.

11 CSR 45-8.070 Forms, Records and Documents {#sec-11-csr-45-8.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-8.070}

PURPOSE: This rule establishes accounting forms.

(1) All information required by this chapter to be recorded shall be recorded in a permanent form.

(2) Whenever duplicate or triplicate copies of a form, record or document are required by these rules— (A) The original, duplicate and triplicate copies shall be color-coded and have the destination of the original copy identified on the duplicate and triplicate copies; and (B) Whenever forms or serial numbers are required to be accounted for or copies of forms are required to be compared for agreement and exceptions are noted, these exceptions shall be reported immediately and in writing to the commission.

Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1,

11 CSR 45-8.080 Accounting Controls Within the Cashier’s Cage {#sec-11-csr-45-8.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-8.080}

PURPOSE: This rule establishes cashier’s cage accounting controls.

(1) The assets for which the cashiers are responsible shall be maintained on an imprest

basis. At the end of each shift, the cashiers assigned to the outgoing shift shall record on a cashier’s count sheet the face value of each cashier’s cage inventory item counted and the total of the opening and closing cashier’s cage inventories and shall reconcile the total closing inventory to the total opening inventory.

The cashiers shall sign the completed cashier’s count sheet attesting to the accuracy of the information contained on the cashier’s count sheet.

(2) At the conclusion of each day, at a minimum, a copy of the cashier’s count sheet and related documentation shall be forwarded to the accounting department for agreement of opening and closing inventories, agreement of amounts thereon to other records and documents required by this chapter and recording of transactions.

(3) All accounting controls within the cashier’s cage shall conform with the approved internal control system.

Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1,

11 CSR 45-8.090 Mandatory Count Procedure {#sec-11-csr-45-8.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-8.090}

PURPOSE: This rule establishes mandatory count requirements.

(1) Each licensee shall report to the commission the time(s) when drop devices will be removed and the contents counted. All drop devices must be removed and counted at the time(s) previously designated to the commission. Removal and counting of contents at other than the designated time(s) is prohibited unless the licensee provides advance written notice to the commission of a change in time(s) or the commission requires a change of authorized times. An emergency removal of the funds may be allowed in accordance with the procedures outlined in 11 CSR 45- 9.107.

Sept. 1, 1993, effective Sept. 20, 1993, Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended:

2013. Amended: Filed April 26, 2018, effective Dec. 30, 2018. 2008, 2010; and 313.825, RSMo 1991, amended 1993, 2000.

11 CSR 45-8.100 Count Room—Characteristics {#sec-11-csr-45-8.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-8.100}

PURPOSE: This rule establishes count room characteristics.

(1) Each casino shall have a room(s) specifically designated for counting the contents of drop devices which shall be known as the count room.

(2) The count room shall be designed and constructed to provide maximum security for materials housed in and the activities conducted in that room.

(3) An alarm device (audible, visual, or both) shall be connected to the entrance of the count room that causes a signaling to the monitors of the closed circuit television system and to the commission office on the boat whenever the door to the count room is opened.

2013. Amended: Filed March 1, 2018, effective Oct. 30, 2018.

(11/30/18) JOHN R. ASHCROFT 2014; 313.800, RSMo 1991, amended 1993, 1994, 2005, 2014, 2016; and 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010.

History

• AUTHORITY: sections 313.004, 313.800, and 313.805, RSMo 2016. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended:

11 CSR 45-8.120 Handling of Cash at Gaming Tables {#sec-11-csr-45-8.120 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-8.120}

PURPOSE: This rule establishes requirements for handling cash at a gaming table.

(1) Whenever cash is presented by a patron at a gaming table for exchange of gaming chips, the following procedures and requirements shall be observed:

(A) The cash shall be spread on the top of the gaming table by the dealer or box person accepting it in full view of the patron who presented it;

(B) The cash value amount, if over five hundred dollars ($500), shall be verbalized by the dealer or box person accepting it in a tone of voice calculated to be heard by the patron and the floor supervisor assigned to that gaming table; and (C) Immediately after that, the cash shall be taken from the top of the gaming table and placed by the dealer or box person into the drop box attached to the gaming table.

(2) No cash wagers shall be allowed to be placed at any gaming table. The cash shall be converted to chips prior to acceptance of a wager.

Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original

rule filed Sept. 1, 1993, effective Jan. 31, 1994. Emergency amendment filed Oct. 29, 2008, effective Nov. 15, 2008, expired May 13, 2009. Amended: Filed Oct. 29, 2008, effective April 30, 2009. Amended: Filed July 31, 2014, effective Feb. 28, 2015.

11 CSR 45-8.130 Tips and Gifts {#sec-11-csr-45-8.130 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-8.130}

PURPOSE: This rule establishes regulations regarding the acceptance of tips and gifts.

(1) Except as provided in this rule, no occupational licensee may accept a tip, gift, or loan from any player or patron.

(2) Level II occupational licensees may accept tips for casino-related services performed by the licensee, or paid leave based on work, that is performed in a nonsupervisory capacity as a dealer, poker dealer, cage cashier, slot attendant, food and beverage personnel, valet, ticketing personnel, housekeeping, environmental services (EVS), or other positions as approved by the director.

(3) Occupational license applicants or occupational licensees eligible to accept tips shall receive such tips only in the form of currency, chips, and tickets.

(4) No occupational license applicant or occupational licensee shall solicit any tip, gift, or loan from any player, patron, or vendor of the Class B licensee where the occupational licensee is employed or working. This in no way prohibits an occupational licensee with the written consent of the general manager or the general manager’s designee of the Class B licensee from soliciting a vendor for the purposes of a gift to a charitable or civic event or fundraiser or allowing the name of a licensee from appearing on a general invitation or solicitation.

(5) No dealers, poker dealers, cage cashiers, or slot attendants shall accept currency from any player or patron except as a tip and only if the Class B licensee allows such a practice and has provided procedures for accepting such tips in its internal controls which have been approved by the commission. All tips given to dealers, poker dealers, cage cashiers, and slot attendants shall be— (A) Immediately deposited into a transparent locked box reserved for that purpose except that chips received at table games and poker games may first be immediately placed in a color up tube if approved internal controls are in place for such action. If nonvalue chips are received at a roulette table, the marker button indicating their specific value at that time shall not be removed or changed until after a dealer in the presence of a supervisor has converted the nonvalue chips into value chips which are immediately deposited in a transparent locked box reserved for the

purpose;

(B) Accounted for by a recorded count; and (C) Placed in separate pools for pro rata distribution among the dealers, poker dealers, cage cashiers, and slot attendants on a basis that coincides with the normal pay period, with the distribution based upon the number of hours each dealer, poker dealer, cage cashier, or slot attendant has worked. Tips from this pool shall be deposited into an account established by the Class B licensee.

Distributions to dealers, poker dealers, cage cashiers, and slot attendants from this pool shall be made following the Class B licensee’s payroll accounting practices and shall be subject to all applicable state and federal withholding taxes.

(D) The previous provisions of this subsection notwithstanding, a Class B licensee may, subject to internal controls approved by the commission, allow dealers of poker as defined in 11 CSR 45-1.090 to receive tips on an individual basis. The receiving of tips individually may be allowed only when the dealer does not make decisions that can affect the outcome of the gambling game, is not eligible to receive winnings from the gambling game as an agent of the Class B licensee, and who uses an approved shuffling machine during the course of the poker game. If tips are received by poker dealers on an individual

basis, all tips shall be immediately placed into a locked individual transparent tip box that shall be assigned to and maintained by the dealer while working. The locked individual tip box shall be turned in to the Class B licensee at the end of the shift for counting, withholding of taxes, and subsequent payment during the normal payroll process. For the purposes of this subsection, winnings from a gambling game shall not include commissions, commonly referred to as the “rake,” withheld from amounts wagered in a game. Poker dealers may be permitted to receive tips on an individual basis only if the Class B licensee has internal controls governing such practice that have been approved by the commission.

(6) Upon receipt of a tip from a patron, a dealer, poker dealer, cage cashier, or slot attendant shall extend his/her arm in an overt motion and deposit the tip into the transparent locked box or color up tube reserved for such purposes.

(7) Occupational license applicants or occupational licensees other than surveillance and security personnel may accept gifts from suppliers of goods and services to the Class B licensee provided the Class B licensee allows such practice and has provided procedures for accepting gifts in its internal controls which have been approved by the commission. No gifts may be accepted from liquor distributors (11 CSR 45-12.090). Gifts having a reasonable market value of twenty-five dollars ($25) or more shall be reported to the commission on a form and in a manner prescribed by the (11/30/19) JOHN R. ASHCROFT commission.

(8) Applicable state and federal taxes shall be withheld on tips and gifts received by occupational license applicants or occupational licensees. 313.817, RSMo 2016.* Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 30, 1994. Emergency amendment filed March 2, 1995, effective March 12, 1995, expired July 9, 1995. Amended: Filed March 2, 1995, effective Aug. 30, 1995. Amended:

Filed Nov. 10, 1997, effective June 30, 1998.

Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed Aug. 28, 1998, effective March 30, 1999. Amended: Filed Feb. 28, 2007, effective Oct 30, 2007.

Amended: Filed Jan. 26, 2012, effective Aug. 30, 2012. Amended: Filed Aug. 30, 2012, effective March 30, 2013. Amended: Filed April 26, 2018, effective Dec. 30, 2018. 2008, 2010; and 313.817, RSMo 1991, amended 1993, 2000, 2008, 2014, 2016.

11 CSR 45-8.140 Application and Verification Procedures for Granting Credit {#sec-11-csr-45-8.140 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-8.140}

PURPOSE: This rule provides regulatory procedures for the Class B licensees to follow regarding standards for establishing lines of credit.

(1) A person who wants to obtain credit from a Class B licensee shall file a credit application with the Class B licensee which contains, at a minimum, the following information:

(A) The person’s name;

(B) The address of the person’s residence;

(C) The person’s telephone number;

(D) Bank account information including:

1. The name of the person’s bank; and 2. The account number of the person’s banking account upon which the person is individually authorized to draw and upon which all credit instruments will be drawn;

(E) The credit limit requested by the person; and (F) The person’s signature indicating acceptance of the terms of the credit agreement and attesting to the accuracy of the information provided. (For applications received electronically, the signature may be obtained at a later time prior to the final verification of the credit application.)

(2) The Class B licensee shall not approve a credit limit above the amount requested by the person unless the person requests the increase in writing.

(3) Upon receipt of an application for credit, a confidential credit file for that person containing the information required under section (1) shall be prepared by a cage or credit employee of the Class B licensee either manually or electronically prior to the Class B licensee’s approval of a person’s credit limit.

The information used to determine that an applicant is a “qualified person” pursuant to

section 313.817.8, RSMo, must be contained in the person’s credit file. A cage or credit employee who is responsible for receiving, processing, or verifying the information in credit applications shall not have authority to approve any credit limits or credit limit increases.

(4) Prior to a Class B licensee’s approval of a person’s credit limit, an employee of the credit department or other employee as designated in the Class B licensee’s internal control system shall— (A) Verify the person’s identity by— 1. Obtaining the person’s valid, nonexpired government-issued photo identification (such as a driver’s license, state ID card, or passport); and 2. Confirming the person’s identity by comparing the photo, physical description, and identifying information on the photo identification to the person requesting the credit;

(B) Verify the person’s address (address must match at least one (1) of the addresses on the reports used to determine creditworthiness);

(C) Perform a credit check and apply usual standards to determine the dollar amount of credit for which the person qualifies;

(D) Verify the person’s banking account information which includes, but is not limited to, the following:

1. Account number; and 2. Name and title of the person or webbased service supplying the information;

(E) Verify that the person’s name is not on the List of Disassociated Persons or the Missouri Gaming Commission (MGC) Excluded Persons List;

(F) Verify the application is signed by the person; and (G) Sign the verifications. The date and time of the signature of the verifier shall be recorded either electronically or manually contemporaneously with the verification.

(5) A person’s credit worthiness shall be based on the amount of funds in the person’s demand deposit account or accounts including any checking account and savings account.

(6) If the person’s credit worthiness is ten thousand dollars ($10,000) or more, the Class B licensee may accept a credit instrument of more than ten thousand dollars ($10,000) only if the qualified person’s creditworthiness is equal to or in excess of the amount of the credit instrument. If the person’s credit worthiness is less than ten thousand dollars ($10,000), the Class B licensee may only accept credit instruments that are equal to or less than half the amount of the person’s creditworthiness.

Filed July 28, 2016, effective Feb. 28, 2017.

Amended: Filed April 25, 2019, effective Dec. 30, 2019. 2014; 313.800, RSMo 1991, amended 1992, 1993, 1994, 2005, 2014, 2016; 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010; 313.812, RSMo 1991, amended 1992, 1993, 1994, 2000, 2014; 313.817, RSMo 1991, amended 1992, 1993, 2000, 2008, 2014, 2016; 313.830, RSMo 1991, amended 1992, 1993, 2000, 2010, 2014; and 313.930, RSMo 2016.

History

• AUTHORITY: sections 313.004, 313.800, 313.805, 313.812, 313.817, 313.830, and 313.930, RSMo 2016. Emergency rule filed July 31, 2014, effective Aug. 28, 2014, expired Feb. 26, 2015. Original rule filed July 31, 2014, effective Feb. 28, 2015. Emergency amendment filed July 28, 2016, effective Aug. 28, 2016, expired Feb. 23, 2017. Amended:

11 CSR 45-8.141 Approval of Credit Limits {#sec-11-csr-45-8.141 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-8.141}

PURPOSE: This rule provides regulatory procedures for the Class B licensees to follow regarding the approval of credit limits.

(1) A credit limit, and any temporary or permanent increases thereto, shall be approved by an occupational licensee other than the licensee who processed and verified the credit application information. Each Class B licensee shall designate in its internal control system the job titles authorized to approve credit limits.

(2) The approval of credit shall be recorded in the person’s credit file (either manually or electronically) and shall include the:

(A) Amount of credit for which the person qualifies as determined by the results of the credit check;

(B) Approved credit limit amount, which shall not exceed the amount requested by the person;

(C) Information used to support the credit limit and any changes thereto, including the source of the information; and (D) Signature of the occupational licensee approving the credit limit, together with the date and time of the approval, which shall be recorded before any actual extension of credit is tendered.

(3) Prior to approving a temporary or permanent credit limit increase, an employee of the credit department or other employee, as designated in the Class B licensee’s internal control system, shall— (A) Obtain a written request from the person which includes:

1. The date and time of the person’s request;

2. The amount of credit limit increase requested by the person and if the increase requested is temporary or permanent; and 3. The signature of the person;

(B) Re-verify the information as required by the Class B licensee’s internal control system for increasing credit limits;

(C) Include this information and documentation in the person’s credit file; and (D) Comply with the requirements of sections (1) and (2) of this rule.

Emergency rule filed July 31, 2014, effective Aug. 28, 2014, expired Feb. 26, 2015. Original rule filed July 31, 2014, effective Feb. 28, 2015.

11 CSR 45-8.142 Documentation of Customer Credit Transactions {#sec-11-csr-45-8.142 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-8.142}

PURPOSE: This rule defines the documentation required for customer credit transactions.

(1) All transactions affecting a person’s outstanding indebtedness, including all issuances of credit and payments thereof, to the Class B licensee shall be recorded in chronological order in the person’s credit file (either manually or electronically). The following information shall be maintained in each person’s credit file:

(A) A copy of the person’s valid, nonexpired government-issued photo identification presented prior to approval of the person’s credit limit (may be held in a separate file);

(B) The date, amount, and check number, if applicable, of each credit instrument accepted from the person;

(C) The date, method, amount, and, if applicable, the personal check number of each payment transaction and the check number, if applicable, of the credit instrument returned to the person;

(D) The date, amount, and check number, if applicable, of each personal check used for a substitution transaction and the check number, if applicable, of the credit instrument returned to the person;

(E) The date, amount, and check number, if applicable, of each replacement credit instrument accepted from the person in a consolidation transaction and the check numbers, if applicable, of the initial credit instruments that were consolidated and returned to the person;

(F) The date, amount, and check number, if applicable, of each credit instrument deposited;

(G) The date, amount, and check number, if applicable, of each personal check or credit instrument returned to the Class B licensee by the person’s bank and the reason for its return;

(H) The outstanding balance after each transaction; and (I) The date, amount, and check number, if applicable, of any credit instruments or personal checks that have been partially or completely written off by the Class B licensee and a brief explanation of the reason for the write off.

(2) Evidence of creditworthiness and related documents shall be retained in the credit file for a minimum of five (5) years, or as long as the debt remains unpaid, whichever is longer.

(3) Player ratings (if rated) shall be retained for a minimum of five (5) years, or as long as the debt remains unpaid, whichever is longer.

These records may be maintained separately from the credit file.

Emergency rule filed July 31, 2014, effective Aug. 28, 2014, expired Feb. 26, 2014. Original rule filed July 31, 2014, effective Feb. 28, 2015.

11 CSR 45-8.150 Cash Reserve Requirements {#sec-11-csr-45-8.150 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-8.150}

PURPOSE: This rule establishes cash reserve requirements.

(1) The licensee shall maintain in cash or cash equivalents an amount sufficient to protect patrons against defaults in gaming debts owed by the licensee. Cash equivalents are investments with an original maturity of three (3) months or less which would be permissible investments under Missouri law for state monies held by the state treasurer. The commission shall distribute to licensees and make available to all interested persons a formula approved by the commission by which licensees determine the minimum bankroll requirements of this rule. If, at any time, the licensee’s available cash or cash equivalents should be less than the amount required by this rule, the licensee must immediately notify the commission of this deficiency. Failure to maintain the minimum bankroll required by this rule, or a higher bankroll as required by the commission pursuant to this rule, or failure to notify the commission of any deficiencies, is an unsuitable method of operation.

(2) The Class B licensee shall maintain the following minimum bankroll requirements to ensure payment of patrons’ win:

(A) First month of operation one hundred percent (100%) of licensee’s projected payout to patrons (electronic gaming device and table game drop minus licensee win) for a weekly period, defined as seven (7) gaming days, based on the average daily payout multiplied by seven (7); and (B) Second and subsequent months of operation one hundred percent (100%) of licensee’s actual payout to patrons (electronic gaming device and table game drop minus licensee win) for a weekly period, based on the average daily payout multiplied by seven (7) from the previous month’s operation.

rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994.

Emergency amendment filed Feb. 3, 1995, effective Feb. 13, 1995, expired June 12, 1995. Amended: Filed Feb. 3, 1995, effective Aug. 30, 1995. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended:

2013. Amended: Filed April 26, 2018, effective Dec. 30, 2018.

(11/30/19) JOHN R. ASHCROFT 2014; 313.800, RSMo 1991, amended 1993, 1994, 2005, 2014, 2016; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; and 313.815, RSMo 1991, amended 1992, 1993, 2000.

History

• AUTHORITY: sections 313.004, 313.800, 313.805, and 313.815, RSMo 2016. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency

11 CSR 45-8.160 Extension of Time for Reporting {#sec-11-csr-45-8.160 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-8.160}

(Rescinded July 30, 2018)

Filed Dec. 7, 2017, effective July 30, 2018.

History

• AUTHORITY: sections 313.004, 313.800 and 313.805, RSMo Supp. 1993. Emergency rule Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Rescinded:

Chapter 9 Internal Control System

11 CSR 45-9.030 Minimum Internal Control Standards. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 {#sec-11-csr-45-9.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.030}

11 CSR 45-9.060 Lack of Compliance with Chapter Requirements. . . . . . . . . . . . . . . . . . . . . . . . . 5 {#sec-11-csr-45-9.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.060}

11 CSR 45-9.010 Definition of Licensee {#sec-11-csr-45-9.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.010}

PURPOSE: This rule establishes definitions for this chapter.

(1) For purposes of this chapter, licensee shall mean the holder of a Class A, Class B, Supplier, or Temporary Supplier license as determined by the commission.

History

• AUTHORITY: sections 313.004, 313.800, 313.805, 313.812, and 313.817, RSMo 2016. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed Oct. 29, 2008, effective April 30, 2009. Amended: Filed March 1, 2018, effective Oct. 30, 2018. amended 1993, 1994, 2005, 2014, 2016; 313.805; RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; 313.812, RSMo 1991, amended 1993, 1994, 2000, 2014; and 313.817, RSMo 1991, amended 1993, 2000, 2008, 2014, 2016.

11 CSR 45-9.020 Objectives of an Internal Control System {#sec-11-csr-45-9.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.020}

PURPOSE: This rule establishes the objectives of an internal control system.

(1) Each Class B licensee and other licensees as directed by the commission shall establish an internal control system that includes the following:

(A) Administrative control which includes, but is not limited to, the plan of organization and the procedures and records that are concerned with the decision processes leading to management’s levels of authorization of transactions.

(B) Accounting control which includes the plan of organization and the procedures and records that are concerned with the safeguarding of assets and the accuracy and reliability of financial records and are consequently designed to provide reasonable assurance that— 1. Transactions are performed only in accordance with management’s specific or general authorization;

2. Transactions are recorded adequately to permit preparation of financial statements in conformity with generally accepted accounting principles, to permit proper reporting of adjusted gross receipts and of fees and taxes and to maintain accountability for assets;

3. Access to assets is permitted only in accordance with management’s specific authorization;

4. Recorded accountability for assets is compared with actual assets at reasonable intervals and appropriate action is taken with respect to any discrepancies;

5. Functions, duties, and responsibilities are appropriately segregated and performed by competent personnel with integrity and an understanding of prescribed procedures.

A. The internal auditor shall report only to the entity or person holding a Class A license, or other reporting as approved by the commission.

B. Security personnel shall only report to the general manager.

C. Surveillance personnel shall only report directly to an organizational level above that of general manager; and 6. Compliance with the statutes and rules is assured.

(C) Areas determined necessary by the commission.

rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Emergency amendment filed March 18, 1996, effective March 28, 1996, expired Sept. 23, 1996. Amended: Filed March 18, 1996, effective Oct. 30, 1996. Amended: Filed Oct. 29, 2008, effective April 30, 2009. Amended: Filed April 25, 2012, effective Dec. 30, 2012. amended 1993, 1994, 2005; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; 313.812, RSMo 1991, amended 1993, 1994, 2000; and 313.817, RSMo 1991, amended 1993, 2000, 2008.

History

• AUTHORITY: sections 313.004 and 313.812, RSMo 2000, and sections 313.800, 313.805, and 313.817, RSMo Supp. 2011. Emergency

11 CSR 45-9.030 Minimum Internal Control Standards {#sec-11-csr-45-9.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.030}

PURPOSE: This rule establishes the minimum requirements for the licensees’ internal control systems.

(1) The commission shall adopt and publish minimum stanopinion satisfy 11 CSR 45-9.020, as set forth in the Minimum Internal Control Standards (MICS). The individual chapters that comprise the MICS are established by individual regulations in this chapter.

(2) Each licensee shall adopt an internal control system that complies with the MICS. The procedures must be approved by the commission. In the event that the MICS are amended, each licensee whose procedures are affected by the amended minimum standards shall, within ten (10) days of the effective date of the amended rule, amend its written system, submit a copy of the written system as amended to the commission, and comply with the standards and system as amended. The commission, in its sole and absolute discretion, may extend the time for complying with this rule.

rule filed Sept. 1, 1993, effective Jan. 31, 1994. Emergency amendment filed March 18, 1996, effective March 28, 1996, expired Sept. 23, 1996. Amended: Filed March 18, 1996, effective Oct. 30, 1996.

Amended: Filed Sept. 12, 1996, effective March 30, 1997. Amended:

Filed July 2, 1997, effective Feb. 28, 1998. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed June 4, 1999, effective Jan. 30, 2000. Amended: Filed Oct. 29, 1999, effective May 30, 2000. Amended: Filed March 1, 2002, effective Sept. 30, 2002.

Amended: Filed May 6, 2003, effective Jan. 30, 2004. Amended:

Filed March 31, 2005, effective Oct. 30, 2005. Amended: Filed Feb. 28, 2007, effective Oct. 30, 2007. Emergency amendment filed Oct. 29, 2008, effective Nov. 15, 2008, expired May 13, 2009. Amended:

Filed Oct. 29, 2008, effective April 30, 2009. Amended: Filed Aug. 27, 2015, effective March 30, 2016. Amended: Filed Sept. 1, 2022, effective March 30, 2023. amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; and 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022.

History

• AUTHORITY: section 313.004, RSMo 2016, and sections 313.800 and 313.805, RSMo Supp. 2022. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original

11 CSR 45-9.040 Commission Approval of Internal Control System {#sec-11-csr-45-9.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.040}

PURPOSE: This rule establishes the procedure for approval of internal control system.

(1) Each Class B licensee and other licensees as directed by the commission shall describe, in a manner that the commission may approve or require, its administrative and accounting procedures in detail in a written system of internal control. Each written system must include a detailed narrative description of the administrative and accounting procedures designed to satisfy the requirements of 11 CSR 45-9.020 and 11 CSR 45-9.030(1).

Additionally, this description shall include a separate section for the following:

(A) An organizational chart depicting appropriate segregation of functions and responsibilities;

(B) A description of the duties and responsibilities of each position shown on the organizational chart;

(C) A detailed, narrative description of the administrative and accounting procedures designed to satisfy the requirements of

11 CSR 45-9.020 and 11 CSR 45-9.030(1). Additionally, this description shall include a separate section for the following: {#sec-11-csr-45-9.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.020}

1. Procedures to account for the total number and amount of money received from admissions, including free passes or complimentary admission tickets;

2. Physical characteristics of drop box and tip box;

3. Transportation of drop and tip boxes to and from gaming tables;

4. Procedures for table inventories;

5. Procedures for opening and closing gaming tables;

6. Procedures for fills and credits;

7. Procedures for accepting tips or gratuities;

8. Procedures for transporting chips and tokens to and from gaming tables;

9. Procedures for shift changes at gaming tables;

10. Drop bucket characteristics;

11. Transportation of drop buckets to and from electronic gaming devices;

12. Procedures for chip and token purchases;

13. Procedures for lines of credit and credit instruments;

14. Procedures for transportation of electronic gaming devices;

15. Procedures for jackpot payout;

16. Layout and physical characteristics of cashier’s cage;

17. Procedures for accounting controls;

18. Procedures for exchange of checks submitted by gaming patrons;

19. Procedures for credit card and debit card transactions;

20. Procedures for acceptance, accounting for, and redemption of patron’s cash deposits;

21. Procedures for control of coupon redemption and other complimentary distribution programs;

22. Procedures for federal cash transactions reporting; and 23. Procedures for security and accountability of dice and cards; and (D) Other items as the commission may require.

(2) At least ninety (90) days before the riverboat gaming operation commences, unless otherwise directed by the commission, each licensee shall submit to the commission a written description of its internal control system, which is designed to satisfy the requirements of section (1) of this rule.

(3) If the written system is the initial submission to the commission, a letter shall be submitted from an independent certified public accountant selected by the commission stating that the licensee’s written system has been reviewed by the accountant and complies with the requirements of section (1) of this rule.

(4) The commission shall review each submission required by

section (2) of this rule and shall determine whether it conforms to the requirements of section (1) of this rule and whether the system submitted provides adequate and effective controls for the operations of the licensee. If the commission finds any insufficiencies, they shall be specified in writing to the licensee, who shall make appropriate alterations. No licensee shall commence gaming operations unless and until a system of controls is approved.

(5) The licensee may not implement a system of internal control procedures that does not satisfy the minimum standards unless the commission, in its sole discretion, determines that the licensee’s proposed system satisfies 11 CSR 45-9.020 and approves the system in writing. Within thirty (30) days after a licensee receives notice of the commission’s approval of procedures that satisfy the requirements of 11 CSR 45-9.020 but that do not satisfy the minimum standards, the licensee shall comply with the approved procedures, amend its written system accordingly, and submit to the commission a copy of the written system as amended and a written description of the variations. and 313.830, RSMo 2016.* Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed June 2, 1995, effective Dec. 30, 1995. Amended: Filed March 18, 1996, effective Oct. 30, 1996. Emergency amendment filed Oct 29, 2008, effective Nov. 15, 2008, expired May 13, 2009. Amended: Filed Oct. 29, 2008, effective April 30, 2009. Emergency amendment filed July 31, 2014, effective Aug. 28, 2014, expired Feb. 26, 2015. Amended: Filed July 31, 2014, effective Feb. 28, 2015. Amended: Filed March 1, 2018, effective Oct. 30, 2018. amended 1993, 1994, 2005, 2014, 2016; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; 313.812, RSMo 1991, amended 1993, 1994, 2000, 2014; 313.817, RSMo 1991, amended 1993, 2000, 2008, 2014, 2016; and 313.830, RSMo 1991, amended 1993, 2000, 2010, 2014.

11 CSR 45-9.050 Modifications of the Internal Control System {#sec-11-csr-45-9.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.050}

PURPOSE: This rule establishes the process for modifications of the internal control system.

(1) Before the changes are to become effective, each Class B licensee shall submit any changes to the approved internal control system to the commission in a time frame as directed by the commission. The proposed changes to the system may be approved or disapproved by the commission. No licensee shall alter its internal control system unless and until the changes are approved by the commission.

(2) Before eliminating all table games, adding a table game at a gaming establishment not offering table games, adding any computerized system that affects the proper reporting of adjusted gross receipts, or adding any computerized system for monitoring slot machines or other games, or any other computerized associated equipment, the licensee must— (A) Amend its accounting and administrative procedures and its written system of internal control to comply with the minimum standards;

(B) Submit to the commission a copy of the written system as amended, and a written description of the amendment;

(C) Comply with any written requirements imposed by the commission regarding administrative approval of computerized associated equipment; and (D) Implement, after subsections (2)(A)–(C) have been complied with, the procedures and written system as amended.

Supp. 2013, and section 313.800, RSMo Supp. 2014.* Emergency

rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed Aug. 27, 2015, effective March 30, 2016. *Original authority: 313.004, RSMo 1993; 313.800, RSMo 1991 amended 1993, 1994, 2005, 2014 and 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010.

11 CSR 45-9.060 Lack of Compliance with Chapter Requirements {#sec-11-csr-45-9.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.060}

PURPOSE: This rule establishes the process if licensee fails to comply with internal control system.

(1) If the commission or director determines that a licensee’s administrative or accounting procedures or its written system does not comply with the requirements of this chapter or require improvement, the commission or director shall notify the licensee in writing. Within fifteen (15) days after receiving the notification, the licensee shall amend its procedures and written system accordingly and shall submit a copy of the written system, as amended, and a description of any other remedial measures taken.

(2) Failure to comply with the provisions of this chapter is an unsuitable method of operation.

(3) Violations of the minimum internal control standards by a Class A or Class B licensee or an agent or employee of a Class A or Class B licensee are deemed to be unsuitable conduct for which the Class A or Class B licensee and/or its agent or employee is subject to administrative penalty pursuant to section 313.805(6), RSMo and 11 CSR 45-1 et seq., as amended from time-to-time. Any agent or employee of a Class A or Class B licensee that is involved in a violation of the minimum internal control standards may be subject to fine, discipline, or license revocation.

(4) Violations of the Class B licensee’s internal control system by the Class A or Class B licensee or an agent or employee of the Class A or Class B licensee shall be prima facie evidence of unsuitable conduct for which the Class A or Class B licensee and/or its agents or employees may be subject to discipline pursuant to section 313.805(6), RSMo and 11 CSR 45-1 et seq., as amended from time-to-time.

Supp. 2013, and sections 313.800, 313.812, and 313.817, RSMo Supp. 2014.* Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Emergency amendment filed March 18, 1996, effective March 28, 1996, expired Sept. 23, 1996.

Amended: Filed March 18, 1996, effective Oct. 30, 1996. Amended:

Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed Aug. 27, 2015, effective March 30, 2016. amended 1993, 1994, 2005, 2014; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; 313.812, RSMo 1991, amended 1993, 1994, 2000, 2014; and 313.817, RSMo 1991, amended 1993, 2000, 2008, 2014.

11 CSR 45-9.101 Minimum Internal Control Standards (MICS)—Chapter A {#sec-11-csr-45-9.101 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.101}

PURPOSE: This rule establishes the internal controls for Chapter A here. The Minimum Internal Control Standards may also be ac- (1) The commission shall adopt and publish minimum standards for internal control procedures that in the commission’s opinion satisfy 11 CSR 45-9.020, as set forth in Minimum Internal Control Standards (MICS) Chapter A—General and Administrative, which has been incorporated by reference herein, as published by the Missouri Gaming Commission, 3417 Knipp Dr., PO Box 1847, Jefferson City, MO 65102. Chapter A does not incorporate any subsequent amendments or additions as adopted by the commission on April 25, 2018.

rule filed Aug. 27, 2015, effective March 30, 2016. Amended: Filed April 26, 2018, effective Dec. 30, 2018. *Original authority: 313.004, RSMo 1993, amended 1994, 2014 and 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010.

History

• AUTHORITY: sections 313.004 and 313.805, RSMo 2016. Original

11 CSR 45-9.102 Minimum Internal Control Standards (MICS)—Chapter B {#sec-11-csr-45-9.102 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.102}

PURPOSE: This rule establishes the internal controls for Chapter B here. The Minimum Internal Control Standards may also be ac- (1) The commission has established minimum standards for Standards (MICS) Chapter B—Key Controls, which is incorporated by reference and made a part of this rule as adopted by the commission on December 4, 2024, and published by the Jefferson City, MO 65102 and which may be accessed at http:// www.mgc.dps.mo.gov. Chapter B does not incorporate any subsequent amendments or additions.

History

• AUTHORITY: section 313.004, RSMo 2016, and sections 313.800 and 313.805, RSMo Supp. 2024. Original rule filed Oct. 22, 2010, effective June 30, 2011. Amended: Filed Nov. 1, 2018, effective June 30, 2019. Amended: Filed Dec. 5, 2024, effective July 30, 2025. amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; and 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022.

11 CSR 45-9.103 Minimum Internal Control Standards (MICS)—Chapter C {#sec-11-csr-45-9.103 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.103}

PURPOSE: This rule establishes the internal controls for Chapter C here. The Minimum Internal Control Standards may also be ac- (1) The commission shall adopt and publish minimum standards Control Standards (MICS) Chapter C—Rules of the Game, which 1847, Jefferson City, MO 65102. Chapter C does not incorporate commission on October 30, 2007.

Supp. 2013, and section 313.800, RSMo Supp. 2014.* Original rule filed Aug. 27, 2015, effective March 30, 2016. amended 1993, 1994, 2005, 2014; and 313.805, RSMo 1991, amended 1993, 1994, 2000,

11 CSR 45-9.104 Minimum Internal Control Standards (MICS)—Chapter D standards for live table games. {#sec-11-csr-45-9.104 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.104}

here. The Minimum Internal Control Standards may also be (1) The commission has established minimum standards for Standards (MICS) Chapter D—Table Games (Live Games), which is incorporated by reference and made part of this rule as adopted by the commission on January 19, 2022, and published 1847, Jefferson City, MO 65102 and which may be accessed at http://www.mgc.dps.mo.gov. Chapter D does not incorporate any subsequent amendments or additions.

Amended: Filed Jan. 20, 2022, effective Sept. 30, 2022. Amended:

Filed Sept. 1, 2022, effective March 30, 2023. amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022; 313.812, RSMo 1991, amended 1992, 1993, 1994, 2000, 2014, 2021; 313.817, RSMo 1991, amended 1992, 1993, 2000, 2008,

History

• AUTHORITY: sections 313.004, 313.817, and 313.830, RSMo 2016, and sections 313.800, 313.805, and 313.812, RSMo Supp. 2022. Emergency rule filed July 31, 2014, effective Aug. 28, 2014, expired Feb. 26, 2015. Original rule filed July 31, 2014, effective Feb. 28, 2015. Amended: Filed Oct. 27, 2016, effective June 30, 2017.

11 CSR 45-9.105 Minimum Internal Control Standards (MICS)—Chapter E {#sec-11-csr-45-9.105 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.105}

PURPOSE: This rule establishes the internal controls for Chapter E here. The Minimum Internal Control Standards may also be (1) The commission has established minimum standards for Standards (MICS) Chapter E—Electronic Gaming Devices (EGDs), which is incorporated by reference and made a part of this rule as adopted by the commission on December 4, 2024, and published by the Missouri Gaming Commission, 3417 Knipp Dr., PO Box 1847, Jefferson City, MO 65102 and which may be accessed at http://www.mgc.dps.mo.gov. Chapter E does not incorporate any subsequent amendments or additions.

History

• AUTHORITY: sections 313.004 and 313.807, RSMo 2016, and sections 313.800 and 313.805, RSMo Supp. 2024. Original rule filed Oct. 22, 2010, effective June 30, 2011. Amended: Filed Sept. 27, 2012, effective May 30, 2013. Amended: Filed April 25, 2019, effective Dec. 30, 2019. Amended: Filed Dec. 5, 2024, effective July 30, 2025. Original authority: 313.004, RSMo 1993, amended 1994, 2014; 313.800, RSMo 1991, amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022; and 313.807, RSMo 1991, amended 1992, 1993, 2000, 2012.

11 CSR 45-9.106 Minimum Internal Control Standards (MICS)—Chapter F {#sec-11-csr-45-9.106 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.106}

PURPOSE: This rule establishes the internal controls for Chapter F here. The Minimum Internal Control Standards may also be (1) The commission shall adopt and publish minimum stan- Control Standards (MICS) Chapter F—Poker Rooms, which has been incorporated by reference herein, as published by the Jefferson City, MO 65102. Chapter F does not incorporate any subsequent amendments or additions as adopted by the commission on October 31, 2018. and 313.830, RSMo 2016.* Original rule filed Jan. 26, 2012, effective Aug. 30, 2012. Amended: Filed Oct. 25, 2012, effective June 30, 2013.

Amended: Filed March 28, 2013, effective Dec. 30, 2013. Amended:

Filed July 31, 2014, effective Feb. 28, 2015. Amended: Filed Nov. 1, 2018, effective June 30, 2019. amended 1993, 1994, 2005, 2016; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; 313.812, RSMo 1991, amended 1993, 1994, 2000, 2014; 313.817, RSMo 1991, amended 1993, 2000, 2008, 2014, 2016; and 313.830, RSMo 1991, amended 1993, 2000, 2010, 2014.

11 CSR 45-9.107 Minimum Internal Control Standards (MICS)—Chapter G {#sec-11-csr-45-9.107 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.107}

PURPOSE: This rule establishes the internal controls for Chapter G here. The Minimum Internal Control Standards may also be (1) The commission shall adopt and publish minimum standards Control Standards (MICS) Chapter G—Drops and Counts, which 1847, Jefferson City, MO 65102. Chapter G does not incorporate commission on July 30, 2014.

rule filed March 28, 2013, effective Nov. 30, 2013. Emergency amendment filed July 31, 2014, effective Aug. 28, 2014, expired Feb. 26, 2015. Amended: Filed July 31, 2014, effective Feb. 28, 2015.

History

• AUTHORITY: section 313.004, RSMo 2000, and sections 313.800, 313.805, 313.812, 313.817, and 313.830, RSMo Supp. 2014. Original

11 CSR 45-9.108 Minimum Internal Control Standards (MICS)—Chapter H {#sec-11-csr-45-9.108 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.108}

PURPOSE: This rule establishes the internal controls for Chapter H here. The Minimum Internal Control Standards may also be (1) The commission has established minimum standards for internal control procedures that, in the commission’s opinion, Standards (MICS) Chapter H—Casino Cashiering and Credit, which is incorporated by reference and made a part of this

rule as adopted by the commission on December 4, 2024, and accessed at http://www.mgc.dps.mo.gov. Chapter H does not Original rule filed Oct. 31, 2011, effective June 30, 2012. Emergency amendment filed July 31, 2014, effective Aug. 28, 2014, expired Feb. 26, 2015. Amended: Filed July 31, 2014, effective Feb. 28, 2015.

Emergency amendment filed July 28, 2016, effective Aug. 28, 2016, expired Feb. 23, 2017. Amended: Filed July 28, 2016, effective Feb. 28, 2017. Amended: Filed April 1, 2021, effective Dec. 30, 2021.

Amended: Filed Feb. 25, 2022, effective Sept. 30, 2022. Amended: amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022; 313.812, RSMo 1991, amended 1992, 1993, 1994, 2000, 2014, 2021; 313.817, RSMo 1991, amended 1992, 1993, 2000, 2008,

11 CSR 45-9.109 Minimum Internal Control Standards (MICS)—Chapter I standards for casino accounting. {#sec-11-csr-45-9.109 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.109}

here. The Minimum Internal Control Standards may also be (1) The commission has established minimum standards for Standards (MICS) Chapter I—Casino Accounting, which is incorporated by reference and made a part of this rule as adopted by the commission on December 4, 2024, and published by the Missouri Gaming Commission, 3417 Knipp Dr., PO Box 1847, Jefferson City, MO 65102 and which may be accessed at http:// www.mgc.dps.mo.gov. Chapter I does not incorporate any subsequent amendments or additions.

Emergency rule filed July 31, 2014, effective Aug. 28, 2014, expired Feb. 26, 2015. Original rule filed July 31, 2014, effective Feb. 28, 2015. Amended: Filed Nov. 1, 2018, effective June 30, 2019.

Amended: Filed Sept. 1, 2022, effective March 30, 2023. Amended: amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022; 313.812, RSMo 1991, amended 1992, 1993, 1994, 2000, 2014, 2021; 313.817, RSMo 1991, amended 1992, 1993, 2000, 2008,

11 CSR 45-9.110 Minimum Internal Control Standards (MICS)—Chapter J {#sec-11-csr-45-9.110 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.110}

PURPOSE: This rule establishes the internal controls for Chapter J here. The Minimum Internal Control Standards may also be (1) The commission shall adopt and publish minimum standards for internal control procedures that in the commission’s opinion Standards (MICS) Chapter J—Admissions, which has been incorporated by reference herein, as published by the Missouri City, MO 65102. Chapter J does not incorporate any subsequent August 21, 2013.

History

• AUTHORITY: section 313.004, RSMo 2000, and sections 313.800 and 313.805, RSMo Supp. 2013. Original rule filed May 1, 2013, effective Dec. 30, 2013.

11 CSR 45-9.111 Minimum Internal Control Standards (MICS)—Chapter K {#sec-11-csr-45-9.111 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.111}

PURPOSE: This rule establishes the internal controls for Chapter K here. The Minimum Internal Control Standards may also be (1) The commission shall adopt and publish minimum stan- Control Standards (MICS) Chapter K—Currency Transaction Reporting, which has been incorporated by reference herein, as published by the Missouri Gaming Commission, 3417 Knipp Dr., PO Box 1847, Jefferson City, MO 65102. Chapter K does not incorporate any subsequent amendments or additions as adopted by the commission on July 30, 2014.

rule filed Oct. 31, 2013, effective June 30, 2014. Emergency amendment filed July 31, 2014, effective Aug. 28, 2014, expired Feb. 26, 2015. Amended: Filed July 31, 2014, effective Feb. 28, 2015.

History

• AUTHORITY: section 313.004, RSMo 2000, and sections 313.800, 313.805, 313.812, 313.817, and 313.830, RSMo Supp. 2014. Original

11 CSR 45-9.112 Minimum Internal Control Standards (MICS)—Chapter L {#sec-11-csr-45-9.112 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.112}

PURPOSE: This rule establishes the internal controls for Chapter L here. The Minimum Internal Control Standards may also be (1) The commission has established minimum standards for Standards (MICS) Chapter L—Internal Audit, which is incorporated by reference and made a part of this rule as adopted by the commission on February 22, 2023, and published by the Jefferson City, MO 65102, and which may be accessed at http:// www.mgc.dps.mo.gov. Chapter L does not incorporate any subsequent amendments or additions.

History

• AUTHORITY: sections 313.004, 313.817, 313.824, and 313.830, RSMo 2016, and sections 313.800, 313.805, and 313.812, RSMo Supp. 2022. Emergency rule filed July 31, 2014, effective Aug. 28, 2014, expired Feb. 26, 2015. Original rule filed July 31, 2014, effective Feb. 28, 2015. Amended: Filed Sept. 29, 2022, effective June 30, 2023. amended 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010, 2021, 2022; 313.812, RSMo 1991, amended 1993, 1994, 2000, 2014, 2021; 313.817, RSMo 1991, amended 1993, 2000, 2008, 2014, 2016; and 313.830, RSMo 1991, amended 1993, 2000, 2010, 2014.

11 CSR 45-9.113 Minimum Internal Control Standards (MICS)—Chapter M standards for surveillance. {#sec-11-csr-45-9.113 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.113}

here. The Minimum Internal Control Standards may also be (1) The commission has established minimum standards for satisfy 11 CSR 45-9.020, as set forth in Minimum Internal Control Standards (MICS) Chapter M—Surveillance, which is incorporated by reference and made a part of this rule as adopted by the commission on September 29, 2021, and Dr., PO Box 1847, Jefferson City, MO 65102 and which may be accessed at http://www.mgc.dps.mo.gov. This rule does not

History

• AUTHORITY: sections 313.004 and 313.824, RSMo 2016, and sections 313.800 and 313.805, RSMo Supp. 2021. Original rule filed June 30, 2010, effective Jan. 30, 2011. Amended: Filed Dec. 5, 2013, effective Aug. 30, 2014. Amended: Filed May 26, 2016, effective Jan. 30, 2017. Amended: Filed Sept. 30, 2021, effective May 30, 2022. amended 1992, 1993, 1994, 2005, 2014, 2016, 2021; 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021; and 313.824, RSMo 1991, amended 1993.

11 CSR 45-9.114 Minimum Internal Control Standards (MICS)—Chapter N standards for security. {#sec-11-csr-45-9.114 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.114}

here. The Minimum Internal Control Standards may also be (1) The commission shall adopt and publish minimum standards Control Standards (MICS) Chapter N—Security, which has been incorporated by reference herein, as published by the Missouri City, MO 65102. Chapter N does not incorporate any subsequent March 28, 2012.

History

• AUTHORITY: section 313.004, RSMo 2000, and sections 313.800 and 313.805, RSMo Supp. 2011. Original rule filed June 30, 2010, effective Jan. 30, 2011. Amended: Filed Aug. 25, 2011, effective March 30, 2012. Amended: Filed March 29, 2012, effective Nov. 30, 2012.

11 CSR 45-9.115 Minimum Internal Control Standards— {#sec-11-csr-45-9.115 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.115}

Section O standards for purchasing and contract administration.

here. The Minimum Internal Control Standards may also be (1) The commission shall adopt and publish minimum standards Control Standards (MICS) Section O—Purchasing and Contract Administration, which has been incorporated by reference herein, as published by the Missouri Gaming Commission, 3417 Knipp Dr., PO Box 1847, Jefferson City, MO 65102. Section O does not incorporate any subsequent amendments or additions as adopted by the commission on May 26, 2010.

History

• AUTHORITY: section 313.004, RSMo 2000 and sections 313.800 and 313.805, RSMo Supp. 2009. Original rule filed May 27, 2010, effective Dec. 30, 2010. amended 1993, 1994, 2005; and 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008.

11 CSR 45-9.116 Minimum Internal Control Standards (MICS)—Chapter P {#sec-11-csr-45-9.116 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.116}

PURPOSE: This rule establishes the internal controls for Chapter P here. The Minimum Internal Control Standards may also be (1) The commission shall adopt and publish minimum standards Control Standards (MICS) Chapter P—Excluded Persons, which 1847, Jefferson City, MO 65102. Chapter P does not incorporate commission on October 31, 2018. and 313.830, RSMo 2016.* Emergency rule filed July 31, 2014, effective Aug. 28, 2014, expired Feb. 26, 2015. Original rule filed July 31, 2014, effective Feb. 28, 2015. Amended: Filed Nov. 1, 2018, effective June 30, 2019. amended 1993, 1994, 2005, 2014, 2016; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; 313.812, RSMo 1991, amended 1993, 1994, 2000, 2014; 313.817, RSMo 1991, amended 1993, 2000, 2008, 2014, 2016; and 313.830, RSMo 1991, amended 1993, 2000, 2010, 2014.

11 CSR 45-9.117 Minimum Internal Control Standards (MICS)—Chapter Q standards for Disassociated Persons. {#sec-11-csr-45-9.117 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.117}

here. The Minimum Internal Control Standards may also be (1) The commission shall adopt and publish minimum standards Control Standards (MICS) Chapter Q—Disassociated Persons, which has been incorporated by reference herein, as published 1847, Jefferson City, MO 65102. Chapter Q does not incorporate commission on October 31, 2018.

Filed July 31, 2014, effective Feb. 28, 2015. Amended: Filed Nov. 4, 2015, effective June 30, 2016. Amended: Filed Nov. 1, 2018, effective June 30, 2019. amended 1993, 1994, 2005, 2014; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; 313.812, RSMo 1991, amended 1992, 1993, 1994, 2000, 2014; 313.813, RSMo 2000; 313.817, RSMo 1991, amended 1992, 1993, 2000, 2008, 2014; and 313.830, RSMo 1991, amended 1992, 1993, 2000, 2010, 2014.

History

• AUTHORITY: sections 313.004, 313.800, 313.805, 313.812, 313.813, 313.817, and 313.830, RSMo 2016. Original rule filed Aug. 25, 2011, effective March 30, 2012. Emergency amendment filed July 31, 2014, effective Aug. 28, 2014, expired Feb. 26, 2015. Amended:

11 CSR 45-9.118 Minimum Internal Control Standards (MICS)—Chapter R {#sec-11-csr-45-9.118 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.118}

PURPOSE: This rule establishes the internal controls for Chapter R here. The Minimum Internal Control Standards may also be (1) The commission has established minimum standards for Standards (MICS) Chapter R—Forms, which is incorporated by reference and made a part of this rule as adopted by the commission on December 4, 2024, and published by the Missouri City, MO 65102, and which may be accessed at http://www.mgc. dps.mo.gov. Chapter R does not incorporate any subsequent amendments or additions.

Original rule filed June 30, 2010, effective Jan. 30, 2011. Amended:

Filed Dec. 8, 2011, effective July 30, 2012. Amended: Filed Sept. 27, 2012, effective May 30, 2013. Amended: Filed May 1, 2013, effective Dec. 30, 2013. Amended: Filed Dec. 5, 2013, effective Aug. 30, 2014.

Emergency amendment filed July 31, 2014, effective Aug. 30, 2014, expired Feb. 28, 2015. Amended: Filed July 31, 2014, effective Feb. 28, 2015. Amended: Filed April 1, 2021, effective Dec. 30, 2021.

Amended: Filed Feb. 25, 2022, effective Sept. 30, 2022. Amended: amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022; 313.812, RSMo 1991, amended 1992, 1993, 1994, 2000, 2014, 2021; 313.817, RSMo 1991, amended 1992, 1993, 2000, 2008,

11 CSR 45-9.119 Minimum Internal Control Standards (MICS)—Chapter S {#sec-11-csr-45-9.119 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.119}

PURPOSE: This rule establishes the internal controls for Chapter S here. The Minimum Internal Control Standards may also be (1) The commission has established minimum standards for internal control procedures that in the commission’s opinion satisfy 11 CSR 45-9.020, as set forth in Minimum Internal Control Standards (MICS) Chapter S—Management Information Systems, which is incorporated by reference and made a part of this rule as adopted by the commission on May 25, 2022, and accessed at http://www.mgc.dps.mo.gov. Chapter S does not

Amended: Filed Feb. 25, 2022, effective Sept. 30, 2022. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021.

History

• AUTHORITY: section 313.004, RSMo 2016, and section 313.805, RSMo Supp. 2021. Original rule filed Oct. 22, 2010, effective June 30, 2011. Amended: Filed Oct. 31, 2013, effective June 30, 2014.

11 CSR 45-9.120 Minimum Internal Control Standards (MICS)—Chapter T {#sec-11-csr-45-9.120 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.120}

PURPOSE: This rule establishes the internal controls for Chapter T here. The Minimum Internal Control Standards may also be (1) The commission shall adopt and publish minimum stan- Control Standards (MICS) Chapter T—Tips, which has been incorporated by reference herein, as published by the Missouri City, MO 65102. Chapter T does not incorporate any subsequent April 25, 2018.

rule filed Jan. 26, 2012, effective Aug. 30, 2012. Amended: Filed Oct. 25, 2012, effective June 30, 2013. Amended: Filed April 26, 2018, effective Dec. 30, 2018. *Original authority: 313.004, RSMo 1993, amended 1994, 2014 and 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010.

History

• AUTHORITY: sections 313.004 and 313.805, RSMo 2016. Original

11 CSR 45-9.121 Minimum Internal Control Standards (MICS)—Chapter U {#sec-11-csr-45-9.121 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.121}

PURPOSE: This rule establishes the internal controls for Chapter U here. The Minimum Internal Control Standards may also be (1) The commission has established minimum standards for Standards (MICS) Chapter U—Cashless and Bonusing Systems, which is incorporated by reference and made a part of this

rule as adopted by the commission on December 4, 2024, and accessed at http://www.mgc.dps.mo.gov. Chapter U does not tions 313.800 and 313.805, RSMo Supp. 2024.* Original rule filed Oct. 22, 2010, effective June 30, 2011. Amended: Filed Feb. 25, 2022, effective Sept. 30, 2022. Amended: Filed Dec. 5, 2024, effective July 30, 2025. *Original authority: 313.004, RSMo 1993, amended 1994, 2014; 313.800, RSMo 1991, amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022; and 313.817, RSMo 1991, amended 1992, 1993, 2000, 2008, 2014, 2016.

11 CSR 45-9.122 Minimum Internal Control Standards (MICS)—Chapter V {#sec-11-csr-45-9.122 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.122}

PURPOSE: This rule establishes the internal controls for Chapter V here. The Minimum Internal Control Standards may also be (1) The commission shall adopt and publish minimum standards for internal control procedures that in the commission’s opinion Standards (MICS) Chapter V—Server-Supported Game Systems, which has been incorporated by reference herein, as published 1847, Jefferson City, MO 65102. Chapter V does not incorporate commission on September 29, 2010.

History

• AUTHORITY: section 313.004, RSMo 2000 and sections 313.800 and 313.805, RSMo Supp. 2010. Original rule filed Oct. 22, 2010, effective June 30, 2011.

11 CSR 45-9.123 Minimum Internal Control Standards (MICS)—Chapter W {#sec-11-csr-45-9.123 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-9.123}

PURPOSE: This rule establishes the internal controls for Chapter W here. The Minimum Internal Control Standards may also be (1) The commission shall adopt and publish minimum standards Control Standards (MICS) Chapter W—Hybrid Table Game Systems, which is incorporated by reference and made a part of this rule as adopted by the commission on December 7, 2022, and published by the Missouri Gaming Commission, 3417 Knipp Dr., PO Box 1847, Jefferson City, MO 65102, and which may be accessed at http://www.mgc.dps.mo.gov. This rule does not

Amended: Filed Dec. 8, 2022, effective July 30, 2023. amended 1992, 1993, 1994, 2005, 2014, 2016, 2021, 2022; 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010, 2021, 2022; 313.812, RSMo 1991, amended 1992, 1993, 1994, 2000, 2014, 2021; 313.817, RSMo 1991, amended 1992, 1993, 2000, 2008,

History

• AUTHORITY: sections 313.004, 313.817, and 313.830, RSMo 2016, and sections 313.800, 313.805, and 313.812, RSMo Supp. 2022. Original rule filed Aug. 26, 2021, effective March 30, 2022.

Chapter 10 Licensee's Responsibilities

11 CSR 45-10.050 Transferability of Ownership of a Publicly-Traded Company {#sec-11-csr-45-10.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-10.050}

11 CSR 45-10.150 Child Care Facilities—License Required {#sec-11-csr-45-10.150 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-10.150}

11 CSR 45-10.010 Commission Access to Information {#sec-11-csr-45-10.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-10.010}

PURPOSE: This rule establishes the commission’s access to information.

(1) All licensees shall provide all information requested by the commission. Access to this information shall be immediate and copies of the information shall be delivered within seven (7) days or less if the commission so orders.

rule filed Sept. 1, 1993, effective Jan. 31, 1994. *Original authority: 313.004, RSMo 1993; 313.800, 313.805 and 313.807, RSMo 1991, amended 1993; and 313.847, RSMo 1993.

History

• AUTHORITY: sections 313.004, 313.800, 313.805, 313.807, and 313.847, RSMo Supp. 1993. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original

11 CSR 45-10.020 Licensee’s and Applicant’s Duty to Disclose Changes in Information {#sec-11-csr-45-10.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-10.020}

PURPOSE: This rule establishes the applicant’s duty to disclose changes in information.

(1) All licensees and applicants for Class A, Class B, supplier, key person/key business entity, or Level I occupational licenses issued by the commission shall have a continuing duty to disclose in writing, within ten (10) calendar days for an applicant and thirty (30) calendar days for a licensee, any material change in the information provided in the application forms and requested materials submitted to the commission. Any change in information that is not material must be disclosed to the commission during the licensee’s next subsequent application for license renewal.

(2) All Level II occupational licensees and applicants shall have a continuing duty to disclose in writing, within ten (10) calendar days, any material change in the information provided in the application forms and requested materials submitted to the commission.

(3) The duty to disclose changes in information shall continue throughout any application period or period of licensure granted by the commission. This duty shall be in addition to any other reporting requirements.

(4) For the purposes of this rule, “material change” shall mean any change in personal identification or residence information, such as name, address, and phone number; information required in section 313.847, RSMo; or other information that might affect an applicant or licensee’s suitability to hold a gaming license, including, but not limited to, arrests, convictions, and guilty pleas, disciplinary actions or license denials in other jurisdiction(s), or relationships or associations with persons having criminal records or notorious reputations.

Amended: Filed Feb. 23, 2011, effective Oct. 30, 2011. Amended:

Filed Dec. 5, 2013, effective Aug. 30, 2014. Amended: Filed May 31, 2018, effective Jan. 30, 2019. amended 1993, 1994, 2005, 2014, 2016; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; and 313.807, RSMo 1991, amended 1993, 2000, 2012.

History

• AUTHORITY: sections 313.004, 313.800, 313.805, and 313.807, RSMo 2016. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed April 28, 2004, effective Dec. 30, 2004. Amended: Filed March 21, 2006, effective Nov. 30, 2006. Amended: Filed Dec. 3, 2007, effective May 30, 2008.

11 CSR 45-10.030 Licensee’s Duty to Report and Prevent Misconduct {#sec-11-csr-45-10.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-10.030}

PURPOSE: This rule establishes a licensee’s duty to report and prevent misconduct.

(1) Licensees shall promptly report to the commission any facts which the licensee has reasonable grounds to believe indicate a violation of law (other than minor traffic violations), minimum internal control standard requirements or commission rule committed by licensees, their employees or others, including, without limitation, the performance of licensed activities different from those permitted under their license.

(2) At no time, under any circumstances, shall any licensee or employees of the licensee fail to immediately prevent or suppress any violent quarrel, disorder, brawl, fight, or other improper or unlawful conduct of any person upon the licensed premises, nor shall any licensee or employees of the licensees allow any indecent, profane or obscene activity upon the licensed premises.

(3) In the event that a licensee or employees of the licensee knows or should have known that an illegal or violent act has been committed on or about the licensed premises, they shall immediately report the occurrence to law enforcement authorities and shall cooperate with law enforcement authorities and agents of the commission during the course of any investigation into an occurrence.

(4) Licensees shall take reasonable actions to safeguard from loss all tokens, tickets, chips, checks, funds, and other gaming assets.

(5) Licensees shall take reasonable actions to safeguard from loss, tampering, alteration, destruction, and unauthorized access to all gaming-related reports, records, files, automated data, and data systems.

(6) Class A, Class B, and supplier licensees shall ensure that all agents and occupational licensees employed by said licensees shall have a working knowledge of Missouri Gaming Statutes,

Chapter 313.800, RSMo et seq., Code of State Regulations, Title 11 Division 45, the commission’s published minimum internal control standards and the licensee’s system of internal controls as they pertain to the responsibilities and limitations of their job.

(7) All occupational licensees shall have a working knowledge of Chapter 313.800, RSMo et seq., Code of State Regulations, Title 11 Division 45, and the internal controls of the Class A or B licensees for whom they are currently employed by as they pertain to the responsibilities and limitations of their job.

rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed Jan. 23, 2004, effective Aug. 30, 2004.

Amended: Filed Dec. 3, 2007, effective May 30, 2008. amended 1993, 1994, 2005; 313.805, RSMo 1991, amended 1993, 1994, 2000; 313.807, RSMo 1991, amended 1993, 2000; and 313.812, RSMo 1991, amended 1993, 1994, 2000.

History

• AUTHORITY: sections 313.004, 313.805, 313.807, and 313.812, RSMo 2000 and section 313.800, RSMo Supp. 2007. Emergency

11 CSR 45-10.035 Licensee’s Duty to Contact Commission Agent {#sec-11-csr-45-10.035 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-10.035}

PURPOSE: This rule ensures that patrons of excursion gambling boats have necessary access to commission agents in order to resolve disputes or report misconduct.

(1) When a patron informs a licensee that they desire to speak to a commission agent, the licensee shall contact the commission agent(s) on duty without delay. The licensee or his/ her designee shall remain with the patron until a commission agent arrives. If the licensee is unable to contact a commission agent, the licensee shall prepare a detailed report describing the facts of the incident and the method(s) used to contact the commission agent. The licensee shall file the report with the commission prior to the end of the gaming day upon which the incident occurred.

History

• AUTHORITY: sections 313.004, 313.052, 313.800, and 313.805, RSMo 1994. Original rule filed Dec. 17, 1999, effective July 30, 2000. Original authority: 313.004, RSMo 1993, amended 1994; 313.052, RSMo 1994; 313.800, RSMo 1991, amended 1992, 1993, 1994; 313.805, RSMo 1991, amended 1992, 1993, 1994.

11 CSR 45-10.040 Prohibition and Reporting of Certain Transactions {#sec-11-csr-45-10.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-10.040}

PURPOSE: This rule prohibits certain transactions and establishes the procedures for reporting of certain transactions.

(1) No gaming licensee or occupational licensee may pledge, hypothecate or transfer in any way any license issued by the commission or any interest in a license issued by the commission. Upon any purported pledge, hypothecation or transfer of such a license or interest in such a license, the license shall automatically become null and void and of no legal effect.

(2) Ownership interest in a gaming licensee that is not a publicly held entity or a holding company that is not a publicly held entity— (A) May not be pledged or hypothecated in any way to, or otherwise be subject to any type of security interest held by, any entity or person other than a financial institution without prior approval of the commission; and (B) May not be pledged or hypothecated in any way, or otherwise subject to any type of security interest except in compliance with 11 CSR 45-10.040(3)(B).

(3) Any reporting party must notify the commission of its intention to consummate any of the following transactions at least sixty (60) days prior to such consummation; and, during such period, the commission may disapprove the transaction or require the transaction to be delayed pending further investigation:

(A) Any transfer or issuance of an ownership interest in a gaming licensee that is not a publicly held entity or a holding company that is not a publicly held entity; or (B) Subject to 11 CSR 45-10.040(2)(A), any pledge or hypothecation of, or grant of any type of security interest in, an ownership interest in a gaming licensee that is not a publicly held entity or a holding company that is not a publicly held entity; provided that no such ownership interest may be transferred in any way pursuant to any pledge, hypothecation or security interest without separate notice to the commission at least thirty (30) days prior to such transfer, which restriction must be specifically included in the grant of the pledge, hypothecation or security interest.

(4) Any reporting party must notify the commission of its intention to consummate any of the following transactions at least fifteen (15) days prior to such consummation, and the commission may reopen the licensing hearing of the applicable gaming licensee prior to or following the consummation date to consider the effect of the transaction on the gaming licensee’s suitability:

(A) Any issuance of ownership interest in a publicly held gaming licensee or a publicly held holding company, if such issuance would involve, directly or indirectly, an amount of ownership interest equaling five percent (5%) or greater of the ownership interest in the gaming licensee or holding company after the issuance is complete, assuming that all of the ownership interest in the issuance is issued and outstanding;

(B) Any private incurrence of debt equal to or exceeding one (1) million dollars by a gaming licensee that is the holder of a Class A or Class B license or any holding company that is affiliated with the holder of a Class A or Class B licensee;

(C) Any public issuance of debt by a gaming licensee that is the holder of a Class A or Class B license or any holding company that is affiliated with the holder of a Class A or Class B licensee; and (D) Any significant related party transaction.

(5) Any entity required to report a transaction prior to consummation or obtain approval of a transaction under 11 CSR 45-10.040(2), (3) or (4) must submit the following as part of the required notice and before any approval shall be considered:

(A) An executed copy of the Corporate Securities and Finance Transaction Information Sheet included in Appendix A to this

rule; and (B) An executed copy of the Corporate Securities and Finance Compliance Affidavit included in Appendix A to this rule from each other party to the transaction or a representative authorized to act on behalf of such parties.

(6) Not later than seven (7) days after the consummation of any of the following transactions, any reporting party must report such consummation to the commission:

(A) Any transfer or issuance of ownership interest in a publicly held gaming licensee or publicly held holding company, if such transfer or issuance has resulted in an entity or group of entities acting in concert owning, directly or indirectly, holding a total amount of ownership interest equaling five percent (5%) or greater of the ownership interest in the gaming licensee or holding company.

(B) Any pledge or hypothecation of, or grant of a security interest in, five percent (5%) or more of the ownership interest in a publicly held gaming licensee or a publicly held holding company; provided that if any part of such ownership interest is transferred voluntarily or involuntarily pursuant to such a pledge, hypothecation or security interest, separate notice to the commission is required not later than seven (7) days after the consummation of such transfer.

(7) Any gaming licensee that is the holder of a Class A or Class B license must notify the commission of its intention or the intention of any entity affiliated with it to consummate any transaction that involves or relates to the gaming licensee and has a dollar value equal to or greater than one (1) million dollars; provided that such notice must be given no later than seven (7) days following such consummation.

(8) The following definitions apply to the terms used in 11 CSR 45-10.040:

(A) Material change in ownership or control:

1. Any transfer or issuance of ownership interest in a gaming licensee or holding company or other contract or arrangement resulting in a person or group of persons acting in concert, directly or indirectly:

A. Owning, controlling, or having power to vote twentyfive percent (25%) or more of the voting ownership interest in the gaming licensee or holding company, if the acquiring person or group of persons did not previously hold twenty-five percent (25%) or more of the voting ownership interest of the gaming licensee or the holding company prior to the change in control; or B. Controlling in any manner the election of a majority of the directors or managers of a gaming licensee or holding company, if the controlling person or group of persons did not previously exercise such control;

2. Any sale, transfer, or lease by a licensee of all or any portion of the real estate upon which a riverboat gaming operation is conducted or located; provided, however, that this section shall not apply to leases in the normal course of business related to restaurants, bars, entertainment venues or other retail space, as long as it does not include any portion of the gaming floor.

(B) Financial institution: Any bank, savings institution or trust company organized and supervised under the laws or any state or the laws of the United States, or other entity specifically approved in writing by the commission;

(C) Gaming licensee: A person who holds a Class A, Class B, key person/key business entity or supplier’s license;

(D) Holding company: A person or entity which, directly or indirectly, or acting in concert with one (1) or more other persons, owns, controls, or holds twenty-five percent (25%) or more of the outstanding ownership interest of any gaming licensee or holding company;

(E) Ownership interest: An interest which shall include, but not be limited to, any corporation stock, partnership interest, limited liability company interest, or any warrant, option or other right to subscribe to or purchase any of the foregoing;

(F) Private incurrence of debt: An agreement or series of related agreements to obtain money or property in exchange for the promise or obligation to make deferred payments therefore, including but not limited to, loans and credit facilities, but not including ordinary commercial installment contracts with time payment schedules of less than one hundred eighty (180) days;

(G) Related party: Any key person or holding company of a gaming licensee; any person under the control of a gaming licensee or any of its key persons; or any person sharing a holding company in common with a gaming licensee;

(H) Reporting party: Any applicant for or holder of any license issued by the commission issuing, transferring, acquiring, pledging or hypothecating ownership interest in a gaming licensee or holding company, or proposing to take such action, and any applicant for or holder of any license issued by the commission proposing to incur debt through a public issuance of debt or a private incurrence of debt.

Any gaming licensee shall be deemed a reporting party with regard to any transaction for which any of its holding companies or other affiliated entities is a reporting party.

Reporting parties shall be jointly and severally responsible for the reporting requirements under 11 CSR 45-10.040;

(I) Significant related party transaction: A transaction involving a related party and a gaming licensee which involves any of the following:

1. Consideration paid for services provided by the related party or personnel working on behalf of the related to the party, including but not limited to management service contracts;

2. Any arrangement in which consideration paid to the related party is based upon revenue generated by the gaming licensee or other measure of financial or business production of the gaming licensee;

3. Any allocation of expenses between related parties; or 4. Any loan or credit issued from the related party to the gaming licensee at a rate of interest that is at least one percent (1%) higher than the “bank prime loan rate” as reported by the Federal Reserve System Board of Governors on Form H.15.

(9) Any action or decision to refrain from acting by the commission under this 11 CSR 45-10.040 shall not indicate or suggest that the commission has considered or passed in any way on the marketability of any securities of a gaming licensee or holding company, or any other matter, other than the suitability of the pertinent licensee company for licensure by the commission under Missouri law.

(10) All notices required under 11 CSR 45-10.040 must be addressed to the director of the commission and must clearly contain the following language in bold type and all capital letters on the top of the first page: “CORPORATE SECURITIES AND FINANCE NOTICE REQUIRED UNDER 11 CSR 45-10.040”; provided, however, that the commission may waive this language requirement for notices that it deems in its discretion to be effective hereunder that were received prior to the effective date of 11 CSR 45-10.040(9). The commission or the director of the commission may waive or reduce any notice period required under 11 CSR 45-10.040 if such waiver or reduction is determined by the commission or the director to be in the best interest of the public. If the director exercises the

History

• authority to waive or reduce a notice period, s/he shall report action to the commission. Any notice or report required under

11 CSR 45-10.040 shall be in addition to any required application update or submission. {#sec-11-csr-45-10.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-10.040}

(11) Violations of this 11 CSR 45-10.040, including, but not limited to, consummation of transactions prohibited by the commission hereunder, may be grounds for discipline against any licensee or grounds for denial of any application. This

11 CSR 45-10.040 shall not be construed as making any asset inalienable in nature, but shall provide a regulatory penalty enforcement mechanism for certain types of asset transfers as set forth herein. {#sec-11-csr-45-10.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-10.040}

(12) Upon any voluntary material change in ownership or control, the license held by the gaming licensee that is the subject of the material change in ownership or control or that is a direct or indirect subsidiary of the holding company that is the subject of the material change in ownership or control, shall automatically become null and void and of no legal effect, unless the commission has approved such material change in ownership or control by vote of the commissioners prior to its consummation. The commission may grant a petition to approve a material change in ownership or control if the petitioner proves by clear and convincing evidence that— (A) The transfer is in the best interest of the state of Missouri;

(B) The transfer is not injurious to the public health, safety, morals, good order, or general welfare of the people of the state of Missouri, and that it would not discredit or tend to discredit the gaming industry or the state of Missouri;

(C) It would have no material negative competitive impact;

(D) It would have no potential to affect the licensee’s suitability to hold a gaming license; and (E) It would not potentially result in any significant negative changes in the financial condition of the licensee.

(13) Upon an involuntary material change in ownership or control (including, but not limited to, death, appointment of a guardian by a court of competent jurisdiction, or involuntary bankruptcy) the executive director with the concurrence of the chairman may, within ten (10) days, extend the license held by the gaming licensee that is the subject of the material change in ownership or control, or that is a direct or indirect subsidiary of the holding company that is the subject of the material change in ownership or control, until the next commission meeting, at which time the commission may extend the license until such time as a material change in ownership or control is approved. In the event the executive director does not extend the license within ten (10) days of the involuntary material change in ownership or control, or the commission does not extend it at their next meeting, the license shall become null and void.

Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Emergency amendment filed Feb. 23, 1995, effective March 5, 1995, expired July 2, 1995. Amended: Filed Feb. 23, 1995, effective Aug. 30, 1995.

Amended: Filed April 18, 1996, effective Dec. 30, 1996. Amended:

Filed Jan. 21, 1997, effective Aug. 30, 1997. Amended: Filed Nov. 10, 1997, effective June 30, 1998. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed Dec. 3, 2007, effective May 30, 2008. Amended: Filed Dec. 2, 2009, effective June 30, 2010.

Amended: Filed Aug. 28, 2014, effective March 30, 2015. *Original authority: 313.004, RSMo 1993, amended 1994, 2014; 313.800, RSMo 1991, amended 1993, 1994, 2005, 2014; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; 313.807, RSMo 1991, amended 1993, 2000, 2012; and 313.812, RSMo 1991, amended 1993, 1994, 2000, 2014.

History

• AUTHORITY: sections 313.800, 313.004, 313.805, 313.807, and 313.812, RSMo Supp. 2014. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994.

11 CSR 45-10.050 Transferability of Ownership of a Publicly-Traded Company {#sec-11-csr-45-10.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-10.050}

(Rescinded August 30, 1995)

History

• AUTHORITY sections 313.004, 313.800, 313.805 and 313.807, RSMo Supp 1993. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Rescinded: Filed Feb. 23, 1995, effective Aug. 30, 1995.

11 CSR 45-10.055 Certain Transactions Involving Slot Machines {#sec-11-csr-45-10.055 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-10.055}

PURPOSE: This rule regulates certain transactions involving slot machines.

(1) Licensed activities of supplier licensees and Class A and Class B licensees shall include the selling, transporting, placing, or possessing of slot machines and other gaming equipment and supplies and the conducting or negotiating of transactions affecting or designed to affect ownership, custody, or use of slot machines or other gaming equipment. These activities are subject to the restrictions in sections 313.800 to 313.850, RSMo, and the regulations promulgated thereunder, including but not limited to, 313.807.4, RSMo, 11 CSR 45-4.020(4), and 11 CSR 45-10.055.

(2) No Class A or Class B licensee may— (A) Sell, transport, or otherwise transfer or turn over possession of any slot machine located in the state of Missouri to any person or entity other than a supplier licensee without the commission’s prior written approval; or (B) Conduct or negotiate a transaction affecting or designed to affect ownership, custody or use of any slot machine located or to be located in the state of Missouri so that such ownership, custody or use could be held or exercised in the state of Missouri by any person or entity other than a supplier licensee.

(3) No supplier licensee may— (A) Sell, transport or otherwise transfer or turn over possession of any slot machine located in the state of Missouri to any person or entity other than another supplier licensee, a Class A or Class B licensee or a Class A or Class B applicant that has been selected by the commission for investigation pursuant to 11 CSR 45-4.060 without the commission’s prior written approval; or (B) Conduct or negotiate a transaction affecting or designed to affect ownership, custody or use of any slot machine located or to be located in the state of Missouri so that such ownership, custody or use could be held or exercised in the state of Missouri by any person or entity other than another supplier licensee, a Class A or Class B licensee or a Class A or Class B applicant that has been selected by the commission for investigation pursuant to 11 CSR 45-4.060.

Amended: Filed Jan. 21, 1997, effective Aug. 30, 1997. Amended:

Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed Dec. 3, 2007, effective May 30, 2008. Amended: Filed March 1, 2018, effective Oct. 30, 2018. *Original authority: 313.004, RSMo 1993, amended 1994, 2014; 313.800, RSMo 1991, amended 1993, 1994, 2005, 2014, 2016; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; and 313.807, RSMo 1991, amended 1993, 2000, 2012.

History

• AUTHORITY: sections 313.004, 313.800, 313.805, and 313.807, RSMo 2016. Original rule filed April 18, 1996, effective Dec. 30, 1996.

11 CSR 45-10.060 Distributions {#sec-11-csr-45-10.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-10.060}

PURPOSE: This rule establishes the procedures for licensees’ distribution of anything of value.

(1) No withdrawals of capital, loans, advances or distribution of any type of assets in excess of five percent (5%) of accumulated earnings of a Class A or Class B licensee, which is a C corporation under the Internal Revenue Code and no withdrawals of capital, loans, advances or distribution of any type of assets in excess of five percent (5%) of after-tax profits of a Class A or Class B licensee which is a sole proprietorship, partnership, limited partnership, limited liability company or S corporation under the Internal Revenue Code to anyone with an ownership interest in the licensee shall occur without prior commission approval.

rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed Dec. 3, 2007, effective May 30, 2008. amended 1993, 1994, 2005; and 313.805, RSMo 1991, amended 1993, 1994, 2000.

History

• AUTHORITY: sections 313.004 and 313.805, RSMo 2000 and section 313.800, RSMo Supp. 2007. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original

11 CSR 45-10.070 Effect of Another Jurisdiction’s Orders {#sec-11-csr-45-10.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-10.070}

1993. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

History

• AUTHORITY: sections 313.004, 313.800 and 313.805, RSMo Supp.

11 CSR 45-10.080 Fair Market Value of Contracts {#sec-11-csr-45-10.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-10.080}

rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994.

Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended:

Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed Dec. 3, 2007, effective May 30, 2008. Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

History

• AUTHORITY: sections 313.004, 313.805, and 313.807, RSMo 2000 and section 313.800, RSMo Supp. 2007. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency

11 CSR 45-10.090 Owner’s and Supplier’s Duty to Investigate Job Applicants {#sec-11-csr-45-10.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-10.090}

PURPOSE: This rule establishes licensees’ duty to investigate background of job applicants.

(1) The holder of a Class A or Class B license or supplier’s license shall investigate the background and qualifications of all applicants for jobs. No licensee may solely rely on the commission’s granting an occupational license as the sole criterion for hiring a job applicant.

rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed May 13, 1998, effective Oct. 30, 1998.

Amended: Filed Dec. 3, 2007, effective May 30, 2008. amended 1993, 1994, 2005; 313.805, RSMo 1991, amended 1993, 1994, 2000; 313.807, RSMo 1991, amended 1993, 2000; and 313.812, RSMo 1991, amended 1993, 1994, 2000.

History

• AUTHORITY: sections 313.004, 313.805, 313.807, and 313.812, RSMo 2000 and section 313.800, RSMo Supp. 2007. Emergency

11 CSR 45-10.100 Licensee’s Duty to Report Investigations {#sec-11-csr-45-10.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-10.100}

PURPOSE: This rule is designed to assure that the commission receives timely information that may impact on an applicant’s or licensee’s suitability.

(1) In addition to all other reporting requirements, supplier license applicants or licensees and Class A license applicants and licensees shall notify the commission within fifteen (15) days after receiving notification that any of the following persons has received a subpoena; or is the target of, has been disciplined by, or has been charged in connection with an investigation by a regulatory, administrative or prosecutorial agency of a violation of a rule, regulation or statute relating to licensed gambling, Securities and Exchange Commission (SEC) regulations or criminal offenses:

(A) The applicant or licensee;

(B) The applicant’s or licensee’s parent corporation;

(C) Any subsidiary of the applicant’s or licensee’s parent corporation;

(D) The applicant’s or licensee’s officers, management personnel, or key persons;

(E) Any officer, management personnel, key person of the applicant’s or licensee’s parent corporation; or (F) Any officer, management personnel, key person of any subsidiary of the applicant’s or licensee’s parent corporation.

History

• AUTHORITY: section 313.085, RSMo 1994. Original rule filed March 18, 1996, effective Oct. 30, 1996. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Original authority: 331.085, RSMo 1986, amended 1993, 1994.

11 CSR 45-10.110 Licensee’s Duty to Report Occupational Personnel {#sec-11-csr-45-10.110 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-10.110}

PURPOSE: This rule establishes a procedure for the commission to receive notice of an occupational license applicant or licensee’s intent to go forward with the licensing or renewal process.

(1) Each holder of a Class A or Class B license or supplier’s license shall file a report with the commission on or prior to the fifteenth day of each calendar month identifying all of the personnel associated with that licensee who, as of the first day of the reporting month, hold positions requiring an occupational license or a temporary occupational license issued by the commission and whose expiration date(s) for such license occurs within the following calendar month.

(A) The report must be submitted in a format prescribed by the commission.

(B) Occupational licensees are required to obtain their renewed license by the tenth day of the renewal month.

(2) Occupational licensees who transfer from one Class A or Class B licensee to another Class A or Class B licensee between the fifteenth day of the month and the last day of the month prior to expiration, and those who transfer during the expiration month, whose occupational licenses have not been renewed, will be billed to the Class A or Class B licensee receiving the occupational licensee.

(3) In accordance with 11 CSR 45-4.390, all occupational licensees and temporary occupational licensees must notify the commission within fifteen (15) days prior to the expiration month of their license if they are applying for renewal of their license. In the absence of specific notice to the commission from the occupational licensee or temporary occupational licensee, inclusion of the name of a licensee on the report due under 11 CSR 45-10.110(1) shall be deemed notice that the licensee is applying for renewal in the following month, and such notice shall be deemed sufficient.

(4) The reporting duties in 11 CSR 45-10.110 shall be in addition to any other reporting requirements.

History

• AUTHORITY: sections 313.004, 313.805, and 313.822, RSMo 2000 and section 313.800, RSMo Supp. 2007. Emergency rule filed June 25, 1996, effective July 5, 1996, expired Dec. 31, 1996. Original rule filed June 25, 1996, effective Feb. 28, 1997. Amended: Filed July 2, 1997, effective Feb. 28, 1998. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Emergency amendment filed Oct. 4, 2000, effective Oct. 14, 2000, expired April 11, 2001. Amended: Filed Oct. 4, 2000, effective April 30, 2001. Amended: Filed Dec. 3, 2007, effective May 30, 2008. amended 1993, 1994, 2005; 313.805, RSMo 1991, amended 1993, 1994, 2000; and 313.822, RSMo 1991, amended 1993, 2000.

11 CSR 45-10.115 List of Barred Persons {#sec-11-csr-45-10.115 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-10.115}

Original rule filed July 2, 1997, effective Feb. 28, 1998. Amended:

Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed Dec. 3, 2007, effective May 30, 2008. Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

History

• AUTHORITY: sections 313.004, 313.805, and 313.830(4), RSMo 2000.

11 CSR 45-10.150 Child Care Facilities—License Required {#sec-11-csr-45-10.150 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-10.150}

(Rescinded December 30, 2023)

rule filed Dec. 1, 1999, effective Dec. 11, 1999, expired June 7, 2000.

Original rule filed Dec. 1, 1999, effective June 30, 2000. Amended:

Filed Dec. 3, 2007, effective May 30, 2008. Rescinded: Filed April 27, 2023, effective Dec. 30, 2023.

History

• AUTHORITY: sections 313.805 and 313.812, RSMo 2000. Emergency

Chapter 11 Taxation Regulations

11 CSR 45-11.020 Deposit Account—Taxes and Fees {#sec-11-csr-45-11.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-11.020}

PURPOSE: This rule establishes the requirement of a deposit account for taxes and fees.

(1) The gaming tax imposed and remitted by the licensee to the commission shall be deposited in a special trust account designated by the commission. Not less than once per month on a date to be selected by the commission, the director of revenue shall disburse from the account monies owed to the home dock city or county. Any shared revenue shall be disbursed by the home dock city or county to such other city or county as a shared revenue agreement may provide.

(2) As a condition of its license, each licensee shall establish and, after that, maintain an operating account at a designated financial institution capable of handling electronic fund transfers. The licensee must notify the commission of the financial institution where funds are deposited. No change of financial institution may be made without prior commission approval.

(3) Each Class B licensee, as a condition of licensure, shall deposit into one (1) account an amount sufficient to cover its estimated liability for the gaming tax and the admission fee imposed by section 313.820, RSMo, representing the average liability for the gaming tax and the admission fee for two (2) days of operation. This account shall be designated, in substance, by the following language:

“Name of licensee, for the benefit of the Missouri Gaming Commission.”

(4) Licensees. Beginning in the first month, second day of operation, each licensee, as a condition of its license, shall deposit daily into the operating account an amount sufficient to cover the estimated tax and fee liabilities for the previous day. The licensee then shall timely remit from the operating account to the commission the gaming tax and admissions fee for each daily period that is defined as the business day for the purpose of establishing the estimated tax and fee liabilities.

(A) With approval by the commission, the licensee may select a twenty-four- (24-) hour cycle that is defined as the business day for the purpose of establishing the estimated tax and fee liabilities.

(B) Deposits will be deemed timely when made no later than 12:00 p.m. Central bilities were established.

(C) The licensee, by applicable agreement with the financial institution, shall provide for the automatic withdrawal or transfer of funds for payment of the taxes and fees.

(D) In the event an overpayment of the licensee’s adjusted gross receipts tax is made and discovered within the same weekly period which, for purposes of this section, means Wednesday of each week through the following Tuesday, the licensee may adjust its payment by the overpaid amount on the next gaming day’s payment if it falls within that weekly period.

(E) In the event an overpayment of the licensee’s adjusted gross receipts tax is made and is discovered in a subsequent weekly period, the licensee may reduce its payment by the overpaid amount on the next gaming day’s payment only if the amount of the overpayment is under one hundred dollars ($100).

If the amount of the overpayment is one hundred dollars ($100) or more, the licensee shall file a Claim for Refund or Credit Form, included herein, along with the tax return.

(F) If an overpayment is due to an error in the tax remittal, an amended return must be filed with the commission.

(G) In the event that the licensee’s adjusted gross receipts results in a negative tax due, whether within the same weekly period or not, the licensee shall adjust its next gaming day’s payment by the negative tax due amount.

(H) Every Claim for Refund or Credit Form must be in writ ing under oath and must state the specific grounds upon which the claim is founded.

(I) The Claim for Refund or Credit Form shall be made available on the commission’s website at www.mgc.dps.mo.gov and may be requested by writing to: Missouri Gaming Commission, PO Box 1847, Jefferson City, MO 65102-1847. 313.805, 313.807, 313.820, 313.822, and 313.835, RSMo 2016.* Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Emergency amendment filed June 14, 1994, effective June 24, 1994, expired Oct. 21, 1994.

Amended: Filed May 4, 1994, effective Sept. 30, 1994. Emergency amendment filed March 2, 1995, effective March 12, 1995, expired July 9, 1995. Amended: Filed March 2, 1995, effective Aug. 30, 1995. Amended:

Filed June 25, 1996, effective Feb. 28, 1997.

Amended: Filed Nov. 10, 1997, effective June 30, 1998. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Emergency amendment filed Oct. 29, 2008, effective Nov. 15, 2008, expired May 13, 2009. Amended: Filed Oct. 29, 2008, effective April 30, 2009. 30, 2010. Amended: Filed March 1, 2018, effective Oct. 30, 2018. Amended: Filed Dec. 5, 2019, effective Aug. 30, 2020. 2014, 2016; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; 313.807, RSMo 1991, amended 1993, 2000, 2012; 313.820, RSMo 1991, amended 1993, 2000, 2005, 2006, 2008; 313.822, RSMo 1991, amended 1993, 2000, 2008, 2009; and 313.835, RSMo 1991, amended 1993, 1994, 1996, 1998, 2000, 2001, 2003, 2007, 2010, 2012.

11 CSR 45-11.030 Payment—Gaming Tax {#sec-11-csr-45-11.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-11.030}

PURPOSE: This rule establishes a payment procedure for gaming taxes.

(1) The licensee shall timely remit from the gaming tax for each daily period that is (2) The daily remittance shall be automatically made from the licensee’s operating account and shall be deemed timely if credited to the deposit account designated by the commission on or before 12:00 p.m. Central bilities were established.

(A) These deposits shall be made via an electronic funds transfer system employing an automated clearinghouse method.

(3) The licensee shall ensure that the deposit is accompanied by such identifying information necessary to assure proper account crediting.

(4) The excess, if any, of a remittance over the actual amount for a period shall be applied to subsequent tax liability in accordance with 11 CSR 45-11.110.

Amended: Filed Aug. 10, 1994, effective Jan. 29, 1995. Amended: Filed Nov. 10, 1997, effective June 30, 1998. Emergency amendment filed Dec. 2, 2009, effective Jan. 6, 2010, expired July 4, 2010. Amended: Filed Dec. 2, 2009, effective June 30, 2010.

Amended: Filed March 1, 2018, effective Oct. 30, 2018. 2008, 2010; 313.807, RSMo 1991, amended 1993, 2000, 2012; 313.822, RSMo 1991, amended 1993, 2000, 2008, 2009; and 313.835, RSMo 1991, amended 1993, 1994, 1996, 1998, 2000, 2001, 2003, 2007, 2010, 2012.

History

• AUTHORITY: sections 313.004, 313.805, 313.807, 313.822, and 313.835, RSMo 1994. Emergency rule filed Jan. 5, 1994, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Emergency amendment filed June 14, 1994, effective June 24, 1994, expired Oct. 21, 1994. Amended: Filed May 4, 1994, effective Sept. 30, 1994. Emergency amendment filed Aug. 10, 1994, effective Aug. 20, 1994, expired Dec. 17, 1994.

11 CSR 45-11.040 Return—Gaming Tax dure for tax returns for gaming tax. {#sec-11-csr-45-11.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-11.040}

Editors Note: The form mentioned in this rule may be found at the Department of Revenue, and is exempted from filing with this rule (section 536.010(4)(m), RSMo).

(1) The licensee shall file a tax return with the commission for each gaming day the licensee holds a Class A license and shall remit to the commission any unpaid amount shown on the return.

(2) The tax return filed with the commission shall include the following:

(A) The electronic daily filing of a record of the—1) gross receipts, 2) amount of winnings paid to wagerers, 3) resulting adjusted gross receipts, 4) amount of gaming tax, 5) admission fee liability, and 6) other information as the commission may require; using a form and set of procedures required by the commission. This portion of the return shall be deemed timely filed if received by the commission not later than 12:00 p.m. Central the business day on which the gaming tax and admission fee liability accrued;

(B) The electronic weekly filing of supporting worksheets using automated forms and a set of procedures required by the commission. This portion of the return shall be deemed timely filed if received by the commission not later than 12:00 p.m. Central Standard Time on the Friday following each gaming week which, for the purposes of this

section, means Wednesday of each week through the following Tuesday; and (C) The weekly filing by electronic transmission or fax of signed Daily Tax Transmittal Reports for each gaming day in the gaming week. This portion of the return shall be deemed timely filed if received by the commission not later than 12:00 p.m.

Central Standard Time on the Friday following each gaming week.

(3) It is the duty of the licensee to obtain any computer hardware and software necessary to file a tax return electronically. It is also the duty of the licensee to obtain any required form from the commission and adhere to any required set of procedures when filing a return. Failure to obtain the required forms or adhere to the required procedures will not excuse the licensee from filing any required (4) The time for filing any portion of a tax return may be extended by the commission upon the submission by the licensee of a written request for extension prior to the filing due date. The commission shall not extend the time for filing any portion of a tax return by more than seven (7) days and no request for extension shall be granted without the showing of good cause. In granting a request for extension, the commission shall provide the licensee with written approval of request for extension. Approval by the commission of a request for extension shall not extend the time for payment of any gaming tax or fee.

(5) Every licensee is required to file a tax return in accordance with the provisions of this section even if no wagers were made or admission fees charged during the period covered by the return. 313.822, RSMo 2000.* Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, Filed June 25, 1996, effective Feb. 28, 1997.

Amended: Filed Aug. 30, 2006, effective March 30, 2007. 313.805, RSMo 1991, amended 1993, 1994, 2000; and 313.822, RSMo 1991, amended 1993, 2000.

11 CSR 45-11.050 Admission Fee dure for payment of admission fees. {#sec-11-csr-45-11.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-11.050}

(1) An excursion gambling boat licensee shall pay to the commission an admission fee of two dollars ($2) for each person embarking on an excursion gambling boat with a ticket of admission and one dollar ($1) of this shall be paid to the home dock city or county; provided, however, that the licensee may charge any amount deemed necessary for a ticket of admission to any person embarking on an (A) As used in this chapter “ticket of admission” shall mean a device, mechanism, or procedure approved by the commission which provides a complete and accurate accounting of all patrons embarking on an (2) The licensee shall timely remit from the admission fee for each daily period that is (3) Not less than once per month on a date to be selected by the commission, disbursement shall be made from this account to the home dock city or county designated by the licensee of moneys owed to home dock city or county.

The remaining amount of the admission fee shall be deposited in the state treasury to the credit of the Gaming Commission Fund for the purpose of funding the administrative costs of the commission relating to excursion gambling boat operations, subject to appropriation.

History

• AUTHORITY: section 313.004, RSMo 2000 and sections 313.805 and 313.820, RSMo Supp. 2009. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Emergency amendment filed Oct. 29, 2008, effective Nov. 15, 2008, expired May 13, 2009. Amended: Filed Oct. 29, 2008, effective April 30, 2009. 30, 2010. 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008; and 313.820, RSMo 1991, amended 1993, 2000, 2005, 2006, 2008.

11 CSR 45-11.060 Season Tickets, Complimentary Tickets and Fee-Free Passes to account for season tickets, complimentary tickets and fee-free passes. {#sec-11-csr-45-11.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-11.060}

(1) If tickets are issued which are good for more than one (1) excursion, the admission fee is paid to the commission for each person using the ticket on each excursion for which the ticket is used.

(2) In the event free or complimentary admission tickets are issued, the licensee shall pay to the commission, the admission fee upon the tickets as if they were sold at the regular admissions rate; except, however, that the licensee may issue fee-free passes to actual and necessary officials and employees of the licensee or other persons actually working on the excursion gambling boat.

(A) For purposes of this section, “actual and necessary officials and employees of the licensee” shall mean officers and directors of the licensee, regular full-time employees of the licensee and other persons hired by the licensee on a special or part-time basis, any of whom must be present on the excursions gambling boat for the express purpose of performing services for the licensee in connection with the normal and ordinary course of its gambling operations.

(B) For purposes of this section “other persons actually working on the excursion gambling boat” shall mean persons who are not the employees of the licensee but whose presence on the excursion gambling boat is otherwise for the express purpose of performing services for the licensee or any vendors conducting business, in connection with the normal and ordinary course of its gambling operations.

(3) All persons embarking on an excursion gambling boat shall enter with a ticket of admission, except those persons entitled to enter upon issuance of a fee-free pass.

(4) All entries onto and exits from the excursion gambling boat shall be through a turnstile or similar device capable of automatic and accurate recording of the number of persons entering and exiting the boat for each excursion.

(5) The location of entry for all ticket holders shall be separate from the location of entry for persons entitled to a fee-free pass.

(6) Calculation of the admission fee due by the licensee shall be made upon the record of ticket entries onto the excursion gambling boat or the number of persons recorded by the turnstile reading as being in the gaming area, whichever is higher.

(A) At the conclusion of the excursion, the licensee shall take a reading of the exit turnstile. The licensee shall record a reading of the entry turnstile upon the conclusion of the time for entry for each excursion.

(7) The licensee shall be responsible to keep and maintain a record of ticket entries onto the boat on a daily basis. This record shall be available for inspection by the commission at all times, and may be requested by the commission in its discretion. The actual record should be attached to the licensee’s return when filed with the commission.

(8) The licensee shall otherwise maintain a list of all persons entitled to a fee-free pass, and to whom such a pass is actually issued on a daily basis. This list shall specify the relationship of the person to the licensee, the duration of the pass and the basis upon which it is issued.

(A) The commission may review this list, and request from the licensee a written explanation regarding the basis for the issuance of a fee-free pass to any person whose name appears on the list. If, in the discretion of the commission, this explanation is unsatisfactory or the commission otherwise finds that the pass was improperly issued, the commission may assess the fee for each day the pass was improperly used, assess penalties or take any other appropriate remedial action.

(B) No person shall be issued more than one (1) fee-free pass per day and no pass may be issued for more than the length of time necessary for the person to conduct the services authorizing its use. No person to whom a fee-free pass is issued may wager on the (9) It shall be the licensee’s responsibility to establish an internal system of control to comply with this rule. 313.820, RSMo 1994.* Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, Filed Dec. 17, 1996, effective July 30, 1997.

Amended: Filed Nov. 10, 1997, effective June 30, 1998. 313.805, RSMo 1991, amended 1993, 1994; and 313.820, RSMo 1991, amended 1993.

11 CSR 45-11.070 Return and Payment— Admission Fee dure for payment returns for the admission fees. {#sec-11-csr-45-11.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-11.070}

(1) The licensee shall be responsible not only for collection of the admission fee, but shall make a return to the commission showing the number of tickets issued for persons embarking on the excursion gambling boat, the amount of admission fee for the boat and shall deposit the admission fee into the bank account approved by the commission and transmit the return.

(A) It is the duty of the licensee to obtain any required form from the commission.

(B) Failure to obtain the form will not be an excuse for failure to file the required (2) Every licensee is required to file a return on the prescribed basis even though no tickets are issued during the period covered by the return.

(3) The licensee shall timely remit from the admission fee for each daily period that is (4) The daily remittance shall be automatically made from the licensee’s operating account and shall be deemed timely if credited to the deposit account designated by the commission on or before 12:00 p.m. Central bilities were established. These deposits shall be made via an electronic funds transfer system employing an automated clearinghouse method.

(5) The licensee shall ensure that the deposit is accompanied by such identifying information necessary to assure proper account crediting.

(6) The excess, if any, of a remittance over the actual amount for a period shall be applied to subsequent fee liability in accordance with 11 CSR 45-11.110. 313.820, RSMo 2016.* Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Emergency amendment filed June 14, 1994, effective June 24, 1994, expired Oct. 21, 1994.

Amended: Filed May 4, 1994, effective Sept. 30, 1994. Emergency amendment filed Aug. 10, 1994, effective Aug. 20, 1994, expired Dec. 17, 1994. Amended: Filed Aug. 10, 1994, effective Jan. 29, 1995. Amended:

Filed Nov. 10, 1997, effective June 30, 1998. 30, 2010. Amended: Filed March 1, 2018, effective Oct. 30, 2018. 2008, 2010; and 313.820, RSMo 1991, amended 1993, 2000, 2005, 2006, 2008.

11 CSR 45-11.080 Other Taxes and Fees for payment of other taxes and fees. {#sec-11-csr-45-11.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-11.080}

(1) The licensee is responsible for all sales taxes as may be applicable under sections 144.010–144.525, RSMo including, without limitation, tax on admission fees, concession sales, and retail sales. Those taxes not connected directly to gambling games are collected by the Department of Revenue. The statutes and rules for all other taxes shall apply.

(2) The licensee is responsible for all other income taxes, earnings taxes, use taxes, property taxes, or any other tax or fee lawfully levied by any political subdivision. Those taxes not connected directly to gambling games are collected by the Department of Revenue. The statutes and rules for all other taxes shall apply. 313.822, RSMo 2016.* Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, Filed March 1, 2018, effective Oct. 30, 2018. 2008, 2010; and 313.822, RSMo 1991, amended 1993, 2000, 2008, 2009.

11 CSR 45-11.090 Determination of Timeliness and Extensions for Filing a Return {#sec-11-csr-45-11.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-11.090}

(Rescinded March 30, 2007)

Sept. 20, 1993, expired Jan. 17, 1994.

Jan. 18, 1994, expired Jan. 30, 1994.

Jan. 31, 1994. Rescinded: Filed Aug. 30, 2006, effective March 30, 2007.

History

• AUTHORITY: sections 313.004, 313.805, 313.820 and 313.822, RSMo Supp. 1993.

11 CSR 45-11.110 Refund—Claim for Refund dures for refunds due to overpayment. {#sec-11-csr-45-11.110 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-11.110}

(1) If a tax or fee, penalty or interest has been paid by a licensee that is in excess of the amount owed, the licensee may file a claim for refund or credit. No such claim for refund or credit shall be allowed unless a copy of the claim is filed within three (3) years from the date of overpayment. The three (3) year period of limitation for the credit or refund begins with the date the licensee pays taxes to the commission on account of the adjusted gross receipts in question or with the date the licensee pays fees to the commission on account of the tickets of admission in question.

(2) Every claim for refund or credit must include the following:

(A) Claim For Refund Or Credit Form provided by the commission, which must be in writing, signed by an authorized agent of the licensee, and state the specific grounds upon which the claim is founded; and (B) Amended returns for all periods involved in the overpayment of the tax or fee, penalty or interest that has been paid by the licensee.

(3) Any refund or credit, or any portion of refund or credit, which is erroneously allowed by the commission or which is erroneously taken by the licensee, may be recovered in any action brought by the commission against the licensee. In the event that a tax or fee has been illegally imposed against a licensee, the commission shall authorize the cancellation of the tax or fee upon its record.

(4) A claim for credit or refund shall be approved only after the commission has determined the claim to be valid and recorded its approval on the Claim For Refund Or Credit Form filed by the licensee. The commission may authorize the director, or the director’s designated representative, to make the initial determination as to the validity of any claim for credit or refund filed with the commission and to approve or deny the claim; provided, however, that this section shall not limit any other authorization of the director. The authorization granted herein shall not include the authority to review findings of a hearing officer under the provisions of 11 CSR 45-13.

(5) In cases where a claim for credit or refund is denied by the commission, the licensee may submit a request for a hearing, in accordance with 11 CSR 45-13, to review the commission’s decision to deny the claim.

(6) In cases where a claim for credit is approved, the commission will issue a credit memorandum for the amount of the overpayment. The credit may be applied by the licensee in satisfaction of subsequent tax or fee liability. A copy of the approved credit memorandum must be attached to the return to which it is being applied.

(A) A refund is made rather than a credit when the approved credit cannot be taken as a credit on the next return filed with the commission. The refund shall be made with interest as determined by section 32.065, RSMo.

(B) Any approved credit of the gaming tax or admission fee shall be made without interest.

(C) Taxes or fees which are claimed to have been unconstitutionally imposed or collected are subject to the same requirements as other claims for refund or credit.

(7) All claims for credit or refund filed with the commission and any documents filed in support of such claims or introduced in a hearing to contest the denial of a claim shall be deemed by the commission to be open records.

(8) The Claim For Refund Or Credit Form shall be made available on the commission’s website at www.mgc.dps.mo.gov and may be requested by writing to Missouri Gaming Commission, PO Box 1847, Jefferson City, MO 65102. 313.805, and 313.822, RSMo 2016.* Sept. 20, 1993, expired Jan. 17, 1994.

Jan. 18, 1994, expired Jan. 30, 1994.

Jan. 31, 1994. Amended: Filed Feb. 19, 1998, effective Aug. 30, 1998. Emergency amendment filed June 5, 2000, effective June 16, 2000, expired Feb. 22, 2001. Amended:

Filed June 23, 2000, effective Jan. 30, 2001.

Amended: Filed Aug. 30, 2006, effective March 30, 2007. Amended: Filed Dec. 5, 2019, effective Aug. 30, 2020. *Original authority: 313.004, RSMo 1993, 1994, 2014; 313.800, RSMo 1991, amended 1993, 1994, 2005, 2014, 2016; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; and 313.822, RSMo 1991, amended 1993, 2000, 2008, 2009.

11 CSR 45-11.120 Penalties and Interest {#sec-11-csr-45-11.120 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-11.120}

PURPOSE: This rule establishes penalties and interest for late payments.

(1) Any licensee required to collect, account for, and pay over any gaming tax or admission fee, who willfully, with intent to defraud, fails to collect the tax or fee, or truthfully account for and pay over the tax or fee, or willfully attempts in any manner to evade or defeat the tax or fee, or the payment of it, in addition to other penalties provided by law, shall be liable for a penalty equal to the total amount of the tax or fee evaded, or not collected, or not accounted for and paid over. For purposes of this rule, the term licensee includes an individual or an officer or employee of the licensee or a member or employee of the licensee who is under a duty to perform the act in respect of which the violation occurs.

1994. Emergency rule filed Jan. 5, 1994, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed March 1, 2018, effective Oct. 30, 2018. 2014, 2016; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2004, 2010; 313.822, RSMo 1991, amended 1993, 2000, 2008, 2009; and 313.830, RSMo 1991, amended 1993, 2000, 2010, 2014.

11 CSR 45-11.130 Failure to File Return or Pay Tax or Fee {#sec-11-csr-45-11.130 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-11.130}

PURPOSE: This rule establishes procedure for determining failure to file required (1) Except in cases of fraud or evasion, if a person neglects or refuses to make a return and payment as prescribed, the commission shall make an estimate based upon any information in its possession, or that may come into its possession, of the amount of the adjusted gross receipts of, or the number of admission tickets issued by the delinquent for, the period in respect to which it failed to make return and payment, and upon the basis of this estimated amount or number compute and assess the tax or fee payable by the delinquent; the estimate may be reconstructed for that period of time for which the tax or fee may be collected as prescribed in this section.

(2) After completing the estimate assessment, the commission shall give the delinquent written notice of the estimated assessment.

1994. Emergency rule filed Jan. 5, 1994, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed Dec. 15, 1997, effective July 30, 1998. Emergency amendment filed Dec. 2, 2009, effective Jan. 6, 2010, expired July 4, 2010. Amended: Filed Dec. 2, 2009, effective June 30, 2010.

Amended: Filed March 1, 2018, effective Oct. 30, 2018. 2014, 2016; 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010; 313.822, RSMo 1991, amended 1993, 2000, 2008, 2009; and 313.830, RSMo 1991, amended 1993, 2000, 2010, 2014.

11 CSR 45-11.140 Additional Assessments for additional assessments. {#sec-11-csr-45-11.140 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-11.140}

(1) If the commission is not satisfied with the return or payment of taxes or fees made by any licensee, the commission may make an additional assessment of tax or fees due from the licensee, based upon the facts contained in the return or upon any information within the commission’s possession or that shall come into the commission’s possession.

(2) The commission shall give the licensee written notice of this additional or revised assessment by certified or registered mail to the licensee at its last known address.

(3) Except in the case of a fraudulent return, or neglect or refusal to make a return, every notice of additional amounts proposed to be assessed shall be mailed to the licensee within three (3) years after the return was filed or was required to be filed. In the case of a fraudulent return or of neglect or refusal to make a return, there is no limitation on the period of time the commission has to assess.

(4) Any amount assessed or any additional amount assessed by the commission, together with the penalty, if any, shall be due and payable from the licensee to the commission ten (10) days after the service upon or mailing to the person, whichever is earlier, of notice of the assessment or of the additional assessment, except only for these amounts for which the person has filed those for review with the commission.

History

• AUTHORITY: sections 313.004, 313.800 and 313.805, RSMo Supp. 1993. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Original authority: 313.004, RSMo 1993 and 313.800 and 313.805, RSMo 1991, amended 1993.

11 CSR 45-11.150 Records, Examination and Investigation {#sec-11-csr-45-11.150 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-11.150}

PURPOSE: This rule establishes requirements for maintaining records to be available for examinations and investigations.

(1) Every licensee shall keep such records and books as may be required by Title 26 of the United States Code for federal income tax purposes. The books and records and other papers and documents, at all times during business hours of the day, shall be subject to inspection by the commission or its duly authorized agents and employees. The books and records shall be preserved for a period of at least five (5) years, unless the commission provides written authorization for their destruction at any earlier date.

(2) For the purpose of ascertaining the correctness of any return or for the purpose of determining the amount of tax due from any licensee, the commission, or any agent or employee duly authorized by the commission, may hold investigations and hearings and may examine any books, papers, records or memoranda and may require, within any city or county where the licensee has its home dock, the attendance of the licensee, or any officer or employee of the licensee, or of any person having knowledge of matters relevant to the commission’s investigation, and may take testimony and require proof for its information.

In the conduct of any investigation or hearing, neither the commission nor any agent or employee of the commission shall be bound by the technical rules of evidence and no informality in any proceeding, or in the manner of taking testimony, shall invalidate any order, decision or rule made or approved or confirmed by the commission. The commission or any agent or employee of the commission holding an investigation shall have power to administer oaths to the licensee or witness. 1994.* Emergency rule filed Sept. 1, 1993, 1994. Emergency rule filed Jan. 5, 1994, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed Nov. 10, 1997, effective June 30, 1998. 313.800 and 313.805, RSMo 1991, amended 1993, 1994; and 313.822 and 313.836, RSMo 1991, amended 1993.

11 CSR 45-11.160 Collection and Enforcement {#sec-11-csr-45-11.160 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-11.160}

(Rescinded October 30, 2018) 313.805, and 313.822, RSMo Supp. 1993.

Sept. 20, 1993, expired Jan. 17, 1994.

Jan. 18, 1994, expired Jan. 30, 1994.

Jan. 31, 1994. Rescinded: Filed March 1, 2018, effective Oct. 30, 2018.

11 CSR 45-11.170 Exemptions {#sec-11-csr-45-11.170 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-11.170}

(Rescinded July 30, 2018)

Filed Dec. 7, 2017, effective July 30, 2018.

History

• AUTHORITY: sections 313.004, 313.800, and 313.805, RSMo Supp. 1993. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Rescinded:

11 CSR 45-11.180 Estoppel {#sec-11-csr-45-11.180 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-11.180}

(Rescinded July 30, 2018) 313.805, and 313.830, RSMo Supp. 1993.

Sept. 20, 1993, expired Jan. 17, 1994.

Jan. 18, 1994, expired Jan. 30, 1994.

Jan. 31, 1994. Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

Chapter 12 Liquor Control

11 CSR 45-12.010 Excursion Liquor License Required {#sec-11-csr-45-12.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-12.010}

PURPOSE: This rule establishes requirements for liquor licenses issued by the commission.

(1) No intoxicating liquor may be served, offered for sale, or sold upon an excursion gambling boat or facility immediately adjacent to an excursion gambling boat that is owned and operated by the excursion gambling boat licensee unless a Class B licensee has obtained from the Missouri Gaming Commission (commission) an excursion liquor license. Only Class B licensees shall be eligible for an excursion liquor license issued by the commission.

(2) The commission shall have the authority to discipline for cause the excursion liquor licensee, any facility listed on the excursion liquor license, or the Class A or Class B licensee for any violation of Missouri law or these rules.

(3) Responsibility for Acts of Employees.

Licensees at all times are responsible for the conduct of their business and at all times are directly responsible for any act or conduct of any employee on the premises which is in violation of the Missouri gaming law or the rules of the commission.

(4) No Class B licensee who has had its excursion liquor license suspended by order of the commission shall sell, give away, or permit the consumption of any intoxicating liquor, nor shall the licensee order or accept delivery of any intoxicating liquor during the period of time the order of suspension is in effect. Any licensee desiring to keep its premises open during the period of suspension shall display the order of suspension issued by the commission in a conspicuous place on the premises so that all persons visiting the premises may readily see the order of suspension. If the order of suspension only applies to a specific location listed on the excursion gambling boat’s license, the prohibitions of this section shall apply only to that location.

Supp. 2013.* Emergency rule filed Sept. 1, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Emergency amendment filed June 14, 1994, effective June 24, 1994, expired Oct. 21, 1994. Emergency amendment filed Oct. 25, 1994, effective Nov. 4, 1994, expired March 3, 1995. Amended:

Filed June 14, 1994, effective Jan. 29, 1995.

Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed Jan. 27, 2010, effective Aug. 30, 2010. Amended: Filed Jan. 14, 2016, effective Aug. 30, 2016.

11 CSR 45-12.020 Excursion Liquor License and Definitions {#sec-11-csr-45-12.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-12.020}

PURPOSE: This rule provides definitions and establishes requirements for excursion liquor licenses.

(1) As used in this chapter, the following terms mean:

(A) “Excursion liquor licensee,” any Class B applicant or licensee who has been issued an excursion liquor license which authorizes the Class B applicant or licensee to serve, offer for sale, or sell intoxicating liquor aboard any excursion gambling boat or facility immediately neighboring the excursion gambling boat which is owned and operated by the Class B applicant or licensee;

(B) “Licensed premises,” any excursion gambling boat and any and all property owned and operated by the Class B applicant or licensee immediately neighboring its riverboat gaming operation as defined in 11 CSR 45-1.090. 11 CSR 45-12.091 to the contrary notwithstanding, hotel guest rooms are not considered to be on the licensed premises;

(C) “Liquor,” any beverage containing alcohol in excess of one-half of one percent (.5%) by volume including, but not limited to, beer, malted liquor, wine, brandy, and distilled liquors;

(D) “Original package,” any package containing one (1) or more standard bottles, cans, or pouches of beer or malt liquor, fifty (50) milliliters (1.7 ounces) or more of spirituous liquors and one hundred (100) milliliters (3.4 ounces) or more of vinous liquors in the manufacturer’s original container. A standard bottle is any bottle or can containing sixteen (16) ounces or less of beer or malt liquor; and (E) “Wine,” a vinous liquor produced by fermentation of juices of grapes, berries, or other fruits or a preparation of certain vegetables by fermentation, and containing alcohol not in excess of twenty-two percent (22%) by volume.

(2) An excursion liquor license shall be a license granted for a one- (1-) year term by the commission for sale of intoxicating liquor by the drink at retail for consumption on the licensed premises, and the sale of intoxicating liquor in the original package at locations specifically indicated on the license for consumption off the licensed premises. The excursion liquor license authorizes the Class B licensee to sell bottles of wine in areas off the gaming floor for consumption on the premises with a meal.

Amended: Filed June 14, 1994, effective Jan. 29, 1995. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed Aug. 30, 2006, effective March 30, 2007. Amended: Filed Jan. 14, 2016, effective Aug. 30, 2016. Amended: Filed March 1, 2018, effective Oct. 30, 2018. Amended: Filed April 25, 2019, effective Dec. 30, 2019. *Original authority: 313.004, RSMo 1993, amended 1994, 2014; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; and 313.840, RSMo 1991, amended 1993, 1994, 2001, 2009.

History

• AUTHORITY: sections 313.004, 313.805, and 313.840, RSMo 2016. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Emergency amendment filed June 14, 1994, effective June 24, 1994, expired Oct. 21, 1994. Emergency amendment filed Oct. 25, 1994, effective Nov. 4, 1994, expired March 3, 1995.

11 CSR 45-12.030 License Criteria {#sec-11-csr-45-12.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-12.030}

PURPOSE: This rule establishes excursion liquor license criteria.

(1) An excursion liquor license shall be granted to a Class B licensee unless— (A) The licensee or any key person has had a liquor license revoked by any agency in this state; or (B) The licensee or any key person has a financial interest of five percent (5%) or more in a distiller, wholesaler, winemaker, or brewer.

(2) The Missouri Gaming Commission (commission) may, in its discretion, deny, revoke, suspend, or impose any other form of discipline against an excursion liquor license applicant or license holder or any specific location listed on its license if the applicant, licensee, or any key person has had a liquor license revoked by any agency in another state.

(3) The commission may, in its discretion, deny, revoke, suspend, or impose any other form of discipline against an excursion liquor license applicant or license holder or any specific location listed on its license if the applicant, licensee, or any key person has been convicted of a violation of the provisions of any law applicable to the manufacture or sale of intoxicating liquors.

Supp. 2013.* Emergency rule filed Sept. 1, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Emergency amendment filed June 14, 1994, effective June 24, 1994, expired Oct. 21, 1994. Amended: Filed May 4, 1994, effective Sept. 30, 1994. Amended:

Filed May 13, 1998, effective Oct. 30, 1998.

Amended: Filed Jan. 14, 2016, effective Aug. 30, 2016.

11 CSR 45-12.040 Applications {#sec-11-csr-45-12.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-12.040}

PURPOSE: This rule establishes the requirements for an excursion liquor license.

(1) Application for an excursion liquor license must be made on forms provided by the Missouri Gaming Commission (commission).

(2) The application shall describe with particularity the locations on the premises in which intoxicating liquors will be served, sold, and stored.

(3) On approval of the application and payment of the licensing fee, the commission shall grant the applicant an excursion liquor license which expires with the thirtieth day of June next succeeding the date of the license.

(4) Change of Facts. If, during the period for which a license is granted, any change of facts or information occurs differing from that set forth in the original or in any renewal application on file with the commission, written notice shall be given within seven (7) days after the change or within such other time period as ordered by the commission.

Supp. 2013.* Emergency rule filed Sept. 1, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended:

Filed Aug. 30, 2006, effective March 30, 2007. Amended: Filed Jan. 14, 2016, effective Aug. 30, 2016.

11 CSR 45-12.050 Excursion Liquor License Fees {#sec-11-csr-45-12.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-12.050}

PURPOSE: This rule establishes fees for excursion liquor licenses.

(1) The initial one (1)-time nonrefundable fee for an excursion liquor license for the premises shall be five hundred dollars ($500).

(2) The annual renewal fee for an excursion liquor license for the premises shall be five hundred dollars ($500).

Supp. 2013.* Emergency rule filed Sept. 1, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed Jan. 14, 2016, effective Aug. 30, 2016.

11 CSR 45-12.060 Renewal {#sec-11-csr-45-12.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-12.060}

PURPOSE: This rule establishes the procedures for renewal of excursion liquor licenses.

(1) Within thirty (30) days of the expiration date, each excursion liquor licensee shall register for renewal of its license using forms provided by the Missouri Gaming Commission.

Supp. 2013.* Emergency rule filed Sept. 1, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended:

Filed Jan. 14, 2016, effective Aug. 30, 2016.

11 CSR 45-12.070 Posting Licenses and Tax Stamps {#sec-11-csr-45-12.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-12.070}

PURPOSE: This rule establishes the requirement of posting liquor licenses and having tax stamps on liquor.

(1) Before commencing or doing any business for the time for which an excursion liquor license has been granted, the license shall be posted at all times during the term of the license in a conspicuous place on the premises where the business is conducted, so that persons visiting the premises may readily see the license.

(2) No excursion liquor license shall be effective, and no right granted by the license shall be exercised by the licensee, unless and until the licensee shall have obtained, and securely affixed to the license in the space provided for it, an original stamp or other form of receipt issued by the duly authorized representative of the federal government, evidencing the payment by the licensee to the federal government of whatever excise or occupational tax is by any law of the United States required to be paid by a dealer engaged in the occupation designated in the license.

Within ten (10) days from the issuance of the federal stamp or receipt, the licensee shall file with the Missouri Gaming Commission (commission) a photostat copy of the stamp or receipt, or a duplicate or indented and numbered stub therefrom as the federal government may have issued to the taxpayer with the original. Every excursion liquor licensee shall keep displayed prominently at all times while the license is in effect, on the licensed premises, all federal tax stamps issued to it or to any other person designating it or the licensed premises as a business or place authorized by the federal government to deal in intoxicating liquors. The licensee shall submit all federal tax stamps to the commission or any agent of the commission, for examination, at any time requested by the commission or the agent to do so and permit the commission or agent to take a copy of the tax stamps.

Supp. 2013.* Emergency rule filed Sept. 1, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed Jan. 14, (11/30/19) JOHN R. ASHCROFT 2016, effective Aug. 30, 2016.

11 CSR 45-12.080 Hours of Operation {#sec-11-csr-45-12.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-12.080}

PURPOSE: This rule establishes the time liquor may be served, offered for sale, sold or supplied.

(1) Any excursion liquor licensee may serve, offer for sale, sell, or supply intoxicating liquor only during the times authorized by the Missouri Gaming Commission (commission). Intoxicating liquor may be served on an excursion gambling boat from 6:00 a.m. to 3:00 a.m. the following day. Intoxicating liquor may be served, offered for sale, sold, or supplied in nongaming areas from 6:00 a.m. to 1:30 a.m. the following day, unless the commission specifically approves other hours of operation. A licensee shall submit, with its application, the proposed hours for approval by the commission.

(2) An excursion liquor licensee is prohibited from serving, offering for sale, selling, giving away, or otherwise allowing the consumption of intoxicating liquor in any quantity after the hours the commission has approved for that licensee to serve, sell, offer for sale, or supply intoxicating liquor. An excursion liquor licensee shall not allow intoxicating liquor to be taken off the excursion gambling boat between the hours of 1:30 a.m. and 6:00 a.m., unless the commission specifically approves other hours.

Filed Dec. 7, 1995, effective June 30, 1996.

Amended: Filed March 18, 1996, effective Oct. 30, 1996. Amended: Filed Oct. 26, 2006, effective May 30, 2007. Amended:

Filed Jan. 14, 2016, effective Aug. 30, 2016.

Amended: Filed April 25, 2019, effective Dec. 30, 2019. *Original authority: 313.004, RSMo 1993, amended 1994, 2014; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; and 313.840, RSMo 1991, amended 1993, 1994, 2001, 2009.

History

• AUTHORITY: sections 313.004, 313.805, and 313.840, RSMo 2016. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Emergency amendment filed Dec. 7, 1995, effective Dec. 17, 1995, expired June 13, 1996. Amended:

11 CSR 45-12.090 Rules of Liquor Control {#sec-11-csr-45-12.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-12.090}

PURPOSE: This rule reinforces the effect of other rules.

(1) Inspection. All licensees shall allow the licensed premises, including all rooms, passageways, closets, vaults, attics, docks, yards, and all buildings used in connection with the operations carried on under the license and which are in their possession or under their control, and all places where they keep or have liquor stored, to be inspected by the Missouri Gaming Commission (commission) and their agents. Licensees shall cooperate fully with the commission and their agents during the inspections.

(2) Record Keeping. All licensees are required to keep complete and accurate records of all purchases and of all sales of intoxicating liquor made by them. These records must include the names and addresses of all persons from whom the liquor is purchased, the dates, kinds and quantities of the purchases, and the dates and amounts of payments on account. They shall also include the daily gross returns from sales.

(A) All licensees shall keep all files, books, records, papers, state, county and city licenses, federal tax stamps, accounts and memoranda pertaining to the business conducted by the licensee on the licensed premises, and, upon request of the commission or their duly authorized agents and auditors, the licensees shall promptly allow an inspection and audit to be made by the commission or its agents, of files, books, records, papers, state, county and city licenses, federal tax stamps, accounts and memoranda and shall permit copies to be made and taken of them.

(B) All records required to be kept by this

chapter must be kept and preserved for a period of at least two (2) years from the date the record was made.

(3) Sale to Minors and Other Persons. An excursion liquor licensee shall not, through actions of its own or of an agent or employee, sell, vend, give away its or otherwise supply any intoxicating liquor in any quantity whatsoever to any person under the age of twenty-one (21) years, to any person intoxicated or appearing to be in the state of intoxication, or to a habitual drunkard. A licensee shall not permit any person under the age of twenty-one (21) years, any intoxicated person, or any habitual drunkard to consume intoxicating liquor on the licensed premises.

(A) Any licensee who in good faith relies on a valid and unexpired driver’s or commercial driver’s license issued under the provision of section 302.177, RSMo or under the laws of any state or territory of the United States to residents of those states or territories, or a valid and unexpired identification card as provided under section 302.181, RSMo, or under the laws of any state or territory of the United States to residents of those states or territories, or a valid and unexpired identification card issued by any uniformed service of the United States, or a valid and unexpired passport shall not be disciplined for a sale to a minor in violation of

section (1).

(B) In order to be deemed acting in good faith, the licensee or the licensee’s agent or employee, upon presentation, must compare the photograph and physical characteristics of the person presenting the identification.

(4) Orderly Place. The licensee shall at all times maintain an orderly place.

(5) Improper Acts. At no time, under any circumstances, shall any licensee or its employees or agents fail to prevent or immediately suppress improper or unlawful conduct by any person upon the licensed premise, nor shall any licensee or its employees and agent allow any indecent or obscene entertainment, literature, or advertising material upon the licensed premises.

(6) Lewdness. No Class B licensee or its employee or agent shall permit in or upon its licensed premises— (A) The performance of acts, or simulated acts of sexual intercourse, masturbation, sodomy, bestiality, oral copulation, flagellation, or any sexual acts which are prohibited by law;

(B) The displaying of any portion of the areola of the female breast;

(C) The actual or simulated touching, caressing, or fondling of another person’s breast, anus, or genitals;

(D) The actual or simulated displaying of the pubic hair, anus, vulva, or genitals;

(E) The permitting by a licensee of any person to remain in or upon the licensed premises who exposes to public view any portion of his/her genitals or anus; and (F) The displaying of films, video programs or pictures depicting acts, the live performances of which are prohibited by this

regulation or by any other law.

(7) Employees.

(A) No Class B licensee as holder of an excursion liquor license shall give to, sell, or permit to be given to or sold any intoxicating liquor, in any quantity, to any employee of the Class A or B licensee on the gaming floor or to any on-duty employee off the gaming floor, with the following exceptions:

1. An excursion liquor licensee may submit to the director a written request for authorization for— A. Level I licensees or applicants, the licensee’s food and beverage director, or corporate officers to consume alcoholic beverages in the nongaming areas of the premises while on-duty for business purposes. The director’s authorization or denial shall be in writing; or B. A brewmaster, winemaker, or distiller while on-duty to taste test products produced by the Class B licensee for quality control in nongaming areas of the premises. The director’s authorization or denial shall be in writing; and 2. An excursion liquor licensee may conduct taste testing sessions in the nongaming areas of the premises closed to the public at which on-duty food and beverage employees may consume alcoholic beverages for the

purpose of training to inform them about the characteristics of beverages offered by the licensee.

(B) Except as permitted in subsection (7)(A) or as specifically required to provide intoxicating liquor service to patrons in the performance of one’s job functions, no onduty employee of a Class A or Class B licensee shall, while on the premises of the riverboat gaming operation by which so employed, purchase, consume, or otherwise possess any intoxicating liquor in any quantity.

(C) An excursion liquor licensee may not permit a person under the age of twenty-one (21) years to sell or assist in the sale or dispensing of intoxicating liquor, except persons eighteen (18) years of age or older may, when acting in the capacity of a waiter or waitress, accept payment for or serve intoxicating liquor in areas where the excursion liquor licensee sells food for on-premises consumption, and if at least fifty percent (50%) of all sales in those areas consists of food or if two hundred thousand dollars ($200,000) in gross annual sales is from the sale of prepared meals or food. Nothing in this section shall authorize persons under twenty-one (21) years of age to mix or serve intoxicating liquors across the bar.

(D) No holder of an excursion liquor license shall permit any patron to give to any employee any intoxicating liquor, in any quantity, or to purchase it for any employee in the establishment or on the premises of the licensee.

(8) Purchase of Intoxicating Liquor. An excursion liquor licensee may purchase intoxicating liquor only from a wholesale liquor dealer duly licensed by the Missouri Supervisor of Liquor Control. No excursion liquor licensee or any of its employees or agents, shall— (A) Offer or give an order for such intoxicating liquor to a person licensed as a manufacturer (brewer, distiller, or winemaker) or solicitor of intoxicating liquor, or its officers, directors, employees, agents, or representatives; and (B) Call upon, contact, or meet at places other than the retailer’s place of business with the manufacturers or solicitors of any of his/her or its officers, directors, employees, agents, or representatives for any purpose in any way connected with or related to intoxicating liquor by any means or place.

(9) May Not Possess Unless Purchased from a Wholesaler or Manufactured by Licensee Pursuant to a Valid Microbrewer’s License.

No excursion liquor licensee shall possess any intoxicating liquor which has not been purchased from, by, or through wholesalers duly licensed by the Missouri Supervisor of Liquor Control, or brewed by the licensee pursuant to a valid microbrewer’s license issued to the licensee by the Missouri Supervisor of Liquor Control. Nothing in this section shall prohibit parties renting facilities for a private function from providing their own intoxicating liquor and permitting employees of the licensee to serve the liquor at the private function.

(10) Commercial Credit. No excursion liquor licensee shall accept any equipment, money, credit, or property of any kind, except ordinary commercial credit for liquors purchased from a distiller, wholesaler, winemaker, or brewer.

(A) Ordinary commercial credit as used in the malt beverage industry shall be credit on such terms as shall require payment to be made by the excursion licensee by the last day of the month for malt beverages which is delivered to the excursion licensee on or after the first day of the month and up to and including the fifteenth day of the month and by the fifteenth day of the month next succeeding for malt beverages which is delivered to the excursion licensee on or after the sixteenth day of the month and up to and including the last day of the month. No brewer or wholesaler shall sell or deliver to any excursion licensee any malt beverage while the excursion licensee owes the brewer or wholesaler for any malt beverage beyond the period of time as indicated in this subsection.

(B) Ordinary commercial credit as used in the intoxicating liquor industry, other than the malt beverage industry, shall be credit on such terms as shall require payment to be made by the excursion liquor licensee within thirty (30) days after the delivery of any intoxicating liquor, other than malt beverage, to the excursion licensee. No distiller, wholesaler, or winemaker shall sell or deliver to any retail licensee any intoxicating liquor, other than malt beverage, while the licensee owes the distiller, wholesaler, or winemaker for any intoxicating liquor, other than malt beverage, beyond the period of time as indicated in this subsection.

(11) Retailers Shall Accept Only Ordinary Credit—May Supply Retailers with Following Items. No excursion liquor licensee, directly or indirectly, shall accept any loans, equipment, money, credit, or property of any kind, except ordinary commercial credit. No excursion liquor licensee shall permit any distiller, wholesaler, winemaker, brewer, or its employees, officers, or agents, under any circumstances, directly or indirectly, to have any financial interest in its retail business for the sale of intoxicating liquor and the licensee shall not accept, directly or indirectly, from a distiller, wholesaler, winemaker, brewer, or its employees, officers, or agents any loan, gifts, equipment, money, credit, or property of any kind except ordinary commercial credit for intoxicating liquor sold to the licensee.

(A) Notwithstanding other provisions contained herein, the distiller, wholesaler, winemaker, or brewer, or its employees, officers, or agents may engage in the following activities with a retail licensee licensed pursuant to this chapter:

1. The distiller, wholesaler, winemaker, or brewer may give or sell product displays, as defined in section 311.070, RSMo, to a retail business if all of the following requirements are met:

A. The total value of all product displays given or sold to a retail business shall not exceed three hundred dollars ($300) per brand at any one time in any one authorized location on the premises. There shall be no combining or pooling of the three hundred dollar ($300) limits to provide an authorized location a product display in excess of three hundred dollars ($300) per brand. The value of a product display is the actual cost to the distiller, wholesaler, winemaker, or brewer who initially purchased such product display.

Transportation and installation costs shall be excluded;

B. All product displays shall bear in a conspicuous manner substantial advertising matter on the product or the name of the distiller, wholesaler, winemaker, or brewer. The name and address of the authorized location may appear on the product displays; and C. The giving or selling of product displays may be conditioned on the purchase of intoxicating beverages advertised on the displays by the retail business in a quantity necessary for the initial completion of the product display. No other condition shall be imposed by the distiller, wholesaler, wine maker, or brewer on the retail business in order for such retail business to obtain the product display;

(6/30/21) JOHN R. ASHCROFT

2. Notwithstanding any provision of law to the contrary, the distiller, wholesaler, winemaker, or brewer may provide, give, or sell any permanent point-of-sale advertising materials, temporary point-of-sale advertising materials, and consumer advertising specialties, as those terms are defined in section 311.070, RSMo, to a retail business if all the following requirements are met:

A. The total value of all permanent point-of-sale advertising materials provided to a retail business by a distiller, wholesaler, winemaker, or brewer shall not exceed five hundred dollars ($500) per calendar year, per brand, per authorized location on the premises. The value of permanent point-of-sale advertising materials is the actual cost to the distiller, wholesaler, winemaker, or brewer who initially purchased such item. Transportation and installation costs shall be excluded. All permanent point-of-sale advertising materials provided to a retailer shall be recorded, and records shall be maintained for a period of three (3) years;

B. The provider of permanent pointof-sale advertising materials shall own and otherwise control the use of permanent pointof-sale advertising materials that are provided by any distiller, wholesaler, winemaker, or brewer;

C. All permanent point-of-sale advertising materials, temporary point-of-sale advertising materials, and consumer advertising specialties shall bear in a conspicuous manner substantial advertising matter about the product or the name of the distiller, wholesaler, winemaker, or brewer. The name, address, and logos of the authorized location may appear on the permanent pointof-sale advertising materials, temporary point-of-sale advertising materials, or the consumer advertising specialties; and D. The distiller, wholesaler, winemaker, or brewer shall not directly or indirectly pay or credit the retail business for using or distributing the permanent point-ofsale advertising materials, temporary pointof-sale advertising materials, or consumer advertising specialties, or for any incidental expenses arising from their use or distribution.

(B) Notwithstanding the statements of section (11), to properly preserve and serve draught beer only and to facilitate the delivery to the licensee, the licensee may accept, any of the following items or any of the following services: beer coils and coil cleaning, sleeves and wrappings, box couplings and draft arms, beer faucets and tap markers, beer and air hose, taps, vents and washers, gauges and regulators, beer and air distributors, beer line insulation, coil flush hose, couplings and bucket pumps, portable coil boxes, air pumps, blankets or other coverings for temporary wrappings of barrels, coil box overflow pipes, tilting platforms, bumper boards, skids, cellar ladders and ramps, angle irons, ice box grates, floor runways, and repair of damage caused by any beer delivery excluding normal wear and tear. A complete record of equipment, repairs, and service accepted must be kept for a period of not less than one (1) year.

(C) Notwithstanding the provisions of sub-

section (11)(B), to properly preserve and serve draught wine, wine tapping accessories, such as standards, faucets, rods, vents, taps, tap standards, hoses, washers, coupling, gas gauges, vent tongues, shanks, and check valves may be purchased if the tapping accessories are purchased at a price not less than the cost to the distiller, winemaker, brewer, or wholesaler who initially purchased them and if the price is collected within thirty (30) days of the date of sale. Coil cleaning service may be accepted by a licensee.

(D) Defining certain sales to be a gift of money or property. A sale by a licensed wholesaler to an excursion liquor licensee at a price which is less than the cost of the intoxicating liquor to the licensed wholesaler making the sale is presumed (subject to rebuttal as set out in this rule) to constitute a gift of money or property to the licensed retailer in violation of this rule. The presumption may be rebutted by reasonable proof that the fair wholesale market value of the intoxicating liquor in question is less than the cost of intoxicating liquor to the wholesaler selling the same.

(E) Defining the word cost. The word cost as used in this rule shall mean the actual charge for the merchandise in question by the supplier of the merchandise to the wholesaler, plus the cost of transportation of the merchandise to the wholesaler and all federal and Missouri excise taxes and custom duties allocable to the merchandise.

(12) Advertising. No licensee may accept payment of any fee, rental, or other consideration from manufacturers, wholesalers, or distributors for the use of any part of the licensed retail premises for advertising any brand name of distilled spirits, wine, or malt liquor or for the purpose of advertising the name, trademark, or trade name of any maker thereof from any distiller, wholesaler, winemaker, brewer or its employees, officers, or agents.

(13) Liquor In Storage. No licensee shall have consigned to it, receive or accept the delivery of, or keep in storage any intoxicating liquors or upon any premises other than those described in its license without first having obtained the written permission of the commission.

(14) Labeling. No person shall sell any intoxicating liquors, as defined in this rule, within this state, which have not been inspected and labeled according to the provisions of this

rule and the Missouri Liquor Control Law and corresponding rules.

(15) Substitution. No excursion liquor licensee, through actions of its own or an employee, may sell malt liquor, or any other intoxicating liquor in this state, or shall offer for sale any such malt liquor, or any other intoxicating liquor, whatsoever, in substitution for, or with a representation that any such malt liquor or other intoxicating liquor is any other brand or product.

(16) Manufacturer’s Label. No licensee shall sell, give away, or possess any spirituous liquor from, or in, any container when the intoxicating liquor is not that set out on the manufacturer’s label on the container or does not have the alcoholic content shown on the manufacturer’s label.

(17) Licensee Must Not Bottle. No excursion liquor licensee may bottle any intoxicating liquor, unless produced pursuant to a valid liquor license issued by the Missouri Supervisor of Liquor Control, from any barrel or other container nor may the licensee refill any bottle or add to the contents of the bottle from any barrel or other container.

(18) Adulteration. No excursion licensee, through actions of its own or of an employee, for any purpose whatsoever may mix, or permit, or cause to be mixed with any intoxicating liquor kept for sale, sold, or supplied by the licensee as a beverage, any drug or form of methanol alcohol or impure form of alcohol.

(19) Container Sizes. No excursion liquor licensee shall sell or possess any spirituous liquor in any package or container holding less than fifty (50) milliliters (1.7 ounces) or more than one (1) gallon. No excursion liquor licensee shall sell or possess any wine in any package or container holding less than one hundred (100) milliliters (3.4 ounces) or more than fifteen and one-half (15.5) gallons.

(20) Dispensing by Mechanical Devices Prohibited. No retail licensee shall use or permit to be used upon its licensed premises any self-service, coin-operated, mechanical devices, or automatic dispensers for the purpose of selling or dispensing intoxicating liquor, other than beer and wine off the gaming floor. This shall not prohibit sales using a controlled access liquor cabinet system as (6/30/21) JOHN R. ASHCROFT provided in 11 CSR 45-12.091.

(21) Self-Dispensing Systems. A licensee may use a self-dispensing system off the gaming floor, which is monitored and controlled by the licensee and allows patrons to dispense beer or wine. Before a patron may dispense beer or wine, an employee of the licensee must first authorize an amount of beer or wine, not to exceed thirty-two (32) ounces of beer or sixteen (16) ounces of wine per patron per authorization, to be dispensed by the self-dispensing system.

(22) Prohibited Dispensing. No licensee or employee shall mix or pour, or permit to be mixed or poured, any intoxicating liquor directly into any person’s mouth upon or about the licensed premis es.

(23) Sale Off-Premises Prohibited. No excursion liquor licensee or the licensee’s agent or employee shall sell intoxicating liquor in any place other than that designated on the license or at any other time or otherwise authorized by the license. Nothing in this section shall prohibit a licensee from selling intoxicating liquor off-premises pursuant to a valid liquor license issued by the Missouri Supervisor of Liquor Control.

(24) Sale for Resale—Prohibited. No person holding a license authorizing the retail sale of intoxicating liquor shall sell or deliver any liquor to any person with knowledge or with reasonable cause to believe, that the person to whom the liquor is sold or delivered has acquired the liquor for the purpose of reselling it.

(25) Complimentary Service of Intoxicating Liquor. An excursion liquor licensee shall not, through actions of its own or of an employee, supply any intoxicating liquor in any quantity whatsoever free of charge or as a complimentary to any person on the gaming floor of the premises.

(26) Unfinished bottles of wine may be carried out of a restaurant bar, when—It shall not be unlawful for the excursion liquor licensee or employee of a food and beverage outlet located in nongaming areas to allow patrons to carry out one (1) or more bottles of unfinished wine under the following conditions:

(A) The patron must have ordered a meal;

(B) The bottle(s) of wine must have been at least partially consumed during the meal;

(C) The restaurant bar must provide a dated receipt for the unfinished bottle(s) of wine; and (D) The restaurant bar must securely reseal the bottle(s) of wine and place them in one (1) or more one- (1-) time-use, tamperproof, transparent bags and securely seal the bags.

(27) Activities for certain organizations allowed, when—Excursion liquor licensees may, in nongaming areas of their licensed premises, permit charitable or religious organizations as defined in section 313.005, RSMo, or educational institutions, to hold— (A) Events or activities for which admission is charged and liquor which has been donated, delivered, or caused to be delivered pursuant to the provisions of section 311.332, RSMo, is available without a separate charge.

Such occurrences shall not constitute resale for the purposes of this rule; or (B) Auctions of liquor in the original package for fund-raising purposes pursuant to the provisions of section 311.332, RSMo; provided that all remaining liquor so donated, delivered, or caused to be delivered to the charitable or religious organization or educational institution at the close of the event, activity, or auction shall remain the property and responsibility of the charitable or religious organization or educational institution and shall not be converted to the benefit of the excursion liquor licensee.

rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994.

Emergency amendment filed June 14, 1994, effective June 24, 1994, expired Oct. 21, 1994. Amended: Filed May 4, 1994, effective Sept. 30, 1994. Amended: Filed June 2, 1995, effective Dec. 30, 1995. Amended: Filed March 18, 1996, effective Oct. 30, 1996.

Amended: Filed April 3, 2001, effective Oct. 30, 2001. Amended: Filed Dec. 7, 2001, effective June 30, 2002. Amended: Filed Aug. 27, 2004, effective March 30, 2005. Amended:

Filed Aug. 30, 2006, effec tive March 30, 2007. Amended: Filed Dec. 1, 2010, effective July 30, 2011. Amended: Filed Sept. 29, 2011, effective May 30, 2012. Amended: Filed Jan. 14, 2016, effective Aug. 30, 2016. Amended:

Filed Sept. 1, 2016, effective March 30, 2017.

Amended: Filed Dec. 10, 2020, effective July 30, 2021. *Original authority: 311.180, RSMo 1939, amended 1945, 1985, 1994, 1995, 2007; 313.004, RSMo 1993, amended 1994, 2014; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; and 313.840, RSMo 1991, amended 1993, 1994, 2001, 2009.

History

• AUTHORITY: sections 311.180, 313.004, 313.805, and 313.840, RSMo 2016. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency

11 CSR 45-12.091 Controlled Access Liquor Cabinet Systems {#sec-11-csr-45-12.091 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-12.091}

PURPOSE: The purpose for this rule is to allow qualifying licensees to make sales using a controlled access liquor cabinet system.

(1) As used in this section, the following terms mean:

(A) “Controlled access liquor cabinet,” a closed container, either refrigerated in whole or in part or nonrefrigerated, access to the interior of which is restricted by means of a locking device which requires the use of a key, access by means of a locking device as hereinabove described;

(B) “Controlled access liquor cabinet system,” a system for the sale of intoxicating liquor in qualified packages or containers in the rooms provided for the overnight accommodation of transient guests in a qualified establishment by means of a controlled access liquor cabinet, and such system shall permit the licensee to maintain in the rooms provided for the overnight accommodation of transient guests a controlled access liquor cabinet in which such licensee may maintain for sale intoxicating liquor in qualified packages or containers, together with, if desired, other beverages or food, and such system shall permit the adult registered guests of the room in which such controlled access liquor cabinet is located to use the key, magnetic card or other similar device to gain access to such controlled access liquor cabinet to obtain the intoxicating liquor or other beverages or food for consumption;

(C) “Qualified establishment,” any establishment having at least forty (40) rooms for the overnight accommodation of transient guests and having a restaurant or similar facility on the premises at least sixty percent (60%) of the gross income of which is derived from the sale of prepared meals or food, which restaurant’s annual gross food sales for the past two (2) years immediately preceding its application for a license shall not have been less than one hundred thousand dollars ($100,000) per year or, if such restaurant has been in operation for less than two (2) years, such restaurant has been in operation for at least ninety (90) days preceding the application for license for sale of intoxicating liquor by means of controlled access liquor cabinets and has a projected experience based upon its sale of food during the preceding ninety (90) days which would exceed one hundred thousand dollars ($100,000) per year;

(D) “Qualified packages or containers,” packages or containers for intoxicating liquor, other than beer or other malt liquor, which hold not less than fifty (50) milliliters and not more than two hundred (200) milliliters, and any packages or containers for beer or other malt liquor;

(E) “Registered guest,” each person who signs his/her name to the guest register of the qualified establishment or takes some other equivalent action for the purpose of registering as a guest of such qualified establishment;

(F) “Room,” a room in a qualified establishment which is intended to be used as, and which is provided for, the overnight accommodation of transient guests.

(2) Notwithstanding any other provision of this chapter to the contrary, any person who possesses the qualifications required by this

chapter, and who now or hereafter meets the requirements of and complies with the provisions of this chapter, and who operates a qualified establishment and who is licensed to sell liquor by the drink at retail with respect to such qualified establishment, may apply for, and the commission may issue, a license to sell intoxicating liquor in the rooms of such qualified establishment by means of a controlled access liquor cabinet system on and subject to the following terms and conditions:

(A) The key, magnetic card or other similar device required to attain access to the controlled access liquor cabinet in a particular room may be provided only to each adult registered guest who is registered to stay in such room;

(B) Prior to providing a key, magnetic card or other similar device required to attain access to the controlled access liquor cabinet in a particular room to the registered guest, the licensee shall verify that each such registered guest to whom such key, magnetic card or similar device is to be provided is not under twenty-one (21) years of age;

(C) All employees handling the intoxicating liquor to be placed in the controlled access liquor cabinet, including without limitation any employee who inventories and/or restocks and replenishes the intoxicating liquor in the controlled access liquor cabinet, shall be at least eighteen (18) years of age;

(D) Registered guests may use the key, magnetic card or other similar device required to attain access to the controlled access liquor cabinet in such registered guest’s room at any time; provided, however, that no controlled access liquor cabinet may be restocked or replenished with intoxicating liquor, nor shall any intoxicating liquor be delivered to a room in order to restock or replenish the supply of intoxicating liquor in the controlled access liquor cabinet, at any time when the restaurant operated at the qualified establishment is not permitted to sell liquor by the drink at retail pursuant to the provisions of this chapter;

(E) Upon request from the registered guest at any time, the qualified establishment shall cause all intoxicating liquor to be removed from the controlled access liquor cabinet in the room of such registered guest as soon as reasonably practicable; and (F) The qualified establishment shall have the right to collect payment for the intoxicating liquor or other beverages or food taken from the controlled access liquor cabinet in the room of a registered guest in such manner as it shall determine to be appropriate, including without limitation the inclusion of such charges together with the charges made to such registered guest for the use of the room or for purchase of meals at the restaurant operated at such qualified establishment.

(3) Any new qualified establishment having been in operation for less than ninety (90) days may be issued a temporary license to sell intoxicating liquor in the rooms of such qualified establishment by means of a controlled access liquor cabinet system for a period not to exceed ninety (90) days if such establishment can show a projection of an annual business from prepared meals or food which would exceed not less than one hundred thousand dollars ($100,000) per year.

(4) In addition to any right to sell granted pursuant to any other provision of this chapter, a duly licensed wholesaler shall be permitted to sell intoxicating liquor to a qualified establishment in any size of qualified packages or containers for use in a controlled access liquor cabinet system; provided, however, that as to any size of qualified packages or containers which could not be legally sold to the qualified establishment except for the provisions of this section, any such size of qualified packages or containers shall be sold by the qualified establishment only by means of the controlled access liquor cabinet system.

History

• AUTHORITY: sections 313.004 and 313.805, RSMo 2000 and 313.840, RSMo Supp. 2004. Original rule filed April 3, 2001, effective Oct. 30, 2001. Amended: Filed Aug. 3, 2005, effective Feb. 28, 2006. 313.805, RSMo 1991, amended 1993, 1994, 2000; and 313.840, RSMo 1991, amended 1993, 1994, 2001.

Chapter 13 Hearings

11 CSR 45-13.045 Suitability Hearings for Gaming Applicants and Licensees and {#sec-11-csr-45-13.045 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-13.045}

11 CSR 45-13.010 All Types of Hearings {#sec-11-csr-45-13.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-13.010}

PURPOSE: This rule describes types of hearings.

(1) The rules contained in this chapter shall govern all hearings of the commission. In all hearings before the commission, the applicant or licensee shall be the petitioner. For good cause, the commission may extend the time limits set forth in this

chapter. 313.800, RSMo 1991, amended 1993, 1994, 2005, 2014, 2016, 2021, 2022; and 313.805,

11 CSR 45-13.020 Hearing Officer {#sec-11-csr-45-13.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-13.020}

PURPOSE: This rule describes appointment of hearing officers.

(1) The commission shall retain a hearing officer, as a full-time employee or on a contract basis, to conduct the hearings required by the statutes and regulations over which the commission has jurisdiction.

(2) The hearing officer shall be a member in good standing of the Missouri Bar.

(3) Following each hearing, the hearing officer shall recommend proposed findings of fact, conclusions of law, and a final order to the commission.

(4) The commission shall review the recommendation of the hearing officer and issue findings of fact, conclusions of law, and enter a final order.

(5) Notwithstanding the foregoing, the commission may by majority vote designate one (1) or more gaming commissioners to act as a hearing officer and conduct any hearing over which the commission has jurisdiction. 313.800, RSMo 1991, amended 1993, 1994, 2005, 2014, 2016, 2021, 2022; and 313.805,

11 CSR 45-13.030 Requests for Hearings {#sec-11-csr-45-13.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-13.030}

PURPOSE: This rule establishes the procedure for licensees and applicants to request a hearing for licenses established in 11 CSR 45-4, 11 CSR 45-20, 11 CSR 45-51, 11 CSR 45-52, and 11 CSR 45-53.

(1) All requests for hearings must— (A) Be in writing;

(B) State the name, current address, and current telephone number of the petitioner;

(C) State the number assigned to the matter by the commission;

(D) State the particular section of the statutes or commission

rule involved; and (E) State in detail the reasons and facts upon which the petitioner will rely to prove its case, such as to show that the petitioner’s application for a license should have been granted, the license should have been renewed, the transfer of ownership should have been approved, or the petitioner should not have been placed on the exclusion list, including specific responses to any facts enumerated in the commission’s notice of denial, notice of unsuitability, notice of nonrenewal, notice of exclusion, or other document evidencing legal action.

(2) A request for hearing must be submitted within thirty (30) days from the date of mailing by the commission of the decision or issue about which the petitioner requests a hearing.

(A) The petitioner may submit a request for hearing by— 1. Personal delivery;

2. Certified mail, postage prepaid; or 3. Overnight express mail, postage prepaid.

(B) All requests for hearings must be submitted in duplicate at the commission’s office in Jefferson City.

(C) No documents or papers shall be considered filed until actually received by the commission.

(D) The hearing officer may deny a request for hearing if the statement of reasons and facts submitted by the petitioner do not establish a prima facie case.

(3) The petitioner shall be served with written notice of the time and place of hearing by— (A) Personal delivery;

(B) Certified mail, postage prepaid; or (C) Overnight express mail, postage prepaid. 313.004 and 313.560, RSMo 2016, and sections 313.800, 313.805, and 313.812, RSMo Supp. 2025.* Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994.

Filed Dec. 5, 2013, effective Aug. 30, 2014. Amended: Filed Aug. 29, 2024, effective March 30, 2025. Amended: Filed May 14, 2025, effective Nov. 30, 2025. 2022; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010, 2021, 2022; and 313.812, RSMo 1991, amended 1993, 1994, 2000, 2014, 2021.

11 CSR 45-13.040 Appearances {#sec-11-csr-45-13.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-13.040}

PURPOSE: This rule establishes the procedures for attorneys filing appearances.

(1) A party may be represented by an attorney who is licensed in Missouri. All attorneys who appear in a representative capacity on behalf of a party must file written notice of appearance setting forth— (A) The name, address, telephone number, and Missouri Bar number of the attorney(s); and (B) The name and address of the party represented.

(2) Upon motion, the hearing officer may permit a member in good standing of the bar of the highest court of any state or of any United States district court to argue or conduct a particular hearing in whole or in part.

(3) An attorney may only withdraw his/her appearance upon written notice to the hearing officer stating the reasons therefore and after permission from the hearing officer.

(4) Any individual may appear on his/her own behalf. 313.004, 313.052, and 313.560, RSMo 2016, and sections 313.800 and 313.805, RSMo Supp. 2025.* Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency Amended: Filed May 14, 2025, effective Nov. 30, 2025. 2014, 2016, 2021, 2022; and 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010, 2021, 2022.

11 CSR 45-13.045 Suitability Hearings for Gaming Applicants and Licensees and Exclusion Hearings {#sec-11-csr-45-13.045 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-13.045}

PURPOSE: This rule authorizes hearings for applicants found to be unsuitable for licensing pursuant to 11 CSR 45-4 and persons placed on the commission’s exclusion list.

(1) A person whose application for a gaming license has not been granted for failing to establish suitability to hold a license or a person who has been placed on an exclusion list pursuant to 11 CSR 45-15.040 may request a hearing under this chapter.

(2) The commission may authorize the executive director to investigate and make the initial finding of unsuitability with regard to any applicant for or holder of a license of the type that may be issued by the executive director pursuant to 11 CSR 45-4.

(3) Whenever the commission finds an applicant unsuitable for licensing, the commission shall send a written letter to the applicant outlining the reasons for the finding, including both the applicable criteria for suitability that the applicant has established and those criteria that the applicant has failed to establish. This letter shall be sent certified mail, return receipt requested, or by personal delivery. Within thirty (30) days from the date of mailing, the licensee shall file a request for hearing by serving it on the executive director as provided in

11 CSR 45-13.030. If a request for hearing is not filed within the time provided for, the letter shall become a final order of the commission. {#sec-11-csr-45-13.030. omnilex-key=us-mo-regs-official--title-11--11 CSR 45-13.030.}

History

• AUTHORITY: section 39(g) of Article III, Mo. Const., sections 313.004 and 313.560, RSMo 2016, and sections 313.800 and 313.805, RSMo Supp. 2025. Original rule filed June 30, 2003, effective Feb. 29, 2004. Amended: Filed May 14, 2025, effective Nov. 30, 2025. 2022; and 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010, 2021, 2022.

11 CSR 45-13.050 Disciplinary Action Against Gaming Licensees {#sec-11-csr-45-13.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-13.050}

PURPOSE: This rule establishes the procedures for disciplinary action against those licensed pursuant to 11 CSR 45-4.

(1) When notified of facts sufficient to support disciplinary action against a gaming licensee under the applicable statutes or rules, the commission may propose disciplinary action against a licensee. If the commission proposes disciplinary action, it shall notify the licensee of the disciplinary action proposed by certified mail, including with the notification a proposed order for disciplinary action.

(2) The proposed order shall include a statement of facts supporting the disciplinary action, the rule or statutory section the licensee is being charged with violating and the penalty proposed. The proposed order shall be accompanied by a certificate of service demonstrating the date of service.

(3) Within thirty (30) days from the date of mailing of the proposed order, the licensee shall file his, her, or its request for hearing by serving it on the executive director. If a request for hearing is not filed, the proposed order shall become a final order of the commission.

(4) The commission may authorize the executive director to investigate and to issue a proposed order for disciplinary action with regard to any applicant for or holder of a license of the type that may be issued by the executive director pursuant to 11 CSR 45-4.

Amended: Filed May 14, 2025, effective Nov. 30, 2025. 2022; and 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010, 2021, 2022.

History

• AUTHORITY: section 39(g) of Article III, Mo. Const., sections 313.004 and 313.560, RSMo 2016, and sections 313.800 and 313.805, RSMo Supp. 2025. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed Dec. 7, 1995, effective June 30, 1996. Amended: Filed Aug. 30, 1996, effective April 30, 1997. Emergency amendment filed Dec. 12, 1997, effective Dec. 22, 1997, expired June 19, 1998. Amended: Filed Dec. 12, 1997, effective July 30, 1998. Amended: Filed March 1, 1999, effective Oct. 30, 1999. Amended: Filed June 30, 2003, effective Feb. 29, 2004.

11 CSR 45-13.051 Bingo Hearings {#sec-11-csr-45-13.051 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-13.051}

PURPOSE: This rule sets forth procedures for hearings related to bingo applicants and licensees.

(1) A person whose application for a bingo license has not been granted for failing to establish suitability to hold a license or against whom a disciplinary action has been initiated, including action to place the person’s name on the List of Ineligible Persons (List), may request a hearing under this

chapter. The rules in this chapter shall be read together with

Chapter 536, RSMo.

(2) The commission may authorize the director to investigate and make the initial finding of unsuitability or to issue a proposed order for disciplinary action with regard to any applicant for, or holder of, a license of the type that may be issued by the director pursuant to 11 CSR 45-30.065(3). The commission may also authorize the director to investigate and make the initial finding of ineligibility and to initiate proceedings to place a person on the List pursuant to 11 CSR 45-30.580.

(3) Whenever the commission finds an applicant unsuitable licensee or applicant in writing outlining the reasons for the finding. This notice shall be sent to the party’s last known address by certified mail, return receipt requested, or by another means of personal service.

(4) When notified of facts sufficient to support disciplinary action against a bingo licensee under the applicable statutes or rules, the commission may propose disciplinary action against a licensee. If the commission proposes disciplinary action, it shall notify the licensee of the proposed disciplinary action, in writing, outlining the reasons for the proposed discipline. certified mail, return receipt requested, or by another means of personal service.

(5) Any licensee who receives a notice of commission action (A) If the licensee does not respond to the commission within (B) If the licensee responds to the commission within thirty (30) days of the date the notice is mailed, the commission may take any action it deems appropriate, including, but not limited to, dismissing the matter, initiating settlement negotiations pursuant to 11 CSR 45-13.065, or petitioning the AHC for findings of fact and conclusions of law to support unsuitability, ineligibility, or discipline.

(6) Hearings before the AHC shall be governed by Chapter 536, RSMo and the rules in 1 CSR 15-3. The AHC shall, after (A) If the AHC does not find a factual basis to support the (B) If the AHC issues its findings of fact and conclusions of law (7) Upon receiving findings of fact and conclusions of law this chapter. The notice of hearing shall be in writing and shall notify the licensee of the time and place of the hearing, unless a waiver of hearing is filed by the licensee or the parties reach a settlement, negating the need for a hearing. Service of the hearing notice shall be sent by mail to the party’s last known address.

(8) Following the hearing, the hearing officer shall make a recommendation of discipline or other action to the commission as authorized and set forth by 11 CSR 45-13.020.

Amended: Filed June 30, 2016, effective Feb. 28, 2017. *Original authority: 313.004, RSMo 1993, amended 1994, 2014; 313.015, RSMo 1981, amended 1983, 1993, 1994, 1996, 2010; 313.052, RSMo 1994; 313.065, RSMo 1981, amended 1993, 1995; 621.045, RSMo 1965, amended 1978, 1995, 2005, 2007, 2011; and 621.110, RSMo 1965, amended 1978, 2006, 2011.

History

• AUTHORITY: sections 313.004, 313.015, 313.052, 313.065, 621.045, and 621.110, RSMo 2016. Original rule filed June 30, 2003, effective Feb. 29, 2004. Amended: Filed June 25, 2015, effective Feb. 29, 2016.

11 CSR 45-13.052 Sports Wagering Hearings {#sec-11-csr-45-13.052 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-13.052}

PURPOSE: This rule sets forth procedures for disciplinary actions, license denials, and hearings related to sports wagering applicants and licensees.

(1) A person whose application for a license issued under 11 CSR 45-20 has been denied, against whom a disciplinary action has been initiated, or who disagrees with a written determination of the commission may request a hearing under this chapter.

The rules in this chapter shall be read together with Chapter 536, RSMo.

(2) The commission may authorize the executive director to investigate and make the initial finding of unsuitability or to issue a proposed order for disciplinary action with regard to any applicant for or holder of a license of the type that may be issued by the commission pursuant to 11 CSR 45-20.

(3) Whenever the commission finds an applicant unsuitable applicant in writing outlining the reasons for the finding. certified mail or by another means of personal service.

(4) When notified of facts sufficient to support disciplinary action against a licensee under Article III, Section 39(g), of the Missouri Constitution or the applicable statutes or rules, the commission may propose disciplinary action against a licensee. If the commission proposes disciplinary action, it shall notify the licensee of the proposed disciplinary action, in writing, outlining the reasons for the proposed discipline. certified mail or by another means of personal service.

(5) Any licensee who receives a notice of commission action (A) If the licensee does not respond to the commission within (B) If the licensee responds to the commission within thirty (30) days of the date the notice is mailed, the commission may take any action it deems appropriate, including but not limited to dismissing the matter, initiating settlement negotiations pursuant to 11 CSR 45-13.065, or petitioning the AHC for (6) Hearings before the AHC shall be governed by Chapter 536, RSMo, and the rules in 1 CSR 15-3. The AHC shall, after (A) If the AHC does not find a factual basis to support the (B) If the AHC issues its findings of fact and conclusions of law (7) Upon receiving findings of fact and conclusions of law this chapter. The notice of hearing shall be in writing and shall notify the licensee of the time and place of the hearing, unless a waiver of hearing is filed by the licensee or the parties reach a settlement, negating the need for a hearing. Service of the hearing notice shall be sent by mail to the party’s last known address by certified mail or by another means of personal service. Following the hearing, the hearing officer shall make a recommendation of discipline or other action to the commission as authorized and set forth by 11 CSR 45-13.020.

(8) The commission shall review the recommendation of the hearing officer and issue findings of fact, conclusions of law, and enter a final order. The final order of the commission may be appealed to the circuit court.

History

• AUTHORITY: section 39(g) of Article III, Mo. Const., section 313.004, RSMo 2016, and sections 313.800–313.850, RSMo 2016 and Supp. 2025. Original rule filed May 14, 2025, effective Nov. 30, 2025. Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850, see Revised Statutes of Missouri, 2016 and Supp. 2025.

11 CSR 45-13.054 Fantasy Sports Contest Hearings {#sec-11-csr-45-13.054 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-13.054}

PURPOSE: This rule sets forth procedures for hearings related to Fantasy Sports Contest applicants and licensees.

(1) A person whose application for a fantasy sports contest operator license has been denied or against whom a disciplinary action has been initiated may request a hearing under this

chapter. The rules in this chapter shall be read together with

Chapter 536, RSMo.

(2) The commission may authorize the director to investigate and make the initial finding of unsuitability or to issue a proposed order for disciplinary action with regard to any applicant for, or holder of, a license of the type that may be issued by the director pursuant to 11 CSR 45-40.

(3) Whenever the commission finds an applicant unsuitable applicant in writing outlining the reasons for the finding. certified mail, return receipt requested, or by another means of personal service.

(4) When notified of facts sufficient to support disciplinary action against a fantasy sports contest operator licensee under the applicable statutes or rules, the commission may propose disciplinary action against a licensee. If the commission proposes disciplinary action, it shall notify the licensee of the proposed disciplinary action, in writing, outlining the reasons for the proposed discipline. This notice shall be sent to the party’s last known address by certified mail, return receipt requested, or by another means of personal service.

(5) Any licensee who receives a notice of commission action (A) If the licensee does not respond to the commission within (B) If the licensee responds to the commission within thirty (30) days of the date the notice is mailed, the commission may take any action it deems appropriate, including, but not limited to, dismissing the matter, initiating settlement negotiations pursuant to 11 CSR 45-13.065, or petitioning the AHC for findings of fact and conclusions of law to support unsuitability, ineligibility, or discipline.

(6) Hearings before the AHC shall be governed by Chapter 536, RSMo and the rules in 1 CSR 15-3. The AHC shall, after (A) If the AHC does not find a factual basis to support the (B) If the AHC issues its findings of fact and conclusions of law (7) Upon receiving findings of fact and conclusions of law this chapter. The notice of hearing shall be in writing and shall notify the licensee of the time and place of the hearing, unless a waiver of hearing is filed by the licensee or the parties reach a settlement, negating the need for a hearing. Service of the hearing notice shall be sent by mail to the party’s last known address. Following the hearing the hearing officer shall make a recommendation of discipline or other action to the commission as authorized and set forth by 11 CSR 45-13.020.

History

• AUTHORITY: sections 313.910, 313.935, 313.950, and 313.955, RSMo 2016. Emergency rule filed Aug. 29, 2016, effective Sept. 8, 2016, expired March 6, 2017. Original rule filed Aug. 29, 2016, effective March 30, 2017. Original authority: 313.910, RSMo 2016; 313.935, RSMo 2016; 313.950, RSMo 2016; and 313.955, RSMo 2016.

11 CSR 45-13.055 Emergency Order Suspending License Privileges—Expedited Hearing {#sec-11-csr-45-13.055 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-13.055}

PURPOSE: This rule establishes a procedure for immediately suspending the privileges under a license where the public health, safety, or welfare is endangered and preservation of the public interest requires such suspension of privileges.

(1) Upon a finding that sufficient facts exist to show that a licensee has violated a provision of Article III, Section 39(g), of the Missouri Constitution, sections 313.004 to 313.090, RSMo, sections 313.800 to 313.850, RSMo, or sections 313.900 to 313.955, RSMo, or any rule promulgated by the commission under 11 CSR 45, et seq., as may be amended from time to time and that such facts constitute an immediate threat to the public health, safety, or welfare, the executive director may issue an emergency order immediately suspending the privileges under the license that allow the licensee to— (A) Conduct gambling games on an excursion gambling boat;

(B) Serve as an officer, director, trustee, proprietor, managing agent, or general manager of a licensee or key person of a licensee;

(C) Work on an excursion gambling boat or have access to restricted areas on an excursion gambling boat;

(D) Sell gambling supplies;

(E) Operate a bingo game;

(F) Sell or manufacture bingo supplies;

(G) Conduct fantasy sports contests;

(H) Conduct sports wagering; or (I) Provide any sports wagering equipment, systems, goods, services, or any other component necessary for the operation of sports wagering.

(2) The executive director shall have notice of the emergency order personally served upon the licensee or, if the licensee is not available personally, it may be served by electronic mail, certified mail, or express mail.

(3) Upon receipt of notice of an emergency suspension of license privileges as set forth in section (1) of this rule, the licensee may request an immediate informal hearing before the executive director. A request for informal hearing must be in writing and delivered to the executive director at the commission’s office in Jefferson City via electronic mail, personal delivery, certified mail, or express mail. The executive director or his or her designee shall hold the informal hearing within forty-eight (48) hours of receipt of the request for hearing. The procedure for the hearing shall be as follows:

(A) The executive director or his or her designee shall call the hearing to order and present a statement of facts summarizing the violations committed by the licensee and the reason(s) why the licensee’s conduct constitutes an immediate threat to the public health, safety, or welfare such that it demands an emergency order;

(B) The licensee may respond by submitting evidence and witnesses, if any, supporting its position that the conduct does not constitute a violation of law or that it is not of such severity that it demands emergency action. The executive director or his or her designee may require that witnesses testify under oath.

All relevant evidence is admissible. The executive director or his or her designee may question witnesses. At the conclusion of the licensee’s presentation of evidence, the licensee may make a concluding argument as to why the emergency order should not stand; and (C) Upon receiving all evidence presented by the licensee and hearing the licensee’s final argument, the executive director or his or her designee shall render a decision as to whether or not the order will stand. If the executive director reaffirms the order, it shall be scheduled for a hearing before the full commission as provided in section (4) of this rule.

(4) Emergency orders issued pursuant to section (1) of this

rule, except those that have been rescinded by the executive director after an informal hearing provided for in section (3), shall be presented to the commission at its next meeting where a hearing will be conducted to determine the validity of the issuance of the order. The hearing shall be commenced within seven (7) days of the service of notice of the emergency order upon the licensee unless sufficient cause can be shown as to why a hearing cannot be commenced within that time.

Under no circumstance shall such hearing be commenced more than fourteen (14) days after service of notice of the emergency order unless a delay is requested by the licensee.

The commission shall preside over the hearing, which shall be conducted in accordance with the procedures set forth in

11 CSR 45-13.060. The commission may designate a hearing officer to direct the hearing and rule on evidentiary matters. {#sec-11-csr-45-13.060. omnilex-key=us-mo-regs-official--title-11--11 CSR 45-13.060.}

However, the hearing officer’s rulings shall be advisory only and may be overruled by the commission. Upon conclusion of oral arguments and evidentiary presentations, the commission shall determine whether sufficient cause exists to uphold the proposed emergency order.

(5) If the commission finds there are sufficient facts to support a finding that the alleged conduct occurred, that it poses an immediate threat to the public health, safety, or welfare, and that the effective regulation of gaming demands the action, it shall adopt a resolution ratifying the emergency order.

The commission may amend the language in the emergency order based upon the evidence presented at the hearing. The commission’s resolution shall establish the length of term for the order by establishing an expiration date. The expiration date may be a specific date, dependent on the completion of specified remedial actions or dependent on the outcome of a proposed disciplinary action issued by the commission pursuant to 11 CSR 45-13. If the expiration date is dependent upon specific remedial actions, the commission shall provide a detailed description of the remedies in the resolution and shall establish procedures whereby the licensee can demonstrate that it has complied with the required remedies. Any resolution adopted to ratify the emergency order is a final decision of the commission for purposes of appeal.

(6) If the commission finds that there is insufficient cause to support the order, it shall adopt a resolution rescinding the emergency order and the licensee’s privileges shall be reinstated.

(7) Resolutions ratifying or rescinding emergency orders adopted pursuant to the provisions of this rule shall not prohibit the commission from instituting a proposed disciplinary action using the procedures set forth in 11 CSR 45-13.

(8) Copies of the final commission order shall be served on the licensee by electronic mail, certified mail, express mail, or by personal delivery. 313.004, 313.052, 313.560, and 313.910, RSMo 2016, and sections 313.800, 313.805, 313.935, 313.950, and 313.955, RSMo Supp. 2025.* Emergency rule filed July 30, 1999, effective Aug. 9, 1999, expired Feb. 24, 2000. Emergency amendment filed Nov. 30, 2006, effective Dec. 10, 2006, expired June 7, 2007. Original rule filed Dec. 17, 1999, effective July 30, 2000. Emergency amendment filed Aug. 29, 2016, effective Sept. 8, 2016, expired March 6, 2017. Amended: Filed Aug. 29, 2016, effective March 30, 2017. Amended: Filed May 14, 2025, effective Nov. 30, 2025. 2014, 2016, 2021, 2022; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010, 2021, 2022; 313.910, RSMo 2016; 313.935, RSMo 2016, amended 2019; 313.950, RSMo 2016, amended 2019; and 313.955, RSMo 2016, amended 2019.

11 CSR 45-13.060 Proceedings {#sec-11-csr-45-13.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-13.060}

PURPOSE: This rule establishes procedures for conducting hearings.

(1) The commission may issue subpoenas and subpoena duces tecum for the production of books, records, and other pertinent documents, or upon written request to appear and offer testimony.

(A) Upon written request served on a party, the requesting party shall be entitled to the name and address of any witness who may be called to testify on behalf of a party and all documents or other material in the possession or control of a party which the party reasonably expects will be introduced into evidence, the party shall be under a continuing duty to update this list.

(B) Upon the request of a party and for good cause shown, the hearing officer may allow other discovery to be conducted.

(2) The burden of proof is at all times on the petitioner.

The petitioner shall have the affirmative responsibility of establishing the facts of his or her case by clear and convincing evidence including but not limited to why the petitioner— (A) Should be licensed;

(B) Should not be disciplined or excluded; and (C) Does not owe a tax or penalty.

(3) All testimony shall be given under oath or affirmation.

(4) Petitioner may present an opening statement, and the commission shall present an opening statement on the merits.

Petitioner proceeds first to present evidence, except in the case of disciplinary actions against licensees, in which case the commission shall present evidence first. The hearing officer shall then hear evidence from the other party and any evidence in rebuttal.

(5) Each party may conduct cross-examination of adverse witnesses.

(6) Both parties may present closing argument. The party who presented evidence first shall argue first, then the other party, followed by any rebuttal argument.

(7) The parties may request, or the hearing officer may require, that the parties submit briefs.

(8) Failure of the petitioner to appear at the hearing shall constitute an admission of all matters and facts alleged by the commission in its notice of commission action and a waiver of the petitioner’s rights to a hearing, but the commission in its discretion may nevertheless order a hearing. 313.800, RSMo 1991, amended 1993, 1994, 2005, 2014, 2016, 2021, 2022; and 313.805,

11 CSR 45-13.065 Settlements {#sec-11-csr-45-13.065 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-13.065}

PURPOSE: This rule establishes the procedures for settlements and settlement offers.

(1) The parties may initiate settlement negotiations at any stage of the proceedings, including prior to the initiation of the proceedings before the Administrative Hearing Commission in the case of a bingo, sports wagering, or fantasy sports contest hearing, or prior to the entry of a final order of the commission.

(2) If the parties initiate settlement negotiations in a bingo, sports wagering, or fantasy sports contest hearing, then the provisions of section 621.045, RSMo, shall be followed. All other settlements not involving a bingo, sports wagering, or fantasy sports contest licensee shall be governed by Chapter 313, RSMo, and the rules in this chapter.

(3) All settlement agreements shall be in writing, signed by the parties, and accurately reflect all the terms of the settlement, including the facts agreed to by the parties constituting the grounds for the action proposed in the settlement agreement.

(4) Once signed by the parties, the settlement agreement shall be presented to the commission for its approval or disapproval.

If the commission approves the settlement offer, it will become a final commission order. If the commission disapproves the settlement offer, the parties shall be notified and the settlement agreement and any documents solely relating to the offer shall not constitute part of the record. 313.004, 313.052, 313.560, 313.910, and 621.045, RSMo 2016, and sections 313.800, 313.805, 313.935, 313.950, and 313.955, RSMo Supp. 2025.* Emergency rule filed Dec. 12, 1997, effective Dec. 22, 1997, expired June 19, 1998. Original rule filed Dec. 12, 1997, effective July 30, 1998. Amended: Filed June 25, 2015, effective Feb. 29, 2016. Emergency amendment filed Aug. 29, 2016, effective Sept. 8, 2016, expired March 6, 2017. Amended: Filed Aug. 29, 2016, effective March 30, 2017. Amended: Filed May 14, 2025, effective Nov. 30, 2025. 2014, 2016, 2021, 2022; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010, 2021, 2022; 313.910, RSMo 2016; 313.935, RSMo 2016, amended 2019; 313.950, RSMo 2016, amended 2019; 313.955, RSMo 2016, amended 2019; and 621.045, RSMo 1965, amended 1978, 1995, 2005, 2007, 2011.

11 CSR 45-13.070 Transmittal of Record and Recommendation to the Commission {#sec-11-csr-45-13.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-13.070}

PURPOSE: This rule establishes the procedures for transmittal of the record and recommendations from the hearing officer.

(1) The record shall consist of the following:

(A) The commission’s notice to petitioner, the Request for Hearing and all motions and rulings on the Request for Hearing;

(B) All evidence received;

(C) A statement of matters officially noticed;

(D) Offers of proof, objections and ruling on them;

(E) All pleadings filed by either party;

(F) The transcript of the hearing;

(G) All briefs filed by either party;

(H) A proposed resolution approving the recommendations of the hearing officer;

(I) Any objections filed by either party to the hearing officer’s written findings of fact, conclusions of law, and recommendations; and (J) The recommendations and any findings of fact and conclusions of law made by the hearing officer.

(2) Oral proceedings, or any part of them, shall be recorded stenographically or by other means which adequately ensure the preservation of the testimony or oral proceedings and shall be transcribed on request of any party. The transcript shall be paid for by the requesting party.

(3) Upon conclusion of the hearing, the hearing officer shall issue to the commission and the petitioner written findings of fact and conclusions of law and his/her recommendations at least twenty (20) days prior to the public meeting at which the case is to be considered by the commission. Findings of fact shall be based exclusively on the evidence and on matters officially noticed. The parties may file written objections or comments with the commission to the proposed findings of fact, conclusions of law, and recommendations issued by the hearing officer at least ten (10) days prior to the public meeting at which the case is to be considered by the commission.

(4) Final Commission Order.

(A) The commission shall review the entire record and shall render a written decision on the merits, which shall contain findings of fact and conclusions of law, and after that will issue a final Commission Order. During the public meeting at which the commission considers proposed findings of fact, conclusions of law, and recommendations issued by a hearing officer, the parties may present oral argument to the commission within the time limits that the commission may impose. The commission may take any of the following actions:

1. The commission may adopt the findings of fact, conclusions of law, and recommendations of the hearing officer as its final Commission Order;

2. The commission may modify the findings of fact, conclusions of law, and recommendations submitted by the hearing officer;

3. The commission may reject the findings of fact, conclusions of law, and recommendations submitted by the hearing officer; or 4. The commission may remand the matter, with instructions, to the hearing officer for further proceedings.

(B) As part of the final Commission Order, the commission may assess hearing costs, not to exceed fifty dollars ($50), against any party who without good cause fails to appear at a hearing conducted pursuant to this chapter.

(C) Copies of the final Commission Order shall be served on a petitioner by certified or overnight express mail, postage prepaid, or by personal delivery.

Amended: Filed Dec. 7, 2001, effective June 30, 2002. Amended:

Filed June 30, 2003, effective Feb. 29, 2004. Amended: Filed May 14, 2025, effective Nov. 30, 2025. 313.800, RSMo 1991, amended 1993, 1994, 2005, 2014, 2016, 2021, 2022; and 313.805,

11 CSR 45-13.080 Prohibition on Ex Parte Communications {#sec-11-csr-45-13.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-13.080}

PURPOSE: This rule prohibits ex parte contacts between the parties and a hearing officer.

(1) A party or its representative shall not communicate directly or indirectly with the hearing officer regarding any pending matter, except upon notice and opportunity for all parties to participate or as provided in section (3).

(2) The prohibition on ex parte communications commences with the filing of a request for hearing pursuant to 11 CSR 45- 13.030.

(3) Communications with the hearing officer involving scheduling or uncontested procedural matters do not require notice or the opportunity for parties to participate. Parties should notify other parties prior to initiating such contact with the hearing officer when feasible, and shall notify other parties when seeking to continue hearings or extend other deadlines.

(4) The hearing officer may recommend sanctions and penalties if the hearing officer determines that a party has violated this

rule. Such sanctions and penalties include, but are not limited to, censure, default judgment, or a directed finding on one (1) or more issues. 313.004, 313.065, and 313.560, RSMo 2016, and sections 313.800 and 313.805, RSMo Supp. 2025.* Original rule filed June 30, 2003, effective Feb. 29, 2004. Amended: Filed May 14, 2025, effective Nov. 30, 2025. *Original authority: 313.004, RSMo 1993, amended 1994, 2014; 313.065, RSMo 1981, amended 1993, 1995; 313.560, RSMo 1986, amended 1987; 313.800, RSMo 1991, amended 1993, 1994, 2005, 2014, 2016, 2021, 2022; and 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010, 2021, 2022.

Chapter 14 Supervision

11 CSR 45-14.010 Policy 313.805 and 313.812, RSMo 1994. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. {#sec-11-csr-45-14.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-14.010}

Amended: Filed May 13, 1998, effective Oct. 30, 1998. Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

11 CSR 45-14.020 Determination to Seek Supervisor {#sec-11-csr-45-14.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-14.020}

Filed May 13, 1998, effective Oct. 30, 1998.

Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

History

• AUTHORITY: sections 313.004, 313.800 and 313.805, RSMo 1994. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended:

11 CSR 45-14.030 Authority of Supervisor {#sec-11-csr-45-14.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-14.030}

History

• AUTHORITY: sections 313.004 and 313.805, RSMo Supp. 1993. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

11 CSR 45-14.040 Termination 313.805 and 313.812, RSMo 1994. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. {#sec-11-csr-45-14.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-14.040}

Amended: Filed May 13, 1998, effective Oct. 30, 1998. Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

11 CSR 45-14.050 Distribution of Earnings to Former Legal Owners 313.805 and 313.812, RSMo Supp. 1993. {#sec-11-csr-45-14.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-14.050}

Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original

rule filed Sept. 1, 1993, effective Jan. 31, 1994. Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

JOHNR. ASHCROFT(6/30/18)

Chapter 15 Exclusion of Person

11 CSR 45-15.050 Petition for Removal from Exclusion List. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Denny Hoskins (10/31/25) {#sec-11-csr-45-15.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-15.050}

11 CSR 45-15.010 Duty to Exclude {#sec-11-csr-45-15.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-15.010}

PURPOSE: This rule establishes the requirement to exclude certain people from gaming and sports wagering.

(1) No excluded person shall be permitted entry into any portion of an excursion gambling boat. When a person is placed on the exclusion list by the commission, this person shall be prohibited from contact of any kind with any Missouri excursion gambling boat’s gaming operation unless and until a determination is made by the commission or a court to the contrary. It shall be the duty of the Class B licensee and its employees to exclude or eject from the excursion gambling boat any excluded person when the licensee or employee knows or reasonably should know of the presence of the excluded person.

(2) No excluded person shall be permitted to participate in sports wagering in the state of Missouri. When a person is placed on the exclusion list by the commission, this person shall be prohibited from contact of any kind with any Retail or Mobile licensee, except to close his or her account(s), or other reasons approved by the commission, unless and until a determination is made by the commission or a court to the contrary. Any unsettled sports wagers shall be voided and those wagers and any remaining funds due to the excluded person shall be refunded to the excluded person. It shall be the duty of the licensee and its employees to exclude any excluded person from participating in sports wagering when the Retail or Mobile licensee or its employee knows or reasonably should know the person is an excluded person.

RSMo 2016, and sections 313.800 and 313.805, RSMo Supp. 2025.* Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed May 14, 2025, effective Nov. 30, 2025. amended 1993, 1994, 2005, 2014, 2016, 2021, 2022; and 313.805, RSMo 1991, amended

11 CSR 45-15.020 Distribution and Availability of Exclusion List {#sec-11-csr-45-15.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-15.020}

PURPOSE: This rule establishes procedures for distributing the exclusion list.

(1) The commission shall maintain a list of persons to be ejected or excluded from excursion gambling boats and sports wagering. The list shall be distributed to each Class B licensee and each Retail or Mobile licensee, which shall acknowledge receipt of the list in writing. In addition, the Class B licensee shall notify the excluded person by certified mail that he or she is no longer welcome on the premises of the excursion gambling boat and, if discovered on the premises, after the Class B licensee has removed the excluded person from the excursion gambling boat, the licensee will contact local authorities to request that the person be arrested for trespassing and shall report the incident to the county prosecutor and request charges be filed under section 569.140, RSMo, for criminal trespassing, a Class B misdemeanor. The list may also be distributed to law enforcement agencies. The following information, to the extent known, shall be provided for each excluded person:

(A) The full name and all known aliases, and date of birth;

(B) A physical description;

(C) The effective date the person’s name was placed on the list;

(D) A photograph, if available;

(E) The person’s occupation and current home and business address; and (F) Other information as deemed necessary by the commission.

(2) After the initial list is provided to a new licensee, the commission will distribute updates to the list as they occur to the licensee who shall acknowledge receipt of the update.

RSMo 2016, and sections 313.800 and 313.805, RSMo Supp. 2025.* Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed Dec. 17, 1996, effective July 30, 1997. Amended: Filed May 14, 2025, effective Nov. 30, 2025. amended 1993, 1994, 2005, 2014, 2016, 2021, 2022; and 313.805, RSMo 1991, amended

11 CSR 45-15.030 Criteria for Exclusion and Placement on the Exclusion List {#sec-11-csr-45-15.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-15.030}

PURPOSE: This rule establishes criteria for placement on the exclusion list.

(1) The commission may place a person on the exclusion list pending a hearing if the person has— (A) Been convicted of a felony in any jurisdiction of any crime of moral turpitude or of a crime involving gaming;

(B) Violated either Article III, Section 39(g), of the Missouri Constitution or the Riverboat Gambling Act;

(C) Performed any act which would adversely affect public confidence and trust in gaming, including engaging in prohibited conduct as defined in 11 CSR 45-20;

(D) Been found to have harassed a protected person as defined in 11 CSR 45-20 in an effort to influence any aspect of the game or competition, in retaliation for an athlete’s game performance, or to obtain nonpublic information regarding the game or competition; or (E) His or her name on any valid and current exclusion list from another jurisdiction in the United States.

(2) For the purpose of this rule, “harassed” means to have engaged in conduct including but not limited to verbal threats, written threats, electronic threats, lewd or obscene statements or images, vandalism or nonconsensual physical contact directed at a person the offender knew or should have known would cause a reasonable person to suffer substantial emotional distress, substantial fear for his or her safety or the safety of another person, or substantial fear for the destruction of his or her property.

(10/31/25) Denny Hoskins GAMING COMMISSION 11 CSR 45-15—DEPARTMENT OF PUBLIC SAFETY RSMo 2016, and section 313.805, RSMo Supp. 2025.* Emergency

rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994.

Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed May 14, 2025, effective Nov. 30, 2025. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010, 2021, 2022.

11 CSR 45-15.040 Procedure for Entry of Names {#sec-11-csr-45-15.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-15.040}

PURPOSE: This rule establishes procedures for entry of names on the exclusion list.

(1) Upon a determination that a person comes under any one (1) of the criteria listed in 11 CSR 45-15.030, this person shall be deemed a candidate for exclusion. The commission shall be presented with the circumstances or reasons why the person should be added to the list and shall make a determination as to whether the person shall be placed on the exclusion list.

If placed on the list, the commission shall send the excluded person a Notice of Exclusion. This notice shall include the identity of the excluded person and the nature and scope of the circumstances or reasons that the person has been placed on the exclusion list. The notice shall also inform the person of the availability of a hearing by the commission. A request for a hearing must be made within thirty (30) days from the date the Notice of Exclusion was sent.

(2) When a person is excluded, that person is prohibited from further contact of any kind, except to obtain any refunds or remaining funds in any wagering account, with any Class B licensee and any Retail or Mobile licensee unless and until a determination is made by the commission to the contrary after the requested hearing. If a determination by the commission is examined under judicial review, then the exclusion shall continue until the judicial review is completed.

(3) If the commission or a subsequent judicial review finds in favor of the candidate or excluded person, then his or her name shall be removed from the exclusion list and his or her exclusion shall be terminated as of the date of the action by the commission or the court.

History

• AUTHORITY: section 39(g) of Article III, Mo. Const., section 313.004, RSMo 2016, and sections 313.800 and 313.805, RSMo Supp. 2025. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed May 14, 2025, effective Nov. 30, 2025. amended 1993, 1994, 2005, 2014, 2016, 2021, 2022; and 313.805, RSMo 1991, amended

11 CSR 45-15.050 Petition for Removal from Exclusion List {#sec-11-csr-45-15.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-15.050}

PURPOSE: This rule establishes procedure to petition for removal from the exclusion list.

(1) Any person who has been placed on the exclusion list may petition the commission in writing and request that his or her name be removed from this list.

History

• AUTHORITY: section 39(g) of Article III, Mo. Const., section 313.004, RSMo 2016, and sections 313.800 and 313.805, RSMo Supp. 2025. Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994. Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Amended: Filed May 14, 2025, effective Nov. 30, 2025. amended 1993, 1994, 2005, 2014, 2016, 2021, 2022; and 313.805, RSMo 1991, amended

Chapter 16 Employee Labor Organizations

11 CSR 45-16.010 Definitions Nov. 8, 1993, expired March 7, 1994. Origi- 1996. Rescinded: Filed Dec. 7, 2017, effec- {#sec-11-csr-45-16.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-16.010}

11 CSR 45-16.020 Registration Required Nov. 8, 1993, expired March 7, 1994. Origi- 1996. Rescinded: Filed Dec. 7, 2017, effec- {#sec-11-csr-45-16.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-16.020}

11 CSR 45-16.030 Registration Exemption Nov. 8, 1993, expired March 7, 1994. Origi- 1996. Rescinded: Filed Dec. 7, 2017, effec- {#sec-11-csr-45-16.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-16.030}

11 CSR 45-16.040 Information Required of Local Labor Organization Nov. 8, 1993, expired March 7, 1994. Origi- 1996. Rescinded: Filed Dec. 7, 2017, effec- {#sec-11-csr-45-16.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-16.040}

11 CSR 45-16.050 Information Required of Listed Labor Organization Personnel Nov. 8, 1993, expired March 7, 1994. Origi- 1996. Rescinded: Filed Dec. 7, 2017, effec- {#sec-11-csr-45-16.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-16.050}

11 CSR 45-16.060 Commission May Require Certain Persons to Provide Information Nov. 8, 1993, expired March 7, 1994. Origi- 1996. Rescinded: Filed Dec. 7, 2017, effec- {#sec-11-csr-45-16.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-16.060}

11 CSR 45-16.070 Required Revisions of List Dec. 30, 1996. Amended: Filed May 13, {#sec-11-csr-45-16.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-16.070}

11 CSR 45-16.080 Interest in Class A Licensee Prohibited Dec. 30, 1996. Amended: Filed May 13, {#sec-11-csr-45-16.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-16.080}

11 CSR 45-16.090 Failure to Comply— Consequences Dec. 30, 1996. Amended: Filed May 13, JOHNR. ASHCROFT(6/30/18) {#sec-11-csr-45-16.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-16.090}

Chapter 17 Voluntary Exclusions

11 CSR 45-17.010 Disassociated Persons List Created—Right to Remove From Premises {#sec-11-csr-45-17.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-17.010}

PURPOSE: This rule establishes a List of Disassociated Persons which consists of those persons who have voluntarily declared that they will no longer visit excursion gambling boats in Missouri because they are problem gamblers.

(1) There is hereby created a “List of Disassociated Persons” (List) which shall consist of those persons who have complied with the applicable provisions of 11 CSR 45-17 and have been placed on such List by the director.

The List is established for the purpose of allowing problem gamblers to formally notify the commission that they no longer intend to visit excursion gambling boats in Missouri.

The request to be placed on the List shall be made only by the individual seeking to be placed on the List. Each person seeking placement on the List acknowledges that it is his/her responsibility to refrain from visiting excursion gambling boats in Missouri and that by being placed on the List s/he shall have a criminal complaint filed against him/her for trespassing if s/he is discovered on an excursion gambling boat by the commission or any Class B licensee.

(2) Any Class B licensee or its agent or employee that identifies a person present on an excursion gambling boat and has knowledge that such person is included on the List shall immediately notify or cause to notify the commission and a Class B licensee’s security officer on duty. Once it is confirmed that the person is on the List, the Class B licensee shall— (A) Notify the commission agent on duty of the presence of a Disassociated Person on the excursion gambling boat;

(B) Refrain from paying out any jackpots or winnings to patrons on the List; and (C) Cooperate with the commission agent in reporting the incident to the proper prosecuting authority and request charges be filed under section 313.813 or 569.140, RSMo, for criminal trespassing, a class B misdemeanor.

(3) A Class B licensee or its agent(s) or employee(s) may be disciplined by the commission if— (A) It can be shown by a preponderance of the evidence that the Class B licensee or its employee(s) or agent(s) knew a person on the List was present on the excursion gambling boat and, despite such knowledge, failed to follow the procedures required by this rule; or (B) The Class B licensee or its employee(s) or agent(s) failed to follow its procedures for complying with the provisions of 11 CSR 45- 17 et seq.

(4) All Class B licensees shall have thirty (30) days from the effective date of this rule to submit internal controls that are subject to approval by the commission which set forth the following:

(A) The licensee’s plan for removing those persons on the List from mailing lists advertising its Missouri operation, such as marketing offers, slot club programs, VIP member programs, telemarketing programs, and other such marketing promotions, however this rule shall not be construed to prohibit mass mailings to “Resident”; and (B) The licensee’s plan for denying access by persons on the List to— 1. Check cashing privileges, cash advances, credit/debit card transactions, and wire transfers;

2. Special club programs such as slot clubs and VIP cards;

3. The issuance of credit, if applicable; and 4. Gaming privileges, tournaments, promotions, and payment of taxable winnings or prizes.

(5) After an individual’s application for placement on the List has been processed by the commission staff and the individual’s name is added to the List, that individual shall remain on the List until such time as the requirements for removal from the List as described in 11 CSR 45-17.060 have been met. 313.813, and 313.832, RSMo 2016.* Original

rule filed April 18, 1996, effective Dec. 30, 1996. Emergency amendment filed Aug. 28, 1998, effective Sept. 7, 1998, expired March 5, 1999. Amended: Filed Aug. 28, 1998, effective March 30, 1999. Amended: Filed Aug. 25, 2011, effective March 30, 2012.

Amended: Filed March 1, 2018, effective Oct. 30, 2018. 2008, 2010; 313.813, RSMo 2000; and 313.832, RSMo 1991.

11 CSR 45-17.015 Access to Excursion Gambling Boat for Purposes of Employment {#sec-11-csr-45-17.015 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-17.015}

PURPOSE: This rule allows Disassociated Persons to enter an excursion gambling boat for the purposes of carrying out the duties of their employment.

(1) The provisions of 11 CSR 45-17 et seq. to the contrary notwithstanding, anyone on the List of Disassociated Persons may access an excursion gambling boat for the purpose of carrying out the duties of their employment or to apply for employment. Prior to entering the excursion gambling boat, the Disassociated Person shall notify the commission that they are on the List of Disassociated Persons and the reason their employment or application for employment requires their presence on the excursion gambling boat.

(2) If the Disassociated Person’s employment requires their presence on the excursion gambling boat on a regular basis, the Disassociated Person shall so notify the commission and such notice shall fulfill the notice requirements of section (1) of this rule.

History

• AUTHORITY: sections 313.004 and 313.805, RSMo 1994 and 313.813, RSMo 2000. Original rule filed Oct. 4, 2000, effective May 30, 2001. Original authority: 313.004, RSMo 1993, amended 1994 and 313.805, RSMo 1991 amended 1992, 1993, 1994, 2000.

11 CSR 45-17.020 Procedure for Applying for Placement on List of Disassociated Persons dure for placement on the commission’s List of Disassociated Persons. {#sec-11-csr-45-17.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-17.020}

(1) The commission may place a person on the List of Disassociated Persons (List) if the person has— (A) Notified the commission in writing of his/her pledge not to visit licensed excursion gambling boats by filing an Application for Placement on the List with the commission on forms provided by the commission. By filing such application the person acknowledges that s/he is a problem gambler. The applicant agrees that placement on the List is for life and the commission is not authorized to remove a person from the List, except as provided in 11 CSR 45-17.060. In addition, the applicant acknowledges that licensees may use the information provided in the application to notify its affiliated gaming operations that the applicant is a problem gambler.

Therefore, the applicant may be excluded from casinos in other jurisdictions as a result of their request to be placed on the List. The person understands, by filing such application, s/he is granting the commission and all Class A and B licensees the right to eject them from the premises of all excursion gambling boats and s/he may be arrested for trespassing if discovered on an excursion gambling boat. Furthermore, the applicant agrees that once placed on the List if s/he is discovered on an excursion gambling boat, jackpots or winnings in his/her possession at the time of the discovery will be forfeited. Such application shall include:

1. The person’s full name and all aliases;

2. A physical description including height, weight, hair and eye color, ethnic origin, and any other noticeable physical characteristics;

3. The person’s current home and email address(es) and phone numbers;

4. Social Security Number, when voluntarily provided in accordance with section 7 of the Privacy Act of 1974 (5 U.S.C. section 552a) or International Identification Number;

5. Date of birth;

6. A statement that the applicant believes s/he is a problem gambler;

7. A photograph suitable for the commission and Class B licensees to use in identifying the person requesting to be placed on the List;

8. The person’s occupation and place of employment, if access to excursion gambling boats is necessary for the purpose of carrying out the duties of the individual’s employment, per 11 CSR 45-17.015;

9. Interpreter information and affirmation, if applicable; and 10. Other information as deemed necessary by the commission;

(B) The commission may convert the application to a format that may be filled in and signed electronically;

(C) Signed an acknowledgement verifying s/he wishes to be placed on the commission’s List and the commission is specifically authorized and requested to release all contents of the person’s application to all Class B licensees and their agents and employees; and (D) Any person applying to be placed on the List shall execute a full and complete Waiver/Release on a form provided by the commission releasing the commission, all Class A and B licensees, and all their affiliates and agents as identified in 11 CSR 45- 17.040 from any liability associated with acts or omissions relating to the provisions of 11 CSR 45-17 et seq.

(2) The application shall be verified and reviewed as designated by the executive director of the commission.

(3) An individual applying for placement on the List agrees to forfeit all points or complimentaries earned by the individual before the individual completes the application for placement on the List. Points or complimentaries refer to credits earned by a person under the terms of a Class B licensee’s or its agent’s marketing program per 11 CSR 45-5 as approved by the commission and shall include, but not be limited to:

(A) Food complimentaries;

(B) Coupons for chips, cash, or electronic gaming device (EGD) credits;

(C) Hotel complimentaries; or (D) Any other cash or non-cash benefit assigned to the player’s account.

(4) Neither this chapter, 11 CSR 45-17, nor any of the rights, duties, or obligations established herein, shall create any cause of action, right of action, claim, or other right whatsoever in favor of any person other than the commission against the state of Missouri, the commission, any Class A or B licensee, or any of its agents or employees. 313.813, and 313.832, RSMo 2016.* Original

rule filed April 18, 1996, effective Dec. 30, 1996. Emergency amendment filed Aug. 28, 1998, effective Sept. 7, 1998, expired March 5, 1999. Amended: Filed Aug. 28, 1998, effective March 30, 1999. Emergency amendment filed March 30, 1999, effective April 9, 1999, expired Jan. 20, 2000. Amended: Filed March 30, 1999, effective Nov. 30, 1999.

Amended: Filed Aug. 25, 2011, effective March 30, 2012. Amended: Filed March 1, 2018, effective Oct. 30, 2018. *Original authority: 313.004, RSMo 1993 amended 1994, 2008, 2010; 313.813, RSMo 2000; and 313.832, RSMo 1991.

11 CSR 45-17.030 Procedure for Entry of Names onto List of Disassociated Persons {#sec-11-csr-45-17.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-17.030}

PURPOSE: This rule establishes procedures for entry of names onto the List of Disassociated Persons.

(1)

Upon filing of an application for placement on the List of Disassociated Persons (List), the director may file a Notice of Placement on the List. Notwithstanding the status of some information contained therein that may be closed under sections 313.847, 313.945, and 610.021, RSMo, the application and notice may be disclosed to all Class B licensees and licensed fantasy sports contest operators, and their agents and employees.

(2) The director shall deliver a copy of the Notice of Placement on the List to the applicant via regular U.S. mail to the address contained on the application, or other address provided by the applicant, or by appointment.

The applicant is deemed to be placed on the List at the time the person executes the application for placement on the List, not at the time such notice is delivered to the applicant.

(3) Should the director find that an applicant does not qualify for placement on the List, s/he shall so notify the applicant via regular U.S. mail to the address contained on the application, or other address provided by the applicant, or by appointment. 313.813, 313.945, 313.950, 313.955, and 610.021, RSMo 2016.* Original rule filed April 18, 1996, effective Dec. 30, 1996.

Emergency amendment filed Aug. 28, 1998, effective Sept. 7, 1998, expired March 5, 1999. Amended: Filed Aug. 28, 1998, effective March 30, 1999. Amended: Filed March 1, 2000, effective Sept. 30, 2000. Amended:

Filed Aug. 25, 2011, effective March 30, 2012. Emergency amendment filed Aug. 29, 2016, effective Sept. 8, 2016, expired March 6, 2017. Amended: Filed Aug. 29, 2016, effective March 30, 2017. 2008, 2010; 313.813, RSMo 2000; 313.945, RSMo 2016; 313.950, RSMo 2016; 313.955, RSMo 2016; and 610.021, RSMo 1987, amended 1993, 1995, 1998, 2002, 2004, 2008, 2009, 2013.

11 CSR 45-17.040 Confidentiality of List of Disassociated Persons dure for maintaining the confidentiality of those placed on the List of Disassociated Persons. {#sec-11-csr-45-17.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-17.040}

(1) The director shall notify each Class B licensee of the placement of any person on the List of Disassociated Persons (List), or the removal of any person from the List per 11 CSR 45-17.060, and may disclose to the Class B licensee and any of its agents or employees any or all information contained on the person’s application(s).

(2) Each Class B licensee shall submit to the commission a plan for the dissemination of the information regarding persons placed on 4CODE OF STATE REGULATIONS (9/30/18) JOHNR. ASHCROFT the List, as well as persons who have been removed from the List. The plan shall be designed to safeguard, as best as is reasonably possible, the confidentiality of the information but shall include dissemination to at least the general manager; casino manager; and all ticketing/player’s club, cage, security, and surveillance personnel. Licensees may not disclose the name of, or any information about, a person who has been placed on or removed from the List to anyone other than employees and agents of the licensee whose duties and functions require access to the information. The plan must be approved by the commission. All information disclosed to any Class B licensee regarding anyone placed on or removed from the List shall be deemed a closed record; however, the information may be disclosed as authorized by the individual seeking placement on the List, by law and through the provisions contained in this

chapter, 11 CSR 45-17.

(3) Class B licensees may disclose the information contained in the applications to its affiliates as defined in subsection (A) of this

section, or agents of such affiliates. The disclosed information shall be used solely for the limited purposes of assisting in the administration of problem and responsible gaming programs and allowing the affiliate or agent of the affiliate to determine whether to deny a person on the List access to areas where gambling games are played. All disclosures must be made in accordance with procedures approved by the commission.

Written approval of the executive director of the commission is required prior to disclosing this information. The Class B licensee is responsible for maintaining the confidentiality of any information disclosed. Such information shall not be used to deny services located at non-gaming properties to a person on the List.

(A) “Affiliate” means: The holding company, as defined by 11 CSR 45-10.040, or any person sharing a holding company in common with a gaming licensee, provided that the affiliate is in the business of operating gambling games.

(4) The director may notify each licensed Fantasy Sports Contest Operator (FSCO) of the placement of any person on the List of Disassociated Persons (List), or the removal of any person from the List pursuant to 11 CSR 45-17.060, and may disclose to the licensed FSCO and any of its agents or employees any or all information contained on the person’s application(s). 313.813, 313.945, 313.950, 313.955, and 610.021, RSMo 2016.* Original rule filed April 18, 1996, effective Dec. 30, 1996.

Amended: Filed Aug. 28, 1998, effective March 30, 1999. Amended: Filed March 30, 1999, effective Nov. 30, 1999. Amended:

Filed Aug. 25, 2011, effective March 30, 2012. Emergency amendment filed Aug. 29, 2016, effective Sept. 8, 2016, expired March 6, 2017. Amended: Filed Aug. 29, 2016, effective March 30, 2017. 2014; 313.805, RSMo 1991, amended 1992, 1993, 1994, 2000, 2008, 2010; 313.813, RSMo 2000; 313.945, RSMo 2016; 313.950, RSMo 2016; 313.955, RSMo 2016; and 610.021, RSMo 1987, amended 1993, 1995, 1998, 2002, 2004, 2008, 2009, 2013.

11 CSR 45-17.050 Removal From List of Disassociated Persons Prohibited {#sec-11-csr-45-17.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-17.050}

(Rescinded March 30, 2012)

Amended: Filed Aug. 28, 1998, effective March 30, 1999. Rescinded: Filed Aug. 25, 2011, effective March 30, 2012.

History

• AUTHORITY: sections 313.004 and 313.805, RSMo 1994. Original rule filed April 18, 1996, effective Dec. 30, 1996. Emergency amendment filed Aug. 28, 1998, effective Sept. 7, 1998, expired March 5, 1999.

11 CSR 45-17.060 Procedure to Discontinue Self-Exclusion on the List of Disassociated Persons dure to discontinue self-exclusion on the commission’s List of Disassociated Persons. {#sec-11-csr-45-17.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-17.060}

(1) Notwithstanding the provisions of 11 CSR 45-17.070, at any time after five (5) years from the original date of placement on the List of Disassociated Persons (List), a Disassociated Person (DAP) may petition the commission for removal from the List. In order to be eligible for removal from the List, a person shall execute and submit, in a manner acceptable to the commission, an application for removal on a form provided by the commission. Such application shall include:

(A) The person’s full name and all aliases;

(B) The person’s current home address, email address, and phone number(s);

(C) Social Security Number, when voluntarily provided in accordance with section 7 of the Privacy Act of 1974 (5 U.S.C. section 552a) or International Identification Number;

(D) Date of birth and gender;

(E) A statement that the DAP wishes to be removed from the List and accepts full responsibility for any adverse consequences which may result from removal;

(F) A photograph suitable for the commission to use in identifying the person requesting to discontinue self-exclusion on the List;

(G) A signed acknowledgement verifying s/he wishes to be removed from the List, authorizing the commission to release all contents of the person’s application for removal to all Class B licensees and their agents and employees;

(H) A statement acknowledging that the individual understands each licensee may choose to continue exclusion or reinstate privileges at the licensee’s sole discretion; and (I) Other information as deemed necessary by the commission.

(2) The application shall be verified and reviewed as designated by the executive director of the commission.

(3) Once an application for removal from the List has been deemed complete and valid, the director shall file a Notice of Removal from the List.

(4) The director shall provide a copy of the Notice of Removal from the List to the applicant via regular U.S. mail to the address contained on the application, other address provided by the applicant, or by appointment.

(5) Should the director find an applicant does not qualify for removal from the List, s/he shall so notify the applicant via regular U.S. mail to the address contained on the application, other address provided by the applicant, or by appointment.

(6) Each Class B licensee shall file with the commission a letter stating its policy regarding whether persons removed from the List will be allowed access to its property.

(A) If a Class B licensee adopts a policy to allow prior DAPs to patronize its establishment, any prior notice of trespass is voided allowing prior DAPs to gamble at the property. If a casino has cause to exclude a prior DAP, a separate notice of trespass shall be provided to that individual to notify the individual of his/her excluded status.

(B) If a Class B licensee adopts a policy to continue the exclusion of all persons removed from the List, the Class B licensee shall not cash checks, process cash advances, enroll these individuals in any tournaments or promotion, or provide marketing materials to these individuals except in mass mailings to “resident” or the like.

(7) Neither the rules in 11 CSR 45-17, nor any of the rights, duties, or obligations established herein, shall create any cause of action, right of action, claim, or other right whatsoever in favor of any person other than the commission against the state of Missouri, the commission, any Class A or B licensee, or any of its agents or employees.

rule filed Aug. 25, 2011, effective March 30, 2012. *Original authority: 313.004, RSMo 1993, amended 1994; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; 313.813, RSMo 2000; 313.847, RSMo 1993, amended 1994; and 610.021, RSMo 1987, amended 1993, 1995, 1998, 2002, 2004, 2008, 2009.

History

• AUTHORITY: sections 313.004, 313.813, and 313.847, RSMo 2000, and sections 313.805 and 610.021, RSMo Supp. 2011. Original

11 CSR 45-17.070 Procedure to Re-Establish Self-Exclusion on the List of Disassociated Persons dure for permanent self-exclusion on the List of Disassociated Persons (List) for individuals who have previously chosen to be removed from the commission’s List. {#sec-11-csr-45-17.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-17.070}

(1) A former Disassociated Person who has had his/her name removed from the List of Disassociated Persons (List) may request at any time to re-establish his/her self-exclusion on the List one (1) time by submitting a new application for placement on the List per the procedures provided in 11 CSR 45-17.030.

Re-establishing self-exclusion results in permanent placement on the List. The Disassociated Person may not again request removal.

The commission shall inform all such applicants that this self-exclusion is for life and there is no process for removal from the List.

rule filed Aug. 25, 2011, effective March 30, 2012. *Original authority: 313.004, RSMo 1993, amended 1994; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008, 2010; 313.813, RSMo 2000; 313.847, RSMo 1993, amended 1994; and 610.021, RSMo 1987, amended 1993, 1995, 1998, 2002, 2004, 2008, 2009.

6CODE OF STATE REGULATIONS

(9/30/18) JOHNR. ASHCROFT

History

• AUTHORITY: sections 313.004, 313.813, and 313.847, RSMo 2000, and sections 313.805 and 610.021, RSMo Supp. 2011. Original

Chapter 20 Sports Wagering

11 CSR 45-20.130 Casino Access Badge Requirements for Retail Locations on Excursion {#sec-11-csr-45-20.130 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.130}

11 CSR 45-20.240 Testing, Certification, and Approval of Sports Wagering Equipment {#sec-11-csr-45-20.240 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.240}

11 CSR 45-20.260 Shipping, Maintenance, and Disposal of Sports Wagering Equipment ..27 {#sec-11-csr-45-20.260 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.260}

11 CSR 45-20.360 Prohibited Wagering Activity. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 {#sec-11-csr-45-20.360 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.360}

11 CSR 45-20.600 Self-Excluded Persons List Created—Right to Self-Exclude from {#sec-11-csr-45-20.600 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.600}

11 CSR 45-20.610 Procedure for Applying for Placement on the List of Self-Excluded {#sec-11-csr-45-20.610 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.610}

11 CSR 45-20.640 Procedure to Re-Establish Self-Exclusion on the List of Self-Excluded {#sec-11-csr-45-20.640 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.640}

11 CSR 45-20.010 Definitions {#sec-11-csr-45-20.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.010}

PURPOSE: This rule establishes definitions for sports wagering used in this chapter.

(1) Definitions beginning with A— (A) Abnormal wagering activity—Wagering activity exhibited by a patron(s) that is a potential indicator of suspicious activity. Abnormal wagering activity may include the size of a patron's wager, increased wagering volume on a particular event or wager type, or a pattern of behavior by one (1) or more (B) Adjusted gross revenue—The total of all cash and cash equivalents received by a licensee from sports wagering minus the total of— 1. All cash and cash equivalents paid out as winnings to 2. The actual costs paid by a licensee for anything of value provided to and redeemed by patrons, including merchandise or services distributed to patrons to incentivize 3. Voided and cancelled wagers;

4. The cost of free play or promotional credits provided to and redeemed by the applicable licensee’s patrons, provided that the aggregate amount of such cost of free play or promotional credits that may be deducted under this paragraph in any calendar month shall not exceed twenty-five percent (25%) of the total of all cash and cash equivalents received by the applicable licensee for such calendar month;

5. Any sums paid as a result of any federal tax, including 6. Uncollectible sports wagering receivables, not to exceed two percent (2%) of the total of all sums, less the amount paid out as winnings to sports wagering patrons;

(C) Affiliate—An entity that is related to another through ownership, control, or contractual relationship; and (D) Automated Clearing House (ACH)—An electronic payment system that allows for the transfer of funds between financial institutions in the United States.

(2) Definitions beginning with B—(Reserved)

(3) Definitions beginning with C— (A) Cancelled wager—A sports wager that was legal and appropriate when originally placed, but some event, circumstance, or occurrence prevents the wager from being unequivocally determined;

(B) Class B license—A license granted by the commission to maintain, conduct gambling games on, and operate an excursion gambling boat and gaming facility at a specific location;

(C) Client or client software—Any software or application installed or operating on a patron’s device for the purpose of interacting with an online sports wagering platform and conducting mobile wagering;

(D) Commercially reasonable—Conducted in good faith and in accordance with commonly accepted business practices;

(E) Commercially reasonable terms—For the purposes of official league data only, includes the following nonexclusive factors:

1. The availability of a sports governing body’s tier two official league data to a sports wagering operator from more than one (1) authorized source;

2. Market information, including but not limited to price and other terms and conditions, regarding the purchase by sports wagering operators of comparable data for the purpose of settling sports wagers in this state and other jurisdictions;

3. The nature and quantity of data, including the quality and complexity of the process utilized for collecting such data;

4. The extent to which sports governing bodies or their designees have made data used to settle tier two bets or wagers available to operators and any terms and conditions relating to the use of that data;

(F) Commission—The Missouri Gaming Commission or its agents; and (G) Critical component—Any subsystem for which failure or compromise can lead to unauthorized access to data used for generating reports for the regulatory body or loss of player entitlements, sports wagering data, or revenue. This includes but is not limited to wagering data, elements that control communication between the wagering device and the sports wagering system, or other components that are needed to ensure proper operation of the software.

(4) Definitions beginning with D— (A) Designated nonpublic gaming area—Portions of a facility not accessible to the public in which the operation of sports wagering occurs, including but not limited to the employee side of a sportsbook cage, vault, surveillance rooms, count rooms, or rooms containing sports wagering equipment other than publicly accessible and operational kiosks. Designated nonpublic gaming area does not include off-site servers or data centers located at a facility where in-person wagering does not occur; and (B) Dormant account—An online sports wagering account that has had no login activity for a period of five (5) years.

(5) Definitions beginning with E— (A) Esports—Multi-player video game competitions played individually or as teams; and (B) Excursion gambling boat—A boat, ferry, other floating facility, or any nonfloating facility licensed by the commission on or inside of which gambling games are allowed.

(6) Definitions beginning with F—(Reserved)

(7) Definitions beginning with G— (A) Geofence or geofencing—The use of location-based navigation technology, such as global positioning system (GPS), to create virtual geographic borders within which sports wagering may occur; and (B) Geolocation—The process or technique of identifying the geographical location of a person or device by means of digital information processed by digital means.

(8) Definitions beginning with H— (A) House rules—A document compiled by a Retail or Mobile licensee for the purpose of summarizing portions of the internal control system and certain other information necessary to inform patrons of the functionality of the sports wagering operation.

(9) Definitions beginning with I— (A) In-game wager—A sports wager placed on an event after the event has started; and (B) Integrity monitoring provider—An individual or entity that receives reports of abnormal wagering activity from a licensee for the purpose of assisting in identifying suspicious wagering activity.

(10) Definitions beginning with J—(Reserved)

(11) Definitions beginning with K— (A) Key business entity—Any holding, intermediary, or parent company that directly owns fifteen percent (15%) or more of an applicant or licensee;

(B) Key person— 1. The applicant’s or licensee’s board appointed chief executive officer and chief financial officer, or the equivalent individuals, as determined by the commission; and 2. The applicant’s or licensee’s principal owners who directly own ten percent (10%) or more of the applicant or licensee; and (C) Kiosk—Any kiosk, terminal, machine, or other device through which a patron may place or redeem an in-person sports wager or a voucher without requiring the involvement of an employee. The term “kiosk” includes both “wagering kiosks” and “sports wagering redemption kiosks.”

(12) Definitions beginning with L— (A) Layoff bet—A wager placed between two (2) licensees on the outcome of an event for the purpose of offsetting or managing risk.

(13) Definitions beginning with M— (A) Material change—Any change in personal identification or residence information, such as name, address, or phone number, or information that might affect an applicant’s or licensee’s suitability to hold a sports wagering license, including but not limited to arrests, convictions, guilty pleas, or disciplinary actions or license denials in other jurisdiction(s);

(B) Mobile wagering—The conduct of sports wagering activities over the internet between a Mobile licensee and a patron, through the use of an online sports wagering platform.

(14) Definitions beginning with N—(Reserved)

(15) Definitions beginning with O— (A) Online sports wagering platform—An online-enabled application, internet website, or other electronic or digital technology used to offer, conduct, or operate mobile sports wagering.

(16) Definitions beginning with P— (A) Person—An individual, sole proprietorship, partnership, committee, association, corporation, limited liability company, or any other organization or business entity;

(B) Personal biometric data—An athlete’s biological data, including but not limited to information derived from DNA, heart rate, blood pressure, perspiration rate, internal or external body temperature, hormone levels, glucose levels, hydration levels, vitamin levels, bone density, muscle density, and sleep patterns;

(C) Professional sports team—A team located in the state of Missouri that is a member of the National Football League, Major League Baseball, the National Hockey League, the National Basketball Association, Major League Soccer, the Women’s National Basketball Association, or the National Women’s Soccer League;

(D) Prohibited conduct—Any statement, action, or other communication intended to influence, manipulate, or control a wagering outcome of an event or of any individual occurrence or performance in an event in exchange for financial gain or to avoid financial or physical harm. Prohibited conduct includes statements, actions, and communications made to a protected person by a third-party or through social media, but does not include statements, actions, or communications made or sanctioned by a team or sports governing body;

(E) Protected person—Includes athletes, umpires, referees, and officials; personnel associated with clubs, teams, leagues, and athletic associations; medical professionals, including athletic trainers, who provide services to athletes and players; and the family members and associates of these persons; and (F) Purged tickets—Expired, winning tickets that have not been redeemed.

(17) Definitions beginning with Q—(Reserved)

(18) Definitions beginning with R— (A) Resettled wager—A wager where the original settled wager result is modified due to a change in the result of the underlying event or an error in the original settlement of the wager.

(19) Definitions beginning with S— (A) Settled wager—A wager that has been resolved with the result of either a win, loss, or push and the patron has been paid;

(B) Sports district—The premises of a facility located in this state with a capacity of eleven thousand five hundred (11,500) people or more, at which one (1) or more professional sports teams plays its home games, and the surrounding area within four hundred (400) yards of such premises;

(C) Sports governing body—An organization that performs a regulatory or sanctioning function over the conduct of a sport (e.g., NFL, NBA, NCAA);

(D) Sports wagering equipment—A machine, mechanism, device, or implement that is integral to the operation of sports wagering or that monitors or records any wager, including without limitation— 1. Electronic, electrical, or mechanical devices for the making or recording of wagers;

2. Any system for recording, displaying, or determining wager information;

3. Any kiosk, terminal, or other device for the redemption of a wager or voucher;

4. Computer monitoring systems; and 5. Gaming-related hardware and software;

(E) Sports wagering operation—The conduct of authorized sports wagering under Article III, Section 39(g), of the Missouri Constitution and all related activities, including but not limited to accepting wagers, redeeming wagers, accounting, security, surveillance, marketing, and advertising;

(F) Sports wagering operator—An entity that offers sports wagering or has been organized for the purpose of offering (G) Sports wagering (SW) redemption kiosk—Any kiosk, terminal, machine, or other device through which a patron may redeem a sports wagering ticket or a voucher without requiring the involvement of an employee regardless of whether the redemption is for currency or for another ticket;

(H) Sports wagering system—Collectively all hardware, software, communications technology, and sports wagering equipment used to conduct sports wagering activity;

(I) Sportsbook—An approved area on the premises of an excursion gambling boat or a sports district where in-person sports wagering is offered; and (J) Suspicious wagering activity—Abnormal wagering activity that is indicative of match fixing, the manipulation of an event, misuse of inside information, money laundering, or other prohibited or illegal activity.

(20) Definitions beginning with T— (A) Ticket—A printed record issued or an electronic record maintained by the sports wagering system that evidences a sports wager;

(B) Tier one sports wager—A sports wager that is determined solely by the final score or final outcome of the sporting event and is placed before the sporting event has begun; and (C) Tier two sports wager—A sports wager that is not a tier one sports wager.

(21) Definitions beginning with U— (A) Unsettled wager—A wager that is still active and awaiting the outcome of the event.

(22) Definitions beginning with V— (A) Voided wager—A wager that a licensee voids after acceptance that was either not valid at the time it was placed or was valid at the time it was placed but has since become invalid for any reason, including but not limited to the change in eligibility status of a patron or subject of the wager; and (B) Voucher—A printed record issued by a wagering kiosk or an electronic record maintained by the sports wagering system for the amount of unwagered funds when a patron cashed out of a wagering kiosk.

(23) Definitions beginning with W— (A) Wagering kiosk—Any kiosk, terminal, machine, or other device through which a patron may place an in-person sports wager without requiring the involvement of an employee.

(24) Definitions beginning with X—(Reserved)

(25) Definitions beginning with Y—(Reserved)

(26) Definitions beginning with Z—(Reserved) *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.020 Sports Wagering Licenses {#sec-11-csr-45-20.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.020}

PURPOSE: This rule establishes the types of licenses related to sports wagering, job positions that require licenses, and provisions related to such licenses.

(1) The following types of sports wagering licenses are issued by the commission:

(A) Retail;

(B) Mobile;

(C) SW Supplier;

(D) Official League Data Provider; and (E) Occupational— 1. Level I-SW;

2. Level I-SWC;

3. Level II-SW; and 4. Level II-SWC.

(2) A Retail license is a license authorizing the licensee to offer sports wagering in person to individuals at an excursion gambling boat or within a sports district, as approved by each applicable professional sports team that plays its home games in such sports district. A Retail license may be issued, pursuant to Article III, Section 39(g), of the Missouri Constitution, to— (A) A Class B licensee;

(B) A sports wagering operator operating on behalf of the Class B licensee through a commercial agreement;

(C) A professional sports team; or (D) A sports wagering operator operating on behalf of a professional sports team through a commercial agreement.

(3) If a Class B licensee or professional sports team executes a commercial agreement with a sports wagering operator to operate a retail sports wagering operation on its behalf, then that sports wagering operator shall submit to the commission for licensure and, if approved, shall be considered the Retail (4) A Mobile license is a license authorizing the licensee to offer sports wagering through an online sports wagering platform to individuals physically located in the state of Missouri.

(5) An SW Supplier license shall be required for any individual or entity that— (A) Manufactures, sells, or leases sports wagering equipment, sports wagering systems, or other gaming items necessary to conduct sports wagering;

(B) Provides sports wagering equipment maintenance or repair;

(C) Provides independent testing laboratory services on sports wagering equipment or sports wagering systems;

(D) Provides gaming-related services or software for player geolocation identification, integrity monitoring, odds and risk management, managed trading services, an online sports wagering platform, or player account management; or (E) Provides other categories of gaming-related goods, data, or services to a Retail or Mobile licensee if the commission determines that the goods, data, or services impact the integrity or security of the sports wagering operation.

(6) An SW Supplier license is not required for an individual or entity that only provides generally commercially available goods, services, or software that are not specifically designed for use in connection with sports wagering, including but not limited to telecommunications, networking, computing, data storage, data processing, and software as a service.

(7) An Official League Data Provider license shall be required for any sports governing body or its designee who provides official league data for determining the outcome of tier two sports wagers.

(8) An Occupational Level I-SW license is a license granted to a person other than a key person who has management control or decision-making authority over the sports wagering operation or sports wagering supplier operation, or other individuals identified by the commission in similar or equivalent positions.

(9) An Occupational Level I-SWC license is a license granted to a person whose job position requires an Occupational Level I license pursuant to 11 CSR 45-4 and also requires an Occupational Level I-SW license pursuant to this chapter in order to perform the duties of that position or a person who simultaneously holds more than one job position that requires both licenses to perform the duties of both positions. This license is reserved only for an individual whose job position(s) requires him or her to perform duties for both the gaming operation and the sports wagering operation.

(10) At a minimum, an Occupational Level I-SW or Occupational Level I-SWC license is required for the following job positions:

(A) Highest ranking on premises sportsbook department (B) Highest ranking employee(s) with direct authority over information technology, network security, and cybersecurity (for Retail and Mobile licensees);

(C) Highest ranking employee responsible for the operation and security of the sports wagering platform (for Retail and Mobile licensees);

(D) Highest ranking finance department employee (for Retail and Mobile licensees);

(E) Highest ranking on premises surveillance department (F) Highest ranking on premises security department (G) Highest ranking manager of an Official League Data Provider (for Official League Data Provider licensees);

(H) Managers responsible for ensuring the integrity of all testing standards and certifications (for independent testing laboratory SW Supplier licensees);

(I) Highest ranking employee with direct authority over the setting of betting lines, point spreads, odds, or their equivalent (for Retail and Mobile licensees);

(J) Highest ranking employee responsible for compliance regarding responsible gaming, geofencing, and anti-money laundering (for Mobile licensees);

(K) General Managers of a Class B licensee, if the Class B licensee holds a Retail or Mobile license or if any Class B employees perform duties related to sports wagering for the licensed sports wagering operator; and (L) Any other person in a similar or equivalent position as directed by the commission.

(11) An Occupational Level II-SW license is a license granted by the commission to a person who is— (A) Not required to hold an Occupational Level I-SW or an Occupational Level I-SWC license; and (B) Assigned to a job position— 1. With a Retail licensee including sportsbook employees, wagering kiosk technicians, ticket writers, point of sale terminal technicians, audit, accounting, management information systems, count, security, surveillance, and compliance;

2. Where the employee’s duties include access to a designated nonpublic gaming area that has sports wagering and performs duties in furtherance of or associated with the operation of sports wagering;

3. With a Mobile licensee that performs duties in furtherance of or associated with the operation of sports wagering, including but not limited to anyone who has write access to the live sports wagering system, has access to view patrons’ banking or credit card information, or can make monetary changes to patrons’ accounts;

4. With an SW Supplier licensee that would require the employee to have in-person or remote access to the wagering kiosks, point of sale terminals, or the sportsbook area to perform his or her function or duties if such function or duties involve installation, servicing, maintenance, repair, or accessing secured or locked components of any sports wagering equipment or sports wagering systems, or involve verification or payment of patron awards; and 5. With similar or equivalent job duties to those described in this subsection as directed by the commission.

(12) An Occupational Level II-SWC license is a license granted to a person whose job position requires an Occupational Level II license pursuant to 11 CSR 45-4 and also requires an Occupational Level II-SW license pursuant to this chapter in order to perform the duties of that position or a person who simultaneously holds more than one (1) job position that requires both licenses to perform the duties of both positions.

This license is reserved only for an individual whose job position(s) requires him or her to perform duties for both the gaming operation and the sports wagering operation.

(13) Holders of an Occupational Level I-SWC or an Occupational Level II-SWC license are subject to the regulations in Title 11, Division 45, Chapters 1 through 20, of the Code of State Regulations, sections 313.800 through 313.850 of the Revised Statutes of Missouri, and Article III, Section 39(g), of the Missouri Constitution.

(14) In this chapter, the term “SW Occupational license” refers collectively to an Occupational Level I-SW, Occupational Level I-SWC, Occupational Level II-SW, and Occupational Level II- SWC license, and the term “SW Occupational licensee” refers collectively to any person who has been granted an SW Occupational license.

(15) Retail licensees operating on behalf of a Class B licensee may contract with the Class B licensee to use the Class B licensee’s employees to perform duties related to sports wagering; however, those employees shall obtain an Occupational Level I-SWC or Level II-SWC license prior to performing any sports wagering duties. The only sports wagering duties that can be contracted are duties related to security, surveillance, environmental services, and facilities.

(16) An SW Occupational licensee shall be employed by a Retail, Mobile, SW Supplier, Official League Data Provider, or Class B licensee and shall not be under the age of twenty-one (21).

(17) An SW Occupational licensee of a Retail, Mobile, or Class B licensee shall only perform the activities approved by the commission for that licensed position in the Internal Control System.

(18) No person may perform any duties relating to sports wagering that requires a license in the state of Missouri unless that person has obtained the appropriate license.

(19) The commission may issue, deny, or discipline any license.

Licensees and applicants may request a hearing pursuant to

11 CSR 45-13 regarding the commission’s decision to deny or discipline a license. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850, {#sec-11-csr-45-13 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-13}

11 CSR 45-20.030 Confidentiality of Records {#sec-11-csr-45-20.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.030}

PURPOSE: This rule establishes the confidentiality of records.

(1) Any submission to the commission under 11 CSR 45- 20, including all documents, reports, and data submitted therewith, that contain proprietary information, trade secrets, financial information, or personal information about any person or entity shall be treated in the same confidential manner as submissions by other licensees of the commission and shall not be subject to disclosure pursuant to Chapter 610, RSMo.

(2) The commission shall, upon written request from any person, provide such person with the following information furnished by an applicant, licensee, or key person:

(A) The name, business address, and business telephone number of the applicant, licensee, or key person;

(B) The identity of the applicant, licensee, or key person including, if the applicant, licensee, or key person is not an individual, the state of incorporation or registration, and the corporate officers;

(C) Whether the applicant, licensee, or key person has been indicted, convicted of, pleaded guilty or nolo contendere to, or forfeited bail for any criminal offense under the laws of any jurisdiction, either felony or misdemeanor, except for traffic violations, including the date, the name and location of the court, the arresting agency and prosecuting agency, the case number, the offense, the disposition, and the location and length of incarceration;

(D) Whether the applicant, licensee, or key person has had any license or certificate issued by a licensing authority in this state or any jurisdiction denied, restricted, suspended, revoked, or not renewed and a statement describing the facts and circumstances concerning the denial, restriction, suspension, revocation, or nonrenewal, including the licensing authority, the date each such action was taken, and the reason for each such action;

(E) The name and business telephone number of the counsel representing the applicant, licensee, or key person in matters before the commission; and (F) A description of the product or service to be supplied by an SW Supplier applicant or licensee.

(3) The Department of Revenue may furnish and the commission may receive income tax information pursuant to section 610.032, RSMo, to determine if applicants or licensees are complying with the tax laws of this state; however, any income tax information acquired by the commission related to applicants shall not become public record and shall be used exclusively for commission business. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.040 License Application {#sec-11-csr-45-20.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.040}

PURPOSE: This rule establishes the application process for licenses. publication of the entire text of the material that is incorporated by reference as a portion of this rule would be unduly cumbersome or expensive. This material as incorporated by reference in this rule shall be maintained by the agency at its headquarters and shall be made available to the public for inspection and copying at no more than the actual cost of reproduction. This note applies only to the reference material. The entire text of the rule is printed here. The Retail and Mobile License Application, the SW Supplier and Official League Data Provider License Application, the Occupational Level I-SW License Application, the Occupational Level I-SWC License Application, the Occupational Level II-SW License Application, the Occupational Level II-SWC License Application, and the SW Personal Disclosure Form may also be accessed at http://www. mgc.dps.mo.gov.

(1) The following forms are incorporated by reference and made (A) Retail and Mobile License Application as adopted by the subsequent amendments or additions;

(B) SW Supplier and Official League Data Provider License Application as adopted by the commission on June 10, 2025.

This rule does not incorporate any subsequent amendments or additions;

(C) Occupational Level I-SW License Application as adopted (D) Occupational Level I-SWC License Application as (E) Occupational Level II-SW License Application as adopted (F) Occupational Level II-SWC License Application as incorporate any subsequent amendments or additions; and (G) SW Personal Disclosure Form as adopted by the subsequent amendments or additions.

(2) An applicant for a Retail or Mobile license shall submit— (A) The Retail and Mobile License Application; and (B) An SW Personal Disclosure Form for each key person associated with the applicant.

(3) An applicant for an SW Supplier or Official League Data Provider license shall submit— (A) The SW Supplier and Official League Data Provider License Application; and (B) An SW Personal Disclosure Form for each key person associated with the applicant.

(4) Every person upon becoming a key person shall file the SW Personal Disclosure Form within sixty (60) days.

(5) An applicant for an Occupational Level I-SW license shall submit an Occupational Level I-SW License Application.

(6) An applicant for an Occupational Level I-SWC license shall submit an Occupational Level I-SWC License Application.

(7) Every person upon being assigned to a position that requires an Occupational Level I-SW or an Occupational Level I-SWC license shall file the appropriate application within sixty (60)

days. No duties that require a license shall be performed by that person until the appropriate license has been obtained.

(8) An applicant for an Occupational Level II-SWC license shall submit an Occupational Level II-SWC License Application.

(9) In addition to submitting an application, each applicant for an SW Occupational license is required to be photographed or provide a photograph, be interviewed if requested, and provide any documentation requested by the commission relevant to the application.

(10) An applicant for an SW Supplier license that holds a valid license pursuant to 11 CSR 45-4 is required to submit an application and pay the application fee and initial annual license fee to obtain an SW Supplier license.

(11) An independent testing laboratory (ITL) shall have an SW Supplier license to test and evaluate sports wagering equipment. An ITL that holds a valid license pursuant to 11 CSR 45-4 is required to submit an application and pay the application fee and initial annual license fee to obtain an SW Supplier license. In addition to any requirements provided in this chapter, the ITL shall comply with all applicable requirements and duties of ITLs in 11 CSR 45-4.

(12) The commission may require other materials in addition to those required by the application if the commission determines the information is necessary to determine the applicant’s suitability for licensure. The commission may also require an affidavit, signed on behalf of the applicant, to be submitted as an addendum to the application, regarding matters related to the applicant.

(13) The applicant shall be responsible for keeping the application current at all times during the application period. The applicant shall notify the commission in writing within ten (10) calendar days of any material changes to any response in the application and this responsibility shall continue throughout any period during which an application is being considered by the commission. All updates to applications shall be submitted by exhibit so that each affected exhibit is resubmitted with the updated information and with the date of resubmission. If any application update is not made in this manner, the commission may deem the update not to be effective.

(14) The commission may serve any applicant and his or her employer with written notice by personal delivery, electronic mail, or regular mail, requiring the applicant to complete all or any specific portion of the application process or provide additional information, on or before the date set forth in the notice, which shall not be less than five (5) business days from the date of the notice. If the applicant fails to comply with the notice, the commission may consider the application withdrawn and the application process closed.

(15) An application shall not be considered filed until the completed application form, including all required documents and materials, has been received by the commission.

(16) A temporary Retail or Mobile license may be issued to an applicant pending a determination on the application for licensure. The commission may revoke a temporary license at any time for a violation. If an applicant’s temporary license is revoked, the applicant shall immediately cease any sports wagering operations in the state of Missouri.

(17) The commission may issue to the applicant for an SW Supplier license or Official League Data Provider license a temporary license during the time the application is pending with the commission. The commission may revoke a temporary license at any time for a violation. If an applicant’s temporary license is revoked, the applicant shall not provide any Retail or Mobile licensee any equipment, supplies, or services that would otherwise require a license. The commission shall also notify all Retail or Mobile licensees of the revocation of the applicant’s temporary license.

(18) The commission may issue to the applicant for an SW Occupational license a temporary license, allowing the individual to perform his or her duties during the time the application is pending with the commission. The commission may revoke or suspend a temporary license at any time for a violation. If the temporary license is revoked or suspended, the individual shall immediately cease performing any duties for the licensed entity that would otherwise require an SW Occupational license. Should the commission revoke or suspend a temporary license and seek denial of licensure, this action shall be reported to the licensee who employed the applicant and the applicant.

(19) If a temporary license expires prior to completion of the background investigation, another temporary license may be issued. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.050 Direct Mobile License Competitive Application Process {#sec-11-csr-45-20.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.050}

PURPOSE: This rule establishes the competitive application process for a direct Mobile license.

(1) A direct Mobile license is a Mobile license issued directly to qualified applicants that are sports wagering operators.

A direct Mobile license is not affiliated with an excursion gambling boat or a sports district.

(2) When a direct Mobile license is available, the commission will post a notice on the commission’s website that the commission is accepting applications for a direct Mobile license and include the application period for such license.

After December 1, 2025, the application period shall be not less than sixty (60) days.

(3) No application for a direct Mobile license will be accepted after the close of the application period. Any application that is not complete by the close of the application period shall be disqualified.

(4) In evaluating and prioritizing the applications for any available direct Mobile license, the commission will consider (A) Expertise in the business of online sports wagering;

(B) The integrity, sustainability, and safety of the applicant’s online sports wagering platform;

(C) Past relevant experience of the applicant;

(D) Advertising and promotional plans to increase and sustain revenue;

(E) Ability to generate, maximize, and sustain revenues for the state;

(F) Demonstrated commitment to and plans for the promotion of responsible gaming; and (G) Capacity to increase the number of bettors on the applicant’s online sports wagering platform.

(5) After evaluation, the commission shall select the top qualified applicant(s) for the available direct Mobile license(s) for investigation for licensure by the commission. Such top applicant(s) will be invoiced for the applicant license fee.

(6) If during the investigation into the top qualified applicant(s) and before the issuance of any available license the commission determines that any of the selected applicants are not suitable for licensure, that applicant shall be denied a license. The commission shall select another top applicant from the remaining qualified applicants. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.060 Suitability for Licensure {#sec-11-csr-45-20.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.060}

PURPOSE: This rule establishes the requirements for the suitability for licensure.

(1) All applicants have an obligation to demonstrate suitability for licensure.

(2) An applicant for a Retail, Mobile, SW Supplier, Official League Data Provider, or SW Occupational license shall not be granted the respective license if the applicant, any owner of the applicant, any key person of the applicant, or any employee who participates in the management of sports wagering operations has been convicted of a felony or any gambling offense in any state or federal court of the United States.

(3) The commission may deny or refuse to renew a license or revoke or suspend a license if the applicant or licensee, or a key person of the applicant or licensee— (A) Associates in business affairs with or employs a person who has failed to cooperate with any officially constituted investigatory or administrative body, including but not limited to the commission;

(B) Has been convicted of a crime involving dishonesty or moral turpitude;

(C) Has submitted an application for a license, or any other documentation, to the commission that contains false information or has failed to disclose required information;

(D) Has had a sports wagering or gaming-related license revoked, suspended, or denied in Missouri or any other jurisdiction, or is an affiliate of a person who has had a sports wagering or gaming-related license revoked, suspended, or denied in any other jurisdiction;

(E) Has a background, including a criminal record, reputation, habits, business associations, or prior activities that— 1. Poses a threat to the public interests of the state of Missouri or to the security and integrity of sports wagering;

2. Poses a threat to public health, safety, morals, good order, and general welfare of the people of the state of Missouri; or 3. Discredits or tends to discredit the Missouri sports wagering industry or the state of Missouri;

(F) Creates or enhances the dangers of unsuitable, unfair, or illegal practices, methods, and activities in the conduct of sports wagering; or (G) Presents questionable business practices and financial arrangements relating to the conduct of sports wagering.

(4) The commission may refuse to issue or renew an SW Occupational license to any person or revoke or suspend an SW Occupational license of any person who has failed to prove his or her suitability for licensure, including but not limited to any applicant or licensee— (A) Who has been convicted of a crime or has been found guilty of, pleaded guilty or nolo contendere to, or entered an Alford plea to a crime, or received a suspended imposition of sentence, for violations of any federal, state, county, or city law including ordinance violations;

(B) Who is unqualified to perform the duties required;

(C) Who fails to disclose or states falsely information called for in the application process or uses fraud, deception, misrepresentation, or bribery in securing a license issued by the commission;

(D) Who has failed to comply with or make provision for complying with any federal, state, or local law or regulation, or internal controls of the licensed entity;

(E) Who fails to comply with any rule, order, or ruling of the (F) Whose license has been suspended, revoked, or denied in any jurisdiction;

(G) Who is a past or present member or participant in organized crime as such membership or participation may be found or determined by the commission;

(H) Who is not lawfully in the United States;

(I) Who is an employee of the commission or is a spouse, child, brother, sister, parent, son-in-law, daughter-in-law, stepchild, or stepparent of any employee or member of the commission;

(J) Who demonstrates a pattern of being financially irresponsible;

(K) Who is not of good moral character or has associated in business affairs with or employed a person of notorious or unsavory reputation or who has a law enforcement record involving crimes of moral turpitude, or who has failed to cooperate with any officially constituted investigatory or administrative body;

(L) Who would adversely affect public confidence and trust in gambling;

(M) Who provides the commission with false or misleading information, documents, or data or who makes false or misleading statements to the commission;

(N) Who fails to cooperate with any licensing or regulatory investigation;

(O) Who commits an act or omission that, if committed by any licensee, would be grounds for discipline or denial of an application;

(P) Who obtains or attempts to obtain any fee, charge, or other compensation by fraud, deception, or misrepresentation;

(Q) Who demonstrates incompetence, misconduct, gross negligence, fraud, misrepresentation, or dishonesty in the performance of the functions or duties regulated by Article III,

Section 39(g), of the Missouri Constitution or Chapter 313, RSMo.

(5) All licensees shall have an ongoing obligation to demonstrate suitability to hold a license. The commission may reopen the investigation of a licensee at any time. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.070 License Issuance {#sec-11-csr-45-20.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.070}

PURPOSE: This rule establishes the process for the issuance of licenses.

here. The Transfer / Rehire Occupational Level II Form may also be accessed at http://www.mgc.dps.mo.gov.

(1) The following form is incorporated by reference and made (A) Transfer / Rehire Occupational Level II Form as adopted by the commission on February 18, 2025. This rule does not incorporate any subsequent amendments or additions.

(2) The commission may issue a license if it determines the applicant has proven that it is suitable for licensure. In making the required determinations, the commission may consider all information which the applicant discloses and any information disclosed during the background investigation.

(3) The commission may issue a Retail, Mobile, SW Supplier, Official League Data Provider, or SW Occupational license after the applicant has paid all required fees.

(4) Each Retail or Mobile license is effective on the earlier of the issuance of its license or its temporary license and shall expire five (5) years after issuance.

(5) Each SW Supplier, Official League Data Provider, or SW Occupational license is effective on the earlier of the issuance of its license or its temporary license and shall expire two (2) years after issuance.

(6) A license for sports wagering shall not be assignable or transferable without approval of the commission.

(7) If an applicant is denied a license, the applicant may not reapply for a license for one (1) year from the date on which the denial was issued by the commission.

(8) If the employment of an SW Occupational licensee with a licensed entity is terminated for any reason, the licensed entity shall notify the commission within ten (10) calendar days. The commission will then place the SW Occupational licensee into a restricted status. Restricted status is the status assigned to an occupational licensee with an unexpired license who is not currently employed by a licensed entity. An SW Occupational licensee in a restricted status shall not work in a position that requires an SW Occupational license until— (A) The commission receives notice that the SW Occupational licensee has been hired by a licensed entity;

(B) The Occupational Level I-SW or Level I-SWC has updated his or her application or the Occupational Level II-SW or Level II- SWC licensee has completed the Transfer/Rehire Occupational Level II Form;

(C) The licensee has completed an interview, if required;

(D) The licensee has fulfilled all document requests; and (E) The licensee has been notified by the commission that the license is no longer in a restricted status. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.080 License Renewal {#sec-11-csr-45-20.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.080}

PURPOSE: This rule establishes the renewal process for licenses.

here. The Retail and Mobile License Application, the SW Supplier and Official League Data Provider License Application, the Occupational Level I-SW License Application, the Occupational Level I-SWC License Application, and the SW Personal Disclosure Form may also be accessed at http://www.mgc.dps.mo.gov.

(1) The following forms are incorporated by reference and made (A) Retail and Mobile License Application as adopted by the subsequent amendments or additions;

(B) SW Supplier and Official League Data Provider License Application as adopted by the commission on June 10, 2025.

This rule does not incorporate any subsequent amendments or additions;

(C) Occupational Level I-SW License Application as adopted (D) Occupational Level I-SWC License Application as incorporate any subsequent amendments or additions; and (E) SW Personal Disclosure Form as adopted by the subsequent amendments or additions.

(2) Each Retail and Mobile licensee shall file for license renewal at least one hundred eighty (180) calendar days before the expiration of its license by submitting to the commission a completed Retail and Mobile License Application updating all required information for the prior five (5) years and paying the respective license renewal fee.

(3) Each SW Supplier licensee and Official League Data Provider licensee shall file for license renewal at least one hundred twenty (120) calendar days before the expiration of its license by submitting to the commission a completed SW Supplier and Official League Data Provider License Application updating all (4) The renewal process for Retail, Mobile, SW Supplier, and Official League Data Provider shall include the submission of a completed SW Personal Disclosure Form for each key person identified in the application.

(5) Each Occupational Level I-SW licensee shall file for license renewal at least ninety (90) calendar days before his or her license expires by submitting to the commission a completed Occupational Level I-SW License Application updating all (6) Each Occupational Level I-SWC licensee shall file for license renewal at least ninety (90) calendar days before his or her license expires by submitting to the commission a completed Occupational Level I-SWC License Application updating all (7) Each Occupational Level II-SW and Level II-SWC licensee shall notify the commission within fifteen (15) calendar days prior to the expiration month of his or her license if he or she is applying for renewal of his or her license. In the absence of specific notice to the commission from the Occupational Level II-SW or Level II-SWC licensee, inclusion of the name of a licensee on the report due under 11 CSR 45-20.080(8) shall be deemed notice that the licensee is applying for renewal in the following month, and such notice shall be deemed sufficient.

(8) Each Retail, Mobile, SW Supplier, Official League Data Provider, and Class B licensee shall file a report with the commission on or prior to the fifteenth day of each calendar month identifying all of the personnel associated with that licensee who, as of the first day of the following month, hold positions requiring an SW Occupational license issued by the commission and whose expiration date(s) for such license occurs within the following calendar month.

(A) Each licensee shall indicate, on a report provided by the commission, each SW Occupational licensee to be renewed.

(B) Each Occupational Level II-SW and Occupational Level II- SWC licensee is required to obtain his or her renewed license by the tenth day of the renewal month.

(9) The commission may require other materials in addition to those required by the application if the commission determines the information is necessary to determine the licensee’s suitability for licensure. The commission may require an affidavit, signed on behalf of the licensee, to be submitted as an addendum to the application, regarding matters related to the licensee.

(10) The licensee applying for renewal shall be responsible for keeping the renewal application current at all times. The licensee shall notify the commission in writing within ten (10) calendar days of any material changes to any response in the renewal application and this responsibility shall continue throughout any period during which an application is being considered by the commission. All updates to applications shall be submitted by exhibit so that each affected exhibit is resubmitted with the updated information and with the date of resubmission. If any application update is not made in this manner, the commission may deem the update not to be effective.

(11) The commission may adjust renewal dates of licenses to economize commission resources. Any such adjustments shall result in a pro rata adjustment of fees. The commission shall provide notice to the licensee at least one hundred fifty (150) days prior to the due date of the renewal application. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.090 License Fees, Application Fees, and License Renewal Fees {#sec-11-csr-45-20.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.090}

PURPOSE: This rule establishes licensing fees for Retail, Mobile, SW Supplier, Official League Data Provider, and SW Occupational licenses.

(1) The applicant license fee shall be— (A) Retail $ 250,000 (B) Mobile $ 500,000 (2) The license renewal fee shall be— (A) Retail $ 250,000 (B) Mobile $ 500,000 (3) The application fee shall be— (A) SW Supplier $ 25,000 (B) Official League Data Provider $ 10,000 (C) Occupational— 1. Level I-SW $ 2,000 2. Level I-SWC $ 2,000 3. Level II-SW $ 100 4. Level II-SWC $ 100 (4) The annual license fee shall be— (A) SW Supplier $ 10,000 (B) Occupational— 1. Level I-SW $ 250 2. Level I-SWC $ 250 3. Level II-SW $ 75 4. Level II-SWC $ 75 (5) The annual license fee for an Official League Data Provider license is payable to the commission at the end of each year of licensure based on the amount of data sold to Retail and Mobile licensees as official league data during the most recent year of licensure, as follows:

(A) For data sales up to and including $500,000, the fee is $10,000;

(B) For data sales in excess of $500,000 and up to and including $750,000, the fee is $15,000;

(C) For data sales in excess of $750,000 and up to and including $1,000,000, the fee is $20,000;

(D) For data sales in excess of $1,000,000 and up to and including $1,500,000, the fee is $50,000;

(E) For data sales in excess of $1,500,000 and up to and including $2,000,000, the fee is $100,000; and (F) For data sales in excess of $2,000,000, the fee is $150,000.

(6) The applicant license fee or renewal fee for a Retail or Mobile license shall be paid prior to any license being issued.

(7) The application fee for an SW Supplier, Official League Data Provider, or SW Occupational license shall be paid prior to any license being issued.

(8) The annual license fee for SW Supplier and SW Occupational licensees is due upon issuance of the initial license and thereafter is due annually.

(9) All fees, except Retail and Mobile license fees, are nonrefundable and shall be paid regardless of whether the applicant is granted a license.

(10) All fees billed by the commission shall be paid within thirty (30) calendar days of the date of invoice.

(11) The commission may waive the application fee and the annual license fee for an SW Occupational licensee who is currently licensed pursuant to 11 CSR 45-4.

(12) The commission may waive or modify licensing fees for good cause, except for Retail or Mobile licenses. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.100 Duties of Licensees and Applicants {#sec-11-csr-45-20.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.100}

PURPOSE: This rule outlines duties of licensees and applicants.

(1) Each licensee and applicant for licensure has an ongoing duty to— (A) Comply with all federal, state, and local laws and regulations;

(B) Comply with all internal controls;

(C) Conduct themselves in a professional manner when communicating with licensees, the public, and the commission;

(D) Conduct the licensee’s sports wagering operation in a manner that does not pose a threat to the public health, safety, morals, good order, or general welfare of the people of the state of Missouri;

(E) Conduct the licensee’s sports wagering operation in a manner that does not discredit or tend to discredit the Missouri gaming or sports wagering industry or the state of Missouri;

(F) Conduct the licensee’s sports wagering operation in a manner that does not reflect adversely on the security or integrity of the Missouri sports wagering industry;

(G) Keep current in all payments and obligations to the state of Missouri and to other licensees with whom sports wagering business is conducted;

(H) Maintain suitability for licensure at all times; and (I) Cooperate with investigations conducted by law enforcement agencies, regulatory bodies, and sports governing bodies.

(2) Each Retail and Mobile licensee has an ongoing duty to comply with the following:

(A) Maintain secure premises for the conduct of a retail sports wagering operation and a secure platform for the conduct of a mobile sports wagering operation, as applicable;

(B) Prevent unaccompanied access to designated nonpublic gaming areas by individuals who do not hold occupational licenses;

(C) Assume the primary responsibility for the sports wagering operation;

(D) Assume responsibility for payment of tax remittance to (E) As required by the commission, obtain and install, at no cost to the state of Missouri, all hardware, software, and related accessories necessary to allow for remote monitoring of sports wagering by the commission;

(F) Accept no prohibited wagers;

(G) Install, post, and display signage as required by the commission, including signage indicating that sports wagering is limited to persons twenty-one (21) years of age or older and signage relating to problem gambling;

(H) Provide the commission, upon request, an accounting of all wagering activity or any subset of the wagering activity;

(I) To promptly notify the commission and any relevant sports governing body of any information relating to— 1. Abnormal betting activity or patterns that may indicate a concern with the integrity of a sporting event or events;

2. Suspicious or illegal betting activities if known to the 3. Any potential violation of the relevant sports governing body’s internal rules and codes of conduct pertaining to sports wagering of which a licensee has knowledge; and 4. Any other conduct that corrupts a betting outcome of a sporting event or events for purposes of financial gain, including match fixing;

(J) To promptly notify the commission of any information relating to— 1. Criminal, disciplinary, or regulatory proceedings commenced against the licensee or affiliated person in connection with its gaming or sports wagering operations in any jurisdiction; and 2. Suspicious or illegal wagering activities, including use of funds derived from illegal activity, wagers to conceal or launder funds derived from illegal activity, using agents to place wagers, and using false identification;

(K) Provide to the commission any contract or commercial agreement to operate sports wagering on behalf of an excursion gambling boat or professional sports team;

(L) Document and investigate any report by an employee of any violation of Article III, Section 39(g), of the Missouri Constitution, state or federal laws or regulations, or the licensee’s internal control system related to operations in Missouri, and provide a summary of those reports and investigations to the commission upon completion; and (M) Report to the commission any facts the licensee has reasonable grounds to believe indicate a violation of Article III,

Section 39(g), of the Missouri Constitution, state or federal laws or regulations, or the licensee’s internal control system related to operations in Missouri.

(3) Each SW Supplier licensee has an ongoing duty to comply with the following:

(A) Provide technical assistance and training to its customers and commission staff, as requested;

(B) Sell, distribute, lease, or market in the state of Missouri only sports wagering equipment that has been tested and certified for use in the state of Missouri; and (C) Promptly notify Retail and Mobile licensees with which the licensed SW Supplier does business if the licensed SW Supplier's hardware or software used in the operation of sports wagering is compromised or revoked under any circumstances.

(4) Each Official League Data Provider licensee has an ongoing duty to comply with the following:

(A) Provide to the commission copies of any contracts between the licensee and sports governing bodies pursuant to which the licensee will be providing official league data;

(B) Provide to the commission copies of any contracts between the licensee and any Retail or Mobile licensees pursuant to which the licensee will be providing official league data in the state of Missouri; and (C) Provide official league data to Retail or Mobile licensees on commercially reasonable terms.

(5) Each SW Occupational licensee has an ongoing duty to comply with the following:

(A) Carry and display the appropriate occupational license badge issued by the commission when working at a retail sports wagering operation; and (B) Report violations of Article III, Section 39(g), of the Missouri Constitution, state or federal laws or regulations, or the internal control system to his or her employer and the commission.

(6) All licensees shall provide all information requested by the commission. Access to this information shall be immediate and copies of the information shall be delivered within seven (7) calendar days or less if the commission so orders.

(7) All Retail, Mobile, SW Supplier, Official League Data Provider, Occupational Level I-SW, and Occupational Level I-SWC licensees shall have a continuing duty to disclose in writing, within fifteen (15) calendar days, any material change in the information provided in the application and requested materials submitted to the commission. Any change in information that is not material shall be disclosed to the commission during the licensee’s subsequent application for license renewal.

(8) All Occupational Level II-SW and Occupational Level II- SWC licensees shall have a continuing duty to disclose in writing, within ten (10) calendar days, any material change in the information provided in the application and requested materials submitted to the commission.

(9) All licensees shall promptly report to the commission any facts which the licensee has reasonable grounds to believe indicate a violation of law (other than minor traffic violations), the licensee’s internal controls for Missouri operations, or commission rules committed by licensees, their employees, or others, including, without limitation, the performance of licensed activities different from those permitted under their license.

(10) In the event that a licensee or any employee of the licensee knows or should have known that an illegal or violent act has been committed at the retail sports wagering location or on the online sports wagering platform, they shall immediately report the occurrence to law enforcement authorities and the commission and shall cooperate with law enforcement authorities and agents of the commission during the course of any investigation into the occurrence.

(11) Licensees shall take reasonable actions to safeguard from loss all tickets, vouchers, cash, checks, funds, and other sports wagering assets.

(12) Licensees shall take reasonable actions to safeguard from loss, tampering, alteration, destruction, and unauthorized access to all sports wagering-related reports, records, files, automated data, accounting information, and data systems.

(13) Retail, Mobile, SW Supplier, Official League Data Provider, and applicable Class B licensees shall ensure that all agents and SW Occupational licensees employed by said licensees have a working knowledge of Article III, Section 39(g), of the Missouri Constitution, Title 11 Division 45 of the Code of State Regulations, and the licensee’s system of internal controls as they pertain to the responsibilities and limitations of their respective job positions.

(14) All SW Occupational licensees shall have a working knowledge of Article III, Section 39(g), of the Missouri Constitution, Title 11 Division 45 of the Code of State Regulations, and the internal controls of the licensees for whom they are currently employed by as they pertain to the responsibilities and limitations of their respective job positions.

(15) When a patron informs a licensee that he or she desires to speak to a commission agent, the licensee shall contact a commission agent without delay. If the licensee is unable to contact a commission agent or the commission agent is not available, the licensee shall prepare a detailed written report describing the facts of the incident and the method(s) used to contact the commission agent. The licensee shall submit the report to the commission prior to the end of the next calendar day.

(16) Each Retail, Mobile, SW Supplier, and Official League Data Provider licensee shall investigate the background and qualifications of all applicants for jobs that require licensure in the state of Missouri. No licensee may solely rely on the commission’s issuance of an SW Occupational license as the sole criterion for hiring a job applicant.

(17) In addition to all other reporting requirements, Retail, Mobile, SW Supplier, and Official League Data Provider licensees shall notify the commission within fifteen (15) calendar days after receiving notification that any of the following persons is being investigated by a regulatory, administrative, or law enforcement agency for a violation of a rule, regulation, or statute relating to licensed gambling, Securities and Exchange Commission (SEC) regulations, Financial Crimes Enforcement Network (FinCEN) regulations, or criminal offenses, or has been disciplined or charged with a violation by such agencies:

(A) The licensee;

(B) The licensee's parent corporation; or (C) The licensee's officers or key persons. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.110 Prohibition and Reporting of Certain Transactions {#sec-11-csr-45-20.110 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.110}

PURPOSE: This rule prohibits certain transactions and establishes the procedures for the reporting of certain transactions.

here. The SW Corporate Securities and Finance Transaction Information Sheet and the SW Corporate Securities and Finance Compliance Affidavit may also be accessed at http://www.mgc. dps.mo.gov.

(1) The following forms are incorporated by reference and made 1847, Jefferson City, MO 65102, and may be accessed at http:// www.mgc.dps.mo.gov:

(A) SW Corporate Securities and Finance Transaction Information Sheet as adopted by the commission on February 18, 2025. This rule does not incorporate any subsequent amendments or additions; and (B) SW Corporate Securities and Finance Compliance Affidavit as adopted by the commission on February 18, 2025. This

rule does not incorporate any subsequent amendments or additions.

(2) The following definitions apply to the terms used in this

rule:

(A) Material change in ownership or control—Any transfer or issuance of ownership interest in a Retail or Mobile licensee or other contract or arrangement resulting in a person or group of persons acting in concert, directly or indirectly— 1. Owning, controlling, or having power to vote twentyfive percent (25%) or more of the voting ownership interest in the Retail or Mobile licensee, if the acquiring person or group of persons did not previously hold twenty-five percent (25%) or more of the voting ownership interest of the Retail or Mobile licensee prior to the change in control; or 2. Controlling in any manner the election of a majority of the directors or managers of a Retail or Mobile licensee, if the controlling person or group of persons did not previously exercise such control; and (B) Ownership interest—An interest which shall include but not be limited to any corporation stock, partnership interest, limited liability company interest, or similar ownership interest conveying equity or voting rights.

(3) No licensee may pledge, hypothecate, or transfer in any way any license issued by the commission or any interest in a license issued by the commission. Upon any purported pledge, hypothecation, or transfer of such a license or interest in such a license, the license shall automatically become null and void and of no legal effect.

(4) Ownership interest in a licensee that is not a publicly held entity— (A) May not be pledged or hypothecated in any way to, or otherwise be subject to any type of security interest held by, any entity or person other than a financial institution without prior approval of the commission; and (B) May not be pledged or hypothecated in any way, or otherwise subject to any type of security interest except in compliance with this rule.

(5) Any not publicly held licensee shall notify the commission of its intention to consummate any issuance of ownership interest in the licensee that will equal ten percent (10%) or greater of the ownership interest in the licensee after the issuance is complete. The notice shall occur at least sixty (60) calendar days prior to such consummation. The commission may disapprove the transaction or require the transaction to be delayed pending further investigation.

(6) Any publicly held Retail, Mobile, or SW Supplier licensee shall notify the commission of its intention to consummate any issuance of ownership interest in the licensee that will equal ten percent (10%) or greater of the ownership interest in the licensee after the issuance is complete. The notice shall occur at least fifteen (15) calendar days prior to such consummation.

The commission may reopen the licensing investigation of the applicable licensee prior to or following the consummation date to consider the effect of the transaction on the licensee’s suitability.

(7) Any entity required to report a transaction prior to consummation or obtain approval of a transaction under this rule shall submit the following as part of the required notice and before any approval shall be considered:

(A) An executed copy of the SW Corporate Securities and Finance Transaction Information Sheet; and (B) An executed copy of the SW Corporate Securities and Finance Compliance Affidavit from each other party to the transaction or a representative authorized to act on behalf of such parties.

(8) Not later than ten (10) calendar days after the consummation of any of the following transactions, any licensee shall report such consummation to the commission:

(A) Any transfer or issuance of ownership interest in a publicly held licensee, if such transfer or issuance has resulted in an entity or group of entities acting in concert directly owning a total amount of ownership interest equaling ten percent (10%) or greater of the ownership interest in the licensee; and (B) Any pledge or hypothecation of, or grant of a security interest in, ten percent (10%) or more of the ownership interest in a publicly held licensee, provided that if any part of such ownership interest is transferred voluntarily or involuntarily pursuant to such a pledge, hypothecation, or security interest, separate notice to the commission is required not later than ten (10) calendar days after the consummation of such transfer.

(9) Any licensee shall notify the commission of its intention or the intention of any entity affiliated with it to consummate any transaction that involves or relates to the licensee and is ten percent (10%) or greater of total assets, provided that such notice shall be given no later than ten (10) calendar days following such consummation.

(10) Any action or decision to refrain from acting by the commission under this rule shall not indicate or suggest that the commission has considered or passed in any way on the marketability of any securities of a licensee, or any other matter, other than the suitability of the pertinent licensee company for licensure by the commission under Missouri law.

(11) All notices required under this rule shall be addressed to the executive director of the commission and shall clearly contain the following language in bold type and all capital letters on the top of the first page: “REQUIRED SW CORPORATE SECURITIES AND FINANCE NOTICE.” The commission may waive or reduce any notice period required under this rule if such waiver or reduction is determined by the commission to be in the best interest of the public. Any notice or report required under this rule shall be in addition to any required application update or submission.

(12) Violations of this rule, including but not limited to consummation of transactions prohibited by the commission hereunder, may be grounds for discipline against any licensee or grounds for denial of any application. This rule shall not be construed as making any asset inalienable in nature but shall provide a regulatory penalty enforcement mechanism for certain types of asset transfers as set forth herein.

(13) Upon any voluntary material change in ownership or control, the licensee that is the subject of the material change in ownership or control shall automatically become null and void and of no legal effect, unless the commission has approved such material change in ownership or control by vote of the commissioners prior to its consummation. The commission may grant a petition to approve a material change in ownership or control if the petitioner proves by clear and convincing evidence that— (A) The transfer is in the best interest of the state of Missouri;

(B) The transfer is not injurious to the public health, safety, morals, good order, or general welfare of the people of the state of Missouri, and that it would not discredit or tend to discredit the Missouri sports wagering industry or the state of Missouri;

(C) It would have no material negative competitive impact;

(D) It would have no potential to affect the licensee’s suitability to hold a Retail or Mobile license; and (E) It would not potentially result in any significant negative changes in the financial condition of the licensee.

(14) Upon an involuntary material change in ownership or control (including but not limited to open market acquisitions of publicly traded stock not facilitated by a licensee, death, appointment of a guardian by a court of competent jurisdiction, or involuntary bankruptcy) the executive director with the concurrence of the chairman may, within ten (10) calendar days, extend the license held by the licensee that is the subject of the material change in ownership or control until the next commission meeting, at which time the commission may extend the license until such time as a material change in ownership or control is approved. In the event the executive director does not extend the license within ten (10) calendar days of the involuntary material change in ownership or control, or the commission does not extend it at its next meeting, the license shall become null and void. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.120 SW Occupational License Badge {#sec-11-csr-45-20.120 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.120}

PURPOSE: This rule provides requirements for a commissionissued SW occupational license badge.

(1) Upon issuance of an SW Occupational license or a temporary license, the applicant shall receive an SW occupational license badge from the commission. The commission may waive this requirement for SW Occupational licensees of Mobile licensees who do not work on the premises of an excursion gambling boat or sports district.

(2) SW Occupational licensees shall at all times, while performing the functions of their job positions at an excursion gambling boat or sports district, display in a clearly visible manner a valid, commission-issued SW occupational license badge.

(3) SW occupational license badges shall be used to access designated nonpublic gaming areas of the retail sports wagering operation.

(4) Retail licensees shall be responsible for ensuring that only SW Occupational licensees access designated nonpublic gaming areas of the retail sports wagering operation. All other individuals accessing such areas shall be escorted by an SW Occupational licensee who works in that area.

(5) Whenever an SW occupational license badge is lost or destroyed, a duplicate SW occupational license badge will be issued by the commission upon written request of the licensee.

The fee for a replacement SW occupational license badge is thirty dollars ($30). *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.130 Casino Access Badge Requirements for Retail Locations on Excursion Gambling Boats {#sec-11-csr-45-20.130 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.130}

PURPOSE: This rule establishes requirements for issuing casino access badges for retail locations on excursion gambling boats.

(1) Any Occupational Level I-SWC and Level II-SWC licensee employed by a Class B licensee shall be issued a casino access badge in accordance with 11 CSR 45-4.410.

(2) A casino access badge shall be issued by the Class B licensee to any Occupational Level I-SW or Level II-SW licensee who works for the Retail licensee at that excursion gambling boat.

(3) Retail licensees shall restrict access to designated nonpublic gaming areas of the sports wagering operation to SW Occupational licensees who are displaying their casino access badges and who are authorized to be in that location. All other individuals accessing such areas shall be escorted by an SW Occupational licensee of the Retail or Class B licensee.

(4) No casino access badge may be held by any person unless that person is an employee of the Class B licensee or the Retail licensee and has been authorized for such access by the Class B licensee for which the badge is issued.

(5) Each SW Occupational licensee shall at all times while performing the functions of his or her position display on his or her person in a clearly visible manner a valid casino access badge, unless a waiver has been granted in writing by the commission for a particular job function.

(6) The casino access badge for SW Occupational licensees shall meet the casino access badge requirements in 11 CSR 45- 4.410, except that the color-coded background for use around the occupational field or title on the front side shall be solid orange for Occupational Level I-SW and Occupational Level II-SW licensees.

(7) Casino access badges are not transferable and upon resignation or termination of employment, the casino access badge shall be returned to the Class B licensee.

(8) Class B licensees shall issue casino access badges in accordance with this rule. Failure to do so is grounds for disciplinary action. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.140 Cooperation with Investigations {#sec-11-csr-45-20.140 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.140}

PURPOSE: This rule establishes the requirement for Retail, Mobile, SW Supplier, and Official League Data Provider licensees to notify the commission of requests for sports wagering information from law enforcement or sports governing bodies.

(1) Retail, Mobile, SW Supplier, and Official League Data Provider licensees shall cooperate with investigations conducted by law enforcement agencies, regulatory bodies, and sports governing bodies, including but not limited to using commercially reasonable efforts to provide or facilitate the provision of wagering information, including account-level sports wagering information. Disclosures under this rule are subject to a licensee’s obligations to comply with federal, state, and local laws and regulations, including those relating to privacy and personally identifiable information.

(2) Retail, Mobile, SW Supplier, and Official League Data Provider licensees shall notify the commission within five (5) calendar days of a request from a law enforcement agency or sports governing body for cooperation with an investigation regarding sports wagering operations in Missouri, except where prohibited by the terms of a law enforcement subpoena.

The notification shall be in writing and shall include a detailed description of the request. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.150 Disciplinary Actions {#sec-11-csr-45-20.150 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.150}

PURPOSE: This rule establishes grounds for disciplinary actions against licensees.

(1) Licensees shall be subject to the imposition of fines, license probation, license suspension, license revocation, or other disciplinary action for any violation of Article III, Section 39(g), of the Missouri Constitution, law, or regulation. The following acts or omissions may be grounds for discipline:

(A) Failing to comply with or make provision for compliance with any federal, state, or local law or regulation, or internal control standard;

(B) Failing to comply with any order or ruling of the commission pertaining to the regulation of sports wagering in Missouri;

(C) Being found ineligible for a gaming license, having an application for a gaming license denied for cause, or having a gaming license of any kind revoked or suspended in any state or other gaming jurisdiction;

(D) Employing, associating with, or participating in any enterprise or business with persons— 1. Who have law enforcement records involving crimes of moral turpitude; or 2. Who have failed to cooperate with any officially constituted investigatory or administrative body;

(E) Failing to establish and maintain standards and procedures designed to prevent ineligible or unsuitable persons from being employed by the licensee;

(F) Misrepresenting any information to the commission;

(G) Intentionally making, causing to be made, or aiding, assisting, or procuring another to make any false statement in any report, disclosure, application, permit, form, or any other document, including improperly notarized documents;

(H) Submitting tardy, inaccurate, or incomplete material or information to the commission;

(I) Obstructing or impeding the lawful activities of the (J) Willfully or repeatedly failing to pay amounts due or to be remitted to the state of Missouri;

(K) Failing to timely pay amounts due or to be remitted to (L) Failing to timely pay a fine imposed by the commission;

(M) Failing to respond in a timely manner to communications from the commission;

(N) Aiding and abetting a violation by a commission member or employee, or other government official, of a requirement established by statute, resolution, ordinance, personnel code, or code of conduct;

(O) Violations of Article III, Section 39(g), of the Missouri Constitution and laws, rules, and regulations by any person identified as a key person;

(P) Knowingly employing or associating in business affairs with any enterprise or business with a person determined unsuitable to be a licensee or a key person of an applicant or licensee by the commission or any other gaming jurisdiction;

(Q) Facilitating, enabling, or participating in sports wagering other than in accordance with Article III, Section 39(g), of the Missouri Constitution and laws, rules, and regulations of this state or any other state or country;

(R) Engaging in, or facilitating, unfair methods of competition or unfair or deceptive acts or practices, including the use or employment of any deception, fraud, false pretense, false promise or misrepresentation, or the concealment, suppression, or omission of any material fact in the conduct of any sports wagering operation;

(S) Acting in bad faith in the conduct of any business, transaction, or interaction with any other applicant, licensee, or the commission;

(T) Being found, through final determination by a court or regulatory body, to have engaged in unfair labor practices, discrimination, or violations of regulation of gaming or sports wagering;

(U) Failing to satisfy any judgments, orders, or decrees of any court;

(V) Failing to maintain suitability for licensure; or (W) Any cause that, if known to the commission, would have resulted in the denial of a license.

(2) An SW Occupational licensee whose employment has been terminated is subject to revocation of his or her license for any act or failure to act that occurred while licensed.

(3) A person who has had a license revoked by the commission may not reapply for a license without permission from the commission. Permission may be requested by submission of written correspondence to the commission for consideration at a regularly scheduled commission meeting.

(4) The commission may impose fines upon any person required to hold a license but does not.

(5) Any fines imposed shall not exceed fifty thousand dollars ($50,000) per violation or one hundred thousand dollars ($100,000) resulting from violations of the same occurrence of events. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.160 Temporary Suspension of Sports Wagering Activities {#sec-11-csr-45-20.160 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.160}

PURPOSE: This rule establishes the process for temporary suspension of the licensed activities of Retail, Mobile, SW Supplier, and Official League Data Provider licensees.

(1) The commission may issue an order to a licensee to temporarily suspend its sports wagering operations without prior notice or hearing if the commission determines that continuing the sports wagering operation— (A) Jeopardizes the safety or health of patrons or employees;

(B) Poses a significant, imminent danger to the integrity of the Missouri sports wagering industry.

(2) The commission shall notify the licensee of a temporary suspension.

(3) A Retail or Mobile licensee subject to an order of temporary suspension shall accept no wagers during the suspension period.

(4) A Retail or Mobile licensee subject to an order of temporary suspension shall redeem wagers during the suspension period, if so ordered by the commission.

(5) An SW Supplier or Official League Data Provider licensee subject to an order of temporary suspension shall cease all activities in the state of Missouri for which it was licensed.

(6) An order of temporary suspension is for the protection of the public interest and is not disciplinary in nature. The issuance of an order of temporary suspension is not a final determination as to the merits of the alleged facts in the notice of suspension.

(7) The commission will rescind the order of temporary suspension upon determination that the licensee has taken sufficient corrective action and that continuing the sports wagering operation no longer jeopardizes the safety or health of patrons or employees, or poses a significant, imminent danger to the integrity of the Missouri sports wagering industry.

(8) Rescission of an order of temporary suspension is not a final determination as to the merits of the alleged facts in the order.

A licensee may still be subject to disciplinary action related to any alleged facts. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.170 Reporting Prohibited Conduct, Criminal Behavior, and Violations {#sec-11-csr-45-20.170 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.170}

PURPOSE: This rule establishes a process by which individuals may report allegations of prohibited conduct, criminal behavior, or violations to the commission.

(1) The commission shall offer an electronic form on its website to allow individuals to report allegations of prohibited conduct, as defined in 11 CSR 45-20.010, criminal behavior, or violations of any federal, state, or local law or any regulation related to sports wagering.

(2) Any individual making a report shall be required to include (A) Summary of the facts supporting the allegation;

(B) Affirmation by the individual that all information contained in the report is true and correct to the best of his or her knowledge and belief; and (C) Acknowledgment by the individual that knowingly making false statements in the report may subject the individual to criminal penalties or discipline if the individual has an occupational license.

(3) The identity of any individual making a report and the contents of any report shall be confidential and not be subject to disclosure, pursuant to Chapter 610 and section 313.847, RSMo. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.180 Integrity Monitoring {#sec-11-csr-45-20.180 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.180}

PURPOSE: This rule establishes requirements for integrity monitoring for Retail and Mobile licensees.

(1) Retail licensees and Mobile licensees shall contract with an independent, commission-licensed integrity monitoring provider.

(2) Retail licensees and Mobile licensees shall have controls in place to identify abnormal wagering activity and report such activity to an integrity monitoring provider.

(3) All integrity monitoring providers shall share information with each other and shall disseminate all reports of abnormal wagering activity to all participating licensees. All Retail licensees and Mobile licensees shall review such reports and notify the integrity monitoring provider of whether or not they have experienced similar activity.

(4) If an integrity monitoring provider finds that previously reported abnormal wagering activity rises to the level of suspicious wagering activity, it shall immediately notify all other integrity monitoring providers, its participating licensees, the commission, the appropriate sports governing body, and all other regulatory agencies as directed by the commission.

All integrity monitoring providers receiving a report under this

rule shall share such report with their participating licensees.

(5) A Retail or Mobile licensee receiving a report of suspicious wagering activity shall be permitted to suspend wagering on events related to the report but may only cancel related wagers after written commission approval pursuant to 11 CSR 45-20.470(3).

(6) Integrity monitoring providers shall provide the commission with remote access to their monitoring system, which shall provide at a minimum— (A) All reports of abnormal wagering activity;

(B) If the activity was determined to be suspicious; and (C) The actions taken by the integrity monitoring provider.

(7) The commission may share information regarding the integrity of events. The commission may use information received from any source, including a sports governing body, to determine whether wagering shall be permissible on a particular event or wager type.

(8) All information and data received or distributed pursuant to this rule by the commission related to abnormal or suspicious wagering activity shall be considered confidential and shall not be revealed in whole or in part, except upon the lawful order of a court of competent jurisdiction or with any law enforcement entity, team, sports governing body, or regulatory agency that the commission deems appropriate. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.190 Reserve Requirements {#sec-11-csr-45-20.190 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.190}

PURPOSE: This rule establishes standards for reserve requirements for Retail and Mobile licensees.

(1) Retail licensees and Mobile licensees shall maintain a reserve in the form of cash, cash equivalents, payment processor reserves, payment processor receiveables, surety bond, irrevocable letter of credit, or combination thereof, of not less than the greater of five hundred thousand dollars ($500,000) or the amount necessary to cover the outstanding sports wagering liability. Cash equivalents are investments with an original maturity of three (3) months or less which would be permissible investments under Missouri law for state monies held by the state treasurer. The outstanding sports wagering liability shall be the sum of cashable funds held in player accounts, the aggregate amounts accepted as wagers on sporting events whose outcomes have not been determined, and amounts owed but unpaid on winning wagers.

(2) If, at any time, the Retail licensee’s or Mobile licensee’s available reserve should be less than the amount required by this rule, the licensee shall notify the commission of this deficiency within forty-eight (48) hours. A licensee may satisfy the reserve requirement in this rule if the licensee adds sufficient funds to cover the calculated requirement prior to the end of the following business day. Failure to maintain the minimum reserve required by this rule or failure to notify the commission of any deficiencies is grounds for disciplinary action.

(3) Any cash, cash equivalent, or other means used for any

purpose in this rule may not be applied to other purposes, including other purposes within this chapter. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.200 Surveillance Requirements for Retail Licensees {#sec-11-csr-45-20.200 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.200}

PURPOSE: This rule establishes surveillance requirements for Retail licensees.

(1) All equipment that is used to monitor or record shall be solely accessible to the surveillance personnel, except when that equipment is being repaired or replaced.

(2) The interior of the surveillance room shall not be visible to the public.

(3) The commission shall at all times be afforded immediate access to the surveillance room and all records relating to that surveillance.

(4) Each surveillance room shall have a minimum of four (4) monitors, with appropriate switching capability to ensure that all surveillance cameras are accessible.

(5) While the sportsbook cage is open, surveillance shall observe ticket writer transactions periodically to ensure internal control procedures are followed and wagers are accepted and winnings are paid appropriately.

(6) Each kiosk drop process, including the transportation of drop devices, and the kiosk count process shall be continuously monitored and recorded by surveillance personnel, including emergency drops and counts.

(7) The surveillance camera views shall be recorded. All video recordings shall be maintained for at least thirty (30) days.

(8) Surveillance room personnel shall maintain a surveillance shift log of all surveillance activities. The surveillance shift log shall— (A) Be continuously maintained by surveillance personnel;

(B) Be chronological;

(C) Include entries for— 1. The notification of any maintenance or repair of any kiosk, point of sale equipment, or money handling equipment;

2. Any detention or questioning of patrons or employees by the security department, including the identity of— A. The patrons or employees; and B. The security personnel involved;

3. The beginning, end, and any interruptions of all required drop and count processes, including emergency drops;

4. Any observed procedural or internal control violations;

5. Any observed criminal activity;

6. Any surveillance conducted on anyone or any activity that appears— A. To be abnormal, suspicious, illegal, or an emergency;

B. To violate the rules of the commission;

7. Any surveillance conducted at the request of— A. An employee; or B. A commission agent;

8. All persons reviewing surveillance recordings;

9. All persons entering and exiting the surveillance room, excluding surveillance personnel and commission personnel;

10. All surveillance personnel entering and exiting the surveillance room only at the beginning and ending of their shifts; and 11. Any other notations deemed necessary by surveillance personnel or the commission to ensure compliance with the statutes, regulations, and internal controls;

(D) Be provided to the commission daily; and (E) Be retained for at least one (1) year.

(9) A surveillance incident report shall be completed for any activity involving unusual or criminal activity and any violation of the statutes, regulations, or internal controls and shall— (A) Be made by the employee responsible for monitoring the activity;

(B) Contain the report number and details of the incident observed;

(C) Be provided to the commission daily; and (D) Be retained for at least one (1) year.

(10) All recordings of surveillance incident reports shall be retained for one (1) year and shall be listed on a surveillance recording retention log by surveillance personnel with the date, times, and identification of the person monitoring the recording. Original recordings shall be released to the commission upon request.

(11) Any recording that records illegal or suspected illegal activity or suspicious wagering activity shall, upon completion of the recording, be transferred to a read-only, non-erasable format. The recording shall be placed in a separate, secure area and the commission shall be notified.

(12) A surveillance release log shall be maintained to record who receives a copy of video recordings. Video recordings of criminal or regulatory investigations or violations shall not be released to anyone without the approval of the commission or pursuant to a lawful court order.

(13) Any malfunction of surveillance equipment shall necessitate the immediate replacement or repair. If immediate replacement or repair is not possible, the commission shall be notified.

(14) Any Retail licensee, who is not a Class B licensee, operating on an excursion gambling boat may contract with the Class B licensee to provide the surveillance requirements for the sports wagering operation through its approved surveillance system.

(15) Any Retail licensee who is a Class B licensee may utilize its existing surveillance operation to provide the surveillance requirements for the sports wagering operation.

(16) The Retail licensee shall maintain a closed surveillance system. Remote access to the surveillance system is prohibited.

(17) Each Retail licensee shall submit a surveillance plan to the commission prior to commencing sports wagering operations.

The plan shall include a floor plan that shows the placement of all surveillance cameras and a detailed description of the procedures utilized in the operation of the surveillance system and its equipment.

(18) The Retail licensee shall, in its surveillance department, maintain a copy of its surveillance system plan, which shall be kept current, documenting any changes to the surveillance system, placement of equipment, or the description of procedures utilized in its operation. Surveillance system plans or a copy thereof shall be made immediately available to any agent of the commission upon request. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.210 Required Surveillance Equipment and Coverage {#sec-11-csr-45-20.210 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.210}

PURPOSE: This rule establishes required surveillance equipment and coverage and requires commission approval.

(1) A Retail licensee shall install and maintain at the retail location a closed-circuit surveillance system in accordance with the specifications in this rule and shall provide access to the system to the commission. The closed-circuit surveillance system shall be comprised of or include the following:

(A) Individual solid-state, color cameras with minimum four hundred seventy plus (470+) line resolution with matrix or pan, tilt, and zoom capabilities, or a combination of them, secreted from public and non-surveillance personnel view which is augmented with appropriate color-corrected lighting to effectively and clandestinely monitor in detail, from various vantage points, all required views;

(B) Closed-circuit cameras equipped with lenses of sufficient magnification to allow the operator to clearly distinguish the value of cash used in any transaction;

(C) Video monitors that meet or exceed the resolution requirement for video cameras with solid state circuitry and time and date insertion capabilities for recording what is being viewed by any camera in the system. Each video monitor screen shall measure diagonally at least twelve (12) inches;

(D) Video printers capable of adjustment and possessing the capability to generate instantaneously, upon command, a clear, color copy of the image depicted on the recording;

(E) Global date and time generators based on a synchronized, master clock and the date and time shall be visible on any monitor and when recorded;

(F) Wiring to prevent tampering. The system and its equipment shall be directly and securely wired in a way to prevent tampering with the system. The system shall be supplemented with a back-up generator as a power source that is automatically engaged in case of a power outage. The back-up generator shall be capable of returning to full power within seven (7) to ten (10) seconds and maintaining power until regular power is restored;

(G) An additional uninterrupted power supply system capable of sustaining the full surveillance system at full operating capacity until the backup generator achieves full power so that time and date generators remain active and accurate, and switching gear memory and video surveillance is continuous;

(H) Video switchers capable of both manual and automatic sequential switching for the entire surveillance system;

(I) Video recorders capable of producing high-quality, firstgeneration pictures with a minimum horizontal resolution of three hundred plus (300+) lines. Digital video recording (DVR) systems are required to be utilized which are capable of storage and playback of images at thirty (30) images per second for each camera at four (4) Common Intermediate Format (CIF) resolution, ensuring the video compression technology used shall not cause any degradation of the images recorded. All DVR equipment and systems shall have— 1. A failure notification system that provides an audible, as well as a visual, notification of any failure in the surveillance system or the DVR media storage system;

2. A media storage system failover configured with full redundancy so that a failure of any single component will not result in the loss of any data;

3. Simultaneous playback and live viewing while recording live images; and 4. On any storage media produced from the system, the time and date it was recorded superimposed thereon, the media player software necessary to view the images, and a video verification encryption code (watermark); and (J) Audio capability in the count room.

(2) All digital recording systems shall be on a secure network independent and separated from any sports wagering systems or related information technology.

(3) The following dedicated camera views are required:

(A) All ticket writer station countertops and drawers where sports wagering transactions occur;

(B) All ticket writer station point of sale devices;

(C) All ticket writer stations, including the capturing of the patron’s facial image when conducting transactions at the counter;

(D) All kiosks and the area immediately surrounding any wagering kiosk or redemption kiosk;

(E) All areas of the vault and count room(s), including walls, doors, drop boxes, safes, and counting surfaces, and all entrances and exits thereto;

(F) The surveillance room and all entrances and exits thereto;

(G) Any nonpublic areas containing sports wagering equipment and all entrances and exits thereto;

(H) Areas where the movement of cash or cash equivalents may occur between the sportsbook cage and any wagering kiosk, redemption kiosk, vault, count room, or other location;

(I) All areas within the sportsbook cage and all entrances and exits thereto;

(J) Overall views of the sportsbook, including all entrances and exits thereto;

(K) All areas where the movement of drop devices or kiosk cassettes occurs; and (L) Other areas as designated by the commission.

(4) The surveillance coverage shall be of sufficient clarity to allow the surveillance operator to clearly distinguish— (A) The denomination of cash, the value of cash equivalents, tickets, vouchers, or coupons, and the identification of paperwork on countertops at ticket writer stations;

(B) The amount of any transaction on the point of sale monitor;

(C) Currency input, output, and reject areas of currency counters and currency sorters in the count room and the sportsbook cage and vault; and (D) Identification of individuals at entrances and exits that require surveillance coverage.

(5) Licensees shall ensure there is constant, adequate lighting in all areas where camera coverage is required. The lighting shall be of sufficient intensity to produce clear recording and still picture production and correct color correction. The video shall demonstrate a clear picture in existing light under normal operating conditions.

(6) The commission shall approve all required camera coverage.

The licensee shall not change the approved, required camera coverage without approval of the commission. The licensee shall not change the location of kiosks or ticket writer windows without commission approval. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.220 Information Technology {#sec-11-csr-45-20.220 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.220}

PURPOSE: This rule establishes requirements for information technology for Retail and Mobile licensees.

(1) Retail licensees and Mobile licensees shall have an information technology department that is responsible for the quality, reliability, and accuracy of all computer systems used in the sports wagering operation. Information technology functions shall only be outsourced to SW Supplier licensees.

(2) Each individual who has write access to the sports wagering system shall possess a commission-issued SW Occupational license, unless otherwise approved in writing by the commission.

(3) Retail licensees and Mobile licensees shall ensure that duties in the information technology department are adequately segregated and monitored to detect procedural errors, unauthorized access to financial transactions and assets, and to prevent the concealment of fraud.

(4) The information technology environment and infrastructure shall be maintained in a secured physical location, which may include but is not limited to a comprehensive cloud computing platform or data center, that is restricted to authorized employees.

(5) Retail licensees and Mobile licensees shall adopt procedures in the internal controls for responding to, monitoring, investigating, resolving, documenting, and reporting security incidents associated with information technology systems.

(6) System enforced security parameters for passwords shall be documented in the Retail licensee’s or Mobile licensee’s internal control system and meet industry standards.

(7) Each user account in the sports wagering system shall be assigned to an individual and shall not be made available or used by any other individual. The individual assigned to the user account will be held responsible for all activities performed under that individual’s user account.

(8) A system administrator shall establish all user accounts.

Each account shall only provide access consistent with the employee’s current job responsibilities as delineated in the employee’s job description. The access shall maintain proper segregation of duties and restrict unauthorized users from viewing, changing, or deleting critical files and directories.

(9) Anytime an employee transfers to a new position, the employee’s account(s) shall be reviewed and adjusted within seventy-two (72) hours of the change in position to align with the requirements of the new position. Any access no longer required for the new position shall be removed prior to granting new access privileges.

(10) Retail licensees and Mobile licensees shall generate on request user access listings, which shall include at a minimum— (A) Employee name;

(B) Title, position, or job group;

(C) User login name;

(D) Full list and description of application functions that each group/user account may execute;

(E) Date and time account created;

(F) Date and time of last login;

(G) Date of last password change;

(H) Date and time account disabled/deactivated; and (I) Group membership of user account, if applicable.

(11) When multiple user accounts for one (1) employee per application are used, only one (1) user account shall be active (enabled) at a time, if the concurrent use of the multiple accounts by the employee could create a segregation of duties deficiency. Additionally, the user account shall have a unique prefix/suffix to easily identify the users with multiple user accounts within one (1) application.

(12) The information technology department shall be notified upon termination of any employee who has access to the sports wagering system. The terminated employee’s user account(s) shall be disabled or deactivated within seventy-two (72) hours of termination or suspension subject to termination or, if the user account has remote access, the account shall be disabled by the end of the next calendar day.

(13) Except when a Retail licensee or Mobile licensee implements multi-factor authentication controls, user accounts shall be automatically locked out after at most five (5) failed login attempts. The system may release a locked-out account after thirty (30) minutes have elapsed.

(14) All user and system accounts shall be logged out or the screen shall be locked after fifteen (15) minutes of inactivity.

(15) Employees shall only access the sports wagering system using their own username and password, which shall not be shared with or used by any other person.

(16) All passwords shall be encrypted during electronic transmission and storage in the sports wagering system.

(17) Generic user accounts shall be read-only. Generic user accounts are accounts that are shared by multiple users and are not assigned to an individual. Service accounts, on which automated system functions are executed, are not considered generic accounts for the purpose of this rule.

(18) Retail licensees and Mobile licensees shall maintain a backup of all data related to sports wagering. The commission may approve the use of cloud storage located in the United States for duplicated data upon written request by the licensee.

(19) Information technology employees shall test the recovery procedures of the sports wagering system on a sample basis at least once every six (6) months. The results shall be documented and available to the commission upon request. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.230 SW Supplier Standards {#sec-11-csr-45-20.230 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.230}

PURPOSE: This rule establishes the standards for SW Supplier licensees.

(1) An SW Supplier licensee who does not manufacture the sports wagering equipment, systems, or supplies that it sells must notify the commission of the specific components being sold by the SW Supplier that it does not manufacture, and must purchase said items from a licensed SW Supplier as directed by the commission if regulatory oversight is necessary for the integrity of sports wagering.

(2) An SW Supplier licensee shall maintain a log of all complaints received relating to sports wagering products and services provided and shall provide the log and supporting documentation to the commission upon request.

(3) Licensed independent testing laboratories (ITLs) shall not participate in the development of any products they are testing and certifying to maintain their independence. Other than to perform an evaluation for regulatory compliance, ITLs shall not participate, consult, or otherwise be involved in the design, development, programming, or manufacturing of any sports wagering equipment, sports wagering system, or any component thereof or modification thereto.

(4) No ITL or its owners, officers, directors, managers, consultants, employees, or any other position deemed by the commission shall own any interest in any Retail, Mobile, Official League Data Provider, or SW Supplier licensee other than the ITL for whom the person is an officer, director, manager, consultant, or employee.

(5) No Retail, Mobile, Official League Data Provider, SW Supplier, or SW Occupational licensee or key person of such licensee shall own any interest in or be employed by an ITL performing services relating to the conduct or regulation of sports wagering in Missouri unless such person is an SW Occupational licensee or a key person of the ITL.

(6) The ITL shall not subcontract any testing or certification of sports wagering equipment or systems performed for or on behalf of the commission.

(7) The ITL shall maintain an electronic repository of all software for sports wagering equipment or systems submitted for testing for the state of Missouri. Such electronic repository shall utilize tools which support, at a minimum, hash-based message authentication code Secure Hash Algorithm 1 (HMAC- SHA1) and SHA1 hashing. The repository of critical components shall be secure and have restricted access. The primary electronic repository shall reside at the ITL’s place of business and shall be equipped with environmental controls to protect hardware and software.

(8) Upon the ITL’s certification of sports wagering equipment or systems, a unique identification code or signature acceptable to and approved by the commission shall be assigned to each critical component as defined in 11 CSR 45-20 using a tool, device, mechanism, or other methodology which possesses the ability to export results. The assigned identification code or signature and the means for generating such code or signature shall be included on all certification letters, documents, reports, and databases as determined by the commission.

(A) The ITL shall provide the commission with step-by-step verification procedures for each tool, device, mechanism, or other methodology used to assign the unique identification codes or signatures.

(B) The ITL shall provide to the commission, at no charge, any verification tool, device, or mechanism that is required for commission agents to verify the code or signature of any certified critical component for the state of Missouri.

(C) The ITL shall support the verification tools, devices, or mechanisms and replace, repair, update, or upgrade them as deemed necessary by the commission to ensure the integrity of sports wagering.

(9) The ITL shall develop and maintain a database of all sports wagering equipment or systems certified by the ITL for the state of Missouri.

(A) The ITL shall maintain a quality assurance mechanism to ensure uniform data and data entry processes.

(B) The database and report(s) must be current as of the end of the previous business day and accessible by the commission.

(10) The ITL shall provide, free of charge to the commission, technical and regulatory compliance support. In instances where the ITL providing the support is also conducting the testing, the time allocated for support shall be considered part of the testing process and the ITL may bill the licensee for the cost of the technical support. In instances where the ITL providing the support is not conducting the testing, the commission may require the licensee to reimburse the ITL at the rate the ITL charges licensees for such support.

(11) The ITL shall draft and maintain test scripts to address Missouri statutes, regulations, and technical standards for testing a specific sports wagering device or system. In addition, the ITL shall create specific testing procedures (test cases) that shall be used to assess compliance with the applicable test scripts.

All sports wagering equipment and systems shall be tested in accordance with said test scripts and test cases. Each test script shall have a unique version number and be submitted to the commission. The ITL shall list the specific test script(s) and version(s) used during compliance testing on any issued certification letters. The ITL shall modify the test scripts and test cases to adapt to new technology, rule changes, or as directed by the commission. Anytime a Missouri test script is revised, a copy with the effective date shall be forwarded to the commission within seven (7) calendar days.

(12) The ITL shall report to the commission, within forty-eight (48) hours, any known ITL testing deficiency or failure to properly perform testing against any Missouri standard that has been identified for any sports wagering equipment or system that is currently certified for the state of Missouri. The ITL shall perform an investigation and report the findings to the commission within seven (7) calendar days of the ITL being apprised of the deficiency.

(13) The ITL shall conduct forensic evaluations or analyses on sports wagering equipment and systems as directed by the commission if there is concern with the integrity of the equipment or system. A final forensic report shall be drafted and provided to the commission outlining all testing performed, the cause of the problem, and the outcome of the investigation, if specifically identified.

(14) The ITL shall maintain copies of the results of any International Organization for Standardization/International Electrotechnical Commission (ISO/IEC) 17020/17025 or similar standard audits or reviews and shall forward a copy of the results to the commission within fifteen (15) calendar days of when they become available to the ITL. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.240 Testing, Certification, and Approval of Sports Wagering Equipment and Systems {#sec-11-csr-45-20.240 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.240}

PURPOSE: This rule establishes standards for testing, certification, and approval of sports wagering equipment and systems for use in Missouri.

(1) All sports wagering equipment and systems must be tested and certified by a licensed independent testing laboratory (ITL) prior to sale or distribution by an SW Supplier licensee.

(2) ITLs shall test and certify all sports wagering equipment and systems for compliance with Missouri laws, regulations, and adopted technical standards for use in Missouri.

(3) All sports wagering equipment and systems testing shall be documented in a report issued by the ITL and provided to the commission which includes— (A) The extent to which the sports wagering equipment and systems meet the adopted technical standards;

(B) Whether the sports wagering equipment and systems meet the requirements of all applicable laws and regulations;

(C) The test script and version utilized during testing;

(D) The unique identification code or signature, acceptable to and approved by the commission, assigned to each critical component; and (E) Any additional information necessary to ensure the integrity of the equipment and systems for approval.

(4) A Retail, Mobile, SW Supplier, or Official League Data Provider applicant or licensee shall be responsible for any expenses, including any third-party expenses, associated with the testing, certification, installation, training, review, and approval of sports wagering equipment and systems.

(5) The commission shall review the written test reports issued by the ITL and may evaluate all sports wagering equipment and systems for proper mechanical and electronic functioning.

(6) After the review of the sports wagering equipment and systems, the commission may approve the sports wagering equipment or systems for use in Missouri or may deny the sports wagering equipment or systems that do not meet the standards of this rule.

(7) Sports wagering equipment and systems shall be approved by the commission prior to use by a Retail or Mobile licensee.

(8) The sports wagering system shall be tested and recertified by a licensed ITL at least once every twelve (12) months.

Additional testing may be required if a substantial system change occurs, pursuant to 11 CSR 45-20.310.

(9) The commission may suspend or revoke the approval of any sports wagering equipment and system without notice if the commission has good cause to believe the continued operation of the sports wagering equipment and system poses a threat to the security and integrity of the Missouri sports wagering (10) The commission may issue temporary approval of any sports wagering equipment or system that has been previously tested and approved for operation in another jurisdiction similar to Missouri.

(11) In determining whether to issue temporary approval, the commission may consider any relevant factor, including but not limited to— (A) Sports wagering equipment and system standards and testing in the other jurisdiction(s);

(B) Date of the most recent testing;

(C) Professional reputation and history of the supplier;

(D) The best interests and needs of the Missouri sports wagering industry; and (E) Whether issuing temporary approval would pose a threat to the health, safety, good order, and general welfare of the people of the state of Missouri, the confidence and trust in the Missouri sports wagering industry, or to the integrity and security of the Missouri sports wagering industry.

(12) The commission may rescind temporary approval at any time for any just cause.

(13) Temporary approval shall expire after ninety (90) days.

The commission may renew any temporary approval for good cause shown. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.250 Sports Wagering Equipment Requirements {#sec-11-csr-45-20.250 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.250}

PURPOSE: This rule establishes standards for sports wagering equipment.

(1) Sports wagering equipment software shall contain sufficient information to identify the software and version number of the information stored on the sports wagering equipment. Sports wagering equipment software critical components shall be capable of verification.

(2) Sports wagering equipment able to accept or redeem wagers shall have the ability to authenticate that all critical components being used are valid upon installation of the software, each time the software is loaded for use, and upon manual request.

(3) In the event of a failed authentication or other error which impacts the integrity of the sports wagering system, the sports wagering equipment shall cease accepting or redeeming wagers and display an appropriate error message.

(4) Each kiosk shall— (A) Have an identification plate affixed to the exterior of the device by the licensed supplier. The plate shall not be removable without evidence of tampering. The plate shall include the following information:

1. The name of the SW Supplier;

2. A unique serial number; and 3. Model number;

(B) Comply with the following hardware requirements:

1. Any circuit board, including modifications, switches, or jumpers, shall be documented prior to approval by the 2. Any reconfiguration of a circuit board, switch, or jumper shall constitute a different version of the sports wagering equipment;

2. Power and data cables shall be routed so that they are not accessible to the general public;

3. Wired communication ports shall be clearly labeled and must be securely housed within the device to prevent unauthorized access to ports or cable connectors;

4. Devices shall not be adversely affected by surges or dips of twenty percent (20%) or less of supply voltage;

5. Device power supplies shall be appropriately protected by fuses or circuit breakers; and 7. Devices shall resist liquid spills;

(C) Comply with the following security requirements:

1. External doors shall be manufactured of materials that are suitable for allowing only legitimate access to the inside of the kiosk, and capable of withstanding determined and unauthorized efforts to gain access to the interior of the device;

2. The seal of the door of any locked area of a kiosk shall be designed to resist the entry of objects;

3. Doors that provide access to secure areas of a kiosk shall be monitored by a door access detection system audible in the surveillance room; and 4. Cease wagering operations when any secured area door is open;

(D) Comply with the following memory requirements:

1. Nonvolatile memory, stored either at the kiosk or on the sports wagering system, shall be used to store all data elements that are considered vital to the continued operation of the kiosk, including device configuration and state of operations;

2. Nonvolatile memory shall not retain sensitive information outside of kiosk operations;

3. All devices shall have backup or archive capability for the recovery of nonvolatile memory should a failure occur;

4. Nonvolatile memory storage shall be maintained by a method that enables errors to be identified. Acceptable methods include but are not limited to signatures, check sums, redundant copies, database error checks, or other methods;

5. Comprehensive checks of critical nonvolatile memory data elements shall be made on startup; and 6. An unrecoverable corruption of critical nonvolatile memory shall result in an error. Upon detection, the device software shall cease to function. Additionally, the critical nonvolatile memory error shall cause any communication external to the device to cease; and (E) Comply with the following software error requirements:

6. After a program interruption, a kiosk shall recover to the state it was in immediately prior to the interruption, but shall not allow any further action by a patron without intervention by an attendant unless the kiosk is able to recover and complete any interrupted operation without loss or corruption of any locally stored nonvolatile memory or installed software;

7. Any communication to an external device shall not begin until the program resumption routine, including any self-test, is completed successfully; and 3. Any program interruption or recovery shall be electronically logged by either the affected kiosk or the sports wagering system.

(5) Tickets generated by a kiosk or point of sale device shall include all of the following information:

(A) Licensee’s name, retail location’s name, city, and state;

(B) A unique wager identifier;

(C) A barcode or similar machine-readable marking corresponding to a unique wager identifier;

(D) Identification of the kiosk or point of sale device that dispensed the ticket;

(E) If generated by a point of sale device, identification of the ticket writer;

(F) Identification of the event and wager;

(G) Amount of the wager;

(H) Odds and payout upon winning;

(I) Date and time of the generation of the ticket; and (J) Expiration date of the ticket.

(6) The process for ticket redemption shall comply with the following requirements:

(A) Winning tickets shall be redeemed by a ticket writer through a point of sale device or by an SW redemption kiosk after verifying the validity of the ticket;

(B) The point of sale device or kiosk shall electronically document the redemption of the wager and record the following information:

1. Date and time of redemption; and 2. Serial number of the device or kiosk; and (C) If a ticket is unreadable or otherwise cannot be validated by an SW redemption kiosk, the kiosk shall return the ticket to the patron.

(7) Kiosks shall comply with the following error detection requirements:

(A) A kiosk shall be capable of recognizing limitations or errors that render the kiosk not capable of operation, including but not limited to— 1. Printer failure or jam;

2. Bill dispenser or acceptor jams;

3. Insufficient funds; or 4. Communications failure. The SW redemption kiosk shall electronically record the error and issue an error receipt;

(B) A kiosk that detects any error shall be automatically rendered inoperable until intervention by an attendant;

(C) If any error occurs during the processing of a transaction of any kind, the kiosk shall electronically record the error and issue an error receipt. The electronic record and error receipt shall include, at a minimum— 1. Date and time of the attempted redemption;

2. Serial number of the SW redemption kiosk;

3. The nature of the error; and 4. In the case of a redemption error, the amount of the redemption and amount of any currency dispensed; and (D) A Retail licensee shall retain a record of all logged errors for no less than one (1) year and provide the log to the commission upon request. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.260 Shipping, Maintenance, and Disposal of Sports Wagering Equipment {#sec-11-csr-45-20.260 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.260}

PURPOSE: This rule establishes standards for the shipping, maintenance, and disposal of sports wagering equipment.

(1) An SW Supplier licensee shall only be permitted to sell, distribute, transfer, or supply approved sports wagering equipment to any person in the state of Missouri who is a Retail, Mobile, or SW Supplier licensee.

(2) Retail licensees and Mobile licensees shall only be permitted to sell, distribute, transfer, or supply kiosks to any person in the state of Missouri who is a Retail, Mobile, or SW Supplier (3) Licensees shipping kiosks as defined in 11 CSR 45-20.010 into, out of, or within Missouri, shall file a notice with the commission at least five (5) calendar days prior to such shipment. The notice shall include the following information, if applicable:

(A) Shipper’s name;

(B) Shipper’s address;

(C) Shipper’s license number;

(D) Submission date;

(E) Shipping date;

(F) Shipper’s contact information;

(G) Recipient’s name;

(H) Recipient’s license number;

(I) Item type and description (i.e., cabinet/hardware, part number, model number, serial number, manufacturer);

(J) Invoice/sales order number;

(K) Destination name;

(L) Destination address;

(M) Destination contact information;

(N) Quantity of each item; and (O) Estimated arrival date.

(4) Sports wagering equipment shall only be serviced or maintained by commission-licensed employees of a Retail, Mobile, or SW Supplier licensee.

(5) Retail licensees and Mobile licensees shall only dispose of sports wagering equipment in a manner as prescribed in its approved internal control system, ensuring no critical or confidential data is retrievable after disposal. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.270 Online Sports Wagering Platform Requirements {#sec-11-csr-45-20.270 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.270}

PURPOSE: This rule establishes standards for online sports wagering platforms.

(1) A Mobile licensee conducting sports wagering over the internet shall use a single online sports wagering platform, all the integral components of which have been tested, certified, and approved, pursuant to 11 CSR 45-20.240.

(2) An online sports wagering platform shall employ a mechanism to detect the physical location of a patron prior to placement of the first wager after logging in and prior to placement of any wager at least every thirty (30) minutes thereafter to ensure wagers are only accepted from patrons physically in the state of Missouri.

(3) An online sports wagering platform must have methods to detect and prevent efforts to defeat or circumvent the location detection mechanisms.

(4) An online sports wagering platform shall not permit a patron to place a wager if it detects attempts to defeat or circumvent the location detection mechanisms.

(5) Online sports wagering platforms shall prominently display information regarding compulsive gaming. The online sports wagering platform shall display a hyperlink to responsible gaming information.

(6) Each Mobile licensee shall maintain modern best practices to ensure the security and integrity of the online sports wagering platform, including but not limited to— (A) Network security;

(B) Patron identity authentication;

(C) Location detection;

(D) Error detection; and (E) Data security.

(7) If a Mobile licensee becomes aware of a reproducible error in the online sports wagering platform that relates to network security, data security, location detection, or otherwise calls into question the security and integrity of the online sports wagering platform, the licensee shall notify the commission immediately. The notification shall include— (A) A description of the error;

(B) Risks created or imposed by the error; and (C) Efforts being taken by the Mobile licensee to prevent any impact to the security and integrity of the online sports wagering platform or sports wagering system. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.280 Client Requirements {#sec-11-csr-45-20.280 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.280}

PURPOSE: This rule establishes client requirements.

(1) Prior to login by a patron, client software shall prominently display a statement regarding how a patron can obtain assistance with a gambling problem.

(2) The client shall require multi-factor authentication when a patron logs in to his or her online sports wagering account through a specific device for the first time and every thirty (30) days thereafter.

(3) Client software shall give a patron prominent and convenient access to a support page, screen, menu, or equivalent, which at a minimum contains access to the following:

(A) Name and contact information of the Mobile licensee, including at a minimum a phone number and email address;

(B) Complete explanation of all house rules;

(C) Responsible gaming limit functionality;

(D) Means by which a patron can submit a complaint to the (E) Contact information for the commission, including at a minimum a link to the commission’s website;

(F) Terms and conditions; and (G) Instructions and means to close an online sports wagering account.

(4) When terms and conditions change, the client shall require a patron to acknowledge acceptance of the change. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.290 Sports Wagering System Requirements {#sec-11-csr-45-20.290 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.290}

PURPOSE: This rule establishes standards for sports wagering systems.

(1) Each Retail or Mobile licensee shall operate a single sports wagering system through which all sports wagering activity is conducted and recorded.

(2) Each Retail or Mobile licensee shall provide the commission remote, read-only, real-time access to the sports wagering system. That access shall include, at a minimum— (A) Complete access to all records of wagers, including canceled, voided, pending, and redeemed wagers;

(B) Ability to query or sort wagering data; and (C) Ability to export wagering data in a non-proprietary format.

(3) Sports wagering systems that offer in-game wagers shall be capable of the following:

(A) The accurate and timely update of odds for in-game wagers;

(B) The ability to notify the patron of any change in odds after the placement of a wager is attempted;

(C) The ability for the patron to confirm the wager after notification of the change in odds; and (D) The ability to freeze or suspend the offering of wagers, when necessary.

(4) The commission may develop and implement a central sports wagering monitoring system for the purpose of compiling all sports wagering activity data from all Retail and Mobile licensees. In such event, each Retail or Mobile licensee shall provide all sports wagering activity data in a format compatible with the central sports wagering monitoring system.

(5) All servers used to receive transmissions of requests to place wagers and that transmit confirmation of acceptance of wagers on events placed by patrons shall be physically located in the state of Missouri. Licensees shall provide the commission with the physical location of such servers. Backup servers may be located outside of Missouri, but within the United States.

Any data center where a sports wagering system server is housed must be secure and have access controls in place to prevent unauthorized access to the sports wagering system server or other equipment.

(6) Each Retail or Mobile licensee shall maintain modern best practices to ensure the security and integrity of the sports wagering system, including but not limited to— (A) Physical security;

(B) Access control;

(C) Network security;

(D) Resistance to manipulation;

(E) Redundancy;

(F) Error detection;

(G) Data backup and recovery; and (H) Encryption.

(7) A sports wagering system shall maintain records of all wagers for a period of not less than five (5) years.

(8) A sports wagering system shall record at a minimum the following information for each wager:

(A) Description of event or contest;

(B) Unique identifier for the event or contest;

(C) Wager selection;

(D) Type of wager;

(E) Amount of wager;

(F) Odds and amount of potential payout;

(G) Date and time of wager;

(H) Unique identifier for the wager;

(I) Unique identifier of the online sports wagering account or patron, if applicable;

(J) Internet protocol address and geolocation information, if the wager is not placed at a retail location;

(K) Unique identifier of the kiosk or point of sale device through which the wager was placed, if applicable;

(L) The identity of the ticket writer accepting the wager, if applicable;

(M) Expiration date of the sports wagering ticket;

(N) Date, time, amount, and description of settlement;

(O) Unique identifier of the kiosk or point of sale device through which the wager was redeemed, if applicable;

(P) Identity of the ticket writer settling the wager, if applicable;

(Q) Whether a wager was cancelled and the reason; and (R) Whether a wager was voided and the reason.

(9) The sports wagering system shall be capable of generating reports necessary to record gross sports wagering revenue, wagering liability, ticket and voucher redemption, and such other information relating to sports wagering as deemed necessary by the commission. Such reports shall distinguish by type and status where applicable.

(10) A sports wagering system shall perform, at least once every twenty-four (24) hours, a self-authentication process on all software used to offer, record, and process wagers to ensure there have been no unauthorized modifications. In the event of an authentication failure, the Retail or Mobile licensee shall immediately notify the commission. The results of all selfauthentication attempts shall be recorded by the system and maintained for a period of not less than one (1) year.

(11) Each Retail or Mobile licensee shall have internal controls in place to review the accuracy and timeliness of any data feeds used to offer or settle wagers. In the event that an incident or error occurs that results in a loss of communication with data feeds used to offer or redeem wagers, that error shall be recorded in a log capturing the date and time of the error, the nature of the error and a description of its impact on the system’s performance. That information shall be maintained for a period of not less than one hundred eighty (180) days.

(12) If a Retail or Mobile licensee becomes aware of a reproducible error in the sports wagering system that relates to network security, data security, accurate placement of wagers, recording of wagers, or redemption of wagers, or otherwise calls into question the security and integrity of the sports wagering system, the licensee shall notify the commission immediately.

The notification shall include— (A) A description of the error;

(B) Risks created or imposed by the error; and (C) Efforts being taken by the Retail or Mobile licensee to prevent any impact to the security and integrity of the sports wagering system.

(13) If an active sports wagering system ever fails, crashes, or becomes inoperable for any reason, the Retail or Mobile licensee shall notify the commission no later than the end of the following calendar day. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.300 Integrity and Security Assessment {#sec-11-csr-45-20.300 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.300}

PURPOSE: This rule establishes standards for integrity and security assessments.

(1) Each Retail and Mobile licensee shall ensure a system integrity and security assessment of sports wagering systems and online sports wagering platforms is conducted by an independent security assessment professional within ninety (90) days of commencing operations, and annually thereafter.

(2) The scope of the assessment shall include, at a minimum, (A) A vulnerability assessment of the online sports wagering platform, sports wagering system, internal, external, and wireless networks with the intent of identifying vulnerabilities of all devices, platforms, and applications connected to or present on the networks;

(B) A penetration test of all online sports wagering platforms, sports wagering systems, internal, external, and wireless networks to confirm if identified vulnerabilities of all devices, platforms, and applications are susceptible to compromise;

(C) A policy and procedures review against the current International Organization for Standardization (ISO) 27001 standard or another similar standard approved by the commission;

(D) A review of the firewall rules to verify the operating condition of the firewall and the effectiveness of its security configuration; and (E) Any other specific criteria or standards for the integrity and security assessment that align with industry best practices as requested by the commission to ensure the integrity of the sports wagering operation.

(3) The independent security assessment professional’s report on the assessment shall be submitted to the commission and shall include— (A) Assessment procedures and scope of the review;

(B) Name and company affiliation of the individual(s) who conducted the assessment;

(C) Date of assessment;

(D) Findings;

(E) Recommended corrective action, if applicable; and (F) The licensee’s response to the findings and recommended corrective action.

(4) The independent security assessment professional’s report on the assessment shall be submitted to the commission within sixty (60) days after the conclusion of the integrity and security assessment. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.310 Software Change Management {#sec-11-csr-45-20.310 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.310}

PURPOSE: This rule establishes standards for software change management.

(1) As used in this rule, the following terms shall have the following meaning:

(A) A core function is any function related to the placement, recording, and resolution of wagers, or any other function or feature that affects the security, integrity, availability, or recordkeeping of the sports wagering system in Missouri;

(B) A substantial change is any change that directly affects the functionality of a core function;

(C) A non-core function is any other function of a sports wagering system that is not identified as a core function.

(2) After testing, certification, approval, and installation of a sports wagering system, any further changes to the software of the system must be in compliance with this rule.

(3) Any new core function shall be tested and certified by a licensed independent testing laboratory (ITL) and approved by the commission in accordance with this chapter prior to installation on a live sports wagering system.

(4) A Retail or Mobile licensee shall notify the commission prior to the installation of any substantial change to a core function on a live sports wagering system. The notification shall include a clear identification of the core function that is affected, an explanation of the reason for the change, and an identification of any critical files affected. The commission may order that the substantial change be tested, certified, and approved in accordance with this chapter prior to installation on a live sports wagering system. If the commission does not order testing and certification within three (3) business days after the notification, the Retail or Mobile licensee may install the substantial change on the sports wagering system.

(5) When an unanticipated incident occurs that causes a disruption in the collection, accuracy, integrity, or availability of the sports wagering system, the Retail or Mobile licensee shall notify the commission in writing by the end of the following calendar day. When such an incident is reported, the Retail or Mobile licensee may implement substantial changes to core functions of the sports wagering system without prior notification to the commission.

(6) Emergency changes shall be documented in the change log and the Retail or Mobile licensee shall notify the commission in writing within twenty-four (24) hours upon implementation of any emergency changes. The notification to the commission shall include the information documented on the change log.

Upon review of the change, the commission may order the change be tested, certified, and approved.

(7) The change log shall— (A) Include all changes to the sports wagering system;

(B) Include the date of change, summary of change, implementer, and results of the change; and (C) Be made available to the commission upon request.

(8) Each Retail and Mobile licensee shall include in its internal control system information detailing the software change management process for the sports wagering system, online sports wagering platform, client software, and any other software that is a component of those systems. The internal control system must, at a minimum, address the following:

(A) A description of the process, including— 1. Roles in change management process, including segregation of duties;

2. Testing in a non-production environment;

3. Handling requests for change;

4. Installation of changes into the production environment;

5. Change classification procedure; and 6. Procedures for rollback of changes;

(B) Writing release notes;

(C) Commission notification process; and (D) Creating entries on the change log. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.320 Online Sports Wagering Accounts {#sec-11-csr-45-20.320 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.320}

PURPOSE: This rule establishes requirements for online sports wagering accounts.

(1) Online wagering shall only be conducted by a patron through his or her online sports wagering account that he or she has established with a Mobile licensee over the internet or through an online sports wagering platform.

(2) A Mobile licensee shall implement methods or systems in the online sports wagering platform to detect unauthorized access to online sports wagering accounts, fraud, theft, suspicious wagering activity, or other prohibited activity. Those methods shall be documented in the internal control system.

(3) In order to establish an online sports wagering account, a Mobile licensee shall— (A) Create an electronic patron file, which shall include at a minimum— 1. Patron's legal name;

2. Patron's date of birth;

3. Last four digits of the patron’s Social Security number or equivalent for a foreign patron such as a passport or taxpayer identification number;

4. Account number;

5. Patron’s residential address (a post office box is not acceptable);

6. Patron’s electronic mail address;

7. Patron’s telephone number;

8. Any other information collected from the patron used to verify his or her identity;

9. Date and method of identity verification, including the document number of the state or federal government-issued identification credential examined and its date of expiration and the electronic record documenting the process used to confirm the patron’s identity; and 10. Patron’s disclosure whether or not he or she is an athlete, competitor, referee, official, coach, manager, medical professional or athletic trainer, or employee or contractor of a professional or collegiate team or athletic organization;

(B) Encrypt all of the following information contained in an electronic patron file:

1. Patron’s Social Security number or equivalent for a foreign patron such as a passport or taxpayer identification number;

2. Patron’s previous and current passwords, answers to security questions, PINs, or similar; and 3. Patron’s debit or credit card numbers, bank account numbers, or other personal financial information;

(C) Verify the patron’s identity using a methodology as described in the licensee’s internal control system. The methodology shall include remote multi-sourced authentication, which may include third-party or governmental databases, and examining the patron’s valid, non-expired state or federal government-issued photo identification credential;

(D) Require the patron to establish a password or other access security feature to control access to the account. A Mobile licensee shall also utilize multi-factor authentication for each new device. After a successful login with multi-factor authentication for a specific device, a patron is not required to utilize multi-factor authentication to access his or her online sports wagering account from that device for a period of thirty (30) days. A patron shall have the ability to always require multi-factor authentication;

(E) Verify the patron is at least twenty-one (21) years of age, not on the List of Self-Excluded Persons or the Missouri Gaming Commission (MGC) Excluded Persons List, or otherwise prohibited from wagering with the licensee;

(F) Record the patron’s acceptance of any terms and conditions, which shall at minimum include the patron's acknowledgment of Article III, Section 39(g), of the Missouri Constitution and this rule;

(G) Record the patron’s certification that the information provided to the licensee by the patron is accurate;

(H) Record the patron’s acknowledgement that the legal age for sports wagering is twenty-one (21) years and that he or she is prohibited from allowing any other person to access or use his or her online sports wagering account; and (I) Notify the patron of the establishment of the account via electronic or regular mail.

(4) The Mobile licensee shall use commercially reasonable means to ensure that each patron has only one (1) online sports wagering account with that Mobile licensee. An online sports wagering account shall be— (A) Non-transferable;

(B) Unique to the patron who established the account; and (C) Distinct from any other account number that the patron may have established with the licensee.

(5) The Mobile licensee shall assign a unique identifier to each online sports wagering account.

(6) An online sports wagering account may only be funded through the following methods as approved in the licensee’s internal control system:

(A) A patron’s credit or debit card;

(B) A gift card;

(C) Reloadable prepaid card if it has been verified by the Mobile licensee as being issued to the patron and non-transferable;

(D) Automated Clearing House (ACH) transfer;

(E) Online and mobile payments through a money transmitter licensed under the Money Transmission Modernization Act (MTMA), sections 361.900 to 361.1035, RSMo;

(F) Wire transfer;

(G) Free or promotional credits; or (H) Adjustments or refunds pursuant to this chapter.

(7) Proceeds of a winning wager shall be deposited and reflected in the balance of the online sports wagering account no later than twenty-four (24) hours after the official results of the event or series of events are determined.

(8) Funds may be withdrawn or removed from an online sports wagering account for the following:

(A) The placement of wagers;

(B) Credits to the patron’s credit or debit card;

(C) Cash transfer to a patron’s reloadable prepaid card, which has been verified by the licensee as being issued to the patron and is non-transferable;

(D) Cash transfer to an account with a bank or other financial institution on which the patron is named;

(E) Online and mobile withdrawals through a money transmitter licensed under the Money Transmission Modernization Act (MTMA), sections 361.900 to 361.1035, RSMo;

(F) Adjustments made pursuant to this chapter; or (G) Any other means in the approved internal control system.

(9) Upon any deposit, withdrawal, or adjustment, the licensee shall send a confirmation email to the patron’s registered address and shall provide a means through which a patron may contest any transaction.

(10) Adjustments shall only be made by individuals in job positions as specified in the internal control system. Adjustments shall only be made— (A) To correct an overpayment or underpayment to an online sports wagering account due to error, regardless of whether the error was human or technological in nature;

(B) Due to a wager being canceled or deemed void;

(C) Due to the addition of test funds; or (D) Any other reason as identified in the approved internal (11) All adjustments under five hundred dollars ($500) shall be reviewed at least monthly by supervisory personnel as set forth in the internal control system. All adjustments of five hundred dollars ($500) or more shall be authorized by supervisory personnel prior to being entered.

(12) The online sports wagering platform shall provide a summary statement on demand of the patron’s activity during at least the prior six (6) months. When a statement is requested, it shall be transmitted no later than five (5) calendar days after the request is made and an online sports wagering platform shall be capable of providing a summary statement of all authorized participant activity during the past two (2) years. The statement shall include, at a minimum— (A) Deposits to the online sports wagering account;

(B) Withdrawals from the online sports wagering account;

(C) Win or loss statistics, meaning a patron’s total amount wagered minus total amount won (net win or loss);

(D) Beginning and ending account balances;

(E) Responsible gaming limit history, if applicable; and (F) A statement regarding how patrons can obtain assistance with gambling problems.

(13) A licensee shall reverify a patron’s identification any time there is reasonable suspicion that the patron’s identification has been compromised.

(14) A patron shall be allowed to withdraw the funds maintained in his or her online sports wagering account.

(A) Upon verification by the Mobile licensee, the patron’s request to withdraw funds shall be honored within five (5) business days of the request.

(B) The Mobile licensee may decline to honor a patron request to withdraw funds if the licensee believes the patron engaged in either fraudulent conduct or other conduct that would put the licensee in violation of any federal, state, or local law or regulation or internal control of the licensee. In such cases, the licensee shall— 1. Provide notice to the patron of the delay in honoring the request to withdraw funds from the online sports wagering account;

2. Investigate in an expedient fashion;

3. Notify the patron of the final determination of the request to withdraw funds; and 4. Notify the commission of any investigation that confirmed fraudulent conduct.

(15) The Mobile licensee shall consider an online sports wagering account to be dormant if the patron has not logged into the account for at least five (5) years. A dormant account shall be closed by the licensee. Upon closure of a dormant account, the licensee shall make reasonable efforts to contact the account holder to return any unclaimed funds. One hundred twenty (120) days after attempting to contact the account holder, the unclaimed funds in a dormant account shall be presumed abandoned. Licensees shall remit all abandoned funds in accordance with the “Missouri Uniform Disposition of Unclaimed Property Act,” section 447.500 et seq., RSMo.

(16) An online sports wagering platform shall provide a conspicuous and readily accessible method for a patron to temporarily suspend or close his or her online sports wagering account. Any remaining balance in the online sports wagering account shall be refunded within five (5) business days of the request, unless the licensee believes in good faith that the patron engaged in either fraudulent or prohibited conduct. If a patron has suspended his or her account, the licensee shall not send gaming-related electronic mail to such patron while the account is suspended.

(17) Mobile licensees shall establish test accounts for the commission to be used to test the various components and operations of the sports wagering system. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.330 Online Sports Wagering Account Suspension {#sec-11-csr-45-20.330 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.330}

PURPOSE: This rule establishes the process to suspend an online sports wagering account.

(1) Online sports wagering platforms shall employ a mechanism to suspend online sports wagering accounts.

(2) An online sports wagering account shall be suspended by a Mobile licensee— (A) Upon determination that a patron is prohibited from placing any wagers with that Mobile licensee pursuant to 11 CSR 45-20.360;

(B) When a patron owes funds to the Mobile licensee;

(C) When a Mobile licensee has suspicion of illegal activity or suspicious wagering activity; and (D) When a Mobile licensee is conducting a responsible gaming investigation based on information obtained by the (3) After five (5) consecutive failed ACH deposit attempts within a ten- (10-) minute time period, the licensee shall temporarily suspend the patron’s account for a fraud investigation. If there is no evidence of fraud, the suspension may be lifted. After five (5) additional consecutive failed ACH deposit attempts within a ten- (10-) minute period, the licensee shall suspend the patron’s account, pending patron actions for reinstatement.

(4) When an online sports wagering account is suspended, the online sports wagering platform shall— (A) Prevent the patron from wagering. If the patron has pending wagers prior to being suspended, these wagers shall be handled in accordance with the terms and conditions;

(B) Prevent the patron from depositing funds, unless for the

purpose of remedying a negative balance;

(C) Prevent the patron from withdrawing funds, except when the reason for the suspension is that the patron is a prohibited person pursuant to 11 CSR 45-20.360 or that a responsible gaming investigation is being conducted;

(D) Prevent the patron from making changes to the online sports wagering account information;

(E) Prevent the removal of the online sports wagering account from the online sports wagering platform; and (F) Prominently display to the patron that the online sports wagering account is suspended, the restrictions in place, and any further course of action needed to remove the suspension.

(5) A suspension may only be lifted— (A) By order of the commission after appropriate investigation into the reason for the suspension;

(B) If the patron is no longer a prohibited person;

(C) If any negative balance has been remedied;

(D) At the conclusion of an investigation into suspected illegal or suspicious wagering activity, if it was determined that there was no illegal or suspicious wagering activity; or (E) At the conclusion of a responsible gaming investigation, if it was determined the patron is able to continue to wager safely.

(6) If a suspension is not lifted, the funds in the patron’s account shall be handled in accordance with the Mobile licensee’s terms and conditions. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.340 Requests to Authorize Events and Competitions {#sec-11-csr-45-20.340 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.340}

PURPOSE: This rule addresses the procedures for Retail and Mobile licensees to request approval for professional or collegiate athletic or sporting events or competitive events or awards not already authorized by the commission.

(1) Retail licensees and Mobile licensees may only accept wagers on events approved by the commission and published in the catalog of approved events.

(2) Retail licensees and Mobile licensees may submit to the commission in writing a request to permit wagering on other specific athletic, sporting, and other competitive events and awards involving human participants that are not already approved by the commission.

(3) The request to the commission shall be in writing and (A) A detailed description of the sport, event, league, or competition; and (B) Identification of any known or possible risks to the integrity of the event or competition and what steps the organizer or governing body of the event or competition has taken or will take to minimize those risks.

(4) In determining whether to approve or deny a request, any relevant factor may be considered, including but not limited to— (A) The best interests and needs of the Missouri sports wagering industry;

(B) Any known or possible risks to the integrity of the event or competition; and (C) Whether granting the request would pose a threat to public confidence and trust in the Missouri sports wagering (5) Upon approval of a request, the commission shall notify all Retail licensees and Mobile licensees of the approval and any licensee may offer wagering on the requested sport, event, league, or competition. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.350 Requests to Restrict or Exclude Wagering {#sec-11-csr-45-20.350 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.350}

PURPOSE: This rule addresses requests to restrict or exclude certain types of sports wagering and the commission’s ability to grant such requests.

(1) The commission may restrict, limit, or exclude a type, form, or category of wagering, or wagering on a specific sport, event, league, or competition, if it concludes the wagering in question would be contrary to public policy, unfair to patrons, or affects the integrity of a particular sport or the Missouri sports wagering industry.

(2) A Retail or Mobile licensee, sports governing body, professional sports team, league, or association, institution of higher education, players association, or the executive director may submit to the commission a request to restrict, limit, or exclude a certain type, form, or category of wagering, or wagering on a specific sport, event, league, or competition.

(3) The request shall be in writing and shall include the following:

(A) A detailed description of the type, form, or category of wagering, or the specific sport, event, league, or competition;

(B) A detailed description of how the wagering in question is contrary to public policy, unfair to patrons, or affects the integrity of a particular sport or the Missouri sports wagering (4) The commission shall post a copy of the request to its website for public review.

(5) The commission shall solicit comments from licensees on all such requests made. Licensees may submit comments or responses in writing to be considered by the commission.

(6) After giving due consideration to all comments received, the commission shall, upon a demonstration of good cause from the requestor that such type, form, or category of sports wagering is likely to undermine the integrity and perceived integrity of such sports governing body or sporting event(s) of the applicable sports governing body, grant the request.

(7) The commission shall respond to the request concerning a sporting event before the start of the event, or, if it is not feasible to respond before the start of the event, no later than seven (7) days after the request is made, and if the commission determines that the requestor is more likely than not to prevail in successfully demonstrating good cause for its request, the commission may provisionally grant the request pending the commission’s final determination thereon. Unless the commission provisionally grants the request, licensees may continue to offer sports wagering and accept wagers on the covered sporting event pending a final determination by the commission.

(8) If the commission grants the request, the type or form of wagering shall be deemed a prohibited wager.

(9) If the commission grants the request, any unredeemed wagers placed prior to the commission’s decision shall be cancelled.

(10) Procedures for temporary suspension include the following:

(A) On the date the request is posted or at any time thereafter, the executive director may temporarily suspend wagering of the type or form of wagering identified in the request if the executive director determines that the wagering poses a significant likelihood of serious risk to the integrity of the Missouri sports wagering industry or the public health, safety, morals, good order, or general welfare of the people of (B) During the period of temporary suspension, no wagers of the type or form subject to the request may be placed or redeemed;

(C) The executive director may rescind the temporary suspension at any time; and (D) The temporary suspension shall be rescinded upon issuance of a final order by the commission.

(11) A licensee, professional sports team, league, or association, sports governing body, institution of higher education, or the executive director may request that a prohibition previously instituted be removed. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.360 Prohibited Wagering Activity {#sec-11-csr-45-20.360 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.360}

PURPOSE: This rule establishes prohibited wagering activity for Retail and Mobile licensees.

(1) Retail licensees and Mobile licensees shall comply with the following regarding prohibited wagering activity:

(A) No person under twenty-one (21) years of age may place or redeem a wager;

(B) No person not physically located in the state of Missouri may place a wager;

(C) No person located outside a sports district may place a retail wager with that sports district or its designee;

(D) No person located off the gaming floor of an excursion gambling boat may place a retail wager with that excursion gambling boat or its designee;

(E) No person on the List of Self-Excluded Persons (SEP List) or who has been placed on the MGC Excluded Persons List may place a wager;

(F) No athlete, competitor, referee, official, coach, manager, medical professional or athletic trainer, or employee or contractor of a team or athletic organization who has access to nonpublic information concerning an athlete or team may engage in sports wagering on an event or the performance of an individual in an event in which the person is participating or otherwise has access to nonpublic or exclusive information;

(G) No individual whose participation may undermine the integrity of wagering or a sporting event may place or redeem a wager on such sporting event;

(H) No key person or employee of a licensee may place or redeem a wager with that licensee; and (I) No individual may place a wager on behalf of another.

(2) Retail licensees and Mobile licensees shall not allow wagering on— (A) A youth or high school event;

(B) The performance or nonperformance of any individual athlete participating in a single game or match of a collegiate sporting event in which a collegiate team from Missouri is a participant;

(C) A fantasy sports contest;

(D) Any event or portion thereof where the majority of the participants are under eighteen (18) years of age; and (E) Any event or portion of an event, or wagering by type or form, which has not been approved by the commission.

(3) Retail licensees and Mobile licensees shall not accept or redeem a prohibited wager or a wager from a prohibited person.

(4) Retail licensees and Mobile licensees shall not accept a wager from a partnership, a corporation, an association, or any other entity that is not an individual.

(5) Retail licensees and Mobile licensees shall not offer any specialized wagering propositions or set or move its wagering odds, lines, or limits in an attempt to provide a benefit to a patron, unless as part of a sports wagering promotion conducted by the licensee in accordance with the promotional rules.

(6) Retail licensees and Mobile licensees have an affirmative duty to actively prevent the placement of a wager by individuals under twenty-one (21) years of age, on the SEP List, or on the MGC Excluded Persons List. Licensees have an affirmative duty to actively prevent the redemption of a wager by individuals under twenty-one (21) years of age or any wager that was placed by an individual who was on the SEP List or MGC Excluded Persons List at the time of the wager.

(7) If a Retail licensee or Mobile licensee discovers it has accepted a prohibited wager, it shall notify the commission in writing within twenty-four (24) hours of the discovery.

(8) Any wager that was prohibited at the time it was made shall be deemed void and the amount of the wager shall be refunded by the Retail licensee or Mobile licensee and deducted from adjusted gross revenue. If the voided wager is not refunded prior to the expiration date of the ticket, the amount of the wager shall be remitted to the Gaming Commission Fund and deducted from adjusted gross revenue.

If there are any winnings from the voided wager, the winnings shall be nullified. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.370 Personal Biometric Data Prohibition {#sec-11-csr-45-20.370 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.370}

PURPOSE: This rule prohibits the use of an athlete’s or competitor’s personal biometric data without permission.

(1) Licensees shall not purchase, sell, or use any personal biometric data of an athlete or competitor unless the licensee has received written permission from the athlete or competitor or the athlete’s or competitor’s representative. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.380 Internal Control System {#sec-11-csr-45-20.380 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.380}

PURPOSE: This rule establishes the requirements for the submission and approval of the internal control system and modifications thereto. This rule also establishes the process if a licensee’s internal control system fails to comply with the objectives and requirements of an internal control system.

(1) Each Retail and Mobile licensee shall establish, maintain, and update a written internal control system that includes the following:

(A) Administrative control which includes but is not limited to the plan of organization and the procedures and records that are concerned with the decision processes leading to management’s levels of authorization of transactions involving sports wagering; and (B) Accounting control which includes the plan of organization and the procedures and records that are concerned with the safeguarding of assets, the accountability over assets is maintained, the accuracy and reliability of financial records, and are consequently designed to provide reasonable assurance that— 1. Transactions are performed only in accordance with the specific or general authorization of the licensee;

2. Transactions are recorded adequately to permit proper reporting of sports wagering adjusted gross revenue and taxes, to maintain accountability for assets, and in conformity with generally accepted accounting principles;

3. Access to assets is permitted only by authorized personnel;

4. The documented accountability for assets is compared with actual assets at reasonable, specific intervals and appropriate action is taken with respect to any discrepancies;

5. Functions, duties, and responsibilities are appropriately segregated and performed in accordance with sound practices by competent, qualified personnel;

6. Sports wagering is conducted with integrity; and 7. The requirements of Article III, Section 39(g), of the Missouri Constitution and federal and state laws and regulations are followed.

(2) The internal control system of an applicant or licensee shall be initially approved by the commission prior to the commencement of sports wagering operations. The procedures shall be approved by the commission in its sole and absolute discretion.

(3) Proposed changes to the internal control system shall be submitted in writing to the commission for approval. No internal control system change may be implemented by the licensee unless approved by the commission.

(4) Each Retail and Mobile licensee shall submit proposed changes to the approved internal control system to the commission in a time frame as directed by the commission.

The proposed changes to the system may be approved or denied by the commission. No licensee shall alter its internal control system unless and until the changes are approved by (5) The commission shall review each submission and shall determine whether it conforms to the requirements of this

rule and whether the system submitted provides adequate and effective controls for the operations of the licensee. If the commission finds any insufficiencies, they shall be specified in writing to the licensee, who shall make appropriate alterations.

(6) If at any time the commission determines that a licensee’s administrative or accounting procedures or its internal control system does not comply with the requirements of this chapter or require improvement, the commission shall notify the licensee in writing. Within fifteen (15) calendar days after receiving the notification, the licensee shall amend its procedures and internal control system accordingly and shall submit a copy of the internal control system, as amended, and a description of any other remedial measures taken.

(7) Violations of the licensee’s internal control system by the licensee or an agent or employee of the licensee shall be evidence of unsuitable conduct for which the licensee and/or its agents or employees may be subject to discipline. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.390 Internal Control System Requirements {#sec-11-csr-45-20.390 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.390}

PURPOSE: This rule establishes the requirements for the internal (1) The internal control system shall include a detailed narrative description of the Retail or Mobile licensee's sports wagering, administrative, and accounting procedures, including without limitation separate sections comprehensively describing the specific procedures that the licensee will follow in meeting the requirements of this chapter. The internal control system shall include at a minimum the following topics:

(A) An organizational chart depicting appropriate segregation of sports wagering functions and responsibilities;

(B) A description of the duties and responsibilities of each job position shown on the organizational chart;

(C) A detailed, narrative description of the administrative and accounting procedures designed to satisfy the requirements of this chapter. Additionally, this description shall include a separate section for the following:

1. Access control, including— A. General—location and physical access; and B. Sensitive key procedures;

2. Conduct of wagering, including— A. Wagering and payout procedures;

B. Definition of obvious errors;

C. Methods by which the licensee will identify and cancel or void wagers, including logging all cancelled and voided wagers;

D. Procedures to review the accuracy and timeliness of any data feeds used to offer or settle wagers;

E. Payout procedures when the sports wagering system or kiosk fails;

F. Effect of schedule changes of events and what constitutes a material change in the determination of cancelling a wager; and G. Statistics;

3. Rules of wagering, including— A. What may be wagered upon; and B. Establishing lines or payout odds;

4. Wagering equipment, including— A. Access and computer monitoring procedures;

B. Point of sale devices;

C. Kiosks;

D. Location, conversion, and movement of kiosks;

E. Suspected defective or malfunctioning equipment procedures, including when a ticket or voucher fails to print;

F. Procedures for the disposal of sports wagering equipment;

5. Kiosk fill and counts, including the— A. Fill process;

B. Drop process, including emergency drops;

C. Process for counting and recording drops, including emergency drops;

D. Description of where the counts are conducted (i.e., count room or vault); and E. Manual count procedures in the event of equipment failure;

6. Cashiering, including— A. Layout and physical characteristics of the sportsbook cage;

B. Transportation of cash and cash equivalents to and from the sportsbook cage;

C. Procedures for each type of transaction conducted at the sportsbook cage, including credit card, debit card, gift card, reloadable prepaid card, ACH transfer, and wire transfer;

D. Procedures for the acceptance of wagers at the sportsbook cage;

E. Procedures for payout of winning tickets;

F. Procedures for redeeming vouchers;

G. Procedures for redemption of lost tickets and vouchers;

H. Procedures for reprinting tickets and vouchers;

I. Procedures for fills to ticket writer’s drawer;

J. Procedures for the reconciliation of assets and documents contained in a ticket writer’s drawer;

K. Procedures for the reconciliation of assets and documents contained in kiosks;

L. Sportsbook cage accountability; and M. Vault accountability;

7. Tips, including— A. Physical characteristics of tip boxes;

B. Transportation of tip boxes to and from writer stations; and C. Procedures for accepting tips or gratuities;

8. Mobile wagering, including— A. Procedures for creating, activating, adjusting, suspending, deactivating, and flagging sports wagering accounts;

B. Identity verification, including a description of the methodology for remote multi-source authentication;

C. Online sports wagering platform description, including a description of and the inter-relationships and dependencies between the online sports wagering platform and the sports wagering system and all integrated supplier modules and security features and integrated third-party systems;

D. Method for establishing a patron’s geographic location, including a description of the geolocation system used;

E. Identity protection;

F. Fraud prevention;

G. Description of methods used by a patron to fund an online sports wagering account;

H. Contested transaction procedures;

I. Patron terms and conditions;

J. Methods for a patron to withdraw funds from his or her account;

K. Procedures for adjustments to a patron’s account; and L. Procedures for closing or temporarily suspending a patron’s account by the licensee and the patron, including procedures for unsettled wagers;

9. Accounting, including— A. Accounting records;

B. Controls over locked accounting box(es);

C. Procedures for monitoring and reviewing wagering operations;

D. Monthly reporting requirements; and E. Mail-in ticket procedures;

10. Procedures for federal cash transaction reporting, including— A. A description of the process for accepting multiple wagers from one patron in a twenty-four (24) hour cycle; and B. The process used to identify patron structuring of wagers to circumvent recording and reporting requirements;

11. Procedures for suspicious activity reporting, including— A. Financial activity; and B. Wagering activity;

12. Internal audit, including— A. Required internal audits; and B. Reporting guidelines;

13. Surveillance, including— A. Surveillance room access and control;

B. Surveillance system description;

C. Camera outage procedures; and D. Surveillance reports;

14. Security, including— A. Case number system/incident reports;

B. Lost casino access badges;

C. Power failure;

D. Enforcement of wagering restrictions for prohibited persons; and E. Handling of emergencies;

15. Promotions, including— A. Procedures for the issuance and control of free play and other promotional offers;

B. Procedures for redemption of free play and other promotional offers that are redeemed to place wagers; and C. Procedures for redemption of promotional offers other than those used to place wagers;

16. Responsible gaming, including— A. Methods for securely implementing the self-exclusion program for sports wagering;

B. Plan for removing persons on the List of Self-Excluded Persons (SEP List) from advertising and marketing offers;

C. Plan for using commercially and technologically reasonable methods to ensure that marketing and advertisements do not purposely target persons on the SEP List;

D. Plan for denying access to sports wagering activities to persons on the SEP List; and E. Description of training programs offered related to responsible gaming;

17. Layoff bets, including— A. Procedures for recording and auditing; and B. Procedures for initiating a request and entering an agreement;

18. Information technology, including— A. Sports wagering system user access controls;

B. Procedures for resetting patrons’ PINs or passwords;

C. List of positions that have system access to view full validation numbers of tickets and vouchers;

D. Change management procedures; and E. Procedures for responding to, monitoring, investigating, resolving, documenting, and reporting security incidents associated with information technology systems; and 19. Forms, including— A. Description of each form mentioned in the licensee’s internal control system, including the name and required fields; and (D) Other items the commission may require to ensure the security and integrity of the sports wagering operation. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.400 Forms {#sec-11-csr-45-20.400 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.400}

PURPOSE: This rule establishes requirements for forms for Retail and Mobile licensees.

(1) All information required by this chapter to be recorded shall be recorded in a permanent form.

(2) Retail and Mobile licensees shall use the forms approved in the internal control system.

(3) If monetary corrections must be made to a form, the form shall be voided and replaced with a new form.

(4) In the event a form has to be voided, the original and all copies shall be marked “void” and accompanied by the signature of the employee voiding the form and an employee verifying the void, with a brief explanation of why it was voided.

If a void is required because a sequentially numbered form failed to print, this information, along with the form control number, date, and time, shall be recorded on a supplemental document and retained.

(5) The internal control system shall include a copy of each form discussed in the licensee’s internal control system.

(6) The information required on the form shall be accurately recorded by the employee who completes the form.

(7) When a multi-part form is required, ensure that each part is distinguishable.

(8) All signatures shall include the employee’s first initial, last name, and the last six (6) digits of the employee’s occupational license number, which shall be legible.

(9) The form descriptions in the internal control system shall specify the job positions of the individuals whose signatures are required on each form.

(10) When a form is signed, the individual signing the form is attesting to the accuracy of information recorded on the form.

Therefore, forms shall not be signed before the information on the form has been recorded and verified. Revenue audit shall have a means by which the authenticity of signatures can be verified.

(11) An electronic signature is acceptable only when the signature is auto-populated to the form from the employee’s login by the computer system. The signature cannot be manually keyed into the report to meet the requirement of an electronic signature. Electronic signatures can be recorded as user IDs, as long as the user ID is unique and identifiable to the employee. The electronic signature does not require the occupational license number to be recorded. Employee passwords shall be kept confidential and shall not be shared.

An employee’s login and password shall only be used by the employee to whom it belongs. A report listing the user IDs and the corresponding employee’s name shall be available to the commission upon request.

(12) If a form requires a report number, the forms shall be sequentially numbered. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.410 House Rules {#sec-11-csr-45-20.410 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.410}

PURPOSE: This rule establishes requirements for Retail and Mobile licensees’ house rules.

(1) Each Retail licensee and Mobile licensee shall establish and maintain house rules and shall conduct sports wagering in accordance with its house rules.

(2) Retail licensees and Mobile licensees shall not include any content in the house rules that are inconsistent with the approved internal controls or any existing regulations.

(3) Retail licensees and Mobile licensees shall provide upon request a copy of its house rules to any patron or the commission.

(4) Retail licensees shall conspicuously post a notice, within view of any in-person wagering location, that copies of the house rules are available.

(5) Mobile licensees shall provide access to the house rules on their online sports wagering platform.

(6) The house rules shall include but not be limited to— (A) A description of each type of wager that is accepted;

(B) A description of how winning wagers are determined;

(C) The effect of schedule changes of events and what constitutes a material change in the determination of cancelling a wager;

(D) The method of notifying patrons of odds or proposition changes;

(E) An explanation of how to redeem winning wagers and the expiration period for winning wagers;

(F) Procedures for patrons to redeem winning tickets by mail, if permitted by the Retail licensee;

(G) The lost or damaged ticket policy;

(H) A description of how and when wagers may be cancelled or voided and the consequences of the cancellation or voiding;

(I) A list of all forms of payment the Retail licensee or Mobile licensee accepts for placement of wagers;

(J) A list of all forms of payment in which a patron may have a winning wager redeemed;

(K) A description of individuals prohibited from wagering and prohibited wagering activities;

(L) A description of means by which a patron may submit a complaint to the Retail licensee or Mobile licensee, including— 1. Providing a response to the complaint within ten (10) calendar days; and 2. Providing the patron information regarding how to file a written complaint with the commission if the complaint is not resolved; and (M) Instructions on how to report prohibited conduct, criminal behavior, and violations to the commission.

(7) Each Retail licensee and Mobile licensee shall submit a copy of its house rules and any subsequent revisions to its house rules to the commission for approval. Any house rules or amendments thereto shall be approved by the commission prior to implementation. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.420 Tier One and Tier Two Wagering {#sec-11-csr-45-20.420 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.420}

PURPOSE: This rule establishes requirements for tier one and tier two wagering.

(1) Retail and Mobile licensees may use any data source for determining the results of any and all tier one sports wagers on any and all sporting events and the results of any and all tier two sports wagers on sporting events of an organization that is not headquartered in the United States.

(2) If a sports governing body, headquartered in the United States, does not notify the commission of its desire to supply official league data, Retail and Mobile licensees may use any data source for determining the results of any and all tier two sports wagers on sporting events of such sports governing body.

(3) There shall be no tier two wagers on the injury of an athlete or competitor. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.430 Official League Data {#sec-11-csr-45-20.430 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.430}

PURPOSE: This rule establishes notification requirements for official league data providers and the requirement to use official league data for tier two wagers, unless certain conditions are present.

(1) A sports governing body shall notify the commission in writing of its intent to supply official league data to Retail and Mobile licensees only after the sports governing body or a designee authorized by the sports governing body has been issued an Official League Data Provider license.

(2) If a sports governing body notifies the commission of its intent to supply official league data for the purposes of determining the outcome of tier two wagers, Retail and Mobile licensees shall only use tier two data provided by the Official League Data Provider licensee unless the Retail or Mobile licensee can establish that such data is not being made available on commercially reasonable terms.

(3) Notification by the sports governing body of its intent to supply official league data shall include the following:

(A) Identification and contact information for at least one (1) specific individual who will be the primary point of contact for issues related to the provision of official league data and compliance;

(B) If the sports governing body is not a licensee, the identity of the designee holding an Official League Data Provider license;

(C) If the sports governing body is not a licensee, any contract between the sports governing body and the designee holding an Official League Data Provider license;

(D) If the sports governing body is an Official League Data Provider licensee, all contracts with Retail and Mobile licensees or applicants; and (E) A description of the data provided.

(4) Within five (5) days of the receipt of notification, the commission shall electronically inform all Retail and Mobile licensees of the notification, including the date upon which all licensees are required to use official league data.

(5) Within sixty (60) days of the commission notifying each licensee of a sports governing body’s notification to the commission, licensees shall use only official league data to determine the results of tier two sports wagers on sporting events of that sports governing body, unless— (A) The sports governing body or its designee cannot provide a feed of official league data to determine the results of a particular type of tier two sports wager, in which case licensees may use any data source for determining the results of the applicable tier two sports wager until such time as such a data feed becomes available from the sports governing body on commercially reasonable terms and conditions; or (B) A licensee can demonstrate to the commission that the sports governing body or its designee will not provide a feed of official league data to the licensee on commercially reasonable terms and conditions.

(6) A sports governing body may rescind its notice at any time. The rescission shall be in writing to the commission and all Retail and Mobile licensees to whom the governing body or its designee is currently providing official league data. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.440 Commercial Reasonableness {#sec-11-csr-45-20.440 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.440}

PURPOSE: This rule establishes a process for determining whether official league data is being provided on commercially reasonable terms.

(1) Sports governing bodies or their designees providing official league data shall do so on commercially reasonable terms.

(2) Retail and Mobile licensees may petition the commission for a determination that the terms under which official league data is being provided are not commercially reasonable.

(3) Any petition under this rule shall be submitted electronically to the commission and to the Official League Data Provider licensee. The petition shall— (A) Identify the petitioning Retail or Mobile licensee, including name, address, and contact information for any legal counsel;

(B) Identify the Official League Data Provider licensee;

(C) Include a complete copy of the contract or offer sheet the Retail or Mobile licensee alleges includes the unreasonable terms, which shall be a closed record;

(D) Include any facts upon which the Retail or Mobile licensee will rely to show that the terms of the contract or offer are not commercially reasonable;

(E) Include a summary of the Retail or Mobile licensee’s argument as to why the terms of the contract or offer are not commercially reasonable;

(F) Contain the following statement, “The undersigned certifies that the statements set forth in this request are true and correct, except as to matters therein stated to be on information and belief and as to such matters the undersigned certifies as aforesaid that he/she verily believes the same to be true.”; and (G) Be notarized.

(4) If the commission determines that a petition does not meet all requirements, that petition shall be rejected and it shall notify both parties.

(5) The Official League Data Provider licensee shall submit an answer electronically to the commission and to the Retail or Mobile licensee within twenty-one (21) days after submission of the petition. The answer shall— (A) Identify the Official League Data Provider licensee, including name, address, and contact information of any legal counsel;

(B) Include specific responses to any factual allegations made in the petition;

(C) Include any additional facts upon which the Official League Data Provider licensee will rely;

(D) Include a summary of the Official League Data Provider licensee’s argument as to why the terms of the contract or offer are commercially reasonable;

(E) Contain the following statement, “The undersigned certifies that the statements set forth in this request are true and correct, except as to matters therein stated to be on information and belief and as to such matters the undersigned certifies as aforesaid that he/she verily believes the same to be true.”; and (F) Be notarized.

(6) Failure to submit an answer within twenty-one (21) days, or failure to submit an answer that complies with all requirements of this rule shall constitute an admission of all facts in the petition.

(7) The commission will determine whether the official league data has been made available on commercially reasonable terms, within one hundred twenty (120) days of receiving the petition. The commission shall consider the following factors when determining whether the terms of a contract or offer are commercially reasonable:

(A) The availability of a sports governing body’s tier two official league data to a Retail or Mobile licensee from more than one (1) authorized source;

(B) Market information, including but not limited to price and other terms and conditions, regarding the purchase by licensees of comparable data for the purpose of settling sports wagers in this state and other jurisdictions;

(C) The nature and quantity of data, including the quality and complexity of the process utilized for collecting such data;

(D) The extent to which sports governing bodies or their designees have made data used to settle tier two wagers available to operators and any terms and conditions relating to the use of that data; and (E) Whether and to what extent the terms of the contract or offer are against the public interest of the state of Missouri.

(8) While the commission is evaluating the petition, Retail and Mobile licensees may use any data source for determining the results of any and all tier two sports wagers.

(9) Once the commission has made a determination, the commission will notify the interested parties.

(A) If the commission determines that the official league data was not made available on commercially reasonable terms, Retail and Mobile licensees may use other licensed suppliers of league data for tier two wagers.

(B) If the commission determines that the official league data was made available on commercially reasonable terms, Retail and Mobile licensees shall continue to use the Official League Data Provider licensee.

(10) Either party who disagrees with the determination of the commission may request a hearing pursuant to 11 CSR 45-13.

(11) All hearings shall be conducted under the same procedures as those in 11 CSR 45-13, with the following exceptions:

(A) Any party may move that the hearing officer make a recommendation on the pleadings. In any such motion, all facts will be strictly construed against the movant. A recommendation to grant a motion on the pleadings shall be considered by the commission prior to any other proceedings on the merits;

(B) Any oral argument of any substantive motion and any oral proceeding involving contested facts shall be transcribed in accordance with 11 CSR 45-13; and (C) The hearing officer shall tender any recommendation to both parties electronically and simultaneously.

(12) The hearing officer, in making his or her recommendation to the commission, shall consider the same list of factors that the commission used to determine whether official league data is being offered on commercially reasonable terms. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.450 Placement of Wagers {#sec-11-csr-45-20.450 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.450}

PURPOSE: This rule establishes standards for the placement of wagers with Retail and Mobile licensees.

(1) Retail licensees and Mobile licensees shall not accept any wager of any type or kind, unless the type or kind of wager and subject of the wager has been approved by the commission.

(2) Retail licensees and Mobile licensees shall not knowingly accept wagers on any event for which the outcome has already been determined. If the licensee becomes aware that a wager was placed on an event where the outcome had already been determined, the licensee shall void and refund the wager.

(3) Retail licensees and Mobile licensees shall only accept wagers on events for which— (A) The outcome can be verified;

(B) The outcome can be generated by a reliable and independent process;

(C) The outcome is not affected by any wager placed; and (D) The event is conducted in conformity with all applicable laws and regulations.

(4) Retail licensees and Mobile licensees shall always have the right to decline to accept any wager a patron attempts to place.

(5) Retail licensees and Mobile licensees shall only accept and record wagers in United States currency. Sources of currency accepted by a licensee shall be documented in its internal (6) When a wager is placed in-person through either a wagering kiosk or with a ticket writer, the patron shall be issued a ticket as evidence of the wager.

(7) Patrons bear the responsibility of ensuring the accuracy of their wagers prior to leaving the window or kiosk. Leaving the window or kiosk with the ticket is deemed an acceptance of the wager. Patrons also bear the responsibility of ensuring the accuracy of their wagers prior to confirming the wager placement on an online sports wagering platform.

(8) Retail licensees and Mobile licensees shall not accept wagers if the sports wagering system is not available.

(9) Retail licensees and Mobile licensees shall implement methods and procedures to detect and document abnormal or suspicious wagering activity. Those methods and procedures shall be documented in the internal control system.

(10) Retail licensees and Mobile licensees shall not offer a loan, credit, or advancement of anything of value to any person to take part in sports wagering either directly or through a third party.

(11) A wager placed pursuant to Article III, Section 39(g), of the Missouri Constitution is not transferrable between patrons.

If a Retail licensee has reason to believe a ticket has been transferred, the licensee shall report it to the commission. Prior to the redemption of a wager, if the commission determines that a ticket has been transferred, the commission may order that the specific wager be cancelled.

(12) Employees or key persons of any Retail, Mobile, SW Supplier, or Official League Data Provider licensee shall not advise or encourage an individual patron to place a specific wager of any specific type, kind, subject, or amount. This restriction does not prohibit general advertising or promotional activities.

(13) Retail licensees and Mobile licensees shall not hold a patron’s funds on the understanding that the licensee will accept the funds as a wager only upon the occurrence of a specified, future contingency. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.460 Redemption of Wagers {#sec-11-csr-45-20.460 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.460}

PURPOSE: This rule establishes standards for the redemption of wagers with Retail and Mobile licensees.

(1) Retail licensees shall redeem any winning ticket it has issued that has not expired or previously been redeemed. The ticket writer or kiosk shall verify the validity of the ticket in the sports wagering system prior to redemption. Upon redemption, the ticket writer or kiosk shall cause the sports wagering system to electronically change the ticket status to redeemed.

(2) Mobile licensees shall only redeem valid winning wagers.

Upon redemption, the winning wagers status shall be changed to redeemed in the sports wagering system.

(3) A ticket shall expire one year after the date of the conclusion of the event or combination of events that are the subject of the wager.

(4) The amount of any winning ticket that expires shall be deposited monthly into the Gaming Commission Fund and deducted from adjusted gross revenue in the same manner as a redeemed wager.

(5) Retail licensees shall provide for in-person redemption of winning wagers at least eight (8) hours per day, five (5) days per week.

(6) All wagers shall be redeemed in United States currency.

The winnings may be provided to the patron in any form that has been approved in the internal control system, provided that any wager redeemed in-person shall only be provided to the patron in the form of currency, check, or a combination thereof.

(7) Retail licensees may provide for redemption of winning tickets or refund of voided or cancelled wagers by mail. In that case, the licensee shall document methods in its internal control system to provide for compliance with all other rules, including but not limited to— (A) Age verification;

(B) Enforcement of the List of Self-Excluded Persons and MGC Excluded Persons List; and (C) Identification of illegal or suspicious activity.

(8) In the event of a failure of the sports wagering system’s ability to pay winning wagers, the licensee shall have internal controls detailing the method by which winning wagers will be paid. The licensee shall also file an incident report with the commission for each system failure. The incident report shall document the date, time, and reason for the failure along with the date and time the system was restored. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.470 Cancelled and Voided Wagers {#sec-11-csr-45-20.470 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.470}

PURPOSE: This rule addresses standards for cancelled and voided wagers for Retail and Mobile licensees.

(1) Retail licensees and Mobile licensees shall not cancel any wager except in accordance with this rule.

(2) Cancellation by a Retail licensee or Mobile licensee of an otherwise validly placed wager shall be nondiscretionary. A licensee shall only cancel a wager under the following circumstances:

(A) Any wager where an event that is the subject of the wager is cancelled, or postponed or rescheduled to a different date prior to completion of the event.

1. In the case of a wager on a portion of an event, that wager shall be valid and not cancelled when the event is cancelled, postponed, or rescheduled if the outcome of the affected portion was determined prior to the cancellation, postponement, or rescheduling.

2. A licensee may establish a time frame in which an event may be rescheduled or postponed without cancelling the wager. This time frame shall be tied to specific events, subject to the approval of the commission, and documented in the internal control system;

(B) Any tier one wager in a non-team event when an individual athlete or competitor fails to participate in the event and the outcome of the wager is solely based upon that one (1) individual’s performance;

(C) Any tier two wager when an individual athlete or competitor fails to participate in the event and the outcome of the wager is solely based upon that one (1) individual’s performance;

(D) A material change in circumstances occurs.

1. What constitutes a material change in circumstances for a given event or wager type shall be documented in the internal control system.

2. What constitutes a material change in circumstances shall be clearly and prominently displayed to a patron at the time of placement of the wager;

(E) The licensee’s approved house rules otherwise provide for the cancellation; or (F) When ordered by the commission pursuant to this rule.

(3) Retail licensees and Mobile licensees may request the commission to order the cancellation of all wagers of a specific type, kind, or subject not otherwise identified in section (2). A request to cancel shall be in writing, and contain the following:

(A) A description of the type, kind, or subject of wager the licensee is requesting to cancel;

(B) A description of any facts relevant to the request; and (C) An explanation why cancelling the wagers ensures the integrity of the Missouri sports wagering industry.

(4) The commission shall issue an order in writing approving or denying the request to cancel. In determining whether to approve or deny the request, the commission may consider any relevant factors, including but not limited to the following:

(A) Whether the alleged facts implicate an issue with the integrity of the event subject to the wager or the Missouri sports wagering industry;

(B) Whether the alleged facts suggest possible illegal activity relating to the event or the Missouri sports wagering industry;

(C) Whether allowing the wager would be unfair to wagering patrons; and (D) Whether allowing the wager is contrary to public policy.

(5) No wager subject to the request to cancel shall be redeemed until the commission issues an order approving or denying the request to cancel.

(6) If the commission approves the request to cancel, the Retail licensee or Mobile licensee shall make commercially reasonable efforts to notify patrons of the cancellation.

(7) The commission has discretion to order all Retail licensees and Mobile licensees to cancel all wagers on a specific event or wagers of a specific type or kind on a specific event.

(8) Any cancelled wager shall be refunded automatically for mobile wagers and upon request by a patron for retail wagers. The request shall be made prior to the expiration of the original redemption period and the amount of the refunded cancelled wager shall be deducted from adjusted gross revenue.

(9) At the expiration of any outstanding cancelled wager which has not been refunded, the original amount of the outstanding wager shall be deducted from adjusted gross revenue and remitted to the Gaming Commission Fund.

(10) A Retail licensee or Mobile licensee may declare a wager to be void if the licensee has reasonable basis to believe there was obvious error in the placement or acceptance of the wager.

Those errors include but are not limited to— (A) Human error in the placement of the wager;

(B) The ticket does not correctly reflect the wager; or (C) Equipment failure rendering a ticket unreadable.

(11) Retail licensees and Mobile licensees shall not void a wager solely because the wager was placed with incorrect odds without prior approval of the commission.

(12) If a wager is declared void, the wager shall be refunded to the patron and that amount shall be deducted from adjusted gross revenue. For a printed ticket, the ticket shall be marked void. If there are any winnings from the voided wager, the winnings shall be nullified.

(13) A wager shall only be declared void with the documented approval of a supervisory or compliance employee who is independent of the initial transaction.

(14) A wagerer may request that the commission review any wager declared void by a Retail licensee or Mobile licensee. If the commission concludes there is no reasonable basis to void the wager, the commission may order the licensee to honor the wager.

(15) When a wager is voided or cancelled, the sports wagering system shall clearly indicate that the ticket is voided or cancelled and make an entry in the system indicating the voiding or cancellation of the wager and the identity of the ticket writer or automated process completing the void or cancellation.

(16) All voided and cancelled wagers and all refunds of any such wagers shall be logged at the time they occurred.

(17) Retail licensees and Mobile licensees shall provide a monthly summary report of all cancelled, voided, and refunded wagers to the commission. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.480 Retail Sports Wagering Locations and Operations {#sec-11-csr-45-20.480 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.480}

PURPOSE: This rule establishes locations where sports wagering may occur and procedures for operations.

(1) Retail sports wagers may only be placed or redeemed inperson at— (A) One (1) or more fixed windows or counters through a ticket writer at the sportsbook cage; or (B) Self-service kiosks of the retail licensee.

(2) Fixed windows or counters with ticket writers may be operated at any location approved by the commission within a designated retail location on the gaming floor of an excursion gambling boat or in a sports district operated by a Retail (3) Kiosks may be operated within a designated retail location on the gaming floor of an excursion gambling boat or in a sports district operated by a Retail licensee.

(4) Kiosks shall be supervised by an attendant at all times unless located inside a portion of a sports district restricted to persons twenty-one (21) years of age or older.

(5) When kiosks are not located within a portion of a sports district restricted to persons twenty-one (21) years of age or older, the attendant shall be responsible for verifying the age of wagerers.

(6) A kiosk may issue vouchers for unwagered funds deposited in the kiosk. Each voucher design shall be approved by the commission and each voucher shall, at a minimum, contain the following printed information:

(A) Licensee’s name, retail location’s name, city, and state;

(B) Kiosk asset number or location identifier that issued the voucher;

(C) Date and time (24-hour format acceptable);

(D) Alpha and numeric dollar amount of the voucher;

(E) Voucher unique identifier;

(F) Validation number;

(G) Bar code or any machine-readable code representing the validation number; and (H) An indication that the voucher can only be redeemed in exchange for a sports wager or cash.

(7) Kiosks shall not— (A) Issue or redeem a voucher of more than three thousand dollars ($3,000);

(B) Issue a ticket with a potential payout of more than ten thousand dollars ($10,000); and (C) Redeem a ticket with a value of more than three thousand dollars ($3,000).

(8) The Retail licensee shall ensure the voucher validation system in use at the licensee’s facility utilizes an encryption algorithm with a minimum of a 128-bit key size, password protection, or another similarly secure method approved by the commission for files and directories containing critical or sensitive data. The voucher validation system may be integrated within the retail sports wagering system. The voucher validation system shall possess a non-alterable user audit trail. The licensee shall restrict users from viewing the contents of such files and directories, which at a minimum shall provide for the following:

(A) The effective segregation of duties and responsibilities of the users with regard to the system to prevent fraudulent redemption and creation of vouchers; and (B) The automatic monitoring and recording by the system of access by any person to such files and directories.

(9) The Retail licensee shall maintain a system manual that includes the following for the validation of vouchers:

(A) An example of each report and, if applicable, the specific

regulation for which the report is used for compliance; and (B) A list of system codes and the corresponding explanation for each code.

(10) The sports wagering system shall be capable of recording the following information for each voucher:

(A) Amount of the voucher;

(B) Date, time, and location of issuance;

(C) Unique voucher identifier used for redemption, at least three (3) digits of which shall be masked on all system menus, printed reports, and displays for all unredeemed vouchers; and (D) Date, time, and location of redemption, if applicable.

(11) Vouchers shall not expire in the system and shall have no expiration date printed on them. Vouchers may, on their reverse, contain wording which indicates vouchers that cannot be validated may be considered void.

(12) The internal controls shall include procedures for when a kiosk is unable to print a voucher upon patron request.

(13) Patrons may redeem vouchers at ticket writer windows, wagering kiosks, or redemption kiosks for the specific amount of the voucher.

(14) Cash received by or paid out from a ticket writer window shall be spread on the counter in full view of the patron and within the dedicated surveillance coverage.

(15) The sports wagering system shall prevent a voucher from being redeemed more than once.

(16) A voucher shall only be redeemed the first time it is presented for redemption.

(17) All vouchers redeemed at a ticket writer window shall be forwarded to revenue audit on a daily basis.

(18) Once the validation information is stored in the database, the data may not be altered in any way. No job position shall have system access to view full validation numbers unless approved in the internal control system. Approved positions shall have a segregation of duties, ensuring those positions do not have the ability to redeem vouchers for cash. Any kiosk or system hardware on the kiosk that holds ticket information shall not have any options or methods that would allow for viewing of the full validation number prior to redemption.

(19) The Retail licensee shall maintain a record of “voucher liability” for vouchers that have been issued but not yet redeemed, which shall be stored in the system for not less than five (5) years from the date of issuance of the voucher, provided that— (A) Any unredeemed voucher removed from the system shall be stored and controlled in a manner approved by the (B) Prior to redemption the complete validation number of the unredeemed voucher shall only be available to the system and the positions approved in the internal controls; and (C) Any unredeemed voucher which is abandoned, lost, or unclaimed shall be disposed of in accordance with sections 447.500 through 447.595, RSMo, and once delivered to the Missouri State Treasurer shall have its status changed to “redeemed” in the voucher validation system. Vouchers shall not be delivered until at least five (5) years have passed since the date of issuance. The detailed records of any unredeemed vouchers shall not be destroyed until the unredeemed liability has been delivered to the Missouri State Treasurer.

(20) Vouchers shall not be manually added to the voucher validation system for any reason.

(21) Vouchers shall not be issued by employees.

(22) Each sportsbook cage shall be designed and constructed to provide maximum security for the materials stored and the activities performed therein. Such design and construction shall be approved by the commission.

(23) Each ticket writer station shall contain— (A) A ticket writer’s drawer and terminal through which financial transactions related to sports wagering will be conducted;

(B) Manually triggered silent alarm systems, which shall be connected directly to the surveillance monitoring room; and (C) Fixed physical barriers sufficient to prevent unauthorized access, unless funds in excess of twenty thousand dollars ($20,000) are either secured in a locked drop safe approved by the commission or transferred to the vault.

(24) Each Retail licensee shall have a secure location, known as the vault, for the purpose of storing funds to be used in the operation of a sportsbook. The vault shall— (A) Be a fully enclosed room with solid outer walls and no windows that can be opened, located in an area not open to the public;

(B) Have a metal door with a locking mechanism;

(C) Have an alarm device that signals the surveillance department whenever the door to the vault is opened; and (D) Have clear, glass-like tables, if the vault is used to count the kiosk drop.

(25) All transactions with the vault shall be supported by documentation, except for even exchanges of currency of one hundred dollars ($100) or less.

(26) All transfers of funds of more than five hundred dollars ($500) shall be escorted by security and observed by surveillance.

(27) A sportsbook cage shall have an operating balance not to exceed an amount described in the internal controls. Funds in excess of the operating balance shall be transferred to the vault at the end of each shift in a secured, locked container by an employee of the sportsbook cage escorted by a security officer. Prior to transporting the funds, security shall notify surveillance that the transfer will take place. Surveillance shall monitor the transfer. The funds shall be transferred with appropriate documentation.

(28) At the end of each shift, the outgoing vault cashier shall count the vault inventory, record the inventory detail and the total inventory on a vault accountability form, and sign the form. The vault cashier shall also record the opening balance, the amount of each type of accountability transaction, the closing balance, and any variance between the counted inventory and the closing balance.

(29) The assets for which each ticket writer is responsible shall be maintained on an imprest basis. A ticket writer shall not permit any other person to access his or her imprest inventory.

A ticket writer shall begin a shift with an imprest amount of currency and coin to be known as the sports wagering inventory. No funds shall be added to, or removed from, the sports wagering inventory during such shift, except— (A) In collection of sports wagers;

(B) In order to make change for a patron buying a ticket;

(C) In payment of winning tickets;

(D) In payment for sports wagering vouchers;

(E) In transfers with the sports wagering vault; or (F) To refund a voided or cancelled wager.

(30) Retail licensees shall not accept or cash checks.

(31) A sports wagering count sheet shall be completed for the inventory issued to a ticket writer and signed by the sports wagering supervisor, and the following information, at a minimum, shall be recorded thereon at the commencement of a shift:

(A) The date, time, and shift of preparation;

(B) The denomination of currency and coin in the sports wagering inventory issued to the ticket writer;

(C) The total amount of each denomination of currency and coin in the sports wagering inventory issued to the ticket writer;

(D) The sports wagering station number to which the ticket writer is assigned; and (E) The signature of the sports wagering supervisor.

(32) A ticket writer assigned to a ticket writer station shall, at the beginning of his or her shift, count and verify the sports wagering inventory at the sports wagering vault or other approved location and shall agree the count to the sports wagering count sheet. The ticket writer shall sign the count sheet attesting to the accuracy of the information recorded thereon. The sports wagering inventory shall be placed in a secured ticket writer's drawer, transported directly to the appropriate ticket writer station by the ticket writer. The ticket writer’s original sports wagering count sheet shall be placed in and remain in the ticket writer’s drawer until the conclusion of the shift. The ticket writer’s drawer shall be secured when the ticket writer is not present in the sportsbook.

(33) Whenever funds are transferred from the vault to a ticket writer, the vault cashier responsible for the vault shall prepare a two- (2-) part writer transfer-out form. Upon completion of the form, the duplicate shall be retained by the vault cashier and the original shall be retained by the ticket writer. The form shall include, at a minimum, the— (A) Date and time of the transfer;

(B) Designation of the vault location;

(C) Ticket writer station to where the funds are being transferred;

(D) Amount of each denomination being transferred;

(E) Total amount of the transfer;

(F) Signature of the vault cashier verifying and issuing the funds; and (G) Signature of the ticket writer verifying and receiving the funds.

(34) Whenever funds are transferred from the ticket writer to a vault, a two- (2-) part writer transfer-in form shall be prepared. Upon completion of the form, the original shall be immediately transferred with the funds to the vault and the duplicate shall be retained by the ticket writer. The form shall include, at a minimum, the— (A) Date and time of the transfer;

(B) Designation of the vault location to where the funds are being transferred;

(C) Ticket writer station from which the funds are being transferred;

(D) Amount of each denomination of cash and currency being transferred;

(E) Total amount of the transfer;

(F) Signature of the ticket writer verifying and sending the funds to the vault; and (G) Signature of the vault cashier verifying and receiving the funds.

(35) At the conclusion of a ticket writer’s shift, the content in the ticket writer’s drawer shall be transported directly to the vault or to a location approved by the commission, where the ticket writer shall count the contents and record the following information, at a minimum, on the sports wagering count sheet:

(A) The date, time, and shift of preparation;

(B) The denomination of currency, coin, and coupons in the drawer;

(C) The total amount of each denomination of currency, coin, and coupons in the drawer;

(D) The total of the writer transfer-out forms;

(E) The total of the writer transfer-in forms;

(F) The total amount in the drawer; and (G) The signature of the ticket writer.

(36) The sports wagering supervisor shall compare the ticket writer system closing balance to the sports wagering count total, record any over or short amount, and sign the sports wagering count sheet.

(37) If the sports wagering count sheet lists an overage or shortage, the ticket writer and the sports wagering supervisor shall attempt to determine the cause of the discrepancy in the count. If the discrepancy cannot be resolved, such discrepancy shall be reported to the surveillance department and the sports wagering manager or department supervisor in charge at such time. Any discrepancy in excess of five hundred dollars ($500.00) shall be reported to the commission. The report shall (A) Date;

(B) Shift;

(C) Name of the ticket writer;

(D) Name of the supervisor;

(E) Station number; and (F) Amount of the discrepancy.

(38) The premises where any sports wagering or any sports wagering activity is being conducted shall be open for inspection by the commission. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.490 Mandatory Drops {#sec-11-csr-45-20.490 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.490}

PURPOSE: This rule establishes the requirement for mandatory drops for Retail licensees.

(1) Retail licensees shall drop and count the licensee’s gross receipts from sports wagering at least once every seven (7) calendar days.

(2) Retail licensees shall report to the commission the time(s) when the required drop devices of kiosks will be removed and the contents counted. All drop devices shall be removed and counted at the time(s) previously designated to the commission. Removal and counting of contents at any time(s) other than the designated time(s) is prohibited unless the licensee provides advance written notice to the commission of a change in time(s). An emergency removal of the funds may only be conducted due to a drop device malfunction or full drop device and shall be conducted in accordance with the approved internal controls.

(3) Retail licensees shall follow the approved internal controls for dropping and counting gross receipts. The internal control procedures shall comply with the following:

(A) The keys to drop devices and the count room or vault shall be considered sensitive keys and handled accordingly;

(B) The locks for drop devices shall be maintained in an identified secure location;

(C) Drops shall be counted in the commission-approved count room or vault;

(D) The count room or vault shall have— 1. Solid outer walls;

2. No windows that can be opened; and 3. Clear, glass-like count tables for emptying, sorting, and counting the contents of the drop devices;

(E) The count room or vault shall be locked when the room is unoccupied and locked from the interior during the count;

(F) The count room shall not contain any supplies and equipment not related to the count process, unless otherwise approved in the internal controls;

(G) Individuals accessing the count room or vault, except security, vault cashier, internal and external auditors, and commission personnel shall wear a one- (1-) piece, pocketless jumpsuit;

(H) Once the count has begun any person exiting the count room or vault, for any reason other than to complete the drop, shall remove his or her jumpsuit. A security officer shall observe the individual removing the jumpsuit to detect any assets that may have been concealed on the employee’s person.

The jumpsuit shall be removed directly outside the count room door or vault;

(I) When accessing the count room or the vault for the count of kiosks, at least two (2) persons shall be present for the duration of the access;

(J) A security officer shall inspect all containers, equipment, paperwork, and other items being removed from the count room or vault;

(K) The count of the contents from each drop device or collection bag shall be recorded on the count sheet or into a computer system prior to commingling the funds with funds from other devices; and (L) No funds other than the sports wagering drop shall be in the count room or vault during the sports wagering count unless the other funds are secured for the duration of the count. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.500 Accounting Records {#sec-11-csr-45-20.500 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.500}

PURPOSE: This rule establishes standards for accounting records for licensees.

(1) Retail and Mobile licensees shall maintain complete, accurate, legible, and permanent records of all transactions pertaining to its revenues, expenses, assets, liabilities, and equity.

(2) Official League Data Provider licensees shall maintain complete, accurate, legible, and permanent records of all data sales to Retail and Mobile licensees.

(3) The accounting records shall be maintained in accordance with generally accepted accounting principles using a doubleentry system of accounting, with transactions recorded on an accrual basis and supported by detailed, supporting, and subsidiary records.

(4) Retail and Mobile licensees shall maintain a general ledger chart of accounts and accounting classifications. The chart of accounts shall be the minimum level of detail to be maintained for each accounting classification by each licensee.

(5) The detailed, supporting, and subsidiary records shall include at a minimum the following:

(A) Detailed records identifying all revenues, expenses, assets, liabilities, and equity for each licensee;

(B) Records of all investments, advances, loans, and receivables due to the licensee;

(C) Records related to investments in property and equipment;

(D) Records of all loans and other amounts payable by the (E) Journal entries prepared by the licensee or an independent certified public accountant;

(F) Tax workpapers used in preparation of any state or federal tax return;

(G) Records which identify by sporting contest or event, gross sports wagering receipts, winnings paid to wagerers, tier one sports wagers, tier two sports wagers, ticket redemptions, voucher issuances and redemptions, and such other information relating to sports wagering as required by its internal control system;

(H) Records of— 1. All cash and cash equivalents received by a licensee from sports wagering;

2. All cash and cash equivalents paid out as winnings to 3. The actual costs paid by a licensee for anything of value provided to and redeemed by patrons, including merchandise or services distributed to patrons to incentivize sports wagering;

3. Voided and cancelled wagers;

4. The cost of free play or promotional credits provided to and redeemed by the applicable licensee’s patrons;

5. Any sums paid as a result of any federal tax, including 7. Uncollectible sports wagering receivables;

(I) Records of the cost for complimentary goods and services;

(J) Records of any player reward program incentives;

(K) Records required to fully comply with all federal financial recordkeeping as required by federal law;

(L) Workpapers supporting the daily reconciliation of cash and cash equivalents accountability; and (M) Records required by the licensee’s internal control system.

(6) If a Retail or Mobile licensee fails to maintain records used to compute taxes or fees due to the state, the commission may compute and determine the amounts due on the basis of an audit conducted by the commission, available information, statistical analysis, or a combination of these.

(7) Retail and Mobile licensees shall permit the commission or commission agents access to its books and records upon request. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.510 Record Retention {#sec-11-csr-45-20.510 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.510}

PURPOSE: This rule establishes record retention requirements for Retail and Mobile licensees.

(1) Retail licensees and Mobile licensees shall maintain in a place, secure from theft, loss, or destruction, adequate records of business operations and all records noted in this chapter or the internal control system that shall be made available to the commission upon request. These records shall be maintained for five (5) years or longer if otherwise prescribed by general accounting and auditing procedures, litigation needs, or state or federal law. These records shall be maintained either physically or digitally in a manner accessible to the commission.

(2) Retail licensees and Mobile licensees shall keep accurate, complete, and legible records of any books, records, or documents pertaining to, prepared in, or generated by the sports wagering operation, regardless of physical form, characteristics, or subject matter. Such records shall include but are not limited to all forms, reports, accounting records, ledgers, subsidiary records, computer maintained and generated data, internal audit records, internal control records, patron complaints, copies of all promotional material and advertising, correspondence, and personnel records.

(3) All records shall be organized and indexed in such a manner to provide immediate accessibility to the commission upon request.

(4) Records required to be maintained by this chapter or the internal controls shall not be destroyed prior to five (5) years without prior approval of the commission, unless a shorter retention period is expressly noted in the regulations. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.520 Standard Financial and Statistical Records {#sec-11-csr-45-20.520 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.520}

PURPOSE: This rule establishes standards for standard financial and statistical records for Retail and Mobile licensees.

(1) Retail licensees and Mobile licensees shall file monthly reports of statistical data and annual reports of their financial statements with the commission using electronic transmission as prescribed in this rule. Financial statements shall include a balance sheet, income statement, statement of cash flows, and statement of changes in equity.

(2) All reports, other than the statistical data report, required under this rule shall be prepared in accordance with generally accepted accounting principles.

(3) The following shall be included in the monthly statistical data report:

(A) Wager by event type (i.e., football, baseball, etc.);

(B) Handle by event type;

(C) Payout by event type; and (D) Taxable adjusted gross revenue by event type.

(4) Annual reports shall be based on the Retail licensee’s or Mobile licensee’s fiscal year. Monthly statistical reports shall be based on calendar months.

(5) Reports required to be filed pursuant to this rule and any supporting schedules and documentation for the reports, as prescribed by the commission, shall be submitted electronically no later than the required filing date. The required filing dates are as follows:

(A) Monthly reports shall be due by the fifteenth calendar day of the following month regardless of whether or not the fifteenth day falls on a weekend or holiday; and (B) Annual reports shall be due ninety (90) calendar days following the end of the licensee’s fiscal year or ten (10) days after Form 10-K is filed with the Securities and Exchange Commission, whichever comes first.

(6) Retail licensees and Mobile licensees shall submit any adjustments to the reports resulting from review or audit by the commission within five (5) business days after written notification.

(7) Delays in electronic transmissions are the Retail licensee’s or Mobile licensee’s responsibility.

(8) Any adjustments resulting from the annual audit performed by an independent certified public accountant shall be recorded in the accounting records of the period to which it relates. In the event that the adjustments were not reflected in the Retail licensee’s or Mobile licensee’s annual report and the independent certified public accountant concludes the adjustments are material, a revised report shall be submitted to the commission. The revised filing shall be due within thirty (30) calendar days after written notification to the licensee.

(9) Retail licensees and Mobile licensees shall furnish to the commission, upon its written request, statistical and financial data for the purpose of compiling, evaluating, and disseminating financial information regarding the economics and trends within the sports wagering industry in Missouri. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.530 Annual and Special Audits and Other Reporting Requirements {#sec-11-csr-45-20.530 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.530}

PURPOSE: This rule establishes standards for annual and special audits for Retail and Mobile licensees.

(1) An annual audit shall be performed of the annual financial statements of the Missouri sports wagering operation of each Retail and Mobile licensee. If a licensee has audited financial statements prepared at the parent company level, the licensee shall include with its audited consolidated financial statements a supplemental schedule, which may be unaudited, of the licensee’s sports wagering operations in Missouri. The annual audit shall be performed by an independent certified public accountant who is or whose firm is licensed in the state of Missouri.

(2) The annual audit shall be performed in accordance with generally accepted auditing standards. The annual audit report is to be presented in accordance with generally accepted accounting principles and contain the opinion of the independent certified public accountant as to its fair presentation in accordance with the generally accepted accounting principles.

(3) The commission may require, for just cause, a special audit of a Retail or Mobile sports wagering operation to be conducted by an independent certified public accountant who is, or whose firm is, licensed in Missouri. The commission shall establish the scope, procedures, and reporting requirements of any special audit.

(4) Each Retail and Mobile licensee shall prepare a written response to each finding noted in the independent certified public accountant’s report. The response shall indicate in detail the corrective action taken and shall be incorporated in the independent certified public accountant’s report.

(5) The annual report required under this rule shall be submitted electronically no later than ninety (90) days after the last day of the licensee’s fiscal year.

(6) All of the audits and reports required by this rule shall be prepared at the sole expense of the Retail or Mobile licensee. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.540 Wagering Tax {#sec-11-csr-45-20.540 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.540}

PURPOSE: This rule establishes standards for the wagering tax.

(1) For the purposes of this rule, “wagering tax” means the tax assessment due pursuant to Article III, Section 39(g), of the Missouri Constitution. Each Retail and Mobile licensee is subject to a tax liability assessment. Wagering tax shall be calculated on a cash basis, meaning wagers shall be reported when received by the licensee and deductions for winning wagers shall only be reported when the patron has been paid or when funds have been remitted to the Gaming Commission Fund in accordance with the rules.

(2) Wagering taxes shall be paid via an electronic funds transfer system employing an Automated Clearing House Debit method (ACH-Debit). Each Retail and Mobile licensee shall maintain an account with sufficient funds to pay, in a timely fashion, all tax liabilities due. The account shall be maintained at a financial institution capable of making electronic funds transfer payments to the state.

(3) The commission will provide a computer program for the input of tax calculation information for the monthly sports wagering tax remittal. Each Retail and Mobile licensee shall enter the required data for the calculation of the tax liability for each monthly reporting period by the due date.

(4) The monthly sports wagering tax remittal shall be submitted to the commission no later than 12:00 noon Central time on the due date. Wagering tax payments shall be transferred electronically to the commission’s designated financial institution no later than 12:00 noon Central time on the due date. For purposes of tax schedules and tax payments, the due date shall be the fifteenth day of the month following the calendar month in which the adjusted gross revenue was received and the wagering tax obligation was accrued. The tax payment shall be remitted by the due date regardless of whether or not the fifteenth day falls on a banking day.

(5) The wagering tax imposed on the Retail or Mobile licensee shall be based on adjusted gross revenue from sports wagering.

Adjusted gross revenue for a given month equals the total value of all cash and cash equivalents received by the licensee for sports wagers minus the total of— (A) All cash and cash equivalents paid out as winnings to sports wagering patrons;

(B) The actual cost paid by a licensee for anything of value provided to and redeemed by patrons, including merchandise or services distributed to sports wagering patrons to incentivize (C) Voided wagers;

(D) Cancelled wagers;

(E) The cost of free play or promotional credits provided to and redeemed by the applicable licensee’s patrons, provided that the aggregate amount of such cost of free play or promotional credits that may be deducted under this subsection in any calendar month shall not exceed twenty-five percent (25%) of the total of all cash and cash equivalents received by the applicable licensee for such calendar month;

(F) Any sums paid as a result of any federal tax, including (G) Uncollectible sports wagering receivables, not to exceed two percent (2%) of the total of all sums, less the amount paid out as winnings to sports wagering patrons.

(6) If the amount of adjusted gross revenue in a calendar month is a negative number, the licensee shall remit no sports wagering tax for that calendar month. Any negative adjusted gross revenue shall be carried over and calculated as a deduction in the subsequent calendar months until the negative balance has been brought to zero.

(7) The sports wagering tax remittal shall include all information necessary for adjustments and reconciliation of tax liability and shall be subject to audit by the commission.

Adjustments to previously reported tax information shall be made by the licensee, except that no adjustment of twenty-five thousand dollars ($25,000) or more shall be made to previously reported adjusted gross revenue without the prior written approval of the commission. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.550 Procedures for Accounting and Revenue Audit {#sec-11-csr-45-20.550 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.550}

PURPOSE: This rule establishes requirements for accounting and revenue audit reviews.

(1) Retail licensees shall generate the following daily reports from the sports wagering system, each of which shall include the gaming date:

(A) A sports wagering intake summary report, which includes the following transaction information for each ticket writer location:

1. Tickets written;

2. Tickets paid;

3. Tickets voided;

4. Each ticket cancelled;

5. Vouchers redeemed;

6. Over or short amount of ticket writer’s drawer; and 7. Grand total of each transaction type for all ticket writers;

(B) A sports wagering ticket expiration detail report, which shall list the following for each expired ticket:

1. Ticket identification number;

2. Date and time of ticket issuance;

3. Event;

4. Wager description;

5. Wager amount; and 6. Payout amount;

(C) A sports wagering voided ticket report, which shall 1. Ticket identification number;

2. Date and time of ticket issuance;

3. Event;

4. Wager description;

5. Wager amount;

6. Ticket writer name or identification number; and 7. Reason for void;

(D) A sports wagering cancelled ticket report, which shall 1. Ticket identification number;

2. Date and time of ticket issuance;

3. Event;

4. Wager description;

5. Wager amount; and 6. Reason for cancellation;

(E) A sports wagering ticket liability report, which shall list the following for each outstanding ticket:

1. Ticket identification number;

2. Date and time of ticket issuance;

3. Event;

4. Wager description;

5. Amount; and 6. Status (for example, pending or complete); and (F) A sports wagering voucher liability report, which shall list the following for each unpaid voucher:

6. Voucher identification number;

7. Date and time of voucher issuance; and 3. Amount of the voucher.

(2) Sports wagering gross revenue for retail operations shall equal the total of all wagers received less voided or cancelled wagers and amounts paid out for winning wagers, as reported on the sports wagering results summary report.

(3) A revenue auditor shall reconcile the sports wagering results summary report to the sports wagering intake summary report. Any discrepancy shall be reported to the tax section of (4) Any overages identified on the Retail licensee’s sports wagering intake summary report shall be added to sports wagering revenue, unless otherwise authorized by the tax section of (5) Retail and Mobile licensees shall generate monthly reports from the sports wagering system as supporting documentation for each amount reported on the monthly sports wagering tax remittal. These reports shall contain detailed information sufficient to support the totals for each number used in adjusted gross revenue. Each report(s) shall include the date and time range for which it was generated and the date and time the report was created. These reports shall be provided to the commission upon request.

(6) Mobile licensees shall generate, on a daily basis, a sports wagering liability report. The report shall be provided to the commission upon request. The report shall include the— (A) Date and time generated;

(B) Patron account identifier;

(C) Wager identification number;

(D) Event type;

(E) Wager description;

(F) Date and time of issuance;

(G) Event date;

(H) Amount; and (I) Status (for example, pending or complete).

(7) For Retail licensees, a revenue auditor shall, on a daily basis, reconcile issued and redeemed vouchers to the change in the unpaid vouchers dollar amount using the reports generated by the system. Any variances shall be investigated and the results shall be documented.

(8) For Retail licensees, a revenue auditor shall, on a daily basis, compare for each ticket writer station the write and payouts to the cash proceeds and the disbursements and document any variances. The revenue auditor shall investigate all variances of one hundred dollars ($100) or more per ticket writer. The results of the investigation shall be documented.

(9) For Retail licensees, a revenue auditor shall, on a daily

basis, select a random sample of five (5) paid transactions from the sports wagering system transaction report and trace the transaction to the patron’s copy of the paid ticket.

(10) For Retail and Mobile licensees, a revenue auditor or compliance employee shall, on a monthly basis, perform the following for all winning tickets in excess of ten thousand dollars ($10,000) and for a random sample of ten (10) of all other winning tickets:

(A) Recalculate and regrade the tickets using the record of event results;

(B) Compare the date and starting time of the event per the results report to the date and time on the ticket and on the sports wagering system transaction report; and (C) Compare the terms of the wagers (e.g., point spreads or money lines) per the sports wagering system transaction report or other report indicating all point spreads and money lines at which wagers were written to an independent source for any questionable activity. For winning tickets, the terms of the wagers can be compared to an independent source such as a newspaper (or its website), a sports league website, a licensed sports information service, or other reputable source.

(11) For Retail licensees, on a daily basis, a revenue auditor shall perform the following for payouts made without sports wagering system authorization at the time of payment— (A) Trace all payouts to the sports wagering system transaction report or the purged tickets report to verify authenticity of the initial wager;

(B) For payouts subsequently entered into the sports wagering system by sports wagering personnel, compare the manual payout amount to the sports wagering system amount; and (C) For payouts not entered into the sports wagering system by sports wagering personnel, the payout shall be entered into the sports wagering system and the revenue auditor shall compare the manual payout amount to the sports wagering system amount. If the system is inoperative, manually regrade the ticket to ensure the proper payout amount was made.

(12) For Retail licensees, a revenue auditor shall, on a daily

basis, perform the following for all voided tickets:

(A) Examine the sports wagering system reports which display voided ticket information to verify that tickets were properly voided in the computer system;

(B) Examine the voided tickets for a void designation and proper signatures, and for not-in-computer voids, examine the date and time stamp on the ticket for the time of the void; and (C) For a sports wagering system that prints voided tickets, verify a voided ticket is attached to the original ticket.

(13) For Retail and Mobile licensees, on a weekly basis, system exception reports shall be reviewed, by an individual independent of the transaction, for propriety of transactions and unusual occurrences including but not limited to changes in odds, cut-off times, results, and event data (both information input by book employees and information provided directly by a disseminator); in-progress events and void authorizations.

All noted improper transactions or unusual occurrences noted during the review of exception reports shall be investigated with the results documented. If a regulatory violation is found, it shall be reported to the commission. An exception report is defined as a report produced by the computerized system identifying unusual occurrences, changes to system configuration parameters, alteration to initially recorded data, voids, etc.

(14) For the last day of each month, Retail and Mobile licensees shall verify the cash reserve meets all requirements of this

chapter. By the fifteenth day of the following month, each licensee shall remit to the commission a monthly attestation of the cash reserve compliance with accompanying documentation.

(15) For Retail licensees, for one (1) day per calendar quarter, a revenue auditor shall— (A) Recalculate and verify the change in the unpaid winners balance to the total purged tickets;

(B) If future wagers are accepted, review the sports wagering system reports to ascertain that future wagers are properly included in write on the day the wager was accepted; and (C) Select twenty (20) winning tickets to verify that the wager was accepted and payouts were made in accordance with the posted house rules.

(16) For Retail licensees, revenue audit or compliance personnel shall, on a daily basis, review all wagering multiple transaction logs and either ensure that Currency Transaction Reports (CTRs) have been completed for all reportable transactions or prepare CTRs for all reportable transactions pursuant to federal law.

(17) For all promotions, promotional payouts (including payouts from computerized player tracking activity), drawings, and giveaway programs for Retail and Mobile licensees, the following documentation shall be maintained:

(A) Copies of the information provided to the patrons describing the promotion, promotional payouts, drawings, and giveaway programs (e.g., brochures or flyers);

(B) Effective dates;

(C) A list of winners and the amount won by each; and (D) Accounting treatment, including general ledger accounts, if applicable.

(18) Retail and Mobile licensees shall, on a monthly basis, perform procedures to ensure that promotional payouts, drawings, and giveaway programs are conducted in accordance with the conditions in the dated, written rules of the promotion.

The results of the review shall be documented and maintained.

(19) Sensitive keys for Retail licensees include but are not limited to keys used to access designated nonpublic gaming areas, date and time stamping machines, ticket writer drawers, and kiosks. Quarterly, an inventory of all sensitive keys shall be performed and reconciled to records of keys made, issued, and destroyed. Investigations shall be performed for all keys unaccounted for, with the investigations being documented.

(20) For sports wagering computerized player tracking systems for Retail and Mobile, an accounting or revenue audit employee shall perform the following procedures at least one (1) day per quarter:

(A) Review for propriety all point addition/deletion authorization documentation, other than for point additions/deletions made through an automated process;

(B) Review exception reports for propriety of transactions and unusual occurrences. The review should include but is not limited to transfers between accounts; and (C) Review the documentation related to reactivating inactive and closed accounts to verify an employee reviewed the inactive account and affirmed that the account is permitted to be reopened prior to reopening.

(21) Documentation (e.g., log, checklist, notation on reports, and tapes attached to original documents) shall be maintained evidencing the performance of sports wagering audit procedures, including any reviews, the exceptions noted, and follow-up of all audit exceptions. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.560 Internal Audit Procedures for Retail Licensees {#sec-11-csr-45-20.560 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.560}

PURPOSE: This rule establishes internal audit procedures for retail sports wagering operations.

(1) At least semi-annually for each kiosk, internal audit shall foot the winning tickets and the vouchers redeemed for a week and trace the totals to the totals recorded in the system(s) and the related accountability document. Internal audit shall document the test and the results of investigations into all variances, by kiosk.

(2) Procedures shall be performed semi-annually to verify the integrity of the sports wagering system (e.g., ensure that vouchers are only being created by active terminals on the casino floor). The nature of the review shall be delineated in the written internal control system. Internal audit shall review a sequential voucher exception report, if available, for breaks in the sequence or other unusual activity. Internal audit shall investigate improper transactions or unusual occurrences and document the results.

(3) At least semi-annually, internal audit personnel shall foot the write on the sports wagering system’s record of written tickets for a minimum of three (3) ticket writers for each sportsbook for two (2) days and trace the total to the total produced by the sports wagering system.

(4) At least semi-annually, internal audit personnel shall foot the patrons’ copies of paid tickets for a minimum of one (1) ticket writer station for one (1) day per month and trace the totals to those produced by the sports wagering system.

(5) At least semi-annually, for two (2) days, internal audit personnel shall foot the redeemed vouchers for one (1) ticket writer station and trace the totals to those produced by the system(s).

(6) The results of the aforementioned internal audit reviews shall be included in an audit report submitted to the commission no later than ninety (90) days following the semi-annual audit period. The report shall include the auditee’s response to any audit exceptions. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.570 Promotions and Marketing {#sec-11-csr-45-20.570 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.570}

PURPOSE: This rule establishes requirements for sports wagering promotions and marketing campaigns for Retail and Mobile licensees.

(1) Retail licensees and Mobile licensees may offer sports wagering promotions, which are any events designed to attract patrons. Promotions include but are not limited to contests, drawings, games, player reward programs, coupons, giveaways, free play, and promotional credit offers. Licensees shall be responsible for the conduct of promotional activities.

(2) For the purposes of this rule, advertising and marketing includes but is not limited to— (A) Direct mail or electronic mail;

(B) Telemarketing;

(C) Broadcast media;

(D) Billboards or signage;

(E) Internet advertising;

(F) Promotional material; and (G) Patron acquisition, referral, reward, or retention programs.

(3) Retail licensees and Mobile licensees shall create and maintain dated, written rules governing each promotion offered. The written rules shall— (A) Include terms and conditions that are full, accurate, clear, concise, and transparent, and shall not contain misleading information;

(B) Disclose applicable terms if the patron has to risk or lose the patron’s own money as part of the promotion or has conditions attached to the patron’s own money as a result of the promotion;

(C) Not be described as risk-free if the patron needs to incur any loss or risk the patron’s own money to use or withdraw winnings from the risk-free bet; and (D) Not restrict the patron from withdrawing the patron’s own funds or withdrawing winnings from bets placed using the patron’s own funds.

(4) Retail licensees and Mobile licensees shall ensure advertising materials for promotions include material terms and conditions for that promotion and have those material terms in close proximity to the headline claim of the promotion and in a reasonably prominent size. Material conditions include information about the cost to participate and the nature of the promotion, to assist patrons in understanding the terms and conditions of the promotion.

(5) Retail licensees and Mobile licensees shall ensure the promotional rules pertaining to any available promotions are accessible to patrons and the commission upon request. Any advertisement or information provided to patrons for a promotion shall be consistent with the rules of the promotion.

(6) Retail licensees and Mobile licensees shall maintain a record of all promotional wagering offers for five (5) years in a file that shall be provided to the commission upon request. All promotional wagering offers shall be stated in clear and unambiguous terms and shall be readily accessible by the patron before and after the offer is accepted and prior to completion. Offer terms and the record of all offers shall include at a minimum— (A) The date and time made publicly available;

(B) The date and time the offer is active and expires;

(C) Patron eligibility, including any limitations on patron participation;

(D) Any restriction on withdrawals of funds;

(E) Wagering requirements and limitations;

(F) The order in which funds are used for wagers;

(G) Eligible events or wagers; and (H) Rules regarding cancellation.

(7) Retail licensees and Mobile licensees shall be responsible for the content and conduct of any and all advertising or marketing done on its behalf or to its benefit whether conducted by the licensee, an employee or agent of the licensee, an affiliated entity, or a third party pursuant to contract.

(8) Retail licensees and Mobile licensees shall retain a copy of all advertising and marketing materials intended to promote any sports wagering operation in the state of Missouri, including a publication log, to be retained for five (5) years, of when and how those materials have been published, aired, displayed, or distributed.

(9) All advertising and marketing materials and the publication log shall be made available to the commission upon request.

(10) Retail licensees and Mobile licensees shall use commercially and technologically reasonable means to ensure marketing and advertisments— (A) Do not purposefully target individuals under twenty-one (21) years of age;

(B) Do not purposefully target individuals who have selfexcluded from sports wagering;

(C) Are not false, misleading, or deceptive to a reasonable consumer; and (D) Clearly and conspicuously disclose the material terms of any promotional offer in the advertisement. Any promotion or advertisement shall provide the consumer with the full and complete terms of a promotion by providing a website, or other location in the promotional advertisement, that directs the viewer to where the full and complete promotional terms can be viewed. This may be satisfied by the promotional advertisement containing a hyperlink that takes the viewer directly to the full and complete offer and terms.

(11) All advertising and marketing materials published, aired, displayed, or distributed by or on behalf of any Retail licensee or Mobile licensee— (A) Shall not directly advertise or promote sports wagering to individuals under twenty-one (21) years of age;

(B) Shall prominently display information regarding compulsive gaming (e.g., toll-free helpline, problem gambling website, etc.);

(C) Shall state patrons must be twenty-one (21) years of age or older to wager;

(D) Shall not contain images, symbols, celebrity or entertainer endorsements, or language designed to appeal specifically to those under twenty-one (21) years of age;

(E) Shall not feature anyone who is, or appears to be, under twenty-one (21) years of age;

(F) Shall not be published, aired, displayed, or distributed in media outlets, including social media, that appeal primarily to individuals under twenty-one (21) years of age;

(G) Shall not be placed before any audience where the majority of the viewers or participants are presumed to be under twenty-one (21) years of age;

(H) Shall not imply greater chances of winning versus other licensees;

(I) Shall not imply greater chances of winning based on wagering in greater quantity or amount;

(J) Shall not indicate that any promotional credits or funds are “free” if there are any monetary conditions that are required to be met to obtain the promotional credits or funds; and (K) Shall, for all direct marketing, allow the option to unsubscribe.

(12) Retail licensees and Mobile licensees shall not enter into an agreement with a third party to conduct advertising or marketing on behalf of, or to the benefit of, the licensee when compensation is dependent on, or related to, the volume or outcome of wagers instead of the number of patrons acquired. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.580 Responsible Gaming {#sec-11-csr-45-20.580 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.580}

PURPOSE: This rule establishes requirements for responsible gaming.

(1) An online sports wagering platform shall permit a patron to voluntarily impose limitations on deposits, wagers that can be placed through the online sports wagering platform, and time-based limitations. The self-imposed limitations set by a patron shall not override any more restrictive licensee-imposed limitations.

(2) The online sports wagering platform shall allow, at a minimum, a patron to place daily, weekly, or monthly limits on— (A) His or her time on the platform;

(B) His or her deposits;

(C) Bet limits per wager; and (D) Total wagers.

(3) A limitation selected by a patron shall remain in effect until a patron requests to modify or remove the limitation.

If the request is more restrictive, it shall become effective immediately. If the request is less restrictive or is for removal of the limit, the new limit or removal will only become effective after the more restrictive limit has elapsed.

(4) The online sports wagering platform shall allow a patron to temporarily suspend his or her account.

(5) Patrons shall be permitted to determine the length of time of the temporary suspension, consistent with the Mobile licensee’s terms and conditions, but no such suspension shall be imposed for less than seventy-two (72) hours or greater than one (1) year. The temporary suspension shall not be modified or removed until the selected period of suspension has expired.

(6) The existence of any limitation or temporary suspension shall not prevent a patron from withdrawing funds from an online sports wagering account or requesting closure of the account.

(7) If a patron has imposed a temporary suspension under this

rule, a Mobile licensee shall not send sports wagering-related direct digital marketing or promotional materials to the patron, including but not limited to electronic mail or push notifications.

(8) The Mobile licensee shall display a hyperlink on its online sports wagering platform to responsible gaming information, including but not limited to a hyperlink to the commission’s application for placement on the List of Self-Excluded Persons (9) Retail licensees shall post signs with a statement regarding obtaining assistance with problem gambling. The text must include instructions on accessing information on the commission’s website regarding the self-exclusion program.

The signs must be conspicuously posted and visible from any kiosk or wagering location.

(10) Retail licensees shall post signs stating individuals must be at least twenty-one (21) years old to place sports wagers. The signs must be conspicuously posted and visible from any kiosk or wagering location.

(11) Retail and Mobile licensees shall establish and maintain a self-exclusion program for patrons specific to that licensee. The licensee’s specific self-exclusion program is separate from the commission’s SEP List. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.590 Compulsive Gaming Prevention Fund {#sec-11-csr-45-20.590 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.590}

PURPOSE: This rule establishes standards for distribution of monies from the Compulsive Gaming Prevention Fund.

(1) Pursuant to Article III, Section 39(g), of the Missouri Constitution, the Compulsive Gaming Prevention Fund is a dedicated fund to be utilized for the purposes of— (A) Researching and detecting patterns of compulsive gaming;

(B) Providing counseling and other support services for compulsive and problem gamblers;

(C) Developing and implementing problem gaming treatment and prevention programs; and (D) Providing grants to supporting organizations that provide assistance to compulsive gamblers.

(2) The commission shall utilize interagency agreements with the Missouri Department of Mental Health to facilitate the distribution and use of monies from the fund.

(3) Such agreements shall include the obligations and responsibilities of each agency, including but not limited to— (A) Utilization of fund monies for the causes and programs specified in Article III, Section 39(g), of the Missouri Constitution;

(B) Reporting requirements for use of fund monies; and (C) Submission of budget requests as related to use of fund monies. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.600 Self-Excluded Persons List Created—Right to Self-Exclude from Sports Wagering Activities {#sec-11-csr-45-20.600 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.600}

PURPOSE: This rule establishes a List of Self-Excluded Persons which consists of those persons who have voluntarily declared that they will no longer participate in sports wagering activities in Missouri.

(1) There is hereby created a “List of Self-Excluded Persons” (SEP List) which shall consist of those persons who have complied with the applicable provisions of 11 CSR 45-20.600 through 11 CSR 45-20.640 and have been placed on such SEP List by the commission. The SEP List is established for the purpose of allowing persons to formally notify the commission that they no longer intend to participate in sports wagering activities in Missouri. The request to be placed on the SEP List shall be made only by the individual seeking to be placed on the SEP List.

Each person seeking placement on the SEP List acknowledges that it is his or her responsibility to refrain from participating in sports wagering activities in Missouri.

(2) The individual filing an initial application for placement on the SEP List is requesting to be excluded from sports wagering activities for five (5) years. The exclusion becomes effective on the date of application, unless otherwise notified by the commission. At the end of the five- (5-) year exclusion period, the individual will be automatically removed from the SEP List, unless the self-excluded person requests to remain on the SEP List for an additional five (5) years.

(3) An individual on the SEP List shall be prohibited from placing wagers and if a wager is identified as having been placed by an individual on the SEP List, that wager shall be deemed void.

(4) An individual who is placed on the SEP List may, at the time of placement or within the following fourteen (14) calendar days, return any in-person wagering ticket to the Retail licensee that issued it to obtain a refund of the original wager amount, provided the refund occurs prior to the commencement of any event or series of events on which the outcome of the wager is dependent. If any event or series of events on which the outcome of the wager is dependent has already commenced or the fourteen (14) calendar days have elapsed, no refund shall be issued.

(5) All Retail and Mobile licensees shall ensure that they have a process for removing any restriction on creating an online sports wagering account or placing a wager by any person after that person’s placement on the SEP List has elapsed at the end of the five- (5-) year exclusion period upon notice from the commission that an individual has been removed from the SEP List.

(6) All Retail and Mobile licensees shall submit internal controls which set forth the following:

(A) The licensee’s plan for removing those persons on the SEP List from advertising its Missouri operation, such as marketing offers, player reward programs, VIP member programs, telemarketing programs, and other such marketing promotions; however, this rule shall not be construed to prohibit mass mailings to “Resident”;

(B) The licensee’s plan for using commercially and technologically reasonable methods to ensure that marketing and advertisements do not purposely target persons on the SEP List; and (C) The licensee’s plan for denying access by persons on the SEP List to— 1. Cash advances, credit card transactions, debit card transactions, and wire transfers for deposits into the patron’s wagering account or for placing wagers;

2. Sports wagering player reward programs or other promotions;

3. Sports wagering;

4. Creation of online sports wagering accounts;

5. Sports wagering privileges; and 6. Collect taxable winnings or prizes and any winnings greater than three thousand dollars ($3,000) at retail locations and all winnings for mobile wagers for wagers placed after placement on the SEP List.

(7) After an individual’s application for placement on the SEP List has been reviewed and approved by the commission staff and the individual’s name is added to the SEP List, that individual shall remain on the SEP List until five (5) years has elapsed. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.610 Procedure for Applying for Placement on the List of Self-Excluded Persons {#sec-11-csr-45-20.610 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.610}

PURPOSE: This rule establishes the procedure for placement on the commission’s List of Self-Excluded Persons (SEP List).

(1) The commission may place a person on the SEP List if the person has— (A) Filed an application for placement on the SEP List with the commission. The applicant agrees that placement on the SEP List is for five (5) years and the commission is not authorized to remove a person from the SEP List until such five- (5-) year period has elapsed. By filing the application, the applicant acknowledges that licensees may use the information provided in the application to notify their affiliated sports wagering operations that the applicant has self-excluded from sports wagering. Therefore, the applicant may be excluded from sports wagering in other jurisdictions as a result of his or her request to be placed on the SEP List. The applicant agrees that any unsettled in-person wagers may be voided and refunded within fourteen (14) calendar days of placement on the list and all unsettled online wagers will be voided and refunded.

The applicant agrees that once placed on the SEP List, if he or she is discovered to be participating in sports wagering, any winnings will be forfeited. The application for placement on the SEP List shall include— 1. The applicant’s full name and all aliases;

2. A physical description including height, weight, hair and eye color, ethnic origin, and any other noticeable physical characteristics;

3. The applicant’s current home address;

4. The applicant’s mobile phone number;

5. All email addresses used by the applicant;

6. Social Security number, when voluntarily provided in accordance with section 7 of the Privacy Act of 1974 (5 U.S.C.

section 552a) or International Identification Number;

7. Date of birth;

8. A copy of the applicant’s valid, federal or state-issued identification;

9. A photograph of the applicant suitable for the commission and licensees to use in identifying the person requesting to be placed on the SEP List;

10. A photograph of the applicant holding his or her valid, federal or state-issued identification suitable for the commission to use in identifying the person requesting to be placed on the SEP List;

11. Interpreter information and affirmation, if applicable;

12. Other information as deemed necessary by the commission to ensure the accuracy of the application;

(B) Submitted a signed acknowledgement verifying he or she wishes to be placed on the commission’s SEP List and the commission is specifically authorized and requested to release all contents of the person’s application to all Retail and Mobile licensees and their agents and employees; and (C) Executed a full and complete waiver/release on a form provided by the commission releasing the commission, all Retail and Mobile licensees, and their affiliates and agents as identified in 11 CSR 45-20.630 from any liability associated with acts or omissions relating to the provisions of 11 CSR 45-20.600 through 11 CSR 45-20.650.

(2) The application shall be verified, reviewed, and either approved or denied by the commission.

(3) An individual applying for placement on the SEP List agrees to forfeit any cash or non-cash benefit, free play, credits, rewards, points, or complimentaries earned by or provided to the individual before the individual submits the application for placement on the SEP List. The individual’s cash balance in his or her online sports wagering account shall remain available for withdrawal or shall be returned to the individual in accordance with the licensee’s internal controls.

(4) Neither this chapter nor any of the rights, duties, or obligations established herein shall create any cause of action, right of action, claim, or other right whatsoever in favor of any person other than the commission against the state of Missouri, the commission, any Retail or Mobile licensee, or any of its agents or employees. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.620 Procedure for Entry of Names onto the List of Self-Excluded Persons {#sec-11-csr-45-20.620 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.620}

PURPOSE: This rule establishes the procedures for entry of names onto the commission’s List of Self-Excluded Persons (SEP List).

(1) Upon filing of an application for placement on the SEP List, the commission may file a notice of placement on the SEP List.

Notwithstanding the status of some information contained therein that may be closed under section 610.021, RSMo, the application and notice may be disclosed to all Retail and Mobile licensees and their agents and employees responsible for ensuring that individuals on the SEP List are not permitted to place wagers.

(2) The commission shall deliver a copy of the notice of placement on the SEP List to the applicant via regular U.S. mail to the address contained on the application, or other address provided by the applicant, or by appointment. The applicant is deemed to be placed on the SEP List at the time the person executes the application for placement on the SEP List, not at the time such notice is delivered to the applicant.

(3) Should the commission find that an applicant does not qualify for placement on the SEP List, the commission shall notify the applicant via regular U.S. mail to the address contained on the application, an email address provided by the applicant, or other address provided by the applicant. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.630 Confidentiality of the List of Self-Excluded Persons {#sec-11-csr-45-20.630 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.630}

PURPOSE: This rule establishes the procedure for maintaining the confidentiality of those placed on the List of Self-Excluded Persons (1) The commission may disclose to each Retail licensee and Mobile licensee and any of its agents or employees responsible for ensuring that individuals on the SEP List are not permitted to place wagers any or all information contained on the person’s application. The commission shall make the current SEP List available to Retail and Mobile licensees for download.

(2) Each Retail licensee and Mobile licensee shall submit to the commission a plan for the dissemination of the information regarding persons placed on the SEP List, as well as persons who have been removed from the SEP List. The plan shall be designed to safeguard, as best as is reasonably possible, the confidentiality of the information but shall include dissemination to the agents or employees of the licensee whose duties require enforcement of the SEP List. Licensees or agents or employees of the licensee may not disclose the name of, or any information about, a person who has been placed on or removed from the SEP List to anyone other than employees and agents of the licensee whose duties and functions require access to the information. The plan must be approved by the commission. All information disclosed to any licensee regarding anyone placed on or removed from the SEP List shall be deemed a closed record; however, the information may be disclosed as authorized by the individual seeking placement on the SEP List, by law, and through the provisions contained in this chapter.

(3) Retail licensees and Mobile licensees may disclose the information contained in the applications to its affiliates or agents of such affiliates who require this information in the performance of their duties. The disclosed information shall be used solely for the limited purposes of assisting in the administration of problem and responsible gaming programs and allowing the affiliate or agent of the affiliate to determine whether to deny a person on the SEP List access to sports wagering or to areas where sports wagering is conducted. Licensees may also disclose the information contained in the applications to entities engaged in marketing activities on their behalf, solely to the extent necessary to prohibit excluded individuals from receiving direct marketing or promotional communications.

The licensee is responsible for maintaining the confidentiality of any information disclosed. Such information shall not be used to deny services unrelated to sports wagering to a person on the SEP List. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.640 Procedure to Re-Establish Self-Exclusion on the List of Self-Excluded Persons {#sec-11-csr-45-20.640 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.640}

PURPOSE: This rule establishes the procedures for extending selfexclusion and re-entry onto the List of Self-Excluded Persons (SEP List) for individuals who have previously been removed from the commission’s SEP List.

(1) Within three (3) months prior to a self-excluded person’s automatic expiration date, the self-excluded person may request to remain on the SEP List without submitting a new application for placement on the SEP List. The self-excluded person will be required to provide proof of identity and acknowledge that he or she will remain on the SEP List for an additional five- (5-) year period from the automatic expiration date.

(2) A former self-excluded person who has been automatically removed from the SEP List may request at any time to reestablish his or her self-exclusion on the SEP List by submitting a new application for placement on the SEP List per the procedures provided in 11 CSR 45-20.610. Re-establishing selfexclusion shall result in placement on the SEP List for an additional five- (5-) year period which will automatically expire at the conclusion of the five- (5-) year period.

(3) An individual may request to remain on the SEP List or reapply to be added to the SEP List as many times as elected by the individual. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

11 CSR 45-20.650 Duties of Licensees Regarding the List of Self-Excluded Persons {#sec-11-csr-45-20.650 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-20.650}

PURPOSE: This rule establishes requirements for Retail and Mobile licensees regarding the commission’s List of Self-Excluded Persons (1) Retail and Mobile licensees shall download the updates to the SEP List from the designated commission server at least once every seven (7) calendar days and update SEP List information in all associated applications within three (3) calendar days of the download of new or updated information.

The updates to the SEP List will include individuals added to and removed from the SEP List since the last update.

(2) Licensees shall ensure any person on the SEP List is removed from all mailing, marketing, and promotional lists and databases using the person’s name, address, and birth date.

(3) Licensees shall not send advertising, marketing, or promotional materials to any person on the SEP List following compliance with section (1) of this rule.

(4) Licensees shall maintain a system designed to detect persons on the SEP List to enforce this chapter.

(5) Prior to performing any of the following transactions with a patron, the Retail licensee shall require the patron to present valid, non-expired state or federal government-issued photo identification. The licensee shall perform a search of the individual’s date of birth as listed on the identification in the downloaded SEP List or the MGC Web SEP List to determine whether the patron is a self-excluded person (SEP). If the search generates any names that have the same first or last name as recorded on the photo identification, the licensee shall research further to determine if the individual presenting the ID is a SEP. The Retail licensee shall check the SEP List prior to performing any of the following transactions:

(A) Accepting a wager greater than five hundred dollars ($500);

(B) Redeeming a winning ticket greater than three thousand dollars ($3,000);

(C) Debit or credit card transactions; or (D) Wire Transfers.

(6) Any Retail licensee or its agent or employee that identifies a person attempting to place a sports wager or collect winnings from a sports wager at a retail sports wagering location and has knowledge that such person is included on the SEP List shall immediately notify the commission and any security officer on duty, refrain from accepting the wager or paying out any winnings to the identified person, and, if applicable, return the wager associated with the winnings to said person.

(7) Retail licensees shall provide a means by which an individual on the SEP List may turn in unredeemed tickets prior to the commencement of an event to obtain a refund within fourteen (14) days of the individual being placed on the list.

(8) Mobile licensees shall— (A) Not allow an individual on the SEP List to activate a new online sports wagering account;

(B) Identify and suspend any online sports wagering account of any individual on the SEP List;

(C) Void all outstanding wagers; and (D) Refund any remaining balance to the patron in a manner consistent with the licensee's internal control system. *Original authority: 313.004, RSMo 1993, amended 1994, 2014, and 313.800-313.850,

Chapter 30 Bingo

11 CSR 45-30.100 Denial of Application or License Renewal. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 {#sec-11-csr-45-30.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.100}

11 CSR 45-30.145 Premises Required to be Open for Inspection {#sec-11-csr-45-30.145 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.145}

11 CSR 45-30.250 Subsidiary Body—Application for License {#sec-11-csr-45-30.250 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.250}

(Rescinded February 29, 2016) ..13

11 CSR 45-30.270 Premises Defined, Inspections, All Gambling and Gambling Devices {#sec-11-csr-45-30.270 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.270}

11 CSR 45-30.300 Equipment Leases, Reasonable Market Rental Rate {#sec-11-csr-45-30.300 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.300}

11 CSR 45-30.335 Participation of Auxiliary, Post or Organization Members in Licensee’s {#sec-11-csr-45-30.335 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.335}

11 CSR 45-30.340 Participation of Full-Time Employee, Full-Time Staff Member, or {#sec-11-csr-45-30.340 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.340}

11 CSR 45-30.360 Unit Container/Box of Pull-Tab Cards Sold, Total Gross Receipts Restricted {#sec-11-csr-45-30.360 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.360}

11 CSR 45-30.480 Package Deals and Tying Arrangements Prohibited {#sec-11-csr-45-30.480 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.480}

11 CSR 45-30.020 Advertising {#sec-11-csr-45-30.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.020}

(Rescinded June 30, 2019)

History

• AUTHORITY: section 313.040, RSMo Supp. 2010 and section 313.065, RSMo 2000. Emergency rule filed June 21, 1994, effective filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed Dec. 14, 1998, effective July 30, 1999. Amended: Filed July 28, 2010, effective Jan. 30, 2011. Rescinded: Filed Nov. 1, 2018, effective June 30, 2019.

11 CSR 45-30.025 Bingo Promotions {#sec-11-csr-45-30.025 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.025}

PURPOSE: This rule establishes the general guidelines and restrictions licensed charitable organizations must follow to conduct “free no charge” promotional events in conjunction with their bingo game, pursuant to section 313.040, RSMo.

(1) Bingo promotions are defined as free drawings, free games, or promotional giveaways in which cash, merchandise, or other item of value is awarded or given away in conjunction with a bingo occasion where participants do not provide any consideration for participation in the promotion.

(2) Bingo promotions are not an authorized cost of conducting a bingo game under section 313.040, RSMo. Any bingo promotion a licensee may choose to conduct in conjunction with a licensed bingo occasion shall be entirely funded from non-bingo funds or donations.

(3) Prizes awarded from bingo promotions will not count against the maximum that a licensed organization may award during any single bingo occasion.

(4) Individuals participating in the management or conduct of a bingo promotion and bingo workers for a bingo occasion involving a bingo promotion may not receive anything of value through that promotion. All other persons sixteen (16) years of age or older will be eligible to enter the bingo hall and participate in the drawing or game without any charge whatsoever, including admission fees, and with no solicitation of any kind for donations to participate.

(5) Bingo promotions will be conducted within compliance of all applicable laws and regulations and in such a manner that the chance of winning any promotional drawing or game shall be equal for all participants. Bingo selection equipment may be used to determine the winner of a bingo promotion.

(6) Licensees will grant Gaming Commission personnel access to all records related to promotions offered in conjunction with licensed bingo upon request.

(7) Licensed bingo organizations may give away pull-tabs, bingo paper, birthday packs, daubers, or other bingo paraphernalia free of charge to the players provided they accurately maintain documentation in their records as to the quantity of product given away during each occasion. The organization must also stipulate in the house rules, which must be posted in a prominent place in the bingo premises, which situations warrant the giveaways.

History

• AUTHORITY: section 313.065, RSMo 2000. Original rule filed March 1, 2002, effective Sept. 30, 2002. Amended: Filed Dec. 1, 2004, effective June 30, 2005. Amended: Filed July 28, 2010, effective Jan. 30, 2011. Amended: Filed June 25, 2015, effective Feb. 29, 2016.

11 CSR 45-30.030 Special Bingo Game {#sec-11-csr-45-30.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.030}

(Rescinded January 30, 2011)

Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed Dec. 1, 2004, effective June 30, 2005.

Rescinded: Filed July 28, 2010, effective Jan. 30, 2011.

11 CSR 45-30.035 Bingo Card {#sec-11-csr-45-30.035 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.035}

PURPOSE: This rule provides a definition of bingo card and its lawful use.

(1) A bingo card is an individual game face marked off into twenty-five (25) squares arranged on five (5) horizontal rows of five (5) squares each with each square being designated by a number, letter, or a combination of numbers and letters, except that the center square on the card shall be designated with the word “free.”

(2) No two (2) bingo cards shall be identical, however, one (1) or more bingo cards may be contained on a bingo sheet.

(3) The price for a single bingo card may not exceed one dollar ($1).

(4) The use of any bingo card for any purpose that is not defined within Chapter 313, RSMo, is prohibited.

(5) During an occasion, a licensee may allow a sight-impaired player to use a Braille bingo card(s) that is owned by the player or purchased from the licensee for use during that occasion.

An equal amount of paper bingo cards must be destroyed in accordance with 11 CSR 45-30.175.

(6) A bingo licensee shall obtain approval from the commission prior to purchasing any Braille bingo cards.

(7) Except when prior approval is obtained from the commission to purchase Braille bingo cards directly from a nonlicensed source, a licensee shall purchase all Braille bingo cards from a Missouri licensed supplier.

(8) A bingo licensee seeking prior approval from the commission to purchase Braille bingo cards from a nonlicensed source shall submit a written request to the commission that contains the name of the source, a sample of the actual Braille bingo card(s) to be purchased, and the purchase price for the Braille bingo card(s).

(9) A licensed Missouri supplier may purchase Braille bingo cards from a nonlicensed source only after receiving prior approval from the commission.

(10) A licensed Missouri supplier seeking prior approval from the commission to purchase Braille bingo cards from a nonlicensed source shall submit a written request to the commission that contains the name of the source, a sample of the actual Braille bingo card(s) to be purchased, and the purchase price for the Braille bingo card(s).

(11) The price for the use of a single Braille bingo card per occasion shall be the same price as all other bingo cards during that occasion.

(12) The use of any Braille bingo card for any purpose that is not defined within Chapter 313, RSMo, is prohibited.

History

• AUTHORITY: section 313.065, RSMo 2000. Original rule filed Dec. 1, 2004, effective June 30, 2005. Amended: Filed Jan. 27, 2006, effective Sept. 30, 2006. Amended: Filed July 28, 2010, effective Jan. 30, 2011.

11 CSR 45-30.040 Occasion {#sec-11-csr-45-30.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.040}

PURPOSE: This rule defines an occasion and limits the total number of games authorized to be played during an occasion to sixty-two games.

(1) An occasion is a single bingo session within the same calendar day during which the total consists of no more than sixty-two (62) bingo games. A licensee may not conduct a bingo session under a special bingo license on the same calendar day the licensee conducts a bingo session under its regular bingo license.

Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed Dec. 1, 2004, effective July 30, 2005.

11 CSR 45-30.050 Gross Receipts Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed July 3, 1995, effective Jan. 30, 1996. {#sec-11-csr-45-30.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.050}

Emergency amendment filed Aug. 5, 1996, effective Aug. 28, 1996, expired Feb. 23, 1997. Amended: Filed Aug. 5, 1996, effective March 30, 1997. Rescinded: Filed Dec. 1, 2004, effective June 30, 2005.

11 CSR 45-30.055 Person {#sec-11-csr-45-30.055 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.055}

PURPOSE: This rule defines person as it relates to sections 313.004 through 313.085, RSMo.

(1) Person—Any individual, corporation, partnership, firm, association, limited liability company or organization or other entity either natural or legal.

History

• AUTHORITY: section 313.065, RSMo Supp. 1997. Original rule filed Sept. 2, 1997, effective March 30, 1998.

11 CSR 45-30.056 Key Person Defined {#sec-11-csr-45-30.056 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.056}

PURPOSE: This rule defines the term key person as it relates to the licensing and conduct of bingo.

(1) For the purpose of sections 313.005–313.080, RSMo and rules thereto, the definition key person shall include:

(A) An officer, director, trustee, proprietor, managing agent, partner, or general manager of an applicant or licensee;

(B) Any individual whose combined direct, indirect, or attributed interest in any publicly traded or privately held supplier or manufacturer applicant or licensee is five percent (5%) or more; and (C) Any individual so designated by the commission or the executive director.

(2) The term key person as defined in section (1) is to be applied in the commission’s licensing approval process for the following licenses:

(A) Bingo Equipment/Supplies Manufacturer’s license; and (B) Bingo Equipment/Supplies Supplier’s license.

(3) Each key person shall submit one (1) set of fingerprints and shall complete a form prescribed and published by the commission with each initial supplier’s or manufacturer’s license application.

(4) When requested by the commission in conjunction with a renewal, each key person shall submit one (1) set of fingerprints and shall complete a form prescribed and published by the (5) An entity shall not be issued a license if the result of a background check of any key person of that entity reveals that the person’s involvement in the entity would tend to discredit charitable bingo operations in Missouri.

rule filed June 30, 2016, effective Feb. 28, 2017. *Original authority: 313.057, RSMo 1984, amended 1986, 1993, 1994, 1996, 2003, 2010

History

• AUTHORITY: sections 313.057 and 313.065, RSMo 2016. Original

11 CSR 45-30.060 Operator(s) {#sec-11-csr-45-30.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.060}

Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed Dec. 1, 2004, effective June 30, 2005.

Rescinded: Filed June 25, 2015, effective Feb. 29, 2016.

11 CSR 45-30.065 Licenses Required {#sec-11-csr-45-30.065 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.065}

PURPOSE: This rule establishes the types of licenses that are required by the commission.

(1) The types of licenses shall include:

(A) Regular/Annual Bingo license;

(B) Special Bingo and Pull-Tab license;

(C) Special Abbreviated Pull-Tab license;

(D) Bingo Equipment/Supplies Manufacturer’s license;

(E) Bingo Equipment/Supplies Supplier’s license; and (F) Bingo Hall Provider’s license.

(2) The commission shall investigate all levels of license applications.

(3) The commission may delegate to the director the authority to approve or deny the application of any applicant for a Regular/ Annual Bingo license, Special Bingo and Pull-Tab license, Special Abbreviated Pull-Tab license or Bingo Hall Provider’s license, provided, however, that this section shall not limit the delegation of any other authority to the director. The delegation of authority provided hereunder shall not include the authority to review appeals of license denials or suspensions of any bingo license.

(4) As part of the supplier license application process, a supplier shall either post a bond or provide an irrevocable letter of credit in an amount to be determined by the commission.

rule filed March 1, 1995, effective March 11, 1995, expired July 8, 1995. Original rule filed March 1, 1995, effective Aug. 30, 1995.

Emergency amendment filed Aug. 5, 1996, effective Aug. 28, 1996, expired Feb. 23, 1997. Amended: Filed Aug. 5, 1996, effective March 30, 1997. Amended: Filed April 26, 2018, effective Dec. 30, 2018. *Original authority: 313.004, RSMo 1993, amended 1994, 2014 and 313.065, RSMo 1981, amended 1993, 1995.

History

• AUTHORITY: sections 313.004 and 313.065, RSMo 2016. Emergency

11 CSR 45-30.070 Regular Bingo License {#sec-11-csr-45-30.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.070}

PURPOSE: This rule defines a regular bingo license and sets forth the authority for a licensee to possess both a regular and a special (1) A Regular Bingo License is a license issued to a qualified organization to conduct only the game of bingo as defined in section 313.005, RSMo. The number of bingo occasions conducted by a licensee is limited to two (2) bingo occasions per week, not to be held on the same day. The holder of a Regular Bingo License may also be the holder of a Special Bingo License. A veterans’ organization may be exempt from the limitation of two (2) bingo occasions per week for play at a veterans’ hospital as provided in section 313.060, RSMo. filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed July 28, 2010, effective Jan. 30, 2011. Amended: Filed June 25, 2015, effective Feb. 29, 2016. *Original authority: 313.040, RSMo 1981, amended 1983, 1984, 1986, 1987, 1993, 1994,

11 CSR 45-30.080 Special Bingo License {#sec-11-csr-45-30.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.080}

(Rescinded March 30, 1997)

Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Rescinded: Filed Aug. 5, 1996, effective March 30, 1997.

11 CSR 45-30.090 Additional Application Information for Bingo and Pull-Tab Licenses {#sec-11-csr-45-30.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.090}

PURPOSE: This rule allows the commission to require additional information to verify statements made in any application for a (1) In addition to the information required to be furnished on the application, and prior to the issuance of a bingo license, every organization desiring to conduct bingo is required to furnish a copy of the letter from the Internal Revenue Service (IRS) granting an exemption from the payment of federal income taxes as provided in section 501(c)(3), (4), (5), (7), (8), (10), (19) or section 501(d) of the Internal Revenue Code of 1954. Every organization desiring to conduct bingo may be required by the commission to furnish additional information considered necessary to determine that the applicant organization is fully qualified and eligible for a bingo license. This information may include a copy of the corporate charter or other evidence that the organization was in existence for at least five (5) years immediately prior to the date of application.

(2) Also required with the initial application, each organization shall submit for approval a complete list of the officers of the applicant organization and a complete list of all six- (6-) month bona fide members that will assist with the management, conduct, and operation of the bingo game. These lists shall include each individual’s Social Security number and date of birth. A copy of each individual’s driver license shall also be provided for each officer or worker. Changes to the lists shall be reported to the commission as they occur. Any request to add an officer or worker to the list shall include the individual’s Social Security number, date of birth, and a copy of the individual’s driver license.

(3) Each application or renewal application shall designate a bingo chairperson who shall be responsible for the overall supervision, management, and conduct of the bingo activities.

The commission shall be notified as soon as possible but not later than thirty (30) calendar days from the date of any change of the bingo chairperson.

(4) Each regular bingo license application or renewal application shall include a game sheet and house rules.

Revisions to the game sheet or house rules shall be submitted to the commission as they occur.

Amended: Filed Dec. 5, 2019, effective Aug. 30, 2020. *Original authority: 313.015, RSMo 1981, amended 1983, 1994, 1996, 2010; 313.020, RSMo 1981, amended 1993, 1994, 1996; and 313.065, RSMo 1981, amended 1993, 1995.

History

• AUTHORITY: sections 313.015, 313.020, and 313.065, RSMo 2016. Emergency rule filed June 21, 1994, effective July 1, 1994, expired Oct. 28, 1994. Emergency rule filed Oct. 19, 1994, effective Oct. 29, 1994, expired Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed Jan. 27, 2006, effective Sept. 30, 2006. Amended: Filed June 25, 2015, effective Feb. 29, 2016.

11 CSR 45-30.100 Denial of Application or License Renewal {#sec-11-csr-45-30.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.100}

PURPOSE: This rule further clarifies the commission may deny any original application or renewal application for issuance of a (1) The commission may deny any original application or renewal for failure to meet statutory requirements or noncompliance with Chapter 313, RSMo or official rules. The license fee is considered a processing fee pursuant to Chapter 313, RSMo and is not refundable to the applicant.

History

• AUTHORITY: section 313.065, RSMo 1994. Emergency rule filed Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed July 3, 1995, effective Jan. 30, 1996.

11 CSR 45-30.130 Member(s) in Charge {#sec-11-csr-45-30.130 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.130}

PURPOSE: This rule sets forth the requirements and eligibility for a person to be responsible for the overall conduct of a bingo (1) Every licensed organization shall designate a bona fide, active member of the organization to be in charge of, and primarily responsible for, each bingo occasion. The member in charge may change from occasion to occasion. The individual shall have been a member in good standing of the licensed organization for the last six (6) months and shall supervise all activities and be responsible for the conduct of all bingo games of which s/he is in charge. The member in charge shall be continually present on the premises during the occasion and shall be familiar with the provisions of the bingo law, applicable ordinances, these regulations, and the licensee’s house rules.

History

• AUTHORITY: section 313.040, RSMo Supp. 2019, and section 313.065, RSMo 2016. Emergency rule filed June 21, 1994, effective filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed June 25, 2015, effective Feb. 29, 2016. Amended: Filed Dec. 5, 2019, effective Aug. 30, 2020. Original authority: 313.040, RSMo 1981, amended 1983, 1984, 1986, 1987, 1993, 1994, 1996, 2010, 2014, 2018 and 313.065, RSMo 1981, amended 1993, 1995.

11 CSR 45-30.135 Bingo Workers {#sec-11-csr-45-30.135 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.135}

PURPOSE: This rule provides a definition of “bingo worker.”

(1) A bingo worker is any person participating in the operation of the game of bingo. This includes the bingo chairperson or member in charge, callers and any person that helps to verify or pay bingo winners. It includes any person that sells bingo paper or pull-tabs, as well as any person involved in the management, conduct, or operation of the actual games, including those who help prepare bingo paper, count winning pull-tabs, or otherwise handle the bingo supplies, bingo equipment, or receipts.

(2) For the purposes of this rule, the term “bingo worker” shall not include any person whose sole duty or responsibility is to prepare or sell concessions, provide janitorial or security services, sell raffle or sweepstakes tickets for a lawfully conducted raffle or sweepstakes, or sell markers, cushions, bags, and other incidentals, as well as any authorized representative of a licensed supplier whose sole duty or responsibility is to maintain Electronic Bingo Card Monitoring Devices (EBCMDs).

(3) No person shall be allowed to work bingo until that individual has been placed on the approved worker list for that organization by the commission. The organization shall not submit any person to be added to the approved worker list who has not been a bona fide member of the organization for at least six (6) months.

History

• AUTHORITY: section 313.065, RSMo 2016. Original rule filed Dec. 1, 2004, effective July 30, 2005. Amended: Filed Aug. 29, 2024, effective March 30, 2025.

11 CSR 45-30.140 Worker—Player {#sec-11-csr-45-30.140 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.140}

PURPOSE: This rule sets forth guidelines permitting a worker to also be a player during the same occasion but not during the same game.

(1) Any eligible person approved by the commission to work bingo may participate in the conduct, management, or operation of bingo and play bingo during the same occasion but may not be both a player and a worker during the same game. An eligible person shall pay to participate in the playing of a bingo game or pull-tab cards in the same manner and at the same cost as any other player. If an eligible person works the first portion of the occasion and then purchases bingo paper or pull-tab cards and becomes a player, the person may not assist with the management, conduct, or operation of bingo or the sale of pull-tab cards for the remainder of the occasion. If an eligible person plays the first portion of the bingo occasion and then ceases playing and becomes a worker, the person may not participate as a player of bingo or pull-tab cards during the remainder of the occasion. An eligible person may only switch from player to worker or worker to player once during an occasion, and a switch will only be permitted during the first half of the bingo occasion.

(2) The bingo worker designated as the bingo chairperson or member in charge who is responsible for the overall game activities of a bingo occasion cannot both work and play bingo or pull-tabs during that occasion.

(3) Bingo workers are prohibited from purchasing bingo paper and/or pull-tabs and having another player play for them.

(4) Bingo workers are prohibited from playing bingo cards for a player. filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed Jan. 27, 2006, effective Sept. 30, 2006. Amended: Filed June 25, 2015, *Original authority: 313.040, RSMo 1981, amended 1983, 1984, 1986, 1987, 1993, 1994,

11 CSR 45-30.145 Premises Required to be Open for Inspection Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Rescinded: Filed June 25, 2015, effective Feb. 29, 2016. {#sec-11-csr-45-30.145 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.145}

11 CSR 45-30.150 Information to be Posted {#sec-11-csr-45-30.150 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.150}

PURPOSE: This rule requires full information regarding cost of bingo cards to be posted in a conspicuous place at the bingo premises.

(1) In addition to the Missouri bingo license, there shall be posted, in a conspicuous place at the bingo premises, full information regarding the cost of bingo cards, including the house rules which clearly explain how players are awarded prizes for bingo and pull-tabs, and other information desired by the licensee.

rule filed June 21, 1994, effective July 1, 1994, expired Oct. 28, 1994.

Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed June 25, 2015, effective Feb. 29, 2016. *Original authority: 313.030, RSMo 1981, amended 1993 and 313.065, RSMo 1981,

History

• AUTHORITY: sections 313.030 and 313.065, RSMo 2000. Emergency

11 CSR 45-30.155 Bingo Equipment Defined {#sec-11-csr-45-30.155 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.155}

PURPOSE: This rule clarifies the definition of bingo equipment pursuant to section 313.005(4), RSMo.

(1) In addition to the items listed in section 313.005(4), RSMo the following items are considered paraphernalia used in the conduct of a bingo or pull-tab game or event:

(A) Bingo selection equipment which includes but is not limited to bingo blowers, hoppers, squirrel cages, manual or electronic display boards, electronic bingo card monitoring devices, and any equipment designated by the commission as bingo selection equipment; and (B) Pull-tabs and pull-tab dispensers.

(2) Equipment used in the conduct of bingo shall be maintained in good and proper working condition. Equipment shall be operated in a manner so that each player is given an equal opportunity of winning. The object or balls to be drawn shall be essentially the same as to size, shape, weight, and balance so that they are equally agitated and circulated within the receptacle and have an equal probability of being dispensed, selected, or drawn.

History

• AUTHORITY: section 313.005, RSMo Supp. 2013, and section 313.065, RSMo 2000. Original rule filed Nov. 10, 1998, effective June 30, 1999. Amended: Filed Dec. 1, 2004, effective June 30, 2005. Original authority: 313.005, RSMo 1981, amended 1982, 1984, 1986, 1993, 1994, 2010

11 CSR 45-30.160 Equipment Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Rescinded: Filed Dec. 1, 2004, effective June 30, 2005. {#sec-11-csr-45-30.160 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.160}

11 CSR 45-30.170 Records Required Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Rescinded: Dec. 1, 2004, effective June 30, 2005. {#sec-11-csr-45-30.170 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.170}

11 CSR 45-30.175 Organization (Operator) Record Keeping Requirements {#sec-11-csr-45-30.175 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.175}

PURPOSE: This rule describes the record keeping requirements and record retention requirements for bingo organizations licensed by the commission, effective January 1, 1995.

(1) An organization shall maintain complete, accurate, and legible general accounting records that contain sufficient detail to furnish information, which shall be made available and recorded at each occasion, regarding all bingo game activity including the number of admission fees, if any, the number of bingo cards and pull-tab cards sold by category and price. All working papers shall be maintained. Records shall be sufficient to adequately reflect gross receipts, as defined in 11 CSR 45- 30.205, prizes awarded, expenses, and other bingo game related transactions to include all bingo paper and pull-tab sales which accurately reflect the requirements and restrictions contained in the Missouri Constitution and Chapter 313, RSMo.

(2) The bingo chairperson shall be responsible for all records necessary to accurately reflect the bingo operations and shall ensure timely filing of all required reports.

(3) Each organization shall perform a monthly reconciliation of the special bingo checking account, as required by 11 CSR 45-30.280, which lists outstanding checks, deposits, and beginning and ending book balances for the month.

(4) Copies of supplier invoices for all bingo paper, pull-tabs, and bingo equipment purchased must be maintained and stored by the organization.

(5) Winning bingo cards for values of two hundred dollars ($200) or more shall be signed by the winner, dated, and retained by the organization for a period of one (1) year. If the winning pattern was achieved on a Braille bingo card, a photocopy of the Braille card shall be signed, dated, and retained for a period of one (1) year.

(6) All pull tab flares must be retained by the organization for a period of one (1) year from the date the corresponding pull-tab game is completed or terminated upon prior approval by the (7) All pull-tab winners shall be counted and totaled at the end of each occasion to determine and record the prizes awarded.

All winning pull-tab cards shall be retained for a period of four (4) weeks. Each winning pull-tab card for values of one hundred dollars ($100) or more must be signed by the winner, dated, and retained by the organization for a period of one (1) year.

(8) At the time each winning pull-tab card is identified, it shall be validated by either marking it with permanent ink or a hole punch so that it cannot be reused, resold, or reclaimed.

(9) All records not specified in sections (5), (6), (7), or (8) of this

rule, as well as all ledgers, receipts, and invoices required by this rule and Chapter 313, RSMo, must be retained for a period of two (2) years, unless prior written approval is received from the commission to retain any such record, ledger, receipt, or invoice for a period less than two (2) years, and stored in such a manner as to be immediately available for inspection by the commission upon demand.

(10) If sight-impaired players are sold Braille bingo cards for use during an occasion an equal amount of paper bingo cards shall be destroyed.

(11) Operators are only allowed to buy bingo paper, pulltabs, and bingo equipment from suppliers licensed by the commission. If violations of this restriction or other restrictions listed in this rule, or Chapter 313, RSMo, are identified by the commission, the operator’s license may be subject to penalties, suspension, or revocation. The term bingo equipment and supplies does not include markers, cushions, bags, and other incidentals.

Filed Dec. 1, 2004, effective June 30, 2005. Amended: Filed Jan. 27, 2006, effective Sept. 30, 2006. Amended: Filed July 28, 2010, effective Jan. 30, 2011. Amended: Filed June 25, 2015, effective Feb. 29, 2016. Amended: Filed June 30, 2016, effective Feb. 28, 2017. *Original authority: 313.050, RSMo 1981, amended 1993, 2010; 313.052, RSMo 1994;

History

• AUTHORITY: sections 313.050, 313.052, and 313.065, RSMo 2016. Original rule filed Dec. 15, 1994, effective May 28, 1995. Amended:

11 CSR 45-30.180 Inventory, Ownership, and Leasing of Bingo Equipment {#sec-11-csr-45-30.180 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.180}

PURPOSE: This rule requires that accurate records be maintained on the quantity and ownership of all equipment used directly in the conduct of bingo.

(1) Accurate records shall be maintained indicating the quantity and ownership of all equipment used directly in the conduct of bingo.

(2) Each licensee shall keep a separate physical inventory of bingo paper and pull-tab cards which shall be stored on the bingo premises, as defined in 11 CSR 45-30.270. Licensed operators shall make all bingo products available for inspection upon request. Bingo paper and pull-tab cards purchased by one licensee may not be used during another licensee’s game without prior approval from the commission.

(3) No bingo licensee that is the holder of a regular bingo license shall use bingo equipment in which the licensee does not have an ownership interest. Two (2) or more bingo licensees may enter into an agreement for the joint ownership of bingo equipment. No nonlicensee shall share any interest in the equipment except the security interest of an established financial institution. The equipment may not be purchased from a nonlicensee who has an interest in the premises on which the equipment is to be used. A copy of the purchase agreement may be requested by the commission and shall contain the following information:

(A) The percentage of ownership;

(B) The total cost of the co-ownership;

(C) The amount and terms of any time payment (if applicable);

(D) The name of the seller and other co-owners;

(E) Acceptable method(s) for sale or disposition of the coownership; and (F) A description of the bingo equipment purchased.

(4) For the purposes of this rule the term “ownership interest” shall include a sole ownership interest, co-ownership interest, or lease interest in bingo equipment.

(5) Bingo equipment shall only be leased from a licensed supplier. No lease providing for a rental arrangement for bingo equipment shall provide for payment in excess of the reasonable market rental rate for such equipment and in no case shall any payment be based on a percentage of gross receipts or profits derived from the game of bingo.

(6) Except for Electronic Bingo Card Monitoring Devices (EBCMDs), a regular bingo licensee conducting a bingo occasion under a special bingo license may, during the occasion, use bingo equipment in which the licensee does not have an ownership interest.

(7) A regular bingo licensee conducting a bingo occasion under a special bingo license shall not, during the occasion, use any EBCMDs in which the licensee does not have an ownership interest.

Filed June 25, 2015, effective Feb. 29, 2016. *Original authority: 313.025, RSMo 1981, amended 1984, 1993 and 313.065, RSMo 1981,

History

• AUTHORITY: sections 313.025 and 313.065, RSMo 2000. Emergency 1994. Emergency rule filed Oct. 19, 1994, effective Oct. 29, 1994, expired Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed Oct. 29, 1999, effective May 30, 2000.

11 CSR 45-30.190 Rules of Play {#sec-11-csr-45-30.190 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.190}

PURPOSE: This rule sets forth guidelines for the rules of play.

(1) Except for pull-tab games, a bingo occasion begins with the first letter and number drawn (called) for the first bingo game as defined in 313.005, RSMo. No bingo paper or pull-tabs shall be sold more than three (3) hours prior to the start of the first bingo game. No pull-tab sales may start before 7:00 a.m.

The paper and/or pull-tab sales time shall be clearly posted in the licensee’s house rules or game sheet. All bingo paper and/or pull-tabs shall be sold by approved workers and sales times are subject to approval by the commission. The drawing of hot balls, Bonanza balls, or wild balls in preparation for a subsequent bingo game during an occasion is not considered the start of the bingo occasion; however, the drawing of these balls shall be visible to and called in front of the majority of players. All seventy-five (75) balls shall be present in the receptacle before these balls are drawn.

(2) All seventy-five (75) objects or balls shall be present within the receptacle before each bingo game is started. The physical drawing of the objects shall be visible to the majority of players and numbers shall be announced so that they are clearly heard by all players of that game.

(3) The amount of the prize and the permissible winning combination shall be clearly announced prior to the start of each game. Verification of the winner of each game shall be openly conducted in the presence of the majority of the players. In the event of multiple winners in any single game, the aggregate announced dollar prize of the game shall be divided equally. In the event of multiple winners in any single game in which merchandise is awarded as a prize, substitute prizes may be awarded provided that the organization does not exceed the single day prize limit set by the commission.

(4) All disputes between the players and the licensed organization regarding prizes shall be settled between the player(s) and the organization.

(5) Operators may only conduct one (1) bingo game at a time. When a player achieves the preannounced winning combination and the winning combination is verified, the next game shall be commenced with a new bingo card or sheet.

(6) The aggregate retail value of all prizes or merchandise awarded, except prizes or merchandise awarded by pull-tab cards and progressive bingo games, in any single day of bingo may not exceed three thousand six hundred dollars ($3,600).

(7) The bingo licensee shall conduct bingo in accordance with its house rules.

section 313.065, RSMo 2000.* Emergency rule filed June 21, 1994, effective July 1, 1994, expired Oct. 28, 1994. Emergency rule filed Oct. 19, 1994, effective Oct. 29, 1994, expired Feb. 25, 1995. Original

rule filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed Dec. 12, 1997, effective July 30, 1998. Amended: Filed May 13, 1998, effective Dec. 30, 1998. Amended: Filed Oct. 29, 1999, effective May 30, 2000. Amended: Filed Oct. 1, 2001, effective May 30, 2002.

Emergency amendment filed July 28, 2010, effective Aug. 28, 2010, expired Feb. 23, 2011. Amended: Filed July 28, 2010, effective Jan. 30, 2011. Amended: Filed June 25, 2015, effective Feb. 29, 2016. *Original authority: 313.005, RSMo 1981, amended 1982, 1984, 1986, 1993, 1994, 2010; 313.040, RSMo 1981, amended 1983, 1984, 1986, 1987, 1993, 1994, 1996, 2010; and 313.065, RSMo 1981, amended 1993, 1995.

History

• AUTHORITY: sections 313.005 and 313.040, RSMo Supp. 2013, and

11 CSR 45-30.200 Merchandise Prizes {#sec-11-csr-45-30.200 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.200}

PURPOSE: This rule sets forth guidelines for determining the retail price or fair market value of merchandise prizes.

(1) When merchandise is awarded as a prize in a bingo game, its value shall be the suggested retail price or fair market value.

Receipts for the purchase of merchandise or documentation as to the suggested retail price or fair market value of donated items to be awarded as merchandise prizes shall be retained in the records of any licensee awarding the prizes to players or supplying the prizes to another licensee.

(2) When merchandise is provided or included as a prize with a pull-tab game, its value shall be the suggested retail price or fair market value. Receipts for the purchase of merchandise prizes or documentation as to the suggested retail price or fair market value of donated items to be awarded as merchandise prizes shall be retained in the records of any licensed manufacturer that invents, fabricates, assembles, or otherwise produces the pull-tab game.

section 313.065, RSMo 2000.* Emergency rule filed June 21, 1994, effective July 1, 1994, expired Oct. 28, 1994. Emergency rule filed Oct. 19, 1994, effective Oct. 29, 1994, expired Feb. 25, 1995. Original

rule filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed Dec. *Original authority: 313.040, RSMo 1981, amended 1981, 1983, 1984, 1986, 1987, 1993, 1994, 1996, 2010; 313.050, RSMo 1981, amended 1993, 2010; and 313.065, RSMo 1981,

History

• AUTHORITY: sections 313.040 and 313.050, RSMo Supp. 2013, and

11 CSR 45-30.205 Game Operation Definitions {#sec-11-csr-45-30.205 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.205}

PURPOSE: This rule defines the accounting terms and reports which may be used to comply with the record keeping requirements for Class A, B and C licensees pursuant to section 313.045, RSMo and 11 CSR 45-30.210.

(1) Gross receipts—all receipts from admission charges, sale of any bingo cards, pull-tab cards, or any item sold for which the proceeds are commingled with bingo funds.

(2) Net income—all receipts over and above the actual cost of conducting the occasion.

(3) Net receipts—gross receipts less bingo card prizes awarded and pull-tab card prizes awarded, plus starting cash.

(4) Starting cash—any cash used to make change for the (5) Occasion Report—a report of activity conducted at each bingo or pull-tab occasion which includes, but is not limited to the date of the occasion, attendance (number of players), gross receipts, starting cash, prizes awarded, net receipts, and amount deposited. Each occasion report must be signed by the member in charge of the game, as a true and correct accounting of receipts and prizes awarded during each bingo or pull-tab occasion. Class A, B, and C licensees may use their own occasion reports, if the required information is contained in the report or use reports provided by the commission.

Occasion reports are not required to be submitted to the commission unless the commission specifically requests the organization to submit a report for a specific occasion or series of occasions.

History

• AUTHORITY: section 313.065, RSMo 2000. Original rule filed Sept. 2, 1997, effective March 30, 1998. Amended: Filed Dec. 1, 2004, effective June 30, 2005. Amended: Filed July 28, 2010, effective Jan. 30, 2011.

11 CSR 45-30.210 Reports {#sec-11-csr-45-30.210 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.210}

PURPOSE: This rule requires each licensee to file reports only on forms supplied by the commission.

(1) The forms necessary for the filing of any licensing or tax reporting requirements by this chapter, of each licensee shall be made on the forms supplied by the commission.

(2) Alternative forms may be used if prior approval has been received from the commission.

(3) Pursuant to section 313.045, RSMo, each licensed organization/ operator must file with the commission a quarterly report for the preceding calendar quarter listing: 1) the number of games it has conducted during the quarter, 2) the gross receipts from each game, to include bingo card receipts and pull tabs, 3) an itemization of the cost of conducting each game, including prizes awarded, and the names of the person(s) to whom said expenses were paid, and 4) the purposes for which the net proceeds of each game were used and the amounts so used. The report is due the last day of each month following each calendar quarter except the fourth quarter report which will be due February 28. The first quarter is January through March, the second quarter is April through June, the third quarter is July through September, and the fourth quarter is October through December. The due dates will be April 30, July 31, October 31, and February 28, respectively. Reports not filed by the due dates will subject the licensee to the penalties described in 11 CSR 45-30.535 or the licensee/operator may have its license suspended or revoked pursuant to section 313.052, RSMo.

(4) Each licensee must submit with their quarterly report a progressive game activity report for each progressive game conducted. The report must indicate the following:

(A) Date of each occasion;

(B) The progressive prize offered;

(C) The consolation prize offered;

(D) The number of balls needed to win the progressive prize; and (E) The prize amount awarded.

Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed July 3, 1995, effective Jan 30, 1996.

Emergency amendment filed Nov. 17, 1995, effective Nov. 27, 1995, expired May 24, 1996. Amended: Filed Nov. 17, 1995, effective April 30, 1996. Amended: Filed Oct. 29, 1999, effective May 30, 2000.

Filed July 28, 2010, effective Jan. 30, 2011.

11 CSR 45-30.220 Bank Account {#sec-11-csr-45-30.220 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.220}

Amended: Filed Oct. 29, 1999, effective May 30, 2000. Rescinded:

Filed Dec. 1, 2004, effective June 30, 2005.

History

• AUTHORITY: section 313.065, RSMo Supp. 1998. Emergency rule Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed Aug. 5, 1996, effective March 30, 1997.

11 CSR 45-30.225 Change of Day and/or Time of Bingo Occasion {#sec-11-csr-45-30.225 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.225}

PURPOSE: This rule sets forth the requirement that a licensee submit a request and obtain authorization from the commission prior to changing the day and/or time of its bingo occasion.

(1) Each applicant for licensure or organization licensed to conduct bingo is required to state the day(s) and time(s) the bingo occasion(s) will be conducted in the relevant application.

Upon issuance of a new or renewal license, each licensed organization shall conduct its bingo games on the day(s) and time(s) so stated in the application. A licensed organization may request a change in the day(s) and/or time(s) of its bingo occasion(s) in writing to the commission. The licensed organization may change the day(s) and/or time(s) of its bingo occasion(s) upon receipt of written authorization from the Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed July 28, 2010, effective Jan. 30, 2011.

11 CSR 45-30.235 Hall Provider License {#sec-11-csr-45-30.235 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.235}

PURPOSE: This rule specifies who shall obtain a Hall Provider License and the rental rate charged by a lessor to a bingo licensee.

(1) A person who or business entity which owns or has a lease for at least five (5) years of a premises and intends to lease said premises to conduct bingo games shall obtain a Hall Provider License.

(2) Licensed hall providers may only lease the location(s) for the conduct of bingo to organizations which have obtained a Regular/Annual Bingo License, Special Bingo and Pull-Tab License, or Special Abbreviated Pull-Tab License from the (3) Bingo licensees may not sublease the premises to any other bingo licensee for the purpose of conducting bingo without first obtaining a Hall Provider License.

(4) Pursuant to section 313.025(1), RSMo the reasonable market rental rate for leased premises on which bingo will be conducted shall be determined by the commission. The commission may request the applicant for licensure or licensed organization to submit documentation to support the proposed rental rate.

The type of documentation shall be at the discretion of the (5) Hall providers shall charge each licensee their equal prorated amount of the rent which shall not exceed the prorated amount each licensee is charged for the same time under the terms of the lease. Example: If a hall provider’s total weekly rental charge to four (4) bingo licensees is twelve hundred dollars ($1,200), the hall provider must charge each organization twenty-five percent (25%) of the weekly rental charge or in this example three hundred dollars ($300).

(6) Each licensee is responsible for paying the rent directly to the licensed hall provider from a check drawn from the licensee’s bingo checking account.

History

• AUTHORITY: sections 313.025 and 313.065, RSMo 2000. Emergency 1994. Emergency rule filed Oct. 19, 1994, effective Oct. 29, 1994, expired Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed Dec. 1, 2004, effective June 30, 2005. Original authority: 313.025, RSMo 1981, amended 1984, 1993 and 313.065, RSMo 1981,

11 CSR 45-30.240 Leased Locations {#sec-11-csr-45-30.240 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.240}

Original rule filed July 29, 1994, effective Jan. 29, 1995. Amended:

Filed Nov. 10, 1998, effective June 30, 1999. Rescinded: Filed Dec. 1, 2004, effective June 30, 2005.

History

• AUTHORITY: section 313.065, RSMo Supp. 1997. Emergency rule filed July 29, 1994, effective Aug. 11, 1994, expired Dec. 5, 1994.

11 CSR 45-30.250 Subsid iary Body—Ap plication for License Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Rescinded: Filed June 25, 2015, effective Feb. 29, 2016. {#sec-11-csr-45-30.250 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.250}

11 CSR 45-30.260 Participation of Workers—Restricted {#sec-11-csr-45-30.260 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.260}

PURPOSE: This rule prohibits any hall provider, manufacturer or supplier of bingo equipment or its agents to participate in the management, operation or conduct of bingo games.

(1) No person, or the agents or employees thereof, who directly or indirectly leases the premises, as lessee sells, leases or otherwise distributes bingo supplies or equipment, or furnishes commodities or services to a bingo licensee shall take

part in the management, operation or conduct of bingo games.

(2) This restriction may be waived by the commission for nonprofit organizations who are also licensed hall providers.

History

• AUTHORITY: section 313.065, RSMo 1994. Emergency rule filed Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed July 3, 1995, effective Jan. 30, 1996.

11 CSR 45-30.270 Premises Defined, Inspections, All Gambling and Gambling Devices Prohibited {#sec-11-csr-45-30.270 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.270}

PURPOSE: This rule establishes the presumption that gambling violations which occur on a licensee’s premises have been sanctioned by the licensee, its officers, and agents.

(1) The word premises, as used in sections 313.005 to 313.085, RSMo, means an entire permanently affixed structure. The division of a structure by floors, rooms, or areas to create multiple premises for the conduct of bingo is prohibited. A bingo licensee must receive approval from the commission prior to using any structure in which it intends to play bingo.

(2) The premises where any game of bingo is being conducted, or where any game of bingo is intended to be conducted, shall be open for inspection by the commission or its appointed representatives. The licensed hall provider or the licensed bingo organization/operator, or any entity determined by the commission or the courts required to have a license pursuant to Chapter 313, RSMo, shall permit access to said premises during any reasonable time as requested by the commission or its representative.

(3) Pursuant to section 313.035, RSMo, no unauthorized gambling or gambling devices, as defined by Chapter 572, RSMo, shall be permitted on the premises used by a bingo licensee. The bingo licensee, its officers and agents shall be responsible for any violations that may occur.

(4) The presence of gambling devices such as, but not limited to, slot machines, roulette wheels, or other gambling games shall be prima facie evidence of violations of those provisions of Chapter 572, RSMo relating to gambling and gambling promoters.

(5) The commission shall have the right to impose penalties and suspend, revoke, or deny any license issued under Chapter 313, RSMo for any other violations related to illegal gaming and/or gambling under Missouri law.

rule filed June 21, 1994, effective July 1, 1994, expired Oct. 28, 1994.

Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Emergency amendment filed Nov. 17, 1995, effective Nov. 27, 1995, expired May 24, 1996. Amended: Filed Nov. 17, 1995, effective April 30, 1996. Amended: Filed Dec. 1, 2004, effective June 30, 2005. Amended: Filed June 25, 2015, effective Feb. 29, 2016. *Original authority: 313.052, RSMo 1994 and 313.065, RSMo 1981, amended 1993,

History

• AUTHORITY: sections 313.052 and 313.065, RSMo 2000. Emergency

11 CSR 45-30.280 Net Receipts from Bingo and Bank Account {#sec-11-csr-45-30.280 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.280}

PURPOSE: This rule explains the requirements for starting cash, maintaining the bingo checking account, and the disposition of bingo receipts.

(1) Each regular/annual bingo licensee is required to obtain a dedicated bingo checking account in a financial institution located in Missouri. Each special bingo and pull-tab licensee or special abbreviated pull-tab licensee that obtains any three (3) special licenses during any calendar year and applies for a fourth such license shall obtain a dedicated bingo checking account in a financial institution located in Missouri.

(2) All receipts from each bingo occasion, less the amount awarded as cash prizes for that occasion, shall be deposited in the bingo checking account no later than the next business day following the date of the bingo occasion. Disbursements for reasonable and necessary expenses incidental to the conduct of bingo games shall be paid from the bingo checking account on preprinted, serially numbered checks. Checks shall be payable to a specific payee. At no time may checks be made payable to “cash.” An organization may use a debit transaction instead of a check; however, each debit transaction shall be reported with other disbursements from the bingo checking account on the quarterly report as required by 11 CSR 45-30.210.

All debit transactions shall be documented with a receipt or other supporting documentation to ensure proper use of bingo proceeds.

(3) If an organization uses starting cash, a check shall be written to a financial institution, retail establishment, or to the licensed organization to obtain the starting cash. The entire amount of the starting cash obtained by the organization shall be redeposited into the bingo checking account no later than the next business day. An organization may use a debit transaction instead of a check to obtain starting cash from their bingo checking account; however, each debit transaction shall be reported with other disbursements from the bingo checking account on the quarterly report, as required by 11 CSR 45-30.210.

(4) Pursuant to section 313.040.1, RSMo, the entire net receipts over and above the actual cost of conducting the game of bingo as enumerated in section 313.040.1, RSMo, may be paid from the bingo checking account into the general treasury of the licensed bingo organization. All bingo funds paid into the general treasury of the licensed bingo organization shall be devoted exclusively to lawful, charitable, religious, or philanthropic purposes of the licensed organization. However, no funds from any source shall be used to compensate anyone affiliated with the licensee for managing, conducting, or operating the game of bingo or to provide any services or equipment for the game of bingo.

(5) Game operators may transfer funds from another account into the bingo checking account to cover bingo game-related expenses. Bingo operators may not deposit receipts from any other fund-raising activities of the organization into the bingo checking account. Any monies deposited into the bingo checking account are deemed to be bingo proceeds and can only be used to pay bingo gaming expenses or for religious, charitable, or philanthropic purposes.

(6) Bingo funds may be used for up to four (4) members of the organization to attend one (1) bingo-related convention per calendar year. The following documentation shall be retained in the licensee’s bingo records, and made available to commission staff upon request, for any convention expenses paid from bingo proceeds: 1) an official brochure containing the agenda and cost of the convention; 2) the names of the members attending and the title they hold in the organization; and 3) all receipts for associated costs such as mileage, hotel, and other reasonable expenses. Organizations may use bingo proceeds to pay reasonable fees to hold membership in a bingo-related association or organization. Documentation shall be retained reflecting the cost of said membership.

(7) The bookkeeping or accounting records of the licensed organization shall completely and accurately reflect the net amount received from operating bingo. The total expenditures for lawful, charitable, religious, or philanthropic purposes from all revenue sources shall equal or exceed the net receipts from bingo.

(8) The commission upon request may examine any account into which bingo proceeds are deposited or transferred.

(9) Any licensee who denies the commission access to any account into which bingo proceeds are deposited or transferred may have its license immediately suspended until such access is granted.

Filed Oct. 26, 2006, effective May 30, 2007. Rescinded and readopted: Filed June 25, 2015, effective Feb. 29, 2016. Amended:

Filed June 30, 2016, effective Feb. 28, 2017. Amended: Filed Aug. 29, 2024, effective March 30, 2025. *Original authority: 313.040, RSMo 1981, amended 1983, 1984, 1986, 1987, 1993, 1994, 1996, 2010, 2014, 2018; 313.050, RSMo 1981, amended 1993, 2010; 313.052, RSMo 1994; 313.065, RSMo 1981, amended 1993, 1995; and 313.070, RSMo 1981, amended 1984, 1993.

History

• AUTHORITY: sections 313.050, 313.052, 313.065, and 313.070, RSMo 2016, and section 313.040, RSMo Supp. 2024. Emergency 1994. Emergency rule filed Oct. 19, 1994, effective Oct. 29, 1994, expired Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed Oct. 29, 1999, effective May 30, 2000.

11 CSR 45-30.290 Co-Ownership of Bingo Equipment Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Rescinded: Filed Dec. 1, 2004, effective June 30, 2005. {#sec-11-csr-45-30.290 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.290}

11 CSR 45-30.300 Equipment Leases, Reasonable Market Rental Rate Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Rescinded: Filed Dec. 1, 2004, effective June 30, 2005. {#sec-11-csr-45-30.300 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.300}

11 CSR 45-30.335 Participation of Auxiliary, Post or Organization Members in Licensee’s Bingo Games {#sec-11-csr-45-30.335 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.335}

PURPOSE: This rule clarifies that, for purposes of assisting in the management, conduct or operation of bingo games, members of a post’s or organization’s auxiliary and members of an auxiliary’s post or organization may assist in its bingo game.

(1) For purposes of section 313.040(2), RSMo, if any post or organization, by its national charter, has established an auxiliary organization for spouses, then members of the auxiliary organization shall be considered bona fide members of the licensed organization and members of the post or organization shall be considered bona fide members of the auxiliary organization. Regardless of which organization is licensed, the responsibility for the overall management, conduct and operation of bingo games shall be that of the members as defined in the licensee’s constitution and/or bylaws.

History

• AUTHORITY: section 313.065, RSMo Supp. 1993. Emergency rule Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29,

11 CSR 45-30.340 Participation of Full-Time Employee, Full- Time Staff Member, or Ordained Member of Clergy {#sec-11-csr-45-30.340 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.340}

PURPOSE: This rule specifies the eligibility requirements and defines positions of individuals which are eligible to participate in the management, conduct or operation of bingo.

(1) No full-time employee or full-time staff member employed by an organization licensed to conduct bingo may participate in the management, conduct, or operation of bingo games until the time that the organization has submitted proof on forms prescribed by the commission to verify the eligibility of the employee or staff member to participate in the management, conduct, or operation of bingo. The commission shall approve or disapprove the participation of the full-time employee or fulltime staff member within thirty (30) days of receipt of the proof of eligibility submitted by the organization. The commission may immediately suspend the participation of any full-time employee or full-time staff member upon determination by the commission that the employee or staff member is no longer eligible to participate in the management, conduct, or operation of bingo.

(2) The organization of any full-time employee or full-time staff member whose participation has been disapproved or suspended by the commission may resubmit proof on forms prescribed by the commission to verify the employee or staff member’s eligibility to participate in the management, conduct, or operation of bingo at any time following the commission’s disapproval or suspension of the employee or staff member’s participation. The commission shall sustain, modify, or rescind the suspension of the full-time employee or full-time staff member or approve or disapprove the participation of the employee or staff member within thirty (30) days of receipt of the proof of eligibility resubmitted by the organization.

No organization, without prior written permission from the commission, may resubmit proof of eligibility more than two (2) times within a one (1)-year period for any full-time employee or full-time staff member whose participation has been disapproved or suspended by the commission.

(3) The burden of proof as to the eligibility of a full-time employee or full-time staff member to participate in the management, conduct, or operation of bingo shall at all times rest with the organization seeking approval for the employee or staff member’s participation. The approval, disapproval, or suspension of the participation of a full-time employee or fulltime staff member shall be within the sole discretion of the (4) Any person who is a duly ordained member of the clergy and who is a member of the church or church organization licensed to conduct bingo may participate in the management, conduct or operation of the organization’s licensed bingo games without securing the approval of the commission.

(5) No part-time employee or part-time staff member of the organization licensed to conduct bingo may participate in the management, conduct, or operation of the organization’s licensed bingo games without the prior approval of the (6) No person may receive remuneration for conducting or operating a bingo game. filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed Dec. *Original authority: 313.040, RSMo 1981, amended 1983, 1984, 1986, 1987, 1993, 1994,

11 CSR 45-30.350 Pull-Tab Cards Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Emergency amendment filed Aug. 5, 1996, effective Aug. 28, 1996, expired Feb. 23, 1997. Amended: Filed Aug. 5, 1996, effective March 30, 1997. Rescinded: Filed Dec. 1, 2004, effective June 30, 2005. {#sec-11-csr-45-30.350 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.350}

11 CSR 45-30.355 Sale of Pull-Tab Cards by Bingo Licensees {#sec-11-csr-45-30.355 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.355}

PURPOSE: This rule establishes the period of time and place in which pull-tab cards may be sold by a licensed organization conducting bingo games.

(1) A pull-tab card is any disposable card or ticket which accords a person an opportunity to win something of value by opening, pulling, detaching, or otherwise removing tabs from the card or ticket to reveal a set of numbers, letters, symbols, or configurations, or any combination thereof. The term pulltab card shall include any card known as a pickle ticket, pickle, break-open, event ticket, or pull-tab card. Such pull-tab cards shall award at least sixty percent (60%) of the gross revenues generated by the ultimate sale of the entire unit container or box to the final purchaser(s).

(2) The price for a single pull-tab card may not exceed one dollar ($1).

(3) Each pull-tab shall remain sealed until purchased.

(4) The use of any pull-tab card that is not within the definitions of Chapter 313, RSMo is prohibited.

(5) Pull-tabs, excluding event tickets, which are considered to be no longer marketable, may be disposed of in one (1) of the following manners:

(A) Offer the remaining pull-tabs for sale at a discounted price, either individually or in bundles;

(B) Offer the pull-tabs as a free promotion in accordance with

regulation 11 CSR 45-30.025;

(C) Combine the remaining pull-tabs with another pull-tab of the same face value; or (D) If enough prizes have been awarded to meet statutory requirements as outlined in section 313.057.11, RSMo, the game may be declared terminated by completing a form provided by the commission and by following the instructions for disposition outlined in the form.

(6) Licensees possessing a Regular/Annual Bingo License or Special Bingo and Pull-Tab License must comply with the following:

(A) On each occasion, pull-tab cards may be sold no more than three (3) hours prior to the start of the first game of bingo, except that no bingo pull-tab cards may be sold prior to 7:00 a.m.;

(B) The sale of pull-tab cards must be discontinued immediately at the conclusion of the last bingo game of an occasion; and (C) Pull-tab cards shall only be sold during the time of a scheduled occasion and only on the stated premises as identified in the license application of the organization.

(7) Licensees possessing a Special Abbreviated Pull-Tab License must comply with the following:

(A) An organization may conduct no more than fifteen (15) occasions per calendar year at which only pull-tabs cards are sold;

(B) Pull-tab cards may only be sold during a scheduled occasion and on the stated premises as identified in the license application of the organization; and (C) No bingo games may be conducted. filed July 11, 1994, effective Jan. 29, 1995. Emergency amendment filed Aug. 5, 1996, effective Aug. 28, 1996, expired Feb. 23, 1997.

Amended: Filed Aug. 5, 1996, effective March 30, 1997. Amended:

Filed Aug. 28, 1998, effective March 30, 1999. Amended: Filed Feb. 1, 2002, effective Aug. 30, 2002. Amended: Filed Dec. 1, 2004, effective July 30, 2005. Amended: Filed July 28, 2010, effective Jan. 30, 2011. Amended: Filed June 25, 2015, effective Feb. 29, 2016. *Original authority: 313.057, RSMo 1984, amended 1986, 1993, 1994, 1996, 2003, 2010

11 CSR 45-30.357 Event Ticket {#sec-11-csr-45-30.357 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.357}

PURPOSE: This rule defines a pull-tab and a cashboard event ticket game.

(1) A pull-tab event ticket game is a type of pull-tab game which is comprised of a series of hold tickets and may include instant winners. Either bingo selection equipment or the verify window on the flare is used to determine the winning hold ticket(s). Pull-tab event ticket games can be conducted either separately or simultaneously with a bingo game.

(2) A cashboard event ticket game is a type of pull-tab game which is comprised of subsets with each subset containing a series of hold tickets and may include instant winners.

Either bingo selection equipment or the verify window on the subset flare is used to determine the winning hold ticket.

Each subset’s hold ticket winner selects a prize window from a cashboard, which reveals the winning amount for that subset.

(3) All rules governing the sale of pull-tab cards by bingo licensees shall apply to event ticket games and cashboard event ticket games.

(4) Event ticket games shall comply with the following:

(A) The sale and play of a pull-tab event ticket game shall be started and completed during a single occasion;

(B) Even if all tickets have not been sold during the occasion, the pull-tab event ticket game shall be played during that occasion in such a manner to ensure at least sixty percent (60%) of the gross revenues generated by the ultimate sale of the entire game is paid out in prizes; and (C) Any unsold pull-tab event tickets shall be reported to the commission and retained until approved for disposal.

(5) Cashboard event ticket games shall comply with the following:

(A) Each subset shall be sold and played during the occasion in which it is opened;

(B) A cashboard event ticket game may not contain more than twenty-four (24) subsets;

(C) The cashboard event ticket game shall be played in such a manner to ensure at least sixty percent (60%) of the gross revenues generated by the ultimate sale of the entire game, which includes all subsets, is paid out in prizes;

(D) All subsets shall have the same serial number, which corresponds to the serial number on the cashboard used for that game;

(E) The number of prize windows on the cashboard shall equal the number of subsets in the game;

(F) The hold ball tickets and any instant winners shall be randomly disbursed within each subset;

(G) No hold tickets from open subsets can carry over from one occasion to the next; and (H) Any unsold pull-tab event tickets shall be reported to the commission and retained until approved for disposal.

History

• AUTHORITY: section 313.065, RSMo 2000. Original rule filed June 25, 2015, effective Feb. 29, 2016.

11 CSR 45-30.360 Unit Container/Box of Pull-Tab Cards Sold, Total Gross Receipts Restricted and Gross Receipts Tax Due {#sec-11-csr-45-30.360 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.360}

(Rescinded January 30, 1996)

Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Rescinded: Filed July 3, 1995, effective Jan. 30, 1996.

11 CSR 45-30.370 Progressive Games {#sec-11-csr-45-30.370 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.370}

PURPOSE: This rule establishes the guidelines for the conduct of progressive bingo games by organizations/operators.

(1) A progressive game is one in which the established prize amount shall be increased from one occasion to the next scheduled occasion if no player completes the required winning pattern within the specified number of bingo balls drawn as posted by the game operator. If after ten (10) occasions the progressive prize has not been awarded, the game operator must increase the number of balls drawn to complete the winning pattern by at least one (1) above the highest number required in the previous ten (10) occasions at each subsequent occasion until the progressive prize is awarded.

(2) Only two (2) progressive games may be conducted per (3) A prize for a progressive game may start at an amount not to exceed one thousand dollars ($1,000) and must be increased by no more than two hundred fifty dollars ($250) at each subsequent occasion.

(4) If a progressive prize is not awarded at a bingo occasion, the progressive game shall be continued at each subsequent occasion until the progressive prize is awarded. In the event no player completes the required winning pattern within the specified number of bingo balls drawn at the occasion, one (1) stated consolation prize shall be offered and awarded. The consolation prize is exempt from section 313.040(4), RSMo; however, the consolation prize must be less than the value of the progressive prize amount and only one (1) consolation prize shall be offered and awarded per progressive game per (5) All progressive bingo games shall be fully described and posted in the house rules prior to the start of the occasion and shall comply with all other statutory and regulatory requirements. This description shall include dates and times when the progressive games shall be played, including any progressive game conducted in conjunction with a Special Bingo and Pull-Tab License, if any. Each game operator shall submit a progressive game activity report for each progressive game with its quarterly report as defined in 11 CSR 45-30.210.

The report shall indicate the date, progressive prize offered, consolation prize offered, number of balls needed to win the progressive prize, and the prize amount awarded.

(6) Each operator’s/licensee’s progressive game set of rules shall remain in effect until the game ends and the progressive prize winner is determined.

(7) A holder of a Regular/Annual Bingo License may conduct its progressive game during a special bingo and pull-tab licensed event, if approval is granted by the commission prior to the licensed event. The special bingo and pull-tab event must be open to the public. No other special bingo and pull-tab licensee may conduct a progressive bingo game at its event.

(8) An operator may not cease bingo operations unless the progressive bingo game(s) in play is completed and the progressive prize is awarded, unless prior approval has been received from the commission.

(9) Game operators who conduct progressive games shall maintain cash reserves in their bingo checking account in an amount equal to or greater than any progressive game prize offered.

(10) Progressive games may be played on electronic bingo card monitoring devices.

(11) A hot ball progressive game is a bingo game in which a certain number of bingo balls are drawn from the receptacle prior to the start of the game. These balls are considered “hot balls.” If a bingo player achieves the winning pattern and the last number called is a “hot ball,” then the progressive prize is awarded. If after ten (10) occasions the progressive prize has not been awarded, the game operator shall increase the number of hot balls drawn to complete the winning pattern each subsequent occasion until the progressive prize is awarded.

section 313.040, RSMo Supp. 2013.* Emergency rule filed Aug. 5, 1996, effective Aug. 28, 1996, expired Feb. 23, 1997. Original rule filed Aug. 5, 1996, effective March 30, 1997. Amended: Filed May 6, 1999, effective Dec. 30, 1999. Amended: Filed Oct. 29, 1999, effective May 30, 2000. Amended: Filed Dec. 1, 2004, effective June 30, 2005. Amended: Filed June 25, 2015, effective Feb. 29, 2016. *Original authority: 313.013, RSMo 1996; 313.040, RSMo 1981, amended 1983, 1984, 1986, 1987, 1993, 1994, 1996, 2010; and 313.065, RSMo 1981, amended 1993, 1995.

History

• AUTHORITY: sections 313.013 and 313.065, RSMo 2000, and

11 CSR 45-30.390 Manufacturer Defined {#sec-11-csr-45-30.390 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.390}

PURPOSE: This rule defines the term manufacturer and clarifies that a manufacturer may be considered a supplier.

(1) A manufacturer shall include any person, firm, partnership, corporation and/or business, which:

(A) Invents, fabricates, concocts or assembles bingo cards, bingo supplies, pull-tab games, a coin board game, or any electronic device used in the playing of bingo or pull-tabs;

(B) Adds prizes to any pull-tab or coin board game; or (C) Invents, modifies, or seeks approval for use of any software used in conjunction with any electronic device.

(2) Any manufacturer who manufactures bingo supplies or equipment in Missouri shall be required to obtain a manufacturer’s license.

(3) Any person who derives income directly or indirectly as a sales representative or commissioned agent from a licensed manufacturer for the purpose of selling, leasing or otherwise distributing bingo supplies, equipment, and/or cards to an end user, (licensee or nonlicensee) shall also be required to obtain a bingo supplier’s license.

(4) Printers who only print bingo tally cards or programs at the request of the licensed organization shall not be required to obtain a license.

History

• AUTHORITY: section 313.065, RSMo 2000. Original rule filed Aug. 5, 1996, effective March 30, 1997. Amended: Filed Jan. 27, 2006, effective Sept. 30, 2006.

11 CSR 45-30.395 Manufacturer Record Keeping Requirements {#sec-11-csr-45-30.395 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.395}

PURPOSE: This rule describes the record keeping requirements and record retention requirements for manufacturers licensed by the commission, effective January 1, 1995.

(1) A manufacturer shall maintain copies of all sales invoices.

Invoices shall include name of manufacturer, manufacturer’s Missouri license number, name and license number of the Missouri supplier, invoice number, full description of bingo equipment/merchandise shipped, serial number of equipment/ merchandise, shipping destination and date equipment/ merchandise was shipped.

(2) Invoices reflecting sales of bingo paper and pull tabs shall also include the total number of bingo cards or bingo sheets in a packet of bingo paper and the total number of pull tabs per deal, retail price per tab and the color and the serial number of the top sheet of bingo paper or pull tab.

(3) All documents generated by the manufacturer with each product sold must also be maintained. Documents such as order forms, bills of lading or other documents must be retained with the invoice.

(4) In packaging the bingo paper or pull-tabs, the manufacturer shall comply with the following packaging requirements:

(A) Each package, box or container shall be sealed; and (B) The serial number shall be placed on the outside of the package so that it can be clearly viewed from the outside.

(5) All records, reports and receipts required by this rule and

Chapter 313, RSMo shall be maintained for a minimum of three (3) years and stored in such a manner as to be available for inspection by the commission upon request at no charge.

(6) Manufacturers are only allowed to sell their bingo equipment, as defined in 11 CSR 45-30.155, in the state of Missouri to suppliers licensed by the commission. If violations of this restriction or other restrictions listed in this rule, or Chapter 313, RSMo are identified by the commission, the manufacturer’s license could be subject to immediate suspension or revocation.

History

• AUTHORITY: section 313.065, RSMo 2000. Original rule filed Dec. 15, 1994, effective May 28, 1995. Amended: Filed July 3, 1995, effective Jan. 30, 1996. Amended: Filed Aug. 5, 1996, effective March 30, 1997. Amended: Filed Oct. 1, 2001, effective May 30, 2002.

11 CSR 45-30.480 Package Deals and Tying Arrangements Prohibited {#sec-11-csr-45-30.480 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.480}

(Rescinded December 30, 2018)

Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed Jan. 27, 2006, effective Sept. 30, 2006.

Rescinded: Filed April 26, 2018, effective Dec. 30, 2018.

11 CSR 45-30.500 Bingo on Military Installations {#sec-11-csr-45-30.500 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.500}

(Rescinded July 30, 2018)

Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Amended: Filed Dec. 13, 1996, effective June 30, 1997.

Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

11 CSR 45-30.515 Organization Bona Fide Member Definition {#sec-11-csr-45-30.515 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.515}

PURPOSE: This rule defines the term bona fide member as it relates to bingo licensing requirements.

(1) For pur poses of sec tions 313.005–313.080, RSMo and rules thereto, the definition of the term bona fide member shall be an individual who:

(A) Is defined as a member in the organization’s by-laws, constitution and/or articles of incorporation;

(B) Has made an affirmative effort to join the organization, thereby, forming an identifiable association with the organization; and (C) Participates in the organization’s activities other than bingo.

History

• AUTHORITY: section 313.065, RSMo Supp. 1993. Emergency rule Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29,

11 CSR 45-30.520 Waiver of Requirements {#sec-11-csr-45-30.520 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.520}

(Rescinded October 30, 2018)

Emergency rule filed June 21, 1994, effective July 1, 1994, expired Oct. 28, 1994. Emergency rule filed Oct. 19, 1994, effective Oct. 29, 1994, expired Feb. 25, 1995. Original rule filed July 11, 1994, effective Jan. 29, 1995. Rescinded: Filed March 1, 2018, effective Oct. 30, 2018.

History

• AUTHORITY: sections 313.004 and 313.065, RSMo Supp. 1993.

11 CSR 45-30.523 Supplier License {#sec-11-csr-45-30.523 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.523}

(Rescinded December 30, 2018)

section 313.065, RSMo 2000. Original rule filed June 25, 2015, effective Feb. 29, 2016. Rescinded: Filed April 26, 2018, effective Dec. 30, 2018.

History

• AUTHORITY: sections 313.005 and 313.057, RSMo Supp. 2013, and

11 CSR 45-30.525 Supplier Record Keeping Requirements {#sec-11-csr-45-30.525 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.525}

PURPOSE: This rule describes the record keeping and record retention requirements for bingo suppliers licensed by the (1) All records regarding the receipt of bingo products including bingo paper, pull-tabs, and bingo equipment from licensed manufacturers and the sale of these products to licensed Missouri operators, other licensed suppliers or operators, or suppliers in other states, shall be maintained.

(2) All documents generated by the supplier with each order of product(s) from the manu facturer or each product sold to the operator must also be maintained. Documents such as order forms, bills of lading, or other documents must be retained with the invoice.

(3) Suppliers shall record sales transactions of the products listed above on a preprinted or computer-generated serially numbered sales invoice. A minimum of three (3) copies of each invoice or two (2) copies and a payment stub are required. One (1) copy of the invoice shall be retained by the supplier. Two (2) copies or one (1) copy and the payment stub shall be sent to the operator with the order and/or billing. One (1) copy shall be retained by the operator, and one (1) copy or the payment stub shall be returned with the payment to the supplier. The date of the sale shall be evidenced by the date on the invoice. Voided invoices shall also be retained.

(4) A sales invoice shall include:

(A) The invoice number;

(B) Date of sale;

(C) License number and name of the operator;

(D) Destination;

(E) Total number of pull-tabs per deal, retail price per pulltab, and serial number of each pull-tab deal;

(F) Total number of bingo cards, number of bingo cards on each sheet, number of bingo sheets in each packet, and serial number and color of the top sheet of each packet;

(G) Serial number of each piece of bingo equipment and description of the equipment;

(H) Applicable bingo tax(es) or fees;

(I) Supplier name and license number; and (J) Other information may be substituted only if the supplier has received approval from the commission.

(5) Credit for Returned Products—Suppliers will be allowed credit for returned products, if a credit memorandum has been received from the manufacturer. Credit memorandums shall be issued by suppliers to bingo operators for returned merchandise, which may be resold to another operator. The credit memorandum issued to the operator shall indicate the same type of information as the sales invoice. The amounts shall be shown as negative amounts for both the cost of the goods and the tax. When the items are resold to another operator, the total tax amount shall be on the sales invoice.

When the supplier files the monthly report, the returned merchandise shall be shown as a negative amount.

(6) Supplier to Supplier Sales—Suppliers will be allowed to make tax-free sales to other licensed suppliers, if a Bingo Resale Exemption Certificate is completed and signed by the seller and the purchaser. One (1) copy shall be retained by the seller, one (1) by the purchaser, and one (1) shall be filed with the commission. Sales invoices for supplier to supplier sales shall include the same information as invoices to operator sales.

(7) All records, reports and receipts required by this rule or

Chapter 313, RSMo shall be maintained for a period of three (3) years and stored by the supplier in such a manner as to be available for inspection upon request by the commission at no charge.

(8) Suppliers are only allowed to buy bingo products from manufacturers licensed in Missouri and are only allowed to sell bingo products to suppliers or operators licensed in Missouri.

Suppliers may, however, sell bingo paper to entities who are not licensed with the commission, if the paper is used for a free, no-charge bingo game. Prior approval must be obtained from the commission by the entity that is going to use the bingo paper each time a purchase of such items is made. The supplier must maintain a copy of the approval with the original invoice.

The paper must be marked as prescribed by the commission, to reflect the paper may not be used in conjunction with a licensed bingo game. Suppliers are allowed to sell products tax free to suppliers or operators in other states (export sales), if the record keeping requirements listed in sections (2)–(4) of this rule are followed. Suppliers shall maintain a separate invoice file for all Missouri tax-exempt sales. If violations of this restriction or the other restrictions listed in this rule or Chapter 313, RSMo are identified by the commission, the supplier’s license could be subject to immediate suspension or revocation.

(9) Damaged or obsolete returned products subject to the bingo taxes pursuant to Chapter 313, RSMo, which the supplier does not intend to resell must be itemized to include the applicable serial number(s), before it can be destroyed. A copy of the list must be filed with the commission. The destruction of the product(s) must be witnessed by commission personnel or the supplier must have obtained prior written approval from the commission before it can be destroyed. 313.065, RSMo 2000.* Emergency rule filed Dec. 15, 1994, effective Jan. 1, 1995, expired April 30, 1995. Emergency rule filed May 2, 1995, effective May 12, 1995, expired Sept. 8, 1995. Original rule filed Feb. 16, 1996, effective Aug. 30, 1996. Amended: Filed May 6, 1999, effective Dec. 30, 1999. Amended: Filed Oct. 1, 2001, effective May 30, 2002. Amended: Filed Dec. 1, 2004, effective June 30, 2005. *Original authority: 313.057, RSMo 1984, amended 1986, 1993, 1994, 1996, 2003, 2010

11 CSR 45-30.535 Penalties {#sec-11-csr-45-30.535 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.535}

PURPOSE: This rule specifies the penalties which may be assessed by the commission against licensees for violations of the bingo statutes and regulations, pursuant to section 313.052, RSMo.

(1) Any licensee required to collect, account for, and pay over any tax or fee, who willfully, with intent to defraud, fails to collect the tax or fee, or truthfully account for and pay over the tax or fee, or willfully attempts in any manner to evade the tax or fee, or the payment of it, in addition to other penalties provided by law, shall be liable for a penalty equal to the total amount of the tax, fee or penalty evaded, or fifty dollars ($50) per occurrence, (whichever is larger) or not remitted, or not accounted for and paid over.

(2) The commission may also assess the penalties outlined in this rule against any entity which should have obtained a license as determined by the commission or by the courts and failed to do so.

(3) For operators who fail to file a renewal application as required in sections 313.015 and 313.057, RSMo, by the required date the commission may assess a late penalty of five dollars ($5) per day from the date due until filed.

(4) For operators who fail to file quarterly reports as required in

section 313.045, RSMo, and 11 CSR 45-30.210, by the required due dates, the commission may assess a late penalty of five dollars ($5) per day from the date due until filed. The maximum late penalty for one (1) report shall be one hundred dollars ($100).

(5) Any manufacturer or supplier may be assessed tax, interest, and/or a penalty pursuant to section 313.052, RSMo, to be determined by the commission for violation of sections 313.004 to 313.085, RSMo, or the rules and regulations promulgated thereunder.

(6) For purposes of this rule, the term licensee includes an individual or an officer, member, partner, or employee of the licensee who was under a duty to perform the act which led to the violation(s).

Amended: Filed July 28, 2010, effective Jan. 30, 2011. Amended:

Filed June 25, 2015, effective Feb. 29, 2016. Amended: Filed March 1, 2018, effective Oct. 30, 2018. *Original authority: 313.052, RSMo 1994; 313.065, RSMo 1981, amended 1993, 1995; and 313.070, RSMo 1981, amended 1984, 1993.

History

• AUTHORITY: sections 313.052, 313.065, and 313.070, RSMo 2016. Original rule filed July 3, 1995, effective Jan. 30, 1996. Emergency amendment filed Aug. 5, 1996, effective Aug. 28, 1996, expired Feb. 23, 1997. Amended: Filed Aug. 5, 1996, effective March 30, 1997.

11 CSR 45-30.540 Approval of Bingo Paraphernalia {#sec-11-csr-45-30.540 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.540}

PURPOSE: This rule clarifies items that must be approved by the commission, the party responsible for getting approval, and the approval process.

(1) Written approval from the commission shall be obtained prior to the delivery of any type of pull-tab game to any licensed supplier for sale to organizations licensed to conduct bingo in this state.

(2) In order to obtain approval for a pull-tab game, the licensed manufacturer shall submit to the commission each pull-tab flare, one (1) winning pull-tab, one (1) losing pull-tab, a sheet displaying all symbols used in the game, and a payout (profit) sheet for each form of the pull-tab game. If the pull-tab is an event ticket game, play instructions shall also be submitted with the request for approval. In lieu of submitting actual products, the licensee may submit an electronic representation of the required submission information.

(3) Licensed manufacturers shall submit to the commission all coin boards, excluding the actual coins and prizes, or legible artwork of the coin board, one (1) winning pull-tab, one (1) losing pull-tab, a sheet displaying all symbols used in the game, and a payout (profit) sheet. In lieu of submitting actual products, the licensee may submit an electronic representation of the required submission information.

(4) No unapproved pull-tabs or coin boards shall be provided to, or be possessed or used by, any licensed bingo organization in this state. Bingo paper that does not meet the definition contained in section 313.005, RSMo, shall not be provided to, or be possessed or used by, any licensed bingo organization. Any such bingo paper that may be provided to or possessed by a licensed bingo organization is declared contraband.

rule filed May 6, 2003, effective Jan. 30, 2004. Amended: Filed July 28, 2010, effective Jan. 30, 2011. Amended: Filed June 25, 2015, effective Feb. 29, 2016. Amended: Filed June 30, 2016, effective Feb. 28, 2017. *Original authority: 313.020, RSMo 1981, amended 1993, 1994, 1996 and 313.065, RSMo 1981, amended 1993, 1995.

History

• AUTHORITY: sections 313.020 and 313.065, RSMo 2016. Original

11 CSR 45-30.545 Contraband {#sec-11-csr-45-30.545 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.545}

PURPOSE: This rule defines bingo products considered contraband and the action the commission will take if items are identified as contraband by the commission.

(1) Any bingo cards, bingo faces, or pull-tabs that have not been purchased from a Missouri licensed supplier are declared contraband.

(2) Any bingo cards, bingo faces, or pull-tabs sold or offered for sale by an operator or business entity who possesses such material knowing or having reason to believe that it is to be used in the state of Missouri in the advancement of unlawful gambling activity with intent to distribute pursuant to section 572.030, RSMo, and has not obtained the required license pursuant to Chapter 313, RSMo, are declared contraband.

(3) Any bingo cards, bingo faces, or pull-tabs that have been sold for use in the state that have not been manufactured or purchased from a Missouri licensed manufacturer are declared contraband.

(4) Pull-tabs that do not meet the statutory requirements of sections 313.004 to 313.085, RSMo or have not been approved by the commission are declared contraband.

(5) Bingo paper that does not meet the statutory requirements of sections 313.004 to 313.085, RSMo, or has not been approved by the commission is declared contraband.

(6) The commission or its agents may seize any and all contraband and determine its lawful disposition.

Filed Aug. 5, 1996, effective March 30, 1997. Amended: Filed Dec.

History

• AUTHORITY: section 313.065, RSMo 2000. Original rule filed July 3, 1995, effective Jan. 30, 1996. Emergency amendment filed Aug. 5, 1996, effective Aug. 28, 1996, expired Feb. 23, 1997. Amended:

11 CSR 45-30.550 Licensee’s Duty to Report and Prevent Misconduct {#sec-11-csr-45-30.550 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.550}

PURPOSE: This rule establishes a licensee’s duty to report and prevent misconduct associated with charitable gaming.

(1) Licensees, workers, members, partners, agents, and employees of a licensee shall promptly report to the commission any facts which the licensee has reasonable grounds to believe indicate a violation of law (other than a traffic violation) or commission

rule committed by any licensed bingo manufacturer, supplier, or organization, its workers or employees, including, without limitation, the performance of licensed activities different from those permitted under its license.

(2) Any licensed bingo organization’s workers shall immediately take reasonable action to prevent or suppress any violent quarrel, disorder, brawl, fight, or other improper or unlawful conduct of any person at a bingo occasion.

(3) In the event that a licensee’s worker, agent, partner, member, or employee knows or should have known that an illegal or violent act has been committed in association with bingo activities, the individual shall immediately report the occurrence to the commission and local law enforcement officials, if applicable, and shall cooperate with law enforcement authorities and agents of the commission during the course of any investigation of the occurrence.

History

• AUTHORITY: sections 313.052 and 313.065, RSMo 2000. Original ruled filed May 6, 2003, effective Jan. 30, 2004. Amended: Filed June 25, 2015, effective Feb. 29, 2016. Original authority: 313.052, RSMo 1994 and 313.065, RSMo 1981, amended 1993,

11 CSR 45-30.555 Agreements Restricting Freedom to Buy and Sell—Prohibited {#sec-11-csr-45-30.555 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.555}

PURPOSE: This rule establishes guidelines for compliance with

Article III, section 39(a)(5) of the Missouri Constitution and section 313.025, RSMo.

(1) No licensee, supplier, or hall provider shall enter into any agreement, expressed or implied, with any other person or entity which requires any person or entity to purchase exclusively from, or sell exclusively to, any other person or entity, or which prohibits any person or entity from purchasing from or selling to any other person or entity, any devices, materials, products, equipment, or services which are reused or offered in any way in connection with bingo.

(2) No person or entity shall enter into any agreement, expressed or implied, wherein any person or entity is prohibited from, or required to, make a purchase or sale only within a particular geographic area or as a condition precedent or prerequisite to obtaining by sale or lease any equipment, supplies, or a particular premises for the conduct of bingo. Nothing in this

section shall restrict a licensee from exercising proprietary rights gained through patents, copyrights, trademarks, or other similar rights bestowed by state or federal governments or by courts.

(3) No supplier shall enter into an agreement or understanding whereby a lessor or potential lessor of premises will rent solely to licensees who use the supplies or equipment of that supplier or whereby the lessor will discourage its lessees from obtaining its supplies or equipment from other suppliers.

(4) No manufacturer or supplier shall make or have an agreement or understanding with any licensee that either of them shall be restricted in the operation and carrying on of business to a specific geographic area, or areas, and such a restriction shall not be a condition of any other licensee.

rule filed Aug. 30, 1996, effective Sept. 13, 1996, expired March 9, 1997. Original rule filed Aug. 30, 1996, effective March 30, 1997.

Amended: Filed Sept. 2, 1997, effective March 30, 1998. Amended:

Filed Nov. 10, 1998, effective June 30, 1999. Amended: Filed April 26, 2018, effective Dec. 30, 2018. *Original authority: 313.004, RSMo 1993, amended 1994, 2014 and 313.065, RSMo 1981, amended 1993, 1995.

History

• AUTHORITY: sections 313.004 and 313.065, RSMo 2016. Emergency

11 CSR 45-30.570 Price Reporting {#sec-11-csr-45-30.570 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.570}

PURPOSE: This rule establishes price-reporting requirements for manufacturers and suppliers of bingo paper and pull-tabs to facilitate compliance with section 313.025(2), RSMo.

(1) Licensed manufacturers shall submit a list of all bingo paper and bingo pull-tab products intended to be marketed, sold, or distributed in this state and the price of each to the commission no later than the last calendar day of each March, June, September, and December. New applicants for a manufacturer’s license shall submit a price list with their license application.

(2) Price lists shall include the prices charged to licensed suppliers including any special offers, discounts, or rebates and any price ranges associated with special offers, discounts, or rebates. Price lists for bingo paper shall clearly reflect the cost per thousand for each type, i.e., collated or straight stock, whether the border is colored, striped, or plain, etc. Pull-tab price lists shall reflect the cost per ticket charged to licensed suppliers for each type of ticket, i.e., three (3)-window, five (5)-window, etc. Pricing information shall be reported in a format prescribed by the commission.

(3) Manufacturers shall submit proposed price changes in writing so the information is received by the commission at least ten (10) days prior to the effective date of the change.

(4) When any bingo supplies and/or equipment will be sold by a licensed supplier below the price paid for the supplies, the supplier shall submit the following information in writing so the information is received by the commission at least ten (10) days prior to the effective date of the sale: the original purchase price, the sale price to be charged, and the reason for selling the supplies at a loss.

History

• AUTHORITY: section 313.065, RSMo 2000. Original rule filed May 29, 2002, effective Dec. 30, 2002.

11 CSR 45-30.575 Pull-Tab Packaging, Assembly, and Distribution {#sec-11-csr-45-30.575 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.575}

PURPOSE: This rule establishes pull-tab packaging, distribution, and randomization requirements to be followed by manufacturers, suppliers, and operators to ensure fairness and integrity of the tabs when sold to the players pursuant to section 313.057(10), RSMo.

(1) Manufacturers of pull-tabs shall assemble and package each pull-tab deal intended for sale in Missouri as follows:

(A) Each pull-tab deal shall have the same unique serial number stamped on the flare and on each pull-tab card included in the deal;

(B) Each pull-tab deal shall contain a packing slip placed inside or attached to the box(es) or container(s); and (C) The packing slip shall contain the name of the manufacturer, serial number, person(s) who packed it, and the date the deal was packaged.

(2) Winning pull-tabs shall be randomly distributed and mixed among all other pull-tabs within a deal and/or series so as to eliminate any pattern between series, or portions of series, from which the location or approximate location of any of the winning tabs may be determined. The pull-tab deal or series must be assembled so that no placement or design of winners or losers exists that allows for the possibility of picking the winning pull-tabs.

(3) Manufacturers shall mix pull-tabs prior to placing them in their final packaging container(s). The mix shall ensure that pull-tabs are separated from the original collated row position and dispersed amongst all rows in the final packaging container.

(4) Pull-tab containers shall be sealed by the manufacturer with a sticker or seal of the manufacturer and shrink wrapped. This seal and shrink wrap can only be removed by an authorized member of the bingo organization whose name shall appear on the organization’s worker list on file with the Missouri Gaming Commission. At no time shall this seal or shrink wrap be removed by a supplier. Suppliers are prohibited from opening, repackaging, or bundling the pull-tabs.

(5) Any pull-tab protection shall be shipped in one (1) single box for all pull-tab deals containing more than one (1) box or unit container.

(6) The commission shall have the authority to select any pulltab deal or series, whether held by an operator, supplier, or manufacturer and to examine the quality and/or integrity of the pull-tab series in any manner including pulling all chances.

Manufacturers shall be responsible for reimbursing suppliers or operators for unused games selected by the commission for quality control testing purposes.

(7) Pull-tabs shall be manufactured so that it is impossible to determine by any method or device the covered or concealed numbers, symbol, set of symbols, or game protection on the pull-tab until it has been dispensed to and opened by the player.

(8) All pull-tabs shall be manufactured to ensure that, when offered for sale to the public, the pull-tab is free of security defects so that the winning or losing pull-tabs cannot be determined by any method or device prior to being opened by the player.

(9) Pull-tabs shall be designed in a manner which prevents the pull-tabs from being resealed to eliminate the possibility of them being reused or resold after the initial opening.

(10) There shall be no consideration awarded for purchasing the last pull-tab in a pull-tab deal. The prohibition against such practice, commonly referred to as a “last sale feature” shall include, but not be limited to, pull-tab games that utilize coin boards and merchandise boards. 313.065, RSMo 2000.* Original rule filed Sept. 2, 1997, effective March 30, 1998. Amended: Filed Nov. 10, 1998, effective June 30, 1999. Amended: Filed Dec. 1, 2004, effective June 30, 2005. *Original authority: 313.057, RSMo 1984, amended 1986, 1993, 1994, 1996, 2003, 2010

11 CSR 45-30.580 Procedure for Entry of Names to the List of Ineligible Persons {#sec-11-csr-45-30.580 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.580}

PURPOSE: This rule defines the procedure for the entry of names of ineligible persons to the List of Ineligible Persons, the criteria for which are stated in section 313.035, RSMo.

(1) There is hereby created a List of Ineligible Persons (List) which consists of those persons whom the commission has determined are not eligible under the provisions of section 313.035, RSMo, for any license and shall not participate in the management, conduct, or operation of any game under the provisions of sections 313.005 to 313.080, RSMo.

(2) Upon a determination by the commission that a person comes under any one (1) or more of the criteria listed in section 313.035, RSMo, this person may be deemed a candidate for placement on the List and the commission may file a Notice of Ineligibility. This notice shall include the identity of the candidate, the nature and scope of the circumstances or reasons that the person should be placed on the List, names of potential witnesses, and a recommendation as to whether the determination of ineligibility shall be permanent. The notice shall also inform the person of the availability of a hearing by the commission. A request for a hearing shall be made within thirty (30) days from the date the Notice of Ineligibility was filed. If no hearing is requested, the name shall be placed on the List and such listing will be considered a final order of the commission. If a hearing is requested, it shall follow the procedures as set out in 11 CSR 45-13 et seq.

(3) When a person is determined to be ineligible under any of the criteria listed in section 313.035, RSMo, that person is not eligible for any license under the provisions of sections 313.005 to 313.080, RSMo, and shall not participate in the management, conduct, or operation of any bingo game or be employed or work in any capacity for any entity required to be licensed pursuant to section 313.057, RSMo. If a hearing is requested, the ineligibility shall continue until a final determination is made by the commission on the merits following the requested hearing. If a determination of ineligibility by the commission is examined under judicial review, then the ineligibility shall continue until the judicial review is completed and becomes final.

(4) If the commission or a subsequent judicial review finds in favor of the individual appealing the placement of his/her name on the List, then his/her name shall be removed from the List and his/her ineligibility shall be terminated as of the date of the final action by the commission or court.

Filed June 25, 2015, effective Feb. 29, 2016. *Original authority: 313.004, RSMo 1993, amended 1994; 313.035, RSMo 1981, amended 1989, 1994; and 313.065, RSMo 1981, amended 1993, 1995.

History

• AUTHORITY: sections 313.004, 313.035, and 313.065, RSMo 2000. Original rule filed Feb. 16, 1999, effective Oct. 30, 1999. Amended:

11 CSR 45-30.585 Maintenance of the List of Ineligible Persons {#sec-11-csr-45-30.585 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.585}

PURPOSE: This rule establishes procedures for the maintenance of the list and requires that all licensees submit the names of all employees/workers prior to their employment so that they may be checked against the list.

(1) The commission shall maintain a list of persons who are ineligible for any license under the provisions of 313.005 to 313.080, RSMo, and who shall not participate in the management, conduct or operation of any bingo game, or be employed or work in any capacity for any entity required to be licensed pursuant to section 313.057, RSMo. The list shall be maintained at the commission’s office in Jefferson City. All bingo licensees, including those listed pursuant to section 313.057, RSMo, shall submit the names of all employees/workers to the commission prior to their employment so that they may be checked against the list.

History

• AUTHORITY: sections 313.004, RSMo 1994 and 313.065, RSMo Supp. 1998. Original rule filed Feb. 16, 1999, effective Oct. 30, 1999. Original authority: 313.004, RSMo 1993, amended 1994; and 313.065, RSMo 1981,

11 CSR 45-30.590 Duty of Licensee to Exclude Ineligible Persons {#sec-11-csr-45-30.590 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.590}

PURPOSE: This rule requires licensed organizations to exclude persons on the List of Ineligible Persons (List) from engaging in the management, conduct, or operation of any bingo game. It also creates a duty on the part of the licensee to report persons they believe meet the criteria for placement on the List.

(1) No person who has been placed on the List of Ineligible Persons (List) shall be permitted to participate in the management, conduct, or operation of any bingo game, or be employed or work in any capacity for any entity required to be licensed pursuant to section 313.057, RSMo, unless and until a determination is made by the commission or a court to the contrary.

(2) It shall be the duty of all licensees and their workers, members, and employees to exclude persons on the List from engaging in any of the above activities when the licensee or any employee or member of the licensee knows or reasonably should know of the presence of the ineligible person. In addition, no licensee shall employ or associate with a person on the List. It shall further be the duty of the holder of a license to inform the commission in writing of the names of persons the holder reasonably believes meet the criteria for placement on the List.

History

• AUTHORITY: sections 313.004, 313.035, 313.052, and 313.065, RSMo 2000. Original rule filed Feb. 16, 1999, effective Oct. 30, 1999. Original authority: 313.004, RSMo 1993, amended 1994; 313.035, RSMo 1981, amended 1989, 1994; 313.052, RSMo 1994; and 313.065, RSMo 1981, amended 1993,

11 CSR 45-30.595 Petition for Removal of Name from the List of Ineligible Persons {#sec-11-csr-45-30.595 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.595}

PURPOSE: This rule establishes procedures to petition for removal from the list.

(1) Any person who has been placed on the list of ineligible persons may petition the executive director of the commission in writing and request that his/her name be removed from the list after a period of two (2) years has elapsed from the initial placement.

(2) The executive director at his/her discretion may remove the person’s name from the list if sufficient evidence exists to show that such person is no longer a threat to the public interest or to the effective regulation and control of bingo or the carrying on of the business and financial arrangements incidental to the conduct of bingo. To assist in this determination, the executive director may order that an evidentiary hearing be held to determine if sufficient evidence exists to warrant a name’s removal from the list.

History

• AUTHORITY: sections 313.004, RSMo 1994 and 313.065, RSMo Supp. 1998. Original rule filed Feb. 16, 1999, effective Oct. 30, 1999. Original authority: 313.004, RSMo 1993, amended 1994; and 313.065, RSMo 1981,

11 CSR 45-30.600 Electronic Bingo Card Monitoring Devices {#sec-11-csr-45-30.600 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.600}

PURPOSE: This rule defines Electronic Bingo Card Monitoring Devices (EBCMD) and the requirements licensees must follow when using EBCMDs in this state.

(1) “Electronic Bingo Card Monitoring Device (EBCMD)” means “bingo card monitoring device” as defined by section 313.005(3), RSMo. The EBCMD shall be approved by the commission prior to the sale, installation, or use of the EBCMD by a licensed bingo organization or in a licensed bingo facility.

(2) “Electronic bingo card” means an electronic representative of a bingo card as defined in section 313.005(2), RSMo.

(3) “EBCMD bingo sheet” means a disposable piece of paper containing one (1) or more bingo cards which is a physical representation of the electronic bingo cards loaded into an EBCMD. All EBCMD bingo sheets printed from the EBCMD site system must be in a form approved by the commission.

(4) “Site system,” means the computer hardware, software, and peripheral equipment, approved by the commission, that is used by a licensed organization at the site of its bingo occasion which provides bingo card monitoring devices to players, and which receipts the sale or rental of such cards and devices and generates reports relative to such sales or rentals.

(5) EBCMDs must be acquired by licensed suppliers from a licensed manufacturer and may only be rented or leased by licensed suppliers to licensed bingo operators. Bingo operators using the EBCMD site system shall procure and maintain a dedicated phone line or secure internet connection at the bingo hall for the commission and the licensed supplier and/ or licensed manufacturer to remotely connect to the system.

(6) All aspects of an EBCMD unit and site system, including all hardware and software used therein, shall be subject to testing by the commission or an independent testing laboratory designated by the commission prior to the sale, installation, or use of the EBCMD network by a licensed bingo organization or in a licensed bingo facility and prior to any changes thereto following the initial installation, or at any other time the commission deems appropriate, the cost for which in all cases shall be borne by the licensed manufacturer. In addition, all aspects must be reviewed and approved by the commission and the licensed manufacturer will be required to provide the following before installation in a licensed bingo facility:

(A) A demonstration of the equipment and software to commission staff as deemed necessary by the commission;

(B) A computer system to be housed at the commission which will allow the commission uninterrupted access to remotely connect to the licensed bingo facilities using the licensed manufacturer’s system to verify sales information and to verify that the approved version of software is being utilized;

(C) Training for the system, as deemed necessary by the commission; and (D) Additional information as deemed necessary by the commission. Any changes or upgrades to the approved system or system hardware or software must meet the same review and approval standards as original equipment and the changes or upgrades must also be made to the system housed at the (7) No EBCMD shall be able to monitor more than fifty-four (54) bingo cards per game.

(A) An EBCMD shall be downloaded with electronic bingo cards only by an approved bingo worker or authorized representative of the licensed supplier if accompanied by an approved worker of the licensed organization.

(B) All downloading into the EBCMD shall be completed prior to the drawing of the first ball for a bingo game in order for the player to participate in that bingo game. If an EBCMD must be voided and reissued after the start of the game, the EBCMD shall be reloaded with the same bingo face numbers or replaced with an EBCMD which was downloaded prior to the drawing of the first ball for that game.

(C) Organizations using EBCMD which require a site system to download electronic bingo cards to EBCMD shall ensure that any disposable paper bingo cards used at the bingo occasion are of a different series than the electronic bingo cards, in order to avoid duplication of faces in play.

(8) Each EBCMD shall be programmed to automatically erase all electronic bingo cards and/or bingo card face numbers stored in the device— (A) Upon turning off the device after the last bingo game of the occasion has been played; and (B) By some secondary timing method.

(9) No EBCMD may be designed to allow bingo players the ability to design their own bingo cards by choosing, rearranging, or placing numbers on a card.

(10) A site system shall not be able to engage in any type of sale, void, or reload transaction unless the EBCMD is connected to and communicating with the site system.

(11) A site system shall not be able to load more than fiftyfour (54) electronic bingo cards per bingo game into any one (1) EBCMD. The site system shall be capable of printing a continuous hard copy transaction log, including all sales, void, and reload transactions. A printout showing the device identification number, and all of the bingo cards and their face numbers loaded into the device, shall be available to the player upon request. The site system shall record and print out a receipt which is given to the player. The receipt shall include the device identification number or ticket number identifying the device, the date, number of electronic bingo cards purchased or loaded, and the total amount charged for the electronic bingo cards.

(12) A site system shall be able to provide the winning game patterns required for the entire bingo occasion on a hard copy printout. The printout shall be available upon demand at the bingo occasion.

(13) If the commission detects or discovers any malfunction or problem with an EBCMD or site system that could affect the security or integrity of the bingo game or if the commission is unable to remotely connect to a licensed bingo facility, the commission may direct the supplier or licensed organization to cease providing or using the EBCMD or site system, as applicable. The commission may require the supplier to correct the problem or recall the devices or system immediately upon notification by the commission to the supplier.

(A) If a supplier or licensed organization detects or discovers any malfunction or problem with the EBCMD or site system which could affect the security or integrity of the bingo game, EBCMD, or site system, the supplier or licensed organization, as applicable, shall discontinue use of the devices or site system and notify the commission the next working day.

(B) Failure to discontinue use of the EBCMD or site system in such instances will result in disciplinary action by the (14) The licensed supplier shall serve as the initial contact for the licensed organization with respect to requests for installation, service, maintenance, or repair of EBCMD and site systems. A licensed supplier may, with commission approval, authorize or subcontract with a person or company to service, maintain, or repair EBCMD and/or site systems; however, the ultimate liability for such service, maintenance, or repair shall be solely that of the licensed supplier.

(15) The licensed supplier shall invoice the licensed organization by the second business day following usage and collect any and all payments for the rental or lease of the EBCMD used by the licensed organization, and the sale, rental, or lease of the site systems to the licensed organization. The supplier shall also invoice the licensed organization by the second business day following usage and collect any and all payments for the sale of electronic bingo cards, including the applicable taxes as described in accordance with section 313.055, RSMo.

(16) EBCMDs may be transported by a licensed supplier from one (1) location to another for use by more than one (1) licensed organization provided the supplier notifies the commission of the rotation schedule of the EBCMD. However, each licensed organization utilizing a site system must have its own site system, which cannot be moved from its bingo location or be used by another organization without prior approval from the commission. A licensed organization may obtain computer terminals and/or printers to be used in conjunction with site system software obtained from a licensed supplier, from any source.

(17) The use of a player-owned EBCMD at a bingo occasion is prohibited.

(18) EBCMDs shall be rented or leased to bingo players only by the licensed organization conducting the bingo occasion, and only at the time and place of the bingo occasion. A bingo player using an EBCMD must be physically present on the premises, during the time of the bingo occasion, in order to be eligible to play bingo or win any bingo prize.

(19) Regardless of the number of EBCMDs made available for play, at least one (1) device shall be reserved by the licensed organization as a back-up device, in the event a device in play malfunctions.

(20) EBCMDs shall be made available to players on a first-come, first-serve basis. No EBCMD may be reserved for any player, except that a device may be reserved for any player with a disability that would restrict his or her ability to mark cards and such disability is consistent with definitions set forth in the Americans with Disabilities Act.

(21) No bingo player shall be allowed to utilize more than one EBCMD at any time during a bingo occasion.

(22) A bingo player may, in addition to the maximum fiftyfour (54) bingo cards per game which he or she purchases to monitor with an EBCMD, purchase additional disposable paper bingo cards to play.

(23) A licensed organization may, at its discretion, charge a separate fee to players for the use of an EBCMD; however, if an organization charges a separate fee for the use of an EBCMD— (A) The fee charged must be a flat fee, regardless of the number of bingo cards purchased or any other factor; and (B) The fee charged must be separately stated.

(24) All bingo cards used in conjunction with EBCMDs shall conform to the restrictions in sections 313.005(2) and 313.040(17), RSMo. Bingo cards of a series dedicated to or uniquely compatible with EBCMDs are permitted.

(25) Numbers appearing on a bingo card, identified by an EBCMD to be a winning bingo card, shall be verified in the presence of the majority of the players or displayed to the players by entry into an electronic card verifier.

(26) The site system shall be capable of providing accounting and revenue reports on a daily basis. Additionally, the system must be capable of providing weekly and monthly summaries of the daily reports. The daily report shall include, at a minimum, the following:

(A) Gross sales of all bingo cards sold and loaded into an EBCMD, gross sales voided and/or canceled, and net sales of all bingo cards sold;

(B) Gross number of all bingo cards sold and loaded into an EBCMD, total number of bingo cards voided and/or canceled, and net number of bingo cards sold;

(C) Adequate documentation shall be maintained to explain any voids or cancellations; and (D) The number of units sold, the number of bingo cards per game, and the number of games played.

(27) The supplier is responsible for the collection and payment of all the taxes for electronic bingo cards sold and loaded into an EBCMD in accordance with section 313.055, RSMo and any rules and regulations promulgated thereunder. The tax computation shall be based upon the information provided in the daily reports generated by the EBCMD site system. Copies of the reports used to compute the tax amount shall be attached to the supplier’s original sales invoices.

(28) The manufacturer, supplier, or game operator may be required to maintain and submit additional information at the request of the commission.

Filed May 6, 1999, effective Dec. 30, 1999. Amended: Filed Oct. 4, 2000, effective June 30, 2001. Amended: Filed Dec. 1, 2004, effective June 30, 2005. Amended: Filed Jan. 27, 2006, effective Sept. 30, 2006. Amended: Filed July 28, 2010, effective Jan. 30, 2011.

Amended: Filed June 25, 2015, effective Feb. 29, 2016. Amended:

Filed June 30, 2016, effective Feb. 28, 2017. *Original authority: 313.005, RSMo 1981, amended 1982, 1984, 1986, 1993, 1994, 2010; 313.040, RSMo 1981, amended 1983, 1984, 1986, 1987, 1993, 1994, 1996, 2010; and 313.065, RSMo 1981, amended 1993, 1995.

History

• AUTHORITY: sections 313.005, 313.040, and 313.065, RSMo 2016. Original rule filed Nov. 10, 1998, effective June 30, 1999. Amended:

11 CSR 45-30.610 Wireless Technology {#sec-11-csr-45-30.610 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-30.610}

PURPOSE: This rule sets forth the requirements for using wireless electronic products in the conduct of bingo games.

(1) Pursuant to section 313.005(3), RSMo, a bingo card monitoring device shall not communicate with any other bingo card monitoring device, computer, or electronic device once provided to the patron; however, each bingo card monitoring device may receive wireless information from the system solely for the purpose of calling balls and advancing games.

(2) Bingo faces shall not be loaded wirelessly on an electronic bingo card monitoring device after that device has been provided to the patron.

(3) All aspects of a wireless network, including all hardware and software used therein, shall be subject to testing by the commission or an approved independent testing laboratory designated by the commission, and review and approval by the commission prior to the sale, installation, or use of the network by a licensed organization or in a licensed bingo facility and following installation, prior to any changes thereto, or at any other time the commission deems appropriate, the cost for which in all cases shall be borne by the licensed manufacturer.

(4) The licensed manufacturer shall ensure the commission is provided at least five (5) days advanced written notice of any proposed changes or upgrades to an approved existing wireless network by an authorized representative of the licensed manufacturer, which shall include, without limitation— (A) A description of the reason(s) for the proposed modification;

(B) A list of the component(s) and program(s) or version(s) to be modified or replaced;

(C) A description of any operating process(es) that will be affected;

(D) The method to be used to complete the proposed modification;

(E) The date the proposed modification will be installed and the estimated time for completion;

(F) The name, title, and employer of the person(s) to perform the installation; and (G) A diagrammatic representation of the proposed hardware design change.

(5) Any changes or upgrades to an approved existing wireless network shall be performed by an authorized representative of the licensed manufacturer. All changes or upgrades shall be conducted while on-site.

Amended: Filed Aug. 29, 2024, effective March 30, 2025. *Original authority: 313.005, RSMo 1981, amended 1982, 1984, 1986, 1993, 1994, 2010; 313.040, RSMo 1981, amended 1983, 1984, 1986, 1987, 1993, 1994, 1996, 2010, 2014, 2018; and 313.065, RSMo 1981, amended 1993, 1995.

History

• AUTHORITY: sections 313.005 and 313.065, RSMo 2016, and section 313.040, RSMo Supp. 2024. Original rule filed Jan. 27, 2006, effective Sept. 30, 2006. Amended: Filed June 25, 2015, effective Feb. 29, 2016. Amended: Filed June 30, 2016, effective Feb. 28, 2017.

Chapter 31 Hearings

11 CSR 45-31.005 Procedures for Disciplinary Actions and Hearings {#sec-11-csr-45-31.005 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-31.005}

(Rescinded July 30, 2018)

rule filed Nov. 10, 1998, effective June 30, 1999. Amended: Filed Oct. 4, 2000, effective May 30, 2001. Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

History

• AUTHORITY: sections 313.052, RSMo 1994 and 313.065, RSMo Supp. 1999. Original

11 CSR 45-31.010 Proposed Suspensions, Revocations, and Denials 1996. Emergency rule filed Dec. 20, 1996, 1997. Original rule filed Dec. 13, 1996, Nov. 10, 1998, effective June 30, 1999. {#sec-11-csr-45-31.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-31.010}

11 CSR 45-31.020 Hearing Officer 1996. Emergency rule filed Dec. 20, 1996, 1997. Original rule filed Dec. 13, 1996, Nov. 10, 1998, effective June 30, 1999. {#sec-11-csr-45-31.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-31.020}

11 CSR 45-31.030 Requests for Hearings 1996. Emergency rule filed Dec. 20, 1996, 1997. Original rule filed Dec. 13, 1996, Nov. 10, 1998, effective June 30, 1999. {#sec-11-csr-45-31.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-31.030}

11 CSR 45-31.040 Appearances 1996. Emergency rule filed Dec. 20, 1996, 1997. Original rule filed Dec. 13, 1996, effective June 30, 1997. Rescinded: Nov. 10, 1998, effective June 30, 1999. {#sec-11-csr-45-31.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-31.040}

11 CSR 45-31.050 Proceedings 1996. Emergency rule filed Dec. 20, 1996, 1997. Original rule filed Dec. 13, 1996, Nov. 10, 1998, effective June 30, 1999. {#sec-11-csr-45-31.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-31.050}

11 CSR 45-31.060 Transmittal of Record and Recommendation to the Commission 1996. Emergency rule filed Dec. 20, 1996, 1997. Original rule filed Dec. 13, 1996, Nov. 10, 1998, effective June 30, 1999. {#sec-11-csr-45-31.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-31.060}

JOHNR. ASHCROFT(6/30/18)

Chapter 40 Fantasy Sports Contests

11 CSR 45-40.010 Definitions {#sec-11-csr-45-40.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-40.010}

PURPOSE: This rule provides definitions for terms used relating to Fantasy Sports Contests (FSCs).

(1) Authorized internet website—an internet website or any platform operated by a licensed operator.

(2) Entry fee—anything of value including, but not limited to, contest credit, free entry to a paid contest, cash, or a cash equivalent, that a fantasy sports contest operator collects in order to participate in a fantasy sports contest.

(3) Fantasy sports contest (FSC)—any fantasy or simulated game or contest with an entry fee in which:

(A) The value of all prizes and awards offered to the winning participants is established and made known in advance of the contest;

(B) All winning outcomes reflect in part the relative knowledge and skill of the participants and are determined predominantly by the accumulated statistical results of the performance of individuals, including athletes in the case of sports events; and (C) No winning outcomes are based on the score, point spread, or any performance of any single actual team or combination of teams or solely on any single performance of an individual athlete or player in any single actual event.

(4) Fantasy sports contest operator (FSCO)— any person, entity, or division of a corporate entity that offers a platform for the playing of fantasy contests, administers one (1) or more fantasy contests with an entry fee, and awards a prize of value.

(5) Highly experienced player— a person who has either:

(A) Entered more than one thousand (1,000) contests offered by a single FSCO; or (B) Won more than three (3) fantasy sports prizes of one thousand dollars ($1,000) or more.

(6) Key person—an officer, director, trustee, principal salaried executive staff officer, or any person so designated by the commission or director.

(7) Licensed operator—an FSCO licensed pursuant to section 313.910, RSMo, to offer FSCs for play on an authorized internet website in Missouri.

(8) Location—the geographical position of a person as determined within a degree of accuracy consistent with generally available internet protocol address locators.

(9) Location percentage—for all fantasy sports contests, the percentage, rounded to the nearest one-tenth of one percent (.1%), of the total entry fees collected from registered players located in the state of Missouri at the time of entry into a fantasy contest, divided by the total entry fees collected from all players, regardless of the players’ locations, of the fantasy sports contests.

(10) Net revenue—for all FSCs, the amount equal to the total entry fees collected from all participants entering such FSCs less winnings paid to participants in the contests, multiplied by the location percentage.

(11) Officer—the president, vice-president, treasurer, secretary, and other officer identified in an entity’s bylaws or incorporation documents, a member or manager of a limited liability company, a sole proprietor, or a partner.

(12) Principal salaried executive staff officers—means the president, any vice president in charge of a principal business unit, division, or function (such as sales, administration, or finance), any other officer who performs a policy making function, or any other person who performs similar policy making functions for the FSCO. Executive officers of subsidiaries may be deemed executive officers of the FSCO if they perform such policy making functions for the FSCO.

(13) Prize—anything of value including, but not limited to, cash or a cash equivalent, contest credits, merchandise, or admission to another contest in which a prize may be awarded.

History

• AUTHORITY: sections 313.950 and 313.955, RSMo Supp. 2019. Emergency rule filed Aug. 29, 2016, effective Sept. 8, 2016, Aug. 29, 2016, effective March 30, 2017. Original authority: 313.950, RSMo 2016, amended 2019 and 313.955, RSMo 2016, amended 2019.

11 CSR 45-40.020 Application for Fantasy Sports Contest Operator License {#sec-11-csr-45-40.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-40.020}

PURPOSE: This rule provides requirements for becoming licensed as a fantasy sports contest operator (FSCO).

PUBLISHER’S NOTE:

The secretary of state has determined that the publication of the entire text of the material, which is incorporated by reference as a portion of this rule, would be unduly cumbersome or expensive.

This material as incorporated by reference in this rule shall be maintained by the agency at its headquarters and shall be made available to the public for inspection and copying at no more than the actual cost of reproduction.

This note applies only to the reference material. The entire text of the rule is printed here. The Fantasy Sports Contest Operator Application, the FSCO Personal Disclosure Form, and the FSCO Renewal Form may also be accessed at http://www.mgc.dps.mo.gov.

(1) A fantasy sports contest operator (FSCO) license is a license granted by the Missouri Gaming Commission (commission) to allow a person, entity, or division of a corporate entity to offer fantasy sports contests (FSCs) for play by persons located in Missouri in accordance with the Missouri Fantasy Sports Consumer Protection Act (The Act).

(2) Application for licensure shall be made on the Fantasy Sports Contest Operator Application (application), which the commission adopts and incorporates by reference herein, as published by the Missouri Gaming Commission, 3417 Knipp Dr., PO Box 1847, Jefferson City, MO 65102, and which may be accessed at http://www.mgc.dps.mo.gov. The application does not incorporate any subsequent amendments or additions as adopted by the commission on October 30, 2019.

(3) The applicant shall be responsible for ensuring the FSCO Personal Disclosure Form is completed by those key persons, employees, or other individuals requested by the commission. The requested FSCO Personal Disclosure Forms and the required fingerprint sets shall be submitted within thirty (30) days of the commission’s request. The commission adopts and incorporates by reference herein, the FSCO Personal Disclosure Form, as published by the Missouri Gaming Commission, 3417 Knipp Dr., PO Box 1847, Jefferson City, MO 65102, and which may be accessed at http://www.mgc.dps.mo.gov. The FSCO Personal Disclosure Form does not incorporate any subsequent amendments or additions as adopted by the commission on December 7, 2016.

(4) Notice of renewal shall be made on the FSCO Renewal Form, which the commission adopted on October 30, 2019 and incorporates by reference herein, as published by the Missouri Gaming Commission, 3417 Knipp Dr., PO Box 1847, Jefferson City, MO 65102, and which may be accessed at http://www.mgc.dps.mo.gov. The FSCO Renewal Form does not incorporate any subsequent amendments or additions.

(5) The applicant shall be responsible for keeping the application current at all times.

The applicant shall notify the commission in writing within ten (10) days of any changes to any response in the application, and this responsibility shall continue throughout any period during which an application is being considered by the commission. All updates to applications must be submitted by exhibit so that each affected exhibit is resubmitted with the updated information and with the date of resubmission. If any application update is not made in this manner, the commission may deem the update ineffective.

(6) The commission may require an affidavit, signed on behalf of the applicant or licensee, to be submitted as an addendum to the Application, regarding matters related to the applicant or licensee or the proposed operation, including, but not limited to, the involvement of any individual in the proposed or licensed operations of the applicant or licensee.

(7) No license shall be issued to an applicant until the applicant has provided all of the required forms and requested documents pursuant to this rule.

(8) The licensed FSCO shall submit the notice of renewal at least two (2) months prior to the expiration date of the FSCO license. and sections 313.925, 313.935, 313.950, and Aug. 29, 2016, effective March 30, 2017. *Original authority: 313.910, RSMo 2016; 313.925, RSMo 2016, amended 2019; 313.935, RSMo 2016, amended 2019; 313.950, RSMo 2016, amended 2019; and 313.955,

11 CSR 45-40.030 Commission Approval of Procedures {#sec-11-csr-45-40.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-40.030}

PURPOSE: This rule establishes the process for approval of fantasy sports contest operators’ procedures.

(1) For all procedures required by statute to be approved by the commission each applicant shall submit the written description of its procedures and all supporting documents designed to satisfy the requirements of Chapter 313, RSMo to the commission with the initial application, unless otherwise directed by the commission.

(2) The commission shall review each submission required by Chapter 313, RSMo, and shall determine whether the procedures submitted satisfy the requirements. If the commission finds any insufficiencies, they shall be specified in writing to the licensee, who shall make appropriate alterations. No FSCO license shall be issued unless and until the procedures are approved by the commission.

(3) Once approved, no licensed operator shall alter its procedures unless and until the change is approved by the commission.

(4) Each licensed operator shall submit to the commission any change to the approved procedures no less than fifteen (15) days prior to the planned implementation date of the change. The proposed change to the procedures shall be approved or disapproved by the commission. Upon approval, the change may be implemented. If the change is disapproved, the licensed operator shall not implement the change.

(5) If at any time the commission determines that a licensed operator’s procedures are inadequate or do not comply with the requirements of this chapter or Chapter 313, RSMo, the commission shall notify the licensed operator in writing. Within fifteen (15) days after receiving the notification, the licensed operator shall amend its procedures accordingly and shall submit a copy of the procedures, as amended, and a description of any other remedial measures taken.

(6) If a licensed operator plans to disseminate the List of Disassociated Persons (DAP List), the operator shall submit to the commission a plan for the dissemination of the information regarding persons placed on the DAP List, as well as persons who have been removed from the DAP List. The plan shall be designed to safeguard, as best as is reasonably possible, the confidentiality of the information but shall include dissemination to at least the personnel responsible for removing a person on the DAP List from all individually targeted advertising or marketing. Licensed operators may not disclose the name of, or any information about, a person who has been placed on or removed from the DAP List to anyone other than employees and agents of the licensed operator whose duties and functions require access to the information. The plan must be approved by the commission prior to disseminating the information. All information disclosed to any licensed operator regarding anyone placed on or removed from the DAP List shall be deemed a closed record; however, the information may be disclosed as authorized by the individual seeking placement on the DAP List, by law, and through the provisions contained in 11 CSR 45-17.

rule filed Aug. 29, 2016, effective March 30, 2017. Amended: Filed Nov. 1, 2018, effective June 30, 2019. *Original authority: 313.915, RSMo 2016; 313.920, RSMo 2016; 313.950, RSMo 2016; and 313.955, RSMo 2016.

History

• AUTHORITY: sections 313.915, 313.920, 313.950, and 313.955, RSMo 2016. Emergency rule filed Aug. 29, 2016, effective Sept. 8, 2016, expired March 6, 2017. Original

11 CSR 45-40.040 Fantasy Sports Contest Operator Responsibilities {#sec-11-csr-45-40.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-40.040}

PURPOSE: This rule establishes the commission’s access to information, the applicant’s duty to disclose changes in information, and the licensed operator’s duty to report and prevent misconduct. This rule is designed to assure that the commission receives timely information that may impact on an applicant’s or licensee’s suitability.

(1) All licensed operators shall provide all information requested by the commission.

Access to this information shall be immediate and copies of the information shall be delivered within seven (7) days, or less if the commission so orders.

(2) All licensed operators of and applicants for fantasy sports contest operator (FSCO) licenses issued by the commission shall have a continuing duty to disclose in writing, within ten (10) calendar days for an applicant and thirty (30) calendar days for a licensee, any material change in the information provided in the application forms and requested materials submitted to the commission. Any change in information that is not material must be disclosed to the commission during the licensee’s next subsequent application for (5/31/20) JOHN R. ASHCROFT license renewal.

(3) The duty to disclose changes in information shall continue throughout any application period or period of licensure granted by the commission. This duty shall be in addition to any other reporting requirements.

(4) For the purposes of this rule, “material change” shall mean any change in personal identification or residence information, such as name, address, and phone number; information required in section 313.945, RSMo; or other information that might affect an applicant or licensed operator’s suitability to hold an FSCO license, including, but not limited to, significant changes in financial condition, legally defaulting on a debt owed to the state of Missouri, arrests, convictions, guilty pleas, disciplinary actions, or license denial, suspension, or revocation in other jurisdiction(s).

(5) Licensed operators shall promptly report to the commission any facts which the licensed operator has reasonable grounds to believe indicate a violation of law or commission rule committed by licensed operators, their key persons, or their employees, including, without limitation, the performance of licensed activities different from those permitted under their license.

(6) In addition to all other reporting requirements, FSCO license applicants and licensed operators shall notify the commission within fifteen (15) days after receiving notification that any of the following persons has received a subpoena or is the target of, has been disciplined by, or has been charged in connection with an investigation by a regulatory, administrative, or prosecutorial agency of a violation of a rule, regulation, or statute relating to licensed gambling, fantasy sports contests, Securities and Exchange Commission (SEC) regulations, or criminal offenses, to include any illegal, corrupt, or fraudulent act, practice, or conduct in connection with any fantasy sports contest in Missouri or any other state, a felony, a crime of moral turpitude, or any criminal offense involving dishonesty or breach of trust (an “offense” does not include infractions, traffic violations, or parking violations, except for driving while revoked/suspended, alcohol/drug-related traffic violations, and leaving the scene of an accident):

(A) The applicant or licensed operator;

(B) The applicant’s or licensed operator’s parent corporation;

(C) Any subsidiary of the applicant’s or licensed operator’s parent corporation;

(D) The applicant’s or licensed operator’s key persons or employees;

(E) Any key person of the applicant’s or licensed operator’s parent corporation; or (F) Any key person of any subsidiary of the applicant’s or licensed operator’s parent corporation.

History

• AUTHORITY: sections 313.910, 313.915, 313.925, 313.930, 313.935, 313.950, and 313.955, RSMo 2016. Emergency rule filed Aug. 29, 2016, effective Sept. 8, 2016, Aug. 29, 2016, effective March 30, 2017. Original authority: 313.910, RSMo 2016; 313.915, RSMo 2016; 313.925, RSMo 2016; 313.930, RSMo 2016; 313.935, RSMo 2016; 313.950, RSMo 2016; and 313.955, RSMo 2016.

11 CSR 45-40.050 Operational Requirements for Fantasy Sports Contest Operators {#sec-11-csr-45-40.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-40.050}

PURPOSE: This rule provides operational requirements for fantasy sports contest operators (FSCOs).

(1) Each licensed operator shall maintain on file with the commission the following:

(A) A current set of procedures for a registered player to report complaints to the licensed operator regarding whether his or her account has been misallocated, compromised, or otherwise mishandled, and a procedure for the licensed operator to respond to those complaints;

(B) A current detailed description of the security standards utilized to prevent access to fantasy sports contests (FSC) by a person whose location and age have not been verified in accordance with section 313.940, RSMo;

(C) A detailed description of measures used to determine the true identity, date of birth, and address of each player seeking to open an account;

(D) A detailed description of the measures taken and procedures implemented to clearly and conspicuously publish and facilitate parental control procedures to allow parents or guardians to exclude minors from access to any FSC;

(E) A detailed description of the standards and procedures used to monitor FSC to detect the use of unauthorized scripts and restrict players found to have used such scripts from further FSC;

(F) A detailed description of its procedures and measures taken to clearly and conspicuously identify highly experienced players in FSC by a symbol attached to a player’s username, or by other easily visible means, on the licensed operator’s authorized internet website;

(G) A detailed description of its online self-exclusion process; and (H) A detailed description of the method used to determine the geographical position of a player at the time of entry into any FSC.

(2) The information required by section (1) and all supplemental documents shall be submitted with the initial application and within fifteen (15) days of any subsequent revision.

(3) Each licensed operator shall take commercially and technologically reasonable measures to comply with the provisions of sections 313.915 and 313.920, RSMo, regarding the verification of each FSC player’s true identity, date of birth, and address, including, but not limited to, independent verification of age using information obtained from independent sources outside of the player seeking to open an account. Third party services may be used to verify the age and location of a player. Each licensed operator shall use such information, at a minimum, to prevent underage individuals from establishing accounts, and to prevent players from establishing more than one (1) account or username or playing anonymously.

(4) Upon discovery of a registered account held by a minor, the FSCO shall promptly refund any money held in a minor’s account, whether or not the minor has engaged in or attempted to engage in game play. A FSCO may refuse to award a prize to a minor upon a good-faith determination, following reasonable investigation, that the minor misrepresented his or her age in order to enter the FSC, provided, however, that such prize must then be awarded to another participant in the contest who would have won the prize had the minor not participated.

(5) Prior to conducting any individually targeted advertising or marketing, but not more than once a week, the licensed operator shall do the following:

(A) Download the current List of Disassociated Persons (DAP List) and the MGC Excluded Persons List from the designated MGC server;

(B) For email marketing campaigns, compare the email addresses from the marketing list to the DAP List and the MGC Excluded Persons List and remove anyone whose email address is found to be on either List (DAP or Excluded);

(C) For direct mail marketing campaigns to non-registered players, search and remove from the marketing list any person who has the same name and address of any person found to be on either List (DAP or Excluded); and (D) For direct mail marketing campaigns to registered players, search and remove from the marketing list any player who has the same date of birth, first or last name, and address of an individual on either List (DAP or Excluded).

(6) If a licensed operator ceases offering fantasy sports contests in Missouri, the licensed operator shall notify the commission of the date of cessation. Notice shall be provided within ten (10) days of the cessation.

History

• AUTHORITY: sections 313.915, 313.920, 313.925, 313.950, and 313.955, RSMo Supp. 2019. Emergency rule filed Aug. 29, 2016, effective Sept. 8, 2016, expired March 6, 2017. Original rule filed Aug. 29, 2016, effective March 30, 2017. Amended: Filed Oct. 31, 2019, effective June 30, 2020. Original authority: 313.915, RSMo 2016, amended 2019; 313.920, RSMo 2016, amended 2019; 313.925, RSMo 2016, amended 2019; 313.950, RSMo 2016, amended 2019; and 313.955, RSMo 2016, amended 2019.

11 CSR 45-40.060 Segregated Account Requirements {#sec-11-csr-45-40.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-40.060}

PURPOSE: This rule addresses the segregated account requirements for the protection of player funds.

(1) The licensed operator shall maintain a properly constituted special purpose entity approved by the commission to segregate player funds from operational funds as required by section 313.915, RSMo. If the commission approves in writing an alternate approach to segregating player funds as authorized by section 313.915.5, RSMo the licensed operator shall comply with all terms and conditions of the written approval.

(2) If, at any time, the funds held by the special purpose entity are less than the amount required by section 313.915, RSMo, the licensee shall notify the commission of this deficiency within forty-eight (48) hours.

(3) Each licensed operator shall continuously monitor and maintain a record of all funds held in player accounts and the amount held by the special purpose entity to ensure compliance with section 313.915, RSMo.

(4) The licensed operator shall provide the commission with documentation of both the amount of funds held in player accounts and the amount held by the special purpose entity as of the last day of each month by the fifteenth day of the following month.

Amended: Filed May 31, 2018, effective Jan. 30, 2019. Amended: Filed Oct. 31, 2019, *Original authority: 313.915, RSMo 2016, amended 2019; 313.950, RSMo 2016, amended 2019; and 313.955, RSMo 2016, amended 2019.

History

• AUTHORITY: sections 313.915, 313.950, and Aug. 29, 2016, effective March 30, 2017.

11 CSR 45-40.070 Operational Fees {#sec-11-csr-45-40.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-40.070}

PURPOSE: This rule addresses the calculation, documentation, and the filing requirement of the annual operation fee to be paid by licensed operators.

PUBLISHER’S NOTE: The secretary of state has determined that the publication of the entire text of the material which is incorporated by reference as a portion of this rule would be unduly cumbersome or expensive. This material as incorporated by reference in this

rule shall be maintained by the agency at its headquarters and shall be made available to the public for inspection and copying at no more than the actual cost of reproduction. This note applies only to the reference material. The entire text of the rule is printed here. The Annual Operation Fee (AOF) report may also be accessed at http://www.mgc.dps.mo.gov.

(1) The applicant or licensed operator shall file an Annual Operation Fee (AOF) report and all required supporting documentation with the commission by September 1 of each year for the previous calendar year. The annual operation fee shall be reported on the AOF report, which the commission adopted on October 30, 2019 and incorporates by reference herein, as published by the Missouri Gaming Commission, 3417 Knipp Dr., PO Box 1847, Jefferson City, MO 65102, and which may be accessed at http://www.mgc.dps.mo.gov. The AOF report does not incorporate any subsequent amendments or additions. and sections 313.935, 313.950, and 313.955, RSMo Supp. 2019.* Emergency rule filed Aug. 29, 2016, effective Sept. 8, 2016, Aug. 29, 2016, effective March 30, 2017.

Amended: Filed March 1, 2018, effective Oct. 30, 2018. Amended: Filed Oct. 31, 2019, *Original authority: 313.910, RSMo 2016; 313.935, RSMo 2016, amended 2019; 313.950, RSMo 2016, amended 2019; and 313.955, RSMo 2016, amended 2019.

11 CSR 45-40.090 Records and Record Retention {#sec-11-csr-45-40.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-40.090}

PURPOSE: This rule establishes requirements for records and record retention.

(1) Each licensed operator shall maintain complete, accurate, legible, and permanent records of all transactions pertaining to its revenues, expenses, assets, liabilities, and equity. Records shall be sufficient to adequately reflect total entry fees, entry fees collected from players located in Missouri, net revenue, winnings paid, prizes awarded, and other fantasy sports contest transactions which accurately reflect the requirements and restrictions contained in this chapter and in

Chapter 313, RSMo.

(2) The licensed operator’s accounting records shall be maintained in accordance with generally accepted accounting principles using a double entry system of accounting, with transactions recorded on the accrual

basis and supported by detailed, supporting, and subsidiary records.

(3) Unless the commission approves or requires otherwise in writing, each licensed operator shall retain records required by this

chapter and Chapter 313, RSMo, for at least five (5) years after they are made.

(4) Each licensed operator shall maintain a record, by date, of the total entry fees received from players located in the United States, grouped by state, and the total entry fees received from players located outside the United States.

History

• AUTHORITY: sections 313.910 and 313.930, RSMo 2016, and sections 313.950 and Aug. 29, 2016, effective March 30, 2017. Original authority: 313.910, RSMo 2016; 313.930, RSMo 2016; 313.950, RSMo 2016, amended 2019; and 313.955,

11 CSR 45-40.100 Audits {#sec-11-csr-45-40.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-40.100}

PURPOSE: This rule establishes standards for audits.

(1) The annual financial audit shall be conducted by an independent certified public accountant (C.P.A.) in accordance with generally accepted auditing standards as follows:

(5/31/20) JOHN R. ASHCROFT

(A) Audit the licensed operator’s annual financial statements in order to report on the fair representation of such amounts. The C.P.A. shall reconcile these audited amounts to similar amounts on the annual financial reports and system reports; and (B) Audit the annual total entry fees, entry fees from players located in Missouri, location percentage calculation, winnings paid, net revenue, and the annual operation fee from the most recently filed Annual Operation Fee report, in order to report on the fair representation of such amounts. The C.P.A. shall reconcile these audited amounts to similar amounts on the annual financial reports and system reports. and sections 313.915, 313.940, 313.950, and Aug. 29, 2016, effective March 30, 2017.

Amended: Filed March 1, 2018, effective Oct. 30, 2018. Amended: Filed Oct. 31, 2019, *Original authority: 313.910, RSMo 2016; 313.915, RSMo 2016, amended 2019; 313.940, RSMo 2016, amended 2018; 313.950, RSMo 2016, amended 2019; and 313.955,

Chapter 49 Organizational Structure, Description, Practices and Procedures

11 CSR 45-49.010 Organizational Structure, Description, Practices and Procedures {#sec-11-csr-45-49.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-49.010}

PURPOSE: This rule relating to the organizational structure of the Missouri Horse Racing Commission, its general courses and methods of operation and the procedures where the public may obtain information or make submissions or requests is made to comply with section 536.023.3., RSMo.

(1) The Missouri Horse Racing Commission (also referred to as commission) was established by Article III, section 39(b)(3) of the Missouri Constitution, as adopted in Constitutional Amendment No. 7 (approved November 6, 1984, effective December 6, 1984, Article XII, section 2(b), Missouri Constitution). The commission consists of five (5) members appointed by the governor, with the advice and consent of the Missouri senate. Vacancies on the commission shall be filled by the governor in the manner provided for in Article IV, section 4, Missouri Constitution. Among other things, the commission has full regulatory authority over pari-mutuel wagering in Missouri, the licensure of racetracks where pari-mutuel wagering is permitted and the authorization of horse races at such tracks.

(2) One (1) of the members of the commission is designated chairman by the governor.

The chairman presides at the meetings of the commission. The chairman shall have the power to vote on any matter before the commission. The chairman shall have the authority, upon a duly passed motion or resolution of the commission, to execute contracts, leases or other documents on behalf of the commission. The chairman shall receive service of process on behalf of the commission. In the event the chairman is temporarily absent or otherwise temporarily unable to perform his/her duties, any three (3) members of the commission may designate one (1) of the members of the commission to be the acting chairman to perform all the duties of the chairman until his/her temporary incapacity has ended.

(3) Three (3) members of the commission shall constitute a quorum for the conduct of business. Any authorized action may be taken by the commission upon an affirmative majority vote of the members present at any lawfully convened meeting. Voting on any matter shall be by voice vote; provided that, a roll call vote attributing a yea, nay or present to each member shall be made upon request of any member of the commission. In case of a tie vote, the question shall be defeated. There shall be no voting by proxy and each member shall be entitled to only one (1) vote on any single motion, resolution or other matter.

(4) Meetings of the commission may be conducted by the attendance of the commission members in person or by conference telephone call; provided that, if a meeting of the commission is conducted by conference telephone call, at least one (1) of the telephones shall be a speaker phone, which allows members of the public to hear and comment upon the proceedings of the commission. The location of the speaker phone shall be the location of the meeting for purposes of the Sunshine Law, Chapter 610, RSMo. Regular meetings of the commission shall be held on the first Wednesday of every month at a place and time designated in the notice of the meeting.

Notice shall be made in accordance with the Sunshine Law, Chapter 610, RSMo, and written notice shall be sent by mail, postage prepaid or private carrier to the members of the commission at least two (2) calendar days prior to each meeting. Notice of any meeting may be waived by any member of the commission by attendance at the meeting or by act or deed. Regular meetings of the commission may be canceled by the chairman or by verbal or written communications of any three (3) members of the commission. Special meetings of the commission shall be held upon the call of the chairman or by verbal or written communications of any three (3) members of the commission upon notice as is specified previously in this section; provided that, the chairman or any three (3) members of the commission, by verbal or written communications, may call a special meeting of the commission without notice in emergencies. A full and true record of all the proceedings of the commission shall be kept.

Minutes of each meeting will be sent to each member of the commission prior to the next commission meeting and the minutes will be approved or disapproved at that next regular meeting.

(5) There are two (2) methods for the removal or ouster of commission members.

(A) The attorney general shall bring a quo warranto action to oust any member of the commission from his/her office if— 1. The member, the member’s spouse, child or parent owns an interest in a race track licensed by the commission;

2. The member, the member’s spouse, child or parent is an officer, employee, consultant or otherwise receives any remuneration from a race track licensee(s); or 3. The member, the member’s spouse, child or parent holds a financial interest in a management or concession contract with a race track licensee(s).

(B) Provided that, a member shall not be subject to ouster or otherwise disqualified because either the member or the member’s spouse, child or parent is a horse owner or a horse breeder whose horse participates as other horses and wins purses or awards in a race at a licensed race track.

(C) The governor may remove any member of the commission from office for malfeasance or neglect of duty in office. Conduct that constitutes malfeasance in office includes, but is not limited to, the following: voting on any matter in which the member has a direct or indirect pecuniary interest; possessing any direct or indirect pecuniary interest in a contract or other business transaction with the commission or a licensee; betting or soliciting bets on any horse race; violating the conflict of interest laws, sections 105.450—105.482, RSMo; violating the nepotism provision, Article VII, section 6, Missouri Constitution; or the commission of any felony under the laws of the state of Missouri or of any crime under the laws of another jurisdiction, which if committed within this state would be a felony, or committing any conduct involving moral turpitude, dishonesty, fraud, deceit or misrepresentation.

(6) The public may obtain information from or make submissions to or requests of the commission in person or by mail or telephone to the Missouri Horse Racing Commission, P.O. Box 754, Jefferson City, MO 65102, (314) 751-3565.

Moved to 11 CSR 45-49.010, effective Aug. 28, 1995. *Original authority 1975, amended 1976, 1997.

ROBINCARNAHAN(5/31/09)

History

• AUTHORITY: Article III, section 39(b), Missouri Constitution(as adopted in Constitutional Amendment No. 7) and section 536.023.3., RSMo 1986. This rule originally filed as 12 CSR 50-1.010. Original rule filed Sept. 3, 1985, effective Dec. 12, 1985.

Chapter 50 Definitions

11 CSR 45-50.010 Definitions {#sec-11-csr-45-50.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-50.010}

PURPOSE: This rule sets forth the definitions applicable to the commission’s rules contained in 12 CSR 50.

(1) The United States Trotting Association’s (U.S.T.A.) current rule 4 shall be the commission’s definitions with the additions and exceptions noted in this rule.

(2) Arrears. All monies owed by a licensee, including subscriptions, forfeitures and any other payment and default incident to the rules of the commission.

(3) Association. An organization holding a Class B or Class D license from the commission to conduct harness racing and parimutuel wagering.

(4) Betting interest. An assigned number of the tote on which wagers may be placed. A single betting interest may be one (1) horse or more than one (1) horse.

(5) Bleeder. A horse which hemorrhages from within the respiratory tract during a race or within a reasonable time, post-race or during exercise or within a reasonable time of exercise.

(6) Bleeder list. A tabulated list of all bleeders.

(7) Chemist. An official racing chemist designated by the commission.

(8) Contractual concessionaire. Any business or individual dealing in the furnishing, sale or distribution of materials, supplies and/or services to an association or patrons of an association.

(9) Day. A twenty-four (24)-hour period beginning at 12:01 a.m. and ending at 12:00 midnight. Also referred to as a racing day.

(10) Dead heats. A tie in the finish of any place in a race by two (2) or more horses.

(11) Driver. A driver licensed in Missouri to drive in harness races as a driver.

(12) Entry. A horse entered for a race.

(13) Ejection. The unconditional expulsion and exclusion from any race meeting or premises and disqualification from any participation, either directly or indirectly, in the privileges and uses of the course and grounds of any licensee.

(14) Foreign (prohibited) substances. All substances except those which exist naturally at normal physiological concentration in the untreated horse.

(15) Forfeit. Money due by a licensee because of an error, fault, neglect of duty, breach of contract or penalty imposed by order of the judges or the commission.

(16) Furosemide (known under the trade name Lasix). 4 Chloro-N-(2 furylmethyl)-5sulfamoy-lanthanilic acid.

(17) Hypodermic injection. An injection into or under the skin or mucosa including intradermal injection, subcutaneous injection, submucosal injection, intramuscular injection, intravenous injection, intraarterial injection, intraarticular injection, intrabursal injection or intraocular (intraconjunctival) injection.

(18) Judges. The duly appointed racing officials or their deputies serving at a licensed harness meeting. Judges shall be considered stewards as that term is used in section 313.500, RSMo (1986).

(19) Licensee. Any organization or individual holding any license from the commission.

(20) Meeting. A race meet or race meeting.

(21) Minor. Any person under the age of eighteen (18).

(22) Overnight race. A race for which entries close seventy-two (72) hours or less before the time set for the first race of the day on which the race is to be contested. In the absence of conditions or notice to the contrary, all entries in overnight events must close not later than 12:00 noon the day preceding the race.

(23) Owner.

(A) A person who holds any title, right or interest, whole or partial in a horse.

(B) A lessee of a horse holding an owner’s license.

(C) An interest only in the winnings of a horse does not constitute partial ownership.

(24) Patron. A member of the public present on the grounds of a pari-mutuel association for the purpose of wagering or to observe racing.

(25) Permit. A Class A, Class B or Class D license issued by the commission.

(26) Permit holder. An organization holding a Class A, Class B or Class D license.

(27) Post position. The position assigned to the horse in the starting gate of the race.

(28) Race. A contest between horses for a purse, prize or other reward contested at a licensed association in the presence of the judges of the meeting. Every heat or dash shall be deemed a race for pari-mutuel betting purposes.

(29) Racing program. A schedule of races per day authorized by the commission.

(30) Rules. Rules promulgated by the commission and/or the United States Trotting Association (U.S.T.A.) to regulate the conduct of harness racing.

(31) Security stall. The stall assigned by the commission to a horse on the bleeder list, for occupancy as a prerequisite for receiving bleeder medication.

(32) Security area. The area surrounding the security stall delineated and controlled by the commission.

(33) Specimen. Any bodily substance including, but not limited to, blood or urine, taken from a horse under the supervision of the commission’s veterinarian and in the manner prescribed by the commission for the purpose of analysis. This term is used interchangeably with test sample.

(34) Stable name. A name used by an owner or lessee and registered with the commission.

(35) Subscription. Nomination or entry of a horse in a stake race.

(36) Test level. The concentration of foreign substance found in the test sample.

(37) Test sample. Any bodily substance including, but not limited to, blood or urine taken from a horse under the supervision of the commission veterinarian and in the manner as prescribed by the commission for the

purpose of analysis. This term is used interchangeably with specimen.

(38) Year. A calendar year.

History

• AUTHORITY: section 313.540, RSMo 1986. This rule originally filed as 12 CSR 50- 10.010. Emergency rule filed June 20, 1986, effective June 30, 1986, expired Oct. 13, 1986. Original rule filed Oct. 3, 1986, effective Jan. 12, 1987. Moved to 11 CSR 45- 50.010, effective Aug. 28, 1995. Original authority: 313.540, RSMo 1986.

11 CSR 45-50.011 Definitions (Thoroughbred and Quarterhorse) {#sec-11-csr-45-50.011 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-50.011}

PURPOSE: This rule sets forth definitions applicable to the commission rules contained in 12 CSR 50.

(1) Added money. Cash, exclusive of trophy or other award, added by the association to stakes fees paid by subscribers to form the total purse for a stakes race.

(2) Age. The number of years since a horse was foaled, reckoned as if the horse were foaled on January 1 of the year in which the horse was foaled.

(3) Arrears. All sums due by a licensee as reflected by his/her account with the horsemen’s bookkeeper, including subscriptions, jockey fees, forfeitures and any default incident to these rules.

(4) Association. An individual, business entity, organization or race track licensee holding a permit from the commission to conduct racing and pari-mutuel wagering and an annual license authorizing the specific dates of the annual racing meeting.

(5) Authorized agent. A person licensed by the commission as an agent for a horse owner or principal by virtue of a notarized appointment of agent on a form approved by the commission filed by the owner or principal with the commission and the horsemen’s bookkeeper authorizing him/her to handle matters pertaining to racing and stabling.

(6) Betting interest. A single horse, or more than one (1) horse joined as a mutuel entry or joined in the mutuel field, on which a single pari-mutuel wager may be placed.

(7) Bleeder. A horse which hemorrhages from within the respiratory tract during a race or within one (1) hour post-race or during exercise or within one (1) hour of exercise.

(8) Bleeder list. A tabulation of all bleeders to be maintained by the commission.

(9) Chemist. Any official racing chemist designated by the commission.

(10) Claiming race. Any race in which every horse running therein may be transferred in conformity with these rules.

(11) Closing. Time published by the association after which entries for a race will not be accepted.

(12) Commission. The Missouri Horse Racing Commission.

(13) Contractual concessionaire. Any business or individual dealing in the furnishing, sale or distribution of materials, supplies and/or services to an association.

(14) Day. A twenty-four (24)-hour period beginning at 12:01 a.m. and ending at 12:00 midnight. Also referred to as a race day.

(15) Dead heats. A dead heat is the finish of a race by two (2) horses or more at the same time.

(16) Declaration. The act of withdrawing an entered horse from a handicap.

(17) Disciplinary action. That action taken by the stewards or the commission for a rule violation and can include suspension, revocation, voidance of a license or ejection or exclusion from association grounds or assessment of a forfeiture or reprimand or any combination thereof.

(18) Disqualification. An order of the stewards or commission revising the order of finish of a race.

(19) Entry.

(A) A horse entered for a race; or (B) Two (2) or more horses entered and joined for the same race for pari-mutuel wagering purposes because of common ties of ownership, lease or training.

(20) Foreign substances. All substances except those which exist naturally in the untreated horse at normal physiological concentration.

(21) Forfeit. Money due by a licensee because of an error, fault, neglect of duty, breach of contract or penalty imposed by order of the stewards or the commission.

(22) Furosemide. 4 Chloro-N- (2 furylmethyl)-5-sulfamoylanthanilic acid, known under the trade name Lasix.

(23) Handicap. A race in which the weights to be carried by the horses are assigned by the racing secretary or handicapper for the purpose of equalizing the chances of winning for all horses entered.

(24) Horse. Any horse (including and designated as a mare, filly, stallion, colt, ridgling or gelding) registered for racing under the jurisdiction of the commission.

(25) Hypodermic injection. Any injection into or under the skin or mucosa, including intradermal injection, subcutaneous injection, submucosal injection, intramuscular injection, intravenous injection, intraarterial injection, intraarticular injection, intrabursal injection, intraocular (intraconjunctival) injection.

(26) Ineligible. Horse or person not qualified under these rules or conditions of a race to participate in a specified racing activity.

(27) Jockey. Rider currently licensed to ride in races as a jockey or apprentice jockey or amateur jockey or a provisional jockey permitted by the stewards to ride in two races prior to receiving a license.

(28) Lessee. Licensed owner whose interest in a horse is a leasehold.

(29) Licensee, Occupation. Any person who has been duly issued a currently valid license to participate in racing in this state.

(30) Maiden. Horse which at the time of starting has never won a race at a legally permitted track in any country; a maiden which was disqualified after finishing first remains a maiden; race conditions referring to maidens shall be interpreted as meaning maidens at the time of starting.

(31) Match race. A race between two (2) horses, the property of two (2) owners, on terms agreed upon by them. The match is void if either of the horses or if either owner dies prior to the running of the race. It remains a match even if money or other award is added to the stakes.

(32) Meeting. The specified period and dates each year during which an association is authorized to conduct racing by approval of 4CODE OF STATE REGULATIONS (5/31/09) ROBINCARNAHAN (33) Minor. Any person under the age of eighteen (18).

(34) Month. A calendar month.

(35) Mutuel field or field. A group of two (2) or more horses upon which a single bet may be placed. A mutuel field is required when the number of horses starting in a race exceeds the capacity of the track totalizator.

The highest numbered horse within the totalizator capacity and all the higher-numbered horses following are then grouped together in the mutuel field.

(36) Nominator. The person in whose name a horse is entered for a race.

(37) Official time. The official time for a race shall be the period from the time the first horse crosses the timing beam until the first horse crosses the finish line.

(38) Overnight race. A race for which entries close seventy-two (72) hours, or less, before the time set for the first race of the day on which the race is to be run.

(39) Owner.

(A) A person who holds a title, right or interest, whole or partial in a horse; or (B) A lessee of a horse holding an owner’s license; an interest only in the winnings of a horse does not constitute partial ownership.

(40) Patron. A member of the public present on the grounds of a pari-mutuel association during a meeting for the purpose of wagering or to observe racing.

(41) Performance. A schedule of ten (10) races per day unless otherwise authorized by (42) Permit. An authorization by the commission to an association to conduct thoroughbred racing and pari-mutuel wagering, at a specified place.

(43) Permittee or permit holder (race track licensee). An association holding a commission permit to conduct racing meetings and pari-mutuel wagering.

(44) Place.

(A) In general, to finish a race in either first, second or third place;

(B) In particular, to finish second in a race; or (C) Example— 1. Win—to place first in the finish;

2. Place—to place second in the finish; and 3. Show—to place third in the finish.

(45) Post position. The position assigned to the horse in the starting gate of the race.

(46) Post time. The time set for the arrival of all horses in a race at the starting gate.

(47) Purse. The gross cash portion of the prize for which a race is run.

(48) Purse race. Any race for which entries close less than seventy-two (72) hours prior to its running and for which owners of horses entered are not required by its conditions to contribute money toward its purse.

(49) Race. A running contest between horses for a purse, prize or other reward run at a licensed association in the presence of the stewards of the meeting. This includes purse races, overnight races and stake races.

(50) Racing official. Racing commissioner, commission staff as duties require and all association racing department employees, as duties require.

(51) Recognized meeting. Any meeting with regularly scheduled races for horses in a jurisdiction having reciprocal relations with this state and the commission for the mutual enforcement of rulings relating to racing.

(52) Registration certificate. Document issued by the Jockey Club of New York certifying as to the name, age, color, sex, pedigree and breeder of a horse as registered by number with the Jockey Club; shall be deemed to refer also to the document known as a racing permit issued by the Jockey Club in lieu of a registration certificate when a horse is recognized as a thoroughbred for racing purposes in the United States, but is not recognized as a thoroughbred for breeding purposes insofar as registering its progeny with the Jockey Club.

(53) Rules. The rules promulgated by the commission to regulate the conduct of racing.

(54) Rulings. All determinations, decisions or orders of the stewards or of the commission duly issued in writing and posted.

(55) Scratch. The act of withdrawing an entered horse from the race after the closing of overnight entries.

(56) Scratch time. The time set by the association for the closing of applications to withdraw from races of that day.

(57) Specimen. Any bodily substance including, but not limited to, blood or urine taken from a horse under the supervision of the commission veterinarian and in manner prescribed by the commission for the purpose of analysis.

(58) Stable name. A name used by an owner or lessee and registered with the commission.

(59) Stake race. One in which nominators of the entries contribute to a purse for the winners. Official recognition of the race by other states’ racing regulatory agencies as being a stake race requires that the race be run for a guaranteed purse of fifty thousand dollars ($50,000) or more, without payment of stakes.

(60) Starter. A horse in a race when the starting gate doors open in front of it at the moment the official starter dispatches the horses for a race.

(61) Stewards. The duly appointed racing officials or their deputies serving at a licensed thoroughbred meeting.

(62) Subscription. Nomination or entry of a horse in a stake race.

(63) Test level. The concentration of a foreign substance found in the test sample.

(64) Test sample. Any bodily substance including, but not limited to, blood or urine taken from a horse under the supervision of the commission veterinarian and in the manner as prescribed by the commission for the

purpose of analysis.

(65) Unplaced. Not among the first three (3) horses finishing a race.

(66) Veterinarian. A veterinarian licensed by the appropriate state regulatory authority and (67) Walkover. Race in which the only starter or all starters represent single ownership.

(68) Year. A calendar year.

History

• AUTHORITY: section 313.540, RSMo 1986. This rule originally filed as 12 CSR 50- 10.011. Original rule filed Oct. 3, 1986, effective Jan. 12, 1987. Moved to 11 CSR 45- 50.011, effective Aug. 28, 1995. Original authority: 313.540, RSMo 1986.

Chapter 51 Class A Licenses-Race Track Owner

11 CSR 45-51.010 Class A License Defined {#sec-11-csr-45-51.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-51.010}

PURPOSE: The purpose of this rule is to define Class A licenses as the owner of the track where pari-mutuel wagering will be conducted.

(1) Class A license shall be a license granted by the commission for the ownership of a track where pari-mutuel wagering will be conducted.

(2) Class A licenses must be obtained by any organization seeking to own or build a track for any form of horse racing covered by sections 313.500–313.710, RSMo (1986).

(3) An organization may apply for and hold Class A and Class B licenses concurrently.

History

• AUTHORITY: sections 313.540 and 313.580.1, RSMo 1986. This rule originally filed as 12 CSR 50-11.010. Original rule filed Moved to 11 CSR 45-51.010, effective Aug. Original authority: 313.540, RSMo 1986; 313.580, RSMo

11 CSR 45-51.020 Application for Class A License forth the requirements for a Class A license application. {#sec-11-csr-45-51.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-51.020}

(1) An application for a Class A license must include, on a form prepared by the commission:

(A) The name, address and telephone number of the applicant;

(B) The name, position, address, telephone number and authorized signature of an individual to whom the commission may make inquiry; and (C) The information required by this chapter.

(2) The application for Class A license must be accompanied by an applicant’s affidavit conforming to the requirements of 12 CSR50- 10.030.

(3) The applicant shall be responsible to keep its pending application current at all times.

The applicant shall notify the commission in writing within ten (10) days of any changes to any response in the application.

Filed June 6, 1989, effective Aug. 24, 1989.

Moved to 11 CSR 45-51.020, effective Aug. *Original authority: 313.540, RSMo 1986; 313.580, RSMo

History

• AUTHORITY: sections 313.540 and 313.580.1, RSMo 1986. This rule originally filed as 12 CSR 50-11.020. Original rule filed June 17, 1986, effective Oct. 27, 1986. Amended:

11 CSR 45-51.030 Applicant’s Affidavit forth the contents of the applicant’s affidavit which must accompany the application for Class A license. {#sec-11-csr-45-51.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-51.030}

(1) The application for Class A license must be accompanied by an affidavit of the chief administrative officer.

(A) As used in section (1) of this rule, chief administrative officer means— 1. The president of a corporation;

2. The managing partner or a partnership;

3. The general partner of a limited partnership; and 4. The individual of a sole proprietorship.

(B) If a consortium of financial participants is applying for a license and no formal chief administrative officer exists, the chief administrative officer of the largest financial participant shall sign the application.

(2) The affidavit required by this rule shall set forth— (A) The application is made for a Class A license to own a track which will conduct pari-mutuel wagering;

(B) The affiant is the agent of the applicant and is duly authorized to make the representations in the application on behalf of the applicant.

1. Documentary evidence of the authority of the agent must be attached to the affidavit and incorporated in it.

2. Documentary evidence may consist of— A. A resolution of the board of directors of a corporation;

B. The partnership agreement of a limited partnership designating the affiant as the general partner;

C. The partnership agreement of a general partnership designating the individual as the managing partner;

D. The fictitious name filing for a sole proprietorship; and E. Any other document evidencing

(C) The applicant consents to inquiries by the Missouri Horse Racing Commission, its employees, staff and agents into the financial, character and other qualifications of the applicant;

(D) That the applicant accepts any risk of adverse public notice, embarrassment, criticism or circumstance, including financial loss, which may result from action with respect to the application and expressly waives any claim which otherwise could be made against the state of Missouri, the Missouri Horse Racing Commission, its employees, staff or agents;

(E) The affiant has— 1. Read the applicant’s identification and disclosures and knows the contents; and 2. The contents are true of the affiant’s own knowledge— A. Matters may be stated in the affidavit on information and belief; and B. On any matters stated on information and belief affiant must affirmatively state s/he believes the information to be true;

(F) The applicant recognizes all representations in the application are binding on it and false or misleading information in the application, omission of required information or substantial deviation from representations in the application may result in denial, revocation or suspension of the license or imposition of a fine;

(G) The applicant will comply with Article III, Section 39 (b) of the Missouri Constitution, any statutes governing pari-mutuel wagering and the rules of the commission;

(H) The affidavit must contain the following:

1. The organization on whose behalf the affiant is submitting the affidavit;

2. The affiant’s signature;

3. The affiant’s position;

4. The address and telephone number of the affiant; and 5. The date of signature. 313.600.9, RSMo 1986.* This rule originally filed as 12 CSR 50-11.030. Original rule filed Moved to 11 CSR 45-51.030, effective Aug. *Original authority: 313.580, RSMo 1986; 313.600, RSMo

History

• authority;

11 CSR 45-51.040 Disclosure of Ownership and Control forth the disclosure of ownership and control required in an application for Class A license. {#sec-11-csr-45-51.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-51.040}

(1) An application for Class A license must disclose— (A) The applicant’s full name and the type of organizational structure under which the organization operates; and (B) The business address and telephone number of the organization.

(2) If the applicant is an individual, the license application must disclose— (A) The applicant’s legal name;

(B) Whether the applicant is a United States citizen;

(C) Any aliases or business names which have ever been or are being used by the applicant; and (D) Copies of the state and federal tax returns for the past five (5) years.

(3) If the applicant is a corporation, the application must disclose— (A) The applicant’s full corporate name and any trade names or fictitious names used by the applicant in this or any other jurisdic- (B) The jurisdiction and date of incorpora- (C) The date the applicant commenced doing business in the state of Missouri, if any, and if the applicant is incorporated in any jurisdiction other than Missouri, a copy of the applicant’s certificate or authority to do business in Missouri;

(D) Copies of each of the following:

1. Articles of incorporation;

2. Bylaws; 3 Federal corporate tax returns for the past five (5) years; and 4. State corporate tax returns for the past five (5) years;

(E) A statement of the general nature of applicant’s business;

(F) Whether the applicant is publicly held as defined by the rules of the Securities and Exchange Commission;

(G) All the classes of stock authorized by the articles of incorporation. As to each class the applicant shall disclose— 1. The number of shares authorized;

2. The number of shares issued;

3. The number of shares outstanding;

4. The par value of each share;

5. The issue price of each share;

6. The current market price of each share;

7. The number of shareholders currently listed on the corporate books; and 8. The terms, rights, privileges and other information each class of stock possesses;

(H) If the applicant has any other obligations or securities authorized or outstanding which bear voting rights either absolutely or upon any contingency, together with the nature of the obligations. In addition, the following shall be disclosed for each obligation:

1. The face or par value;

2. The number of units authorized;

3. The number of units outstanding; and 4. Any conditions upon which the units may be voted;

(I) The names in alphabetical order and addresses of the directors. As to each director the following information shall be included:

1. The number of shares held of record as of the application date;

A. If the director owns no shares the application shall so state; and B. Ownership of shares shall include beneficial owners as that term is defined in

section 313.600.4., RSMo (1986);

(J) The names, in alphabetical order, and addresses of the officers of the applicant. As to each officer the following information shall be included:

1. The number of shares held on record as of the application date;

A. If the director owns no shares the application shall so state; and B. Ownership of shares shall include beneficial owners as that term is defined in

section 313.600.4., RSMo (1986);

(K) The names, in alphabetical order, and addresses of each record stockholder of the corporation. Stockholder shall mean record owners as defined in section 313.600.4., RSMo (1986). The applicant shall also include a percentage of the voting shares of stock owned by each record stockholder;

(L) Each jurisdiction, including the United States, for which the corporation has met filing and disclosure requirements of state securities registration and filing laws, the Securities Act of 1933 or the Securities and Exchange Act of 1934. The applicant shall include the most recent registration statement and annual report filed with the Securities and Exchange Commission and each state in which the corporation has registered or filed the report:

1. If the applicant has not registered or filed any statements with the commissioner of securities of the secretary of state of Missouri the applicant must state the reason the filing has not been made including specific reference to the exemption or exception upon which the applicant relies for not filing with the commissioner of securities of the state of Missouri; and 2. If the applicant has filed with the commissioner of securities of the state of Missouri, copies of all filings beginning with the most recent up to and including the first statement filed or for the past five (5) years, whichever is shorter, shall be included in the application.

(4) If the applicant is an organization other than a corporation the following information must be disclosed:

(A) The applicant’s full name including any trade names or fictitious names currently in use by the applicant in Missouri or any other jurisdiction;

(B) The jurisdiction in which the applicant is organized;

(C) Copies of any written agreement, constitution or other document creating or governing the applicant’s organization, powers of organization; and (D) The date the applicant commenced doing business in Missouri.

1. If the applicant is organized under laws other than the state of Missouri a copy of the authorization of the state of Missouri to do business in Missouri.

2. If no authorization to do business in Missouri has been obtained, the applicant must state the reason the authorization has not been obtained;

(E) The applicant’s federal and state tax returns for the past five (5) years.

1. If the applicant has not filed tax returns for each of the past five (5) years, the applicant shall state for each year a return was not filed the reason the return has not been filed.

2. If reasons for not filing tax returns in any years are the same, the applicant may explain those reasons together and need not set out each year separately;

(F) The general nature of the applicant’s business;

(G) The names, in alphabetical order, and addresses of each partner, officer or other person having or sharing policy-making

A. Ownership interest shall include any beneficial owner which is covered by section 313.600.4., RSMo (1986).

B. Any voting interest, whether absolute or contingent and the terms upon which the interest may be voted;

4CODE OF STATE REGULATIONS

(H) The names, in alphabetical order, and addresses of any individual or other entity who holds a record or beneficial ownership as defined in section 313.600.4., RSMo (1986) in the application. The following information shall be given concerning each individual:

1. The nature of the ownership interest;

2. Whether the ownership interest carries a vote and the terms upon which the interest may be voted; and 3. The percentage of ownership.

(5) Whether the applicant is directly or indirectly controlled to any extent or in any manner by another individual or entity. If so, the applicant must disclose the identity of the controlling entity and a description of the nature and extent of the control. If the controlling entity is not an individual, the information required by this rule for the corporation or partnership or other organization controlling the applicant must be disclosed.

(6) Any agreements or understandings which the applicant or any individual or entity identified in this rule has entered into regarding ownership or operation of the applicant’s track. If the agreement or understanding is written, a copy of the agreement must accompany the application. If the agreement or understanding is oral, the terms shall be reduced to writing and must accompany the application. Should the agreement or understanding be contingent in nature, the applicant shall disclose the nature of the contingency.

(7) Any agreements or understandings which the applicant has entered into for the payment of fees, rents, salaries or other compensation by the applicant or to the applicant. If the agreements or understandings are written, copies of the written documents must accompany the application. If the agreement or understanding is oral, the terms shall be reduced to writing and must accompany the application. Should the agreement or understanding be contingent in nature, the applicant shall disclose the nature of the contingency.

(8) Whether any officer, director or stockholder, as that term is defined in section 313.580.2., RSMo (1986) has been— (A) Convicted of a felony; and (B) Convicted of or pled nolo contendere to any illegal gambling activity.

(9) Whether the applicant, any partner, director, officer, policy-maker, stockholder, as that term is defined in section 313.600.4., RSMo (1986), currently holds or has ever held a license or permit issued by a governmental

(B) The jurisdiction issuing the license or permit;

(C) The nature of the license or permit;

(D) The dates of issuance and termination, if any.

(10) The applicant shall provide a detailed itemized summary of all income received and expense incurred relating to the preparation of the application and pursuit of a Class A license. The summary shall include the source of income and the amount paid, the recipient and a brief description of goods or services purchased. The summary shall be updated by the applicant periodically throughout the application process.

History

• authority. As to each such person, the applicant must disclose— 1. The nature and extent of any ownership interest.
• authority to own and operate a horse racing facility or conduct any aspect of horse racing or gambling. If the applicant has held or holds a license or permit, the applicant must disclose— (A) The identity of the license or permit holder;
• AUTHORITY: sections 313.580 and 313.600.4, RSMo 1986. This rule originally filed as 12 CSR 50-11.040. Original rule filed Amended: Filed June 6, 1989, effective Aug. 24, 1989. Moved to 11 CSR 45-51.040, effective Aug. 28, 1995. Original authority: 313.580, RSMo 1986; 313.600, RSMo

11 CSR 45-51.050 Disclosure of Character Information forth the character information required in an application for Class A license. {#sec-11-csr-45-51.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-51.050}

(1) An applicant for a Class A license must make its best effort to disclose the information required by this rule for any individual or other entity employed by the applicant, whether as an employee or an independent contractor.

(2) The applicant must disclose— (A) Whether any individual or corporation enjoying any interest in any application has been charged and/or convicted or entered a plea of guilty or nolo contendere to any charge in any criminal proceeding, and whether or not a sentence is imposed. If any individual or entity has been so charged and/or convicted, the applicant must disclose— 1. The date charged and/ or convicted or entry of plea;

2. The court;

3. The offense charged or convicted of;

4. If convicted, whether by plea or finding of a judge or jury; and 5. If convicted, the sentence imposed, if any;

(B) Whether any individual or corporation has been a party in a civil proceeding in which s/he has been alleged to have engaged in any unfair or anti-competitive business practice, a securities violation or false or misleading advertising. If any individual or entity has been a party to the civil proceeding, the applicant must provide— 1. The date of commencement of the proceeding;

2. The court;

3. The circumstances;

4. The date of any resolution including settlements;

5. The terms of any settlement;

6. The result of any trial; and 7. The result of any appeal;

(C) Whether any individual or entity has had a horse racing, gambling or other business license or permit revoked or suspended or the renewal of the license denied or has been a party in any proceeding to do so. If any applicant or entity has been involved in a proceeding, the applicant must disclose— 1. The date of commencement;

2. The circumstances;

3. The date of decision; and 4. The result;

(D) Whether any individual or entity has been accused in an administrative or judicial proceeding of the violation of a statute or rule relating to unfair labor practices, discrimination, horse racing or gambling. If any individual or entity has been involved in any proceeding, the applicant must disclose— 1. The date of commencement;

2. The forum;

3. The circumstances;

4. The date of any decision; and 5. The result;

(E) Whether any individual or entity has commenced an administrative or judicial action against a government regulator of horse racing or gambling. If so, the applicant must disclose— 1. The date of commencement;

2. The forum;

3. The circumstances;

4. The date of any decision; and 5. The result;

(F) Whether any individual or entity has been the subject of voluntary or involuntary bankruptcy proceeding. If so, the applicant must disclose— 1. The date of commencement;

2. The form;

3. The circumstances;

4. The date of decision; and 5. The result;

(G) Whether any individual or entity has failed to satisfy any judgment, decree or order of any administrative or judicial tribunal. If so, the applicant must disclose— 1. The date; and 2. The circumstances surrounding the failure; and (H) Whether any individual or entity has been delinquent in filing a tax report required or remitting a tax imposed by any government. If so, the applicant must disclose— 1. The date the filing or tax report was required;

2. The date the filing or remission was accomplished; and 3. The complete circumstances surrounding the delinquent filing or remission. 11.050. Original rule filed June 17, 1986, CSR 45-51.050, effective Aug. 28, 1995.

11 CSR 45-51.060 Disclosure of Financial Interests forth the financial interests required in an application for Class A license. {#sec-11-csr-45-51.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-51.060}

(1) An application for Class A license must disclose all financial interests that any officer, director or shareholder has in any entity involved in horse racing. The financial interests shall include all direct and indirect interests.

(2) The financial interests of each individual disclosed under this rule shall be set forth separately and shall include:

(A) The entity in which the financial interests exists;

(B) The nature of the financial interests;

(C) The amount of capital investment;

(D) The expected return for the current fiscal year; and (E) Actual returns for the past five (5) years.

History

• AUTHORITY: section 313.600.3., RSMo 50-11.060. Original rule filed June 17, 1986, 51.060, effective Aug. 28, 1995. Original authority: 313.600, RSMo 1986.

11 CSR 45-51.070 Disclosure of Improvements and Equipment forth the requirements for disclosure of improvements and equipment for a Class A license. {#sec-11-csr-45-51.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-51.070}

(1) An application for a Class A license must disclose the following information for the track to be owned or improved:

(A) An address of the facility, its size and geographical location, including reference to county and municipal boundaries;

(B) A site map which reflects current and proposed highways and streets adjacent to the facility;

(C) The types of racing for which the facility is designed, whether thoroughbred, harness, quarterhorse or any combination;

(D) The racetrack dimensions by circumference, width, banking, location of chutes, length of stretch, distance from judge’s stand to first turn and type of surface. If the facility has more than one (1) racetrack, the applicant must provide a description for each racetrack;

(E) A description of horse stalls at the facility, giving the total number of stalls, the dimension of each stall, separation and location of the stalls;

(F) A description of the grandstands including all of the following:

1. The total seating capacity;

2. The total reserve seating capacity;

3. The indoor and outdoor seating capacity;

4. The configuration of the grandstand seating;

5. The location and configuration of the pari-mutuel facilities within the grandstand;

6. The configuration and location of the concession facilities within the grandstand;

7. The number and location of mens’ and womens’ restrooms within the grandstand; and 8. A description of the public pedestrian traffic patterns throughout the grandstand;

(G) A description of the detention barn 1. The distance from the detention barn to the track;

2. The distance from the detention barn to the paddock;

3. The number of sampling stalls;

4. The placement of viewing ports on each stall;

5. The location of the postmortem floor;

6. The number of wash stalls with hot and cold water and drains;

7. The availability of video monitors;

8. A description of the walking ring;

(H) A description of the paddock area 1. The number of stalls in the paddock;

2. The height from the floor to the lowest point of the stall, ceiling and entrance;

3. The paddock, public address and telephone services;

(I) A description of the jockey and/or driver’s quarters together with all of the following information:

1. The changing areas;

2. A listing of equipment to be installed in the quarters; and 3. The location of the jockey’s or driver’s quarters in relation to the paddock;

(J) A description of the pari-mutuel tote 1. The approximate location of bettor’s windows;

2. Cash security areas; and 3. A description of the equipment including the provider if known;

(K) A description of parking including all of the following information:

1. A detailed description of access to parking from surrounding streets and highways;

2. The number of parking spaces available;

3. A description of any parking other than public parking and its location;

4. A description of the road surface on parking areas;

5. The distance between the parking area(s) and the grandstand; and 6. A road map of the area showing the relationship of parking to surrounding streets and highways. The requirements of this sub-

section may be included on the site map required by subsection (1)(B) of this rule;

(L) A description of the perimeter fence 1. The height;

2. The type of construction and a description of the materials;

3. Whether the perimeter fence is topped by a barbed wire apron at least two feet (2') wide and directed outward at a fortyfive degree (45°) angle;

4. Whether there is a clear zone at least four feet (4') wide around the outside of the entire perimeter fence; and 6CODE OF STATE REGULATIONS 5. Proposed alternatives to a perimeter fence which does not meet the description in this subsection;

(M) A description of improvements and equipment at the racetrack for security purposes in addition to a perimeter fence, including the provider of equipment if known;

(N) A description of starting, timing, photo-finish and photo-patrol or video equipment, including the provider if known;

(O) A description of work areas for the commission members, officers, employees and agents;

(P) A description of access of the facility to public transportation, specifics of the type of transportation and schedules, road maps of area indicating pickup and dropoff points.

The requirements of this subsection may be included on the site map required in subsection (1)(B) of this rule;

(Q) A description of the overnight accommodations for the public including:

1. The number of hotel/motel rooms;

2. The number of campgrounds, if any;

3. The distance from other population centers to the facility for all population centers from which the applicant expects to draw patrons; and (R) A description of the public access to the community surrounding the proposed facility including air service, train service and highways. 313.632, RSMo 1986.* This rule originally filed as 12 CSR 50-11.070. Original rule filed Moved to 11 CSR 45-51.070, effective Aug. *Original authority: 313.580, RSMo 1986; 313.632, RSMo

11 CSR 45-51.080 Disclosure of Development Process forth the required disclosure of the development process for a Class A license. {#sec-11-csr-45-51.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-51.080}

(1) An applicant for a Class A license must disclose with regard to the development of its racing facility— (A) The total cost of construction of the facility or any modifications of an existing facility, distinguishing between fixed costs and projections;

(B) Separate identification of the following costs, if applicable, distinguishing between fixed costs and projections:

1. Facility design;

2. Land acquisition;

3. Site preparation;

4. Improvements and equipment separately identifying the costs of the items required in 12 CSR 50-13.050(D)–(O) and other categories of improvements and equipment;

5. Interim financing;

6. Permanent financing; and 7. Organization, administrative, accounting and legal;

(C) Documentation of fixed costs;

(D) The schedule for construction, if any, of the facility or any modifications to an existing facility including estimated completion date;

1. Provide an estimated time schedule for construction, including how long after licensure will the proposed project be fully operational. Show the number of months after the license is granted that each of the following activities will commence and be completed:

A. Solicitation of bids;

B. Award of construction contract(s);

C. Construction commencement;

D. Completion of construction;

E. Occupancy of new facility or space;

F. Training of staff; and G. Commission check and inspection of facility for public and racing readiness;

2. With respect to the solicitation of bids, awarding of construction contracts, commencement of construction and completion of construction, provide an itemized timetable for the components of the construction program listed here:

A. Land clearing B. Site preparation and grading;

C. Grandstand;

D. Barns;

E. Paddock and jockey’s quarters;

F. Track;

G. Parking lot;

H. Test barn;

I. Racing secretary’s office J. Maintenance shed;

K. Landscaping; and L. Other (specify).

3. The applicant’s plans must meet the fire safety requirements of the state fire marshal. Attach a letter from the state fire marshal stating tentative approval.

(E) Schematic drawings;

(F) Copies of any contracts with and performance bonds for each of the following:

1. Architect or other design professional;

2. Project engineer;

3. Construction engineer;

4. Contractors and subcontractors; and 5. The equipment procurement personnel; and (G) Evidence of acquisition or lease of the site by the applicant. If the site is not owned or currently leased by the applicant, the applicant must disclose the plans for the acquisition or lease or other use of the site. 313.632, RSMo 1986.* This rule originally filed as 12 CSR 50-11.080. Original rule filed Amended: Filed June 6, 1989, effective Aug. 24, 1989. Moved to 11 CSR 45-51.080, effective Aug. 28, 1995. *Original authority: 313.580, RSMo 1986; 313.632, RSMo

11 CSR 45-51.090 Disclosure of Financial Resources forth the disclosure of financial resources required for the Class A licenses. {#sec-11-csr-45-51.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-51.090}

(1) An applicant for a Class A license must disclose the following with regard to financial resources:

(A) An audited financial statement reflecting the applicant’s current assets including investments in affiliated entities, loans and advances receivable and fixed assets and current liabilities including loans and advances payable, long-term debt and equity. (The commission may require additional financial information from each equity and/or debt source.);

(B) Equity and debt sources of funds to develop and operate the horse racing facility for which the license is requested— 1. For each source of equity contribution the following information must be included:

A. Identification of the source;

B. The amount;

C. The form;

D. Method of payment;

E. The nature and amount of present commitment; and F. Documentation;

2. For each source of debt contribution the following information must be provided:

A. Identification of the source;

B. The amount;

C. Terms of the debt;

D. Collateral, if any;

E. Identity of guarantors, if any;

F. Nature and amount of commitments; and G. Documentation; and 3. If the applicant anticipates obtaining further equity or debt contributions, the applicant must disclose the plans for obtaining commitments; and (C) Identification and description of sources of additional funds, if needed, due to cost overruns, nonreceipt of expected equity or debt funds, failure to achieve projected revenues or other cause. 11.090. Original rule filed June 17, 1986, CSR 45-51.090, effective Aug. 28, 1995.

11 CSR 45-51.100 Disclosure of Financial Plan forth the requirements for disclosure of financial plan for Class A licenses. {#sec-11-csr-45-51.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-51.100}

(1) The applicant for a Class A license must disclose its financial projections for the development period and for the conducting of the race meets.

(2) Separate schedules based on the number of racing days and the types of pari-mutuel wagering must be included.

(3) The disclosure must include:

(A) A projection of the type and length of race meeting anticipated;

(B) The applicant’s requirements for breaking even, including the optimum number of racing days, for each meet anticipated and the anticipated type of betting;

(C) The following assumptions and the support for them for the first five (5) years of racing (Provide assumptions and support for both live on-track racing and simulcast racing.):

1. Average daily handle;

2. Average daily attendance; and 3. Per capita wager;

(D) Provide financial projections regarding the operation at the end of the development period and each of the first five (5) years of racing setting forth the following elements, including assumptions and support for them.

(Provide separate schedules for live on-track racing and simulcast racing and a combined schedule of both.):

1. Revenues— A. Retainage;

B. Breakage;

C. Outstanding tickets;

D. Admission;

E. Parking;

F. Program sales;

G. Concession (food and beverage);

H. Interest; and I. Other (specify);

2. Racing expenses— A. Purses;

B. Breeders awards;

C. Breakage;

D. Outstanding tickets;

E. Pari-mutuel tax; and 3. Operation expenses— A. Marketing;

B. Legal;

C. Audit;

D. Insurance (property);

E. Insurance (liability);

F. Insurance (other);

G. Repair and maintenance;

H. Printing (program);

I. Printing (other);

J. Consulting fees;

K. Membership;

L. Equipment rental;

M. Totalizer rental;

N. Travel and entertainment;

O. Utilities and telephone;

P. Operating supplies and services;

Q. Salary and wages;

R. Payroll taxes and employee benefits;

S. Sales tax;

T. Admission tax;

U. Property tax;

V. Waste removal;

W. Interest;

X. Drug testing;

Y. MHRC license fees; and Z. Other (specify); and 4. Nonoperating expenses, including anticipated expenses for— A. Debt service;

B. Facility depreciation, including the identification of method used; and C. Equipment depreciation, including the identification of the method used;

(E) Projected cash flow including assessments of:

1. Income, including:

A. Equity contributions;

B. Debt contributions;

C. Interest income; and D. Operating revenue; and 2. Disbursements, including:

A. Land;

B. Improvements;

C. Equipment;

D. Debt service;

E. Operating expense; and F. Organizational expense; and (F) Project balance sheets as of the end of the development period and for the requested race meets setting forth— 1. Current fixed and other noncurrent assets;

2. Current and long-term liabilities; and 3. Capital accounts.

(4) The applicant must also disclose an accountant’s report of the financial projections.

(5) The commission will utilize financial projections in deciding whether to issue Class A licenses. Neither acceptance of a license application nor issuance of a license shall bind the commission as to matters within its discretion, including, but not limited to, assignment of racing days and design of types of permissible pari-mutuel pools. 11.100. Original rule filed June 17, 1986, CSR 45-51.100, effective Aug. 28, 1995.

11 CSR 45-51.110 Disclosure of Governmental Actions forth the disclosure requirements for governmental actions in Class A licenses. {#sec-11-csr-45-51.110 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-51.110}

(1) An applicant for a Class A license must disclose the following with regard to governmental agencies:

(A) The street and highway improvements necessary to insure adequate access to applicant’s horse racing facility and the cost of improvements, status, likelihood of completion and estimated date;

(B) The sewer, water and other public utility improvements necessary to serve applicant’s facility and the cost of improvements, status, likelihood of completion and estimated date;

(C) If the applicant has obtained or must obtain any required governmental improvements for its development, ownership, construction or the operation of the track by the applicant or any other entity the following must be disclosed:

1. If the approvals have been obtained— A. A description of the approval, unit of government, date and documentation;

B. Whether public hearings were held and if they were the dates and locations of the 8CODE OF STATE REGULATIONS hearings. If hearings were not held, the applicant must explain the reason; and C. Whether the unit of government conditioned its approval and, if so, the conditions imposed, including documentation; and 2. As to any approvals from governmental units which remain to be obtained— A. A description of the approval;

B. The governmental unit which must approve;

C. The status;

D. The likelihood of approval; and E. The estimated date of approval;

(D) Whether an environmental assessment of the facility has been or will be prepared— 1. If so, the applicant must disclose its status and the governmental unit with jurisdiction; and 2. The applicant must provide a copy of any assessment to the commission;

(E) Whether an environmental impact statement is required for applicant’s facility— 1. If so, the applicant must disclose its status and the governmental unit with jurisdiction; and 2. The applicant must provide the commission with a copy of any statement; and (F) Whether the applicant is in compliance with all statutes, charter provisions, ordinances and regulations pertaining to the development, ownership and operation of its horse racing facility. If the applicant is not in compliance, the following information must be disclosed:

1. The reasons why the applicant is not in compliance; and 2. The plans for compliance or exemption from any such requirements. 50-11.110. Original rule filed June 17, 1986, 51.110, effective Aug. 28, 1995.

11 CSR 45-51.120 Disclosure of Management forth the requirements for disclosure of management for a Class A license. {#sec-11-csr-45-51.120 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-51.120}

(1) An applicant for a Class A license must disclose each of the following for the development and ownership of the proposed parimutuel horse racing track:

(A) A description of the applicant’s management plan including:

1. A budget;

2. Identification of management personnel by function;

3. Job descriptions for each position;

4. Qualifications for each position; and 5. A copy of the organizational chart;

(B) Management personnel to the extent known including the following information for each person:

1. Legal name, including any alias(es) or previous names;

2. Current residence and business addresses and telephone numbers;

3. Qualifications and experience in the following areas:

A. General business;

B. Real estate development;

C. Construction;

D. Marketing promotion and advertising;

E. Financing and accounting;

F. Horse racing;

G. Pari-mutuel betting;

H. Security; and I. Human and animal health and safety; and 4. A description of the terms and conditions of employment including a copy of any agreements;

(C) The following information, to the extent known, must be provided for each consultant or other contractor who has provided or will provide management related services to the applicant:

1. Full name including any alias(es) or previous names;

2. Current residence and business addresses and telephone numbers;

3. The nature of the services provided or to be provided;

4. The qualifications and experience of the consultant or contractor; and 5. Description of the terms and conditions of any agreement including a copy of the agreement;

(D) Memberships of the applicant, management personnel and consultants in horse racing organizations;

(E) Description of the applicant’s security plan including:

1. Number and development of security personnel used by the applicant during the race meeting, security staff levels and deployment at other times;

2. Specific security plans for perimeter, stabling facilities, pari-mutuel betting facilities, purses and cash room;

3. Specific plans to discover persons at the horse racing facility who have been convicted of any felony, had a horse racing license suspended, revoked or denied by the commission or by any horse racing authority of another jurisdiction or are a threat to the integrity of horse racing in Missouri;

4. Description of video-monitoring equipment and its use;

5. Whether the applicant will be a member of the Thoroughbred Racing Protective Bureau, the United States Trotting Association or the American Quarterhorse Association or other security organization; and 6. Coordination of security with law enforcement agencies in the area;

(F) Description of the applicant’s plans for human and animal health and safety, including emergencies;

(G) Description of the applicant’s marketing, promotion and advertising plans;

(H) Description of the applicant’s plans for concessions, including whether the licensee will operate concessions, and if not, who will;

(I) A description of training of the applicant’s personnel; and (J) A description of plans for compliance with the following:

1. The laws pertaining to discrimination, equal employment and affirmative action;

2. Policies regarding recruitment use and advancement of minorities;

3. Policies with respect to minority contracting;

4. A copy of Equal Employment Opportunity Statement and Policy of the applicant dated and signed by the chief executive officer;

5. A copy of any Affirmative Action Policy Procedures dated and signed by the chief executive officer; and 6. Identification of the affirmative action officer including his/her name, title, address and telephone number. 11.120. Original rule filed June 17, 1986, 51.120, effective Aug. 28, 1995.

11 CSR 45-51.130 Disclosure of Public Service forth the requirements for disclosure of public service plan for a Class A license. {#sec-11-csr-45-51.130 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-51.130}

(1) An applicant for a Class A license must disclose its plan for the promotion of the orderly growth of horse racing in Missouri and education of the public with respect to horse rac ing and pari-mutuel betting. 11.130. Original rule filed June 17, 1986, 51.130, effective Aug. 28, 1995.

11 CSR 45-51.140 Disclosure of Impact of Facility forth the disclosures required of the impact of the facility for a Class A license. {#sec-11-csr-45-51.140 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-51.140}

(1) An applicant for a Class A license must disclose the impact of its horse racing facility (A) Economic impact— 1. The employment created and specifics as to the number of jobs distinguishing between permanent and temporary, the type of work, compensation, employer and how created;

2. Purchase of goods and services and specifics as to the amounts and types of purchases;

3. Public and private investment; and 4. Tax revenues generated;

(B) Ecological impact;

(C) Impact on energy conservation and development of alternative energy sources;

(D) Social impact. 50-11.140. Original rule filed June 17, 1986, 51.140, effective Aug. 28, 1995.

11 CSR 45-51.150 Disclosure of Public Support and Opposition {#sec-11-csr-45-51.150 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-51.150}

PURPOSE: The purpose of this rule is to disclose the public support or opposition for the Class A license.

(1) An applicant for a Class A license must disclose public support and opposition whether by governmental officials or agencies, private individuals or groups and must supply documentation for the support or opposition. 50-11.150. Original rule filed June 17, 1986, 51.150, effective Aug. 28, 1995.

11 CSR 45-51.160 Effects on Competition {#sec-11-csr-45-51.160 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-51.160}

PURPOSE: The purpose of this rule is to disclose the requirements on the effect of competition for a Class A license application.

(1) An applicant for a Class A license must disclose the effects of its ownership and the operation of horse racing at its track on competitors within the horse racing industry. 11.160. Original rule filed June 17, 1986, 51.160, effective Aug. 28, 1995.

11 CSR 45-51.170 Disclosure of Assistance in Preparation of Application {#sec-11-csr-45-51.170 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-51.170}

PURPOSE: The purpose of this rule is to require disclosure of any assistance in the preparation of the Class A license application.

(1) An applicant for a Class A license must disclose the names, addresses and telephone numbers of all individuals who assisted the applicant in the preparation of its application under these rules. 50-11.170. Original rule filed June 17, 1986, 51.170, effective Aug. 28, 1995.

11 CSR 45-51.180 Personnel Information and Authorization for Release forth the information and authorized release for personnel who will be involved in the supervision or conduct of pari-mutuel wagering. {#sec-11-csr-45-51.180 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-51.180}

(1) The applicant must make its best effort to include the following for each individual who will have any beneficial ownership as defined in section 313.600.4., RSMo (1986), responsibility or duties for the conduct of parimutuel wagering under the Class A license for which application is made:

(A) Information to be provided by each individual— 1. Full name including any alias(es) or previous names;

2. Business address;

3. Residence address;

4. Telephone numbers;

5. Last five (5) residences;

6. Date of birth;

7. Place of birth;

8. Social Security number, if the individual is willing to provide it. The commission application must make clear the Social Security number is provided voluntarily; and 9. Two (2) references; and (B) An authorization for the release of personal information, on a form prepared by the commission, shall be signed by each individual and submitted with the application. The forms shall provide that the individual— 1. Authorizes a review by and full disclosure to the Missouri State Highway Patrol of all records concerning the individual, whether the records are public, nonpublic, private or confidential;

9. Recognizes the information reviewed or disclosed may be used by the Missouri Horse Racing Commission, its employees, staff and agents to determine the applicants’ qualifications for a Class A license; and 3. Releases the Missouri Horse Racing Commission, its employees, staff and agents and the providers of any information requested by the commission, its employees, staff and agents from any liability under state or federal privacy laws.

History

• AUTHORITY: section 313.580, RSMo 50-11.180. Original rule filed June 17, 1986, 51.180, effective Aug. 28, 1995.

11 CSR 45-51.190 Class A License Criteria forth the criteria for the issuance of Class A licenses. {#sec-11-csr-45-51.190 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-51.190}

(1) The commission may issue a Class A license if it determines on the basis of all the facts before it that the applicant meets the criteria contained in section 313.580.3., RSMo (1986).

10CODE OF STATE REGULATIONS

(2) In making the required determinations, the commission must consider the following factors and indices:

(A) The integrity of the applicant and any personnel employed to have duties and responsibilities for operating pari-mutuel wagering. This determination shall include consideration of:

1. Any criminal record of any individual;

2. The involvement in litigation over business practices by the applicant or any individuals or entities employed by the applicant;

3. The involvement in proceedings in which unfair labor practices, discrimination or regulation of horse racing or gambling was an issue;

4. Failure to satisfy any judgments, orders or decrees of any court; and 5. Any other indices related to integrity which the commission deems crucial to its decision-making as long as the same indices are considered with regard to all applicants;

(B) The types and variety of pari-mutuel horse racing which applicant may offer and the ability to attract quality horses to the facility and location;

(C) The quality of the physical facility together with improvements and equipment 1. The racetrack(s);

2. Stabling;

3. Grandstand;

4. Detention barn;

5. Paddock;

6. Jockey’s and driver’s quarters;

7. Pari-mutuel tote;

8. Parking;

9. Access by road and public transporta- 10. Perimeter fence;

10. Other security improvements and equipment;

11. Starting, timing, photo-finish and photo-patrol or video equipment;

12. Commission work areas; and 14. Any other indices related to quality of the facility which the commission deems crucial to its decision-making as long as the (D) The imminence of completion of the facility or any improvements thereon;

(E) Financial ability to develop and operate a pari-mutuel horse racing facility successfully, including:

1. Ownership and control structure;

2. Amounts and reliability of development costs;

3. Certainty of site acquisition or lease;

4. Current financial conditions;

5. Sources of equity and debt funds, amounts, terms and conditions and certainty of commitment;

6. Provisions for cost overruns, nonreceipt of expected equity or debt funds, failure to achieve projected revenues or other financial adversity;

7. Feasibility of financial plan; and 8. Any other indices related to financial ability which the commission deems crucial to its decision-making as long as the same indices are considered with regard to all (F) The status of governmental actions required by the applicant’s facility including:

8. Necessary road improvements;

9. Necessary public utility improvements;

10. Required governmental approvals for development, ownership and operation of the track;

11. Acceptance of any required environmental assessment and preparation of any required environmental impact statement;

12. Any other indices related to the status of governmental actions which the commission deems crucial to its decision-making as long as the same indices are considered with regard to all applicants;

(G) Management ability of the applicant 1. Qualifications of managers, consultants and other contractors to develop and own a pari-mutuel horse racing facility and the likelihood of projected operation;

2. Security plan;

3. Plans for human and animal health and safety;

4. Plans for marketing, promotion and advertising;

5. Concession plan;

6. Plan for training personnel;

7. Equal employment and affirmative action plan; and 8. Any other indices related to management ability which the commission deems crucial to its decision-making as long as the (H) Compliance with applicable statutes, regulations, charters and ordinances;

(I) Efforts to promote orderly growth of horse racing in Missouri and educate the public with respect to horse racing and parimutuel betting;

(J) The impact of the facility including:

1. The economic impact— A. The employment created;

B. The purchases of goods and services;

C. Public and private investment; and D. Taxes generated;

2. Ecological impact;

3. Impact on energy conservation and development of alternative energy sources;

4. Social impact;

5. Cost of public improvements; and 6. Any other indices related to impact which the commission deems crucial to its decision-making as long as the same indices are considered with regard to all applicants;

(K) The extent of any public support or opposition; and (L) Effects on competition, including:

1. Number, nature and relative location of other Class A licenses;

2. Number, nature and relative location of racetracks, including horse racing and dog racing, in other states;

3. Minimum and optimum number of racing days which may be sought by Class B applicants; and 4. Any other indices of the impact of competition which the commission deems crucial to decision-making as long as the applicants.

(3) The commission may also consider any other information which the applicant discloses and which is relevant or helpful to a proper determination by commission. 313.580.3, RSMo 1986.* This rule originally filed as 12 CSR 50-11.190. Original rule filed Emergency amendment filed Jan. 5, 1987, effective Jan. 15, 1987, expired May 15, 1987. Amended: Filed Jan. 9, 1987, effective June 11, 1987. Moved to 11 CSR 45-51.190, effective Aug. 28, 1995.

11 CSR 45-51.200 Application and License Fees for Class A License the application and license fees for Class A licenses. {#sec-11-csr-45-51.200 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-51.200}

(1) The one (1)-time nonrefundable fee for Class A license shall be twenty five thousand dollars ($25,000).

(2) The one (1)-time license fee for Class A license shall be ten thousand dollars ($10,000).

(3) An issued Class A license is not transferable.

12CODE OF STATE REGULATIONS

History

• AUTHORITY: section 313.620, RSMo 1986. 11.200. Emergency rule filed June 20, 1986, effective June 30, 1986, expired Oct. 13, 1986. Original rule filed June 17, 1986, effective Oct. 27, 1986. Amended: Filed July 18, 1989, effective Sept. 28, 1989. Moved to 11 CSR 45-51.200, effective Aug. 28, 1995. Original authority: 313.620, RSMo 1986.

Chapter 52 Class B Licenses

11 CSR 45-52.010 Class B License Defined {#sec-11-csr-45-52.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-52.010}

PURPOSE: The purpose of this rule is to define Class B licenses as operators of parimutuel meetings for horse racing.

(1) Class B license shall be a license granted by the commission for the operation of a race meeting at a licensed track where pari-mutuel wagering will be conducted.

(2) Class B licenses must be obtained by any organization seeking to operate a meeting at any licensed track for any form of horse racing covered by sections 313.500—313.710, RSMo (1986).

(3) An organization may apply for and hold Class A and Class B licenses concurrently.

(4) The application fee for a Class B license to operate a race meeting holding a Class A license shall be two thousand five hundred dollars ($2500) and to operate a race meeting holding a Class D license shall be one thousand dollars ($1000). The application fee for Class B license shall not apply to those organizations who apply for both Class A and Class B licenses concurrently.

(5) The license fee for Class B license shall be one hundred twenty-five dollars ($125) for each day in which licensed racing is conducted.

Filed July 12, 1988, effective Nov. 11, 1988.

Moved to 11 CSR 45-52.010, effective Aug. *Original authority: 313.540, RSMo 1986, and 313.620,

History

• AUTHORITY: sections 313.540 and 313.620, RSMo 1986. This rule originally filed as 12 CSR 50-12.010. Original rule filed July 18, 1986, effective Oct. 27, 1986. Amended:

11 CSR 45-52.020 Application for Class B License forth the requirements for a Class B license application. {#sec-11-csr-45-52.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-52.020}

(1) An application for a Class B license must include, on a form prepared by the commission:

(A) The name, address and telephone number of the applicant;

(B) The name, position, address, telephone number and authorized signature of an individual to whom the commission may make inquiry; and (C) The information required by this chapter.

(2) The application for Class B license must be accompanied by an applicant’s affidavit conforming to the requirements of 12 CSR 50-12.030.

History

• AUTHORITY: sections 313.540 and 313.580.1, RSMo 1986. This rule originally filed as 12 CSR 50-12.020. Original rule Moved to 11 CSR 45-52.020, effective Aug. Original authority: 313.540, RSMo 1986, and 313.580.1,

11 CSR 45-52.030 Applicant’s Affidavit forth the contents of the applicant’s affidavit which must accompany the application for a Class B license. {#sec-11-csr-45-52.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-52.030}

(1) The application for a Class B license must be accompanied by an affidavit of the chief administrative officer.

(A) As used in section (1) of this rule, chief administrative officer means— 1. The president of a corporation;

2. The managing partner of a partnership;

3. The general partner of a limited partnership; or 4. The individual of a sole proprietorship.

(B) If a consortium of financial participants is applying for a license and no formal chief administrative officer exists, the chief administrative officer of the largest financial participant shall sign the application.

(2) The affidavit required by this rule shall set forth— (A) The application is made for a Class B license to own a track which will conduct pari-mutuel wagering;

(B) The affiant is the agent of the applicant and is duly authorized to make the representations in the application on behalf of the applicant— 1. Documentary evidence of the authority of the agent must be attached to the affidavit and incorporated in it; and 2. Documentary evidence may consist of— A. A resolution of the board of directors of a corporation;

B. The partnership agreement of a limited partnership designating the affiant as the general partner;

C. The partnership agreement of a general partnership designating the individual as the managing partner;

D. The fictitious name filing for a sole proprietorship; or E. Any other document evidencing

(C) The applicant consents to inquiries by the Missouri Horse Racing Commission, its employees, staff and agents into the financial, character and other qualifications of the applicant;

(D) That the applicant accepts any risk of adverse public notice, embarrassment, criticism or circumstance, including financial loss, which may result from action with respect to the application and expressly waives any claim which otherwise could be made against the state of Missouri, the Missouri Horse Racing Commission, its employees, staff or agents;

(E) The affiant has— 1. Read the applicant’s identification and disclosures and knows the contents; and 2. The contents are true of the affiant’s own knowledge;

A. Matters may be stated in the affidavit on information and belief; and B. On any matters stated on information and belief affiant must affirmatively state s/he believes the information to be true;

(F) The applicant recognizes all representations in the application are binding on it and false or misleading information in the application, omission of required information or substantial deviation from representations in the application may result in denial, revocation or suspension of the license or imposition of a fine;

(G) The applicant will comply with the

Article III, Section 39(b) of the Missouri Constitution, any statutes governing parimutuel wagering and the rules of the commission; and (H) The affidavit must contain the following:

1. The organization on whose behalf the affiant is submitting the affidavit;

2. The affiant’s signature;

3. The affiant’s position;

4. The address and telephone number of the affiant; and 5. The date of signature.

History

• authority;
• AUTHORITY: sections 313.580.1 and 313.600.9, RSMo 1986. This rule originally filed as 12 CSR 50-12.030. Original rule Moved to 11 CSR 45-52.030, effective Aug. Original authority: 313.580.1, RSMo 1986, and 313.600.9, RSMo 1986.

11 CSR 45-52.040 Disclosure of Information forth disclosure of information required in application for a Class B license by reference to disclosure of information in Class A license rules. {#sec-11-csr-45-52.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-52.040}

(1) An application for Class B license must disclose each and every item of information which is required by the following rules for Class A licenses:

(A) 12 CSR 50-11.040;

(B) 12 CSR 50-11.050;

(C) 12 CSR 50-11.060;

(D) 12 CSR 50-11.090;

(E) 12 CSR 50-11.100;

(F) 12 CSR 50-11.110;

(G) 12 CSR 50-11.130;

(H) 12 CSR 50-11.140;

(I) 12 CSR 50-11.150;

(J) 12 CSR 50-11.160;

(K) 12 CSR 50-11.170; and (L) 12 CSR 50-11.180.

(2) If an applicant is applying for Class A and Class B licenses concurrently, s/he need only provide the information one (1) time.

(3) In conforming to each of the Class A rules set forth in this rule, the applicant should treat all references to Class A licenses as a reference to Class B license. 50-12.040. Original rule filed July 18, 1986, 52.040, effective Aug. 28, 1995.

11 CSR 45-52.050 Additional Improvements Information Required forth the requirements for disclosure of improvements and equipment for a Class B license. {#sec-11-csr-45-52.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-52.050}

This rule requires additional information than required in 12 CSR 50-11.070 for Class A licenses.

(1) An applicant for a Class B license must disclose all of the information required in 12 CSR 50-11.070 for the track which it proposes to operate. The applicant may refer to the application for Class A license if no changes have been made to the facility since the track received its Class A license.

(2) The following information must be provided in addition to the description of the grandstands contained in 12 CSR 50- 11.070(1)(F):

(A) Drinking fountains; and (B) Medical facilities available to patrons. 50-12.050. Original rule filed July 18, 1986, 52.050, effective Aug. 28, 1995.

11 CSR 45-52.060 Disclosure of Authorization to use Class A Horse Racing Facility {#sec-11-csr-45-52.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-52.060}

PURPOSE: The purpose of this rule is to require disclosure of the terms for the use of a Class A-licensed facility.

(1) An applicant for a Class B license must disclose the terms and conditions of the lease or other agreement authorizing the applicant to sponsor, manage and conduct a parimutuel horse racing meet at a facility holding or applying for a Class A license.

(A) A copy of the agreement must be provided unless no written agreement exists.

(B) In case no written agreement exists at the time of application, a written agreement must be provided the commission as soon as the agreement has been reduced to writing.

(2) This rule shall not apply to a Class B applicant who is also applying for a Class A license concurrently. 50-12.060. Original rule filed July 18, 1986, 52.060, effective Aug. 28, 1995.

11 CSR 45-52.070 Disclosure of Management forth the requirements for disclosure of management for a Class B license. {#sec-11-csr-45-52.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-52.070}

(1) An applicant for a Class B license must disclose all of the information required in 12 CSR 50-11.120 for Class A licenses.

(2) In addition to the information required in

section (1) of this rule the applicant for a Class B license shall provide all of the following information:

(A) A description of the applicant’s plans for the conduct of horse racing, including types of racing, number of days, weeks, specific dates, number of races per day, time of day and special events; if more than one (1) breed, disclose the projected ratio between breeds.

(B) A description of the applicant’s plan for purses, including total purses, formula, minimum, stakes races and purse handling procedures;

(C) A description of the applicant’s plan for pari-mutuel betting, including number of line divisions, windows, selling machines and clerks, use or duties of each and accounting procedures, including its proposed system of internal audit and supervisory controls; and (D) Each of the pari-mutuel pools for which the applicant seeks the commission’s approval.

Amended: Filed June 6, 1989, effective Aug. 24, 1989. Moved to 11 CSR 45-52.070, effective Aug. 28, 1995. *Original authority: 313.540, RSMo 1986, and 313.580.1,

History

• AUTHORITY: sections 313.540 and 313.580.1, RSMo 1986. This rule originally filed as 12 CSR 50-12.070. Original rule filed July 18, 1986, effective Oct. 27, 1986.

11 CSR 45-52.160 Bond for Class B Licenses {#sec-11-csr-45-52.160 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-52.160}

PURPOSE: This rule sets a bond amount for Class B licenses.

(1) The bond for Class B licenses shall be five percent (5%) of the daily handle as projected by the Class B license applicant on his/her application, multiplied by the number of racing days awarded by the commission to the applicant.

History

• AUTHORITY: section 313.590, RSMo 1986. This rule originally filed as 12 CSR 50- 12.160. Original rule filed Oct. 3, 1986, effective Jan. 12, 1987. Emergency rescission filed July 14, 1987, effective July 24, 1987, 4CODE OF STATE REGULATIONS (5/31/09) ROBINCARNAHAN expired Nov. 21, 1987. Moved to 11 CSR 45- 52.160, effective Aug. 28, 1995. Original authority: 313.590, RSMo 1986.

11 CSR 45-52.190 Class B License Criteria forth the criteria for the issuance of Class B licenses. {#sec-11-csr-45-52.190 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-52.190}

(1) The commission may issue a Class B license if it determines on the basis of all the facts before it that the applicant meets the criteria contained in section 313.580.3., RSMo (1986).

(2) In making the required determinations, the commission must consider the following factors and indices:

(A) The integrity of the applicant and any personnel employed to have duties and responsibilities for operating pari-mutuel wagering. This determination shall include consideration of:

1. Any criminal record of any individual;

2. The involvement in litigation over business practices by the applicant or any individuals or entities employed by the applicant;

3. The involvement in proceedings in which unfair labor practices, discrimination or regulation of horse racing or gambling was an issue;

4. Failure to satisfy any judgments, orders or decrees of any court; and 5. Any other indices related to integrity which the commission deems crucial to its decision-making as long as the same indices are considered with regard to all applicants;

(B) The types and variety of pari-mutuel horse racing which the applicant may offer and the ability to attract quality horses to the facility and location;

(C) The quality of the physical facility together with improvements and equipment including:

1. The racetrack(s);

2. Stabling;

3. Grandstand;

4. Detention barn;

5. Paddock;

6. Jockey’s and driver’s quarters;

7. Pari-mutuel tote;

8. Parking;

9. Access by road and public transportation;

10. Perimeter fence;

11. Other security improvements and equipment;

12. Starting, timing, photo-finish and photo-patrol or video equipment;

13. Commission work areas; and 14. Any other indices related to quality of the facility which the commission deems crucial to its decision-making as long as the (D) The imminence of completion of the facility or any improvements thereon and any lease or other agreement for the operation of a horse racing meeting;

(E) Financial ability to develop and operate a pari-mutuel horse racing facility successfully, including:

1. Ownership and control structure;

2. Amounts and reliability of development costs;

3. Certainty of site acquisition or lease;

4. Current financial conditions;

5. Sources of equity and debt funds, amounts, terms and conditions and certainty of commitment;

6. Provisions for cost overruns, nonreceipt of expected equity or debt funds, failure to achieve projected revenues or other financial adversity;

7. Feasibility of financial plan; and 8. Any other indices related to financial ability which the commission deems crucial to its decision-making as long as the same indices are considered with regard to all (F) The status of governmental actions required by the applicant’s facility including:

8. Necessary road improvements;

9. Necessary public utility improvements;

10. Required governmental approvals for development, ownership and operation of the track;

11. Acceptance of any required environmental assessment and preparation of any required environmental impact statement; and 5. Any other indices related to the status of governmental actions which the commission deems crucial to its decision-making as long as the same indices are considered with regard to all applicants;

(G) Management ability of the applicant including:

1. Qualifications of managers, consultants and other contractors to develop and own a pari-mutuel horse racing facility and the likelihood of projected operation;

2. Security plan;

3. Plans for human and animal health and safety;

4. Plans for marketing, promotion and advertising;

5. Concession plan;

6. Plan for training personnel;

7. Equal employment and affirmative action plan; and 8. Any other indices related to management ability which the commission deems crucial to its decision-making as long as the (H) Compliance with applicable statutes,

regulation charters and ordinances;

(I) Efforts to promote orderly growth of horse racing in Missouri and educate the public with respect to horse racing and parimutuel betting;

(J) The impact of the facility including:

1. The economic impact— A. The employment created;

B. The purchases of goods and services;

C. Public and private investment; and D. Taxes generated;

2. Ecological impact;

3. Impact on energy conservation and development of alternative energy sources;

4. Social impact;

5. Cost of public improvements; and 6. Any other indices related to impact which the commission deems crucial to its decision-making as long as the same indices are considered with regard to all applicants;

(K) The extent of any public support or opposition; and (L) Effects on competition, including:

1. Number, nature and relative location of other Class B licenses;

2. Number, nature and relative location of racetracks, including horse racing and dog racing, in other states;

3. Minimum and optimum number of racing days which may be sought by other applicants; and 4. Any other indices of the impact of competition which the commission deems crucial to decision-making as long as the applicants.

(3) The commission may also consider any other information which the applicant discloses and which is relevant or helpful to proper determination by commission.

History

• AUTHORITY: sections 313.580.1 and 313.580.3, RSMo 1986. This rule originally filed as 12 CSR 50-12.190. Original rule Emergency amendment filed Jan. 9, 1987, effective Jan. 19, 1987, expired May 19, 1987. Amended: Filed Jan. 9, 1987, effective June 11, 1987. Moved to 11 CSR 45-52.190, effective Aug. 28, 1995. Original authority: 313.580.1 and 3, RSMo 1986.

Chapter 53 Class D License-Fairgrounds Racing

11 CSR 45-53.010 Class D License Defined {#sec-11-csr-45-53.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-53.010}

PURPOSE: This rule defines Class D license as allowing pari-mutuel wagering at the state fair and county fairs.

(1) A Class D license shall be a license granted by the commission for pari-mutuel wagering at the state fair or at any county fair during the operation of those fairs only. Racing conducted on days other than those of these fairs at fairgrounds locations shall be construed as requiring a Class B license.

(2) The pari-mutuel wagering in connection with a Class D license must be by or under the supervision of the Department of Agriculture or the county government of the appropriate county.

(A) A turnkey operation with any entity shall be considered under the supervision of the Department of Agriculture or a county for purposes of this rule.

(B) Any public corporation or other entity authorized by the legislature to conduct parimutuel wagering on behalf of counties will be considered the county for purposes of this

rule.

History

• AUTHORITY: sections 313.540 and 313.580.1, RSMo 1986. This rule originally filed as 12 CSR 50-13.010. Emergency rule Moved to 11 CSR 45-53.010, effective Aug. Original authority: 313.540, RSMo 1986; 313.580, RSMo

11 CSR 45-53.020 Application for Class D License ments for a Class D license application. {#sec-11-csr-45-53.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-53.020}

(1) An application for a Class D license must include, on a form prepared by the commission:

(A) The name, address and telephone number of the applicant;

(B) The name, position, address, telephone number and authorized signature of an individual to whom the commission may make inquiry; and (C) The information required by chapter 13.

(2) The application for Class D license must be accompanied by an applicant’s affidavit conforming to the requirements of 12 CSR 50-13.030.

History

• AUTHORITY: sections 313.540 and 313.580.1, RSMo 1986. This rule originally filed as 12 CSR 50-13.020. Emergency rule Moved to 11 CSR 45-53.020, effective Aug. Original authority: 313.540, RSMo 1986; 313.580, RSMo

11 CSR 45-53.030 Applicant’s Affidavit {#sec-11-csr-45-53.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-53.030}

PURPOSE: This rule sets forth the contents of the applicant’s affidavit which must accompany the application for Class D license.

(1) The application for Class D license must be accompanied by an affidavit of the chief administrative official of the State Department of Agriculture, county entity or contractor operating for one (1) of these entities setting forth— (A) The application is made for a Class D license to conduct pari-mutuel wagering at a specific county fairgrounds or the state fairgrounds and that the wagering will be operated under the supervision of the Department of Agriculture or of the county as defined in 12 CSR 50-13.010; or by a contractor operating for one (1) of these entities;

(B) The affiant is the agent of the applicant and is duly authorized to make the representations in the application on behalf of the Department of Agriculture or the appropriate county entity or as operating contractor;

1. Documentary evidence of the authority of the agent must be attached to the affidavit and incorporated in it.

2. If the applicant is the director of the Department of Agriculture or an elected county official, his/her statement to that effect under oath shall constitute sufficient documentation;

(C) The applicant consents to inquiries by the Missouri Horse Racing Commission, its employees, staff and agents into the financial, character and other qualifications of the applicant;

(D) That the applicant accepts any risk of adverse public notice, embarrassment, criticism or circumstance, including financial loss, which may result from action with respect to the application and expressly waives any claim which otherwise could be made against the state of Missouri, the Missouri Horse Racing Commission, its employees, staff or agents;

(E) The affiant has— 1. Read the applicant’s identification and disclosures and knows the contents; and 2. The contents are true of the affiant’s own knowledge.

A. Matters may be stated in the affidavit on information and belief.

B. On any matters stated on information and belief, the affiant must affirmatively state s/he believes the information to be true;

(F) The applicant recognizes all representations in the application are binding on it and false or misleading information in the application, omission of required information or substantial deviation from representations in the application may result in denial, revocation or suspension of the license or imposition of a fine;

(G) The applicant will comply with the

Article III, Section 39(b) of the Missouri Constitution, any statutes governing parimutuel wagering and the rules of the commission; and (H) The affidavit must contain the following:

1. The organization on whose behalf the affiant is submitting the affidavit;

2. The affiant’s signature;

3. The affiant’s position;

4. The address and telephone number of the affiant; and 5. The date of signature. 313.600.9, RSMo 1986.* This rule originally filed as 12 CSR 50-13.030. Emergency rule Amended: Filed May 15, 1987, effective Sept. 24, 1987. Moved to 11 CSR 45-53.030, effective Aug. 28, 1995. *Original authority: 313.580, RSMo 1986; 313.600, RSMo

11 CSR 45-53.040 Disclosure of Character Information {#sec-11-csr-45-53.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-53.040}

PURPOSE: This rule sets forth the character information required in an application for a (1) An applicant for a Class D license must make its best effort to disclose the information required by this rule of any individual or other entity employed by the applicant and who will have any duties or responsibilities for the conduct of pari-mutuel wagering at the state fair or any county fair— (A) Whether any individual or corporation has been convicted in a criminal proceeding with any felony or misdemeanors. If any individual or entity has been so convicted, the applicant must disclose the date of the conviction, the court, the crime convicted of, whether by plea or finding of a judge or jury and the sentence imposed, if any;

(B) Whether any individual or corporation has been a party in a civil proceeding in which s/he/it has been alleged to have engaged in any unfair or anti-competitive business practice, a securities violation or false or misleading advertising. If any individual or entity has been a party to the civil proceeding, the applicant must provide the date of commencement of the proceeding, the court, the circumstances, the date of any resolution including settlements, the terms of any settlement, the result of any trial and the result of any appeal;

(C) Whether any individual or entity has had a horse racing, gambling or other business license or permit revoked or suspended or the renewal of the license denied or has been a party in any proceeding to do so. If any applicant or entity has been involved in a proceeding, the applicant must disclose the date of commencement, the circumstances, the date of decision and the result;

(D) Whether any individual or entity has been accused in an administrative or judicial proceeding of the violation of a statute or rule relating to unfair labor practices, discrimination, horse racing or gambling. If any individual or entity has been involved in any such proceeding, the applicant must disclose the date of commencement, the forum, the circumstances, the date of any decision and the result; and (E) Whether any individual or entity has commenced an administrative or judicial action against a government regulator of horse racing or gambling. If so, the applicant must disclose the date of commencement, the forum, the circumstances, the date of any decision and the result. 313.580.2, RSMo 1986.* This rule originally filed as 12 CSR 50-13.040. Emergency rule Moved to 11 CSR 45-53.040, effective Aug.

11 CSR 45-53.050 Disclosure of Improvements and Equipment ments for disclosure of improvements and equipment for a Class D license. {#sec-11-csr-45-53.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-53.050}

(1) An application for a Class D license must disclose the following information for the conduct of pari-mutuel wagering at the state fair or a county fair:

(A) The address of the facility, its size and geographical location, including reference to county and municipal boundaries;

(B) A site map which reflects current and proposed highways and streets adjacent to the facility;

(C) The types of racing for which the facility is designed, whether thoroughbred, harness, quarterhorse or any combination thereof;

(D) The racetrack dimensions by circumference, width, banking, location of chutes, length of stretch, distance from judge’s stand to first turn and type of surface. If the facility has more than one (1) racetrack, the applicant must provide a description for each racetrack for which authorization under the Class D license is sought;

(E) A description of horse stalls at the facility, giving the total number of stalls, the dimension of each stall, separation and location of the stalls;

(F) A description of the grandstands including all of the following:

1. The total seating capacity;

2. The total reserve seating capacity;

3. The indoor and outdoor seating capacity;

4. The configuration of the grandstand seating;

5. The location and configuration of the pari-mutuel facilities within the grandstand;

6. The configuration and location of the concession facilities within the grandstand;

7. The number and location of men’s and women’s restrooms within the grandstand; and 8. A description of the public pedestrian traffic patterns throughout the grandstand;

(G) A description of the detention barn 1. The distance from the detention barn to the track;

2. The distance from the detention barn to the paddock;

3. The number of sampling stalls;

4. The placement of viewing ports on each stall;

5. The location of the postmortem floor;

6. The number of wash stalls with hot and cold water and drains;

7. The availability of video monitors;

8. A description of the walking ring;

(H) A description of the paddock area 1. The number of stalls in the paddock;

2. The height from the floor to the lowest point of the stall, ceiling and entrance;

3. The paddock, public address and telephone services;

(I) A description of the jockey and/or driver’s quarters together with all of the following information:

1. The changing areas;

2. A listing of equipment to be installed in the quarters; and 3. The location of the jockey’s or driver’s quarters in relation to the paddock;

(J) A description of the pari-mutuel tote 1. The approximate location of bettor’s windows;

2. Cash security areas; and 3. A description of the equipment including the provider if known;

(K) A description of parking including all of the following information:

1. A detailed description of access to parking from surrounding streets and highways;

2. The number of parking spaces available;

3. A description of any parking other than public parking and its location;

4. A description of the road surface on parking areas;

5. The distance between the parking area(s) and the grandstand; and 6. A road map of the area showing the relationship of parking to surrounding streets and highways. The requirements of this sub-

section may be included on the site map required by subsection (1)(B) of this rule;

(L) A description of the perimeter fence 1. The height;

2. The type of construction and a description of the materials;

3. Whether the perimeter fence is topped by a barbed wire apron at least two feet (2') and directed outward at a forty-five degree (45°) angle;

4. Whether there is a clear zone at least four feet (4') wide around the outside of the entire perimeter fence; and 4CODE OF STATE REGULATIONS 5. Proposed alternatives to a perimeter fence which does not meet the description in this subsection;

(M) A description of improvements and equipment at the racetrack for security purposes in addition to a perimeter fence, including the provider of equipment if known;

(N) A description of starting, timing, photo-finish and photo-patrol or video equipment, including the provider if known;

(O) A description of work areas for the commission members, officers, employees and agents;

(P) A description of access of the facility to public transportation, specifics of the type of transportation and schedules, road maps of area indicating pickup and dropoff points.

The requirements of this subsection may be included on the site map required in subsection (1)(B) of this rule;

(Q) A description of the overnight accommodations for the public including:

1. The number of hotel/motel rooms;

2. The number of campgrounds, if any;

3. The distance from other population centers to the facility for all population centers from which the applicant expects to draw patrons; and (R) A description of the public access to the community surrounding the proposed facility including air service, train service and highways. 313.632, RSMo 1986.* This rule originally filed as 12 CSR 50-13.050. Emergency rule Moved to 11 CSR 45-53.050, effective Aug. *Original authority: 313.580, RSMo 1986 and 313.632, RSMo 1986.

11 CSR 45-53.060 Disclosure of Development Process {#sec-11-csr-45-53.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-53.060}

PURPOSE: This rule sets forth the required disclosure of the development process for a (1) An applicant for a Class D license must disclose with regard to the development of its racing facility— (A) The total cost of facility construction or any modifications of an existing facility, distinguishing between fixed costs and projections;

(B) Separate identification of the following costs, if applicable, distinguishing between fixed costs and projections:

1. Facility design;

2. Land acquisition;

3. Site preparation;

4. Improvements and equipment separately identifying the costs of the items required in 12 CSR 50-13.050(D)—(O) and other categories of improvements and equipment;

5. Interim financing;

6. Permanent financing; and 7. Organization, administrative, accounting and legal;

(C) Documentation of fixed costs;

(D) The schedule for construction, if any, of the facility or any modifications to an existing facility including estimated completion date;

(E) Schematic drawings;

(F) Copies of any contracts with and performance bonds for each of the following:

1. Architect or other design professional;

2. Project engineer;

3. Construction engineer;

4. Contractors and subcontractors; and 5. The equipment procurement personnel; and (G) Evidence of acquisition or lease of the site by the applicant. If the site is not owned or currently leased by the applicant, the applicant must disclose the plans for the acquisition or lease or other use of the site. 313.580.2, RSMo 1986.* This rule originally filed as 12 CSR 50-13.060. Emergency rule Moved to 11 CSR 45-53.060, effective Aug.

11 CSR 45-53.070 Disclosure of Financial Resources {#sec-11-csr-45-53.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-53.070}

PURPOSE: This rule sets forth the disclosure of financial resources required for the Class D licenses.

(1) An applicant for a Class D license must disclose the following with regard to financial resources:

(A) An audited financial statement of each of the three (3) previous fairs for which parimutuel wagering is proposed.

1. If the application is for a fair which has not been conducted in each of the three (3) previous years, audited financial statements must be provided for all previous fairs.

2. If the application is for a fair which has never been conducted, applicant must so state;

(B) Equity and debt sources of funds to develop and operate the horse racing facility for which the license is requested— 1. For each source of equity contribution the following information must be included:

A. Identification of the source;

B. The amount;

C. The form;

D. Method of payment;

E. The nature and amount of present commitment; and F. Documentation;

2. For each source of debt contribution the following information must be provided:

A. Identification of the source;

B. The amount;

C. Terms of the debt;

D. Collateral, if any;

E. Identity of guarantors, if any;

F. Nature and amount of commitments; and G. Documentation; and 3. If the applicant anticipates obtaining further equity or debt contributions, the applicant must disclose the plans for obtaining the commitments; and (C) Identification and description of sources of additional funds, if needed, due to cost overruns, nonreceipt of expected equity or debt funds, failure to achieve projected revenues or other cause. 13.070. Emergency rule filed June 5, 1986, 1986. Original rule filed June 12, 1986, 53.070, effective Aug. 28, 1995.

11 CSR 45-53.080 Disclosure of Financial Plan ments for disclosure of financial plan for Class D licenses. {#sec-11-csr-45-53.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-53.080}

(1) The applicant for a Class D license must disclose its financial projections for the development period and for the conducting of the race meets.

(2) Separate schedules based on the number of racing days and the types of pari-mutuel wagering must be included.

(3) The disclosure must include:

(A) The applicant’s requirements forbreaking even, the optimum number of racing days and the types of betting the applicant seeks;

(B) The following assumptions and the support for them:

1. Average daily attendance;

2. Average daily per capita handle and average bet;

3. The retainage;

4. Admissions to track, including ticket prices and free admissions, if any;

5. Parking volume, fees and revenues;

6. Concessions, gift shop and program sales;

7. Cost of purses;

8. Pari-mutuel expense;

9. Breeder funds;

10. Payroll;

11. Operating supplies and service;

12. Utilities, if any;

13. Repairs and maintenance;

14. Insurance, if any;

15. Travel expense;

16. Membership expense;

17. Security expense;

18. Legal and audit expense; and 19. Debt service;

(C) The following profit and loss elements:

1. Total revenue, including projected revenues from:

A. Retainage;

B. Breakage;

C. Admissions;

D. Parking; and E. Concessions, gifts and program operations;

2. Total operating expenses including anticipated expenses for:

A. Purses;

B. Pari-mutuel;

C. Breakage to state;

D. Breeder fund;

E. Special assessments;

F. Cost of concession goods, gifts and programs;

G. Advertising and promotion;

H. Payroll;

I. Operating supplies and service;

J. Maintenance and repairs;

K. Insurance, if any;

L. Security; and M. Legal and audit; and 3. Nonoperating expenses including anticipated expenses for:

A. Debt service;

B. Facility depreciation, including the identification of method used; and C. Equipment depreciation, including the identification of the method used;

(D) Projected cash flow including assessments of:

1. Income, including:

A. Equity contributions;

B. Debt contributions;

C. Interest income; and D. Operating revenue; and 2. Disbursements, including:

A. Land;

B. Improvements;

C. Equipment;

D. Debt service;

E. Operating expense; and F. Organizational expense; and (E) Project balance sheets as of the end of the development period and for the requested race meets setting forth— 1. Current fixed and other noncurrent assets;

2. Current and long-term liabilities; and 3. Capital accounts.

(4) The applicant must also disclose an accountant’s report of the financial projections.

(5) The commission will utilize financial projections in deciding whether to issue Class D licenses. Neither acceptance of a license application nor issuance of a license shall bind the commission as to matters within its discretion, including, but not limited to, assignment of racing days and design of types of permissible pari-mutuel pools. 13.080. Emergency rule filed June 5, 1986, 1986. Original rule filed June 12, 1986, 53.080, effective Aug. 28, 1995.

11 CSR 45-53.090 Disclosure of Governmental Actions {#sec-11-csr-45-53.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-53.090}

PURPOSE: This rule sets forth the disclosure requirements for governmental actions in Class D licenses.

(1) An applicant for a Class D license must disclose the following with regard to governmental agencies:

(A) The street and highway improvements necessary to insure adequate access to applicant’s horse racing facility and the cost of improvements, status, likelihood of completion and estimated date;

(B) The sewer, water and other public utility improvements necessary to serve applicant’s facility and the cost of improvements, status, likelihood of completion and estimated date;

(C) Whether an environmental assessment of the facility has been or will be prepared.

1. If so, the applicant must disclose its status and the governmental unit with jurisdiction.

2. The applicant must provide a copy of any assessment to the commission;

(D) Whether an environmental impact statement is required for applicant’s facility.

1. If so, the applicant must disclose its status and the governmental unit with jurisdiction.

2. The applicant must provide the commission with a copy of any such statement;

(E) Whether the applicant is in compliance with all statutes, charter provisions, ordinances and regulations pertaining to the development, ownership and operation of its horse racing facility. If the applicant is not in compliance, the following information must be disclosed:

1. The reasons why the applicant is not in compliance; and 2. The plans for compliance or exemption from any requirements. 50-13.090. Emergency rule filed June 5, 53.090, effective Aug. 28, 1995.

11 CSR 45-53.100 Disclosure of Management ments for disclosure of management for a (1) An applicant for a Class D license must disclose each of the following for the development, ownership and operation of the proposed pari-mutuel horse racing facility: {#sec-11-csr-45-53.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-53.100}

(A) A description of the applicant’s management plan including:

1. A budget;

2. Identification of management personnel by function;

3. Job descriptions for each position;

4. Qualifications for each position; and 5. A copy of the organizational chart;

6CODE OF STATE REGULATIONS

(B) Management personnel to the extent known including the following information for each person:

1. Legal name, including any alias(es) or previous names;

2. Current residence and business addresses and telephone numbers;

3. Qualifications and experience in the following areas:

A. General business;

B. Real estate development;

C. Construction;

D. Marketing promotion and advertising;

E. Financing and accounting;

F. Horse racing;

G. Pari-mutuel betting;

H. Security; and I. Human and animal health and safety; and 4. A description of the terms and conditions of employment including a copy of any agreements;

(C) The following information, to the extent known, must be provided for each consultant or other contractor who has provided or will provide management-related services to the applicant:

1. Full name including any alias(es) or previous names;

2. Current residence and business addresses and telephone numbers;

3. The nature of the services provided or to be provided;

4. The qualifications and experience of the consultant or contractor; and 5. Description of the terms and conditions of any agreement including a copy of the agreement;

(D) Memberships of the applicant, management personnel and consultants in horse racing organizations;

(E) Description of the applicant’s security plan including:

1. Number and development of security personnel used by the applicant during the race meeting, security staff levels and deployment at other times;

2. Specific security plans for perimeter, stabling facilities, pari-mutuel betting facilities, purses and cash room;

3. Specific plans to discover persons at the horse racing facility who have been convicted of any felony, had a horse racing license suspended, revoked or denied by the commission or by any horse racing authority of another jurisdiction or are a threat to the integrity of horse racing in Missouri;

4. Description of video-monitoring equipment and its use;

5. Whether the applicant will be a member of the Thoroughbred Racing Cup Protective Bureau, the United States Trotting Association or the American Quarterhorse Association or other security organizations; and 6. Coordination of security with law enforcement agencies in the area;

(F) Description of the applicant’s plans for human and animal health and safety, including emergencies;

(G) Description of the applicant’s marketing, promotion and advertising plans;

(H) Description of the applicant’s plans for concessions, including whether the licensee will operate concessions, and if not, who will;

(I) A description of training of the applicant’s personnel; and (J) A description of plans for compliance with the following:

1. The laws pertaining to discrimination, equal employment and affirmative action;

2. Policies regarding recruitment use and advancement of minorities;

3. Policies with respect to minority contracting;

4. A copy of Equal Employment Opportunity Statement and Policy of the applicant dated and signed by the chief executive officer;

5. A copy of any Affirmative Action Policy Procedures dated and signed by the chief executive officer; and 6. Identification of the Affirmative Action officer including his/her name, title, address and telephone number. 13.100. Emergency rule filed June 5, 1986, 1986. Original rule filed June 12, 1986, 53.100, effective Aug. 28, 1995.

11 CSR 45-53.110 Disclosure of Impact of Facility {#sec-11-csr-45-53.110 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-53.110}

PURPOSE: This rule sets forth the disclosures required of the impact of the facility for a Class D license.

(1) An applicant for a Class D license must disclose the impact of its horse racing facility (A) Economic impact— l. The employment created and specifics as to the number of jobs distinguishing between permanent and temporary, the type of work, compensation, employer and how created;

2. Purchase of goods and services and specifics as to the amounts and types of purchases;

3. Public and private investment; and 4. Tax revenues generated;

(B) Ecological impact;

(C) Impact on energy conservation and development of alternative energy sources;

(D) Social impact. 50-13.110. Emergency rule filed June 5, 53.110, effective Aug. 28, 1995.

11 CSR 45-53.120 Disclosure of Public Support and Opposition {#sec-11-csr-45-53.120 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-53.120}

PURPOSE: This rule discloses the public support or opposition for the Class D license.

(1) An applicant for a Class D license must disclose public support and opposition whether by governmental officials or agencies, private individuals or groups and must supply documentation for the support or opposition. 50-13.120. Emergency rule filed June 5, 53.120, effective Aug. 28, 1995.

11 CSR 45-53.130 Disclosure of Assistance in Preparation of Application {#sec-11-csr-45-53.130 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-53.130}

PURPOSE: This rule requires disclosure of any assistance in the preparation of the Class D license application.

(1) An applicant for a Class D license must disclose the names, addresses and telephone numbers of all individuals who assisted the applicant in the preparation of its application under these rules. 13.130. Emergency rule filed June 5, 1986, 1986. Original rule filed June 12, 1986, 53.130, effective Aug. 28, 1995.

11 CSR 45-53.140 Personnel Information and Authorization for Release {#sec-11-csr-45-53.140 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-53.140}

PURPOSE: This rule sets forth the information and authorized release for personnel who will be involved in the supervision or conduct of pari-mutuel wagering.

(1) The applicant must make its best effort to include the following for each individual who will have any responsibility or duties for the conduct of pari-mutuel wagering under the Class D license for which application is made:

(A) Information to be provided by each individual— 1. Full name including any alias(es) or previous names;

2. Business address;

3. Residence address;

4. Telephone numbers;

5. Last five (5) residences;

6. Date of birth;

7. Place of birth;

8. Social Security number, if the individual is willing to provide it. The commission application must make clear the Social Security number is provided voluntarily; and 9. Two (2) references; and (B) An authorization for the release of personal information, on a form prepared by the commission, shall be signed by each individual and submitted with the application. The forms shall provide that the individual— 1. Authorizes a review by and full disclosure to the Missouri State Highway Patrol of all records concerning the individual, whether the records are public, nonpublic, private or confidential;

9. Recognizes the information reviewed or disclosed may be used by the Missouri Horse Racing Commission, its employees, staff and agents to determine the applicant’s qualifications for a Class D license; and 3. Releases the Missouri Horse Racing Commission, its employees, staff and agents and the providers of any information requested by the commission, its employees, staff and agents from any liability under state or federal privacy laws. 13.140. Emergency rule filed June 5, 1986, 1986. Original rule filed June 12, 1986, 53.140, effective Aug. 28, 1995.

11 CSR 45-53.150 Class D License Criteria {#sec-11-csr-45-53.150 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-53.150}

PURPOSE: This rule sets forth the criteria for the issuance of Class D licenses.

(1) The commission may issue a Class D license if it determines on the basis of all the facts before it that— (A) The applicant is financially able to operate a racetrack;

(B) The applicant is administratively able to operate a racetrack;

(C) The racetrack will be operated in accordance with all applicable laws and rules;

(D) The issuance of the license will not adversely affect the public health, safety and welfare.

(2) In making the required determinations, the commission must consider the following factors and indices:

(A) The integrity of the applicant and any personnel employed to have duties and responsibilities for operating pari-mutuel wagering at the state fair or a county fair.

This determination shall include consideration of:

1. Any criminal record of any individual;

2. The involvement in litigation over business practices by the applicant or any individuals or entities employed by the applicant;

3. The involvement in proceedings in which unfair labor practices, discrimination or regulation of horse racing or gambling was an issue;

4. Failure to satisfy any judgments, orders or decrees of any court; and 5. Any other indices related to integrity which the commission deems crucial to its decision-making as long as the same indices are considered with regard to all applicants;

(B) The types and variety of pari-mutuel horse racing which applicant will offer and the ability to attract quality horses;

(C) The quality of the physical facility together with improvements and equipment 1. The racetrack(s);

2. Stabling;

3. Grandstand;

4. Detention barn;

5. Paddock;

6. Jockey’s and driver’s quarters;

7. Pari-mutuel tote;

8. Parking;

9. Access by road and public transportation;

10. Perimeter fence;

11. Other security improvements and equipment;

12. Starting, timing, photo-finish and photo-patrol or video equipment;

13. Commission work areas; and 14. Any other indices related to quality of the facility which the commission deems crucial to its decision-making as long as the same indices are considered with regard to all (D) The imminence of completion of the facility or any improvements;

(E) Financial ability to develop and operate a pari-mutuel horse racing facility successfully, including:

1. Amounts and reliability of development costs;

2. Certainty of site acquisition or lease, if required;

3. Current financial conditions;

4. Sources of equity and debt funds, amounts, terms and conditions and certainty of commitment;

5. Provisions for cost overruns, nonreceipt of expected equity or debt funds, failure to achieve projected revenues or other financial adversity;

6. Feasibility of financial plan; and 7. Any other indices related to financial ability which the commission deems crucial to its decision-making as long as the same indices are considered with regard to all (F) The status of governmental actions required by the applicant’s facility including:

7. Necessary road improvements;

8. Necessary public utility improvements;

9. Acceptance of any required environmental assessment and preparation of any required environmental impact statement;

10. Any other indices related to the status of governmental actions which the commission deems crucial to its decision-making as long as the same indices are considered with regard to all applicants;

(G) Management ability of the applicant 1. Qualifications of managers, consultants and other contractors to develop and operate a pari-mutuel horse racing facility;

2. Security plan;

3. Plans for human and animal health and safety;

8CODE OF STATE REGULATIONS

4. Marketing, promotion and advertising plans;

5. Concession plan;

6. Plan for training personnel;

7. Equal employment and affirmative action plan; and 8. Any other indices related to management ability which the commission deems crucial to its decision-making as long as the same indices are considered with regard to all (H) Compliance with applicable statutes, regulations, charters and ordinances;

(I) Efforts to promote orderly growth of horse racing in Missouri and educate the public with respect to horse racing and parimutuel betting;

(J) The impact of the facility including:

1. The economic impact— A. The employment created;

B. The purchases of goods and services;

C. Public and private investment; and D. Taxes generated;

2. Ecological impact;

3. Impact on energy conservation and development of alternative energy sources;

4. Social impact;

5. Cost of public improvements; and 6. Any other indices related to impact which the commission deems crucial to its decision-making as long as the same indices are considered with regard to all applicants;

(K) The extent of any public support or opposition.

(3) The commission may also consider any other information which the applicant discloses and which is relevant or helpful to a proper determination by the commission. 313.580.3., RSMo 1986.* This rule originally filed as 12 CSR 50-13.150. Emergency rule June 12, 1986 effective Oct. 27, 1986. Moved to 11 CSR 45-53.150, effective Aug. 28, 1995.

11 CSR 45-53.160 Application and License Fee for Class D License {#sec-11-csr-45-53.160 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-53.160}

PURPOSE: This rule sets the application and license fees for Class D licenses.

(1) The one (1)-time nonrefundable application fee for Class D license shall be five hundred dollars ($500). The application fee for class D license shall not apply to those organizations who apply for both Class B and D licenses concurrently.

(2) The license fee for Class D licenses shall be twenty-five dollars ($25) per day for each day racing is conducted.

History

• AUTHORITY: section 313.620, RSMo 1986. 13.160. Emergency rule filed June 20, 1986, effective June 30, 1986, expired Oct. 13, 1986. Original rule filed Oct. 3, 1986, effective Jan. 12, 1987. Amended: Filed May 15, 1987, effective Sept. 24, 1987. Moved to 11 CSR 45-53.160, effective Aug. 28, 1995. Original authority: 313.620, RSMo 1986.

11 CSR 45-53.170 Bond for Class D License {#sec-11-csr-45-53.170 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-53.170}

PURPOSE: This rule exempts the Department of Agriculture from any bond requirement.

(1) The Department of Agriculture shall be exempt from any bond requirement.

(2) Except as noted in this rule, the total amount of the bond for Class D license is five thousand dollars ($5000) per racing day.

History

• AUTHORITY: section 313.590, RSMo 1986. 13.170. Emergency rule filed June 20, 1986, effective June 30, 1986, expired Oct. 13, 1986. Original rule filed Oct. 3, 1986, effective Jan. 12, 1987. Emergency rescission filed July 14, 1987, effective July 24, 1987, expired Nov. 21, 1987. Moved to 11 CSR 45- 53.170, effective Aug. 28, 1995. Original authority: 313.590, RSMo 1986.

Chapter 55 Breeding Fund

11 CSR 45-55.010 Standardbred Breeding Fund {#sec-11-csr-45-55.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-55.010}

PURPOSE: This rule sets forth rules for administration and qualifications of breeding funds for standardbred horses.

(1) The Missouri Standardbred Breeders Fund is created, referred to in these rules as the fund. The fund shall be administered by the commission, with the assistance and advice of the Missouri Standardbred Breeders Fund Advisory Committee, referred to in these rules as the committee.

(A) All payments from the fund shall be made by order of the commission.

(B) Each association licensed by the commission to conduct standardbred racing shall allocate the amounts specified by the rules of the commission and statute to the fund, which shall be deposited by the commission in one (1) or more banks or trust companies in the state. The members of the commission shall have no personal liability for loss to the fund by reason of the failure or insolvency or other fault of any depository if they use ordinary care in the selection of the depository.

The deposits shall be secured by collateral.

(C) Any monies allocated under subsection (1)(B) not disbursed during a current race meeting in Missouri shall be paid to the commission within five (5) days after the close of each meeting.

(D) Standardbred registration fees shall also be deposited in the fund.

(E) The committee shall consist of five (5) members—two (2) from the organization that represents the majority of the state’s standardbred breeders, one (1) member from the licensed associations, one (1) member at large appointed by the commission and one (1) member of the commission who shall be the chairman of the committee.

1. Members shall be appointed by June 1 of each year. If any member other than the commission member has not been recommended by June 1 of each year, the commission shall make the appointment for the organization failing to do so by this deadline.

2. Members shall receive no compensation for services.

(F) The commission and the committee shall expend funds only— 1. To provide administration expenses of the fund up to ten percent (10%) of annual fund income;

2. To provide purse supplements to owners of horses participating in races limited to Missouri-foaled horses;

3. To provide stakes and rewards in races designated as stakes for owners of winning horses in races limited to Missourifoaled or Missouri-owned horses;

4. To provide stallion awards to the owner of the Missouri stallion which is the sire of a Missouri-foaled horse which wins any race at a state racing meeting; or 5. To provide for promotions of the fund.

(G) Any purse monies authorized in this

rule and paid in any fund race shall not be included in or have any relation to the purses, stakes or breeders’ bonuses paid by any licensed association for any races other than fund races, for which purses, stakes or breeders’ bonuses are determined by agreement or formula between each association and an organization representing the horsemen racing.

(H) Associations may add to any purse offered by the commission in any fund race.

(I) After May 31, 1987 each association conducting standardbred racing shall provide at least one (1) race each racing day or at least five (5) per week limited to Missourifoaled horses. The races shall be known as Missouri Standardbred Breeders Fund Races.

No horses shall be permitted to start in these races unless duly registered under the rules of the commission— 1. Conditions of these races shall be commensurate with past performance, quality and class of Missouri-foaled horses available;

2. Conditions of the races shall be determined by the association and shall be approved by the commission upon recommendation of the committee; and 3. If any fund race fails to attract at least five (5) entries, the association or the commission shall cancel the race and no fund purses shall be paid. In the event the commission cancels a race, it shall notify the association in time to permit a substitute race to be scheduled.

(J) The breeder or owner of a Missouribred foal, mare or stallion shall register the horse with the commission on forms provided by the commission.

(K) The application for registration as a Missouri stallion shall provide— 1. Name of stallion;

2. Name and address of owner;

3. Place where the stallion stood for service during the previous year;

4. Place where the stallion will stand for service in Missouri;

5. Statement that the stallion is owned or leased by abona fideresident of Missouri and that the stallion will not stand for service any place outside the state before August 1 of the year in which the foal is conceived;

6. Details of ownership, such as bill of sale, lease or other documents providing proof of ownership, showing any agreements concerning breeding rights, repurchase agreements and any other relevant information requested by the commission;

7. An official certificate of registration from the United States Trotting Association (U.S.T.A.), which will be returned to the applicant; and 8. A fee of one hundred dollars ($100) shall accompany each application.

(L) To qualify for registration as a Missouri stallion— 1. The owner must be a bona fideresident;

2. The stallion must reside in Missouri from January 1 through July 31 of the year of registration; or 3. The horse shall be going to stud for its first season.

(M) Upon receipt of appropriate applications and having ascertained that a stallion is qualified to be registered and/or eligible as a Missouri stallion, the commission shall issue a registration certificate.

1. The certificate shall be available for inspection at the premises where the stallion stands.

2. This certificate shall be valid as long as all stallion residency and notification procedures as described in this rule are met, but shall be renewed annually.

3. In the event of sale or transfer of a registered stallion, same shall be entered on the back of the certificate and the endorsed certificate sent to the commission. If the new ownership is qualified to register the stallion as a Missouri stallion, a new application shall be submitted containing the same information as required in an original application, accompanied by a bill of sale and the annual fee.

4. If the registered stallion leaves the state before August 1 of the registration year, the certificate shall be invalidated. Notice of the departure shall be made to the commission. If the owner subsequently wishes to return the stallion to service in Missouri, the original application procedure shall be required.

5. Any change in location of the stallion within Missouri shall be reported to the commission.

6. Any change in location of the stallion out-of-state for nonbreeding purposes shall be reported to the commission.

(N) Every person offering or standing a Missouri-registered stallion for service shall maintain a complete breeding record of the stallion and all mares bred to the stallion.

The records shall be available to the commission and shall provide— 1. Name of mare;

2. Dam and sire of mare;

3. Name and address of owner of mare;

4. First and last dates on which the stallion was bred to the mare;

5. Place where the stallion was standing at the time of the breeding of the mare;

6. The name of the person in charge of the stallion at time of service; and 7. Any other relevant information requested by the commission.

(O) A report entitled Record of Mares Bred shall be filed with the commission by September 1 of each year on forms provided by the commission.

(P) To be considered a Missouri-foaled horse, each horse shall either be— 1. A standardbred horse foaled in Missouri prior to January 1, 1987, registered by the U.S.T.A. as Missouri foaled; or 2. A standardbred horse foaled in Missouri after January 1, 1987 to a broodmare either— A. Resident for thirty (30) days in Missouri until the foal is inspected, if in foal to a registered Missouri stallion;

B. Resident for thirty (30) days in Missouri until the foal is inspected, if bred to a registered Missouri stallion; or C. Continuous resident from December 31 until the foal is inspected, if bred by other than a Missouri-registered stallion and which is not bred back to a Missouri stallion.

(Q) An application for registration as Missouri-foaled horse shall be filed with the commission providing— 1. Name of broodmare;

2. Name of sire;

3. Date of foaling;

4. Color, sex and markings; and 5. U.S.T.A. registration certificate.

(R) Having met the commission’s requirements for eligibility as Missouri-foaled, the commission shall affix its’ seal on the face of the U.S.T.A., including the commission’s registration number for the horse. This certificate shall constitute the official registration certificate for the fund program. If the U.S.T.A. certificate is lost or destroyed, the duplicate U.S.T.A. certificate shall be recertified by the commission.

(S) For mares to be eligible for the fund program and for their foals to be eligible for Missouri-foaled races, the owner of the mare shall provide a mare status report to the commission by December 1 of the year bred which shall include:

A. The place where the mare will foal;

B. The name of the person responsible for the mare at the time of foaling; and C. If the mare is to be bred back to a Missouri-registered stallion or to a stallion standing at service outside the state.

(T) Missouri-owned standardbred horses shall be owned by a resident of Missouri who has resided in Missouri for nine (9) months prior to race date. The horse must be so owned for sixty (60) days prior to race date, excepting as provided in commission rules concerning claiming.

(U) Each association licensed to conduct standardbred racing shall conduct two (2)

Missouri-owned races each week.

(V) The commission shall have access to premises on which qualified mares, foals and stallions are kept.

(W) Fees for registration under the Missouri Standardbred Fund shall be— 1. Stallion (Eligibility Certificate)$100.00/year;

2. Broodmare$35.00/year;

3. Foal$15.00;

4. Yearlings$15.00;

5. 2-year olds$40.00; and 6. 3-year olds and older$75.00.

(X) Each association licensed to conduct standardbred racing shall provide for the running of the following Missouri-bred races (stake) at a distance of one (1) mile during each year— 1. 2-year old filly pace;

2. 2-year old colt pace;

3. 3-year old filly trot;

4. 2-year old colt trot;

5. 3-year old colt pace;

6. 3-year old filly pace;

7. 3-year old filly trot; and 8. 3-year old colt trot.

(Y) Fees for nominating and sustaining shall be— 1. Nominating fee due March 15$25.00;

2. Sustaining fee due April 15$35.00; and 3. Starting fee due two (2) days prior to race date$50.00.

RSMo 1986.* This rule originally filed as 12 CSR 50-15.010. Original rule filed Jan. 9, 1987, effective June 11, 1987. Moved to 11 CSR 45-55.010, effective Aug. 28, 1995. 1986.

11 CSR 45-55.040 Administrative Authority {#sec-11-csr-45-55.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-55.040}

PURPOSE: This rule sets forth guidelines for administration and qualifications of breeding funds for thoroughbred and quarter horses.

(1) The Missouri Thoroughbred and Quarter Horse Breeder’s Fund is created and will be referred to as the fund. The fund shall be administered by the commission with the assistance and advice of the Missouri Thoroughbred and Quarter Horse Breeder’s Fund Advisory Committee and will be referred to as the committee. 50-15.040. Original rule filed June 14, 1991, 55.040, effective Aug. 28, 1995.

11 CSR 45-55.050 Advisory Committee {#sec-11-csr-45-55.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-55.050}

PURPOSE: This rule sets forth the structure for the Breeder’s Fund Advisory Committee.

(1) The committee shall consist of seven (7) members—two (2) from the organization that represents the majority of the states thoroughbred breeders, two (2) from the organization that represents the majority of the state’s quarter horse breeders, one (1) member from a licensed association, one (1) member-at-large appointed by the commission and one (1) member of the commission who shall be the chairman of committee.

(2) Members shall be appointed by June 1 of each year. If any member other than the commission member has not been recommended by May 15 of each year, the commission shall make the appointment for the organization failing to so by the deadline. Members shall receive no compensation for their services.

The committee shall meet no less than twice annually.

(3) The committee shall recommend to the commission the added money and award payment levels for the disbursement of the fund.

4CODE OF STATE REGULATIONS

(5/31/09) ROBINCARNAHAN 50-15.050. Original rule filed June 14, 1991, 55.050, effective Aug. 28, 1995.

11 CSR 45-55.060 Deposits of Fund {#sec-11-csr-45-55.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-55.060}

PURPOSE: This rule sets forth procedures for the deposit of funds into the breeder’s fund.

(1) Each association licensed by the commission to conduct thoroughbred and/or quarter horse racing shall allocate the amounts specified by statute and rules of the commission to that fund. That amount shall be paid to the commission within three (3) days after each racing day. All registration fees shall also be deposited in the fund.

(2) The commission shall deposit all monies in the appropriate Missouri Breeder’s Fund account in the state treasury. A separate account for thoroughbred and quarter horse shall be maintained.

(3) The distribution of the pari-mutuel handle earmarked for the fund between breeds shall be determined by a formula approved by the 50-15.060. Original rule filed June 14, 1991, 55.060, effective Aug. 28, 1995.

11 CSR 45-55.070 Expenditures From Fund {#sec-11-csr-45-55.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-55.070}

PURPOSE: This rule sets forth the guidelines for the expenditures from the breeder’s fund.

(1) All payments from the fund shall be made by order of the commission.

(2) Payments from the fund shall be disbursed to the following:

(A) To owners of registered Missouri-bred horses that finish fourth or better in races run in the state;

(B) To breeders of registered Missouribred horses that finish fourth or better in races run in the state;

(C) To owners of registered stallions that sire Missouri-bred horses that finish fourth or better in races run in the state;

(D) For purse supplements for stake races run in this state and restricted to Missouribred horses;

(E) For administration of the fund; and (F) For promotion of the fund.

(3) In the event the total amount received exceeds the amount expended in any year, the unexpended amount(s) shall be carried forward for disbursement in subsequent years. 50-15.070. Original rule filed June 14, 1991, 55.070, effective Aug. 28, 1995.

11 CSR 45-55.080 Organizational Licensee’s Responsibility {#sec-11-csr-45-55.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-55.080}

PURPOSE: This rule sets forth the organizational licensee’s responsibilities regarding the breeders’ fund.

(1) Each association licensed to conduct thoroughbred and/or quarter horse racing shall provide at least two (2) races, one (1) for each breed, each day restricted to horses registered in the fund. These races shall be known as Missouri Breeders’ Fund races. No horse shall be permitted to enter in these races unless duly registered under the rules of the (2) Conditions of these races shall be commensurate with the past performances and class of available horses. The association shall open nonstake Missouri Breeders’ Fund races to other horses if they should fail to fill after adequate time. Horses registered in the fund shall be preferred in those races.

(3) The official program shall denote all horses registered in the fund.

(4) Any monies paid from the fund shall not be included in or have relation to the purse or stakes paid by any licensed association. 50-15.080. Original rule filed June 14, 1991, 55.080, effective Aug. 28, 1995.

11 CSR 45-55.090 Registration Required for Missouri-Bred Eligibility {#sec-11-csr-45-55.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-55.090}

PURPOSE: This rule sets forth requirements for eligibility in the breeders’ fund.

(1) Unless the breeder or owner of a Missouri-bred horse has registered same with the Missouri Horse Racing Commission and attested that the horse is a Missouri-bred, that horse is ineligible for entry in races for Missouri-bred horses. The breeder of that horse will not be entitled to Missouri-bred breeders’ awards for that horse. The owner of that horse will not be entitled to Missouri-bred owners’ awards for that horse. The owner of the sire of that horse will not be entitled to Missouri-bred stallion awards for that horse. 50-15.090. Original rule filed June 14, 1991, 55.090, effective Aug. 28, 1995.

11 CSR 45-55.100 Requirements for Broodmare Eligibility {#sec-11-csr-45-55.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-55.100}

PURPOSE: This rule sets forth registration requirements for broodmare.

(1) Effective January 1, 1992, in order to be eligible for registration in the fund, qualify for breeders’ or owners’ awards and qualify offspring for registration in the fund, the following requirements must be met:

(A) The broodmare must be permanently domiciled in Missouri. The broodmare may be shipped out-of-state to be served by a stallion, provided she is returned to Missouri to resume her domicile no later than December 1. The mare may leave the state for an indefinite period of time to race, for performance purposes or for medical treatment; and (B) The broodmare must be in Missouri and registered by December 1 prior to the year the broodmare will foal. The owner of the mare shall complete an application for mare registration on a form provided by the commission. Failure to submit the broodmare registration form on or before the December 1 cut-off date (excluding Saturdays and Sundays) will disqualify any subsequent claims for breeders’ award payments or for the foal to be registered as Missouri-bred.

(2) The breeder of an accredited Missouri registered foal is the owner or lessee of the dam at the time of foaling as reflected on the Jockey Club or American Quarter Horse Association Certificate. 50-15.100. Original rule filed June 14, 1991, 55.100, effective Aug. 28, 1995.

11 CSR 45-55.110 Eligibility Requirements for Stallions requirements for stallions. {#sec-11-csr-45-55.110 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-55.110}

(1) To be eligible for registration in the fund and qualify for stallion owners’ awards, the following requirements must be met:

(A) The stallion shall be at least fifty percent (50%) owned or at least fifty percent (50%) leased by a resident(s) of Missouri, and standing for service within Missouri at the time of a foal’s conception and that stallion must not stand for service at any place outside Missouri during the calendar year in which the foal is conceived; the stallion may leave the state for an indefinite period of time to race, for performance purposes or for medical treatment; and (B) The owner of the stallion shall complete an application on a form provided by the commission. The stallion must be duly registered in the fund no later than January 31 of the year the foal is conceived. However, a stallion which has not been in Missouri for breeding purposes before January 31 of the current breeding season may be eligible for stallion awards if the stallion has been properly registered with the commission prior to servicing any mare and that stallion has not serviced any mare after December 31 of the preceding year. A stallion Renewal Form provided by the commission must be completed for the registered stallion no later than January 31 of each year to remain eligible.

(2) The owner or lessee of an accredited Missouri stallion, for the purpose of qualifying for stallion awards, is the owner/lessee of record at the time the offspring is conceived.

If the stallion is leased, a copy of the lease must accompany the registration application.

The lease must contain a statement that the lessee is authorized to sign the breeding certificate. 50-15.110. Original rule filed June 14, 1991, 55.110, effective Aug. 28, 1995.

11 CSR 45-55.120 Eligibility Requirements for Racing Stock (Grandfather Clause) requirements for racing stock foal prior to January 1, 1992. {#sec-11-csr-45-55.120 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-55.120}

(1) Any horse foaled in Missouri prior to January 1, 1992, whose Jockey Club registration certificate if a thoroughbred, or American Quarter Horse Association registration certificate if a quarter horse, designates that the horse was foaled in Missouri, may register as a Missouri-bred horse by December 31, 1993. Those horses meeting the criteria of this rule may register for a fee of twenty-five dollars ($25). The owner shall complete the registration certificate or American Quarter Horse Association registration certificate by certified mail. If a horse has met all requirements for registration, the commission shall affix its official seal on the certificate and shall include the breeders’ fund registration number. The certificate shall be returned to the owner or his/her designee by certified mail. 50-15.120. Original rule filed June 14, 1991, 55.120, effective Aug. 28, 1995.

11 CSR 45-55.130 Inspection of Registration regarding the inspection of registrants. {#sec-11-csr-45-55.130 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-55.130}

(1) Each horse registered in the fund as a broodmare, stallion or foal is subject to inspection and identification by a commission staff member at any time. The owner, lessee, resident manager or any individual responsible for the care, control and custody of the horse shall cooperate fully with any inspection or investigation by the commission. 50-15.130. Original rule filed June 14, 1991, 55.130, effective Aug. 28, 1995.

11 CSR 45-55.140 False Statements Conerning Missouri-Bred Registration {#sec-11-csr-45-55.140 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-55.140}

PURPOSE: This rule sets forth penalties for false statements concerning horses registered in the fund.

(1) Any person who fails to disclose or states falsely any information required in the registration process of the Missouri-bred program may be subject to penalties at the discretion of the commission. Those penalties may include disqualification and exclusion from the Missouri-bred program of both the horse(s) and person(s) involved in the dispute. Penalties may also include fine, suspension and/or revocation of a Class C license or disqualification from obtaining a Class C license. 50-15.140. Original rule filed June 14, 1991, 55.140, effective Aug. 28, 1995.

11 CSR 45-55.150 Notification of Ownership Changes regarding the notification of ownership changes. {#sec-11-csr-45-55.150 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-55.150}

(1) Any changes in the ownership, lessee/lessor or resident manager of any registrant in the fund, whether a broodmare, stallion or racing stock, must be reported promptly to the commission in writing. It is the responsibility of the new owner, new lessee or new resident manager to report any change or details concerning rights of ownership change, such as a bill of sale. The own ership of all 6CODE OF STATE REGULATIONS (5/31/09) ROBINCARNAHAN horses registered in the fund must correspond to the ownership listed on the registration certificate. The change of stallion ownership must be reported on a form provided by the 50-15.150. Original rule filed June 14, 1991, 55.150, effective Aug. 28, 1995.

11 CSR 45-55.160 Eligibility Requirements for Racing Stock (Starting With Foals of 1992) requirements for racing stock starting with foals of 1992. {#sec-11-csr-45-55.160 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-55.160}

(1) To be eligible to be registered in the fund, each horse shall be foaled in Missouri to a broodmare duly registered in the fund. The broodmare must meet all eligibility and registration requirements.

(2) The foal must be registered with the Racing Commission within thirty (30) days from the date a horse is foaled in Missouri. Foals not registered within thirty (30) days may register by December 31 of the year foaled for a late fee of two hundred dollars ($200).

The registration form must contain the date of foaling, sire, dam, the name of the owner of the foaling dam, the date the foal was born and an owner’ statement that the foal was born in Missouri. Failure to register the horse by December 31 of the year of foaling will disqualify any subsequent claims for breeders’ award payments or for the foal to be registered as a Missouri-bred.

(3) Prior to a horse becoming eligible for awards from the fund, the owner shall forward The Jockey Club registration certificate or the American Quarter Horse Association certificate by certified mail to the commission. A photocopy will not be considered sufficient. If the horse has met all the requirements for registration, the commission shall affix its official seal on the face of the certificate which shall include the commission’s registration number for that horse. Failure to have the foal certificate embossed shall disqualify any claim to enter the horse in a restricted race or to earn any breeders’ owners’ or stallion owners’ awards.

(4) The certification on The Jockey Club registration certificate or the American Quarter Horse Association certificate will be the official registration certificate for the fund.

(5) If the certificate is lost, destroyed or replaced, the duplicate certificate for that horse shall be recertified by the commission to be valid for the fund. 50-15.160. Original rule filed June 14, 1991, 55.160, effective Aug. 28, 1995.

11 CSR 45-55.170 Notification of Address Change regarding the notification of address change. {#sec-11-csr-45-55.170 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-55.170}

(1) Any change of address of any breeder, owner or stallion owner eligible to receive awards must be promptly reported to the 50-15.170. Original rule filed June 14, 1991, 55.170, effective Aug. 28, 1995.

11 CSR 45-55.180 Registration Fees {#sec-11-csr-45-55.180 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-55.180}

PURPOSE: This rule sets forth the fees for horses registering in the breeders’ fund.

(1) Categories (A), (B) and (C) are registries for breeding purposes only. Category (D) is for racing purposes only. Accredited Missouri registered racing stock converse to breeding stock must be registered in the permanent stallion or broodmare registry. The fees are as follows:

(A) Stallion (first time registrants)$100.00;

(B) Stallion (annual renewal) $ 25.00;

(C) Broodmare (effective January 1, 1992)$ 25.00;

(D) Foals (effective January 1, 1992) starting with foals of 1992$ 25.00;

(E) Yearlings and older (effective January 1, 1992) starting with foals of 1992— not eligible.

RSMo 1986 and 313.720, RSMo. Supp. 50-15.180. Original rule filed June 14, 1991, 55.180, effective Aug. 28, 1995.

Chapter 59 Bid Procedures

11 CSR 45-59.010 Bid Procedure {#sec-11-csr-45-59.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-59.010}

PURPOSE: This rule establishes a bid procedure for the Missouri Horse Racing Commission.

(1) The executive director shall use the bid procedures set forth in chapter 19 whenever s/he exercises the authority to directly purchase as provided in section 313.560, RSMo (1986).

(2) The director shall solicit competitive bids for goods or services, except as provided in

12 CSR 50-19.040. The solicitations shall be based on written specifications. {#sec-12-csr-50-19.040. omnilex-key=us-mo-regs-official--title-11--12 CSR 50-19.040.}

(A) The director, whenever possible, shall solicit a minimum of three (3) bids.

(B) Specifications shall be in generic or functional terms unless it is not reasonably possible to describe required goods or services in generic or functional terms.

(C) Whenever it is not reasonably possible to describe required goods or services in generic or functional terms, the director may specify two (2) or more brand names or one (1) brand name together with the terms or substantially equivalent.

(D) The director shall administer this procedure to encourage the submission of bids by minorities.

(3) The director may solicit bids by mail, by telephone, in person, through advertising or any combination thereof, whichever in his/her judgment is the most prudent and practical under the circumstances to insure cost efficiency in the purchase of the goods or services required.

(4) The director shall publicize his/her bid solicitation in a manner which is calculated to reach the maximum number of vendors under the circumstances.

(5) The director shall allow at least five (5) business days for the vendor bids prior to the award of the contract under this section.

(6) The director shall select the lowest and best terms on an evaluated basis in awarding the contract. 19.010. Original rule filed Dec. 15, 1986, 45-59.010, effective Aug. 28, 1995.

11 CSR 45-59.020 Bids Not to be Revealed {#sec-11-csr-45-59.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-59.020}

PURPOSE: This rule sets forth the general confidentiality of bid information and establishes certain exceptions.

(1) The prices or data quoted or contained in any bid or quote to the director under chapter 19 shall not be revealed to any other bidder, vendor or other person until after the award of the contract except as provided in

section (2) of this rule.

(2) Nothing in section (1) of this rule shall prevent the director from revealing prices or data contained in any bid or quote to— (A) The commission or any individual member thereof;

(B) Any member of the staff of the commission;

(C) Any member of another state agency assisting in the evaluation process, providing technical assistance, drafting documents or giving legal advice on a need-to-know basis; and (D) Any consultant or the staff of any consultant assisting the director in the evaluation process or providing technical assistance in the process on a need-to-know basis. 19.020. Original rule filed Dec. 15, 1986, 45-59.020, effective Aug. 28, 1995.

11 CSR 45-59.030 Three or Fewer Vendors {#sec-11-csr-45-59.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-59.030}

PURPOSE: This rule establishes a procedure when less than three vendors exist for any goods or services.

(1) When the director has determined that three (3) or fewer vendors exist which can provide the goods or services required by the commission s/he may use the procedure set forth in this rule.

(2) The director may negotiate with the vendor(s) who are capable of supplying the goods or services to obtain the lowest and best terms.

(3) The director may award the contract at any time s/he is satisfied that s/he has obtained the lowest and best terms available. 19.030. Original rule filed Dec. 15, 1986, 45-59.030, effective Aug. 28, 1995.

11 CSR 45-59.040 Professional Services {#sec-11-csr-45-59.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-59.040}

PURPOSE: This rule allows the director to negotiate directly for professional services required by the commission.

(1) The director may directly negotiate with the individuals who are capable of providing professional services required by the commission.

(2) As used in this rule professional services shall include, but shall not be limited to, the following:

(A) Legal services;

(B) Accounting services;

(C) Services to provide economic or demographic projections, estimates and evaluations;

(D) Services of officials for race meets including the stewards and veterinarians; and (E) Laboratory services for the purpose of testing for violations of the rules of the commission. 19.040. Original rule filed Dec. 15, 1986, 45-59.040, effective Aug. 28, 1995.

ROBINCARNAHAN(5/31/09)

Chapter 60 Commission and Commission Officials

11 CSR 45-60.010 Commission Officials {#sec-11-csr-45-60.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-60.010}

Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

History

• AUTHORITY: sections 313.520.3. and 313.560, RSMo 1986. This rule originally filed as 12 CSR 50-20.010. Emergency rule filed June 20, 1986, effective June 30, 1986, expired Oct. 13, 1986. Original rule filed Oct. 3, 1986, effective Jan. 12, 1987. Moved to 11 CSR 45-60.010, effective Aug. 28, 1995.

11 CSR 45-60.020 Judges {#sec-11-csr-45-60.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-60.020}

20.020. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 60.020, effective Aug. 28, 1995. Rescinded:

11 CSR 45-60.025 Stewards {#sec-11-csr-45-60.025 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-60.025}

rule originally filed as 12 CSR 50-20.025.

Original rule filed Oct. 3, 1986, effective Jan. 12, 1987. Moved to 11 CSR 45-60.025, effective Aug. 28, 1995. Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

History

• AUTHORITY: sections 313.520.3., 313.560.5. and 313.560.7., RSMo 1986. This

11 CSR 45-60.030 Commission Veterinarian {#sec-11-csr-45-60.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-60.030}

Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

History

• AUTHORITY: section 313.520.3., RSMo 1986. This rule originally filed as 12 CSR 50- 20.030. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effective Jan. 12, 1987. Amended: Filed Oct. 13, 1987, effective Jan. 14, 1988. Moved to 11 CSR 45-60.030, effective Aug. 28, 1995.

11 CSR 45-60.040 Commission Laboratory {#sec-11-csr-45-60.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-60.040}

History

• AUTHORITY: section 313.560(5), RSMo 1986. This rule originally filed as 12 CSR 50- 20.040. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 60.040, effective Aug. 28, 1995. Rescinded:

11 CSR 45-60.050 Suspensions {#sec-11-csr-45-60.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-60.050}

20.050. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 60.050, effective Aug. 28, 1995. Rescinded:

11 CSR 45-60.055 Effect of Suspension or Revocation on Spouse {#sec-11-csr-45-60.055 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-60.055}

20.055. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 60.055, effective Aug. 28, 1995. Rescinded:

11 CSR 45-60.060 Conflict Between U.S.T.A. and Commission Rules {#sec-11-csr-45-60.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-60.060}

20.060. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 60.060, effective Aug. 28, 1995. Rescinded:

JOHNR. ASHCROFT(6/30/18)

Chapter 61 Association Officials

11 CSR 45-61.010 General Considerations {#sec-11-csr-45-61.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-61.010}

History

• AUTHORITY: section 313.520.4., RSMo 1986. This rule originally filed as 12 CSR 50- 30.010. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 61.010, effective Aug. 28, 1995. Rescinded:

11 CSR 45-61.015 Thoroughbred Association Officials {#sec-11-csr-45-61.015 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-61.015}

30.015. Original rule filed Oct. 3, 1986, 61.015, effective Aug. 28, 1995. Rescinded:

11 CSR 45-61.020 Racing Secretary {#sec-11-csr-45-61.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-61.020}

30.020. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 61.020, effective Aug. 28, 1995. Rescinded:

11 CSR 45-61.021 Racing Secretary (Thoroughbred) {#sec-11-csr-45-61.021 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-61.021}

30.021. Original rule filed Oct. 3, 1986, 61.021, effective Aug. 28, 1995. Rescinded:

11 CSR 45-61.022 Paddock Judge—Thoroughbred {#sec-11-csr-45-61.022 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-61.022}

30.022. Original rule filed Oct. 3, 1986, 61.022, effective Aug. 28, 1995. Rescinded:

11 CSR 45-61.023 Horse Identifier—Thoroughbred {#sec-11-csr-45-61.023 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-61.023}

30.023. Original rule filed Oct. 3, 1986, 61.023, effective Aug. 28, 1995. Rescinded:

11 CSR 45-61.024 Clerk of the Scales {#sec-11-csr-45-61.024 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-61.024}

30.024. Original rule filed Oct. 3, 1986, 61.024, effective Aug. 28, 1995. Rescinded:

11 CSR 45-61.025 Starter {#sec-11-csr-45-61.025 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-61.025}

30.025. Original rule filed Oct. 3, 1986, 61.025, effective Aug. 28, 1995. Rescinded:

11 CSR 45-61.026 Timer {#sec-11-csr-45-61.026 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-61.026}

30.026. Original rule filed Oct. 3, 1986, 61.026, effective Aug. 28, 1995. Rescinded:

11 CSR 45-61.027 Patrol and Placing Judges {#sec-11-csr-45-61.027 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-61.027}

30.027. Original rule filed Oct. 3, 1986, 61.027, effective Aug. 28, 1995. Rescinded:

11 CSR 45-61.028 Association Veterinarian {#sec-11-csr-45-61.028 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-61.028}

30.028. Original rule filed Oct. 3, 1986, 61.028, effective Aug. 28, 1995. Rescinded:

11 CSR 45-61.029 Jockey Room Custodian and Valet Attendants {#sec-11-csr-45-61.029 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-61.029}

30.029. Original rule filed Oct. 3, 1986, 61.029, effective Aug. 28, 1995. Rescinded:

11 CSR 45-61.030 Adoption of Rule 6 of U.S.T.A. {#sec-11-csr-45-61.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-61.030}

30.030. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 61.030, effective Aug. 28, 1995. Rescinded:

JOHNR. ASHCROFT(6/30/18)

Chapter 62 Permit Holders

11 CSR 45-62.010 General Requirements {#sec-11-csr-45-62.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.010}

40.010. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 62.010, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.020 Commission Offices {#sec-11-csr-45-62.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.020}

40.020. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 62.020, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.030 Ejection {#sec-11-csr-45-62.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.030}

40.030. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 62.030, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.035 Stands for Officials— Thoroughbred and Quarter Horse {#sec-11-csr-45-62.035 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.035}

40.035. Original rule filed Oct. 16, 1986, 62.035, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.040 Racing Surfaces {#sec-11-csr-45-62.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.040}

40.040. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 62.040, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.050 Public Information {#sec-11-csr-45-62.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.050}

40.050. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 62.050, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.055 Program {#sec-11-csr-45-62.055 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.055}

40.055. Original rule filed Oct. 3, 1986, effective Jan. 12, 1987. Moved to 11 CSR 45- 62.055, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.060 Numbers of Races per Performance {#sec-11-csr-45-62.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.060}

40.060. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 62.060, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.070 Appointment of Racing Officials and Department Heads {#sec-11-csr-45-62.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.070}

40.070. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 62.070, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.080 Trust Funds {#sec-11-csr-45-62.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.080}

40.080. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 62.080, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.090 Condition Book {#sec-11-csr-45-62.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.090}

40.090. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 62.090, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.100 Photo-Finish Equipment {#sec-11-csr-45-62.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.100}

40.100. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 62.100, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.110 VTR Equipment {#sec-11-csr-45-62.110 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.110}

40.110. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 62.110, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.120 Photograph Posted {#sec-11-csr-45-62.120 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.120}

40.120. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 62.120, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.130 Driver’s Stand {#sec-11-csr-45-62.130 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.130}

40.130. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 62.130, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.140 Starting Gate {#sec-11-csr-45-62.140 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.140}

40.140. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 62.140, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.145 Distance Poles (Thoroughbred and Quarter Horse) {#sec-11-csr-45-62.145 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.145}

40.145. Original rule filed Oct. 16, 1986, 62.145, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.150 Detention Enclosure {#sec-11-csr-45-62.150 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.150}

40.150. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 62.150, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.160 Grounds’ Facilities, Water and Sewage {#sec-11-csr-45-62.160 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.160}

40.160. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 62.160, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.170 Safety and Medical Aid {#sec-11-csr-45-62.170 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.170}

40.170. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 62.170, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.180 Fire Protection {#sec-11-csr-45-62.180 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.180}

40.180. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 62.180, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.190 Stable and Ground Security {#sec-11-csr-45-62.190 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.190}

40.190. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effective Jan. 12, 1987. Amended: Filed Oct. 13, 1987, effective Jan. 14, 1988. Moved to 11 CSR 45-62.190, effective Aug. 28, 1995.

Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

11 CSR 45-62.200 Electric Timing Device {#sec-11-csr-45-62.200 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.200}

40.200. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 62.200, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.205 Lighting {#sec-11-csr-45-62.205 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.205}

40.205. Original rule filed Oct. 16, 1986, 62.205, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.210 Patrol Judge’s Communication {#sec-11-csr-45-62.210 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.210}

40.210. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 62.210, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.220 Hippodroming Ban {#sec-11-csr-45-62.220 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.220}

40.220. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 62.220, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.230 Communication System {#sec-11-csr-45-62.230 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.230}

40.230. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 62.230, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.240 Primary and Secondary Liability {#sec-11-csr-45-62.240 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.240}

40.240. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effective Jan. 12, 1987. Amended: Filed Oct. 13, 1987, effective Jan. 14, 1988. Moved to 11 CSR 45-62.240, effective Aug. 28, 1995.

Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

11 CSR 45-62.250 Listening Devices {#sec-11-csr-45-62.250 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.250}

40.250. Emergency rule filed June 20, 1986, 4CODE OF STATE REGULATIONS (6/30/18) JOHNR. ASHCROFT 1986. Original rule filed Oct. 3, 1986, effec- 62.250, effective Aug. 28, 1995. Rescinded:

11 CSR 45-62.260 Payment of Purses {#sec-11-csr-45-62.260 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-62.260}

40.260. Original rule filed Oct. 16, 1986, 62.260, effective Aug. 28, 1995. Rescinded:

Chapter 65 Class C Licenses

11 CSR 45-65.010 General Provisions for Class C Licenses {#sec-11-csr-45-65.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-65.010}

50.010. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effective Jan. 12, 1987. Moved to 11 CSR 45- 65.010, effective Aug. 28, 1995. Rescinded:

11 CSR 45-65.020 Specific Licenses {#sec-11-csr-45-65.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-65.020}

50.020. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effective Jan. 12, 1987. Moved to 11 CSR 45- 65.020, effective Aug. 28, 1995. Rescinded:

11 CSR 45-65.030 Fees {#sec-11-csr-45-65.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-65.030}

Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

History

• AUTHORITY: section 313.640.2, RSMo 1986. This rule originally filed as 12 CSR 50- 50.030. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effective Jan. 12, 1987. Amended: Filed Oct. 13, 1987, effective Jan. 14, 1988. Moved to 11 CSR 45-65.030, effective Aug. 28, 1995.

11 CSR 45-65.035 Prohibited Acts {#sec-11-csr-45-65.035 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-65.035}

50.035. Original rule filed Oct. 3, 1986, effective Jan. 12, 1987. Moved to 11 CSR 45- 65.035, effective Aug. 28, 1995. Rescinded:

11 CSR 45-65.040 Duties of Specific Licensees {#sec-11-csr-45-65.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-65.040}

50.040. Original rule filed Oct. 3, 1986, effective Jan. 12, 1987. Amended: Filed Oct. 13, 1987, effective Jan. 14, 1988. Amended:

Filed Dec. 28, 1987, effective June 11, 1988.

Moved to 11 CSR 45-65.040, effective Aug. 28, 1995. Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

JOHNR. ASHCROFT(6/30/18)

Chapter 67 Patrons

11 CSR 45-67.010 Ejection of Patrons {#sec-11-csr-45-67.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-67.010}

(Rescinded July 30, 2018)

Filed Dec. 7, 2017, effective July 30, 2018.

JOHNR. ASHCROFT(6/30/18)

History

• AUTHORITY: section 313.560(4), RSMo 1986. This rule originally filed as 12 CSR 50- 60.010. Emergency rule filed June 20, 1986, effective June 30, 1986, expired Oct. 13, 1986. Original rule filed Oct. 3, 1986, effective Jan. 12, 1987. Moved to 11 CSR 45- 67.010, effective Aug. 28, 1995. Rescinded:

Chapter 70 Conduct of Races

11 CSR 45-70.010 Rules of Racing—Harness {#sec-11-csr-45-70.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-70.010}

70.010. Emergency rule filed June 20, 1986, effective June 30, 1986, expired Oct. 13, 1986. Original rule filed Oct. 16, 1986, 70.010, effective Aug. 28, 1995. Rescinded:

11 CSR 45-70.011 Rules of Racing—Thoroughbred and Quarter Horse {#sec-11-csr-45-70.011 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-70.011}

70.011. Original rule filed Oct. 16, 1986, 70.011, effective Aug. 28, 1995. Rescinded:

11 CSR 45-70.012 Claiming {#sec-11-csr-45-70.012 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-70.012}

70.012. Original rule filed Oct. 16, 1986, 70.012, effective Aug. 28, 1995. Rescinded:

11 CSR 45-70.040 Bleeder List {#sec-11-csr-45-70.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-70.040}

Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

JOHNR. ASHCROFT(6/30/18)

History

• AUTHORITY: sections 313.540 and 313.700, RSMo 1986. This rule originally filed as 12 CSR 50-70.040. Emergency rule filed June 20, 1986, effective June 30, 1986, expired Oct. 13, 1986. Original rule filed Oct. 3, 1986, effective Jan. 12, 1987. Moved to 11 CSR 45-70.040, effective Aug. 28, 1995.

Chapter 80 Pari-Mutuel Wagering Systems

11 CSR 45-80.010 General {#sec-11-csr-45-80.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.010}

80.010. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 80.010, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.020 Pools Authorized {#sec-11-csr-45-80.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.020}

80.020. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effective Jan. 12, 1987. Emergency amendment filed July 14, 1987, effective July 24, 1987, expired Sept. 30, 1987. Amended: Filed July 14, 1987, effective Nov. 12, 1987. Moved to 11 CSR 45-80.020, effective Aug. 28, 1995.

Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

11 CSR 45-80.030 Win Pool {#sec-11-csr-45-80.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.030}

80.030. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 80.030, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.040 Place Pool {#sec-11-csr-45-80.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.040}

80.040. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 80.040, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.050 Show Pool {#sec-11-csr-45-80.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.050}

80.050. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 80.050, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.060 Daily Double Pool {#sec-11-csr-45-80.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.060}

80.060. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 80.060, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.070 Quinella Pool {#sec-11-csr-45-80.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.070}

80.070. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 80.070, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.080 Exacta Pool (also Known as Perfecta) {#sec-11-csr-45-80.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.080}

80.080. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 80.080, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.090 Trifecta (Triple) Pool {#sec-11-csr-45-80.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.090}

80.090. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 80.090, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.091 Twin Trifecta (Double Triple) Pool {#sec-11-csr-45-80.091 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.091}

80.091. Emergency rule filed July 14, 1987, effective July 24, 1987, expired Sept. 30, 1987. Original rule filed July 14, 1987, effective Nov. 12, 1987. Moved to 11 CSR 45- 80.091, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.100 Refunds {#sec-11-csr-45-80.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.100}

80.100. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 80.100, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.110 Race Cancelled {#sec-11-csr-45-80.110 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.110}

80.110. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 80.110, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.120 Totalisator Breakdown {#sec-11-csr-45-80.120 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.120}

80.120. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 80.120, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.130 Minimum Wager and Payoff 80.130. {#sec-11-csr-45-80.130 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.130}

JOHNR. ASHCROFT(6/30/18)

Emergency rule filed June 20, 1986, effective June 30, 1986, expired Oct. 13, 1986. Original rule filed Oct. 3, 1986, effective Jan. 12, 1987. Moved to 11 CSR 45-80.130, effective Aug. 28, 1995. Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

11 CSR 45-80.140 Odds or Payoffs Posted {#sec-11-csr-45-80.140 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.140}

80.140. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 80.140, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.150 Betting Explanation {#sec-11-csr-45-80.150 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.150}

80.150. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 80.150, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.160 Pools Dependent Upon Entries {#sec-11-csr-45-80.160 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.160}

80.160. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 80.160, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.170 Pari-Mutuel Ticket Sales {#sec-11-csr-45-80.170 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.170}

80.170. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 80.170, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.180 Payment {#sec-11-csr-45-80.180 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.180}

80.180. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 80.180, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.190 Responsibility for Posting Results {#sec-11-csr-45-80.190 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.190}

80.190. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 80.190, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.200 Verification of Payoffs {#sec-11-csr-45-80.200 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.200}

80.200. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 80.200, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.210 Over and Under Payments of Payoffs {#sec-11-csr-45-80.210 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.210}

80.210. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 80.210, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.220 Coupled Betting Interests {#sec-11-csr-45-80.220 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.220}

80.220. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 80.220, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.230 Emergency Situations {#sec-11-csr-45-80.230 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.230}

80.230. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 80.230, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.240 Totalisator Employees {#sec-11-csr-45-80.240 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.240}

80.240. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effec- 80.240, effective Aug. 28, 1995. Rescinded:

11 CSR 45-80.250 Remission of Outs and Breakage {#sec-11-csr-45-80.250 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-80.250}

80.250. Emergency rule filed June 20, 1986, 1986. Original rule filed Oct. 3, 1986, effective Jan. 12, 1987. Amended: Filed July 12, 1988, effective Nov. 11, 1988. Moved to 11 CSR 45-80.250, effective Aug. 28, 1995.

Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

4CODE OF STATE REGULATIONS

(6/30/18) JOHNR. ASHCROFT

Chapter 90 Hearing Rules

11 CSR 45-90.010 Judges’ Summary Hearings {#sec-11-csr-45-90.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-90.010}

rule filed July 18, 1986, effective July 28, 1986, expired Nov. 15, 1986. Original rule filed Oct. 3, 1986, effective Jan. 12, 1987.

Moved to 11 CSR 45-90.010, effective Aug. 28, 1995. Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

History

• AUTHORITY: sections 313.540, 313.650.2 and 313.650.3, RSMo 1986. This rule originally filed as 12 CSR 50-90.010. Emergency

11 CSR 45-90.020 Appeal of the Decision of the Judges {#sec-11-csr-45-90.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-90.020}

History

• AUTHORITY: sections 313.540 and 313.650.3, RSMo 1986. This rule originally filed as 12 CSR 50-90.020. Emergency rule Oct. 3, 1986, effective Jan. 12, 1987. Moved to 11 CSR 45-90.020, effective Aug. 28, 1995. Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

11 CSR 45-90.025 Appeal of the Decision of the Commission Staff {#sec-11-csr-45-90.025 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-90.025}

PURPOSE: This rule provides for an appeal to the commission from a decision of the commission staff and to set the requirements for the notice of appeal.

(1) Any decision of the commission staff may be appealed to the commission upon written notice of appeal made within seven (7) days after the order or ruling is issued in writing.

(A) The notice of appeal shall be in writing addressed to the commission or the executive director at the commission’s office in Jefferson City.

(B) The notice of appeal shall contain the signature of the appellant together with his/her current address. All future notices of any proceedings before the commission shall be mailed to the address contained in the appeal.

(C) The notice of appeal shall specifically refer to the ruling from which the appeal is taken or shall contain a copy of the ruling from which the appeal is taken.

(D) The notice of appeal shall set forth the reasons for the appeal.

(2) The appellant shall be responsible for any cost incurred in connection with any hearing held pursuant to an appeal under this rule.

(3) No licensee shall file any frivolous appeal. If the commission determines that an appeal is frivolous, they may find a further violation of the rules of the commission and assess an appropriate fine or suspension for the frivolous appeal.

(4) Notice of appeal shall be mailed to all other parties, if any.

Moved to 11 CSR 45-90.025, effective Aug. 28, 1995. *Original authority: 313.540, RSMo 1986; and 313.650, RSMo 1986.

History

• AUTHORITY: sections 313.540 and filed as 12 CSR 50-90.025. Original rule filed Oct. 16, 1986, effective Feb. 12, 1987.

11 CSR 45-90.030 Appeals to the Commission to be Heard De Novo 313.650.3, RSMo 1986. {#sec-11-csr-45-90.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-90.030}

This rule originally filed as 12 CSR 50-90.030. Emergency rule Oct. 3, 1986, effective Jan. 12, 1987. Moved to 11 CSR 45-90.030, effective Aug. 28, 1995. Rescinded: Filed Dec. 7, 2017, effective July 30, 2018.

11 CSR 45-90.040 Executive Director Designated Hearing Officer {#sec-11-csr-45-90.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-90.040}

PURPOSE: This rule designates the executive director as the hearing officer for the commission and to delegate him/her certain powers.

(1) The executive director shall be the hearing officer for the commission for all purposes and is empowered to make all decisions concerning hearings on behalf of the commission.

(2) The executive director is additionally empowered to— (A) Administer oaths or affirmations to witnesses;

(B) Issue subpoenas or when necessary subpoenas for the production of documents and things;

(C) Rule on all questions of evidence;

(D) Consider and rule on all motions which may be filed during the course of the proceedings; and (E) Make orders and rulings as may be required to maintain order and decorum at any hearing.

(3) The executive director may designate an employee of the Horse Racing Commission to have the authority to issue subpoenas under subsection (2)(A) of this rule.

(4) The executive director shall cause verbatim transcripts of the hearing before him/her to be produced and distributed to the commission together with his/her proposed findings of facts, conclusions of law and any further opinion which s/he, at his/her sole discretion, may prepare. filed as 12 CSR 50-90.040. Emergency rule Oct. 3, 1986, effective Jan. 12, 1987. Moved to 11 CSR 45-90.040, effective Aug. 28,

11 CSR 45-90.050 Waiver of Hearing {#sec-11-csr-45-90.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-90.050}

PURPOSE: This rule provides for waiver of hearings after notice of appeal has been filed and to denominate failure to appear without good cause as a waiver of hearing.

(1) Any licensee who has appealed the hearing of the judges may waive or withdraw the appeal by filing a written notice of his/her withdrawal with the commission; and the licensee shall be bound by the election and may not request an additional appeal or other formal hearing before the commission.

(2) The failure of any licensee to appear without good cause at any hearing before the commission which has been properly noticed under these rules shall be considered a withdrawal of the appeal.

(A) The commission shall give notice to the licensee that the failure to appear has been considered a withdrawal of the appeal.

(B) The commission shall consider any reason for nonappearance which may be offered, provided the offer is made within thirty (30) days of the notice of withdrawal.

(C) If good cause, they may reset the hearing at the time as the interest of justice may JOHNR. ASHCROFT(6/30/18) require. filed as 12 CSR 50-90.050. Emergency rule expires Nov. 15, 1986. Original rule filed Oct. 3, 1986, effective Jan. 12, 1987. Moved to 11 CSR 45-90.050, effective Aug. 28,

11 CSR 45-90.060 Notice of Hearing {#sec-11-csr-45-90.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-90.060}

PURPOSE: This rule provides for notice of hearings.

(1) All hearings before the commission shall be held in Jefferson City, Missouri unless otherwise provided in the notice of hearing.

(2) Notice of hearing shall be mailed to all interested parties at least ten (10) days prior to the hearing date.

(3) The commission, for good cause shown, may continue any hearing at the request of any interested party or on its own motion. filed as 12 CSR 50-90.060. Emergency rule Oct. 3, 1986, effective Jan. 12, 1987. Moved to 11 CSR 45-90.060, effective Aug. 28,

11 CSR 45-90.070 Prehearing Conferences and Stipulations {#sec-11-csr-45-90.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-90.070}

PURPOSE: This rule authorizes prehearing conferences and to delineate their scope.

(1) The executive director shall have the

(A) All prehearing conferences will be held by order of the executive director with reasonable notice of the time and place for the conference to all parties to the hearing.

(B) Any party or the legal counsel for any party may petition the executive director to hold a prehearing conference at any time prior to the hearing. The executive director may order a prehearing conference upon the petition.

(C) The party or counsel who will actually handle the hearing shall be present at all prehearing conferences unless excused by the executive director. All parties to the hearings may appear in person or with counsel at any prehearing conference.

(2) The parties or their counsels in attendance at prehearing conferences shall be prepared to discuss all of the following items:

(A) The simplification of the issues;

(B) The necessity or desirability of combining or consolidating any issues which are the subject of a different request for hearing under these rules to avoid needless duplication and additional expense to the parties.

The executive director shall have the authority to consolidate hearings and, on consent, hold hearings for multiple licensees;

(C) The possibility of obtaining admissions of fact or the admissibility of any documents or evidence;

(D) The limitation of the number of expert or character witnesses and the identification of witnesses.

1. The executive director shall have

2. If witnesses are ordered exchanged, no witness may be called in the case-in-chief who is not on the witness list;

(E) Any prehearing motions which may have been filed in the case;

(F) The timing of discovery not yet completed and a date beyond which discovery may no longer be used;

(G) The anticipated length of the hearing and the time and location of the hearing; and (H) Other matters as may be necessary or desirable in the disposition of the hearing.

(3) The director may issue orders after a prehearing conference concerning any subject discussed and may set forth facts over which there is no substantial dispute. The orders shall be binding on the parties and shall foreclose evidence on the issues excluded or facts found. The order shall be subject to any included in the findings of fact and/or conclusions of law and subject to review as provided in section 313.650, RSMo.

(4) The parties may enter into stipulations as to some or all of the facts either as a result of the prehearing conference or otherwise. A stipulation shall not preclude the offering of additional evidence by any party unless an order under section (3) of this rule is entered.

Parties may also stipulate to a violation and suspension for any period as a result of a prehearing conference or otherwise. If a suspension is stipulated, the executive director shall enter a consent order in accordance with the stipulation and shall vacate the notice of formal hearing. All stipulations under this section shall be signed by the party and all attorneys of record. filed as 12 CSR 50-90.070. Emergency rule Oct. 3, 1986, effective Jan. 12, 1987. Moved to 11 CSR 45-90.070, effective Aug. 28, 1995.

History

• authority to set prehearing conferences for those hearings in which the executive director deems the conference to be helpful or desirable in expediting any hearing of the commission.
• authority to order the exchange of lists of proposed witnesses who may be called in a party’s case-in-chief.

11 CSR 45-90.080 Deliberations of the Commission {#sec-11-csr-45-90.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 45-90.080}

PURPOSE: This rule provides that the deliberations of the commission in a contested case shall be a closed meeting.

(1) The commission shall consider the transcript of the hearing, the executive director’s findings of fact and conclusions of law and any opinion. The commission may adopt the decision of the director including his/her findings of fact and conclusions of law and opinion; may modify any finding of fact or conclusion of law or any portion of any opinion; or may issue its own findings of fact, conclusions of law and may issue any opinion if the commission believes the opinion to be desirable.

(2) The deliberations of the commission concerning the evidence presented, its adoption of the executive director’s findings of fact and conclusions of law or its determinations of the issues in any hearing shall be closed to the public to insure free consideration of all the issues by the commissioners. filed as 12 CSR 50-90.080. Emergency rule Oct. 3, 1986, effective Jan. 12, 1987. Moved to 11 CSR 45-90.080, effective Aug. 28, 4CODE OF STATE REGULATIONS (6/30/18) JOHNR. ASHCROFT

Division 50 Missouri State Highway Patrol

Chapter 1 General Organization

11 CSR 50-1.010 Organization and Operations {#sec-11-csr-50-1.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-1.010}

PURPOSE: This rule describes the organization and methods of operation of the Missouri State Highway Patrol.

(1) Under the Omnibus State Reorganization Act of 1974, the Missouri State Highway Patrol was transferred to the Department of Public Safety. The Missouri State Highway Patrol is headed by a superintendent appointed by the governor, by and with the advice and consent of the senate. The superintendent is directly responsible to the director of public safety.

(2) The primary purpose of the Missouri State Highway Patrol is to ìenforce the traffic laws and promote safety upon the highwaysî as specified in Chapter 43, RSMo. In addition to traffic laws, the Missouri State Highway Patrol is empowered to enforce all criminal laws and is available to help enforce the laws at the request of authorized law enforcement officials.

(3) The superintendent of the Missouri State Highway Patrol holds the rank of colonel.

The superintendent appoints the lieutenant colonel, the majors, captains, director of radio, lieutenants and the additional force of sergeants, corporals and troopers necessary.

(4) General Headquarters in Jefferson City houses these staff divisions: Aircraft Operations, Construction and Maintenance, Criminal Laboratory, Criminal Investigation, Driver and Vehicle Regulations, Finance and Supply, Information Systems, Motor Equipment, Personnel, Planning and Research, Records, Safety Education and Information, and Training. The remaining division, Communications, is located at Troop F Headquarters, also in Jefferson City.

(5) For administrative purposes the state is divided into nine (9) districts known as troops; in these troops are stationed the majority of the Missouri State Highway Patrolís complement of officers. Each troop headquarters is open twenty-four (24) hours every day of the year to serve and protect the public.

(6) Any person desiring information or assistance on any matter falling within the scope of patrol operations should contact one of these Missouri State Highway Patrol headquarters facilities:

(A) General Headquarters, 1510 E. Elm, P.O. Box 568, Jefferson City, MO 65102, (573) 751-3313ó751-3695 (night);

(B) Troop A, P.O. Box 158, 504 E. Blue Parkway, Leeís Summit, MO 64063, (816) 524-1407ó524-6200;

(C) Troop B, P.O. Box 247, Macon, MO 63552, (816) 385-2132;

(D) Troop C, P.O. Box 3756, Kirkwood, MO 63122, (314) 434-5500;

(E) Troop D, P.O. Box 3393, Glenstone Station, Springfield, MO 65804, (417) 869- 1525;

(F) Troop E, P.O. Box 579, Poplar Bluff, MO 63901, (573) 785-5757;

(G) Troop F, 2413 E. McCarty, P.O. Box 568, Jefferson City, MO 65102, (573) 751- 1000;

(H) Troop G, P.O. Box 10, Willow Springs, MO 65793, (417) 469-3121;

(I) Troop H, 3625 N. Belt, P.O. Box 447, St. Joseph, MO 64502, (816) 233-0291; and (J) Troop I, Nagogami Road West, P.O.

Box 128, Rolla, MO 65401, (573) 364-1215.

MATTBLUNT(12/31/01)*

Chapter 1óGeneral Organization11 CSR 50-1

History

• AUTHORITY: section 536.023, RSMo 1986. Original rule filed Dec. 31, 1975, effective Jan. 10, 1976. Amended: Filed Aug. 16, 1979, effective Nov. 11, 1979. Original authority: 536.023, RSMo 1975, amended 1976, 1997.

Chapter 2 Motor Vehicle Inspection

11 CSR 50-2.350 Applicability of Motor Vehicle Emission Inspection {#sec-11-csr-50-2.350 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.350}

11 CSR 50-2.380 Inspector/Mechanic Licensing {#sec-11-csr-50-2.380 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.380}

(Rescinded April 30, 2000). . . . . . . . . . . . . . . . 45

11 CSR 50-2.403 Missouri Analyzer System (MAS) Display and Program Requirements {#sec-11-csr-50-2.403 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.403}

11 CSR 50-2.405 Vehicle Inspection Certificate, Vehicle Inspection Report and Printer {#sec-11-csr-50-2.405 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.405}

11 CSR 50-2.407 Documentation, Logistics and Warranty Requirements {#sec-11-csr-50-2.407 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.407}

11 CSR 50-2.420 Procedures for Conducting Only Emission Tests {#sec-11-csr-50-2.420 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.420}

11 CSR 50-2.010 Definitions {#sec-11-csr-50-2.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.010}

PURPOSE: This rule defines the meaning of words and terms used throughout the inspection rules.

(1) The following words and terms as used in these rules shall have the following meaning:

(A) Approval certificate is a safety inspection certificate provided to the vehicle owner in print format, or in a digital format approved by the Missouri State Highway Patrol, which indicates a motor vehicle has passed a motor vehicle safety inspection;

(B) Autocycle is a three-wheeled motor vehicle in which the drivers and passengers ride in a partially or completely enclosed non-straddle seating area, that is designed to be controlled with a steering wheel and foot pedals, and that has met applicable Department of Transportation National Highway Safety Administration requirements or federal motorcycle safety standards.

(C) Commercial motor vehicle is a motor vehicle designed or regularly used for carrying freight and merchandise or more than eight (8) passengers;

(D) Decal is a gummed decalcomania that is applied to a motorcycle, motor tricycle, or autocycle on an exterior location other than the windshield when the vehicle has passed a motor vehicle safety inspection;

(E) Inspection station record is a safety inspection certificate maintained in print format or in a digital format approved by the Missouri State Highway Patrol in the records of the safety inspection station at which a motor vehicle safety inspection is performed;

(F) Inspector/mechanic is any automotive mechanic issued a permit by the superintendent of the Missouri State Highway Patrol to conduct inspections;

(G) Motorcycle is a motor vehicle operated on two (2) wheels;

(H) Motor tricycle is a motor vehicle operated on three (3) wheels, including a motorcycle while operated with any conveyance, temporary or otherwise, requiring the use of a third wheel. A motor tricycle shall not be included in the definition of all-terrain vehicle;

(I) Motor vehicle is any self-propelled vehicle not operated exclusively upon tracks, except farm tractors;

(J) Lights, lamps, and signaling devices consisting of multiple light emitting diodes shall be deemed to function properly if no less than seventy-five percent (75%) of the light emitting diodes of such light, lamp, or signaling device is operational;

(K) Rejection notice is a safety inspection certificate provided to the vehicle owner in print or digital format, which indicates a motor vehicle has failed a motor vehicle safety inspection;

(L) Revocation is the rescinding of an inspection permit for a period of one (1) year;

(M) Safety inspection certificate is a certificate of inspection, in print format or in a digital format approved by the Missouri State Highway Patrol, completed by a licensed inspector/ mechanic, which documents the findings of a motor vehicle safety inspection or a vehicle identification number and odometer reading verification performed at a licensed motor vehicle safety inspection station.

(N) School bus is any motor vehicle used solely to transport students to and from school or to transport students to or from any place for educational purposes.

1. A Type “A” school bus is a van conversion or bus constructed utilizing a cutaway front-section vehicle with a left side driver’s door. The entrance door is behind the front wheels. This definition includes two (2) classifications: Type A1, with a Gross Vehicle Weight Rating (GVWR) less than or equal to ten thousand pounds (10,000 lbs.); and Type A2, with a GVWR of greater than ten thousand pounds (10,000 lbs.).

2. A Type “B” school bus is constructed utilizing a stripped chassis. The entrance door is behind the front wheels. This definition includes two (2) classifications: Type B1, with a GVWR less than or equal to ten thousand pounds (10,000 lbs.); and Type B2, with a GVWR greater than ten thousand pounds (10,000 lbs.).

3. A Type “C” school bus is constructed utilizing a chassis with a hood and fender assembly. The entrance door is behind the front wheels.

4. A Type “D” school bus is constructed utilizing a stripped chassis. The entrance door is ahead of the front wheels;

(O) Sticker is a gummed label or decalcomania that is applied to the windshield of a motor vehicle when the vehicle meets the inspection requirements;

(P) Suspension is the temporary removal of an inspection permit for a period of thirty (30) days to three hundred sixtyfour (364) days.

(Q) Trailer is any vehicle without motor power designed for carrying property or passengers on its own structure and for being drawn by self-propelled vehicles, except those running exclusively on tracks, including a semitrailer or vehicle of the trailer type designed and used in conjunction with a selfpropelled vehicle that a considerable part of its own weight rests upon and is carried by the towing vehicle;

(R) Truck-tractor is any self-propelled motor vehicle designed and used primarily for drawing other vehicles and not constructed to carry a load other than a part of the weight of the vehicle and load being drawn; and (S) Vehicle owner is any person, firm, corporation, or association who holds the legal title to a vehicle, or in the event a vehicle is the subject of an agreement for the conditional sale or lease thereof with the right of purchase upon performance of the conditions stated in the agreement and with an immediate right of possession vested in the conditional vendee or lessee, or in the event a mortgagor of a vehicle is entitled to possession, then such conditional vendee or lessee or mortgagor shall be deemed the owner for the purpose of this chapter. The term “vehicle owner” also shall include any person renting or leasing a vehicle and having exclusive use of the vehicle for a period longer than thirty (30) days, the holder of a lessee title or the agent or personal representative of an owner as defined in this rule.

Nov. 4, 1968, effective Nov. 14, 1968. Amended: Filed March 3, 1969, effective March 13, 1969. Amended: Filed March 9, 1970, Nov. 19, 1971. Amended: Filed May 21, 1974, effective May 31, 1974.

Amended: Filed Jan. 12, 1982, effective April 11, 1982. Amended: and rule filed March 12, 1997, effective April 15, 1997, expired Sept. 30, 1997. Rescinded and readopted: Filed March 12, 1997, effective Sept. 30, 1997. Amended: Filed Sept. 15, 2003, effective March 30, 2004. Amended: Filed Nov. 18, 2014, effective July 30, 2015. Emergency amendment filed Oct. 19, 2017, effective Oct. 29, 2017, expired April 26, 2018. Amended: Filed Oct. 19, 2017, effective May 30, 2018. Amended: Filed Jan. 11, 2019, effective July 30, 2019.

Amended: Filed July 12, 2024, effective Jan. 30, 2025.

State v. Cushman, 451 SW2d 17 (1970). While an executive officer may not be delegated the power to make and promulgate rules of a strictly and exclusively legislative nature, the general assembly, having established a sufficiently definite policy, may authorize an administrative officer to make rules or orders relating to the administration or enforcement of the law. In other words, administrative power, as distinguished from legislative power, constitutionally may be delegated by the general assembly. . . section 304.720 (transferred in 1969 to 307.360) directs the superintendent of the state highway patrol to “establish standards and procedures to be followed in the making of inspections required by” the motor vehicle safety inspection laws.

11 CSR 50-2.020 Minimum Inspection Station Requirements {#sec-11-csr-50-2.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.020}

PURPOSE: This rule lists the minimum requirements for all official vehicle inspection stations. These requirements are necessary to insure that stations have the proper premises, equipment, and personnel to perform inspections in a uniform manner and in accordance with the inspection rules.

(1) Premises.

(A) Each inspection station must have an inspection area within an enclosed building of sufficient length, width, and height to accommodate the type of vehicle being inspected.

Class A and D stations are required to accommodate a commercial vehicle. Class B stations must accommodate a standard full-size passenger vehicle. Class C stations are required to have sufficient length and width to inspect full-size motorcycles.

1. In addition to an inside area, an outside area may be approved for— A. Inspection of commercial vehicles at Class B stations;

B. Inspection of motor tricycles and autocycles at Class C stations.

2. The area shall be substantially level and constructed of hard material, such as asphalt or concrete. It shall be a part of and adjacent to the official vehicle inspection station.

(B) The station must be in compliance with applicable city, county, and state regulations relating to zoning, merchant licensing, fictitious name, and retail sales tax number.

(C) The inside inspection area shall be sufficiently lighted, adequately heated, and properly ventilated.

(D) The floor must be substantially level and constructed of a hard material. Dirt, gravel and bituminous surface or sagging wood floors will not be accepted. The floor must be kept clean, free from excessive dirt, grease, and loose material.

(E) If the station has only one (1) inspection area, no major mechanical repair work shall be permitted in the inspection area during normal business hours.

(F) Public inspection stations shall be located on an allweather road and be readily accessible to the motoring public without entering the station premises by the opening of gates or other similar barriers.

(G) Operational changes, except the addition or deletion of inspector/mechanics, unless the deletion of an inspector/ mechanic results in no inspector/mechanic for the station, affecting the current station application must be submitted to the Missouri State Highway Patrol immediately.

(2) Equipment.

(A) All inspection stations, except Class C, must have the following equipment which must be arranged and located at or near the inside inspection area:

1. Brake lining gauge. A gauge will be required to determine the remaining thickness in fractions of an inch of both bonded and riveted linings;

2. Brake pad gauge. Some type of gauging device to accurately measure the remaining thickness of the brake pad in fractions of an inch while the pad is within the caliper assembly;

3. Ball joint gauge. A ball joint gauge to accurately measure any looseness in the load-carrying ball joint. The gauge must be adapted to measure vertical (up and down) and horizontal (side-to-side) movement;

4. Lift or jack. A lift or jack, capable of hoisting a vehicle properly to check ball joints, suspension linkage, and wheel play. If a lift is used, it must be the type which allows the front wheels to be suspended by lifting under the outer extremity of a motor vehicle’s lower control arm, cross member, or frame;

5. Scraper. A scraper to remove old stickers;

6. Measuring device. Yardstick or steel tape preferred;

7. A tire tread depth gauge that is graduated into onethirty-second inch (1/32") increments must be part of the equipment at inspection stations that inspect school buses;

8. A one-eighth inch (1/8") drawstring over thirty inches (30") in length with a one-half inch (1/2") hex nut attached to one (1) end to check handrails is required if the station will be inspecting school buses.

(B) Class C inspection stations must have the following equipment:

1. Brake pad gauge. Some type of gauging device to accurately measure the remaining thickness of the brake pad in fractions of an inch while the pad is within the caliper assembly;

2. Ball joint gauge. A ball joint gauge to accurately measure any looseness in the load-carrying ball joint. The gauge must be adapted to measure vertical (up and down) and horizontal (side-to-side) movement;

3. A jack or lifting mechanism capable of lifting the vehicle so at least one (1) wheel is off the ground; and 4. Measuring device.

(3) Personnel.

(A) Minimum of one (1) inspector/mechanic, except for a short period of time due to illness or annual vacation.

(B) Each inspection station will designate, on the station application, a person in charge of inspections who is responsible for the daily operation of the station ensuring that complete and proper inspections are being performed. The employee to be in charge of inspections will be present at the inspection station during the station’s hours of inspection, except for short periods of time, such as illness or annual vacation.

Nov. 19, 1971. Amended: Filed May 21, 1974, effective May 31, 1974.

Amended: Filed Dec. 1, 1975, effective Dec. 11, 1975. Amended:

Filed Sept. 1, 1977, effective Dec. 11, 1977. Amended: Filed Aug. 16, 1979, effective Nov. 11, 1979. Amended: Filed July 14, 1982, effective Oct. 11, 1982. Amended: Filed Sept. 16, 1985, effective Jan. 1, 1986.

Amended: Filed Aug. 30, 1989, effective Nov. 26, 1989. Amended:

Filed April 2, 1992, effective Sept. 6, 1992. Amended: Filed June 2, 1993, effective Nov. 8, 1993. Emergency rescission filed Jan. 28, 1997, effective Feb. 7, 1997, expired Aug. 1, 1997. Emergency

rule filed Jan. 17, 1997, effective Feb. 3, 1997, expired Aug. 1, 1997.

Rescinded and readopted: Filed Jan. 17, 1997, effective July 30, 1997.

Emergency amendment filed Aug. 15, 2001, effective Aug. 28, 2001, expired Feb. 28, 2002. Amended: Filed Aug. 15, 2001, effective Feb. 28, 2002. Amended: Filed Sept. 15, 2003, effective March 30, 2004.

Filed July 12, 2024, effective Jan. 30, 2025.

11 CSR 50-2.030 Inspection Station Classification {#sec-11-csr-50-2.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.030}

PURPOSE: This rule provides different classifications of public inspection stations and lists the type vehicle each class of station is authorized and equipped to inspect.

(1) Public inspection stations shall be classified as follows:

(A) Class A stations are authorized to inspect all vehicles;

(B) Class B stations are authorized to inspect, at a minimum, standard full-size passenger vehicles and pickups.

1. Class B stations are authorized to inspect larger vehicles, including commercial vehicles that can fit inside their inspection bay.

2. Class B stations are eligible to apply for authorization to inspect commercial vehicles at an outdoor location approved by the Missouri State Highway Patrol.

3. Class B station are eligible to apply for authorization to inspect motorcycles, motor tricycles, and autocycles;

(C) Class C stations are only authorized to inspect motorcycles, motor tricycles, and autocycles.

1. Class C stations are eligible to apply for authorization to inspect motor tricycles and autocycles at an outdoor location approved by the Missouri State Highway Patrol; and (D) Class D stations are only authorized to inspect commercial motor vehicles.

Nov. 19, 1971. Amended: Filed May 21, 1974, effective May 31, 1974.

Amended: Filed Sept. 1, 1977, effective Dec. 11, 1977. Amended: and rule filed March 12, 1997, effective April 15, 1997, expired Sept. 30, 1997. Rescinded and readopted: Filed March 12, 1997, effective Sept. 30, 1997. Amended: Filed Jan. 11, 2019, effective July 30, 2019.

Amended: Filed Oct. 30, 2020, effective June 30, 2021.

11 CSR 50-2.040 Private Inspection Stations {#sec-11-csr-50-2.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.040}

PURPOSE: This rule lists the vehicles that private inspection stations may inspect and other responsibilities that apply only to private stations.

(1) A private official vehicle inspection station permit will be issued to any association, person, partnership, corporation, subsidiary corporation or governmental entity, provided its facilities, equipment and personnel meet the requirements prescribed for a public inspection station.

(A) A private inspection station shall inspect only vehicles registered or to be registered, titled or to be titled in the name of the person or organization described on the application for a permit or which are maintained under a written maintenance agreement of one (1)-year duration.

(B) Before any vehicles which are maintained under a written maintenance agreement can be inspected, a copy of the maintenance agreement must accompany the application for a private station permit or be on file at the Motor Vehicle Inspection Division, Jefferson City, Missouri.

(C) All inspection rules, standards and procedures shall apply to private inspection stations.

Nov. 19, 1971. Amended: Filed May 21, 1974, effective May 31, 1974.

Op. Atty. Gen. No. 253, Hockaday (6-18-68). The superintendent of the Missouri State Highway Patrol may issue private official inspection station permits to automobile dealers, municipalities and other governmental entities having one or more vehicles, trailers, or both, with a gross weight in excess of six thousand pounds.

11 CSR 50-2.050 Inspection Station Permits {#sec-11-csr-50-2.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.050}

PURPOSE: This rule prescribes uniform procedures for the licensing of inspection stations. These procedures are necessary to insure that fees are collected according to law for each applicant and that sufficient stations are licensed to perform inspections.

(1) Any person, firm, corporation, partnership or governmental entity requesting appointment as an official inspection station shall submit a completed inspection station application.

(2) The fee for a permit to operate a public or private inspection station is ten dollars ($10) per year. No fee shall be charged for a permit issued to a governmental entity. A permit is valid for one (1) year from the date of issue. Each permit shall be renewed on or before the expiration date. A completed inspection station application shall be accompanied by a check or money order made payable to the director of revenue and forwarded to the Missouri State Highway Patrol, Motor Vehicle Inspection, PO Box 568, Jefferson City, MO 65102-0568. Under no circumstances will cash be accepted for the permit fee.

(3) No permit issued to an inspection station may be transferred or used at any other location. Any change in ownership or location shall cancel the station permit. The Missouri State Highway Patrol must be notified immediately when a change of ownership or location occurs or when a station discontinues (4) When an inspection station permit has been suspended or revoked, or when a station discontinues operation, all inspection supplies must be released on demand to a motor vehicle inspector or a member of the Missouri State Highway Patrol. The failure to account for all inspection supplies will be sufficient cause not to reinstate a station permit.

(5) No motor vehicle inspection station license will be issued to a spouse, child(ren), son/daughter-in-law, employee or any person having an interest in the business for the privilege to conduct inspections at the same location or in close proximity to the location of a station whose license is under suspension or revocation, unless the applicant can provide reasonable assurance that the licensee under suspension or revocation will not be employed, manage, assist in the station operation or otherwise benefit finan cially from the operation of the business in any way.

Nov. 19, 1971. Amended: Filed May 21, 1974, effective May 31, 1974.

Amended: Filed Dec. 1, 1975, effective Dec. 11, 1975. Amended: Filed Aug. 16, 1979, effective Nov. 11, 1979. Amended: Filed Nov. 13, 1992, effective May 6, 1993. Emergency rescission and rule filed March 12, 1997, effective April 15, 1997, expired Sept. 30, 1997. Rescinded and readopted: Filed March 12, 1997, effective Sept. 30, 1997.

Amended: Filed Sept. 15, 2003, effective March 30, 2004.

Op. Atty. Gen. No. 127, Hockaday (5-25-72). Section 307.365(5), RSMo (Supp. 1971), dealing with the refunding of moneys for vehicle safety inspection stickers of those inspection stations which discontinue operation or are suspended or revoked, is applicable only to those inspection stations which discontinued operation or were suspended or revoked after the effective date of

section 307.365(5), RSMo (Supp. 1971), September 28, 1971.

11 CSR 50-2.060 Display of Permits, Signs, and Poster {#sec-11-csr-50-2.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.060}

PURPOSE: This rule requires inspection station operators and inspector/mechanics to display inspection permits, the official sign, and poster. This is necessary to identify the station as an official vehicle inspection station and to identify inspector/ mechanics.

(1) The station permit must be framed under clean glass and displayed in a conspicuous location discernible to those presenting vehicles for inspection.

(2) The inspector/mechanic permit must be framed under clean glass and displayed in a conspicuous location discernible to those presenting vehicles for inspection.

(3) The sign designating the station as a public inspection station shall be displayed in a location visible to the traveling public. This is not required for private stations.

(4) The Notice to Vehicle Owner poster must be framed under clean glass and displayed in a conspicuous location discernible to those presenting vehicles for inspection. This is not required for private stations or stations owned by government entities.

Nov. 19, 1971. Amended: Filed May 21, 1974, effective May 31, 1974.

Amended: Filed April 3, 1995, effective Sept. 30, 1995. Emergency rescission and rule March 12, 1997, effective April 15, 1997, expired Sept. 30, 1997. Rescinded and readopted: Filed March 12, 1997, effective Sept. 30, 1997. Amended: Filed July 12, 2024, effective Jan. 30, 2025.

11 CSR 50-2.070 Hours of Operation {#sec-11-csr-50-2.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.070}

PURPOSE: This rule lists the minimum hours of operation for inspection stations and the obligation of the station operator to inspect vehicles. This rule is necessary to ensure that stations will be open and available for inspection purposes.

(1) The normal business hours of every public motor vehicle safety inspection station shall be at least eight (8) continuous hours per day, five (5) days per week, except for businesses licensed as part-time motor vehicle safety inspection stations.

(2) Inspection station operators, inspector/mech anics, or both, are obligated to conduct inspections and reinspections of vehicles during normal business hours. A vehicle shall be inspected within a two- (2-) hour period after being presented unless other vehicles are being inspected. A reinspection must begin within one (1) hour when a vehicle is presented during the twenty (20) consecutive-day period excluding Saturdays, Sundays, and state holidays allowed by law for reinspections.

(3) The superintendent of the Missouri State Highway Patrol may, at his/her discretion, authorize the licensing of part-time motor vehicle safety inspection stations for businesses that do not operate within a traditional forty- (40-) hour work week.

A business that is open forty (40) or more hours per week is not eligible for licensing as a part-time motor vehicle safety inspection station.

(A) Part-time motor vehicle safety inspection stations must be open to the public during all business hours established at the time of application.

(B) The Missouri State Highway Patrol shall consider only business hours between the hours of 6 a.m. and 10 p.m. for the calculation of normal business hours of part-time motor vehicle safety inspection stations.

(C) Normal business hours for part-time motor vehicle safety inspection stations will be, at a minimum, twenty (20) hours per calendar week, and must be posted on the Notice to Vehicle Owner poster.

(D) Regardless of normal business hours posted on the Notice to Vehicle Owner poster, part-time motor vehicle safety inspection stations shall be required to perform motor vehicle safety inspections at any time the business is open between the hours of 6 a.m. and 10 p.m.

(E) A business licensed as a part-time motor vehicle safety inspection station is prohibited from operating a station in a facility that is used by another business licensed as a motor vehicle inspection station.

(4) The superintendent of the Missouri State Highway Patrol may, at his/her discretion, cease the licensing of part-time motor vehicle safety inspection stations. Should the licensing of part-time motor vehicle safety inspection stations cease, all part-time stations shall be allowed to remain as part-time inspection stations until expiration of the current licensing period, and no renewal of the license shall be completed.

Nov. 19, 1971. Amended: Filed May 21, 1974, effective May 31, 1974.

Amended: Filed Sept. 1, 1977, effective Dec. 11, 1977. Amended: Filed Aug. 15, 1983, effective Nov. 11, 1983. Amended: Filed July 12, 2024, effective Jan. 30, 2025.

11 CSR 50-2.080 Licensing of Inspector/Mechanics {#sec-11-csr-50-2.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.080}

PURPOSE: This rule lists minimum requirements and licensing procedures for inspector/mechanics. These requirements and procedures are necessary to insure that inspections are performed by persons with sufficient training, experience, and knowledge to perform the inspections uniformly and in accordance with the inspection rules.

(1) Every person requesting appointment as an inspector/ mechanic shall submit a completed inspector/mechanic application.

(2) An inspector/mechanic must have at least one (1) year of practical experience as an automotive mechanic or must have completed a course of vocational instruction in automotive mechanics from a generally recognized educational institution, either public or private, or must have successfully completed the Motor Vehicle Inspection Field Training Program of the Missouri State Highway Patrol. All inspector/mechanics must be at least seventeen (17) years of age and able to read the written instructions.

(3) An inspector/mechanic must be thoroughly familiar with the contents of the inspection manual and must have passed a written test indicating knowledge of its contents. An inspector/ mechanic will also be required to demonstrate practical knowledge by inspecting a vehicle. A minimum grade of eighty (80) is required to pass each written examination, practical examination, or reexamination.

(4) An inspector/mechanic permit will be issued without charge. Permits are valid for a period of three (3) years from the date of issuance or until suspended or revoked by the superintendent of the Missouri State Highway Patrol. An inspector/ mechanic whose permit has been suspended or revoked shall be required to pass a reexamination before the permit will be reinstated.

(5) An inspector/mechanic may be reexamined at any time, and if s/he fails the reexamination or refuses to be reexamined, the permit issued to him/her shall be suspended. If an inspector/ mechanic fails a reexamination, s/he cannot again be tested until a period of thirty (30) days has elapsed.

(6) A permit may be renewed before the expiration date or sixty (60) days after expiration without a reexamination. An inspector/mechanic does not have authority to conduct any inspections during the sixty- (60-) day grace period unless the permit has been properly renewed.

(7) Two (2) types of inspector/mechanic permits are available— (A) A permit that restricts the inspector/mechanic to motorcycle, motor tricycle, and autocycle inspections only; and (B) A permit that authorizes the inspector/mechanic to safety inspect motor vehicles.

Aug. 23, 1970. Amended: Filed Nov. 9, 1971, effective Nov. 19, 1971.

Filed May 21, 1974, effective May 31, 1974. Amended: Filed Dec. 1, 1975, effective Dec. 11, 1975. Amended: Filed Sept. 1, 1977, effective Dec. 11, 1977. Amended: Filed Jan. 16, 1978, effective April 13, 1978. and rule filed March 12, 1997, effective April 15, 1997, expired Sept. 30, 1997. Rescinded and readopted: Filed March 12, 1997, effective Sept. 30, 1997. Amended: Filed Feb. 1, 2000, effective July 30, 2000.

Filed March 16, 2022, effective Oct. 30, 2022.

11 CSR 50-2.090 Inspection Station Operational Requirements {#sec-11-csr-50-2.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.090}

PURPOSE: This rule lists the responsibilities of inspection station operators and inspector/mechanics. These procedures are necessary for compliance with the inspection law and to ensure proper inspection of vehicles.

(1) The inspection fee, including the issuance of the safety inspection certificate, sticker, or decal, may be charged for each inspection as established by state statute. Every inspection must be a complete inspection before a vehicle may be approved or rejected. Once an inspection has begun it shall not be terminated until a complete and proper inspection has been made. Every item of vehicular equipment that is required to be inspected shall be inspected according to prescribed procedures before an approval certificate, rejection notice, or inspection sticker or decal is issued. A proper and complete inspection consists of a physical inspection of the vehicle and the immediate completion and issuance of safety inspection certificates at the time the vehicle is inspected.

(2) All inspections must be conducted at the inspection station in the approved inside inspection area, except that large commercial vehicles, motor tricycles, and autocycles unable to fit within the approved inside inspection area may be inspected in an approved outside inspection area during good weather only.

(3) The inspection of a vehicle shall be made only by an individual who has a valid inspector/mechanic permit, except a person without a valid permit may assist by operating the lights and signaling devices.

(4) No person without a valid inspector/mechanic permit shall issue an approval certificate, a rejection notice, an inspection sticker, or decal.

(5) No owner, operator, or employee of an inspection station shall furnish, loan, give, or sell an approval certificate, inspection sticker, or decal to any person except those entitled to receive it.

(6) All current manuals, bulletins, or other rules issued by the superintendent of the Missouri State Highway Patrol must be read and initialed by the station owner or operator and each inspector/mechanic, and must be available at all times for ready reference.

(7) When an inspector/mechanic or a person authorized to purchase inspection stickers or decals resigns or is dismissed, the station owner or operator must report these changes when contacted by a motor vehicle inspector or a member of the Missouri State Highway Patrol.

(8) If the highway patrol is asked to settle a difference of opinion between the vehicle owner and an inspection station owner or an inspector/mechanic concerning the inspection standards and procedures, the decisions of the highway patrol concerning inspection standards and procedures will be final.

(9) Up-to-date inspection records shall be available during normal business hours for examination by any motor vehicle inspector or member of the Missouri State Highway Patrol.

(10) Inspection stickers, decals, and safety inspection certificates will be kept under lock to prevent them from being lost, damaged, or stolen. If stickers, decals, or safety inspection certificates are lost, damaged, or stolen, they shall be reported immediately to the Missouri State Highway Patrol.

(11) Inspection station operators are permitted to advertise as official inspection stations.

Nov. 19, 1971. Amended: Filed May 21, 1974, effective May 31, 1974.

Amended: Filed Feb. 26, 1975, effective March 8, 1975. Amended:

Filed Sept. 1, 1977, effective Dec. 11, 1977. Amended: Filed May 9, 1978, effective Aug. 11, 1978. Amended: Filed Sept. 12, 1984, effective Jan. 1, 1985. Amended: Filed April 2, 1992, effective Sept. 6, 1992. Emergency amendment filed Aug. 3, 1992, effective Aug. 28, 1992, expired Dec. 25, 1992. Emergency amendment filed Nov. 2, 1992, effective Dec. 26, 1992, expired April 24, 1993. Amended:

Filed Aug. 3, 1992, effective Feb. 26, 1993. Amended: Filed June 2, 1993, effective Nov. 8, 1993. Emergency rescission and rule filed March 12, 1997, effective April 15, 1997, expired Sept. 30, 1997.

Rescinded and readopted: Filed March 12, 1997, effective Sept. 30, 1997. Amended: Filed Feb. 1, 2000, effective July 30, 2000.

Filed July 12, 2024, effective Jan. 30, 2025.

11 CSR 50-2.100 Requisition of Inspection Stickers, Authorities, and Decals {#sec-11-csr-50-2.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.100}

PURPOSE: This rule establishes uniform procedures for inspection stations to follow in the requisition of inspection stickers, safety inspection authorities, emission inspection authorities, and decals to simplify the ordering process and collection of funds. In addition, the rule establishes requirements of station operators to order and keep a sufficient number of inspection stickers, safety inspection authorities, emission inspection authorities, or decals on hand to meet their needs.

(1) Inspection stickers will be used on the windshield of passenger and commercial motor vehicles. Inspection stickers will be sold only in complete books of twenty (20) stickers at a cost of thirty dollars ($30) per book.

(A) In lieu of inspection stickers, safety inspection authorities, for use with Gateway Vehicle Inspection Program (GVIP) analyzers, will be sold at a cost of one dollar and fifty cents ($1.50) each.

(B) Emission inspection authorities, for use with Gateway Vehicle Inspection Program (GVIP) analyzers, will be sold at a cost of two dollars and fifty cents ($2.50) each.

(2) Inspection decals will be used for motorcycle, motor tricycle, and autocycle inspections. Inspection decals will be sold only in complete books of twenty (20) decals at a cost of thirty dollars ($30) per book.

(3) All stations will keep a sufficient number of inspection stickers and/or decals on hand to meet their needs. Except in extenuating circumstances, and with the approval of the Missouri State Highway Patrol, stations will be limited to one (1) requisition per month, allowing for sufficient time delay to prevent stations from depleting their stock of required supplies.

(4) The Requisition for MVI Supplies (SHP-455) will be used when ordering stickers or decals. The Requisition for Gateway Vehicle Inspection Program (GVIP) Supplies (SHP-453) will be used by safety and emission stations with GVIP analyzers when ordering safety inspection authorities, emission inspection authorities, or decals. Requisitions must be accompanied by a check or money order made payable to the director of revenue in the correct amount for the order. The requisition and payment shall be mailed to the Missouri State Highway Patrol, Motor Vehicle Inspection, PO Box 568, Jefferson City, MO 65102. If a personal check is returned for any reason because of nonpayment, personal checks will no longer be accepted from that station. Stations that submit a check that is returned for nonpayment are subject to administrative action, including suspension and revocation, and criminal prosecution. Cash will not be accepted under any circumstances. Orders for stickers and decals will be shipped to the station’s address as listed on the station application or most recent amendment. No fee is charged for inspection stickers, authorities, or decals issued to governmental entities.

(5) Motor vehicle safety inspection stickers, motorcycle/ autocycle inspection decals, safety inspection authorities, or emissions inspection authorities may be ordered online by utilizing the Missouri State Highway Patrol website. Only public and private stations may submit online orders. All online orders require payment by electronic check or credit card.

(6) Inspection stations may exchange unused expired inspection stickers and decals for the same number of current issue. A request to exchange stickers must be accompanied by a Return Of Expired Stickers/Decals Form (SHP-466) properly completed with the numbers of the stickers/decals being returned recorded in the appropriate locations. The stickers or decals must be submitted for exchange no later than April 30 of the calendar year following their expiration. Stickers may be exchanged for decals and vice versa. A station may be sent portions rather than full books. Exchange stickers and decals will be shipped separately from other orders. 4, 1968, effective Nov. 14, 1968. Amended: Filed Oct. 28, 1969, effective Nov. 7, 1969. Amended: Filed Dec. 5, 1969, effective Dec. 15, 1969. Amended: Filed March 9, 1970, effective March 19, 1970.

Amended: Filed Jan. 27, 1971, effective Feb. 6, 1971. Amended: Filed Nov. 9, 1971, effective Nov. 19, 1971. Amended: Filed May 21, 1974, effective May 31, 1974. Amended: Filed Feb. 26, 1975, effective March 8, 1975. Amended: Filed March 3, 1980, effective June 12, 1980. Emergency amendment filed Aug. 3, 1992, effective Aug. 28, 1992, expired Dec. 25, 1992. Emergency amendment filed Nov. 2, 1992, effective Dec. 26, 1992, expired April 24, 1993. Amended:

Filed Aug. 3, 1992, effective Feb. 26, 1993. Emergency rescission Nov. 30, 1997. Amended: Filed Feb. 1, 2000, effective July 30, 2000.

Amended: Filed Nov. 18, 2014, effective July 30, 2015. Amended:

Filed Jan. 11, 2019, effective July 30, 2019. Amended: Filed July 12, 2024, effective Jan. 30, 2025.

11 CSR 50-2.110 Issuance of Inspection Stickers and Decals {#sec-11-csr-50-2.110 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.110}

PURPOSE: This rule establishes uniform procedures for inspection station operators and inspector/mechanics to follow when issuing inspection stickers and decals. These procedures are necessary to ensure proper accountability and a record of each sticker and decal issued.

(1) An inspection sticker or decal shall be issued immediately following an inspection or reinspection if the vehicle meets the inspection requirements. The sticker or decal shall immediately be properly affixed to the vehicle by the inspector/mechanic who performed the inspection or reinspection.

(2) When an inspection sticker is issued, the inspector/ mechanic shall legibly complete the information required on the reverse side of the inspection sticker. Previous inspection stickers affixed to the windshield shall be removed. The inspector/mechanic shall affix the current inspection sticker on the inside of the vehicle’s windshield in the lower left-hand corner. On motor vehicles not equipped with a windshield, the inspector/mechanic shall issue a properly validated inspection decal and affix it to the vehicle’s dash or steering column.

(3) Location for placement of decals.

(A) When an inspection decal is issued for a motorcycle or motor tricycle, it shall be affixed in an upright position on the left side of the steering fork sleeve at a visible location near the slider tube. When such location is not available, the decal shall be affixed in an upright position to the frame in a visible location on the front left side of the vehicle.

(B) When an inspection decal is issued for an autocycle, it shall be affixed in an upright position to the left front corner of a glass windshield. If any autocycle is not equipped with a glass windshield, the decal will be affixed in an upright position at a visible location on the left front frame or on the driver’s side rollbar.

(4) Stations will issue inspection stickers or decals from only one (1) book at a time, starting with their lowest numbered book.

(5) All covers from used books of both stickers and decals will be retained by the inspection station.

(6) Inspection stickers or decals issued to an inspection station can be used only by that station.

Nov. 19, 1971. Amended: Filed May 21, 1974, effective May 31, 1974.

Amended: Filed Feb. 26, 1975, effective March 8, 1975. Amended:

Filed Sept. 1, 1977, effective Dec. 11, 1977. Amended: Filed April 2, 1992, effective Sept. 6, 1992. Amended: Filed Oct. 3, 1994, effective readopted: Filed May 15, 1997, effective Nov. 30, 1997. Amended:

Filed Jan. 11, 2019, effective July 30, 2019. Amended: Filed July 12, 2024, effective Jan. 30, 2025.

11 CSR 50-2.120 Safety Inspection Certificate {#sec-11-csr-50-2.120 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.120}

PURPOSE: This rule provides uniform procedures for the proper use of the MVI-2 form. These procedures are necessary to ensure that correct and complete information is recorded on the form.

The completed form is needed to evaluate inspections conducted at each station and provides a record of inspections performed.

The form is also used as a receipt for vehicle owners.

(1) The safety inspection certificate, in print or digital format, will be used as an approval certificate, rejection notice, and station record.

(A) When completed in print format, the safety inspection certificate shall be signed by the inspector/mechanic who inspected the vehicle; the appropriate copy of the certificate shall be provided to the vehicle owner.

(B) When completed in digital format, the safety inspection certificate may be requested by the vehicle owner, in print or digital format.

(C) Safety inspection certificates in print format will be issued by the Missouri State Highway Patrol to inspection stations by number without charge. Safety inspection certificates in print format are eligible for use only by the station to which they are properly issued. A station owner shall be accountable for each set.

(D) Safety inspection certificates may be accessed by official motor vehicle safety inspection stations in a digital system of the Missouri State Highway Patrol, when such digital system exists. A station owner shall be accountable for all digital safety inspection certificates accessed/completed by station personnel and will assure that only station personnel authorized by the Missouri State Highway Patrol access the digital system.

(E) A safety inspection certificate, in print format or in a digital system of the Missouri State Highway Patrol, shall be completed in every instance when a vehicle is presented for inspection, and no part of the certificate shall be filled out until the vehicle has been presented for inspection.

All applicable blanks or spaces on the certificate shall be completely and accurately filled out in a legible manner. The inspector/mechanic shall obtain the identification number from the vehicle and accurately record the number on the certificate in the appropriate field. If a vehicle does not have an identification number, the inspector/mechanic shall write the word “None” on the certificate in the appropriate field. When utilizing safety inspection certificates in print format, stations will issue approval certificates or rejection notices from one (1) book at a time, twenty (20) sets to a book, using their lowest numbered book.

(2) Approval of Vehicle.

(A) If each item of equipment required to be inspected meets the inspection requirements, an inspection sticker or decal will be appropriately applied to the vehicle. If information available indicates the vehicle was repaired prior to the inspection (i.e., new tires, windshield, etc.), the appropriate box on the certificate shall be marked. The inspector/mechanic shall record the sticker or decal number on the certificate in the appropriate field.

(B) The safety inspection certificate, with approval indicated, shall be provided to the vehicle owner in print format. If the inspection is documented in a digital system of the Missouri State Highway Patrol, a copy shall be provided to the vehicle owner when requested. A safety inspection certificate indicating approval will not be issued, under any circumstances, without the issuance of an inspection sticker or decal.

(C) No inspection sticker number or decal number shall be recorded on the safety inspection certificate until the time a complete and proper inspection has been made and the vehicle described meets the minimum inspection standards established by rule; nor shall any signature of an inspector/ mechanic be recorded until the vehicle has been completely and properly inspected.

(3) Rejection of Vehicle.

(A) If any component fails to meet minimum inspection standards, the vehicle shall be rejected and the defect code(s) and description(s) shall be documented in the appropriate field(s) of the safety inspection certificate. If any defective component has prescribed tolerances or measurements, the measurement taken by the inspector/mechanic shall be recorded on the safety inspection certificate.

(B) If a load-carrying ball joint is rejected because of movement in excess of prescribed tolerances, the measured movement shall be recorded on the safety inspection certificate, with a notation regarding whether the movement is vertical or horizontal.

(C) The vehicle owner must be informed of the right to remove the vehicle and seek repair of defective components elsewhere. The inspector/mechanic shall provide their identifying information in the appropriate fields of the safety inspection certificate.

(D) Before any repairs are made by the inspection station at which the safety inspection was completed, the vehicle owner shall be provided with a written estimate, in print or digital format, of the total cost for the repair of identified defective (E) If the vehicle is removed from the inspection station without repair of defective components, a rejection notice shall be provided by the inspector/mechanic to the vehicle owner, in print or digital format. Such rejection notice shall indicate the vehicle was not approved, and shall document all defective components identified during the inspection; the station shall retain all remaining print format copies of the safety inspection certificate in station files, except that if documented in a digital system of the Missouri State Highway Patrol, stations are not required to maintain records in print format.

(F) When a previously rejected vehicle is returned for reinspection after repair, the owner should present the rejection notice to station personnel. Copies of the safety inspection certificate having control numbers that correspond with the owner’s rejection notice will be obtained from the station’s files, or accessed digitally if the initial inspection was documented in a digital system of the Missouri State Highway Patrol. A reinspection will consist of only those components that were rejected during the initial motor vehicle safety inspection. If, upon reinspection, the vehicle is approved, an inspection sticker or decal will be appropriately applied to the vehicle. The inspector/mechanic who made the reinspection shall complete all fields within the reinspection section of the safety inspection certificate. The safety inspection certificate, with approval indicated, shall be provided to the vehicle owner in print format. If the inspection is documented in a digital system of the Missouri State Highway Patrol, a copy shall be provided to the vehicle owner if requested. The station shall retain a copy of the safety inspection certificate in station files, except that if the inspection is documented in a digital system of the Missouri State Highway Patrol, the station is not required to maintain the record in print format.

(G) If the rejected vehicle is returned for a reinspection within twenty (20) consecutive days, excluding Saturdays, Sundays, and state holidays, no additional inspection fee can be charged for one (1) reinspection.

(4) Inspection Station Record.

(A) Inspection stations shall maintain a record, in print format, of any safety inspection certificate completed in print format, for a period of twenty-four (24) months from the date of inspection. Inspection station records are not required to be maintained in print format for safety inspections documented in a digital system of the Missouri State Highway Patrol.

(B) All print format safety inspection certificates that are voided will be marked “Void.” All voided sets will be maintained in station records for a period of twenty-four (24) months from the date of voidance.

(C) Missouri State Highway Patrol members or inspectors may review inspection station records at any time for any reason.

(5) If a vehicle owner loses a print format approval certificate, the vehicle owner may obtain, within sixty (60) calendar days, a replacement approval certificate at no charge from the inspection station which made the original inspection.

(A) If the original certificate was documented in a digital system of the Missouri State Highway Patrol, the digital system shall be used by the station, upon request, to provide a duplicate.

(B) If the original certificate was completed in print format, the inspection station shall obtain information for a replacement approval certificate from the inspection station’s records, create a duplicate safety inspection certificate with the words “Replacement Certificate” written across the front, provide the appropriate copy to the vehicle owner, and file the remaining copies in station files. 4, 1968, effective Nov. 14, 1968. Amended: Filed Oct. 28, 1969, effective Nov. 7, 1969. Amended: Filed March 9, 1970, effective March 19, 1970. Amended: Filed Aug. 13, 1970, effective Aug. 23, 1970. Amended: Filed Sept. 24, 1970, effective Oct. 4, 1970.

Amended: Filed Nov. 9, 1971, effective Nov. 19, 1971. Amended:

Filed Aug. 17, 1972, effective Aug. 27, 1972. Amended: Filed May 21, 1974, effective May 31, 1974. Amended: Filed Dec. 1, 1975, effective Dec. 11, 1975. Amended: Filed Jan. 12, 1982, effective April 11, 1982. Amended: Filed Aug. 15, 1983, effective Nov. 11, 1983.

Nov. 30, 1997. Amended: Filed Aug. 15, 2001, effective Feb. 28, 2002.

Amended: Filed July 12, 2024, effective Jan. 30, 2025.

11 CSR 50-2.130 Violation of Laws or Rules Penalty {#sec-11-csr-50-2.130 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.130}

PURPOSE: This rule advises inspection station operators and inspector/mechanics that compliance with the inspection law and the official inspection rules is required. A failure to comply subjects the inspection station operator or inspector/mechanic to a warning, suspension or revocation of inspection permits and arrest. A permit holder is entitled to a hearing before a suspension or revocation of any inspection permit.

(1) All inspection station operators and inspector/mechanics shall comply with the motor vehicle inspection law and the motor vehicle inspection rules. All inspections shall be conducted in accordance with the motor vehicle inspection rules. Failure to comply with the motor vehicle inspection law or the motor vehicle inspection rules will subject the inspection station operator and inspector/mechanic to a warning, suspension or revocation of inspection permits and arrest.

(2) Before any inspection station permit or inspector/mechanic permit is suspended or revoked by the superintendent of the Missouri State Highway Patrol, the holder will be given the opportunity to have an administrative hearing as provided by law.

Nov. 19, 1971. Amended: Filed May 21, 1974, effective May 31, 1974. *Original authority 1967, amended 1971, 1973, 1979.

11 CSR 50-2.140 Sale of Vehicles for Junk, Salvage, or Rebuilding {#sec-11-csr-50-2.140 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.140}

PURPOSE: This rule prescribes the form which shall be used when a vehicle is sold for junk, salvage, or for rebuilding and not inspected under the motor vehicle inspection regulations. This is a requirement of section 307.380, RSMo.

(1) When a vehicle is sold for junk, salvage, or for rebuilding, the purchaser must give to the seller an affidavit signed before a notary public stating that the vehicle is being purchased for that purpose. A copy of the affidavit will be given to the buyer.

The affidavit shall be written in the prescribed manner and shall contain the following information:

March 9, 1970, effective March 19, 1970. Amended: Filed Nov. 9, 1971, effective Nov. 19, 1971. Amended: Filed May 21, 1974, effective May 31, 1974. Amended: Filed Aug. 16, 1979, effective Nov. 11, 1979.

Amended: Filed July 14, 1982, effective Oct. 11, 1982. Amended:

Nov. 30, 1997. Amended: Filed July 12, 2024, effective Jan. 30, 2025.

11 CSR 50-2.150 Brake Performance the inspection of brake performance. The inspection of brakes is a (1) A brake performance test shall be performed by an inspector/ mechanic on all single unit motor vehicles equipped with mechanical, hydraulic, or power assisted hydraulic service brakes. The brake performance test may be conducted by using any one (1) of the following procedures: a decelerometer test, a drive and stop test, a brake testing machine, or a dynamometer test. The selected test shall be conducted on the inspection station premises. {#sec-11-csr-50-2.150 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.150}

(A) Decelerometer Test. Mount and level decelerometer on vehicle. At a speed of five to twenty miles per hour (5–20 mph) apply service brake firmly. Observe decelerometer reading.

1. Reject vehicle if— A. The vehicle is unable to develop deceleration equal to or greater than that listed for its classification as prescribed in Table I.

(B) Drive and Stop Test. The inspector/mechanic shall operate the vehicle at a speed of five to twenty (5–20) mph and apply the service brakes firmly. In lieu of operating a commercial vehicle presented for inspection, the inspector/mechanic may observe the drive and stop test as it is performed by the presenter.

1. Reject vehicle if— A. The vehicle’s brakes fail to function or if the vehicle pulls significantly to either side.

(C) Brake Testing Machine. Drive vehicle onto brake testing machine. Apply brakes firmly at a speed from four to eight (4–8) mph without wheel lock-up. If a computerized brake testing machine is utilized, a copy of the results will be provided to the vehicle owner.

1. Reject vehicle if— A. The vehicle is not capable of developing evaluated braking force equal to or greater than that shown for its classification as prescribed in Table I. At least three (3) tests should be made before a vehicle is rejected;

B. Any wheel fails to indicate braking action;

C. The reading on any one (1) wheel is less than seventyfive percent (75%) of the reading on the other wheel on the same axle; or D. The braking force of both wheels on one (1) axle is more than seventy-five percent (75%) of the total force of all the wheels.

(D) Dynamometer Test. Test in accordance with the manufacturer’s instructions.

Table I Braking Force as a Percentage Deceleration Classification of Gross Vehicle in Feet Per of Vehicles or Combination Second Passenger vehicles with a seating capacity of 10 people or less including driver, not having a manufacturer’s Gross Vehicle Weight Rating 52.8% 17 Single unit vehicles with a manufacturer’s Gross Vehicle Weight Rating of 10,000 pounds or less 43.5% 14 Single unit vehicles with a manufacturer’s gross weight rating of more than 10,000 pounds 43.5% 14 Nov. 4, 1968, effective Nov. 14, 1968. Amended: Filed Dec. 5, 1969, Filed Dec. 1, 1975, effective Dec. 11, 1975. Amended: Filed Aug. 16, 1979, effective Nov. 11, 1979. Amended: Filed March 15, 1999, effective Sept. 30, 1999. Emergency amendment filed Feb. 1, 2000, effective July 1, 2000, expired Dec. 27, 2000. Amended: Filed Feb. 1, 2000, effective July 30, 2000. Amended: Filed Nov. 1, 2001, effective April 30, 2002. Amended: Filed March 16, 2022, effective Oct. 30, 2022.

11 CSR 50-2.160 Brake Components the inspection of brake components. The inspection of brakes is a (1) Hydraulic System. {#sec-11-csr-50-2.160 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.160}

(A) Pedal Reserve. With the vehicle stopped, apply moderate foot force on the brake pedal for at least one (1) minute and observe if the pedal moves slowly toward toe board.

1. Reject vehicle if:

A. Brake pedal moves slowly toward the toe board, indicating fluid leakage, while pedal pressure is maintained for one (1) minute;

B. Less than one-fifth (1/5) of the total available pedal travel remains;

C. Less than two-fifths (2/5) of total available pedal travel remains on a school bus; or D. The brake warning device or light comes on when the brake pedal is depressed. Do not inspect the anti-lock braking system warning device or light.

(B) Power Reserve. Determine if system is operating by first stopping engine, then depress brake pedal several times to destroy all vacuum in system. Depress pedal with a moderate foot force. While maintaining this force on the pedal, start engine; and observe if pedal falls slightly when engine starts.

Hydroboost system must have accumulator pressure for two (2) complete brake applications and should have return pressure against foot. If vehicle is equipped with electrohydraulic booster brake system, stop engine, turn ignition to the “on” position, depress brake pedal, and observe if electric pump, buzzer, and pump indicator lights operate. Inspect school buses manufactured after March 1, 1987, for audible or visible brake warning signals, or both.

1. Reject vehicle if:

A. Service brake pedal does not fall slightly as engine is started while pressure is maintained on pedal;

B. There is audible leakage in the vacuum system;

C. Hydroboost brake system does not have two (2) brake applications available;

D. Electric pump, buzzer, and pump indicator lights fail to function on vehicles equipped with electrohydraulic booster brake system; or E. School bus manufactured after March 1, 1987, is not equipped with proper audible or visible brake warning signals, or both, or signals fail to function.

(C) Master Cylinder. Inspect master cylinder for proper fluid, fluid level, fluid leakage, and play in push rod. Power master-type systems should have the brake pedal depressed ten to forty (10–40) times or until the pedal is firm, with the ignition off, before inspecting fluid level. Master cylinder reservoirs with distinctly marked minimum levels should be inspected with the cap on. Observe the fluid level to ensure it complies with the manufacturer’s suggested minimum level.

The cap will then be removed to inspect the gasket for fluid contamination, swelling, cracking, misshape, or tears.

1. Reject vehicle if:

A. Master cylinder contains fluid other than brake fluid, if master cylinder leaks, if fluid level is more than three-fourths inch (3/4") below top of reservoir;

B. Vehicle with disc brakes and dual hydraulic systems show the brake fluid level measuring more than one-half inch (1/2") below the top of the reservoir on master cylinders that have no manufacturer’s minimum markings;

C. Master cylinder brake fluid level is below the manufacturer’s minimum fluid level as marked on the reservoir;

D. There is no play in the push rod with brake pedal not depressed; or E. Master cylinder gasket is torn or misshaped.

(2) Drums, Discs, and Internal Brake Components. At least one (1) front or one (1) rear wheel and drum must be removed on each passenger vehicle, one-half (1/2) ton and three-quarter (3/4) ton pickup trucks, or similar type vehicles not equipped with dual rear wheels. Only the wheel must be removed on vehicles equipped with disc brakes. Identification marks shall be made on the wheel and lug before removal, so the wheel can be remounted in the same position to insure wheel balance. On drum brake systems, a new cotter pin must always be used when remounting a wheel and drum. The removal of a wheel and/or drum is not required if the brake performance test has been administered using an approved computerized brake testing machine. When an approved computerized brake testing machine is used, and no wheel is removed, the inspector shall mark through the space on the MVI-2 form provided for “Brake Inspected” with the letters “CBTM.” When removal of a wheel is required, a wheel appearing to leak brake fluid or grease, shall be the wheel removed to inspect for contamination. Wheels on four- (4-) wheel drive vehicles equipped exclusively with drum-type brakes are not required to be removed.

(A) Inspect drums, discs, calipers, linings, pads, wheel cylinders, hoses, lines, and other internal brake components.

1. Reject vehicle if— A. There are substantial cracks on the friction surface extending to open edge of drum or to the edge of a disc;

B. A brake drum or disc has external cracks;

C. Friction surface of disc brake pads, rotor, brake linings, or brake drum is contaminated with oil, grease, or brake fluid;

D. A brake lining is worn into the friction surface of the brake drum where the brake drum cannot be removed after loosening the adjusting screw (backing off of the self-adjusting mechanism);

E. Thinnest point of bonded lining is less than two thirty-seconds inch (2/32");

F. Rivets are loose or missing or if lining or pad is not firmly attached to shoe;

G. Riveted lining is worn to less than two thirty-seconds inch (2/32") above any rivet head at thinnest point;

H. Wire is visible on the friction surface of wire-backed linings;

I. Lining is broken or cracked, does not include heat cracks;

J. A primary or secondary shoe and lining is improperly installed;

K. Bonded pads are worn at any one (1) point to less than two thirty-seconds inch (2/32");

L. Riveted pads are worn at any one (1) point to less than six thirty-seconds inch (6/32"). If unable to determine if pads are riveted or bonded, pads will be considered to be bonded pads;

M. A wheel cylinder or caliper leaks a sufficient amount of hydraulic brake fluid to cause droplets. Do not mistake assembly fluid for hydraulic fluid;

N. Hoses or tubing leak or are cracked, chafed, flattened, restricted, bubbled, improperly installed, or insecurely fastened;

O. Mechanical parts are missing, broken, or badly worn;

P. There is excessive friction in brake pedal, linkage, or other components;

Q. Pedal levers are improperly positioned or misaligned;

R. Brake components are misaligned, binding, obstructed, or will not function properly.

Nov. 4, 1968, effective Nov. 14, 1968. Amended: Filed Dec. 5, 1969, Filed Dec. 1, 1975, effective Dec. 11, 1975. Amended: Filed Sept. 1, 1977, effective Dec. 11, 1977. Amended: Filed Jan. 16, 1978, effective April 13, 1978. Amended: Filed March 3, 1980, effective June 12, 1980. Amended: Filed Jan. 12, 1982, effective April 11, 1982.

Filed Aug. 14, 1987, effective Nov. 12, 1987. Amended: Filed April 2, 1992, effective Sept. 6, 1992. Amended: Filed June 2, 1993, effective Nov. 8, 1993. Amended: Filed Oct. 3, 1994, effective April 30, 1995.

Emergency rescission and rule filed May 15, 1997, effective June 16, 1997, expired Nov. 30, 1997. Rescinded and readopted: Filed May 15, 1997, effective Nov. 30, 1997. Amended: Filed March 15, 1999, effective Sept. 30, 1999. Emergency amendment filed Feb. 1, 2000, effective July 1, 2000, expired Dec. 27, 2000. Amended: Filed Feb. 1, 2000, effective July 30, 2000. Amended: Filed Sept. 15, 2003, effective March 30, 2004. Amended: Filed Oct. 3, 2005, effective March 30, 2006. Amended: Filed Oct. 30, 2020, effective June 30, 2021.

11 CSR 50-2.170 Air and Vacuum Brake Systems the inspection of air and vacuum brake systems. The inspection of brakes is a requirement of section 307.365, RSMo. {#sec-11-csr-50-2.170 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.170}

(1) Vehicles With a Vacuum Brake System.

(A) On vehicles equipped with a vacuum brake system, the engine should be allowed to run for one (1) minute to build vacuum. Inspect system for collapsed, broken, badly chafed and improperly supported hoses, tubes and loose or broken hose clamps. Depress brake pedal with moderate foot force. While maintaining this force on the pedal, start engine and observe if pedal falls slightly when engine starts. Build full vacuum, then shut off engine and make as many full brake applications as possible. On vehicles with low vacuum indicators, build full vacuum. Shut off engine and reduce vacuum by making a series of moderate brake applications. A flashing or buzzing signal should function when vacuum reaches eight inches (8") mercury.

1. Reject vehicle if— A. Hoses or tubes are collapsed, leaking, broken, badly chafed, improperly supported or loose because of broken clamps;

B. Service brake pedal does not fall slightly as engine is started while pressure is maintained on pedal;

C. Vacuum reserve is insufficient to make one (1) full application after engine shutoff;

D. Indicator fails to function when system is reduced to eight inches (8") mercury.

(2) Vehicles With an Air Brake System.

(A) The following inspection procedures apply to all motor vehicles equipped by the manufacturer with an air brake system:

1. With the engine running, ensure the brake system’s air pressure is ninety to one hundred pounds per square inch (90– 100 psi);

2. Shut the engine off and place the key in the auxiliary 3. Make one (1) brake and hold application to observe whether air pressure is maintained;

3. Complete a series of brake applications until the lowpressure warning light and/or buzzer operates. Continue brake applications until reaching fifty pounds per square inch (50 psi);

4. Start the engine and observe if the time to build air pressure from fifty to ninety pounds per square inch (50 to 90 psi) exceeds five (5) minutes;

5. Ensure the brake system reaches a full charge without exceeding one hundred twenty-five pounds per square inch (125 psi);

6. Inspect all air hoses and connections;

7. Inspect lines for contact with frame, axles, or exhaust system;

8. Inspect for leaks that may be heard from valves, diaphragms, and piston cups;

9. Inspect air safety valve; and 11. Inspect condition of compressor drive belts.

(B) Reject vehicle if— 1. Time required to build pressure from fifty to ninety (50– 90) psi exceeds five (5) minutes;

2. Low pressure warning light and/or buzzer fails to function when pressure is lowered to between fifty to seventy (50–70) psi;

3. Governor cut-out pressure exceeds one hundred twentyfive (125) psi;

4. Governor cut-in pressure is lower than eighty (80) psi;

5. Leakage in psi per minute exceeds three (3) psi for single vehicles and four (4) psi for combination of two (2) vehicles with brakes applied;

6. Leakage in psi per minute exceeds two (2) psi for single vehicles and three (3) psi for combination of two (2) vehicles with brakes released;

7. Air reserve is not sufficient to permit one (1) full brake application after engine is stopped;

8. Reservoir pressure is lowered more than twenty percent (20%) of first reading;

9. Leaks, breaks, crimps, or cracks in the air hoses, tubes, or connections are present;

10. Lines are being rubbed by moving parts or are touching the exhaust system;

11. Leaks in valves, diaphragms, or piston cups can be heard;

12. Air safety valve does not operate; or 13. Compressor drive belts are badly worn or loose.

(3) Air Brakes Adjustment.

(A) On vehicles equipped with cam brakes, mark each brake chamber push rod at the face of the brake chamber with the brakes released. Apply the air brakes fully, minimum air pressure eighty-five (85) psi, and measure the distance the push rod travels from the face of the chamber to the mark previously made when the brakes were released. This measurement is the push-rod stroke and is illustrated in Figure 1:

(B) Reject vehicle if the push-rod travel exceeds the maximum stroke listed in the following table:

(4) Commercial Vehicles Emergency and Parking Brakes.

(A) Every vehicle equipped exclusively with an air brake system and every commercial motor vehicle equipped with a vacuum, air over hydraulic, hydroboost, or electrohydraulic booster brake system shall be equipped with parking brakes adequate to hold the vehicle or combination on any grade upon which it is operated under any condition of loading, on a surface free from ice and snow. The parking brake shall be capable of being applied by the driver’s muscular effort or by spring action. Their operation may be assisted by the service brakes or other source of power, provided that failure of the service brakes or other power assisting mechanisms will not prevent the parking brakes from being applied. The parking brake shall be so designed that when once applied it shall remain in the applied position despite exhaustion of any source of energy or leakage of any kind. Emergency system— apply the emergency operating control fully or release air pressure from the spring brake actuators using the manual control valve. Observe locking and holding feature of the actuating mechanism. Observe operating mechanisms for bottoming before brakes are fully applied. Observe if spring brakes apply when control valve is manually operated. Inspect for worn, missing, or defective cotter pins, springs, rods, yokes, couplings, or anchor pins and cables. Observe if mechanism releases brakes when release control is operated.

(B) Reject vehicle if— 1. Operating mechanisms fail to hold brakes in applied position without manual effort;

2. Operating mechanism bottoms before brakes are fully applied;

3. Spring brakes fail to apply when control valve is operated;

4. Mechanical parts are missing, broken or badly worn or pull cables are badly worn, stretched, frayed or not operating freely; or 5. Brakes do not fully release when release control is operated.

Nov. 4, 1968, effective Nov. 14, 1968. Amended: Filed Dec. 5, 1969, Filed Dec. 1, 1975, effective Dec. 11, 1975. Amended: Filed March 3, 1980, effective June 12, 1980. Amended: Filed April 2, 1992, effective Sept. 6, 1992. Amended: Filed June 2, 1993, effective Nov. 8, 1993.

Emergency rescission and rule filed May 15, 1997, effective June 16, 1997, expired Nov. 30, 1997. Rescinded and readopted: Filed May 15, 1997, effective Nov. 30, 1997. Amended: Filed Nov. 1, 2001, effective April 30, 2002. Amended: Filed March 16, 2022, effective Oct. 30, 2022.

11 CSR 50-2.180 Lighting Equipment the inspection of lighting equipment. The inspection of lighting equipment is a requirement of section 307.365, RSMo. {#sec-11-csr-50-2.180 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.180}

(1) Headlights. Every motor vehicle, other than a motorcycle, shall be equipped with one (1) of the following types of headlighting systems which shall exhibit light substantially white in color (see headlight chart).

(A) Approved Headlamp Systems.

1. 177-mm diameter, 2D1 both upper and lower beam.

2. 146-mm diameter, 1C1 upper beam, 2C1 lower beam.

3. 142 × 200-mm rectangular, 2B1 both upper and lower 4. 100 × 165-mm rectangular, 1A1 and 1G1 upper beam, 2A1 and 2G1 lower beam and 2E1 and 2H1 both upper and lower 5. 92 × 150-mm rectangular, UF upper beam, LF lower 6. Replacement bulb headlamp.

A. 9004, 9007 replacement bulb, both upper and lower B. 9005 and 9006 together, upper and lower beam.

C. 9005 and 9006 in separate headlamps, upper and lower beam, respectively.

7. Headlights shall be mounted one (1) or two (2) on each side, depending upon application, at the same level.

(2) Beam Indicator. Every motor vehicle equipped with multiple beam headlights shall be equipped with a beam indicator which shall be lighted only when the high beam is in use.

(3) Taillights. All motor vehicles, except motorcycles, shall be equipped with at least two (2) taillights, mounted on the rear of the vehicle at the same level with at least one (1) on each side, not less than fifteen inches (15") or more than seventytwo inches (72") above the ground. These lights shall exhibit a plainly visible red light.

(4) Reflectors. Every 1966 and later model vehicle, except a motorcycle, must be equipped with two (2) red reflectors. A reflector may be in combination with the taillight and must be mounted on the rear, one (1) on each side, at a height not to exceed sixty inches (60") nor less than fifteen inches (15") above the surface upon which the vehicle stands.

(5) Inspect Vehicles for Proper Lighting Equipment. Do not inspect side marker lights, parking lights, four (4)-way flashers, backup lights, interior lights, license plate light or clearance lights.

(6) Reject vehicle if:

(A) Not equipped with the required lights or reflector;

(B) A light or reflector is obstructed;

(C) A required light fails to function properly;

(D) A light, reflector or electrical switch is not securely (E) A light or reflector shows color contrary to law;

(F) Wiring or electrical connectors are defective;

(G) A lens is missing, incorrectly installed, repaired with tape or broken to the extent that moisture or contamination could enter the reflective area or light socket;

(H) High beam indicator does not function properly;

(I) Physical damage is present that would obviously cause a headlight beam to be either above or below horizontal or to the left or right of vertical; or (J) A taillight or reflector is not mounted in the prescribed area. 4, 1968, effective Nov. 14, 1968. Amended: Filed Jan. 24, 1969, effective Feb. 3, 1969. Amended: Filed March 9, 1970, effective March 19, 1970. Amended: Filed Jan. 27, 1971, effective Feb. 6, 1971.

Amended: Filed Nov. 9, 1971, effective Nov. 19, 1971. Amended:

Filed May 21, 1974, effective May 31, 1974. Amended: Filed Dec. 1, 1975, effective Dec. 11, 1975. Amended: Filed July 1, 1976, effective Oct. 11, 1976. Amended: Filed Sept. 1, 1977, effective Dec. 11, 1977. readopted: Filed May 15, 1997, effective Nov. 30, 1997.

11 CSR 50-2.190 Signalling Devices the inspection of signalling devices. The inspection of signalling devices is a requirement of section 307.365, RSMo. {#sec-11-csr-50-2.190 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.190}

(1) Turn Signals. Turn signals installed by the manufacturer or their equivalent in number, size, and intensity shall be in operating condition. The front signal lights may be white or amber and may be in combination with the parking lights.

The rear signal lights may be red or amber, except when in combination with a taillight the lens must be red.

(2) Stoplights. Stoplights installed by the manufacturer or their equivalent in number, size, and intensity shall be in operating condition. Stoplights may be red or amber, except when in combination with the taillight the stoplight must be red.

Stoplights must operate when the service brake is applied.

(3) Every vehicle manufactured after January 1, 1954, must be equipped with mechanical or electrical turn signals and a stoplight if the distance from the center of the top of the steering post to the— (A) Left outside limit of the body, cab or load exceeds twentyfour inches (24"); and (B) Rear limit of the body or load exceeds fourteen feet (14').

The limit of fourteen feet (14') shall apply to both single and vehicle combinations.

(4) Inspect Vehicle for Proper Signalling Devices. The headlights must be on with the engine running, when inspecting the operation of the signalling devices and stoplights. Move turn signal lever up and down and observe function of turn signal lights.

(5) Reject vehicle if:

(A) Not equipped with the required signalling devices;

(B) A signalling device is obstructed;

(C) A required signalling device fails to function properly.

Do not reject if turn signal fails to self-cancel or will function properly by manually holding the lever in the engaged (D) A signalling device or electrical switch is not securely (E) A light shows color contrary to law;

(F) Wiring or electrical connectors are defective; or (G) A lens is missing, incorrectly installed, repaired with tape or broken to the extent that moisture or contamination could enter the reflective area or light socket.

Nov. 19, 1971. Amended: Filed May 21, 1974, effective May 31, 1974.

Amended: Filed Dec. 1, 1975, effective Dec. 11, 1975. Amended: readopted: Filed May 15, 1997, effective Nov. 30, 1997.

11 CSR 50-2.200 Steering Mechanisms the inspection of steering mechanisms. The inspection of steering mechanisms is a requirement of section 307.365, RSMo. {#sec-11-csr-50-2.200 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.200}

(1) Steering Wheel Play.

(A) An inspection for steering wheel play will consist of checking steering sector for looseness and binding condition.

If vehicle is equipped with power steering, the engine must be running and the fluid level and belt tension must be adequate before testing. Turn steering wheel through a full right and left turn. If equipped, inspect energy absorbing steering column.

(B) Inspect steering.

1. Reject vehicle if— A. Steering gear binds or jams other than at wheel stops;

B. There is more than two inches (2") of free movement in steering wheels up to and including eighteen inches (18") in diameter or more than three inches (3") in steering wheels over eighteen inches (18") in diameter;

C. Power steering belt slips, is frayed, if serpentine power steering belt has sections missing, if fluid level is below manufacturer’s minimum fluid level, if hoses or connections are leaking, if a power steering unit has been disconnected and has not been converted to manual steering, or if any component part is missing, loose, malfunctions, or leaks sufficient fluid to cause droplets;

D. Energy absorbing steering column is collapsed or partially collapsed;

E. Steering wheel and steering column are not properly secured; or F. Steering gear box or steering rack assembly is not securely mounted.

(2) Front and Rear Wheel Play.

(A) An inspection for front and rear wheel play, which includes steering linkage, pitman arm, idler arm, stabilizer bar(s), connections, link(s), wheel bearings, tie rod ends, and adjusting sleeves, can only be made by putting the ball joints under load. To load ball joints, the vehicle must be hoisted— 1. Under the frame if the spring or torsion bar is on the lower control arm (Figure 1, included herein);

2. Under lower control arm, close to ball joint, if spring or torsion bar is on upper control arm (Figure 2, included herein);

3. From the underside of axle (Figure 3, included herein) if the vehicle is equipped with king pins or Twin I-Beams with ball joints (Figure 10, included herein).

(B) Inspect front and rear wheel bearings by grasping the tire by both top and bottom, and rocking it in and out. To verify that any looseness detected is in the wheel bearings, notice the movement between the brake drum or disc and the backing plate or splash shield.

(C) Inspect front wheels, king pin (spindle bolts), and idler arm for play. On vehicles with power steering, the engine must be running. Eliminate all wheel bearing movement by first applying the service brake. Grasp front and rear of tire and attempt to turn assembly right and left. Then grasp top and bottom of tire and attempt to rock it in and out. Observe movement at extreme front and rear—top and bottom—of tire (Figures 4 and 5, included herein).

(D) Inspect all steering linkage, pitman arm, stabilizer bar(s), connections, link(s), tie rods, and adjusting sleeves for locked joints and looseness by working them up and down and back and forth by hand.

(E) Inspect condition of all upper and lower control arms, pivot shafts, pivot shaft mountings, radius arms, and all bushings.

1. Reject vehicle if— A. Wheel bearing looseness in an adjustable wheel bearing allows relative movement between drum and backing plate (disc and splash shield) of more than one-eighth inch (1/8") measured at the outer circumference of the tire for vehicles ten thousand pounds (10,000 lbs.) Gross Vehicle Weight Rating (GVWR) or less, or one-quarter inch (1/4") for vehicles more than ten thousand pounds (10,000 lbs.) GVWR;

B. A wheel bearing is broken, or falls apart when a wheel is removed to inspect a brake;

C. Front wheel movement is in excess of one-fourth inch (1/4") for wheels sixteen inches (16") or less, three-eighths inch (3/8") for wheels over sixteen inches (16") to and including eighteen inches (18"), and one-half inch (1/2") for wheels over eighteen inches (18") (see Figures 3, 4, and 5, included herein).

(An idler arm or king pin must meet this criteria before being rejected.);

D. Excessive vertical (up and down) or lateral (side) movement is evident in any of the steering linkage sockets, tapered studs are loose in their mounting holes, any movable joints are locked, any adjusting sleeves are loose, or any joints are not secured with cotter pins or other devices;

E. A sealed wheel bearing hub assembly exceeds the manufacturer-recommended wear specifications;

F. A control arm or radius arm is badly bent or broken, or if a pivot shaft or a pivot shaft mounting or any control arm, radius arm, pivot shaft bushing is badly worn or missing; or G. Stabilizer bar(s), links, or connections are badly worn, missing, loose, or broken.

(3) Springs and Shock Absorbers.

(A) A visual examination must be made of all springs, torsion bars, shock absorbers, bushings, shackles, and “U” bolts with the vehicle on a hoist or jack.

(B) Reject vehicle if— 1. Springs or torsion bars are loose, broken, or spring pieces or torsion bars are missing;

2. Spring shackles or “U” bolts are worn, missing, loose; or 3. A shock absorber is missing, disconnected, not securely attached, broken, or if rubber bushings or mounting bolts are worn-out or missing.

(4) Ball Joints.

(A) An inspection for ball joint wear can only be made when the joints are unloaded, except those ball joints having a wear indicator. An inspection of a ball joint which has a wear indicator must be made while the ball joint is under load with the weight of the vehicle on its wheels. To unload ball joints, the vehicle must be hoisted:

1. Under lower control arm if spring or torsion bar is on lower control arm (Figure 6, included herein). The lower ball joint is the load-carrying ball joint and the upper ball joint is the nonload-carrying ball joint; and 2. Under frame if spring or torsion bar is on upper control arm (Figure 7, included herein). The upper ball joint is the load-carrying ball joint and the lower ball joint is the nonloadcarrying ball joint.

(B) In checking the condition of an unloaded ball joint, a ball joint gauge need not be used if the inspector is absolutely certain that the ball joint movement does not exceed the manufacturing tolerances. A vehicle will not be rejected unless the vertical (up and down) or horizontal (side-to-side) movement in the load-carrying ball joint has been accurately measured by a ball joint gauge and the measurement exceeds the manufacturing tolerances. A vehicle requiring a special tool or method to measure ball joint movement will not be rejected unless the ball joint is obviously dangerous. Acceptable ball joint tolerances are determined by the manufacturer. If the ball joint movement exceeds manufacturing tolerances, the measured movement shall be listed with the defective part on the MVI-2 form (see 11 CSR 50-2.120).

(C) Inspect ball joints with wear indicator, as shown in Figures 8 and 9, included herein. Wipe the grease fitting and boss free from dirt and grease. Observe if boss is flush or inside the cover surface.

(D) Follow manufacturing recommendations to inspect ball joints without wear indicator.

(E) Inspect ball joints on Twin I-Beam axles using the following procedure. Eliminate all wheel bearing play by applying the service brake. Raise the vehicle by hoisting under the I-Beam axle beneath the spring as shown in Figure 10, included herein. Grasp the lower edge of the tire and move the wheel in and out. While the wheel is being moved, observe the lower spindle arm and the lower part of the axle jaw. Grasp the upper edge of the tire and move the wheel in and out.

While the wheel is being moved, observe the upper spindle arm and the lower part of the axle jaw. Movement of thirtyone thousandths inch (.031") or greater between the lower or upper portion of the I-Beam and ball joint indicates that a measurement should be made at the circumference of the wheel adjacent to the ball joint that exhibits movement.

(F) Reject vehicle if— 1. The grease fitting boss on the wear indicator type ball joint is flush or inside the cover surface;

2. MacPherson Strut Suspension System has severely worn or missing thrust bearing or mounting bushings. If piston rod is bent or unit is not securely mounted to vehicle;

3. There is free play in any direction in a nonload-carrying ball joint. If vertical (up and down) movement in a loadcarrying ball joint exceeds manufacturing tolerances; or 4. Any joints are not secured with cotter pins or other devices, or if ball stud is loose in the mounting hole.

Nov. 4, 1968, effective Nov. 14, 1968. Amended: Filed March 27, 1969, effective April 6, 1969. Amended: Filed March 9, 1970, effective March 19, 1970. Amended: Filed Sept. 24, 1970, effective Oct. 4, 1970. Amended: Filed Nov. 9, 1971, effective Nov. 19, 1971.

Filed May 21, 1974, effective May 31, 1974. Amended: Filed Feb. 26, 1975, effective March 8, 1975. Amended: Filed Dec. 1, 1975, effective Dec. 11, 1975. Amended: Filed June 14, 1976, effective Sept. 15, 1976.

Amended: Filed Sept. 1, 1977, effective Dec. 11, 1977. Amended:

Filed Jan. 16, 1978, effective April 13, 1978. Amended: Filed March 3, 1980, effective June 12, 1980. Amended: Filed Jan. 12, 1982, effective April 11, 1982. Amended: Filed July 14, 1982, effective Oct. 11, 1982. Amended: Filed Aug. 15, 1983, effective Nov. 11, 1983.

Filed Aug. 14, 1987, effective Nov. 12, 1987. Amended: Filed July 27, 1988, effective Oct. 27, 1988. Amended: Filed Feb. 16, 1990, effective May 11, 1990. Amended: Filed April 2, 1992, effective Sept. 6, 1992.

Amended: Filed June 2, 1993, effective Nov. 8, 1993. Amended: Filed Oct. 3, 1994, effective April 30, 1995. Emergency rescission and

rule filed March 2, 1998, effective April 1, 1998, expired Sept. 27, 1998. Rescinded and readopted: Filed March 2, 1998, effective Aug. 30, 1998. Amended: Filed March 15, 1999, effective Sept. 30, 1999.

Amended: Filed Sept. 15, 2000, effective March 30, 2001. Amended:

Filed Sept. 15, 2003, effective March 30, 2004. Amended: Filed Oct. 3, 2005, effective March 30, 2006. Amended: Filed Oct. 30, 2020, effective June 30, 2021.

11 CSR 50-2.210 Horn inspection of the horn. The inspection of the horn is a requirement of section 307.365, RSMo. {#sec-11-csr-50-2.210 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.210}

(1) Every motor vehicle shall be equipped with a horn directed forward, or whistle in good working order, capable of emitting a sound adequate in quantity and volume to give warning of the approach of the vehicle to other users of the highway and to pedestrians.

(2) Reject vehicle if:

(A) Vehicle is not equipped with a horn;

(B) Horn is not audible under normal conditions;

(C) Horn button or switch is not firmly mounted providing a good ground. If horn is actuated by grounding two (2) naked wires or a similar method; or (D) Horn button or switch is not readily accessible from driver’s position.

Nov. 19, 1971. Amended: Filed May 21, 1974, effective May 31, 1974.

Amended: Filed April 2, 1992, effective Sept. 6, 1992. Emergency Feb. 28, 1998. Rescinded and readopted: Filed Aug. 1, 1997, effective Jan. 30, 1998.

11 CSR 50-2.220 Mirrors inspection of mirrors. The inspection of mirrors is a requirement of (1) All motor vehicles which are so constructed or loaded that the operator cannot see the road behind by looking back or around the side of the vehicle shall be equipped with either an inside or outside mirror, or both, that will reveal the road behind. {#sec-11-csr-50-2.220 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.220}

(2) All motor vehicles which were equipped by the manufacturer with an inside mirror and all 1968 and later model vehicles manufactured with both an inside and a driver’s side outside mirror, shall be equipped in like manner. Do not inspect passenger side outside mirrors.

(3) Reject vehicle if:

(A) Forward vision is unsafely obstructed by mirror assembly;

(B) Mirror does not provide a clear view of highway to rear because of cracks, discoloration or improper mounting;

(C) Mirror is broken or has sharp edges exposed;

(D) Mirror is very difficult to adjust or will not maintain a set adjustment; or (E) There is no required mirror.

Nov. 19, 1971. Amended: Filed May 21, 1974, effective May 31, 1974.

Amended: Filed Aug. 14, 1987, effective Nov. 12, 1987. Amended: and rule filed Aug. 1, 1997, effective Sept. 2, 1997, expired Feb. 28, 1998. Rescinded and readopted: Filed Aug. 1, 1997, effective Jan. 30, 1998.

11 CSR 50-2.230 Windshield Wipers the inspection of windshield wipers. The inspection of windshield wipers is a requirement of section 307.365, RSMo. {#sec-11-csr-50-2.230 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.230}

(1) All front windshield wipers as equipped by the manufacturer shall be in operating condition.

(2) Inspect for operation, damaged or torn rubber blades, and for proper contact of blades with windshield. Raise wiper arm slightly away from windshield and release.

(3) Reject vehicle if:

(A) Windshield wipers fail to function;

(B) Rubber wiping element is damaged or torn;

(C) Part of blades or arms are missing or are severely damaged; or (D) The blades fail to contact the windshield firmly.

Nov. 19, 1971. Amended: Filed May 21, 1974, effective May 31, 1974.

Feb. 28, 1998. Rescinded and readopted: Filed Aug. 1, 1997, effective Jan. 30, 1998. Amended: Filed Nov. 18, 2014, effective July 30, 2015.

11 CSR 50-2.240 Tires the inspection of tires. The inspection of tires is a requirement of (1) Inspect all tires except the spare tire for tread wear, knots, cuts, separations, mismatching of tire types and for tire markings such as “reject” or “for non-highway use.” {#sec-11-csr-50-2.240 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.240}

(2) Reject vehicle if:

(A) A tire is worn at any location other than the wear indicator to the point where there is no tread configuration;

(B) There is a localized worn spot that exposes the cord;

(C) Tire has any cut or separation that exposes the cord when the tire is inflated or if the tire has any knots;

(D) A vehicle has a radial and a nonradial tire on the same axle;

(E) A tire is marked reject, rejected, not for highway use, farm use only, for nonhighway use, for race track use only, or marked with similar terms, or if determined beyond a reasonable doubt that these markings have been removed. This does not include tires labeled with the word blemish; or (F) The tire size of any dual is mismatched by more than onehalf inch (1/2") in height. effective March 19, 1970. Amended: Filed Jan. 27, 1971, effective Feb. 6, 1971. Amended: Filed Nov. 9, 1971, effective Nov. 19, 1971.

Filed Dec. 8, 1975, effective Dec. 18, 1975. Amended: Filed July 14, 1982, effective Oct. 11, 1982. Amended: Filed Aug. 14, 1987, effective Nov. 12, 1987. Amended: Filed Aug. 30, 1989, effective Nov. 26, 1989. and rule filed Aug. 1, 1997, effective Sept. 2, 1997, expired Feb. 28, 1998. Rescinded and readopted: Filed Aug. 1, 1997, effective Jan. 30, 1998. Amended: Filed Nov. 1, 2001, effective April 30, 2002.

Amended: Filed Nov. 18, 2014, effective July 30, 2015.

11 CSR 50-2.250 Wheels inspection of wheels. The inspection of wheels is a requirement of (1) Inspect all wheels except the spare tire wheel for damage and the condition of any visible wheel bolts, nuts or lugs, or mismatching of hub assembly. Hub caps need not be removed to inspect wheel bolts, nuts or lugs except on the wheel which is removed for brake inspection. {#sec-11-csr-50-2.250 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.250}

(2) Reject vehicle if:

(A) There are loose, missing or damaged wheel studs, bolts, nuts or lugs;

(B) Rims and lock rings on the wheel of a commercial vehicle are mismatched;

(C) Rims or lock rings are bent, sprung, cracked or otherwise damaged;

(D) Stud holes are out-of-round;

(E) There are cracks between the hand holes or stud holes of a disc wheel;

(F) A casting is cracked or there is evidence of wear in the clamping area of a cast wheel; or (G) A wheel and hub assembly are mismatched or if the lug holes and lug bolts are mismatched, which prohibits the tightening and proper seating of the lug nuts, or the hub flange fails to make full contact with the wheel pad.

Nov. 19, 1971. Amended: Filed May 21, 1974, effective May 31, 1974.

Amended: Filed April 2, 1992, effective Sept. 6, 1992. Emergency Feb. 28, 1998. Rescinded and readopted: Filed Aug. 1, 1997, effective Jan. 30, 1998.

11 CSR 50-2.260 Exhaust System inspection of the exhaust system. The inspection of the exhaust system is a requirement of section 307.365, RSMo. {#sec-11-csr-50-2.260 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.260}

(1) All motor vehicles shall be equipped with a properly attached exhaust pipe, muffler and tail pipe.

(2) All items must be inspected with the motor running. Holes in the system made by the manufacturer for drainage are not cause for rejection. Do not block or place anything over the end of the tailpipe to check for leaks.

(3) Reject vehicle if:

(A) A manifold, manifold gasket, flange gasket or a connection or any other component is loose or leaking;

(B) Muffler, exhaust pipe, tailpipe or resonator has holes, leaking patches or seams. Only patches made with an arc or acetylene weld will be permitted;

(C) Tailpipe end is pinched or broken off from rear support bracket;

(D) Any part of the system is supported by wire, or if any component is not securely attached by supporting hardware, such as bolts, brackets, clamps or hangers;

(E) Tailpipe is located so that a person may be burned on entering or leaving passenger compartment;

(F) Any part of system passes through passenger compartment;

(G) Tailpipe fails to discharge exhaust away from under passenger compartment of commercial motor vehicles;

(H) Tailpipe fails to discharge exhaust from the rear or sides of the passenger and luggage compartment on passenger vehicles;

(I) Vehicle has no muffler;

(J) Tailpipe fails to discharge exhaust away from the sides or rear of a camper which is mounted on a motor vehicle and which is equipped with permanent cooking, heating and sleeping facilities; or (K) A commercial vehicle has a tailpipe extending beneath the cargo area that leaks or is improperly supported. 4, 1968, effective Nov. 14, 1968. Amended: Filed March 27, 1969, effective April 6, 1969. Amended: Filed March 9, 1970, effective Filed May 21, 1974, effective May 31, 1974. Amended: Filed April 2, 1992, effective Sept. 6, 1992. Emergency rescission and rule filed Aug. 1, 1997, effective Sept. 2, 1997, expired Feb. 28, 1998. Rescinded and readopted: Filed Aug. 1, 1997, effective Jan. 30, 1998.

11 CSR 50-2.270 Glazing (Glass) inspection of glazing. The inspection of glazing is a requirement of (1) All 1936 and later model motor vehicles which were originally equipped with glass must have approved safety glass in all doors, windows, and windshields. {#sec-11-csr-50-2.270 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.270}

(2) Automotive safety glass is marked with the manufacturer’s trademark and the words American Standard or the letters AS followed by a number indicating the position in which the glass may be used. Safety glass bearing the following identification may be used in the designated locations: AS1 anywhere in a motor vehicle; AS2 anywhere except windshields; AS3 or AS4 anywhere on school buses except windshields and side windows to immediate right and left of driver location; AS3 and above is permitted at certain other specified locations, such as rear windows of trucks and convertibles.

(3) Types of Damage or Defect.

(A) Outright breakage: Glass that is severely cracked, shattered, or broken to expose sharp edges or missing pieces.

(B) Distortion: A manufacturing defect or other defect that causes a distorted view.

(C) Star break: Vented breaks with cracks radiating from point of impact.

(D) Bull’s-eye and half moon: Nonvented circular or halfcircular chips not dislodged from glass.

(4) Inspect glazing. The driver’s vision area is that area within the normal sweep of the wiper blades above a line measured four inches (4") from the bottom of the windshield. In addition, inspect operation of window at driver’s left.

(5) Reject vehicle if— (A) Required glazing is not present or improper glazing materials are used;

(B) Window at driver’s left cannot be readily opened to permit arm signals. (Do not reject if the vehicle is equipped with properly operating turn signals and stoplight);

(C) After-market vision reducing material or other conditions that obscure the driver’s vision is on the windshield;

(D) The windshield has any cracks exceeding three inches (3") in length, within the driver’s vision area;

(E) The windshield has any unrepaired star breaks, bull’seyes, or half moons within the driver’s vision area;

(F) The windshield has any of the following that are more than two inches (2") in diameter at any area outside the driver’s vision area: star breaks; bull’s-eyes; or half moons;

(G) The windshield has any distortion; or (H) Outright breakage, missing pieces, or any break exposing sharp edges is present at any location.

Nov. 4, 1968, effective Nov. 14, 1968. Amended: Filed March 9, 1970, effective March 19, 1970. Amended: Filed Aug. 13, 1970, effective Aug. 23, 1970. Amended: Filed March 24, 1971, effective April 3, 1971. Amended: Filed Nov. 9, 1971, effective Nov. 19, 1971.

Filed Dec. 1, 1975, effective Dec. 11, 1975. Amended: Filed Dec. 8, 1975, effective Dec. 18, 1975. Amended: Filed Jan. 12, 1982, effective April 11, 1982. Amended: Filed Aug. 26, 1985, effective Nov. 28, 1985. Emergency amendment filed Aug. 29, 1985, effective Sept. 27, 1985, expired Jan. 25, 1986. Amended: Filed Oct. 8, 1987, effective Jan. 14, 1988. Amended: Filed Aug. 18, 1989, effective Nov. 26, 1989.

Filed June 2, 1993, effective Nov. 8, 1993. Amended: Filed Oct. 3, 1994, effective April 30, 1995. Emergency rescission and rule filed Aug. 1, 1997, effective Sept. 2, 1997, expired Feb. 28, 1998. Rescinded and readopted: Filed Aug. 1, 1997, effective Jan. 30, 1998. Amended:

Filed July 14, 1998, effective Jan. 30, 1999. Amended: Filed Sept. 15, 2000, effective March 30, 2001. Emergency amendment filed Aug. 15, 2001, effective Aug. 28, 2001, expired Feb. 28, 2002. Amended:

Filed Aug. 15, 2001, effective Feb. 28, 2002. Amended: Filed Sept. 15, 2003, effective March 30, 2004. Amended: Filed Nov. 18, 2014, effective July 30, 2015. Amended: Filed Oct. 30, 2020, effective June 30, 2021.

11 CSR 50-2.280 Air Pollution Control Devices the inspection of air pollution control devices. The inspection of air pollution control devices is a requirement of section 307.365, RSMo. {#sec-11-csr-50-2.280 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.280}

(1) The inspection of air pollution control devices installed by the manufacturer will apply to 1968 and later model vehicles.

This does not apply to diesel fuel vehicles or to vehicles operating exclusively on propane fuel or compressed gas.

Vehicles converted with option to operate on compressed natural gas or propane are permitted to remove or modify the thermostatic air cleaner if the modifications performed meet United States Environmental Protection Agency Mobile Source Enforcement Memorandum Number 1A.

(A) Effective July 1, 1992, all light-duty vehicles which are passenger vehicles with a Gross Vehicle Weight Rating (GVWR) below six thousand pounds (6,000 lbs.) and commercial vehicles with a GVWR below eight thousand five hundred pounds (8,500 lbs.), which receive a replacement engine, in regard to all emissions related parts, engine design parameters and engine calibrations, must comply with the certified configuration of the same or newer model year as the vehicle chassis.

(B) Effective July 1, 1992, diesel powered vehicles may receive a replacement gasoline engine if the resulting engine-chassis configuration is equivalent to a certified configuration of the same model year or newer as the chassis and that chassis has been certified with a gasoline engine.

(C) Effective July 1, 1992, heavy-duty vehicles which are passenger vehicles with a GVWR in excess of six thousand pounds (6,000 lbs.) and commercial vehicles with a GVWR in excess of eight thousand five hundred pounds (8,500 lbs.) may receive a replacement heavy-duty engine if the resulting vehicle is identical to a certified configuration of the same model year or newer. Under no circumstances may a heavyduty engine ever be installed in a light-duty vehicle.

(D) All 1968 and later model vehicles which received a replacement engine before July 1, 1992, must be equipped with all the air pollution control devices installed by the manufacturer on that particular engine.

(E) Reject vehicle if a:

1. Replacement engine is not equivalent to the certified configuration of the engine-chassis; or 2. Heavy-duty engine is used in a light-duty chassis.

(2) Crankcase Ventilation.

(A) The ventilation system of the crankcase is commonly known as the positive crankcase ventilation (PCV) system. The engine should be warm and running at idle during inspection of the vent system.

(B) Inspect plumbing connections for tightness and proper routing. Disconnect PCV valve from engine. Shake briskly and listen for a rattling sound. Place finger or thumb over end of valve and feel for vacuum suction.

(C) Reject vehicle if:

1. Plumbing is loose, broken, leaking or improperly routed;

2. No vacuum suction is present or valve does not rattle when shaken; or 3. Any part of the system is missing or disconnected.

(3) Air Injection System.

(A) The air injection system provides air to the exhaust manifold or catalytic converter. The system may or may not be equipped with an external air pump.

(B) With engine stopped, inspect tension of air pump drive belt. Inspect hose connections at air pump, antibackfire valve, check valves and air distribution manifolds.

(C) Reject vehicle if:

1. Belt slips or is frayed, if serpentine air pump belt has sections missing, if connections are loose, broken or leaking; or 2. Any part of the injection system is missing or disconnected.

(4) Engine Modification Type.

(A) An engine modification control system may be most easily identified as one without an air pump.

(B) With engine stopped, inspect ignition wiring and vacuum hose connections.

(C) Reject vehicle if:

1. Wires or connections are loose, broken or leaking; or 2. Any part of system is missing.

(5) Thermostatic Air Cleaner.

(A) The thermostatic air cleaner provides heated air to the carburetor during cold-engine operation.

(B) Inspect exhaust manifold shroud, preheat tube, vacuum diaphragm air cleaner and vacuum hoses.

(C) Reject vehicle if:

1. Connections are broken or disconnected; or 2. Any part of system is missing.

(6) Spark Control System.

(A) The spark control system controls the advance and retard of the ignition spark.

(B) Inspect distributor, vacuum control valve, electrical control switch, wiring and vacuum hoses.

(C) Reject vehicle if:

1. Wiring or vacuum lines are broken, leaking or improperly routed; or 2. Any part of the system is missing or bypassed.

(7) Exhaust Gas Recirculation.

(A) The exhaust gas recirculation system supplies metered exhaust gas to the intake manifold.

(B) Inspect exhaust gas recirculation valve, temperature control valve and vacuum lines for proper routing.

(C) Reject vehicle if:

1. Components are broken, leaking or improperly routed;

2. Any part of system is missing.

(8) Oxygen Sensor System.

(A) The oxygen sensor system measures the quantity of oxygen present in the exhaust system and supplies a signal to the carburetor or fuel injection system.

(B) Inspect oxygen sensor, located in exhaust manifold, temperature sensor, crankshaft sensor, microprocessor and wiring for proper routing.

(C) Reject vehicle if any:

1. Component is leaking, bypassed, modified or disconnected; or 2. Part of the system is missing.

(9) Evaporative Emission System.

(A) The evaporative emission system restricts the release of fuel vapors by storing and metering the fuel vapors into the fuel intake system.

(B) Inspect the fuel tank vent line, overfill limiting valve, charcoal canister and purge line for proper mounting, leaks and proper routing.

(C) Reject vehicle if:

1. Components are leaking, improperly routed or mounted;

2. Any part of the system is missing or disconnected.

(10) Catalytic Converters.

(A) All 1981 and later model vehicles which were equipped by the manufacturer with a catalytic converter(s) must be equipped with the original equipment manufacturer converter(s) or United States Federal Environmental Protection Agency-approved replacement converters. These devices are located in the exhaust system, usually in front of the muffler.

(B) Inspect catalytic converter.

(C) Reject vehicle if:

1. Catalytic converter is bypassed or modified, is not securely attached, has leakage or is patched by other than an arc or acetylene weld; or 2. A 1981 or later model vehicle is not equipped with a catalytic converter, as equipped by the manufacturer and as specified on the emission label.

Nov. 19, 1971. Amended: Filed May 21, 1974, effective May 31, 1974.

Amended: Filed Dec. 1, 1975, effective Dec. 11, 1975. Amended: Filed Sept. 12, 1980, effective Dec. 11, 1980. Amended: Filed Sept. 16, 1985, effective Jan. 1, 1985. Amended: Filed April 2, 1992, effective Sept. 6, 1992. Amended: Filed June 2, 1993, effective Nov. 8, 1993.

Emergency rescission and rule filed Aug. 1, 1997, effective Sept. 2, 1997, expired Feb. 28, 1998. Rescinded and readopted: Filed Aug. 1, 1997, effective Jan. 30, 1998.

Op. Atty. Gen. No. 331, Shell (11-15-71). The state of Missouri has the authority to inspect for “air pollution control devices” which may be installed on motor vehicles as a requirement to comply with applicable emission regulations, but whether such regulations and inspections would accomplish the purpose of “enforcing compliance with applicable emission standards” which are federal standards and whether the preemption provision of 42 U.S.C.A., section 1857f-6a has been complied with, are questions that only the appropriate federal officials can answer.

11 CSR 50-2.290 Fuel System inspection of a vehicle’s fuel tank. The inspection of vehicle fuel tanks is a requirement of section 307.365, RSMo. {#sec-11-csr-50-2.290 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.290}

(1) Inspect the fuel tank(s), fuel lines and connections, filler tube and, if originally equipped, the filler tube cap.

(2) Reject vehicle if:

(A) There is fuel leakage at any location;

(B) Fuel tank is not securely attached; or (C) Filler tube cap is missing or does not fit.

Emergency rescission and rule filed Aug. 1, 1997, effective Sept. 2, 1997, expired Feb. 28, 1998. Rescinded and readopted: Filed Aug. 1, 1997, effective Jan. 30, 1998. Emergency amendment filed Feb. 1, 2000, effective July 1, 2000, expired Dec. 27, 2000. Amended: Filed Feb. 1, 2000, effective July 30, 2000. Amended: Filed Nov. 18, 2014, effective July 30, 2015.

History

• AUTHORITY: section 307.360, RSMo 2000. Original rule filed Nov. 9, 1971, effective Nov. 19, 1971. Amended: Filed May 21, 1974, effective May 31, 1974. Amended: Filed April 2, 1992, effective Sept. 26, 1992. Amended: Filed Oct. 3, 1994, effective April 30, 1995.

11 CSR 50-2.300 Mud Flaps the inspection of mud flaps. The inspection of mud flaps is a (1) Trucks without rear fenders, which are intended to be registered for over twenty-four thousand pounds (24,000 lbs.) must be equipped with mud flaps for the rear wheels. Mud flaps must be wide enough to cover the full tread width of the tires. Mud flaps must be installed so that they extend from the underside of the vehicle body in a vertical plane behind the wheels to within eight inches (8") of the ground, except that mud flaps on dump trucks must be installed so that they extend from the underside of the vehicle body in a vertical plane behind the wheels to within twelve inches (12") of the ground. Mud flaps must be sufficiently rigid to provide adequate protection when the vehicle is in motion. {#sec-11-csr-50-2.300 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.300}

(2) Fenders installed by the manufacturer on all pickup trucks and other small trucks will be recognized. Curved fender wells, such as those on gasoline delivery trucks, van-type trucks, and any other truck with a fender design that provides reasonable protection to the rear of the vehicle, will be exempt.

(3) Reject vehicle if— (A) Not equipped with required mud flaps;

(B) Flap is not wide enough to cover the full tread width of the tire(s);

(C) Flap is not in a vertical plane extending to within twelve inches (12") of the ground for dump trucks; or (D) Flap is not in a vertical plane extending to within eight inches (8") of the ground for all other vehicles that require mud flaps.

Aug. 23, 1970. Amended: Filed Nov. 9, 1971, effective Nov. 19, 1971.

Filed April 2, 1992, effective Sept. 6, 1992. Amended: Filed June 2, 1993, effective Nov. 8, 1993. Emergency rescission and rule filed Oct. 1, 1997, effective Nov. 2, 1997, expired April 30, 1998.

Rescinded and readopted: Filed Oct. 1, 1997, effective March 30, 1998. Amended: Filed Oct. 30, 2020, effective June 30, 2021.

11 CSR 50-2.310 Seat Belts {#sec-11-csr-50-2.310 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.310}

PURPOSE: This rule describes the procedures and standards for the inspection of seat belts. The inspection of seat belts is a (1) Every four- (4-) wheel passenger car, other than buses, manufactured after June 30, 1964, and designated as a 1965 or later model shall be equipped with at least two (2) sets of seat belts for the front seat of the vehicle. Pickup trucks manufactured on or after July 1, 1971, shall be equipped with at least two (2) sets of seat belts in the forward-most seating area of those vehicles. The inspector/mechanic must latch both sets of seat belts.

(2) A seat belt is any strap, webbing, or similar device including all necessary buckles, fasteners, motors, tracks, and all hardware designed for installing that seat belt in a motor vehicle by the manufacturer or its equivalent. Seat belts are classified as:

(A) Type 1 seat belt assembly is a lap belt for pelvic restraint;

(B) Type 2 seat belt assembly is a combination of pelvic and upper-torso restraint; and (C) Type 2a shoulder belt is an upper-torso restraint for use in conjunction with a lap belt as a type 2 seat belt assembly. Some type 2a shoulder belts are motorized.

(3) Inspect Seat Belts. Do not reject vehicles that are equipped by the manufacturer with passive restraints consisting of only a shoulder belt without a lap belt.

(4) Reject vehicle if— (A) Any front seat is not equipped with a required seatbelt, equivalent to those installed by the manufacturer;

(B) Front seat is covered so as to prohibit the use of required belts;

(C) The seat in the driver’s position is not capable of working in conjunction with a properly adjusted and fastened seat belt;

(D) The seat in the driver’s position is not securely attached to the vehicle;

(E) The seat in the driver’s position cannot maintain a stable (F) A belt, buckle, bracket, or motor is inoperative which prohibits designed function; or (G) Belt webbing is frayed, split, or torn.

Nov. 19, 1971. Amended: Filed May 21, 1974, effective May 31, 1974. 1993, effective Nov. 8, 1993. Emergency rescission and rule Oct. 1, 1997, effective Nov. 2, 1997, expired April 30, 1998. Rescinded and readopted: Filed Oct. 1, 1997, effective March 30, 1998. Amended:

Filed July 14, 1998, effective Jan. 30, 1999. Amended: Filed Oct. 30, 2020, effective June 30, 2021.

11 CSR 50-2.311 Bumpers {#sec-11-csr-50-2.311 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.311}

PURPOSE: This rule formulates procedures for the inspection of motor vehicle bumpers as required by section 307.172(2), RSMo.

(1) Definitions.

(A) Bumper—A device of at least four and one-half inches (4 1/2") in vertical height constructed of metal, wood or other durable material capable of absorbing shock and mounted on the front or rear of a motor vehicle. Each bumper must be made of a strength equal to a stock bumper.

(B) Drop bumper—A bumper as described in subsection (1)(A) which may be mounted not more than three inches (3") below the original manufacturer’s mounting with heavy metal by bolting or welding to the motor vehicle frame.

(C) Nonstock bumper—A device as defined in subsection (1)

(A) and designed by other than a motor vehicle manufacturer.

(D) Stock bumper—A device as defined in subsection (1)(A) designed by a motor vehicle manufacturer or an equivalent replacement.

(2) The bumper shall be horizontally mounted on the vehicle centerline by bolting or welding to the vehicle frame as originally installed by the motor vehicle manufacturer. The bumper must extend in width to the originally manufactured tread width for the motor vehicle.

(3) Measurement. Measurements shall be taken with the motor vehicle in an unloaded condition on a level surface with the tires inflated to the manufacturer’s specifications.

Measurements shall be taken from the surface on which the vehicle stands to the highest point of the bottom of the bumper (excluding any bumper attachments). If the vehicle is equipped with a nonstock-type bumper the measurement shall be taken from a point not more than five inches (5") below the centerline of the bumper mounting bracket. The bottom of the nonstock-type bumper, however, shall not be higher than the measurements contained in section (4).

(4) Inspection Procedure. Inspect motor vehicle bumpers for proper bumper height, mounting, construction and presence of bumpers. (Pickup trucks and other commercial vehicles not equipped by the manufacturer with a rear bumper as standard equipment are not required to be equipped with a rear bumper.) Vehicle design will determine how a vehicle is classified. Passenger cars and station wagons which are designed and manufactured solely as passenger vehicles will be classified as motor vehicles, except commercial motor vehicles, and must comply with the twenty-two inch (22") maximum bumper height. Motor vehicles designed as multi-purpose or utility vehicles, including Broncos, Blazers, Suburbans, Jeeps, vans, mini-vans, pickups and mini-pickups, will be considered as commercial motor vehicles. The Gross Vehicle Weight Rating (GVWR) of these vehicles will determine the maximum bumper height as specified in the statute. The following chart depicts various bumper configurations and correct locations to measure:

The following bumper heights apply to motor vehicles with a GVWR up through eleven thousand five hundred pounds (11,500 lbs.):

Maximum Maximum Front Rear Bumper Bumper Height Height Motor vehicles except commercial motor vehicles 22 inches 22 inches Commercial motor vehicles (GVWR) 4500 lbs. and under 24 inches 26 inches 4501 lbs.–7500 lbs 27 inches 29 inches 7501 lbs.–9000 lbs 28 inches 30 inches 9001 lbs.–11500 lbs. 29 inches 31 inches A motor vehicle will not be rejected for improper bumper height if the motor vehicle was originally equipped by the manufacturer with a bumper that exceeds the stated heights or if the motor vehicle was originally equipped by the manufacturer with a bumper that fails to comply with subsection (1)(A).

(A) Reject vehicle if:

1. The bumper height exceeds the limit stated for the weight category of the motor vehicle;

2. Bumper is not constructed of metal, wood or other durable material and of equal strength to a stock bumper;

3. Bumper is improperly mounted; or 4. Motor vehicle is not equipped with required bumper(s).

Original rule filed July 23, 1986, effective Oct. 27, 1986. Amended:

Filed Aug. 28, 1987, effective Nov. 23, 1987. Amended: Filed Feb. 3, 1988, effective May 12, 1988. Amended: Filed May 9, 1989, effective Aug. 11, 1989. Emergency amendment filed Sept. 1, 2004, effective Sept. 11, 2004, expired March 9, 2005. Amended: Filed Sept. 1, 2004, effective Feb. 28, 2005. *Original authority: 307.172.2, RSMo 1973, amended 1986, 1987, 2004.

History

• AUTHORITY: section 307.172.2, RSMo Supp. 2004. Emergency rule filed July 23, 1986, effective Aug. 13, 1986, expired Dec. 11, 1986.

11 CSR 50-2.320 School Bus Inspection the inspection of school buses. The inspection of school buses is a requirement of section 307.375, RSMo. {#sec-11-csr-50-2.320 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.320}

(1) The standards and procedures prescribed for the inspection of a motor vehicle as set out in motor vehicle inspection rules shall apply to types A–D school buses. In addition, the items listed in this rule will be inspected on all school buses.

(2) Lighting Equipment and Signaling Devices.

(A) Clearance and Side Marker Lamps. School buses shall be equipped with clearance and side marker lamps, except school buses less than eighty inches (80") in width.

1. Two (2) amber clearance lamps on the front and two (2) red clearance lamps on the rear. Clearance lamps shall be mounted one (1) at each side and as far as practical to indicate the width and height of the vehicle. Clearance lamps may be connected to headlamp switch.

2. One (1) amber side marker lamp located on each side at or near the front and one (1) red side marker lamp located on each side at or near the rear. Side marker lamps may be in combination with the clearance lamps.

(B) Identification Lamps. School buses shall be equipped with identification lamps, except school buses less than eighty inches (80") in width. Three (3) red lamps shall be mounted in the center rear body and three (3) amber lamps in the center front body. Lamps shall be mounted on the roof and centered in a cluster. Lamps may be connected to headlamp switch.

(C) Intermediate Side Marker Lamps. School buses manufactured after July 1972 and over thirty feet (30') in length shall be equipped with an intermediate side marker lamp. One (1) amber side marker lamp shall be located on each side between the front and rear marker lamps. Lamps may be connected to the headlamp switch.

(D) Stop/Taillights. Types A-2, B, C, and D school buses shall be equipped with two (2) red stoplights seven inches (7") in diameter (prior to December 1988, six inches (6") in diameter), or if a shape other than round, a minimum of thirty-eight (38) square inches of illuminated area and two (2) red stop/taillights four inches (4") in diameter, or if a shape other than round, a minimum of twelve (12) square inches of illuminated area. The four-inch (4") stop/taillights shall operate in combination with the seven-inch (7") stoplights on school buses manufactured after December 31, 1988, when the service brake is applied.

All stop/taillights must operate if so equipped. Type A-1 buses with bodies supplied by chassis manufacturer may have manufacturer’s standard stop and tail lamps.

(E) Turn Signals. All school buses shall be equipped with front turn signals as originally equipped by the manufacturer.

If additional turn signal lamps are provided (front of body below windshield or top of fender), they shall be connected to the turn signal system without removal or disconnection of originally equipped front turn signals. All buses manufactured after July 1, 1997, shall be equipped with amber side-mounted turn signal lights. The turn signal lamp on the left side shall be mounted rearward of the stop signal arm, and the turn signal lamp on the right side shall be mounted rearward of the service door. Rear turn signals on Type A-2, B, C, and D buses must be amber in color and at least seven inches (7") in diameter or, if a shape other than round, a minimum of thirty-eight (38) square inches of illuminated area. Rear turn signals on all Type A-1 conversion buses must be at least twenty-one (21) square inches in lens area and must be in the manufacturer’s standard color.

(F) Front and Rear Red Warning Flashers. School buses shall be equipped with two (2) alternately flashing red lights and two (2) alternately flashing amber lights on the front and rear of the vehicle. This eight- (8-) lamp system shall be controlled by a manually operated switch. Under no circumstances are these lamps to be connected with the braking system. Lamps must flash at a rate of sixty to one hundred twenty (60–120) cycles per minute. The “on” cycle shall be long enough to permit the filament to come up to full brightness. The lens of each alternately flashing signaling lamp shall be at least five inches (5") in diameter. The area extending outward approximately three inches (3") from each lens shall be painted black.

(G) Stop Signal Arm. School buses shall have a red octagon signal arm, eighteen inches by eighteen inches (18" × 18"), installed on the left outside of the body with the word STOP plainly displayed. All Type C and D buses manufactured after June 30, 2007, shall be equipped with a second stop signal arm of the same size, color, and shape on the left outside of the body near the rear of the bus. Except that the rear stop signal arm shall have no words or images on the forward-facing side, the signal arm may contain a white border with lettering and background of a reflective material meeting United States Department of Transportation standards. The stop signal arms shall contain either one (1) alternately flashing red lamp at the top and one (1) at the bottom visible to the front and rear or light emitting diodes (LEDS) that flash and spell out the word S T O P.

(H) Reflectors. School buses shall be equipped with two (2) red reflectors on the rear as far apart as possible—One (1) red reflector on each side as far to the rear as possible and one (1) amber reflector on each side as far forward as possible.

School buses over thirty feet (30') in length shall have one (1) additional amber reflector on each side midway between the front and rear side reflector.

(I) Observe Function of Lights and Signaling Devices.

1. Reject vehicle if— A. Not equipped with required lights, reflectors, and signaling devices;

B. Any lighting device or reflector is obstructed;

C. Any required light, reflector, or signaling device fails to function properly;

D. Any light, reflector, or signaling device is not securely E. Any light, reflector, or signaling device shows a color contrary to these regulations;

F. A lens or reflector is badly broken or if any part is missing or incorrectly installed; or G. The rear stop signal arm contains any words or images on the forward-facing side.

(3) Lettering and Signs.

(A) School buses shall have on the front and rear or on signs attached to them the words SCHOOL BUS plainly visible in black letters at least eight inches (8") in height. Head Start school buses may, instead, be identified with the words HEAD START. School buses shall have displayed on the rear in plain and distinct black letters the following: STATE LAW: STOP WHILE BUS IS LOADING AND UNLOADING. The letters in the words STATE LAW: STOP shall be at least five inches (5") and the letters in the other words at least three inches (3") in height.

District-owned school buses shall display on each side the name and number of the school district in black letters at least three inches (3") in height. Buses owned by Head Start agencies shall display the agency name in black letters at least three inches (3") in height. Buses manufactured prior to October 1, 1981, may display the school district name and number with national school bus yellow lettering. Privately owned school buses and privately owned Head Start school buses shall display on each side, in a conspicuous location, the name and address of the owner in black letters at least two inches (2") in height with a stroke of not less than one-quarter of an inch (1/4") wide. Signs or stickers on the rear of the bus not relating to school bus flashing signal lamps, railroad stop procedures, or other similar safety messages are prohibited.

(B) A special purpose pictorial sign identifying a school bus for younger pupils, and/or a lettered sign identifying the route, and/or name or school destination in colors other than national school bus yellow and black may be used. When a pictorial or lettered sign is used it shall be mounted below the right front window behind the service door. The sign does not have to be exactly below the right front window as long as it is in the general area. Signs placed below the second or third window would be acceptable. The sign shall not exceed four hundred thirteen (413) square inches and be attached in a manner that does not pose a safety hazard to pupils. No special purpose pictorial sign or lettered sign may be placed in any school bus window.

(C) Signs that relate to the proper procedure for closing the emergency door may be placed on the emergency door.

(D) Inspect bus for lettering.

(E) Reject vehicle if— 1. Vehicle does not display the proper lettering;

2. Sign is improperly located, incorrect size, or poses a safety hazard; or 3. Signs or stickers are non-safety related.

(4) Mirrors.

(A) Interior Mirrors. School buses shall be equipped with an interior rearview mirror. Types B, C, and D school buses manufactured after March 1, 1987, shall have an interior mirror at least six inches by thirty inches (6" × 30"). It must be metal backed and framed, with rounded corners and protected edges. Type A school buses manufactured after March 1, 1987, shall be equipped with an interior mirror at least six inches by sixteen inches (6" × 16").

(B) Exterior Mirrors.

1. All school buses shall be equipped with flat rearview, convex rearview, and convex crossview mirrors on the left and right sides of the bus. (Buses manufactured prior to March 1, 1987 do not require left and right convex rearview mirrors.)

2. Convex crossview mirrors on the right side of buses may be either a single or double mirror that provides the driver a clear view of the right front and side of the bus. Convex crossview mirrors shall be a minimum of seven and one-half inches (7 1/2") in diameter.

3. All school buses manufactured after July 1, 1993, shall be equipped with a rearview mirror system that provides the driver a clear view of the rear tires at ground level on the left and right sides of the bus.

4. All school buses manufactured after July 1, 1993, shall be equipped with a crossview mirror system that provides the driver a clear indirect view of an area at ground level from the front bumper forward and the entire width of the bus to a point where the driver can see by direct vision. The crossview system shall also provide the driver a clear indirect view of the area at ground level around the left and right front corners of the bus, to include the tires and service entrance on all types of buses to a point where it overlaps with the rearview mirror system.

(C) Inspect Mirrors.

(D) Reject vehicle if— 1. Not equipped with required mirrors;

2. A mirror is not mounted on stable support or is improperly mounted; or 3. A mirror is cracked, pitted, obstructed, or clouded to the extent that vision is obscured.

(5) Exhaust System. All-electric school buses or those with alternative fuel types manufactured absent of exhaust components shall not be rejected due to the absence of such (A) School buses shall be equipped with a properly attached exhaust system. The exhaust system shall include the manifold, manifold gasket, flange gasket, exhaust pipe, muffler, supporting hardware, and tailpipe. The exhaust system shall be properly insulated from the fuel tank and tank connections by a securely attached metal shield at any point where it is twelve inches (12") or less from the tank or tank connections, except for diesel-powered buses.

(B) The tailpipe shall be constructed of a corrosion-resistant tubing material at least equal in strength and durability to sixteen (16)-gauge steel tubing. The tailpipe shall be of sufficient length to exit at the rear of the bus or at the left side no more than eighteen inches (18") forward of the rear wheel house opening, and shall be flush with or may extend not more than two inches (2") beyond the perimeter of the body or bumper.

(C) Type A and B buses may be equipped with the manufacturer’s standard tailpipe.

(D) On Type C and D buses, no exhaust shall exit beneath a fuel fill.

(E) The exhaust system on vehicles equipped with a power lift unit may be routed to the left of the right frame rail for the installation of a power lift unit on the right side of the bus.

(F) Reject vehicle if— 1. A manifold, manifold gasket, flange gasket, or a connection of any other component is loose or leaking;

2. Holes are present in the exhaust pipe, muffler, tailpipe or if there are leaking patches or seams (Patches made with an arc or acetylene weld are accepted.);

3. The tailpipe end is pinched or broken off from rear support bracket;

4. Any part of the system is supported by wire or if any component is not securely attached by supporting hardware, such as bolts, brackets, clamps, or hangers;

5. The vehicle has no exhaust pipe, muffler, or tailpipe;

6. Any part of the system passes through the occupant compartment;

7. The tailpipe fails to discharge exhaust from the rear or left side of vehicle or if it exits beneath a fuel fill on Type C and D buses;

8. The tailpipe of a school bus is not a sixteen (16)-gauge steel or equivalent; or 9. The tailpipe is not flush with or extends more than two inches (2") beyond the perimeter of the body or bumper.

(6) Heating and Defrosting System.

(A) Inspect the heating and defrosting systems for proper (B) Reject vehicle if— 1. Any part of the heating or defrosting systems fail to function properly or have leakage.

(7) Bumper.

(A) Rear Bumper. Types A-2, B, C, and D school buses shall be equipped with a rear bumper of pressed steel at least threesixteenths inch (3/16") thick and eight inches (8") wide (nine and one-half inches (9 1/2") if manufactured after January 1, 1997). The bumper shall wrap around the back corners of the school bus and extend forward at least twelve inches (12"). The bumper shall extend at least one inch (1") beyond the rearmost

part of the body surface and shall be properly attached to prevent the hitching of rides. Type A-1 school buses may be equipped with the manufacturer’s standard rear bumper.

(B) Front Bumper. School buses shall be equipped with a front bumper, which may include an energy absorbing bumper. All school buses manufactured after March 1, 1987, shall be equipped with a front bumper made of pressed steel at least three-sixteenths inch (3/16") thick and not less than eight inches (8") wide, unless using an energy absorbing bumper.

Type A buses may be equipped with the manufacturer’s standard front bumper.

(C) Inspect the bumpers.

(D) Reject vehicle if— 1. Not equipped with proper bumpers;

2. A bumper is loosely attached, is improperly mounted or constructed, or exceeds the allowable height limit;

3. A broken or torn portion is protruding, creating a hazard;

4. Improper attachment permits the hitching of rides; or 5. The bus is equipped with a trailer hitch or similar device which permits the hitching of rides.

(8) Service Door.

(A) The service door shall be of the split-type, the sedan type or the jack-knife type. The split-type door includes any sectioned door which divides and opens inward or outward. If one (1) section of a split-type door opens inward and the other opens outward, the front section shall open outward. Flexible material must be applied to the vertical closing edges on splittype or folding-type entrance doors, except on Type A buses.

On all buses, the service door shall be designed to be operated by the driver, and so designed to prevent accidental opening.

When the hand lever is used, no parts shall come together so as to shear or crush fingers.

(B) Reject vehicle if the— 1. Door and opening device do not function properly; or 2. Flexible material on the vertical closing edges of the service door is excessively loose, torn, or missing.

(9) Emergency Door(s), Exits, and Buzzer.

(A) All school buses shall be equipped with an emergency door or exit located in the rear and may be equipped with additional emergency doors and exits. The emergency door shall be designed to be opened from inside and outside. The device used to open the door from the outside shall be designed to prevent hitching to, but one which permits opening when necessary. The rear emergency door latch shall be equipped with an interior handle that lifts upward to release and all emergency doors and exits shall be equipped with a suitable electric switch connected with a buzzer audible in the driver compartment. The switch shall be installed in a manner that any movement of the slide bar or release mechanism will immediately sound the buzzer. All emergency doors and exits shall be identified by the words EMERGENCY DOOR or EMERGENCY EXIT both inside and outside the bus in letters two inches (2") high. The words EMERGENCY DOOR shall be placed at the top of or directly above the emergency door, or on the door in the metal panel above the top glass both inside and outside the bus. The words EMERGENCY EXIT shall be placed at the top of or directly above or at the bottom of the emergency window exits both inside and outside the bus. The designation for roof exits shall be located on the inside surface of the exit, or within twelve inches (12") of the roof exit opening. A metal guard shall be placed over the door control on the inside of a rear door. The passageway to the emergency door shall be at least twelve inches (12") wide on all school buses. A lock may be placed on an emergency door or exit. However, the engine starting and operating system must not function if any emergency door or exit is locked from either inside or outside of the bus.

(B) Inspect all emergency door(s) and exits for operation by opening and closing and for proper lettering.

(C) Reject vehicle if— 1. Doors or exits bind or catch when opening;

2. Passageway to the emergency door is blocked or restricted in any way to less than twelve inches (12") in width;

3. Any emergency door or exit release mechanism fails to work properly, from the inside and outside of the bus;

4. Slide bar on Types B, C, and D buses has less than one inch (1") stroke length;

5. Emergency door buzzer fails to sound or is not audible in the driver’s compartment when the slide bar is moved;

6. Any emergency or roof exit buzzer fails to sound or is not audible in the driver’s compartment when the release mechanism is activated;

7. Words EMERGENCY DOOR or EMERGENCY EXIT are not properly displayed; or 8. Bus engine will start with emergency door(s) or exits locked.

(10) Seat Belts.

(A) All school buses shall be equipped with a seat belt for the driver. Seat belt retractors shall be provided on school buses manufactured after January 1, 1973. School buses manufactured after March 1, 1987, equipped with a Type 2 lap belt/shoulder harness seat belt shall be equipped with an emergency locking retractor for the continuous belt system.

(B) Reject vehicle if— 1. Not equipped with an operable seat belt in the driver’s seating position;

2. A properly functioning retractor is not present;

3. The driver’s seat is not securely attached to the vehicle;

4. The driver’s seat cannot maintain a stable position.

(11) Emergency Equipment.

(A) All school buses must be equipped with a dry chemical or Halon 1211 type fire extinguisher and a first-aid kit. After July 1, 1977, the fire extinguisher must have an Underwriters’ Laboratories, Inc. rating of not less than 10-B:C or higher classification. School buses manufactured after March 1, 1987, shall be equipped with a fire extinguisher approved by Underwriters’ Laboratories, Inc., with a total rating of 2 A 10-B:C or greater. Both must be mounted in the driver’s compartment.

(B) Three (3) red electric lanterns and two (2) red flags or three (3) red emergency reflectors and two (2) red flags or three (3) bidirectional emergency reflective triangles.

(C) Reject vehicle if— 1. Not equipped with a proper fire extinguisher which is easily removable and properly charged or if the fire extinguisher is not mounted in the driver’s compartment;

2. Not equipped with a proper first-aid kit or if the first aid kit is not mounted in the driver’s compartment; or 3. The proper emergency warning devices are not present.

(12) Seats.

(A) Seats on school buses shall face forward. Buses equipped to accommodate wheelchairs may have longitudinal seating if equipped with restraining devices. School buses manufactured after March 1, 1987, which are equipped to accommodate wheelchairs must have forward facing seats and wheelchair positions. They shall be fastened securely to the school bus body. Jump seats or portable seats are not permitted.

(B) Inspect the seats.

(C) Reject vehicle if— 1. The seat is not fastened securely to the floor;

2. The seat cushions are not properly attached to the seat frame;

3. Any seat has an exposed spring, sharp edge, protruding object, or other hazardous condition; or 4. Seats do not face forward.

(13) Step Treads, Aisle Mats, or Runners.

(A) Types B, C, and D School Buses Only.

1. The surface of step treads shall be of nonskid material.

The aisle mats or runners shall be of an aisle-type fire-resistant rubber or equivalent, nonskid, wear-resistant, and ribbed. The mats or runners shall be permanently bonded to the floor.

2. Inspect the general condition of step treads at the service door entrance and the general condition of the aisle mats or runners.

3. Reject vehicle if the— A. Treads on the steps are not of nonskid material or if the surface material is loose; or B. Mats or runners are loose, torn, curled, not permanently bonded to the floor, or are not of proper material.

(B) Type A School Buses Only.

1. Type A school buses need only be equipped with the manufacturer’s original equipment as far as step treads, aisle mats or runners are concerned.

2. Reject vehicle if— A. Not as originally equipped.

(14) Hand Hold Grips and Handrails.

(A) Inspect the hand grips.

(B) Inspect the handrails for proper clearance by drawing a one-half inch (1/2") hex nut with a one-eighth inch (1/8") drawstring between the mounting points of the handrail and bus body.

(C) Reject vehicle if— 1. The hand hold grips are missing, damaged, or not securely mounted; or 2. If the one-half inch (1/2") hex nut attached to one (1) end of a one-eighth inch (1/8") drawstring catches on the handrail and lodges between the handrail mounted bracket and the sheet metal body of the bus or the drawstring catches during the handrail test.

(15) Color.

(A) The school bus body shall be painted a uniform national school bus yellow, except the roof which may be white and the flat top surface of the hood which may be non-reflective black.

The body exterior paint trim, bumper, and lettering shall be black.

1. Reject vehicle if— A. Any part of the bus body or lettering is the wrong color.

(B) The chassis grille shall be national school bus yellow, black, white, or chrome. Reflective material meeting Federal Highway Administration standards may be installed on the front or rear bumper, or both rear of bus body, school bus lettering, sides of bus, and stop arm.

1. Reject vehicle if— A. Any portion of vehicle or reflective material is of the wrong color.

(16) Fuel Systems. All-electric school buses or those with alternative fuel types manufactured absent of fuel system components will not be rejected due to absence of such (A) Inspect the fuel tank(s), fuel lines and connections, filler tube, and filler tube cap on gasoline or diesel fueled vehicles.

(B) Reject vehicle if— 1. Fuel tank(s) is not securely attached;

2. Filler tube cap is missing or does not fit; or 3. There is fuel leakage at any location.

(C) Inspect compressed fuel systems or the liquefied petroleum gas (LPG) system.

(D) Reject vehicle if— 1. Fuel tank(s) is not securely attached to the outside of the frame rail by a system other than welding. If saddle clamps are used, on buses after December 31, 1989, either at the time of assembly or replacement, each tank must be attached with a minimum of two (2) clamps which are a minimum of threeeighths inch by two inch (3/8" × 2") steel;

2. The safety relief venting system is absent, damaged, or designed so that escaping gas is directed other than upwards within forty-five degrees (45°) of the vertical (outside the bus body);

3. The safety relief venting system does not have a functional pressure sensitive closing device (cap);

4. The fuel tank(s) or any part of the fuel system is the lowest point of the vehicle;

5. There are leaks at any location; or 6. There is no Missouri Department of Agriculture decal on LPG systems.

(17) Steering.

(A) Inspect for power steering.

(B) Reject any school bus manufactured after March 1, 1987, which is not equipped with power steering.

(18) Tires.

(A) Inspect all school bus tires except the spare tire for knots, exposed cord, tread depth and proper size or type.

(B) Inspect Type A-2, B, C, or D school bus for dual rear tires.

(C) Inspect all school buses for regrooved, recapped, or retreaded tires on front wheels.

(D) Inspect all school bus tires for same size and type on a given axle.

(E) Reject any school bus if— 1. Any tire has knots or exposed cord;

2. The tread depth is less than four-thirty-seconds inch (4/32") for the front tires or less than two-thirty-seconds inch (2/32") of the rear tires when measured at any point on a major tread groove;

3. A Type A-2, B, C, or D school bus is not equipped with dual rear tires;

4. Regrooved, recapped, or retreaded tires are used on the front wheels;

5. The tires on a given axle are of a different size or type; or 6. Any tire is flat or has a noticeable leak (e.g., can be heard or felt).

(19) Glazing. In addition to the inspection of glazing pursuant to 11 CSR 50-2.270, all side and rear windows as well as service door glazing will be inspected on school buses.

(A) Inspect the glazing.

(B) Reject if there is outright breakage at any location.

(20) Crossing Control Arm.

(A) After August 1, 1998, every school bus operated to transport students in the public school system, which has a gross vehicle weight rating (GVWR) of more than ten thousand (10,000) pounds, the engine mounted entirely in front of the windshield, and the entrance door behind the front wheels, shall be equipped with a crossing control arm. The arm shall be constructed of noncorrosive and nonferrous material, mounted on the right side of the front bumper of the bus, extending a minimum sixty-six inches (66") when extended, and activated by the same controls which activate the mechanical and electrical signaling devices.

(B) Inspect the crossing control arm.

(C) Reject vehicle if— 1. Bus is not equipped as required;

2. Arm is not constructed of a noncorrosive or nonferrous material;

3. Arm is not mounted in the proper location;

4. Arm does not extend as close to perpendicular to the bumper as possible when opened;

5. Arm has sharp edges or projections that could cause hazard or injury to students;

6. Arm does not extend a minimum of sixty-six inches (66") when fully extended;

7. Arm does not operate properly when the stop signal arm and over¬head warning flashers are activated; or 8. The manual bypass switch allows for more than one (1) override of the system’s functions.

(21) Frame.

(A) Inspect the frame.

(B) Reject if— 1. There are any unrepaired visible cracks; or 2. Any bolt or screw designed to secure the bus body to the frame is missing or is loose to hand pressure.

(22) Compartment Condition.

(A) The compartment will be in good repair, with no sharpedged tears or holes in the compartment walls, floors, doors, or ceiling.

(B) Inspect the compartment.

(C) Reject vehicle if— 1. Compartment contains any sharp-edged tears or holes in the compartment walls, floors, doors, or ceiling; or 2. Any area within the compartment is not in good repair.

(23) Out-of-Service Criteria. The following defects will result in buses being placed out of service by Missouri State Highway Patrol personnel until needed repairs are made. Out-of-service criteria are not applicable at official inspection stations:

(A) Any major exhaust leak in the exhaust system that dumps exhaust in front of the rear axle;

(B) Major steering or suspension defects;

(C) Major brake defects;

(D) Inoperative stop signal arm;

(E) Front or rear tires with knots or exposed cord, or tread depth less than four-thirty-seconds inch (4/32") on a front tire or less than two-thirty-seconds inch (2/32") on a rear tire, when measured at any point on a major tread groove;

(F) Any tire is flat or has a noticeable leak (e.g., can be heard or felt);

(G) Any emergency door is inoperable from either the inside or outside or any other emergency exit fails to open;

(H) Red overhead warning flashers are inoperative;

(I) The one-half inch (1/2") hex nut attached to one (1) end of a one-eighth inch (1/8") drawstring catches on the handrail and lodges between the handrail mounting bracket and the sheet metal body of the bus or the drawstring catches during the handrail drawstring test;

(J) The bus is not equipped with crossing control arm, when required, or the crossing control arm does not operate when the stop signal arm and overhead warning flashers are activated;

(K) The engine starts with any emergency door or exit locked;

(L) All stoplights fail to function;

(M) Fuel leaks from any part of the fuel system; or (N) The frame has any unrepaired visible cracks.

rule filed Nov. 4, 1968, effective Nov. 14, 1968. Amended: Filed July 29, 1969, effective Aug. 8, 1969. Amended: Filed March 9, 1970, Nov. 19, 1971. Amended: Filed Aug. 17, 1972, effective Aug. 27, 1972.

Filed Feb. 26, 1975, effective March 8, 1975. Amended: Filed Dec. 1, 1975, effective Dec. 11, 1975. Amended: Filed July 1, 1976, effective Oct. 11, 1976. Amended: Filed Sept. 14, 1978, effective Dec. 11, 1978.

Amended: Filed Sept. 12, 1980, effective Dec. 11, 1980. Amended:

Filed Jan. 12, 1982, effective April 11, 1982. Amended: Filed Aug. 14, 1987, effective Nov. 12, 1987. Amended: Filed July 27, 1988, effective Oct. 27, 1988. Amended: Filed Jan. 1, 1989, effective April 27, 1989.

Amended: Filed Aug. 30, 1989, effective Nov. 26, 1989. Amended:

April 30, 1995. Emergency rescission filed Jan. 28, 1997, effective Feb. 7, 1997, expired Aug. 1, 1997. Emergency rule filed Jan. 17, 1997, effective Feb. 3, 1997, expired Aug. 1, 1997. Rescinded and readopted: Filed Jan. 17, 1997, effective July 30, 1997. Emergency amendment filed July 14, 1998, effective Aug. 1, 1998, expired Feb. 25, 1999. Amended: Filed July 14, 1998, effective Jan. 30, 1999.

Amended: Filed March 15, 1999, effective Sept. 30, 1999. Amended:

Filed Feb. 1, 2000, effective July 30, 2000. Amended: Filed Sept. 15, 2000, effective March 30, 2001. Emergency amendment filed Nov. 1, 2001, effective Feb. 1, 2002, expired May 31, 2002. Amended:

Filed Nov. 1, 2001, effective April 30, 2002. Amended: Filed Sept. 15, 2003, effective March 30, 2004. Emergency amendment filed Sept. 1, 2004, effective Sept. 11, 2004, expired March 9, 2005. Amended:

Filed Sept. 1, 2004, effective Feb. 28, 2005. Amended: Filed Oct. 3, 2005, effective March 30, 2006. Amended: Filed Aug. 10, 2006, effective Jan. 30, 2007. Amended: Filed Aug. 12, 2009, effective Feb. 28, 2010. Amended: Filed March 16, 2022, effective Oct. 30, 2022. *Original authority: 307.360, RSMo 1967, amended 1971, 1973, 1979, 1999, and 307.375, RSMo 1967, amended 1971, 1975, 1976, 1997, 1999, 2001, 2004, 2009.

History

• AUTHORITY: sections 307.360.2 and 307.375, RSMo 2016. Original

11 CSR 50-2.321 Special Education Buses {#sec-11-csr-50-2.321 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.321}

PURPOSE: This rule establishes inspection standards for the inspection of power lifts, ramps, aisles, restraint systems, special service entrance doors and identification on special education school buses.

(1) Power Lift.

(A) Power lift shall be located on the right side of the bus body within the perimeter of bus body and in no way attached to the outside of the bus.

(B) Lift must be equipped with controls to allow operation of the lift from either the inside or outside of the bus. Buses manufactured after October 1, 1981, must be equipped with a mechanism to allow for manual manipulation in the event of a power failure or a single component mechanical failure.

(C) Lift platform shall be fitted with full-width shields and restraining device(s) on the outer (curb) edge.

(D) School buses manufactured after March 1, 1987, equipped to accommodate individuals with special transportation needs must have a lift opening and platform sufficient to accommodate a thirty-inch (30") wheelchair.

(E) Inspect the power lift for proper location, attachment and (F) Reject vehicle if:

1. Lift is not in proper location or attached properly;

2. Not equipped with a mechanism that allows for at least one (1) manual operation;

3. Shields or restraining devices are not fitted on lift; or 4. Lift opening and platform are not of sufficient width.

(2) Aisles. On buses manufactured after October 1, 1981, the aisle leading to the emergency door from the wheelchair area shall be at least thirty inches (30") wide to permit passage of a maximum size wheelchair.

(A) Reject vehicle if:

1. Aisles are not of sufficient width.

(3) Restraint Systems.

(A) School buses manufactured after March 1, 1987, designed to transport individuals with special transportation needs shall contain wheelchair securement devices attached to the floor or walls, or both, to allow securement of wheelchairs in a forward facing position. These devices must require human intervention to unlatch or disengage and contain tightening clamps on front and rear assemblies.

(B) School buses designed to accommodate individuals with special transportation needs shall contain a system of positive occupant restraint that secures the occupant.

(C) Reject vehicle if:

1. Proper restraining devices are not installed.

(4) Special Service Entrance Doors.

(A) Doors on 1981 and later models shall be equipped with a device that will actuate an audible or flashing signal located in the driver’s compartment when doors are not securely closed and ignition is on.

(B) A switch shall be installed so that the lifting mechanism will not operate when the lift platform doors are closed.

(C) Reject vehicle if not equipped with:

1. Warning signal; or 2. The proper switch.

(5) Identification.

(A) Buses with power lifts used for transporting children with physical disabilities may display the universal handicap symbols below the window line. The emblem shall meet United States Department of Transportation standards.

(B) Reject vehicle if:

1. Symbols are improperly displayed; or 2. Symbols are incorrect size.

Amended: Filed June 2, 1993, effective Nov. 8, 1993. Emergency rescission and rule filed Oct. 1, 1997, effective Nov. 2, 1997, expired April 30, 1998. Rescinded and readopted: Filed Oct. 1, 1997, effective March 30, 1998. Amended: Filed July 14, 1998, effective Jan. 30, 1999. Amended: Filed Nov. 1, 2001, effective April 30, 2002.

Amended: Filed Nov. 18, 2014, effective July 30, 2015. *Original authority: 307.360.2., RSMo 1967, amended 1971, 1973, 1979, 1999 and 307.375, RSMo 1967, amended 1971, 1975, 1976, 1997, 1999, 2001, 2004, 2009.

History

• AUTHORITY: section 307.360.2, RSMo 2000, and section 307.375, RSMo Supp. 2013. Original rule filed Aug. 18, 1987, effective Nov. 12, 1987. Amended: Filed Aug. 30, 1989, effective Nov. 26, 1989.

11 CSR 50-2.330 Motorcycle Inspection {#sec-11-csr-50-2.330 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.330}

PURPOSE: This rule lists the specific inspection standards and procedures for the inspection of motorcycles and motor tricycles.

These standards are necessary because of difference in vehicle design and different tolerances involved.

(1) This section of the inspection manual contains procedures which shall be followed when inspecting motorcycles and motor tricycles.

(A) Brakes.

1. Brake efficiency shall be determined by operating the vehicle on the inspection station’s premises. This test may be conducted either by the inspector/mechanic or by the vehicle owner with the inspector/mechanic observing. Brakes must be installed and in operating condition on each wheel if originally equipped by the manufacturer.

2. Apply each brake control separately while vehicle is in motion, apply moderate force to brakes for one (1) minute; inspect wheel and master cylinder for leakage if equipped with hydraulic brakes; inspect master cylinder for fluid level if equipped with hydraulic brakes; inspect brake hoses or tubing for broken, flattened or restricted sections and improper support; inspect brake rods or cables for wear and proper adjustment.

3. Reject vehicle if:

A. Any brake fails to indicate braking action;

B. Not equipped with required brakes;

C. Brake pedal height cannot be maintained for one (1) minute, leakage is indicated;

D. Less than one-third (1/3) of the pedal reserve remains;

E. Pedal fails to return to the fully released position after application;

F. Wheel or master cylinder leaks;

G. Fluid level in the master cylinder is below the level recommended by the manufacturer;

H. Brake hose is broken or restricted and if hose is not supported to prevent damage by rubbing with the frame or other components;

I. Brake cable is badly frayed or if rod, clevises and couplings are badly worn;

J. Any pins, springs or other mechanical parts are missing, defective or badly worn; or K. Brake rods or cables are not adjusted properly.

(B) Lighting Equipment.

1. Headlights. Every vehicle shall be equipped with at least one (1) and not more than two (2) headlights. A headlight shall exhibit light substantially white in color. A motorcycle equipped with a sidecar or other attachment shall be equipped with a light on the outside limit of the attachment capable of displaying a white light to the front.

2. Taillights and reflectors. Every vehicle shall be equipped with at least one (1) red taillight and at least one (1) red reflector.

Any vehicle with two (2) rear wheels shall be equipped with at least two (2) red taillights and two (2) red reflectors. A reflector may be part of the taillight or it may be separate. The taillight shall be mounted at a height of not more than seventy-two inches (72") nor less than fifteen inches (15") above the ground.

The reflector shall be mounted at a height not greater than sixty inches (60") nor less than fifteen inches (15") above the ground.

3. Signalling devices. If the vehicle is equipped with turn signals and a stoplight, all must operate.

4. Inspect lighting equipment, reflectors and signalling devices.

5. Reject vehicle if:

A. Not equipped with required headlight, taillights or reflectors;

B. A headlight has reflector deterioration;

C. A lens is badly broken, missing, incorrectly installed or repaired with tape;

D. Any light fails to function properly;

E. Any light or reflector is not securely mounted or shows a color contrary to law;

F. Beam indicator or dimmer switch, if so equipped, fails to operate properly; or G. A taillight or reflector is not mounted in the prescribed area.

(C) Steering Mechanisms.

1. Inspect to determine the condition of the frame, fork, steering head bearing, handlebars and front and rear wheel tracking. Check wheel bearings by elevating and rotating each wheel. Inspect condition of grease retainers. If equipped by the manufacturer, actuate front and rear shock absorbers.

2. Reject vehicle if:

A. Frame or fork is bent, broken or wheels are out of line where it affects the steering and control;

B. Loose, defective or worn components in steering head bearing;

C. Handlebars are loose, bent, broken or damaged where it affects proper steering;

D. Any portion of the handlebars extend over fifteen inches (15") in height above the normal riding position unless originally equipped by the motorcycle manufacturer;

E. Wheel bearings have excessive horizontal movement or, when rotated, unusual noise exists;

F. Grease retainer is defective; or G. A shock absorber is disconnected, broken, bent or missing.

(D) Tires and Wheels.

1. Inspect tires for tread wear, cord exposure, knots, cuts, tread separation and condition of wheel and rims.

2. Reject vehicle if:

A. Any tire is worn at any one (1) point where there is no tread design across half of the tire tread;

B. Tire has an exposed cord, bulge or knot;

C. A tire is marked reject, rejected, not for highway use, farm use only, for nonhighway use, for race track use only or marked with similar terms, or if determined beyond a reasonable doubt that these markings have been removed. This does not include tires labeled with the word blemish;

D. A wheel has any loose, missing or defective bolts, nuts, lugs or spokes;

E. A wheel is damaged or defective; or F. Any wheel wobbles more than three-sixteenths inch (3/16").

(E) Horn.

1. Every vehicle shall be equipped with a horn, in good working order and capable of emitting a sound adequate in quantity and volume to give warning of the approach of the vehicle to other users of the highway.

2. Determine if horn is securely fastened, audible and if electrical connections are properly grounded.

3. Reject vehicle if:

A. Vehicle is not equipped with a horn;

B. Horn is not audible under normal conditions;

C. Horn is not firmly mounted; or D. Horn is actuated by grounding two (2) naked wires or a similar method. Defective wiring or electrical connections.

(F) Muffler and Exhaust System.

1. The motor shall be fitted with a properly attached muffler.

2. Inspect condition of muffler and exhaust pipe. If the vehicle is equipped with a dual exhaust system, both must be examined.

3. Inspect supporting hardware, attachments and brackets.

Exhaust system must be securely attached at the cylinder head, manifold and to the frame at or near the place where the exhaust pipe attaches to the muffler.

4. Reject vehicle if:

A. Not equipped with a muffler;

B. Muffler or exhaust pipe has holes, loose joints or leaking seams. Only patches made with an arc or acetylene weld will be permitted;

C. Exhaust system components are not securely fastened;

D. Tailpipe is not securely fastened to the muffler; or E. A modified high rise tailpipe is positioned so it could easily burn the operator.

(G) Glazing (Glass).

1. If equipped with a windshield, it must provide a clear vision of the road ahead.

2. Reject vehicle:

A. If the windshield is cracked, scarred or defaced to the extent that it does not provide a clear vision.

(H) Fuel System.

1. Inspect the fuel tank(s), fuel lines and connections and filler cap.

2. Reject vehicle if:

A. There is fuel leakage at any location;

B. Fuel tank is not securely attached; or C. Filler cap is missing or does not fit.

(I) Air Pollution Control Devices.

1. Inspect all 1995 and later models for air pollution devices installed by the manufacturer.

2. Reject any vehicle if:

A. Any part of the system(s) is missing, modified, disconnected, broken, bypassed or rendered inoperative in any way;

B. A replacement catalytic converter is not one approved by the United State Environmental Protection Agency; or C. A replacement engine is not equivalent to the certified configuration of the engine-chassis.

Aug. 23, 1970. Amended: Filed Nov. 9, 1971, effective Nov. 19, 1971.

Filed Feb. 26, 1975, effective March 8, 1975. Amended: Filed July 1, 1976, effective Oct. 11, 1976. Amended: Filed July 14, 1982, effective Oct. 11, 1982. Amended: Filed April 2, 1992, effective Sept. 6, 1992.

Amended: Filed June 2, 1993, effective Nov. 8, 1993. Amended:

1998. Rescinded and readopted: Filed Oct. 1, 1997, effective March 30, 1998. Amended: Filed Sept. 15, 2000, effective March 30, 2001.

11 CSR 50-2.335 Autocycle Inspection {#sec-11-csr-50-2.335 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.335}

PURPOSE: The rule provides inspection standards and procedures specific to the inspection of the autocycle, which is necessary due to differences in design, construction, and tolerances.

(1) The following components will be inspected on all autocycles, following established rules and regulations governing the safety inspection of motor vehicles:

(A) Brake Components;

(B) Exhaust System;

(C) Fuel System;

(D) Horn;

(E) Steering Mechanisms;

(F) Tires;

(G) Wheels; and (H) Windshield Wipers.

(2) The following components will be inspected on all autocycles, following established rules and regulations governing the safety inspection of motorcycles:

(A) Air Pollution Control Devices; and (B) Glazing (Glass).

(3) The following components will be inspected on all autocycles, following the procedures and inspection criteria contained within this rule:

(A) Brake Performance. Brake efficiency shall be determined by operation of the vehicle on the inspection station premises.

The vehicle may be operated by either the inspector/mechanic, or by the vehicle owner with the inspector/mechanic observing.

Brakes must be installed and in operating condition on each wheel.

1. Drive and stop test. The autocycle shall be operated at a speed of five to twenty (5-20) mph. The service brakes will then be applied firmly.

2. Reject the autocycle if:

A. The autocycle pulls significantly to either side;

B. Any brake fails to indicate braking action;

C. The autocycle is not equipped with brakes on each wheel; and D. The pedal fails to return to the fully-released position after application;

(B) Lighting Equipment.

1. Headlights.

A. All headlights, as equipped by the manufacturer, shall function as designed.

B. All headlights will exhibit light that is substantially white in color.

C. Reject the autocycle if— (I) Any required headlight is absent;

(II) Any headlight does not exhibit light that is substantially white in color;

(III) Any headlight indicates reflector deterioration;

(IV) Any headlight fails to function as designed; or (V) Any headlight lens is missing, incorrectly installed, repaired with tape, or broken to the extent that moisture or contamination could enter the reflective area or light socket.

2. High Beam Indicator.

A. Autocycles shall be equipped with a high beam indicator that displays only when high beams are in use.

B. Reject the autocycle if— (I) The high beam indicator fails to display when high beams are in use; or (II) The high beam indicator displays when high beams are not in use.

3. Taillights and Reflectors.

A. Every autocycle shall be equipped with required taillights and reflectors. These lights shall exhibit a plainly visible red light.

(I) Autocycles manufactured with one (1) rear wheel shall be equipped with no less than one (1) red taillight and no less than one (1) red reflector.

(II) Autocycles manufactured with two (2) rear wheels shall be equipped with no less than two (2) red taillights and no less than two (2) red reflectors. Taillights and reflectors shall be mounted on the rear exterior of the autocycle at the same level, at an equal distance from the center of the vehicle.

B. A reflector may be part of the taillight assembly or may be a separate component.

C. Taillights shall be mounted no more than seventy-two inches (72") nor less than fifteen inches (15") above the ground.

D. Reflectors shall be mounted no more than sixty inches (60") nor less than fifteen inches (15") above the ground.

E. Reject the autocycle if— (I) Not equipped with required taillights or reflectors;

(II) Any taillight or reflector is not red in color;

(III) A required taillight or reflector fails to function properly;

(IV) A taillight, reflector, or electrical switch is not securely mounted;

(V) A taillight or reflector shows color contrary to law;

(VI) Wiring or electrical connectors are defective;

(VII) A lens is missing, incorrectly installed, repaired with tape, or broken to the extent that moisture or contamination could enter the reflective area or light socket; or (VIII) A taillight or reflector is not mounted in the prescribed area;

(C) Mirrors.

1. Every autocycle shall be equipped with an exterior mirror on the driver’s side that reveals the road behind.

2. Every autocycle equipped by the manufacturer with an inside mirror shall be equipped in like manner.

3. Inspect all required mirrors.

4. Reject the autocycle if— A. A mirror fails to provide a clear view of the highway to the rear because of cracks, discoloration, or improper mounting;

B. A mirror is broken or has sharp edges exposed;

C. A mirror is very difficult to adjust or will not maintain a set adjustment;

D. A required mirror is missing;

(D) Roll Bars.

1. If the autocycle was designed and equipped by the manufacturer with a roll bar, the roll bar must be present and inspected.

2. Reject the autocycle if— A. The required roll bar is missing;

B. The roll bar is not securely mounted, as designed by the manufacturer; or C. The roll bar is not in original manufacturer condition, due to damage or alteration that results in:

(I) Sharp edges;

(II) Tears;

(III) Holes (not made by the manufacturer); or (IV) Bending so that the roll bar is a different shape than as manufactured;

(E) Seat Belts.

1. Autocycles shall be equipped with seat belts at every seating location.

2. A seat belt is any strap, webbing, or similar device, including all necessary buckles, fasteners, motors, tracks, and all hardware designed for installing that seat belt in an autocycle by the manufacturer, or its equivalent.

3. Seat belts are classified as— A. Type 1 seat belt assembly is a lap belt for pelvic restraint;

B. Type 2 seat belt assembly is a combination of pelvic and upper-torso restraint; and C. Type 2a shoulder belt is an upper-torso restraint for use in conjunction with a lap belt as a type 2 seat belt assembly.

Some type 2a shoulder belts are motorized.

4. Inspect seat belts at all seating locations for condition and function.

5. Reject the autocycle if— A. Not equipped with required seat belts;

B. Any seat is covered so as to prohibit the use of required belts;

C. A belt, buckle, bracket, or motor is inoperative which prohibits designed function; or D. Belt webbing is frayed, split, or torn; and (F) Signaling Devices.

1. Turn Signals. Turn signals installed by the manufacturer, or their equivalent in number, size, and intensity, shall be in operating condition. The front signal lights may be white or amber and may be in combination with the parking lights.

The rear signal lights may be red or amber, except when in combination with a taillight the lens must be red.

2. Stoplights. Stoplights installed by the manufacturer, or their equivalent in number, size, and intensity, shall be in operating condition. All stoplights must be red and must operate when the service brake is applied.

A. Autocycles manufactured with one (1) rear wheel shall be equipped with no less than one (1) red stoplight, mounted on the outside rear of the autocycle.

B. Autocycles manufacturer with two (2) rear wheels shall be equipped with no less than two (2) red stoplights, mounted on the rear exterior of the autocycle at the same level, at an equal distance from the center of the vehicle.

3. Reject the autocycle if— A. Not equipped with the required signaling devices;

B. A signaling device is obstructed;

C. A required signaling device fails to function properly.

Do not reject if the turn signal fails to self-cancel or if the turn signal functions properly by manually holding the lever in the engaged position;

D. A signaling device or electrical switch is not securely E. A light shows any color contrary to law;

F. Wiring or electrical connectors are defective; or G. A lens is missing, incorrectly installed, repaired with tape, or is broken to the extent that moisture or contamination could enter the reflective area or light socket.

History

• AUTHORITY: section 307.360, RSMo 2016. Original rule filed Jan. 11, 2019, effective July 30, 2019.

11 CSR 50-2.340 Off-Highway Use Vehicles (ATV-OHV) {#sec-11-csr-50-2.340 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.340}

(Rescinded June 30, 2021)

1998. Rescinded and readopted: Filed Oct. 1, 1997, effective March 30, 1998. Amended: Filed Sept. 15, 2003, effective March 30, 2004.

Rescinded: Filed Oct. 30, 2020, effective June 30, 2021.

History

• AUTHORITY: section 307.360, RSMo 2000. Original rule filed Nov. 9, 1971, effective Nov. 19, 1971. Amended: Filed May 21, 1974, effective May 31, 1974. Amended: Filed July 1, 1976, effective Oct. 11, 1976. Amended: Filed Sept. 1, 1977, effective Dec. 11, 1977.

11 CSR 50-2.350 Applicability of Motor Vehicle Emission Inspection 4, 1983, effective Nov. 11, 1983. Emergency amendment filed Dec. 22, 1983, effective Jan. 6, 1984, expired May 5, 1984. Amended: {#sec-11-csr-50-2.350 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.350}

Filed Jan. 13, 1984, effective April 12, 1984. Emergency amendment filed Jan. 23, 1984, effective Feb. 3, 1984, expired May 25, 1984.

Amended: Filed Feb. 10, 1984, effective May 11, 1984. Amended:

Filed Sept. 12, 1984, effective Jan. 1, 1985. Emergency amendment filed Aug. 3, 1992, effective Aug. 28, 1992, expired Dec. 25, 1992.

Emergency amendment filed Nov. 2, 1992, effective Dec. 26, 1992, expired April 24, 1993. Amended: Filed Aug. 3, 1992, effective Feb. 26, 1993. Emergency rescission filed Nov. 1, 1999, effective Jan. 1,

11 CSR 50-2.360 Emission Fee 4, 1983, effective Nov. 11, 1983. Emergency amendment filed Aug. {#sec-11-csr-50-2.360 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.360}

Emergency rescission filed Nov. 1, 1999, effective Jan. 1, 2000, expired June 28, 2000. Rescinded: Filed Nov. 1, 1999, effective April 30, 2000.

11 CSR 50-2.370 Inspection Station Licensing 4, 1983, effective Nov. 11, 1983. Amended: Filed Sept. 12, 1984, effective Jan. 1, 1985. Amended: Filed April 2, 1987, effective June 25, 1987. Amended: Filed May 31, 1990, effective Dec. 31, 1990. {#sec-11-csr-50-2.370 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.370}

Emergency rescission filed Nov. 1, 1999, effective Jan. 1, 2000, expired June 28, 2000. Rescinded: Filed Nov. 1, 1999, effective April 30, 2000.

11 CSR 50-2.380 Inspector/Mechanic Licensing 4, 1983, effective Nov. 11, 1983. Amended: Filed April 2, 1992, effective Sept. 6, 1992. Amended: Filed June 2, 1993, effective Nov. 8, 1993. Emergency rescission filed Nov. 1, 1999, effective Jan. 1, {#sec-11-csr-50-2.380 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.380}

11 CSR 50-2.390 Safety/Emission Stickers {#sec-11-csr-50-2.390 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.390}

History

• AUTHORITY: section 307.366, RSMo 1994. Original rule filed Aug. 4, 1983, effective Nov. 11, 1983. Amended: Filed Aug. 14, 1987, effective Nov. 12, 1987. Emergency amendment filed Aug. 3, 1992, effective Aug. 28, 1992, expired Dec. 25, 1992. Emergency rescission filed Nov. 1, 1999, effective Jan. 1, 2000, expired June 28, 2000. Rescinded: Filed Nov. 1, 1999, effective April 30, 2000.

11 CSR 50-2.400 Emission Test Procedures {#sec-11-csr-50-2.400 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.400}

(Rescinded December 30, 2007)

Rescinded: Filed June 12, 2007, effective Dec. 30, 2007.

History

• AUTHORITY: section 307.366, RSMo Supp. 2003. Original rule filed Aug. 4, 1983, effective Nov. 11, 1983. Amended: Filed Sept. 12, 1984, effective Jan. 1, 1985. Amended: Filed April 12, 1987, effective June 25, 1987. Rescinded: Filed May 31, 1990, effective Dec. 31, 1990. Emergency rule filed Jan. 3, 2000, effective April 1, 2000, expired Sept. 27, 2000. Readopted: Filed Jan. 3, 2000, effective June 30, 2000. Amended: Filed Feb. 2, 2004, effective July 30, 2004.

11 CSR 50-2.401 General Specifications Nov. 1, 1999, effective April 30, 2000. {#sec-11-csr-50-2.401 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.401}

11 CSR 50-2.402 MAS Software Functions Nov. 1, 1999, effective April 30, 2000. {#sec-11-csr-50-2.402 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.402}

11 CSR 50-2.403 Missouri Analyzer System (MAS) Display and Program Requirements Nov. 1, 1999, effective April 30, 2000. {#sec-11-csr-50-2.403 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.403}

11 CSR 50-2.404 Test Record Specifications {#sec-11-csr-50-2.404 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.404}

History

• AUTHORITY: section 307.366, RSMo 1994. Original rule filed Feb. 16, 1990, effective June 28, 1990. Emergency rescission filed Nov. 1, Nov. 1, 1999, effective April 30, 2000.

11 CSR 50-2.405 Vehicle Inspection Certificate, Vehicle Inspection Report and Printer Function Specifications {#sec-11-csr-50-2.405 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.405}

History

• AUTHORITY: section 307.366, RSMo 1994. Original rule filed March 5, 1990, effective June 28, 1990. Amended: Filed April 2, 1992, effective Sept. 26, 1992. Amended: Filed June 2, 1993, effective Nov. 8, 1993. Emergency rescission filed Nov. 1, 1999, effective Jan. 1, 2000, expired June 28, 2000. Rescinded: Filed Nov. 1, 1999, effective April 30, 2000.

11 CSR 50-2.406 Technical Specifications for the MAS Nov. 1, 1999, effective April 30, 2000. {#sec-11-csr-50-2.406 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.406}

11 CSR 50-2.407 Documentation, Logistics and Warranty Requirements Nov. 1, 1999, effective April 30, 2000. {#sec-11-csr-50-2.407 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.407}

11 CSR 50-2.410 Vehicles Failing Reinspection 4, 1983, effective Nov. 11, 1983. Amended: Filed May 31, 1990, effective Dec. 31, 1990. Amended: Filed April 2, 1992, effective Sept. 6, 1992. Emergency rescission filed Nov. 1, 1999, effective Jan. 1, {#sec-11-csr-50-2.410 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.410}

11 CSR 50-2.420 Procedures for Conducting Only Emission Tests {#sec-11-csr-50-2.420 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.420}

rule filed Jan. 13, 1984, effective April 12, 1984. Amended: Filed May 31, 1990, effective Dec. 31, 1990. Emergency amendment filed Aug. rescission filed Nov. 1, 1999, effective Jan. 1, 2000, expired June 28, 2000. Rescinded: Filed Nov. 1, 1999, effective April 30, 2000.

History

• AUTHORITY: section 307.366, RSMo 1994. Emergency rule filed Dec. 27, 1983, effective Jan. 6, 1984, expired May 5, 1984. Original

11 CSR 50-2.430 Verification of Homemade Trailers {#sec-11-csr-50-2.430 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.430}

(Rescinded February 29, 2020)

rule filed Sept. 12, 1984, effective Jan. 1, 1985. Amended: Filed May 10, 1991, effective Sept. 30, 1991. Emergency amendment filed Aug.

Amended: Filed June 2, 1993, effective Nov. 8, 1993. Amended:

1998. Rescinded and readopted: Filed Oct. 1, 1997, effective March 30, 1998. Amended: Filed Feb. 1, 2000, effective July 30, 2000.

Emergency amendment filed March 17, 2003, effective March 27, 2003, expired Sept. 22, 2003. Amended: Filed March 17, 2003, effective Aug. 30, 2003. Rescinded: Filed Aug. 29, 2019, effective Feb. 29, 2020.

History

• AUTHORITY: section 307.360, RSMo 2000. Emergency rule filed Aug. 15, 1984, effective Sept. 1, 1984, expired Dec. 30, 1984. Original

11 CSR 50-2.440 Vehicle Identification Number and Odometer Reading Verification {#sec-11-csr-50-2.440 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.440}

PURPOSE: This rule establishes procedures to be followed in the verification of vehicle identification numbers and odometer readings as required by section 301.190(9), RSMo.

(1) The requirements in 11 CSR 50-2.010–11 CSR 50-2.130 are applicable to vehicles which require vehicle identification number (VIN)/odometer reading verification.

(2) The inspection shall certify that the manufacturer’s identification number for the vehicle has been inspected, that it is correctly displayed on the vehicle and shall certify the reading shown on the odometer at the time of inspection.

(3) Verification of VINs and odometer readings shall be made by a licensed inspector/mechanic at a licensed inspection station. Verification of all vehicles may be conducted at Class A, B or D inspection stations. However, Class C stations may verify motorcycles only. The actual verification of VINs and odometer readings shall be made on the inspection station premises.

(4) The statutory fee for a safety inspection of the specific motor vehicle may be charged for the VIN and odometer verification.

(5) Examination Procedure.

(A) Examine VIN and odometer reading as displayed on the motor vehicle.

(B) Reject vehicle if VINs and plate appear altered or tampered with in any manner (pay special attention to rivets and plate to determine that they are correct as installed by the manufacturer).

(6) Forms Procedure.

(A) List the motor vehicle owner’s name, street, city and county in the appropriate spaces on the MVI-2 form. If the VIN and odometer reading are correctly displayed, either write the words “ID/OD Verification” in large letters across the form in the space for defective part or check the applicable box on the MVI-2 form and enter “NONE” in the space for the sticker/decal number.

(B) If the VIN appears to be incorrectly displayed in any manner, such as altered, forged, incorrectly attached or a substitute plate used, do not issue a verification, instead call the patrol headquarters located in your area for immediate assistance.

(7) If a safety inspection is requested, this procedure is not required.

Filed April 2, 1992, effective Sept. 6, 1992. Emergency amendment filed Aug. 3, 1992, effective Aug. 28, 1992, expired Dec. 25, 1992.

Emergency amendment filed Nov. 2, 1992, effective Dec. 26, 1992, expired April 24, 1993. Amended: Filed Aug. 3, 1992, effective Feb. 26, 1993. Amended: Filed June 2, 1993, effective Nov. 8, 1993. rescission and rule filed Oct. 1, 1997, effective Nov. 2, 1997, expired April 30, 1998. Rescinded and readopted: Filed Oct. 1, 1997, effective March 30, 1998. Amended: Filed Feb. 1, 2000, effective July 30, 2000. Emergency amendment filed March 17, 2003, effective March 27, 2003, expired Sept. 22, 2003. Amended: Filed March 17, 2003, effective Aug. 30, 2003. *Original authority: 301.190, RSMo 1939, amended 1947, 1965, 1981, 1983, 1984, 1985, 1986, 1986, 1987, 1988, 1989, 1990, 1992, 1997, 1999; 307.190, RSMo 1977, amended 1980, 1995; and 307.360, RSMo 1967, amended 1971, 1973, 1979.

History

• AUTHORITY: sections 301.190, 307.190 and 307.360, RSMo 2000. Original rule filed May 21, 1986, effective Aug. 25, 1986. Amended:

11 CSR 50-2.500 Definitions {#sec-11-csr-50-2.500 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.500}

PURPOSE: This rule defines the words and terms used throughout the vehicle number inspection/salvage inspection regulations.

(1) Words and terms used in 12 CSR 10-23.345 and the following words and terms as defined are applicable to these rules:

(A) CVIN—The confidential vehicle identification number;

(B) Essential part—Any nonmajor component part that is used to complete the repair or restoration of the vehicle to its original appearance or design;

(C) EVIN—The engine vehicle identification number;

(D) Federal Motor Vehicle Safety Standard Label (Federal Label)—A decal usually affixed to the left front door or door jamb certifying the vehicle meets federal safety and bumper standards. All 1987 and later model year vehicles will have a revised label which includes the phrase “Safety, Bumper, and Theft Prevention”;

(E) High theft line vehicle parts identification—The full VIN on a label or inscribed onto all covered major parts except that manufacturers who were utilizing a derivative of the VIN of at least eight (8) characters to identify engines and transmissions as of October 24, 1984, may continue to use the VIN derivative for engines and transmissions. Covered new and replacement major parts to be numbered are engine, transmission, both front fenders, hood, all doors, both bumpers, both rear quarter panels, deck lid, tailgate or hatchback, sliding or cargo door(s), right and left side assembly on Multi-Purpose Vehicles (MPV), pickup box, and/or cargo box on Light Duty Trucks (LDT) of 1987 and newer high theft line vehicles. Covered manufactured replacement parts for covered lines must have the symbol “DOT” and the letter “R” within five (5) centimeters of the manufacturer’s registered trademark, or some other unique identifier. All of these characters must be at least one (1) centimeter in height;

(F) ID/OD and VIN verifications—A verification of the vehicle identification number and odometer reading of motor vehicles previously titled in another state and/or a verification of the PVIN to correct typographical errors, upon a request from the Department of Revenue;

(G) Proof of ownership—This includes a manufacturer’s statement of origin or certificate of title, a notarized bill of sale when accompanied by photocopies of the front and back of the title or a court order assigning ownership and a bill of sale for essential component parts.

1. Manufacturer’s statement of origin is a certificate issued by the manufacturer of a vehicle or vehicle body part describing the vehicle or vehicle part and listing applicable numbers.

2. Certificate of title is the primary document issued by the Department of Revenue or other governmental agency denoting ownership of a vehicle.

3. Notarized bill of sale is a document conveying ownership from one party to another that has been witnessed by a notary.

4. Court order is a declaration issued by a court establishing ownership when ownership is questionable.

5. Bill of sale is a descriptive document containing the year, make, model and appropriate identification numbers conveying ownership from one (1) party to another;

(H) PVIN—The public vehicle identification number;

(I) Rebuilt salvage motor vehicle—A vehicle which has been issued a salvage certificate of title and repaired or restored to its original appearance and design by means of repaired sheet metal, replacement with new or used essential parts of the same vehicle make, model or description and/or by replacement of not more than one (1) major component part;

(J) Reconstructed motor vehicle—A vehicle that is altered from its original construction by the addition or substitution of two (2) or more new or used major component parts, excluding motor vehicles made from all new parts, and new multistage manufactured vehicles; and (K) TVIN—The transmission vehicle identification number.

Rescinded and readopted: Filed March 2, 1998, effective Aug. 30, 1998. Amended: Filed Nov. 1, 2002, effective April 30, 2003. *Original authority: 301.190, RSMo 1939, amended 1947, 1965, 1981, 1983, 1984, 1985,

History

• AUTHORITY: section 301.190, RSMo 2000. Original rule filed May 10, 1991, effective Sept. 30, 1991. Emergency rescission and rule filed March 2, 1998, effective April 1, 1998, expired Sept. 27, 1998.

11 CSR 50-2.510 General Information {#sec-11-csr-50-2.510 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.510}

PURPOSE: This rule outlines general information applicable to completion of vehicle identification verification.

(1) Vehicle owners are allowed to submit their vehicles to any designated examination location within the state by appointment. Current locations may be obtained by contacting the local Missouri State Highway Patrol Troop Headquarters.

(2) Vehicles presented by out-of-state residents will not normally be examined unless the owner is in the process of becoming a Missouri citizen.

(3) All vehicles, except those requiring a title or Identification/ Odometer (ID/OD) Verification, shall be brought to the troop headquarters, troop service centers or other location approved by the Missouri State Highway Patrol.

(4) Vehicles must be capable of being driven/positioned into and out of the examination area.

(5) Vehicles required to be towed or hauled to the examination site must be able to be unloaded and reloaded by the person presenting the vehicle.

(6) Vehicles may not be left at the examination site before or after the examination.

(7) The owner or his/her representative will not be allowed to remain in the examination area, but will remain at the site should any questions arise, or any additional body part(s) need to be removed to expedite the examination.

(8) Examination personnel may refuse to conduct an examination for the following reasons:

(A) The person presenting the vehicle does not have proof of ownership of the basic vehicle;

(B) The vehicle owner is unable to produce a copy of the title front and back and a descriptive notarized bill of sale for the major component part(s) or bill of sale for other essential

part(s) used in rebuilding or restoring the vehicle;

(C) A validated Vehicle Examination Certificate is not presented;

(D) The Vehicle Examination Certificate is not completed properly;

(E) The vehicle has body damage or is not complete, excluding paint minor dings/dents or scratches;

(F) The motor, transmission or frame is extremely dirty or greasy so as to prevent reasonable access to the identification numbers;

(G) Body parts have not been removed which permit access to vehicle identification numbers or the person presenting the vehicle cannot remove additional body part(s);

(H) The owner is required to have a special license in accordance with section 301.218, RSMo and does not possess the required license; or (I) The vehicle has been transported to the examination site and cannot be unloaded and/or driven/positioned in the examination area.

(9) Personnel will not complete or sign a Vehicle Examination Certificate if during the examination there is a question as to whether a part is stolen or if stolen parts are detected.

Amended: Filed Nov. 1, 2002, effective April 30, 2003. *Original authority: 301.190, RSMo 1939, amended 1947, 1965, 1981, 1983, 1984, 1985,

History

• AUTHORITY: section 301.190, RSMo 2000. Original rule filed May 10, 1991, effective Sept. 30, 1991. Amended: Filed Sept. 30, 1993, effective April 9, 1994. Emergency rescission and rule filed March 2, 1998, effective April 1, 1998, expired Sept. 27, 1998. Rescinded and readopted: Filed March 2, 1998, effective Aug. 30, 1998.

11 CSR 50-2.520 Procedures {#sec-11-csr-50-2.520 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-2.520}

PURPOSE: This rule lists the requirements for completing vehicle identification number verifications on specific types of vehicles.

(1) Rebuilt Vehicles.

(A) A person presenting a rebuilt or reconstructed vehicle for a vehicle identification number (VIN) verification will be required to present the following, when applicable:

1. The vehicle with the necessary parts removed for 2. Proof of ownership for the basic vehicle;

2. Proof of ownership for engine, transmission, any essential parts or any major component parts used in the reconstruction or rebuilding process; and 4. The Vehicle Examination Certificate properly completed (B) The director of revenue shall determine how the vehicle (2) Specially Constructed Vehicles.

(A) A person presenting a specially constructed vehicle for a VIN verification will be required to present the following, when 1. The vehicle with the necessary parts removed for 2. Proof of ownership for the basic vehicle;

3. Proof of ownership for engine, transmission, any essential parts or any major component parts used in construction; and 4. The Vehicle Examination Certificate properly completed (B) The director of revenue will determine how the vehicle (3) Kit Vehicles.

(A) A person presenting a kit vehicle for a VIN verification will be required to present the following, when applicable:

1. The vehicle with the necessary parts removed for 2. The manufacturer’s statement of origin for the premanufactured vehicle body;

2. Proof of ownership for engine, transmission, any essential parts or any major component parts used in construction; and 4. The Vehicle Examination Certificate properly completed (B) The director of revenue will determine how the vehicle (4) Cab Change Vehicles.

(A) A person presenting a cab change vehicle for a VIN verification will be required to present the following, when 1. The vehicle with the necessary parts removed for 2. Proof of ownership for the basic vehicle;

3. The original title assigned to the basic vehicle owner or a copy of the front and back of the title for the replacement cab with a notarized descriptive bill of sale;

4. The manufacturer’s statement of origin for the newly manufactured cab;

5. Bill of sale for the other essential part(s); and 6. The Vehicle Examination Certificate properly completed, if the vehicle has a salvage title or the original appearance of the vehicle has changed.

(B) The director of revenue will determine how the vehicle (5) Non-United States of America (USA) Standard Vehicles.

(A) A person presenting a non-USA Standard motor vehicle for a VIN verification will be required to present the following, when applicable:

1. The vehicle with the necessary parts removed for 2. Proof of ownership for the vehicle; and 3. The Vehicle Examination Certificate properly completed (B) The director of revenue will determine how the vehicle (6) Motor Change Vehicles.

(A) A person presenting a motor change vehicle for a VIN verification will be required to present the following, when 1. The vehicle with the necessary parts removed for 2. Proof of ownership for the basic vehicle;

3. Proof of ownership for the engine or an affidavit of motor change; and 4. The Vehicle Examination Certificate properly completed (B) The director of revenue will determine how the vehicle (7) Vehicles Requiring Replacement of Public VIN Plate.

(A) A person presenting a vehicle requiring the replacement of the public VIN plate will be required to present the following, when applicable:

1. The vehicle with the necessary parts removed for 2. Proof of ownership for the vehicle; and 3. An Application for a Replacement Vehicle Identification Number Plate form with the top portion completed and notarized.

(B) The director of revenue will determine how the vehicle (8) Abandoned/Towed/Out-of-State Towed Vehicles.

(A) A person presenting a vehicle for a VIN verification to a designated examination location will be required to present the following, when applicable:

1. The vehicle with necessary parts removed for 2. Proof of ownership for the vehicle, which may vary depending on the circumstances surrounding the requested 3. A completed Crime Inquiry and Inspection Report/ Authorization to Tow, if a tow company;

2. The Vehicle Examination Certificate properly completed (B) The director of revenue will determine how the vehicle (9) Abandoned Property Located on Privately Owned Real Estate.

(A) A person presenting abandoned property pursuant to

section 301.193, RSMo, to a designated examination location, who has no proof of ownership will be required to present the following, when applicable:

1. The vehicle or watercraft with necessary parts removed for examination;

2. Vehicles require the Vehicle Examination Certificate, properly completed and signed;

3. Watercraft require the Watercraft AND/OR Outboard Motor Affidavit of Ownership and Inspection, properly completed and signed.

(B) The director of revenue will determine how the vehicle/ watercraft/outboard motor will be titled.

Amended: Filed Nov. 1, 2002, effective April 30, 2003. *Original authority: 301.190, RSMo 1939, amended 1947, 1965, 1981, 1983, 1984, 1985,

History

• AUTHORITY: section 301.190, RSMo 2000. Original rule filed May 10, 1991, effective Sept. 30, 1991. Amended: Filed Sept. 30, 1993, effective April 9, 1994. Emergency rescission and rule filed March 2, 1998, effective April 1, 1998, expired Sept. 27, 1998. Rescinded and readopted: Filed March 2, 1998, effective Aug. 30, 1998.

Chapter 3 Aids to Navigation and Regulatory Markers

11 CSR 50-3.010 Aids to Navigation and Regulatory Markers {#sec-11-csr-50-3.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-3.010}

PURPOSE: This rule regulates the placement of aids to navigation and regulatory markers on the waterways of the state of Missouri to ensure that such aids and markers are uniform and promote the public safety and welfare.

(1) All persons requesting permission to place or have placed an aid to navigation or regulatory marker as defined in section 306.124, RSMo. on the waterways of the state of Missouri may submit a completed application form supplied by the Missouri State Highway Patrol, Water Patrol Division.

Applications are due forty-five (45) days prior to the hearing date. The application will be reviewed by the Water Patrol Division, at a public hearing after notice of the hearing has been published in the county paper at least ten (10) days before the hearing.

(2) Applications for buoys one hundred feet (100') from a dock are as follows:

(A) Applications must include a copy of the applicant’s dock permit (section 306.903, RSMo);

(B) Applications should indicate the proposed placement of the buoy(s) requested in relationship to the applicant’s dock. The preferred placement of individual buoys is one hundred feet (100') from the dock and centered;

(C) “No wake-idle speed” buoys are impermissible for docks that are less than three hundred feet (300') from a dock on the opposite side of the waterway due to constriction and increased potential for accidents. If no dock is present, the measurement from the applicant’s dock to the opposite shoreline would be utilized; and (D) Generally, a buoy permit will not be issued if a dock within three hundred feet (300') of the applicant’s dock is already permitted a buoy. Exceptions due to the contour of the shoreline and/or the positioning of docks may be allowed when boating safety in the area is enhanced by the placement of a buoy.

(3) Applications to buoy the full width of a cove includes:

(A) Applications to buoy the full width of a cove may be approved only after a public hearing;

(B) The width of the waterway is determined by the distance between docks on the opposing shorelines, unless no docks are present. This method of measurement represents the actual navigational width of the proposed area;

(C) If the width of the waterway is such that the distance between docks on opposite sides of the waterway exceeds four hundred feet (400'), the waterway may be buoyed if the volume of boating traffic is significantly disproportionate to similar areas on the same body of water, or boating accident data support the need for “no wake-idle speed” buoys. If the distance between opposing docks is disputed, the applicant, at his/her expense, may have an official survey conducted by a Missouri registered surveyor to determine the exact distance;

(D) Applications to buoy the full width of any portion of a waterway, should include a plot map of the area with all affected owner names on their plot;

(E) The applicant is responsible for submitting proof of property ownership and signed petitions which document that seventy-five percent (75%) or more of property owners in the affected area are in favor of the proposal. A sample petition may be requested from the Water Patrol Division;

(F) Property ownership by those in the affected area is determined by submission of a copy of the property owner’s dock permit, or if no dock is present, a copy of the property owner’s real estate property tax receipt;

(G) For individually owned real property bordering the affected waterway, there is to be a one (1) property, one (1) vote rule applied; however, owners with multiple properties within the affected area may cast only one (1) vote. Marinas are considered the same as individually owned real property.

Property easements bordering the waterway are considered one (1) eligible vote if there is a permitted dock associated with the easement. As with all eligible voters, proof of ownership is necessary;

(H) For real property containing multifamily housing, such as condominiums, a one (1) boat dock, one (1) vote rule applies, with a maximum of five (5) eligible votes. Multifamily housing property ownership is determined by providing a copy of each dock permit. The vote(s) are to be cast by the association or entity possessing authority to do so;

(I) For all other community docks, a one (1) boat dock, one (1) vote rule applies, with a maximum of five (5) eligible votes per community. Community dock(s) ownership is determined by providing a copy of each dock permit. The vote(s) are to be cast by the association or entity possessing authority to do so;

(J) Final determination on voting eligibility will be made by the Water Patrol Division when circumstances exist which are not clearly defined by buoy guidelines;

(K) Placement of buoys in a diagonal pattern across a no wake cove or no wake zone, rather than a straight line, may be permitted if the shoreline and situation necessitate such a pattern;

(L) If there are permitted buoys within the affected area, the permit number of the existing buoys should be submitted with the application. If the application is approved, all existing buoy permits within the affected area may be revoked, unless the Water Patrol Division determines it is in the interest of public safety to retain some or all existing permitted buoys;

(M) Owners of property within a permitted no wake cove, no wake zone, or otherwise restricted area may, by signed petitions, request a revocation of the permit. Revocation may only be considered, however, if twentysix percent (26%) or more of property owners favor the revocation. Eligible votes and proof of property ownership are determined in the same manner as the process used for new applications;

(N) Generally, the buoy line for a no wake cove or no wake zone consists of a minimum of three (3) buoys. Depending on the width of the waterway and volume of boating traffic, a floating sign(s) conforming to prescribed markings may be permitted in conjunction with buoys. The buoy line is to be installed in accordance with the approved permit. The buoy line generally will not be approved to be placed more than one hundred feet (100') out from the location of measurement used to determine the width of the waterway. Agreement is to be reached in writing with the owner of any dock located at the proposed buoy line and the owner of any dock located within one hundred feet (100') outside of the proposed buoy line regarding the placement of the proposed buoys; and (O) Applications may be submitted by property owners located on a waterway narrowing to less than eight hundred feet (800') in width to restrict vessels forty feet (40') in length or greater to no wake. To ensure uniformity, the eight hundred feet (800') width eligibility applies to coves or main channel areas. Waterways eight hundred feet (800') or greater in width will not be considered for this restriction unless the volume of boating traffic is significantly disproportionate to similar areas on the same body of water, or JOHNR. ASHCROFT(7/31/19) boating traffic accident data support the need for the restriction. This restriction may be indicated by buoy markers, signage on docks, or signage on the shoreline, as specified in the permit by the Water Patrol Division.

Applications where signage is a requirement on docks or shoreline property, are to include proof of ownership and written consent from each owner where signs will be posted.

Applications under this clause will be heard by the Water Patrol Division at a public hearing. Petitions from property owners in the affected area are unnecessary for this limited no wake restriction. Approval is based on the enhancement of public safety in the proposed area and testimony provided at the hearing. If approved, the permit holder is responsible for maintaining the buoys and/or signage as indicated in the permit.

(4) Displaying of buoy permit number includes:

(A) A buoy’s permit number is to be displayed legibly on the side of the buoy and within three inches (3") of the top of the buoy;

(B) A sign’s permit number is to be displayed legibly on the upper left corner of the sign, as facing the sign, and within three inches (3") of the top of the sign; and (C) Permit numbers will be a minimum of one inch (1") block style, black numbers, and hyphenated as indicated on the permit.

(5) Display of lighting on buoys and signs includes:

(A) Flashing lights for permitted buoys may be approved only if deemed necessary for safe navigation. Flashing lights for buoys will be solar, white flashing lights, fifteen flashes per minute (15FPM); and (B) Flashing lights for permitted signs will be solar, amber flashing lights, fifteen flashes per minute (15FPM). Each sign is to display a minimum of two (2) lights.

(6) Modification(s) to an existing buoy permit must be approved by the Water Patrol Division. A request to modify an existing permit may require a new application and public hearing if the modification would have a significant effect on boating traffic in the immediate area as determined by the Water Patrol Division. Permit holders are to notify the Water Patrol Division if they have a change of mailing address or transfer of property ownership.

(7) Buoy permits for individual docks are non-transferable. New property owners may re-apply for a buoy based on current buoy guidelines.

(8) Buoy applications for the same general area may be considered not more than two (2) times within any twelve (12) consecutive month period.

(9) Applicants who have been rejected twice within a twelve (12) month period for the same general area may submit a letter of appeal to the superintendent of the Missouri State Highway Patrol.

(10) Temporary buoy permits for regattas, construction sites, etc., are to each be considered on their own merits.

(11) It is the responsibility of the permit holder to purchase, install, and maintain all approved buoys and signs. All approved buoys and signs are to be installed and in place from April 1 through October 1 each year. Permitted buoys and signs may remain installed the remainder of the year, if they are maintained according to the permit. Buoys and signs approved for new applications during the May hearings are to be installed within thirty (30) days of the approval date. All buoys and signs are to be reflective and compatible with the Uniform State Waterway Marking System as established by the United States Coast Guard. The director of the Water Patrol Division may revoke the permit of any permit holder upon failure to abide by these rules.

(12) An existing permit may be revoked, if in the opinion of the Water Patrol Division, the permit or placement of the buoy(s) is no longer necessary or warranted due to modifications in development of the affected area, or boat traffic no longer warrants such a permit.

(13) The Water Patrol Division retains, pursuant to section 306.124, RSMo, sole discretion to provide for the uniform marking of the waterways of this state through the placement of aids to navigation and regulatory markers.

The Water Patrol Division may approve or revoke regulatory markers and navigational aids on any area of the waterways of this state when public safety is enhanced by the regulation or deregulation of boating traffic. The Water Patrol Division may consider boating density, traffic patterns, accident data, and other pertinent criteria prior to approval of an application or revocation of a permit.

(14) Nothing in this rule may be construed to create in any other party any right or entitlement to the privilege of placing such aids or markers on behalf of the Water Patrol Division.

Original rule filed Dec. 18, 1975, effective Dec. 28, 1975. Amended: Filed Aug. 25, 1977, effective Jan. 13, 1978. Amended:

Filed Sept. 13, 1983, effective Jan. 13, 1984.

Amended: Filed May 31, 1984, effective Sept. 14, 1984. Amended: Filed Oct. 29, 1999, effective April 30, 2000. Amended: Filed Nov. 7, 2003, effective April 30, 2004. Moved to 11 CSR 50-3.010 and amended: Filed Feb. 7, 2019, effective Aug. 30, 2019. *Original authority: 306.124, RSMo 1969, amended 1985, 1989, 2002 and 306.125, RSMo 1989, amended 1995, 1997, 2008.

Op. Atty. Gen. No. 292, Bolinger, 6-25-71.

The Missouri Boat Commission is authorized to establish speed limit zones on the waterways of Missouri and to enforce compliance with such regulations.

4CODE OF STATE REGULATIONS

(7/31/19) JOHNR. ASHCROFT

History

• AUTHORITY: section 306.124, RSMo 2016, and section 306.125, RSMo Supp. 2018. This rule originally filed as 11 CSR 80-5.010.

Chapter 4 Mandatory Boater Safety Education Program

11 CSR 50-4.010 Mandatory Boater Safety Education Program {#sec-11-csr-50-4.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-4.010}

PURPOSE: This rule defines the responsibilities and procedures regarding mandatory boater safety education pursuant to section 306.127, RSMo for vessel operators on the waterways of the state of Missouri to ensure and promote public safety and welfare.

(1) The minimum standards for certified boater education shall be the standards established by the National Association of State Boating Law Administrators (NASBLA).

(2) It is the responsibility of the person to whom a boater education certification card is issued to notify the Missouri State Highway Patrol of name and address changes. Upon notification, the Missouri State Highway Patrol may issue a replacement certification card for a fee that does not substantially exceed the administrative and production costs of the certification cards.

(3) As used in section 306.127, RSMo, sub-

section 4, paragraph 8, the term “previously” means prior to January 1, 2005, but does not exempt the boat operator from the requirement to carry the certification card.

(4) As indicated in section 306.127, RSMo, subsection 7, the Missouri State Highway Patrol’s Water Patrol Division will develop a boating safety checklist which will be used by any participating business in the temporary boater identification card program. The checklist must be completed by the applicant in the presence of the owner or an employee of the business issuing the temporary permit.

The applicant will acknowledge understanding of the checklist prior to the issuance of the temporary permit. The checklist will consist of state boating law requirements and other operator responsibilities associated with boating safety. The checklist may be modified by the Water Patrol Division to reflect boating safety trends identified from boat accident data.

Original rule filed Nov. 26, 2003, effective May 30, 2004. Moved to 11 CSR 50-4.010 and amended: Filed Feb. 7, 2019, effective Aug. 30, 2019. *Original authority: 306.129, RSMo 2003.

JOHNR. ASHCROFT(7/31/19)

History

• AUTHORITY: section 306.129, RSMo 2016. This rule originally filed as 11 CSR 80-9.010.

Chapter 5 Diver's Flag Regulations

11 CSR 50-5.010 Diver’s Flag {#sec-11-csr-50-5.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-5.010}

PURPOSE: The Missouri State Highway Patrol shall establish safety standards for divers for the public health and welfare. This

rule establishes diver’s flag regulations.

(1) A diver’s flag is to be rectangular and a minimum of twelve inches by sixteen inches (12" x 16"). The flag will be red in color except for a two-inch (2") white diagonal stripe running from top left to lower right corner.

(2) Flags should be displayed so that the top of the flag shall be a minimum of three feet (3') above the water if they are displayed on any type of buoyant device with the exception of a boat or a raft; then displayed so as to be visible at a three hundred sixty degree (360°) angle.

(3) The flag may be exhibited only during diving operation.

Original rule filed March 8, 1973, effective March 18, 1973. Amended: Filed Dec. 16, 1999, effective July 30, 2000. Moved to 11 CSR 50-5.010 and amended: Filed Feb. 7, 2019, effective Aug. 30, 2019. *Original authority: 306.217, RSMo 1972, amended 1989.

JOHNR. ASHCROFT(7/31/19)

History

• AUTHORITY: section 306.217, RSMo 2016. This rule originally filed as 11 CSR 80-2.010.

Chapter 6 Skiing Standards

11 CSR 50-6.010 Ski Mirror {#sec-11-csr-50-6.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-6.010}

PURPOSE: Under section 306.120, RSMo, the Missouri State Highway Patrol shall establish an approved ski mirror for the safety and well-being of the public.

(1) Ski mirrors, affixed to a boat or vessel, shall be of a type that recurves and reflects one hundred eighty degrees (180°) of vision.

The reflecting portion of the mirror shall be no less than three inches (3") in width and eight inches (8") in length.

Original rule filed July 18, 1975, effective July 28, 1975. Amended: Filed Dec. 16, 1999, effective July 30, 2000. Moved to 11 CSR 50-6.010 and amended: Filed Feb. 7, 2019, effective Aug. 30, 2019. *Original authority: 306.120, RSMo 1959, amended 1969.

JOHNR. ASHCROFT(7/31/19)

History

• AUTHORITY: section 306.120, RSMo 2016. This rule originally filed as 11 CSR 80-3.010.

Chapter 7 Vessel Identification Number and Expiration Sticker Placement

11 CSR 50-7.010 Display of Identification Numbers {#sec-11-csr-50-7.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-7.010}

PURPOSE: The Missouri State Highway Patrol shall establish a uniform manner of displaying identification numbers for motorboats and vessels as prescribed in section 306.030, RSMo.

(1) The identification number awarded to a boat or vessel is to be painted on or attached to each side of the forward half of the vessel in a position to provide clear legibility, that is, dark numbers on a light background or light numbers on a dark background providing a sharp contrast in color.

(2) The identification numbers shall read from left to right and shall be in block characters of good proportions not less than three inches (3") in height. The numbers are to be divided into parts with the letters, prefix and suffix, separated from the numbers by twoinch (2") spaces. A hyphen may be placed within the two-inch (2") space.

(3) No number other than the identification number awarded to a boat or vessel or granted reciprocity may be painted, attached, or otherwise displayed on either side of the bow of the boat or vessel.

Original rule filed May 22, 1975, effective June 1, 1975. Amended: Filed March 25, 1980, effective July 11, 1980. Amended: Filed Dec. 16, 1999, effective July 30, 2000.

Moved to 11 CSR 50-7.010 and amended:

Filed Feb. 7, 2019, effective Aug. 30, 2019. *Original authority: 306.030, RSMo 1959, amended 1969, 1975, 1985, 1995.

History

• AUTHORITY: section 306.030, RSMo 2016. This rule originally filed as 11 CSR 80-4.010.

11 CSR 50-7.020 Display of Expiration (Renewal) Stickers {#sec-11-csr-50-7.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-7.020}

PURPOSE: The Missouri State Highway Patrol shall establish a uniform manner of displaying expiration (renewal) stickers for motorboats and vessels as prescribed in section 306.030, RSMo, Supp. 1999.

(1) The expiration (renewal) stickers awarded to a boat or vessel shall be attached to each side of the forward half of the vessel directly below the identification number.

History

• AUTHORITY: section 306.030, RSMo Supp. 2018. This rule originally filed as 11 CSR 80-7.010. Original rule filed March 25, 1980, effective July 11, 1980. Amended: Filed Dec. 16, 1999, effective July 30, 2000. Moved to

11 CSR 50-7.020 and amended: Filed Feb. 7, 2019, effective Aug. 30, 2019. *Original authority: 306.030, RSMo 1959, amended 1969, 1975, 1985, 1995, 2006, 2008, 2018. {#sec-11-csr-50-7.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 50-7.020}

JOHNR. ASHCROFT(7/31/19)

Division 60 Division of Highway Safety

Chapter 1 Moved to 7 CSR 60-1

11 CSR 60-1.010 Definitions {#sec-11-csr-60-1.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 60-1.010}

(Moved to 7 CSR 60-1.010)

11 CSR 60-1.020 Program Sponsor {#sec-11-csr-60-1.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 60-1.020}

(Moved to 7 CSR 60-1.020)

11 CSR 60-1.030 Motorcycle Instructor {#sec-11-csr-60-1.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 60-1.030}

(Moved to 7 CSR 60-1.030)

11 CSR 60-1.040 Student Admission Requirements {#sec-11-csr-60-1.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 60-1.040}

(Moved to 7 CSR 60-1.040)

11 CSR 60-1.050 Verification of Course Completion {#sec-11-csr-60-1.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 60-1.050}

(Moved to 7 CSR 60-1.050)

11 CSR 60-1.060 Approved Motorcycle Training Courses {#sec-11-csr-60-1.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 60-1.060}

(Moved to 7 CSR 60-1.060)

11 CSR 60-1.070 Motorcycle Requirements {#sec-11-csr-60-1.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 60-1.070}

(Moved to 7 CSR 60-1.070)

11 CSR 60-1.080 Notice and Hearing Requirements {#sec-11-csr-60-1.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 60-1.080}

(Moved to 7 CSR 60-1.080)

11 CSR 60-1.090 Sponsor Suspension {#sec-11-csr-60-1.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 60-1.090}

(Moved to 7 CSR 60-1.090)

11 CSR 60-1.100 Quality Assurance Visits {#sec-11-csr-60-1.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 60-1.100}

(Moved to 7 CSR 60-1.100)

11 CSR 60-1.110 Sponsor Pre-Suspension Notification {#sec-11-csr-60-1.110 omnilex-key=us-mo-regs-official--title-11--11 CSR 60-1.110}

(Moved to 7 CSR 60-1.110)

ROBINCARNAHAN(4/30/08)

Chapter 2 Moved to 7 CSR 60-2

11 CSR 60-2.010 Definitions {#sec-11-csr-60-2.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 60-2.010}

(Moved to 7 CSR 60-2.010)

11 CSR 60-2.020 Approval Procedure {#sec-11-csr-60-2.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 60-2.020}

(Moved to 7 CSR 60-2.020)

11 CSR 60-2.030 Standards and Specifications {#sec-11-csr-60-2.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 60-2.030}

(Moved to 7 CSR 60-2.030)

11 CSR 60-2.040 Responsibilities of Authorized Service Providers {#sec-11-csr-60-2.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 60-2.040}

(Moved to 7 CSR 60-2.040)

11 CSR 60-2.050 Breath Alcohol Ignition Interlock Device Security {#sec-11-csr-60-2.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 60-2.050}

(Moved to 7 CSR 60-2.050)

11 CSR 60-2.060 Suspension, or Revocation of Approval of a Device {#sec-11-csr-60-2.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 60-2.060}

(Moved to 7 CSR 60-2.060)

ROBINCARNAHAN(4/30/08) and Operational Requirements11 CSR 60-2

Division 70 Division of Alcohol and Tobacco Control

Chapter 1 General Organization

11 CSR 70-1.010 Organization and Methods of Operation {#sec-11-csr-70-1.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-1.010}

PURPOSE: This rule describes the organization, methods of operation and procedures of the Division of Liquor Control.

(1) The Department of Liquor Control was established under the Liquor Control Act passed by the Fifty-Seventh General Assembly in extra session, was signed by the governor on January 13, 1934 and became effective on that date. The Omnibus State Reorganization Act of 1974 created the Department of Public Safety and made the Department of Liquor Control a division of that department. The Liquor Control Law is sections 311.010, RSMo. On August 28, 2001, the division gained responsibility for enforcement of youth access to tobacco laws and in 2003, was renamed the Division of Alcohol and Tobacco Control. The division enforces the tobacco laws under sections 407.925 through 407.934, RSMo.

(2) The supervisor of Alcohol and Tobacco Control is vested with the exclusive power to issue and to revoke or suspend licenses for the sale of intoxicating liquor and with the power to make rules governing the conduct and method of operation of all licensees set out in section 311.660(10), RSMo.

(A) The supervisor, with the approval of the director of the Department of Public Safety, is authorized to appoint and employ all agents, assistants, deputies, and inspectors as are necessary for the proper enforcement and administration of the Liquor Control Law.

(B) These appointees are prohibited from participating in any type of partisan political activity and are likewise prohibited from electioneering for or against any proposition to be voted on at any election. Appointees are required to meet minimum physical and mental requirements and receive training in the laws and their enforcement.

(3) All licenses issued by the Division of Alcohol and Tobacco Control expire on the thirtieth day of June, next following the date that the license was issued. Correct license fees shall be paid before any license is issued.

Cities and counties are permitted by law to license and regulate the sale of liquor.

(4) The supervisor of Alcohol and Tobacco Control, agents of the Division of Alcohol and Tobacco Control, prosecuting attorneys, sheriffs, their deputies, and police officers are charged with the duty of enforcing the Liquor Control Law. The division works closely with other law enforcement agencies and personnel in an effort to ensure compliance with the liquor control laws and youth access to tobacco laws.

(A) It is the purpose of the division to assist licensees and to eliminate the persistent violator. The supervisor of Alcohol and Tobacco Control has the authority to impose civil penalties and suspend or revoke licenses.

Amended: Filed Feb. 27, 1998, effective Aug. 30, 1998. Amended: Filed Oct. 10, 2018, effective May 30, 2019. *Original authority: 311.660, RSMo 1939, amended 1989.

Brown-Forman Distillers Corp. v. Stewart 520 SW2d 1 (Mo. banc 1975). Supervisor of liquor control is statutorily vested with the power and authority to promulgate valid regulations to fill in the interstices of the Liquor Control Law. Rules which are inpari materia must be construed together. The broad, yet valid, authority conferred upon the supervisor by subsections (6) and (10) of section 311.660, RSMo 1969 is limited only in the respect that regulations be necessary, reasonable and not inconsistent with the Liquor Control Law.

Miligram Food Stores, Inc. v. Ketchum, 384 SW2d 510 (Mo. App. 1965); cert. denied 382 U.S. 801. Section 311.660, RSMo 1969 does not vest the supervisor of liquor control with arbitrary discretion to make rules and regulations because he is limited to making rules that are reasonable and consistent with the (liquor control) law.

JOHNR. ASHCROFT(4/30/19)

History

• AUTHORITY: section 311.660, RSMo 2016. Original rule filed Dec. 31, 1975, effective Jan. 10, 1976. Amended: Filed Dec. 4, 1984, effective March 11, 1985. Amended: Filed Jan. 8, 1990, effective April 26, 1990.

Chapter 2 Rules and Regulations

11 CSR 70-2.030 Change of Facts, Posting, Transfer, and Lost Licenses—Executors— {#sec-11-csr-70-2.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.030}

11 CSR 70-2.100 Report of Brewers, Beer Manufacturers, Solicitors, and Beer Wholesalers ..10 {#sec-11-csr-70-2.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.100}

11 CSR 70-2.220 Prohibiting Manufacturers and Solicitors of Intoxicating Liquor and Licensed Retailers From Contacting Each Other for Business {#sec-11-csr-70-2.220 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.220}

11 CSR 70-2.270 Transfer and Registration of Lines or Brands of Spirituous Liquor and Control {#sec-11-csr-70-2.270 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.270}

11 CSR 70-2.010 Definitions {#sec-11-csr-70-2.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.010}

PURPOSE: This rule defines certain terms pertaining to and commonly used throughout Chapter 311, RSMo, and the rules and regulations of the supervisor of liquor control.

(1) Close proximity refers to two (2) or more areas that are located on one (1) continuous tract of land owned or leased by the same person, or within line of sight of one another, or located on an adjoining property owned or leased by the same person.

(2) Delivery occurs when a licensee transports or uses an employee or agent to transport intoxicating liquor to a consumer at a location other than the licensed premises.

(3) Direct financial interest means personally having, owning, or otherwise holding a financial interest.

(4) Domestic wine is defined in accordance with section 311.190, RSMo.

(5) Good moral character refers to honesty, fairness, and respect for the rights of others and for the laws of the state and nation.

(6) Indirect financial interest means enjoying the benefits of a direct financial interest of another person, as that term is defined in section 311.030, RSMo, or having any control over another person with a direct financial interest, including but not limited to: a spouse, minor child, or other relative living in the same home holding a direct financial interest; sharing monetary assets or liabilities with another person with a direct financial interest; having more than a ten percent (10%) ownership interest in another person with a direct financial interest; directly managing or serving as the managing officer of another person with a direct financial interest; or sharing common ownership where the common owner has more than a ten percent (10%) interest in each person.

(7) Intoxicating liquor is defined in accordance with section 311.020, RSMo.

(8) Malt liquor or beer is defined in accordance with section 311.490(1) and (2), RSMo.

(9) Managing officer means an individual in an applicant or licensee’s employ or agent thereof who shall be responsible for any licenses issued by the state supervisor and serves as the division’s primary point of contact with the applicant or licensee.

(10) The words manufacturer and manufacturer-solicitor, whenever used as nouns in Chapter 311, RSMo, and in these regulations, are synonymous.

(11) Ordinary Commercial Credit.

(A) Malt Beverages. Ordinary commercial credit for malt beverages is credit that requires payment to be made by the retail licensee by the last day of the month for malt beverages delivered on or after the first day of the month and up to and including the fifteenth day of the month and by the fifteenth day of the following month for malt beverages delivered to the retail licensee on or after the sixteenth day of the month and up to and including the last day of the month. No brewer or wholesaler may sell or deliver malt beverages while the retail licensee owes the brewer or wholesaler for malt beverages beyond the period of time as indicated in this subsection.

(B) Spirituous Liquor and Wine. Ordinary commercial credit for spirituous liquor and/or wine is credit that requires payment to be made by the retail licensee within thirty (30) days after the delivery of spirituous liquor and/or wine to the retail licensee. No distiller, wholesaler, or wine maker may sell or deliver spirituous liquor and/or wine while the licensee owes the distiller, wholesaler, or wine maker for spirituous liquor and/or wine beyond the period of time as indicated in this subsection.

(12) Original package refers to any package containing one (1) or more bottles, pouches, or cans of malt liquor, spirituous liquors, or wine in the manufacturer’s original sealed container.

(13) The word permit, whenever used as a verb in Chapter 311, RSMo, and in these regulations, means to have knowledge of an event or activity and to authorize, make possible, allow by tacit consent, or fail to prevent said event or activity from occurring. Knowledge of an event or activity may be inferred if the event or activity occurs openly, or if knowledge of the event or activity could have been obtained through the exercise of reasonable care and diligence.

(14) The words permit and license, whenever used as nouns in

Chapter 311, RSMo, and in these regulations are synonymous.

(15) The words permittee and licensee, whenever used as nouns in Chapter 311, RSMo, and in these regulations are synonymous.

(16) Person is defined in accordance with section 311.030, RSMo.

(17) Premises or premise refers to any place where intoxicating liquor is sold or consumed and may be one (1) room, a building comprising several rooms, two (2) or more buildings permanently connected by a covered walkway, or a building with adjacent or surrounding land that has clearly delineated, permanent boundaries and is not used primarily for vehicular travel or parking, such as a lot or garden.

(18) Retailer is a person holding a license from the state supervisor authorizing the person to sell, offer to sell, or facilitate the sale of intoxicating liquor to consumers.

(19) Shipment occurs when a licensee uses a common carrier to transport intoxicating liquor to a consumer at a location other than the licensed premises.

(20) Spirits or spirituous liquor includes brandy, rum, whiskey, gin, any distilled intoxicating liquor, and all other preparations, dilutions, or mixtures for beverage purposes of a like character and excludes all other vinous, fermented, or malt liquors.

(21) Unlabeled liquor includes any intoxicating liquor that does not have a label affixed to the original package, that has a label affixed to the original package which has not been approved in accordance with state and federal laws and regulations, or that has an approved label that has been affixed to the original package in a way that is not in accordance with state or federal laws and regulations.

(22) The words wholesaler and/or wholesale-solicitor whenever used as nouns in Chapter 311, RSMo, and in these regulations, are synonymous.

(23) Wine is a vinous liquor produced by fermentation of juices of grapes, berries, or other fruits, or a preparation of certain vegetables by fermentation, and containing alcohol not in excess of twenty-two percent (22%) by volume.

(24) Two (2) cases of wine, as it is referred to in section 311.185, RSMo, shall mean the equivalent volume of four and seventysix hundredths (4.76) gallons shipped in a calendar month.

(25) Applicant refers to the sole proprietor, partnership, or entity applying for a liquor license.

(26) Entity refers to any association, corporation, limited liability company, limited partnership, or other business structure which has a separate legal existence from its owner(s). Entity also includes any business structure not in conformance with a sole proprietor or partnership structure as defined herein.

(27) Partnership refers to two (2) or more individuals who share control over the management and profits of a business structure. The business has no separate legal existence from the partners.

(28) Sole proprietor refers to one (1) individual who exercises exclusive control over the management and profits of a business structure. The business has no separate existence from its owner. Income and losses are taxed on the individual’s personal income tax return.

(29) Primary activity, when it relates to microbreweries, refers to the manufacture and sale of beer in excess of one hundred (100) gallons per year.

(30) Association, as it is used in section 311.030, RSMo, includes limited liability companies and all business entities not otherwise described in Chapter 311, RSMo, as a person.

Nov. 21, 1974, effective Dec. 1, 1974. Amended: Filed Sept. 30, 1976, effective Feb. 11, 1977. Amended: Filed Jan. 7, 1985, effective April 11, 1985. Amended: Filed Dec. 2, 1993, effective June 6, 1994.

Amended: Filed Jan. 22, 1996, effective July 30, 1996. Amended:

Filed Oct. 10, 2018, effective May 30, 2019. ** Amended: Filed Jan. 25, 2022, effective Aug. 30, 2022. Amended: Filed Dec. 19, 2023, effective July 30, 2024. Amended: Filed Aug. 1, 2024, effective **Pursuant to Executive Order 21-07, 11 CSR 70-2.010, section (5) was suspended from April 14, 2020 through August 27, 2021.

Op. Atty. Gen. No. 132, Russell (7-18-79). Ethanol used solely as a fuel for motor vehicle purposes is not a section 311.020, RSMo “intoxicating liquor.” Also, manufacturers of ethanol for fuel purposes need not be licensed under Chapter 311, RSMo if the ethanol is denatured by some means.

Op. Atty. Gen. No. 37, Mueller (1-17-79). Wines used as part of religious services are not “for beverage purposes” since they are not being consumed for the mere pleasure of drinking or for physical or mental exaltation. Therefore, these “sacramental wines” are not intoxicating liquors as defined in Chapter 311, RSMo.

11 CSR 70-2.020 Application for License {#sec-11-csr-70-2.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.020}

PURPOSE: This rule prescribes forms and applications and establishes procedure for the issuance of all intoxicating liquor licenses.

(1) Applications for licenses including payment for the correct amount of the license fee are to be submitted to the supervisor of Alcohol and Tobacco Control at the Central Office in Jefferson City, or any operational Alcohol and Tobacco Control field office within the state. If payment is rejected for insufficient funds and the licensee has not replaced such payment within fifteen (15) days of notification with sufficient funds, then beginning with the sixteenth day, if such licensee’s renewed license has been issued, such renewed license shall be suspended until the day following the day the licensee makes restitution for the insufficient funds payment, or if such licensee’s renewed license has not been issued, the renewed license shall not be issued until on or after the day following the day the licensee makes restitution for the insufficient funds payment.

(2) Application is to be made on the forms prescribed by the supervisor.

(3) No applicant may exercise the privileges of the license applied for prior to its issuance.

(4) If application is made by a partnership, the application shall set out the names and residences of all the partners, whether they be active or silent, and be signed by all the partners. All partners shall qualify under the laws of Missouri for the license.

(5) If application is made by an entity, the application shall set out the names and residences of any officers and all members or shareholders, whether they be active or silent, and be signed by the managing officer. The entity shall qualify under the laws of Missouri for the license. As used in this section for purposes of disclosure, “all members or shareholders” means all natural persons, regardless of corporate structure, who have a financial interest of five percent (5%) in either the profits or voting power of the licensed entity. The supervisor may require further disclosure of financial interest beyond the five percent (5%) threshold after the application is made consistent with section 311.060, RSMo.

(6) No application will be considered which is not complete.

No license may be granted to an applicant unless the applicant makes full, true, and complete answers to all questions in the application. Any false answer to any question in the application or omission of a material matter in the application, may be cause for denial of the application or discipline of any license issued pursuant to the application.

(7) Violation of any oath taken by a licensee or any person(s) listed in the application in connection with the application for a license is cause for denial of the application or discipline of any license issued pursuant to the application.

(8) If the supervisor of Alcohol and Tobacco Control has reason to believe that an applicant or any person(s) listed in the application has a criminal record and is not a person of good moral character, the supervisor may request that the applicant or person(s) listed in the application submit to being fingerprinted and fingerprints forwarded to the Department of Justice to ascertain if the applicant or person(s) listed in the application has been convicted of any crime.

(9) The surety on the bond of any licensee at any time may notify the supervisor of Alcohol and Tobacco Control and the licensee that s/he desires after a date named, which is at least thirty (30) days after the receipt of notification by the licensee and the supervisor, to be relieved of liability on the bond. Upon receipt, the privileges of the principal under the license as is supported by the bond may be terminated and cancelled on the date specified, unless supported by other sufficient bond(s), and the surety can be relieved of liability on the bond for any default of the principal accruing on and after the date named.

(10) Every applicant for a liquor license of any kind will present all applicable items listed on the checklist of requirements that corresponds to the application form as prescribed by the supervisor of Alcohol and Tobacco Control. Failure to present all applicable items may be cause for denial of the application or discipline of any license issued pursuant to the application.

(11) Every applicant for a liquor license of any kind must provide written notice to the supervisor of Alcohol and Tobacco Control if any fact or information changes from what is set forth in the application. Failure to provide written notice of such changes may be cause to deny the application or to discipline any license issued pursuant to the application.

(12) No license may be issued to the spouse, child(ren), stepchild(ren), parent(s), stepparent(s), son-in-law or daughterin-law, employee, or other person having any interest in the business of a licensee whose license has been revoked, for the privilege of doing business at the same location or in close proximity to the location of the establishment whose license was revoked until a period of five (5) years after the date of the revocation of the license, and then at the discretion of the supervisor of Alcohol and Tobacco Control.

(13) Ineligible Premises.

(A) No license may be issued for any premises that has been condemned by a federal, state, county, or local government entity, or has been declared a public and common nuisance by a court of law.

(B) No license may be issued for any premises that is transitory, moveable, or not permanently anchored to the ground, unless expressly permitted under Chapter 311, RSMo, or the regulations promulgated thereunder. This regulation does not apply to any applicant seeking a temporary license, except for temporary licenses issued under section 311.095, (C) No license may be issued for any premises that contains a private residence. Where an application seeks to license a portion of any building that contains a private residence, the building must have permanent partitions such that the licensed premises is separate and distinct from any residential areas. The licensed premises and the private residence must each have separate entrances and street addresses. This

regulation does not apply to hotels, motels, bed and breakfasts, any premises that offers commercial overnight lodging, or any premises that does not receive or store intoxicating liquor onsite for commercial use.

(D) No license may be issued to any premises that includes, in whole or in part, the licensed premises of a current licensee.

Where an applicant wishes to be licensed to operate on a premises that includes, in whole or in part, the licensed premises of a current licensee, the applicant must provide documentation showing that the current licensee either no longer owns or has a lease to operate out of the licensed premises or has agreed to surrender the premises in question to the applicant for the applicant’s exclusive use. This regulation does not apply to any applicant seeking a temporary license, except for temporary licenses issued under section 311.095, (14) When the supervisor receives applications from two or more applicants seeking to operate out of the same premises, those applications will be processed in the order in which they were received. No application will be considered unless the previous applicant(s) have withdrawn its application or the supervisor has denied the previous applicant(s) and the previous applicant(s) have exhausted the administrative remedies found in section 311.691, RSMo.

(15) The supervisor of Alcohol and Tobacco Control, at his/ her discretion and for good cause, may issue a temporary license for up to ten (10) days. A completed application with all required current documents and payment of license fees and any late charges must be in receipt of the Division of Alcohol and Tobacco Control before a temporary license may be considered by the supervisor of Alcohol and Tobacco Control.

(16) No renewal application is complete if the applicant for renewal has any delinquent reports under Chapter 311, RSMo.

(17) All license applications not received at, or otherwise postmarked to, Division of Alcohol and Tobacco Control by July 31 shall not be considered for renewal. A new application must be submitted if a license is sought after the renewal period closes on July 31.

(18) When evaluating the qualifications for licensure of any business entity not specifically named in section 311.060, RSMo, the division shall use the standards set forth in this section.

(A) No entity shall be granted a liquor license if any of its owners, members, natural persons holding a financial interest in the business sought to be licensed, officers, or managing officer have held any such a position with a revoked license, subject to the limitations described in section 311.060.7, RSMo, or if such individual shall not be a person of good moral character subject to the limitations described in section 311.060.1-2, RSMo. As used in this subsection, “members” shall refer to natural persons holding a share of control of the business sought to be licensed.

(B) When a business seeking to be licensed has ownership held by a separate business entity or trust, all natural persons associated with the ownership or control of the trust shall be evaluated consistent with subsection (18)(A) as though the natural persons associated with the shareholding business were members of the business sought to be licensed.

(C) Subsections (A) and (B) of this section shall not apply to the beneficiaries of a trust.

(D) The supervisor may decline to issue a license where there is cause to believe an unqualified individual has created one (1) or more business entities or trusts to avoid the qualifications of this section.

(19) Beginning on the effective date of this regulation, no person, partnership, or business entity shall be qualified for a liquor license if such person, partnership, or business entity shall have any ownership by, or who shall designate a managing officer that is, a person who has not attained the age of twentyone (21) years. This section shall not apply to a beneficiary of a trust who holds a financial interest in the applicant business.

The supervisor of alcohol and tobacco control shall not use this

section as a reason to deny the renewal of any active license existing on the effective date of this regulation.

(20) Where a trust holds a financial interest in an applicant business, the trust must disclose the trustee as though the trustee was an owner. The trust need not disclose the beneficiaries of the trust until the financial interest is realized or if the supervisor of alcohol and tobacco control has cause to believe that a beneficiary of the trust is disqualified from having a financial interest in the applicant business or where the trust merely acts as subterfuge. Applicants who have a trust holding a financial interest shall— (A) Complete a mandatory attestation form created by the division;

(B) Provide a certification of trust with the application; and (C) Furnish to the division a copy of the trust instrument upon request.

July 11, 1984, effective Oct. 11, 1984. Amended: Filed Dec. 2, 1993, effective June 6, 1994. Amended: Filed Feb. 27, 1998, effective Aug. 30, 1998. Amended: Filed Sept. 22, 1998, effective March 30, 1999.

Amended: Filed June 5, 2008, effective Nov. 30, 2008. Amended:

Filed Oct. 10, 2018, effective May 30, 2019. Amended: Filed Jan. 25, 2022, effective Aug. 30, 2022. Amended: Filed Dec. 19, 2023, effective July 30, 2024. Amended: Filed Aug. 1, 2024, effective Brown-Forman Distillers Corp. v. Stewart, 520 SW2d 1 (Mo. banc 1975). Separate licenses are required for every phase of the liquor traffic and manufacturers, wholesalers and retailers are statutorily categorized as distinct separate phases thereof. The statutes indicate a legislative intent to preclude a licensee in one phase of the liquor traffic from controlling traffic in liquor in its entirety.

Pinzio v. Supervisor of Liquor Control, 334 SW2d 20 (1960).

A review of the statutes makes it clear that the legislature has vested sole discretion in the supervisor (of liquor control) to issue or refuse to issue each license, whether one of original issue or a renewal and that a hearing is not an essential prerequisite to the lawful exercise of that sole discretion. Failure to hold a hearing prior to the refusal to issue a denial of due process is in violation of the pertinent provisions of the state and federal constitutions.

State ex rel. Floyd v. Philpet et al., 266 SW2d 704 (Mo. banc 1954). The exclusive authority to determine whether statutory qualifications for an applicant for a state license to sell intoxicating liquor at retail had been met and the authority to issue such licenses is vested in the state supervisor of liquor control.

11 CSR 70-2.030 Change of Facts, Posting, Transfer, and Lost Licenses—Executors—Administrators {#sec-11-csr-70-2.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.030}

PURPOSE: This rule establishes procedure for reporting changes in status of license, transfer, death of licensee or managing officer, loss of, etc.

(1) Written notice is to be provided to the supervisor of Alcohol and Tobacco Control within fifteen (15) days if any factor or information changes from what is set forth on an application during a period of licensure.

(2) A license issued pursuant to this chapter is to be displayed in a conspicuous place on the premises where the business is carried on, as well as any city or county license designating the premises as a place to sell intoxicating liquor. No license may be posted at the premises where traffic in intoxicating liquor is being carried on by any person other than the licensee. A license may not be knowingly defaced, destroyed, or altered.

(3) The supervisor of Alcohol and Tobacco Control may allow a license to be transferred to any other premises or to any other

part of the building containing the licensed premises, provided the premises sought to be licensed meets the requirements of the law. The licensee must apply for permission to transfer in writing, and the supervisor must approve the application for permission to transfer before the license can be transferred.

The application for permission to transfer must include— (A) Legal name, business name or d/b/a, and license number(s) of licensee;

(B) Address and legal description of current premises;

(C) Address and legal description of premises to which transfer is sought, together with name and address of owner or landlord; and (D) A consent of surety(ies), signed, and witnessed by private individuals in the same manner in which the signatures appear on the bond itself. If the bond was signed by a surety company, the consent needs to be signed by a duly authorized officer or attorney-in-fact of the company whose authority or power of attorney is on file in the Division of Alcohol and Tobacco Control.

(4) Whenever a license is lost or destroyed, a duplicate license in lieu of the lost or destroyed license may be issued by the supervisor of Alcohol and Tobacco Control without cost to the licensee.

(5) Unless licensed by the supervisor of Alcohol and Tobacco Control as such, no receiver, assignee, trustee, guardian, administrator, or executor may sell any intoxicating liquor belonging to the estate over which s/he has control, except to a licensed wholesaler or retailer with the written consent of the supervisor of Alcohol and Tobacco Control to sell the intoxicating liquor. The supervisor may give written consent after receiving the following documents and information:

(A) A copy of the order of the court having jurisdiction over the estate authorizing the sale; and (B) A joint affidavit signed by the receiver, assignee, trustee, guardian, administrator, or executor and the purchaser, setting out an inventory of the stock, the price for which it is to be sold, the date of the contract of sale, and the license number of the purchaser.

(6) In the event that a licensee’s license has been lost, stolen, destroyed, or a transfer to another place of business is desired, an agent or inspector, with the approval of the supervisor, may issue a special certificate which will allow the licensee to continue his/her business. In no event may the special certificate continue in effect for more than ten (10) days from the date of issuance.

(7) Corporations and other entities licensed under the provisions of section 311.060, RSMo, shall designate a managing officer who is an individual in the corporation’s or other entity’s employ, either as an officer or an employee with the general control and superintendence of the licensed premises, or an agent capable of representing and binding the corporation or other entity during all interactions or proceedings with the supervisor or a designated representative dealing with the Liquor Control Law.

(A) The managing officer shall be responsible for:

1. Receiving correspondence from the supervisor or a designated representative dealing with the Liquor Control Law;

2. Responding to verbal communications requests from the supervisor or a designated representative dealing with the Liquor Control Law;

3. Providing information requested by the state supervisor or a designated representative dealing with the Liquor Control Law;

4. Assisting in the preparation of the original application for licensure and any subsequent renewal applications, signing such applications, and swearing to the accuracy of all information contained in such applications.

(B) If the managing officer is not an officer or an employee with the general control and superintendence of the licensed premises, the managing officer must have limited power of attorney to represent and bind the corporation or other entity during all interactions with the supervisor or a designated representative dealing with the Liquor Control Law.

(C) Applicants must submit documentation alongside their application sufficient to prove that the managing officer designated in the application satisfies the qualifications in

section 311.060, RSMo, and this regulation.

(D) If a vacancy occurs in the office of the managing officer, a replacement shall be named within fifteen (15) days of the vacancy. Replacements must qualify under section 311.060, RSMo, and this regulation. If the supervisor determines that a replacement does not qualify under section 311.060, RSMo, and this regulation, the supervisor shall notify the licensee in writing, and the licensee shall have fifteen (15) days from the date of the written notice to name a qualified replacement.

(8) Licensees are responsible for ensuring that the contact information for all persons listed in the application on record with the division is accurate and current. 10, 2018, effective May 30, 2019. Amended: Filed Aug. 14, 2020, effective March 30, 2021. Amended: Filed Jan. 25, 2022, effective Aug. 30, 2022.

11 CSR 70-2.040 Manufacturers, Wholesalers and Distributors {#sec-11-csr-70-2.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.040}

PURPOSE: This rule defines credit and advertising items allowed to be provided to retailers by manufacturers, wholesalers, and distributors.

(1) Except as provided in section 311.070, RSMo, no retail licensee, directly or indirectly, may accept any loans, equipment, money, credit, or property of any kind, except ordinary commercial credit. Except as provided in section 311.070, RSMo, no retail licensee may permit any distiller, wholesaler, wine maker, solicitor, brewer or employees, officers, or agents, under any circumstances to have any direct or indirect financial interest in his/her retail business for the sale of intoxicating liquor, and s/he shall not accept, directly or indirectly, from a distiller, wholesaler, wine maker, solicitor, brewer or its employees, officers, or agents any loan, gift, equipment, money, credit, or property of any kind except ordinary commercial credit for intoxicating liquor sold to the retailer. A retailer may accept, to properly preserve and serve draught beer and to properly preserve and serve draught wine, only equipment and services as allowed in section 311.070, RSMo.

(A) A sale by a licensed wholesaler to a licensed retailer of intoxicating liquor at a price which is less than the cost of the intoxicating liquor to the licensed wholesaler making the sale is presumed (subject to rebuttal as set out in this rule) to constitute a gift of money or property to the licensed retailer in violation of this regulation and sections 311.060 and 311.070, (B) The word cost as used in this regulation means the actual invoice charge for the merchandise by the supplier of the merchandise to the wholesaler, manufacturer, brewer, or solicitor, plus the cost of transportation to the wholesaler and all federal and Missouri excise taxes and custom duties allocable to the merchandise.

(C) The presumption may be rebutted by reasonable proof that the fair wholesale market value of the intoxicating liquor in question is less than the cost of intoxicating liquor to the wholesaler selling the same, and has been designated as closeout merchandise pursuant to section 311.335.3, RSMo and 11 CSR 70-2.190(2)(D). A licensed wholesaler may not use closeout pricing as an inducement for retailers to purchase other intoxicating liquors.

(2) No distiller, wholesaler, wine maker, solicitor, brewer or employees, officers, or agents of same may, directly or indirectly, pay any fee rental or other consideration to any retail licensee for the use of any part of the licensed retail premises for advertising any brand name of distilled spirits, wine, or malt liquor, or for the purpose of advertising the name, trademark, or trade name of any marker of the trademark.

(3) Except as provided in section 311.070, RSMo, no distiller, solicitor, wholesaler, wine maker, brewer or their employees, officers, or agents, directly or indirectly, may give or offer to give any financial assistance, gratuity, or make or offer to make any gift of their products to any retail licensee.

Filed Oct. 10, 2018, effective May 30, 2019.

History

• AUTHORITY: section 311.660, RSMo 2016. This version of rule filed Feb. 8, 1973, effective Feb. 18, 1973. Amended: Filed Feb. 24, 1987, effective May 11, 1987. Amended: Filed May 14, 1987, effective Aug. 13, 1987. Amended: Filed Nov. 21, 1996, effective May 30, 1997.

11 CSR 70-2.050 Wholesalers’ Conduct of Business {#sec-11-csr-70-2.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.050}

PURPOSE: This rule establishes guidelines for wholesalers regarding purchases, deliveries, sales, and storage of products.

(1) No wholesaler may buy, obtain, or accept any intoxicating liquors from any person who is not registered with the division of Alcohol and Tobacco Control as the primary American source of supply or who is not a licensed wholesale-solicitor.

However, a wholesaler owning warehouse receipts may obtain the written permission from the supervisor of Alcohol and Tobacco Control to receive intoxicating liquor from federal customs bonded warehouses or federal internal revenue bonded warehouses.

(2) No wholesaler may sell, deliver, or cause any intoxicating liquors to be sold or delivered to any licensee unless the wholesaler bought, obtained, or accepted the intoxicating liquor from the person registered with the division of Alcohol and Tobacco Control as the primary American source of supply or a licensed wholesale-solicitor.

(3) No wholesale licensee may sell, deliver, or cause any intoxicating liquors to be sold or delivered to any licensee while the licensee is under suspension by the supervisor of Alcohol and Tobacco Control.

(4) No wholesale licensee who has had his/her license suspended by order of the supervisor of Alcohol and Tobacco Control may sell or give away any intoxicating liquor, nor order or accept delivery of any intoxicating liquor during the period of time the order of suspension is in effect.

(5) All wholesale licensees are to keep and maintain a place for storage of merchandise, which is designated in the license and separate and apart from any storage place used by others and with a separate entrance and street address.

(6) No wholesaler licensee may deliver or cause intoxicating liquors to be delivered to any premises unless there is a license displayed prominently issued by the supervisor of Alcohol and Tobacco Control to the person purchasing the liquor, wine, or beer, designating the purchaser as a person licensed to sell on the premises the kind of liquor, wine, or beer s/he is about to deliver.

(7) Wholesalers licensed to sell intoxicating liquor are to make and keep invoices for all sales or deliveries of intoxicating liquor and the Missouri license number of every person to whom intoxicating liquor is sold or delivered by the licensees is to be written or stamped upon the invoices.

(8) Shipments by wholesalers or solicitors may be made only to licensed dealers of this or other states. A bill of lading is to be secured from the carrier and kept on file for a period of two (2) years so that shipments may be traced by the division’s auditors or agents.

rule filed Feb. 8, 1973, effective Feb. 18, 1973. Amended: Filed April 23, 1981, effective Aug. 13, 1981. Amended: Filed Oct. 10, 2018, effective May 30, 2019. Amended: Filed Jan. 25, 2022, effective Aug. 30, 2022.

11 CSR 70-2.060 Manufacturers {#sec-11-csr-70-2.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.060}

PURPOSE: This rule establishes procedures for labeling, bottling, and delivery of products.

PUBLISHER’S NOTE: The secretary of state has determined that publication of the entire text of the material that is incorporated by reference as a portion of this rule would be unduly cumbersome or expensive. This material as incorporated by reference in this

rule shall be maintained by the agency at its headquarters and shall be made available to the public for inspection and copying at no more than the actual cost of reproduction. This note applies only to the reference material. The entire text of the rule is printed here.

(1) For the purpose of this regulation the following definitions apply:

(A) A “facility which brews or manufactures malt liquor” is defined as a brewery or manufacturing plant premises licensed by either or both the state within which it is located and/or the U.S. Treasury Department, Alcohol and Tobacco Tax and Trade Bureau; and (B) An “owner” of a facility which brews or manufactures malt liquor is defined as a person or entity, that holds the entire facility in fee simple, or has a leasehold interest for a term of years in that entire facility, and is the person or business entity licensed for that entire facility by either or both the state within which the facility is located and/or the U.S. Treasury Department, Alcohol and Tobacco Tax and Trade Bureau.

(2) The Federal Alcohol Administration Act is hereby incorporated by reference (published by the United States House, dated January 1, 2022, and available at https://uscode.house.gov/view. xhtml?path=/prelim@title27/chapter8&edition=prelim) and all federal regulations adopted thereunder as of January 1, 2022.

This rule does not include any later amendments or additions.

This regulation applies to distilled spirits, wine, and malt beverages packaged purely for interstate shipment insofar as the regulations are not contrary to or inconsistent with the laws of Missouri. In addition to the regulations, the label of every container of spirituous liquor, wine, or malt liquor, unless already required by the regulations, shall set forth the name and address of the manufacturer, brewer, distiller, rectifier, or producer of the spirituous liquor, wine, or malt liquor as the case may be, provided that if the name of the brewer or manufacturer of malt liquor which appears on the label is not the owner of the facility where the malt liquor was brewed or manufactured, then the name, owner, and address of the facility shall also be set forth on the label.

(3) All licensees engaged in bottling intoxicating liquor and alcoholic beverages, before filling any bottle, shall cause the same to be sterilized by one (1) of the following methods:

(A) All new bottles, unless sterile, are to be sterilized or cleaned by thoroughly rinsing with clean sterile water or by blowing or vacuuming with proper machines for sterilization or cleansing; or (B) All used bottles are to be sterilized by soaking in a hot caustic solution which contains not less than three percent (3%) caustic or alkali expressed in terms of sodium hydrate.

The period of time in the solution is to be governed by the temperature and strength of the solution. The bottles are then to be rinsed thoroughly in clean sterile water until free from alkali or sodium hydrate.

(4) All manufacturers and wholesalers are to keep their premises and equipment in a clean and sanitary condition.

(5) Applicants for a manufacturing license shall provide a copy of a certificate demonstrating successful completion of a health inspection with their license application. No such applicant may be granted a manufacturer license without such a certificate, subject to the following exceptions:

(A) If an applicant does not have a health inspection certificate on the day they file their license application, they may submit a written statement with their application stating that they will provide a copy of their health inspection certificate within ten (10) days of the issuance of that certificate. Failure to provide a copy of the health certificate within ten (10) days of issuance may result in disciplinary action; and (B) If a state or local health authority determines that an applicant does not need a health inspection, the applicant may submit documentation from said state or local health authority showing that the applicant does not need a health inspection in lieu of a health inspection certificate.

(6) No intoxicating liquor may be brought in or transported within this state for the purpose of sale to any licensee or sold to any licensee except in containers the sizes of which have been approved by the U.S. Treasury Department, Alcohol and Tobacco Tax and Trade Bureau.

(7) No manufacturer who has acquired knowledge or been given notice that a wholesaler has been suspended may make sales or deliver merchandise to the wholesaler during the period of time that the licensee is under suspension. of rule filed Feb. 8, 1973, effective Feb. 18, 1973. Emergency amendment filed Nov. 21, 1996, effective Dec. 31, 1996, expired June 28, 1997. Amended: Filed Nov. 21, 1996, effective May 30, 1997.

Filed Oct. 10, 2018, effective May 30, 2019. Amended: Filed Aug. 14, 2020, effective March 30, 2021. Amended: Filed Jan. 25, 2022, effective Aug. 30, 2022. Amended: Filed Aug. 1, 2024, effective

11 CSR 70-2.070 Tax on Spirituous Liquor and Wine {#sec-11-csr-70-2.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.070}

PURPOSE: This rule establishes tax amounts on various container sizes of wine and spirituous liquor, defines contraband and prohibits possession of untaxed liquor or wine.

(1) The tax on spirituous liquor is two dollars ($2.00) per gallon and the tax on wine is forty-two cents ($0.42) per gallon.

(2) Any spirituous liquor or wine shipped, delivered, sold, or offered for sale in this state without payment of the proper amount of taxes due is contraband and may be seized and disposed of by the supervisor or his/her agents.

(3) No person other than a licensed distiller, rectifier, wine manufacturer, or solicitor may possess in this state any spirituous liquor or wines without the proper amount of taxes having been paid, except as provided in section 311.580, RSMo.

rule filed Feb. 8, 1973, effective Feb. 18, 1973. Amended: Filed Sept. 30, 1976, effective Feb. 11, 1977. Amended: Filed Feb. 27, 1998, effective Aug. 30, 1998. Amended: Filed Oct. 10, 2018, effective May 30, 2019. Amended: Filed Jan. 25, 2022, effective Aug. 30, 2022.

11 CSR 70-2.080 Malt Liquor Tax {#sec-11-csr-70-2.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.080}

PURPOSE: This rule establishes tax amounts on various container sizes of malt beverages, defines contraband, and prohibits possession of untaxed cereal malt beverages.

(1) For all tax years beginning on or after January 1, 2026, the tax on malt liquor manufactured in an American brewery is sixty-two cents ($0.62) per barrel or two cents ($0.02) per gallon. The tax on foreign import malt liquor is one dollar eighty-six cents ($1.86) per barrel or six cents ($0.06) per gallon.

(2) Any malt liquor shipped, delivered, sold, or offered for sale in this state without payment of the proper amount of taxes due is contraband and may be seized and disposed of by the supervisor or his/her agents.

(3) No person other than a licensed brewer, malt liquor manufacturer, or solicitor may possess in this state any malt liquor without the proper amount of taxes having been paid, except as provided in section 311.580, RSMo.

Filed Oct. 10, 2018, effective May 30, 2019. Amended: Filed Jan. 25, 2022, effective Aug. 30, 2022. Amended: Filed Nov. 19, 2025, effective July 30, 2026. *Original authority: 311.520, RSMo 1939, amended 1945, 1961, 1969, 2009, 2025, and 311.660, RSMo 1939, amended 1989, 2021.

History

• AUTHORITY: sections 311.520.5 and 311.660, RSMo Supp. 2025. This version of rule filed Feb. 8, 1973, effective Feb. 18, 1973.

11 CSR 70-2.090 Reports of Distillers, Solicitors, Wine Manufacturers, and Wholesalers {#sec-11-csr-70-2.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.090}

PURPOSE: This rule establishes format for reports of shipment and payment of tax on liquor and wine.

(1) Every distiller, solicitor, and wine manufacturer licensed to sell spirituous liquor and wine in this state needs to file with the supervisor of Alcohol and Tobacco Control a report listing all Missouri wholesale licensees with whom it transacts business and attach to the report a copy of any contract or agreement between the distiller, solicitor, or wine manufacturer and wholesale licensee. Any change in the listing is to be reported in writing within fifteen (15) days of the effective date of the change. A copy of any change in an existing contract or agreement and a copy of any new contract or agreement is to be submitted at the time of execution thereof. If there is no contract or agreement with respect to any wholesaler, the distiller, solicitor, or wine manufacturer should so indicate in its report.

(2) On or before the 15th of each month, every distiller, solicitor, wine manufacturer, and wholesaler authorized to ship spirituous liquor and wine in this state, whether for sale in this state or to be shipped outside this state, shall certify in a report under oath to the supervisor of Alcohol and Tobacco Control setting out all sales of spirituous liquor and wine in this state for the preceding month.

(3) All reports required by this regulation must be submitted on forms provided by the supervisor of Alcohol and Tobacco Control.

(4) All reports required by this regulation must be complete in every material detail. If any information requested in a report is missing, inaccurate, or otherwise incomplete, the supervisor of Alcohol and Tobacco Control may, at his/her sole discretion: reject the report; require the licensee to correct the report; require the licensee to pay any shortcomings or discrepancies; or any combination thereof. The licensee must submit a new report, correct the report, and/or pay any shortcomings or discrepancies within fifteen (15) days of the supervisor sending written notice to the licensee at the address currently registered with the division. Failure to do so may result in disciplinary action. 10, 2018, effective May 30, 2019. Amended: Filed Jan. 25, 2022, effective Aug. 30, 2022.

11 CSR 70-2.100 Report of Brewers, Beer Manufacturers, Solicitors, and Beer Wholesalers {#sec-11-csr-70-2.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.100}

PURPOSE: This rule establishes format for reports of shipment and payment of taxes on malt beverages.

(1) On or before the 15th of each month, every brewer and malt liquor manufacturer, solicitor, and wholesaler authorized to ship malt liquor in this state, whether for sale in this state or to be shipped outside this state, shall certify in a report under oath to the supervisor of Alcohol and Tobacco Control setting out all sales of malt liquor for the preceding month.

(2) All reports required by this regulation must be submitted on forms provided by the supervisor of Alcohol and Tobacco Control.

(3) All reports required by this regulation must be complete in every material detail. If any information requested in a report is missing, inaccurate, or otherwise incomplete, the supervisor of Alcohol and Tobacco Control may, at his/her sole discretion: reject the report; require the licensee to correct the report; require the licensee to pay any shortcomings or discrepancies; or any combination thereof. The licensee must submit a new report, correct the report, and/or pay any shortcomings or discrepancies within fifteen (15) days of the supervisor sending written notice to the licensee at the address currently registered with the division. Failure to do so may result in disciplinary action.

(4) All reports required by this regulation certifying sales of malt liquor shall identify each invoice number for transactions occurring within that reporting period.

(A) Each invoice identified shall indicate the date the sale occurred, the amount of malt liquor shipped or delivered, the class of product shipped or delivered, and a notation clearly indicating whether the product is American manufactured or foreign import. For products designated as foreign import, the invoice must also note the country of origin.

(B) Each invoice shall separately state the total volume of both American manufactured and foreign import malt liquor, expressed as a single unit of measure (e.g., milliliters, liters, gallons, etc.).

(C) Licensees holding a microbrewery license, as authorized by section 311.195, RSMo, shall not be required to make the American manufactured designation or total volume specification on invoices.

Amended: Filed Oct. 10, 2018, effective May 30, 2019. Amended:

Filed Jan. 25, 2022, effective Aug. 30, 2022. Amended: Filed Nov. 19, 2025, effective July 30, 2026. *Original authority: 311.520, RSMo 1939, amended 1945, 1961, 1969, 2009, 2025, and 311.660, RSMo 1939, amended 1989, 2021.

History

• AUTHORITY: sections 311.520.5 and 311.660, RSMo Supp. 2025. This version of rule filed Feb. 8, 1973, effective Feb. 18, 1973.

11 CSR 70-2.110 Domestic Wine {#sec-11-csr-70-2.110 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.110}

PURPOSE: This rule establishes rules for domestic wine producers licensed under section 311.190, RSMo.

(1) All domestic wine sold must be in an original package of not less than one hundred (100) milliliters (3.4 ounces) nor more than fifteen and one-half (15.5) gallons.

(2) No person licensed to manufacture and sell domestic wine may use or permit other persons to use any concentrate in production.

(3) All premises used for the manufacture and sale of domestic wine shall be separate and apart from any residence.

(4) All domestic wine in the process of fermentation shall be kept on the premises covered by the license.

rule filed Feb. 8, 1973, effective Feb. 18, 1973. Amended: Filed July 11, 1984, effective Oct. 11, 1984.

History

• AUTHORITY: section 311.660, RSMo Supp. 1989. This version of

11 CSR 70-2.120 Retail Licensees {#sec-11-csr-70-2.120 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.120}

PURPOSE: This rule establishes conditions of licensing and operation of premises.

(1) Sanitary Premises.

(A) All retail intoxicating liquor licensees are to keep their licensed premises clean and sanitary and meeting minimum standards of the Missouri Department of Health and Senior Services and local sanitation laws and ordinances where applicable.

(B) Applicants for a retail liquor license who prepare or pour intoxicating liquor as defined in section 311.020, RSMo, or permit the consumption thereof on their premises shall provide a copy of a certificate demonstrating successful completion of a health inspection with their license application. No such applicant may be granted a retail liquor license without such a certificate, subject to the following exceptions:

1. If an applicant does not have a health inspection certificate on the day they file their license application, they may submit a written statement with their application stating that they will provide a copy of their health inspection certificate within ten (10) days of the issuance of that certificate.

Failure to provide a copy of the health inspection certificate within ten (10) days of issuance may result in disciplinary action;

2. If a state or local health authority determines that an applicant does not need a health inspection, the applicant may submit documentation from said state or local health authority showing that the applicant does not need a health inspection in lieu of a health inspection certificate; and 3. This regulation does not apply to any applicant seeking a temporary license.

(2) No retailer may place or permit the placing of any object on or within the windows of premises covered by licenses which impedes or obstructs vision from the exterior into the interior.

(3) No holder of a retail license may use illuminated brand signs exclusively for illuminating purposes. Sufficient light must be maintained at all times to ensure clear visibility into the interior and within the interior of the premises.

(4) No licensee may operate, play, or permit the operation of any public speaking system transmitter, sound amplification device, or any other type of device, mechanical or electronic, to emit or direct music, spoken words, sounds, or noise of any kind exceeding eighty-six (86) decibels on an A-weighted scale when measured across a residential property line fifty feet (50') or more from the source of the noise between the hours of 11:00 p.m. and 11:00 a.m. This regulation does not supersede any state or local laws or ordinances regulating noise in the area.

(5) Any premises for which a secondary retail license is sought must be the same as the premises covered by the primary retail license. This regulation shall not apply to catering or festival licenses.

(6) Resorts. Licenses authorizing the retail sale of liquor by the drink may be issued to qualified applicants for resorts as defined in section 311.095, RSMo. Applicants for a resort license shall prepare and maintain records in order to substantiate the sales figures as presented in the certified statement, including but not limited to bank statements, cancelled checks, and invoices for food and intoxicating liquor purchases.

(7) No retailer shall sell, deliver, hold or offer for sale any food, drug, device, or cosmetic that is embargoed by the Department of Health and Senior Services pursuant to Chapter 196, RSMo.

June 7, 1977, effective Sept. 11, 1977. Amended: Filed Aug. 20, 1979, effective Dec. 13, 1979. Amended: Filed Aug. 11, 1980, effective Nov. 13, 1980. Amended: Filed Jan. 2, 1981, effective April 11, 1981.

Amended: Filed Feb. 16, 1984, effective June 11, 1984. Amended:

Filed Jan. 7, 1985, effective April 11, 1985. Amended: Filed July 25, 1986, effective Oct. 11, 1986. Amended: Filed Jan. 8, 1990, effective April 26, 1990. Amended: Filed Nov. 18, 1991, effective April 9, 1992.

Amended: Filed Dec. 2, 1993, effective June 6, 1994. Amended: Filed Jan. 22, 1996, effective July 30, 1996. Amended: Filed Nov. 20, 2003, effective July 30, 2004. Amended: Filed Oct. 10, 2018, effective May 30, 2019. Amended: Filed Aug. 14, 2020, effective March 30, 2021.

Amended: Filed May 27, 2022, effective Jan. 30, 2023. Emergency amendment filed Aug. 16, 2024, effective Sept. 1, 2024, expired Feb. 27, 2025. Amended: Filed Aug. 16, 2024, effective April 30, 2025.

11 CSR 70-2.130 Retailer’s Conduct of Business {#sec-11-csr-70-2.130 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.130}

PURPOSE: This rule establishes general rules for conducting retail establishments.

(1) No person holding a license for the retail sale of intoxicating liquor who has had his/her license suspended by order of the supervisor of alcohol and tobacco control may sell, give away, or permit the consumption of any intoxicating liquor on or about the licensed premise, nor may s/he order or accept delivery of any intoxicating liquor during the period of time the order of suspension is in effect. Any licensee desiring to keep his/her premises open for the sale of food or merchandise during the period of suspension shall display the order of suspension issued by the supervisor of alcohol and tobacco control in a conspicuous place on the premises so that all persons visiting the premises may readily see the order of suspension and shall ensure that all places where intoxicating liquor is stored or dispensed on or about the licensed premises are closed in accordance with section 311.290, RSMo, for the duration of the suspension.

(2) No person holding a license for the retail sale of malt liquor by the drink may knowingly sell, give away, or serve upon the premises described in the license any glass, ice, water, soda water, phosphates, or any other kind of liquids to be used for the purpose of mixing intoxicating drinks and commonly referred to as set-ups; nor may any person holding a license for the retail sale of malt liquor by the drink allow any person on or about the licensed premise to possess or consume any intoxicating liquor other than malt liquor, or to pour into, mix with, or add intoxicating liquor other than malt liquor, to water, soda water, ginger ale, seltzer, or other liquid.

(3) No person holding a license for the retail sale of intoxicating liquor may sell or deliver any intoxicating liquor to any person with knowledge or with reasonable cause to believe that the person to whom the liquor is sold or delivered has acquired the liquor for the purpose of peddling or reselling it.

(4) Any person holding a license for the retail sale of intoxicating liquor who delivers intoxicating liquor to a consumer at a location other than the licensed premises must ensure that delivery— (A) Is not made during any hours when the licensed premises is required by law to be a closed place;

(B) Is not made to the licensed premises of a licensed retailer;

(C) Is made by an employee or agent of the licensee expressly authorized to deliver intoxicating liquor on the licensee’s behalf; and (D) Complies with all other provisions of Chapter 311, RSMo, and the regulations promulgated thereunder.

(5) No person holding a license for the retail sale of intoxicating liquor may sell, give away, or possess any intoxicating liquor from or in any container when the intoxicating liquor is not that set out on the manufacturer’s label on the container or does not have alcoholic content shown on the manufacturer’s label.

(6) No person holding a license for the retail sale of intoxicating liquor may bottle any intoxicating liquor from any barrel or other container nor may s/he refill any bottle or add to the contents of the bottle from any barrel or other container except where explicitly authorized by statute.

(7) Any person holding a license for the retail sale of intoxicating liquor by the drink, when requested to serve a particular brand or type of intoxicating liquor, may not substitute another brand or type of intoxicating liquor.

(8) No person holding a license for the retail sale of intoxicating liquor may allow or cause any sign or advertisement pertaining to intoxicating liquor to be carried or transported upon any sidewalk or street of any municipality or upon any highway of the state. This provision is inapplicable to any legal sign or advertisement placed on a vehicle being used to deliver intoxicating liquor.

(9) Whenever hours of time are set forth in the Liquor Control Act, they are to be interpreted to mean clock time which shall be either Central Standard Time or Central Daylight Time, whichever one is then being observed.

(10) No person holding a license for the retail sale of intoxicating liquor may possess any intoxicating liquor which has not been purchased from, by, or through duly licensed wholesalers.

(11) No person holding a license for the retail sale of intoxicating liquor, nor their employees or agents, may consume any intoxicating liquor, in any quantity, while on duty or acting within the scope of employment or agency relationship. This provision shall not apply to a licensee, their employee, or agent who— (A) Is conducting a tasting for one (1) or more customers and tastes the product, but does not consume or imbibe, to educate the consumer on the product; or (B) Is sampling a new product presented by a salesperson marketing the product, as authorized by section 311.070.4(7) and/or 311.197, RSMo; or (C) Is in the business, but is not on duty nor acting within the scope of employment, whether the establishment is open or closed to the public, so long as the licensee is allowed to be open pursuant to section 311.290, RSMo, or any other provision of Chapter 311 relating to opening and closing.

(12) Any person holding a license for the retail sale of intoxicating liquor must have at least one (1) on duty employee at the establishment who is responsible for the sale, dispersion, and consumption of intoxicating liquor on or about the licensed premises whenever the establishment is not a closed place in accordance with section 311.290, RSMo.

(13) Lewdness. No person holding a license for the retail sale of intoxicating liquor may permit in or upon his/her licensed premises— (A) The performance of acts or simulated acts of sexual intercourse, masturbation, sodomy, bestiality, oral copulation, flagellation, or any sexual acts which are prohibited by law;

(B) The displaying of any portion of the areola of the female breast;

(C) The actual or simulated touching, caressing, or fondling of the breast, buttocks, anus, or genitals;

(D) The actual or simulated displaying of the pubic hair, anus, vulva, or genitals;

(E) The permitting by a licensee of any person to remain in or upon the licensed premises who exposes to public view any portion of his/her genitals or anus; and (F) The displaying of films, video programs, or pictures depicting acts, the live performances of which are prohibited by this regulation or by any other law.

(14) No person holding a license for the retail sale of intoxicating liquor may permit any person to smoke or imbibe marijuana on or about the licensed premises while the retail establishment is open to the public. No licensee shall create any non-public or quasi-public areas on or about the licensed premises for marijuana usage anytime when intoxicating liquor is being sold, displayed for sale, or consumed. A licensee may seek permission for, and the supervisor of alcohol and tobacco control may permit, a special event where consumption of marijuana occurs on or about the licensed premise (a “marijuana event”). The licensee must notify the supervisor of alcohol and tobacco control not less than twenty-one (21) days in advance of the marijuana event and describe the event, including the exact location of the marijuana event on the licensed premise. To be eligible, the marijuana event must occur during allowable hours of operation pursuant to

section 311.290, RSMo, or any other provision of Chapter 311 relating to opening and closing; no intoxicating liquor may be sold, displayed for sale, or consumed on or about the portion of the licensed premises used for the marijuana event, and all refrigerators, cabinets, cases, boxes, and taps from which intoxicating liquor is dispensed shall be kept securely locked during the event. If the licensee wishes to continue the sale of intoxicating liquor on a separate portion of the licensed premise, not described for the marijuana event, that portion of the licensed premise must be separated by a permanent floor-to-ceiling wall and be inaccessible from the patrons of the marijuana event. All patrons permitted to smoke or imbibe marijuana during the marijuana event must be quarantined from those patrons consuming intoxicating liquor and must be marked with a wristband. No patron of the marijuana event may consume intoxicating beverages on the licensed premise within one (1) hour of the commencement or conclusion of the marijuana event.

(15) In the event the premises of any licensee is declared to be off-limits by the military authorities, the licensee may not permit any member of the armed forces to be in or upon the premises covered by his/her license. Provided, this is only effective after the licensee is notified of the order by the supervisor of alcohol and tobacco control. Members of the Military Police or Shore Patrol are exempt from this provision.

(16) Pre-Mixed Batch Drink Labels. Where a retail by drink establishment prepares batch/bulk mixed drinks prior to an order being placed, the container must be clearly labeled “THIS CONTAINS ALCOHOL.” The container must also bear the name of the mixed drink, as used by the establishment, and the type or types of alcohol contained therein. This section is separate from any label/packaging requirements set forth in section 311.202, RSMo, for retailer-packaged alcohol for off-premises consumption (i.e., to-go alcoholic beverages).

(17) Persons granted a license to sell intoxicating liquor for offpremises consumption that display such intoxicating liquor outside a clearly discernible location reserved for alcoholic beverages shall— (A) Not place intoxicating liquor in an area immediately adjacent to nonalcoholic beverages containing the same or similar brand name, logo, or packaging as an alcoholic beverage; and (B) Equip any such display with signage that indicates the product is an alcoholic beverage, is clearly visible to consumers, and is of sufficient size to notify the consumer that the product contains alcohol. Nothing in this subsection shall prohibit the placement of nonalcoholic wine or beer in or near a display of alcoholic beverages that contain the same or similar brand name, logo, or packaging as the nonalcoholic wine or beer.

rule filed Feb. 8, 1973, effective Feb. 18, 1973. Amended: Filed Aug. 23, 1974, effective Sept. 2, 1974. Amended: Filed May 16, 1977, effective Aug. 11, 1977. Amended: Filed Aug. 20, 1979, effective Dec. 13, 1979. Amended: Filed April 23, 1981, effective Aug. 13, 1981.

Amended: Filed April 7, 1983, effective July 11, 1983. Amended:

Filed May 25, 1983, effective Sept. 11, 1983. Amended: Filed Aug. 5, 1991, effective Jan. 13, 1992. Amended: Filed Feb. 27, 1998, effective Aug. 30, 1998. Amended: Filed Oct. 10, 2018, effective May 30, 2019.

Amended: Filed May 27, 2022, effective Jan. 30, 2023. Amended:

Filed Dec. 19, 2023, effective Aug. 30, 2024.

Chilton v. Wright, 480 SW2d 1 (1972). Two agents testifying that they removed 44 bottles of liquor from licensee’s premises suspected to be refills in violation of rules and regulations because some appeared to be overfilled and some had worn strip stamps on their necks, along with testimony of expert chemist, was competent substantial evidence that the licensee possessed refilled bottles in violation of rules and regulations 13(c) (now covered by 11 CSR 70-2.130(6)). But evidence of “several different brands of liquor—the bulk of it was in half-pints and pints” and the geographical location of the retail outlet and its proximity to known “dry” states did not constitute substantial evidence that the licensees had reasonable cause to believe that their customers purchased liquor for purposes of resale in violation of rule 13(d)

(now 11 CSR 70-2.130(4)).

History

• AUTHORITY: section 311.660, RSMo Supp. 2023. This version of

11 CSR 70-2.140 All Licensees {#sec-11-csr-70-2.140 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.140}

PURPOSE: This rule establishes additional rules for the conduct of business in all establishments licensed by the supervisor regarding inspection, recordkeeping, storage, employment, sales, gambling, consumption by minors, and other aspects of enforcement of

Chapter 311, RSMo.

(1) Licensees are at all times responsible for satisfying and maintaining the qualifications for licensure in section 311.060, RSMo. Failure to do so may result in disciplinary action by the state supervisor.

(2) Licensees are at all times responsible for ensuring that the following individuals understand their responsibilities and obligations under Chapter 311, RSMo, and the regulations promulgated thereunder: the licensee; the managing officer, if applicable; any owners, shareholders, members, or partners; or any employee or agent who serves, sells, distributes, or furnishes intoxicating liquor on behalf of the licensee; and any third parties hired, contracted, or otherwise authorized by the licensee to serve, sell, distribute, furnish, or otherwise promote the sale or consumption of intoxicating liquor.

(3) Licensees are at all times responsible for the conduct of their business and at all times are directly responsible for any act or conduct of any employee or agent on the premises or acting within the scope of their employment or agency relationship, and for any third parties hired, contracted, or otherwise authorized by the licensee to provide services or entertainment to customers or patrons which is in violation of the Liquor Control Law or the regulations of the supervisor of alcohol and tobacco control.

(4) Improper Acts.

(A) Licensees and their employees shall maintain an orderly business and take immediate, reasonable steps to prevent or suppress any violent altercation, quarrel, or illegal activity on or about the licensed premise.

(B) Licensees and their employees shall not engage in illegal, violent, or improper conduct, permit the use of the licensed premises for illegal activities, nor allow any indecent, profane, or obscene literature or advertising material upon the licensed premises.

(C) In the event that a licensee or his/her employee knows or should have known that an illegal or violent act has been committed on or about the licensed premises, they are obligated to immediately report the occurrence to law enforcement authorities and cooperate with law enforcement authorities and agents of the Division of Alcohol and Tobacco Control during the course of any investigation into an occurrence.

(D) This regulation applies to all areas on or about the licensed premise, including areas that have been rented to or reserved for temporary use by third parties.

(5) The licensed premises and all portions of the building of the premises, including all rooms, cellars, outbuildings, passageways, closets, vaults, yards, attics, and all buildings used in connection with the operations carried on under the license and which are in the licensee’s possession or under its control, and all places where the licensee keeps or has liquor stored, may be inspected by the supervisor of alcohol and tobacco control and his/her agents at any time to ensure compliance with and enforcement of the provisions of Chapter 311, RSMo, and the regulations promulgated thereunder. Licensees shall cooperate fully with the agents during the inspections.

(6) All licensees shall keep complete and accurate records pertaining to their businesses. Such records include a complete and accurate record of all purchases and of all sales of intoxicating liquor made by them. These records are to include the names and addresses of all persons from whom the liquor is purchased, the dates, kinds, and quantities of the purchases and the dates and amounts of payments on account. They also should include the daily gross returns from sales.

(A) All licensees are to keep all records pertaining to their business, including but not limited to files; books; papers; state, county, and city licenses; and accounts and memoranda pertaining to the business conducted by them, on the licensed premises. Except for state, county, and city licenses, electronic records may be kept in lieu of hard copies, but must be readily accessible.

(B) All records required to be kept by law or rule of the supervisor shall be kept and preserved for a period of two (2) years from the date the record was made, unless otherwise specified in statute.

(C) The supervisor of alcohol and tobacco control or his/her duly authorized agents and auditors, may inspect, audit, or copy such records at any time.

(D) If a licensee maintains additional records not required by this section, such as audio, video, telephonic, written, or otherwise transcribed records, the licensee shall maintain complete and accurate records relevant to acts that are subject to administrative action against liquor licenses for a period of fifteen (15) business days, or until those records are turned over to the supervisor of alcohol and tobacco control or other law enforcement agency with competent jurisdiction, whichever is sooner. The duty to maintain such records begins when the licensee knows or should know that such an act has occurred on the licensed premise, or has been notified by the supervisor of alcohol and tobacco control or any other law enforcement agency that there is a pending investigation regarding the licensee’s conduct.

(7) Whenever units of measurement are set forth in the Liquor Control Law or the regulations promulgated thereunder, they are to be interpreted in accordance with their common usage in the imperial system and the metric system.

(8) Only one (1) person, partnership, or entity may be licensed by the supervisor to operate out of any particular premises.

(9) If any premises has multiple licenses for separate businesses in the same building or complex, then the building or complex shall be partitioned in a manner that the partitions run from the front of the building to the rear of the building, from the ceiling to the floor and be permanently affixed to the ceiling, floor, front, and rear of the building in a manner as to make separate and distinct premises for each licensee. Each licensee shall have a separate entrance and different street addresses, so as to indicate sufficiently that the businesses are run separately and distinct from each other. In addition, the business maintained on each of the premises shall be manned and serviced by an entirely separate and distinct group of employees and there may be no buzzers, bells, or other wiring or speaking system connecting one (1) business with the other. Separate files, records, and accounts pertaining to the businesses are to be maintained.

(10) If the division sends a written inquiry or request to a licensee at its address currently registered with the division, the licensee must respond in writing within thirty (30) days of the date of the division’s written inquiry or request. Failing to provide a written response, withholding records, documents, or information relevant to the division’s inquiry or request, or providing false information on a written response may result in disciplinary action.

(11) No licensee may buy or accept any warehouse receipt unless the seller or donor of the receipt first acquires the written permission of the supervisor of alcohol and tobacco control to sell or give away the receipt.

(12) No licensee may have consigned to him/her, receive or accept the delivery of, or keep in storage any intoxicating liquors upon any premises other than those described in his/her license without first having obtained the written permission of the supervisor of alcohol and tobacco control.

(13) No wholesale or retail licensee may sell or possess any spirituous liquor in any package or container holding less than fifty (50) milliliters (1.7 ounces) or more than one (1) gallon. No wholesale or retail licensee may sell or possess any wine in any package or container holding less than one hundred (100) milliliters (3.4 ounces) or more than fifteen and one-half (15 1/2) gallons.

(14) Requirements for employing minors— (A) Licensees who desire to employ persons under the age of twenty-one (21) as authorized by section 311.300, RSMo, may apply to the supervisor using forms provided for that purpose; and (B) Licensees who employ persons under the age of eighteen (18) may not allow those employees to sell, serve, or dispense, or assist in the sale, service, or dispensing of intoxicating liquor. Employees under the age of eighteen (18) may not stock intoxicating liquor, arrange intoxicating liquor displays, accept payment for intoxicating liquor, sack intoxicating liquor for carryout, or otherwise handle intoxicating liquors.

(15) No person licensed by the supervisor of alcohol and tobacco control may allow upon his/her licensed premises any self-service, coin-operated, mechanical devices, or automatic dispensers for the purpose of selling or dispensing intoxicating liquor except as pursuant to section 311.205, RSMo.

(16) Any licensee may sponsor or allow promotional games, raffles, and similar contests to be conducted upon his/her licensed premises, provided that— (A) The consumption of intoxicating liquor shall not be related to or an element of a promotional game, raffle, or similar contest either directly or indirectly;

(B) Intoxicating liquor may not be a prize of a promotional game, raffle, or similar contest either directly or indirectly.

1. Any licensee conducting a promotional game, raffle, or similar contest must notify any winners and recipients of cash prizes, gift cards, coupons, discounts, or other similar prizes that those prizes exclude the purchase of intoxicating liquor.

2. No licensee may knowingly accept cash prizes, gift cards, coupons, discounts, or other similar prizes from a promotional game, raffle, or similar contest hosted by a licensee for purchases of intoxicating liquor;

(C) The conduct or playing of games on premises approved by the Missouri Gaming Commission to conduct games in accordance with Chapter 313, RSMo, does not constitute gambling or gambling activities when the games are conducted in accordance with Chapter 313, RSMo, and the activity, by itself, does not constitute a violation of this regulation;

(D) The sale of state lottery tickets or shares on premises licensed by the lottery commission to sell lottery tickets or shares to the public does not constitute gambling or gambling devices when conducted in accordance with Chapter 313, RSMo, and the activity, by itself, does not constitute a violation of this regulation;

(E) The giving of door prizes or other gifts by lot or drawing after payment of a price by members or guests of a charitable organization which has obtained an exemption from payment of federal income taxes as provided in Section 501(C)(3) of the Internal Revenue Code of 1954 does not constitute gambling or gambling devices when conducted on a licensed premises by the charitable organization; and (F) The promotional game, raffle, or similar contests complies with all other aspects of Missouri law.

(17) No licensee may employ on or about the licensed premises any person who has been convicted since the ratification of the twenty-first amendment of the Constitution of the United States of a violation of the provisions of any law applicable to the manufacture or sale of intoxicating liquor; or any person who has had a license revoked under Chapter 311, RSMo, unless five (5) years have passed since the revocation of the license.

(18) No licensee, his/her agent, or employee may sell or supply intoxicating liquor in any place other than that designated on the license or at any other time or in any other manner except as authorized by the license. Order of and payment for any intoxicating liquor must be made directly to the licensee. For the purpose of this regulation, deliveries of intoxicating liquor previously purchased shall not constitute supply.

(19) No licensee, his/her agent, or employee may permit anyone under the age of twenty-one (21) years of age to consume or possess intoxicating liquor upon or about his/her licensed premises.

(20) No licensee, his/her agent, or employee may allow upon or about the licensed premises solicitation for the purposes of prostitution or other immoral activities by any person.

(21) No licensee, his/her agent, or employee may possess, store, sell or offer for sale, give away, or otherwise dispose of upon or about the licensed premises or permit any person upon or about the licensed premises to possess, store, sell or offer for sale, give away, or otherwise dispose of any controlled substance as defined in Chapters 195 and 579, RSMo.

(22) No licensee, his/her agent, or employee may mix or pour, or permit to be mixed or poured, any intoxicating liquor directly into any person’s mouth upon or about the licensed premises.

(23) No licensee shall use exterior signage or advertising that does not accurately reflect the licensee’s legal name, business name or d/b/a, or trade name as stated on the state liquor license or on file with the division.

(24) Any licensee wishing to appeal any disciplinary action imposed by the state supervisor in accordance with section 311.691, RSMo, must do so before the effective date of the disciplinary order.

(25) The expiration, cancellation, revocation, reversion, surrender, or termination in any manner of a license does not prevent the initiation or completion of any disciplinary proceeding against the licensee for actions that occurred prior to the expiration, cancellation, revocation, reversion, surrender, or termination in any manner of the license.

rule filed Feb. 8, 1973, effective Feb. 18, 1973. Amended: Filed Aug. 23, 1974, effective Sept. 2, 1974. Amended: Filed Dec. 19, 1975, effective Dec. 29, 1975. Amended: Filed June 4, 1976, effective Nov. 11, 1976. Amended: Filed Sept. 30, 1976, effective April 15, 1977.

Amended: Filed Aug. 21, 1980, effective Dec. 12, 1980. Amended:

Filed Aug. 5, 1981, effective Nov. 12, 1981. Amended: Filed Nov. 6, 1981, effective Feb. 11, 1982. Amended: Filed April 7, 1983, effective July 11, 1983. Amended: Filed July 11, 1984, effective Oct. 11, 1984.

Amended: Filed Aug. 30, 1985, effective Nov. 11, 1985. Amended:

Filed May 13, 1986, effective July 26, 1986. Amended: Filed Aug. 14, 1987, effective Nov. 12, 1987. Amended: Filed Oct. 14, 1987, effective Jan. 14, 1988. Emergency amendment filed Nov. 22, 1989, effective Dec. 2, 1989, expired March 31, 1990. Amended: Filed Nov. 30, 1989, effective Feb. 25, 1990. Amended: Filed Aug. 5, 1991, effective Jan. 13, 1992. Amended: Filed Nov. 4, 1991, effective March 9, 1992.

Emergency amendment filed Aug. 26, 1996, effective Sept. 5, 1996, expired March 3, 1997. Amended: Filed Aug. 26, 1996, effective Feb. 28, 1997. Amended: Filed Nov. 21, 1996, effective May 30, 1997.

Filed Nov. 20, 2003, effective July 30, 2004. Amended: Filed June 5, 2018, effective Jan. 30, 2019. Amended: Filed May 27, 2022, effective Jan. 30, 2023. Amended: Filed Dec. 19, 2023, effective Aug. 30, 2024. Amended: Filed Aug. 1, 2024, effective March 30, 2025.

State ex rel., Glendinning Co. v. Letz, 591 SW2d 92 (Mo. App. 1979). The Supervisor of Liquor Control may prohibit gambling on licensed premises by rule despite the general preemption language contained in the criminal code at section 572.100, RSMo.

Op. Atty. Gen. No. 178, Wilson (10-18-79). A person convicted of supplying intoxicating liquor to a minor does not necessarily violate section 311.060, RSMo (regarding licensing) or 11 CSR 70- 2.140(13) (regarding employment).

State ex rel. Letz v. Riley, 559 SW2d 631 (Mo. App. 1977). Despite the issuance by the attorney general of a “no action” letter stating that certain games in theory were not violative of Chapter 563, RSMo, the doctrine of equitable estoppel was not available to support an injunction restraining the supervisor of the Division of Liquor Control from enforcing Liquor Control Regulations 15(k)

(prohibiting any licensee from allowing any sort of gambling upon licensed premises) and 25 II(c)(1)(g) (restricting advertisement of intoxicating liquor and nonintoxicating beer).

Op. Atty. Gen. No. 167, Moran (7-7-66). A licensee of the Department of Liquor Control is not violating the rules and regulations of the department by having on his/her licensed premises a pinball machine of the type designated by federal statute as a gambling device per se and requiring a $250 Coin- Operated Gaming Device Stamp but on which the machine only awards free games for replay. It is a violation of regulation 15(1)

(now covered by 11 CSR 70-2.140(12)) of the rules of the Department of Liquor Control if patrons using the pinball machines are actually paid off in money or merchandise by the liquor licensee or if patrons using the pinball machines actually wager money or property among themselves on the outcome of games played and the licensee allows such gambling.

11 CSR 70-2.150 Tax Credits and Refunds {#sec-11-csr-70-2.150 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.150}

PURPOSE: This rule establishes procedures for refund of unused licenses and receiving tax credits on intoxicating liquor.

(1) Any licensee who pays more taxes on intoxicating liquor than what they actually owed may request a tax credit to apply to future payments of taxes on intoxicating liquor.

(A) Every licensee who requests a tax credit for Missouri tax on intoxicating liquor shall present requests to the supervisor of alcohol and tobacco control and attach to the request a complete statement, under oath, as to the facts supporting the request.

(B) After the tax credit request is accepted for audit by the supervisor and the claimant has been notified of the acceptance, then an inspection can be made by the supervisor or his/her agents. The agents shall make an affidavit that they inspected the intoxicating liquors denoting in the affidavit the brand, number of the containers or cases, and the disposition to be made of the spirituous liquor, wine, or malt liquor.

(C) Under no circumstances shall tax credit requests be accepted by the supervisor if the sole reason for their presentation to him/her is because the claimant has purchased beyond his/her capacity to sell.

(D) The supervisor shall not accept tax credit requests filed more than ninety (90) days after the date listed on the underlying invoice(s) for the request.

(E) The supervisor reserves the right to refuse any or all tax credit requests presented.

(2) Any person who obtains a liquor license, and does not use the license at all, may request a refund of license fees.

(A) The supervisor shall not accept partial refund requests for unused portions of licenses.

(B) The supervisor shall not accept refund requests filed more than ninety (90) days after the expiration date on the license.

History

• AUTHORITY: section 311.660, RSMo Supp. 2022. This version of 10, 2018, effective May 30, 2019. Amended: Filed May 27, 2022, effective Jan. 30, 2023.

11 CSR 70-2.160 Hearings to Suspend or Revoke Licenses {#sec-11-csr-70-2.160 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.160}

(Rescinded March 11, 1985)

History

• AUTHORITY: section 311.660, RSMo 1978. Original rule filed Feb. 8, 1973, effective Feb. 18, 1973. Rescinded: Filed Dec. 4, 1984, effective March 11, 1985.

11 CSR 70-2.170 Warehouse Receipts for Storage of Intoxicating Liquor {#sec-11-csr-70-2.170 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.170}

PURPOSE: This rule defines warehouse receipts and establishes rules governing their use in business practices.

(1) The term warehouse receipt, as used in section 311.380, RSMo, is defined to mean any warehouse receipt issued for the storage of intoxicating liquor which can be negotiated and any nonnegotiable warehouse receipt which can be assigned, transferred, or sold.

(2) Any person or entity licensed by the supervisor of Alcohol and Tobacco Control to sell intoxicating liquor may pledge any warehouse receipt(s) owned by him/her to secure the payment of any debt to any person or entity in Missouri. Any Missouri state bank or trust company which is a member of the Federal Reserve System and any national bank with its principal office in Missouri may repledge with a federal reserve bank any warehouse receipts of which it is the pledgee.

(A) In case of default in the terms of the pledge agreement, the pledgee or the assignee of the pledge agreement may not negotiate, assign, transfer, or sell any warehouse receipt(s) without first obtaining the permission of the supervisor of Alcohol and Tobacco Control to do so.

(B) Request for permission can be submitted by the pledgee to the supervisor of Alcohol and Tobacco Control in writing and include the name of the proposed purchaser and whether or not the proposed purchaser intends to take possession of the liquor under the receipt(s). Under no circumstances may permission be given to the pledgee to sell any of the warehouse receipt(s) to any person or entity which intends to take possession of intoxicating liquor described in the receipt(s) unless the proposed purchaser is duly licensed as a wholesaler or manufacturer by the supervisor of Alcohol and Tobacco Control in Missouri.

(C) The pledgee seeking the permission to sell the warehouse receipt(s) should accompany the request by a copy of the pledge agreement and a copy of the warehouse receipt(s) which s/he desires to sell, together with an inventory of the liquor covered by the receipts, unless the inventory is contained in the receipts.

(3) Under no circumstances may any person or entity licensed by the supervisor of Alcohol and Tobacco Control import or cause to be imported or transport or cause to be transported into the state any intoxicating liquor which has been sold out of the state to satisfy the payment of any debt contracted outside of the state.

(4) No person or entity may be granted permission to sell warehouse receipts and no licensee of the supervisor of Alcohol and Tobacco Control may be given permission to purchase any warehouse receipt(s) unless the person or entity seeking permission, either to sell or to buy, agrees as a condition precedent to the granting of any permission that s/he shall make regular monthly reports for each calendar month by the fifteenth of the following month in accordance with forms designated by the supervisor of Alcohol and Tobacco Control. Any permission given will be promptly revoked unless the reports are made.

Feb. 8, 1973, effective Feb. 18, 1973. Amended: Filed Oct. 10, 2018,

11 CSR 70-2.180 Ceded Areas {#sec-11-csr-70-2.180 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.180}

PURPOSE: This rule exempts from tax and license fees in areas ceded to the federal government for military installations.

(1) Licenses are unnecessary for the retail sale of intoxicating liquor for establishments located on lands within the state ceded to the federal government for military purposes and upon which military installations exist or for United States military federal instrumentalities.

(2) No excise nor inspection fees may be imposed on any intoxicating liquor sold or offered for sale by establishments located on lands within the state ceded to the federal government and upon which military installations exist.

Feb. 8, 1973, effective Feb. 18, 1973. Amended: Filed Dec. 14, 1987, effective March 11, 1988. Amended: Filed Oct. 10, 2018, effective May 30, 2019.

11 CSR 70-2.190 Unlawful Discrimination and Price Scheduling {#sec-11-csr-70-2.190 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.190}

PURPOSE: This rule establishes procedures for price posting, deliveries, return of merchandise, and discounts.

(1) This regulation applies to spirituous liquor and wine products containing alcohol in excess of five percent (5%) by weight sold by a duly licensed wholesaler to a duly licensed retailer.

(2) For the purpose of this rule, substantively identical products refers to products that are indistinguishable from one another and products where the UPC or barcode is the only distinguishing factor.

(3) Product Pricing Information.

(A) The product pricing information is to be made available to retailers five (5) days prior to the last day of the month and include the brand number, brand or trade name, capacity of individual packages, nature of contents, age and proof, the per bottle and per case price, the number of bottles contained in each case, and the size thereof.

(B) Supplemental pricing information is to be made available to retailers when a new product, new size, or new proof is added by a wholesaler during the month and not subject to change before the first of the month when regularly filed product pricing information is effective. A wholesaler is allowed to sell such items to retailers immediately upon production of such supplemental information. Supplemental pricing information includes the brand number, brand or trade name, capacity of individual packages, nature of contents, age and proof, the per bottle and per case price, the number of bottles contained in each case, and the size thereof.

(C) The wholesaler may sell at any price for any item as long as it is sold above their cost and they sell all substantively identical products at the same price to all retailers as indicated on their product pricing information.

(D) Close out items should be identified as such on the product pricing information that is made available to retailers at prices which may be below the wholesaler’s costs for not less than six (6) consecutive months during which time the wholesaler may not purchase further inventory. The wholesaler should not use close out pricing as an inducement for retailers to purchase other intoxicating liquors.

(4) Discounts.

(A) The wholesaler may grant any discount up to one (1) per centum for quantity of spirituous liquor and wine and one (1) per centum for payment on or before a certain date.

(B) Quantity discounts. A quantity discount may be granted only for quantities of two (2) or more. If a price is listed for bottles only, then a quantity discount may be allowed on quantities of two (2) or more bottles. If a price is listed for both bottles and cases, then a quantity discount may be allowed only on quantities of two (2) or more unbroken cases. Quantity discounts may be graduated but not exceed the maximum one percent (1%).

(C) Discounts for time of payment. A discount for time of payment may be granted only for 1) payment for time of delivery, 2) payment on or before ten (10) days from the date of delivery, or 3) payment on or before fifteen (15) days from the date of delivery.

(D) The combination of discounts to be posted on the product pricing information are as follows: No discount, one percent (1%) for time of payment, one percent (1%) for quantity discounts, or one percent (1%) for time of payment and one percent (1%) for quantity.

(E) No person licensed to sell spirituous liquor and wine at retail may accept any discount, rebate, free goods, allowances, or other inducement from any wholesalers except the discount for payment and quantity discount on or before a certain date.

(5) Case Size. For the purpose of this regulation, a case of spirituous liquor or a case of wine is declared to be a cardboard, wooden, or other container, containing bottles of equal size filled with spirituous liquor or wine of the same brand, age, and proof. The following table depicts the number of bottles considered to be a case of various bottle sizes for both the English and metric systems of measure, for pricing purposes:

Number of Bottles Size of Bottle per Case Less than 8 oz. 48, 60, 96, 120, 144, 192 or 240 8 oz. up to, but not including, 10 oz. 48 10 oz. up to, but not including, 21 oz. 24 21 oz. up to, but not including, 43 oz. 12 43 oz. up to, but not including, 85 oz. 6 85 oz. up to, but not including, 128 oz. 3, 4, 6 128 oz. or more 2 (A) The Universal Coding of Alcoholic Beverages for Products by container size is to be used to code the bottle size. An item is declared to be either a bottle or a case of spirituous liquor or wine scheduled as required;

(B) All sizes less than one-half (1/2) pint or eight (8) ounces under the English system of measure are defined as miniatures.

Under the metric system of measure, miniatures are defined as fifty (50) milliliters (1.7 ounces) for spirituous liquors and one hundred (100) milliliters (3.4 ounces) for vinous liquors.

Acceptable case sizes for miniatures are 240, 192, 144, 120, 96, 60, and 48 bottles. Miniatures may be sold in only one (1) case size for each bottle size sold; and (C) If a spirituous liquor or wine product is packaged by the manufacturer in a bottle quantity for that bottle size exceeding one (1) bottle but either more or less than the case quantity for the bottle size listed in section (4), a wholesaler may sell that package for a total price that reflects the same per bottle price as the per bottle price in the posted case price, if the wholesaler’s invoice specifies the quantity in the package.

(6) The price to retailers, except retailers operating railroad cars, should include federal custom duties, internal revenue taxes, state excise tax, bottling and handling charges, and the cost of delivery to the retailer. The price to retailers operating railroad cars may be scheduled at a price “ex state excise tax,” but shall include all other taxes and costs computed in prices to other retailers. No charge(s) may be made in addition to the price except that on past due accounts there may be imposed a finance (interest) charge in accord with that permitted by law. Provided, however, that if a wholesaler elects to impose a finance (interest) charge on past due account the charge shall be of uniform rate to all retailers and imposed on all retailers who have past due accounts.

(7) Delivery. Any brand of spirituous liquor or wine sold to a retailer is to be shipped to and received by the retailer at the price in effect for that calendar month in which the delivery occurs. Delayed shipment orders may be taken the last five (5) days of the month and delivered in the first five (5) days of the following month.

(8) Returns. Merchandise returns exceeding seven (7) days from delivery date may not be accepted for return from a retailer, except pursuant to a court order or with prior approval from the supervisor for any of the following reasons:

(A) The merchandise delivered does not conform to the merchandise ordered, whether an error was made at the time the order was taken or when the merchandise was delivered.

Requests to return merchandise delivered in error should be submitted to the supervisor within thirty (30) days of the original invoice; or (B) The retailer is abandoning the retail liquor business.

(9) Breakage, Samples, Expenses. As part of its regular books and records, each wholesaler licensed to sell spirituous liquor or wine is required to keep a monthly record of all allowances for breakage containing the name, address, and license number of the customer, the amount of breakage allowance, and the date and number of the invoice of sale for which allowance is given. No allowance for breakage may be given unless the broken bottle is returned to the seller within seventy-two (72) hours after delivery. Broken bottles are to be kept available on the wholesaler’s licensed premises for inspection by representatives of the supervisor and may not be removed from the licensed premises or destroyed except with permission from the supervisor.

(10) Posting of Contraband Spirituous Liquors and Wines Purchased from Supervisor. Bottles or cases of spirituous liquor or wine as described in section (4) which have been declared contraband and purchased by a wholesaler from the supervisor or the officer who seized the same under the provisions of sections 311.820 and 311.840, RSMo, or by a wholesaler from a wholesaler who so purchased the same, may be posted by the wholesaler at prices less than other spirituous liquors and wines of the same brand, age, and proof. When the spirituous liquors and wines are so posted, the pricing is to be accompanied by a writing on which the spirituous liquors and wines are exactly described and the quantity(ies) available for purchase set forth and upon sale of all or any part of the quantity a copy of the invoice shall be sent to the supervisor upon the day it is prepared. Only spirituous liquors and wines so purchased by a wholesaler may be sold at the posted prices.

(11) Discriminatory Agreements.

(A) No person holding a license as a manufacturer-solicitor or outstate solicitor of spirituous liquor or wine may enter into or participate in any combination or agreement with any person holding a license as a wholesaler for the sale of spirituous liquor or wine which restrict the customers to whom the wholesaler may sell merchandise which s/he owns.

(B) No person holding a license as the wholesaler for the sale of spirituous liquor or wine may enter into or participate in any combination or agreement with any person holding a license as a manufacturer-solicitor or outstate solicitor of spirituous liquor or wine, which restricts the customers to whom the wholesaler may sell merchandise which s/he owns.

(12) Universal Numeric Codes on Invoices. The Universal Numeric Code for Alcoholic Beverages and Missouri’s brand number is to be used to code all wines on all invoices written by any manufacturer, vintner, solicitor, and/or wholesaler licensed by the Division of Alcohol and Tobacco Control of Missouri; this includes invoices written by wholesalers to retail licensee. In addition, the descriptive data for spirituous liquors and wines includes the age or vintage, proof or percent of alcohol by weight, class and type, and brand name. Missouri wholesalers are to include brand name, age, and proof for spirituous liquors and vintage for wines on all invoices to retailers when the vintage creates a cost differential for the same type of wine.

Any failure of any person, firm, or corporation licensed under any provisions of Chapter 311, RSMo, to comply in all respects with the rules and any violation by any licensee of these rules may be deemed to be cause for the revocation or suspension of the license of the offending licensee.

rule filed Dec. 22, 1975, effective Jan. 1, 1976. Amended: Filed Sept. 30, 1976, effective April 15, 1977. Amended: Filed Jan. 26, 1977, effective July 11, 1977. Amended: Filed Sept. 1, 1977, effective Dec. 11, 1977. Amended: Filed Dec. 6, 1985, effective Feb. 24, 1986.

Amended: Filed April 20, 1987, effective July 11, 1987. Amended:

Filed Aug. 17, 1999, effective March 30, 2000. Amended: Filed Oct. 10, 2018, effective May 30, 2019. ** Amended: Filed May 27, 2022, effective Jan. 30, 2023. **Pursuant to Executive Order 21-09, 11 CSR 70-2.190, section (6) was suspended from October 13, 2021 through December 31, 2021. Pursuant to Executive Order 21-09, 11 CSR 70-2.190, sections (1) and (7) was suspended from April 27, 2020 through December 31, 2021.

History

• AUTHORITY: section 311.660, RSMo Supp. 2022. This version of

11 CSR 70-2.200 Salesmen {#sec-11-csr-70-2.200 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.200}

(Rescinded January 30, 2019)

History

• AUTHORITY: section 311.660, RSMo Supp. 1989. This version of rule filed Feb. 8, 1973, effective Feb. 18, 1973. Rescinded: Filed June 5, 2018, effective Jan. 30, 2019.

11 CSR 70-2.210 Samples {#sec-11-csr-70-2.210 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.210}

(Rescinded May 30, 1997)

History

• AUTHORITY: section 311.660, RSMo 1994. This version of rule filed Feb. 8, 1973, effective Feb. 18, 1973. Amended: Filed Jan. 22, 1996, effective July 30, 1996. Rescinded: Filed Nov. 21, 1996, effective May 30, 1997.

11 CSR 70-2.220 Prohibiting Manufacturers and Solicitors of Intoxicating Liquor and Licensed Retailers From Contacting Each Other for Business Purposes {#sec-11-csr-70-2.220 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.220}

(Rescinded January 30, 2019)

History

• AUTHORITY: section 311.660, RSMo Supp. 1989. This version of rule filed Feb. 8, 1973, effective Feb. 18, 1973. Rescinded: Filed July 9, 2018, effective Jan. 30, 2019.

11 CSR 70-2.230 Multiple Store Retailers {#sec-11-csr-70-2.230 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.230}

PURPOSE: This rule establishes procedure for storage and transfer from a central warehouse by multiple licensed intoxicating liquor licensees.

(1) This regulation applies to all persons or entities who own and operate more than one (1) premises licensed to sell intoxicating liquor at retail.

(2) Any person or entity set forth in section (1), with the permission of the supervisor of Alcohol and Tobacco Control, may designate one (1) or more places as a central warehouse to which intoxicating liquors ordered and purchased by a person or entity from licensed wholesalers may be delivered by licensed wholesalers and at which intoxicating liquors so owned by a person or entity may be stored.

(3) Any person or entity set forth in section (1) owning and storing intoxicating liquors in a central warehouse as provided in section (1) may transfer all or any part of the intoxicating liquors so stored from the central warehouse to any premises licensed to sell intoxicating liquors at retail which is owned and operated by the same person or entity and which is located in the same county in which the central warehouse is located, or is located in a county adjoining and contiguous to the county in which the central warehouse is located, but not otherwise; except that private brands of intoxicating liquor owned and sold exclusively by only one (1) person or entity as set forth in section (1), and brands not privately owned but sold exclusively by only one (1) person or entity may be transferred from the warehouse to any licensed premises in the state owned by a person or entity, who is the exclusive retail dealer of the brand; provided, however, that malt liquor is not transferred from the central warehouse to another licensed premises unless the licensed premises is located in the same designated geographic area of the wholesaler from whom the malt liquor was purchased. The City of St. Louis is deemed to be a county for the purposes of this regulation.

(4) Any person or entity set forth in section (1) desiring to transfer intoxicating liquor from a premises licensed to sell intoxicating liquors at retail-owned and controlled by a person or entity to another premises so licensed and owned and controlled by the same person or entity, should first notify the supervisor of Alcohol and Tobacco Control in writing describing the type, brand, size containers, and amount of intoxicating liquors to be so transferred, the license numbers of the premises from which and to which the transfer is to be made, and the true reason for the transfer and no transfer may be made until the supervisor of Alcohol and Tobacco Control has assented to the transfer or until three (3) full days (not counting Saturdays, Sundays, and holidays) has elapsed after the receipt of the notice by the supervisor of Alcohol and Tobacco Control during which time the supervisor did not refuse the transfer.

Feb. 8, 1973, effective Feb. 18, 1973. Amended: Filed May 15, 1987, effective Aug. 13, 1987. Amended: Filed Oct. 10, 2018, effective May 30, 2019.

11 CSR 70-2.240 Advertising of Intoxicating Liquor {#sec-11-csr-70-2.240 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.240}

PURPOSE: This rule allows manufacturers of intoxicating liquor to offer consumer rebate coupons and clarifies the advertising

regulation as it applies to the advertising of sales price below cost.

(1) No person engaged in business as a producer, manufacturer, brewer, bottler, importer, wholesaler, or retailer of intoxicating liquor, directly or indirectly, may publish or disseminate or cause to be published or disseminated any advertisement of intoxicating liquor unless the advertisement is in conformity with this regulation.

(2) The term advertisement includes any dissemination of information by print, audio or video means, whether through the media or otherwise, including but not limited to radio, television, motion pictures, newspapers, Internet, email, texting, website, mobile applications, magazines or similar publications or other printed or graphic matter, or any electronic means, except that the term shall not include— (A) Any label affixed to any container of intoxicating liquor or any individual covering, carton, or other wrapper of a container; and (B) Any editorial in any periodical or publication or newspaper for the preparation or publication of which no money or other valuable consideration is paid or promised, directly or indirectly, by any person subject to these regulations.

(3) Mandatory statements include— (A) The name and address of the producer, manufacturer, bottler, brewer, importer, wholesaler, or retailer responsible for its publication;

(B) A conspicuous statement of the class and type or other designation of the product, corresponding with the complete designation which appears on the brand label of the product;

(C) The alcoholic content stated in the manner and form in which it appears on the labels of intoxicating liquor advertised;

(D) In the case of distilled spirits (other than cordials, liqueurs and specialties) produced by blending or rectification, if neutral spirits have been used in the production of distilled spirits, the percentage of neutral spirits so used and the name of the commodity from which the neutral spirits have been distilled in substantially the manner and form in which these statements appear on the labels of the distilled spirits advertised. In the case of neutral spirits or of gin produced by a process of continuous distillation, the name of the commodity from which the neutral spirits or gin have been distilled substantially in the manner and form in which this statement appears on the labels of the distilled spirits advertised;

(E) Where an advertisement does not mention a specific product but merely refers to a class of intoxicating liquor (such as whiskey or beer) and the advertiser markets more than one (1) brand of intoxicating liquor of that class, or where the advertisement refers to several classes of intoxicating liquor (such as whiskey, brandy, rum, gin, liqueur, wine, beer, etc.) marketed under a single brand, the only mandatory information prescribed by section (1) applicable to advertisement would be the name and address of the responsible advertiser; and (F) Advertisements by retail establishments which merely refer to the availability of intoxicating liquor in these establishments, but which otherwise make no reference to a specific brand of intoxicating liquor are subject only to the prohibited statements provisions of section (5) of this rule.

(4) Statements required by these regulations to be stated in any written, printed, or graphic advertisement should appear in lettering or type of a size, kind, and color sufficient to render them both conspicuous and readily legible. In particular— (A) Required information shall be stated against a contrasting background and in type or lettering which is at least the equivalent of eight- (8-) point type;

(B) Mandated information should be so stated as to appear to be a part of the advertisement and not be separated in any manner from the remainder of the advertisement;

(C) Where an advertisement relates to more than one (1) product, the necessary information is to appear in a manner as to clearly indicate the particular products to which it is applicable; and (D) No mandated information may be buried or concealed in unrequired descriptive matter or decorative designs.

(5) No advertisements of intoxicating liquor may contain— (A) Any statement, design, device, or representation that is false or misleading, including any false or misleading statement that creates an impression about the effects of alcohol consumption on health, and any false or misleading statement that explicitly or implicitly disparages a competitor’s product.

This does not prevent truthful and accurate comparisons between products or statements of opinion;

(B) Any statement, design, or device representing that the use of any intoxicating liquor has curative or therapeutic effects or tending to create an impression that it has curative or therapeutic effects;

(C) Any statement, design, device, or representation which is obscene, indecent, or conveys a derogatory connotation; and (D) Any statement that the product is produced, blended, brewed, made, bottled, packaged, sold under or in accordance with any authorization, law, or regulation of any municipality, county, state, federal, or foreign government unless the statement is necessary or specifically authorized by the laws or regulations of the government and, if a municipality, county, state, or federal permit number is stated, the permit number shall not be accompanied by an additional statement relating to it.

(6) No advertisement may contain any statement concerning a brand or lot of intoxicating liquor that is inconsistent with any statement on the labeling.

(7) No advertisement may contain any statement, design, device, or pictorial representation of or relating to, or capable of being construed as relating to, the armed forces of the United States or of the American flag, any state flag, or of any emblem, seal, insignia, or decoration associated with any such flag or the armed forces of the United States; nor may any advertisement containing any statement device, design, or pictorial representation of or concerning any flag, seal, coat of arms, crest, or other insignia, likely to falsely lead the consumer to believe that the product has been endorsed, made or used by, or produced for or under the supervision of or in accordance with the specifications of the government, organization, family, or individual with whom the flag, seal, coat of arms, crest, or insignia is associated.

(8) No advertisement for distilled spirits may contain— (A) The words bond, bottled in bond, aged in bond, or phrases containing these or synonymous terms unless these words or phrases appear upon the labels of the distilled spirits advertised and are stated in the advertisement in the manner and form in which they appear upon the label; and (B) Any statement, design, or device, directly or by implication concerning age or maturity of any brand or lot of distilled spirits unless a statement of age appears on the labels of the advertised product. When any statement, design, or device concerning age or maturity is contained in any advertisement, it shall include (in direct conjunction with the advertisement and with substantially equal conspicuousness) all parts of the statement concerning age and percentages, if any, which appear on the label. However, an advertisement for any whiskey or brandy that does not bear a statement of age on the label or an advertisement for rum which is four (4) years or more old may contain general inconspicuous age, maturity or other similar representations, for example aged in wood, mellowed in fine oak cask.

(9) No advertisement for wine may contain— (A) Any statement of bonded winecellar or bonded winery numbers unless stated in direct conjunction with the name and address of the person operating the winery or storeroom.

Statement of bonded winecellar and bonded winery numbers may be made in the following form: “Bonded Winecellar No...,” “Bonded Winery No...,” “B.W.C. No...,” or “B.W. No....”

No additional reference to numbers shall be made, or any use be made of a statement that may convey the impression that the wine has been made or matured under United States government or any state government supervision or in accordance with United States government or any state government specifications or standards; and (B) Any statement, design, device, or representation which relates to alcoholic content or which tends to create the impression that a wine is unfortified or has been fortified or has intoxicating qualities or contains distilled spirits except for a reference to distilled spirits in a statement of composition where the statement is required by these regulations to appear as a part of the designation of the product.

(10) No statement of age or representation relative to age (including words or devices in any brand name or mark) may be made, except that— (A) In the case of vintage wine, the year of vintage may be stated if it appears on the label; and (B) Truthful references of a general and informative nature relating to methods of production involving storage or aging, for example “This wine has been mellowed in oak casks,”

“Stored in small barrels,” or “Matured at regulated temperatures in our cellars,” may be made.

(11) The statement of any bottling date is not deemed to be a representation relative to age, if the statement appears without undue emphasis in the following form: “bottled in ....”

(inserting the year in which the wine was bottled).

(12) No date, except as provided in this section and section (11) of this rule with respect to statement of vintage year and bottling date, may be stated unless, in addition to the year and date and in direct conjunction with the year and date, in the same size and kind of printing, an explanation of the significance of the date is stated. If any date refers to the date of establishment of any business, this date is to be stated without undue emphasis and in direct conjunction with the name of the person to whom it refers.

(13) No advertisement may represent that the wine was manufactured in, or imported from, a place or country other than that of the actual origin or produced or processed by one who was not in fact the actual producer or processor.

(14) No retail licensee may advertise for sale any brand of intoxicating liquor unless s/he has the particular brand and size of container or package of intoxicating liquor in his/her licensed premises for sale.

(15) No wholesale licensee may allow any sign owned by him/ her or advertising his/her product to be placed or allowed to remain on or upon any building unless the building has an occupant holding a license issued by the supervisor.

rule filed Feb. 8, 1973, effective Feb. 18, 1973. Amended: Filed Dec. 12, 1986, effective Feb. 28, 1987. Amended: Filed Jan. 22, 1996, effective July 30, 1996. Amended: Filed Feb. 27, 1998, effective Aug. 30, 1998. Amended: Filed Jan. 17, 2019, effective Sept. 30, 2019.

Amended: Filed Aug. 1, 2024, effective March 30, 2025.

State ex rel. Letz v. Riley, 559 SW2d 631 (Mo. App. 1977). Despite the issuance by the attorney general of a “no action” letter stating that certain games in theory were not violative of Chapter 563, RSMo, the doctrine of equitable estoppel was not available to support an injunction restraining the supervisor of the Division of Liquor Control from enforcing Liquor Control Regulation 15(k)

(prohibiting any licensee from allowing any sort of gambling upon licensed premises) and 25II(c)(1)(g) (restricting advertisement of intoxicating liquor and nonintoxicating beer).

Milgram Food Stores, Inc. v. Ketchum, 384 SW2d 510, (Mo.

App. 1965) cert. denied, 382 U.S. 801. Regulation 15(f)(5) (now covered by 11 CSR 70-2.240(2) and (5)(G) and (H)) prohibiting the advertisement of intoxicating liquor which offers any coupon, premium, prize, rebate as an inducement to purchase such intoxicating liquor, did have a reasonable relation to and in accord with the provisions and purposes of the Liquor Control Law; and that rule is not unreasonable, arbitrary and capricious as claimed by the respondent, as to “free” Santa Claus covers offered in advertisement with purchase of certain liquors, this fell within prohibited practices and suspension of respondent’s license for twenty-five (25) days was not unreasonable.

11 CSR 70-2.250 Salvaged Alcoholic Beverages {#sec-11-csr-70-2.250 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.250}

PURPOSE: This rule establishes licensing and procedure for disposal of salvaged alcoholic beverages.

(1) Intoxicating liquors which are damaged in this state as a result of flood, wreck, fire, or similar occurrence may be sold for salvage.

(2) Intoxicating liquors so salvaged may be sold to a Missouri licensee, upon the approval of the supervisor under the following terms and conditions:

(A) Application shall be made to the supervisor for authority to sell distressed merchandise in Missouri including the name of the person desiring to sell the merchandise, the nature of the damage, a description of the merchandise, and whether the contemplated sale is to be to a Missouri licensee;

(B) The distressed merchandise is to be examined at the scene of the occurrence, as soon as practicable, by a representative of the Department of Health and Senior Services and the sale is not to be approved by the supervisor until notified by the representative that the merchandise is fit for human consumption;

(C) Written approval and release for the sale of distressed merchandise cannot be issued until an inspection of the distressed merchandise is made by an agent of the Division of Alcohol and Tobacco Control who will determine whether the merchandise is within the meaning of this regulation and that all Missouri taxes have been paid; and (D) No merchandise may be sold under this regulation where the original packages have been so damaged so as to render the label on the package not within the requirements under 11 CSR 70-2.060(1).

(3) Intoxicating liquors so salvaged are referred to as distressed merchandise.

(A) Each container of intoxicating liquors sold pursuant to this regulation shall bear a label, to be provided by the Division of Alcohol and Tobacco Control, certifying the merchandise as distressed merchandise.

(B) No distressed merchandise salvaged outside of the state may be imported into Missouri for sale pursuant to this

regulation.

Feb. 8, 1973, effective Feb. 18, 1973. Amended: Filed Oct. 10, 2018,

11 CSR 70-2.260 State of Emergency {#sec-11-csr-70-2.260 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.260}

PURPOSE: This rule establishes authority for the supervisor of liquor control when a state of emergency is declared.

(1) Whenever, pursuant to the Constitution and laws of Missouri, the governor or acting governor of this state declares a state of emergency, calls out the organized militia or any portion or individual of the militia to execute or ensure obedience to law or declare a state of martial law in any section of this state, all persons, partnerships, or entities licensed under the laws of Missouri to sell, dispense, or otherwise deal with intoxicating liquor, upon notice from the supervisor of Alcohol and Tobacco Control, announced publicly or delivered personally, are to suspend further business under the licenses issued to the persons, partnerships, or entities until the time as the supervisor determines and so informs the licensees that the proclamation of emergency or crisis as issued by the governor or acting governor has been terminated, provided that the supervisor of Alcohol and Tobacco Control may specify the geographical limit within the state within which area the licenses shall be suspended.

Feb. 8, 1973, effective Feb. 18, 1973. Amended: Filed Oct. 10, 2018,

11 CSR 70-2.270 Transfer and Registration of Lines or Brands of Spirituous Liquor and Wine {#sec-11-csr-70-2.270 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.270}

PURPOSE: This rule provides procedures for a supplier of spirituous liquor and wine to remove and/or create any additional distributor or any line or brand of product.

(1) The term supplier, as used in this regulation, means any person, partnership, or entity licensed as a manufacturer, distiller, vintner, rectifier, solicitor (or any employee or agent of the solicitor) which distributes wine or spirituous liquor to duly licensed wholesalers in this state.

(2) The term wholesaler, as used in this regulation, means any person, partnership, or entity (or any employee or agent of the enterprise) licensed to sell wine or spirituous liquor to duly licensed retailers in this state.

(3) No supplier may encourage, solicit, cause, or conspire with a wholesaler to evade or disobey any laws or regulations of the state of Missouri relating to intoxicating liquor. No supplier may, directly or indirectly, threaten to remove or remove a line or brand from a wholesaler because of the refusal or failure of the wholesaler to evade or disobey any laws or regulations of Missouri relating to intoxicating liquor. Nor may any supplier, directly or indirectly, threaten to or create an additional distributorship in retaliation against a wholesaler who refuses to evade or disobey any laws or regulations of Missouri relating to intoxicating liquor.

(4) All suppliers are to register with the supervisor of Alcohol and Tobacco Control the lines, brands, or both of alcoholic beverages which they handle and distribute in this state, as well as each wholesaler assigned to the supplier’s distribution.

No supplier may add an additional line, brand, or wholesaler without first filing a statement under oath with the supervisor and with every other wholesaler affected. The statement shall contain the following:

(A) The name of each line or brand of spirituous liquor or wine which they will handle and distribute in this state and the anticipated date upon which the distribution of the line or brand is to begin;

(B) A certification that this additional line or brand is not being added in collusion with any supplier in retaliation against another wholesaler who refuses to evade or disobey any laws or regulations of Missouri relating to intoxicating liquor; and (C) Prior to making any sale of any additional line or brand, each wholesaler shall comply with all other requirements relating to the posting of wholesale prices.

(5) Prior to removing a line or brand from one (1) wholesaler and/or prior to creating an additional distributorship on a line or brand, suppliers are to file with the supervisor a statement under oath containing the following:

(A) The name and address of each wholesaler to whom a line, brand, or both is being transferred or added;

(B) The name and address of each wholesaler from whom a line or brand is being removed;

(C) The name of each line or brand to be removed, transferred, or added; and (D) A certification that this removal, transfer, or creation of an additional distributorship is not in retaliation against any wholesaler who refuses to evade or disobey any existing laws or regulations of Missouri relating to intoxicating liquor.

(6) A copy of this statement shall at the same time be delivered by mail or personal service to every wholesaler affected.

rule filed April 16, 1975, effective April 26, 1975. Amended: Filed Oct. 10, 2018, effective May 30, 2019. Amended: Filed Aug. 1, 2024, effective March 30, 2025.

Brown-Forman Distillers Corp. v. Stewart, 520 SW2d 1 (Mo. banc 1975). Regulation 28, permitting supervisor of liquor control to prohibit the transfer of a brand or the creation of a dual distributorship absent the showing of a good business reason, (“without reasonable cause, which cause must be submitted to the supervisor of liquor control in writing”) the employment of “reasonable cause” in regulation 28 renders it invalid and void because the language used is so sweeping and broad that it clothes the supervisor with arbitrary power that is incompatible with the test of “reasonableness” and it is “inconsistent” with the objectives of the Liquor Control Law and the legitimate evils sought to be eliminated.

11 CSR 70-2.280 Standards for Using Minors in Intoxicating Liquor Investigations {#sec-11-csr-70-2.280 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-2.280}

PURPOSE: This rule establishes standards for the use of minors in intoxicating liquor investigations by a state, local, municipal, or other local law enforcement authority.

(1) On-site Investigations. The following are standards for the use of minors in intoxicating liquor investigations by a state, county, municipal, or other local law enforcement authority where intoxicating liquor is purchased by the minor on or about the licensed premises:

(A) The minor must be eighteen (18) or nineteen (19) years of age;

(B) The minor must have a youthful appearance. The minor must not have facial hair or a receding hairline, or wear excessive makeup or excessive jewelry, or wear headgear that will obstruct a clear view of the face or hairline. If the minor is wearing headgear or facial coverings required by law, executive order, or any official mandate from the city, county, state, or federal government, or if the business requests the minor to wear certain headgear or facial coverings, the minor shall be permitted to wear such item(s), but must temporarily remove said item(s) upon request by the seller of the intoxicating liquor so as to provide a clear view of the face and hairline;

(C) The minor must carry his or her own valid governmentissued identification showing the minor’s correct date of birth and, upon request, produce such identification to the seller of the intoxicating liquor at the licensed establishment; and the state, county, municipal, or other local law enforcement agency conducting the investigation must search the minor prior to the investigation to ensure that the minor is not in possession of any other valid or fictitious identification;

(D) The minor must answer truthfully any questions about his or her age and must not remain silent when asked questions regarding his or her age, nor misrepresent anything in order to induce a sale of intoxicating liquor;

(E) The state, county, municipal, or other local law enforcement agency must make a copy of the minor’s valid identification showing the minor’s correct date of birth;

(F) The state, county, municipal, or other local law enforcement agency conducting such investigations must videotape or audiotape any attempt by the minor to purchase intoxicating liquor in a good faith effort to record all statements made by the minor and the seller;

(G) No state, county, municipal, or other local law enforcement agency may employ minors on an incentive or quota

basis;

(H) If a violation occurs, the state, county, municipal, or other local law enforcement agency must make reasonable efforts to confront the seller in a timely manner, and within forty-eight (48) hours contact or take all reasonable steps to contact the owner, manager, or managing officer of the establishment;

(I) The state, county, municipal, or other local law enforcement agency must maintain records of each visit to an establishment where a minor is used by the agency during an intoxicating liquor investigation for a period of at least one (1) year following the investigation regardless of whether a violation occurs at each investigation, and such records must, at a minimum, include the following information:

1. An Information and Consent document, completed by the minor in advance of the investigation, on the division form or a similar form approved by the division;

2. An Alcohol and Compliance Buy Checklist, signed by the minor and the peace officer responsible for reviewing the checklist with said minor, on the division form or a similar 3. A photograph of the minor taken immediately prior to the investigation;

3. A copy of the minor’s valid identification, showing the minor’s correct date of birth;

4. The audiotape or videotape specified in subsection (1)

(F) above; and 6. A written Minor Report on the division form or a similar (J) The state, county, municipal, or other local law enforcement agency must provide pre-recorded currency to the minor, to be used in the investigation. If a violation occurs, said agency should attempt to recover the pre-recorded funds tendered to the seller, or an amount equal thereto, and return any change tendered to the minor, and should further secure and inventory any intoxicating liquor product(s) purchased; and (K) The state, county, municipal, or other local law enforcement agency, in advance of the investigation, must train the minor who will be used in the investigation. Training, at a minimum, must include:

1. Instruction to enter the designated establishment and to proceed immediately to attempt to purchase or be supplied with an intoxicating liquor product;

2. Instruction to provide the minor’s valid identification upon a request for identification by the seller;

3. Instruction to answer truthfully all questions about age;

4. Instruction not to lie to the seller to induce a sale of intoxicating liquor products;

5. Instruction on the use of pre-recorded currency; and 6. Instruction on the other matters set out in this regulation.

(2) Off-site Investigations. The following are standards for the use of minors in intoxicating liquor investigations by a state, county, municipal, or other local law enforcement authority where intoxicating liquor is delivered or shipped to the minor at a location other than the licensed establishment:

(A) For the purposes of this section, licensees are at all times responsible for the actions and conduct of any employees, agents, or third parties delivering or shipping intoxicating liquor on the licensee’s behalf pursuant to an order by internet, telephone, mail, or any method of ordering other than in person on the licensed premises;

(B) The minor must be eighteen or nineteen years of age;

(C) The minor must have a youthful appearance. The minor must not have facial hair or a receding hairline, or wear excessive makeup or excessive jewelry, or wear headgear that will obstruct a clear view of the face or hairline. If the minor is wearing headgear or facial coverings required by law, executive order, or any official mandate from the city, county, state, or federal government, the minor shall be permitted to wear such item(s), but must temporarily remove said item(s) upon request by the person delivering or shipping the intoxicating liquor so as to provide a clear view of the face and hairline;

(D) The minor must carry his or her own valid governmentissued identification showing the minor’s correct date of birth and, upon request, produce such identification to the person delivering or shipping the intoxicating liquor; and the state, county, municipal, or other local law enforcement agency conducting the investigation must search the minor prior to the investigation to ensure that the minor is not in possession of any other valid or fictitious identification;

(E) The minor must answer truthfully any questions about his or her age and must not remain silent when asked questions regarding his or her age, nor misrepresent anything in order to induce a delivery or shipment of intoxicating liquor;

(F) The state, county, municipal, or other local law enforcement agency must make a copy of the minor’s valid identification showing the minor’s correct date of birth;

(G) The state, county, municipal, or other local law enforcement agency conducting such investigations must videotape or audiotape the delivery or shipment of the intoxicating liquor in a good faith effort to record all statements made by the minor and the person delivering or shipping the intoxicating liquor;

(H) No state, county, municipal, or other local law enforcement agency may employ minors on an incentive or quota

basis;

(I) If a violation occurs, the state, county, municipal, or other local law enforcement agency must make reasonable efforts to confront the person who delivered or shipped the intoxicating liquor product(s) in a timely manner, and within forty-eight (48) hours contact or take all reasonable steps to contact the owner, manager, or managing officer of the establishment that sold the intoxicating liquor;

(J) The state, county, municipal, or other local law enforcement agency must maintain records of each delivery or shipment where a minor is used by the agency during an intoxicating liquor investigation for a period of at least one (1) year following the investigation, regardless of whether a violation occurs at each investigation, and such records must, at a minimum, include the following information:

1. An Information and Consent document, completed by the minor in advance of the investigation, on the division form or a similar form approved by the division;

2. An Alcohol and Compliance Buy Checklist, signed by the minor and the peace officer responsible for reviewing the checklist with said minor, on the division form or a similar 3. A photograph of the minor taken immediately prior to the investigation;

3. A copy of the minor’s valid identification, showing the minor’s correct date of birth;

4. The audiotape or videotape specified in subsection (2)

(H) above; and 6. A written Minor Report on the division form or a similar (K) The state, county, municipal, or other local law enforcement agency must place the order using the minor’s information. Regardless of whether a violation occurs, said agency should attempt to recover any funds tendered to the seller and the person delivering or shipping the intoxicating liquor, or an amount equal thereto, and should further secure and inventory any intoxicating liquor delivered or shipped; and (L) The state, county, municipal, or other local law enforcement agency, in advance of the investigation, must train the minor who will be used in the investigation. Training, at a minimum, must include:

1. Instruction to respond to the designated delivery or shipment spot and proceed immediately to attempt to take possession of or be supplied with the intoxicating liquor product(s);

2. Instruction to provide the minor’s valid identification upon a request for identification by the person delivering or shipping the intoxicating liquor;

3. Instruction to answer truthfully all questions about age;

4. Instruction not to lie to the person delivering or shipping the intoxicating liquor to induce a delivery or shipment of intoxicating liquor products;

5. Instructions on the use of pre-recorded currency; and 6. Instruction on the other matters set out in this regulation.

History

• AUTHORITY: section 311.722, RSMo 2016. Original rule filed Jan. 13, 2006, effective Aug. 30, 2006. Amended: Filed Oct. 10, 2018, effective May 30, 2019. Amended: Filed May 27, 2022, effective Jan. 30, 2023. Original authority: 311.722, RSMo 2005, amended 2009.

Chapter 3 Tobacco Regulations

11 CSR 70-3.010 Retailer Employee Tobacco Training Criteria {#sec-11-csr-70-3.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-3.010}

PURPOSE: This rule establishes training criteria for retailers and employees selling tobacco products.

(1) Minimum retailer employee tobacco training, as referenced in section 407.931.6, RSMo, is not to exceed a total of ninety (90) minutes in length and covers the following criteria:

(A) State laws set out in sections 407.926, RSMo, et seq.;

(B) Federal regulations pertaining to retail sales of tobacco products, alternative nicotine products, or vapor products, set out in 21 CFR 1140.1 et seq.;

(C) What constitutes a valid identification as set out in section 407.929.2, RSMo;

(D) How to determine the validity of an identification and to detect fake, invalid and/or altered identifications; and (E) The refusal and denial of the sale of ucts, or vapor products to a minor or to someone without proper identification.

(2) An owner of an establishment where ucts, or vapor products are available for sale may claim the exemption of section 407.931.6, RSMo if said owner had in place an in-house or other tobacco compliance employee training program meeting the criteria in section (1) above, and the training was attended by all employees who sell tobacco products, alternative nicotine products, or vapor products to the general public.

(3) Each employee attending the training is to sign and date a certification upon completion of the training stating that the employee has been trained and understands the state laws and federal regulations regarding the sale of ucts, or vapor products. This certification is to be presented to the supervisor of Alcohol and Tobacco Control upon request.

History

• AUTHORITY: section 407.931.6(3), RSMo 2016. Original rule filed Sept. 27, 2001, effective March 30, 2002. Amended: Filed Oct. 10, 2018, effective May 30, 2019. Original authority: 407.931, RSMo 1992, amended 2001, 2014.

11 CSR 70-3.020 Use of Minors in Enforcement {#sec-11-csr-70-3.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 70-3.020}

PURPOSE: This rule establishes guidelines for the use of minors by a state, county, municipal, or other local law enforcement

(1) The Supervisor of the Division of Alcohol and Tobacco Control (the “supervisor” and the “division”) adopts the standards set forth in subsection 5 of section 407.934, RSMo (the “statute”), as mandatory guidelines for the use of minors in investigations of violations of Chapter 407 by a state, county, municipal, or other local law enforcement agency (“agency” or “authority”), which shall be followed by such authority. Agencies are also to adhere to the following guidelines:

(A) The agency shall search the minor prior to an investigation to ensure that the minor is not in possession of— 1. Any identification showing an incorrect date of birth for the minor; or 2. Any tobacco, alternative nicotine, or vapor product;

(B) The agency shall, in advance of an investigation, train the minor who will be used in the operation. At a minimum, this training shall include instruction on the standards set forth in the statute and this rule; and (C) A color photograph that clearly identifies the minor when printed or displayed at a size of three inches (3") by three inches (3") or larger shall satisfy any requirement for a photograph contained in the statute.

(2) Blank copies of the current editions of forms approved by the supervisor pursuant to the statute and this rule shall be made available on the division’s website.

(3) All references to statutes in this section include any successor statute.

History

• authority pursuant to section 407.934, RSMo.
• AUTHORITY: section 407.934.5, RSMo 2016. Original rule filed on Sept. 27, 2001, effective March 30, 2002. Rescinded: Filed July 9, 2018, effective Jan. 30, 2019. Proposed rule filed Aug. 14, 2020, effective March 30, 2021. Original authority: 407.934, RSMo 2001, amended 2014.

Division 75 Peace Officer Standards and Training Program

Chapter 1 Administration

11 CSR 75-1.010 General Organization {#sec-11-csr-75-1.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-1.010}

PURPOSE: This rule provides for the organization, administration, and methods of operation of the Peace Officer Standards and Training (POST) Program and the division of responsibilities between the POST Commission and the Director of the Department of Public Safety.

(1) Chapter 590, RSMo divides responsibility for peace officer standards and training between the Director of the Department of Public Safety and the POST Commission.

(A) The Director is responsible for the following:

1. Establishing a classification system for peace officer licenses.

2. Establishing minimum age, citizenship, and general education requirements for peace officers.

3. Adopting or developing a Missouri Peace Officer License Exam (MPOLE).

4. Providing for the licensing of peace officers possessing credentials from other states or jurisdictions.

5. Establishing a procedure to obtain a peace officer license.

6. Licensing and regulating peace officers.

7. Licensing and regulating continuing education providers.

8. Licensing and regulating training instructors and training centers.

9. Establishing minimum standards for admittance into a basic training course.

10. Promulgating rules pursuant to

Chapter 590, RSMo.

(B) The POST Commission is responsible for the following:

1. Establishing minimum standards for the basic training of peace officers.

2. Establishing a procedure for the relicensing of peace officers whose licenses have expired.

3. Setting the minimum number of hours of basic training for peace officers.

4. Providing for the recognition of basic training received at law enforcement training centers of other states, the military, the federal government, and territories of the United States.

5. Establishing requirements for the continuing education of peace officers.

6. Administering the Peace Officer Standards and Training Fund.

7. Guiding and advising the Director concerning peace officer standards and training.

(2) The Director has established a POST Program within the Office of the Director to assist in the implementation of Chapter 590, RSMo. The POST Program shall:

(A) Provide administrative support to the POST Commission; and (B) Serve as an agent and representative of the Director designated to carry out responsibilities relating to peace officer standards and training pursuant to section 590.010(2), RSMo.

(3) Members of the public may obtain information from, and may communicate with, the POST Program and the POST Commission as follows:

(A) General information and forms are available via the Internet.

(B) The POST Program will respond to inquiries made by telephone, postal mail, or electronic mail.

(C) All official communication to the POST Program or POST Commission shall be in written form.

1. All applications made pursuant to these rules shall be delivered to the POST Program in person or by postal mail.

2. Other correspondence to the POST Program or POST Commission may be delivered by postal mail, electronic mail, or, with prior approval, by fax.

(D) The contact information for inquiries and correspondence pursuant to this rule shall be as follows:

1. Internet: http://www.dps.mo.gov/ post.

2. Postal mail: POST Program, PO Box 749, Jefferson City, MO 65102.

3. Telephone: (573) 751-4905.

4. Fax: (573) 751-5399.

5. Electronic mail: POST@dps.mo.gov.

Rescinded and readopted: Filed April 12, 1989, effective June 29, 1989. Amended:

Filed Sept. 29, 1992, effective May 6, 1993.

Emergency rescission and rule filed June 15, 1994, effective Aug. 28, 1994, expired Dec. 25, 1994. Rescinded and readopted: Filed June 2, 1994, effective Nov. 30, 1994.

Amended: Filed Aug. 11, 1995, effective March 30, 1996. Amended: Filed Dec. 3, 1996, effective June 30, 1997. Rescinded and readopted: Filed May 1, 2002, effective Oct. 30, 2002. Amended: Filed Aug. 2, 2004, effective Jan. 30, 2005. Amended: Filed July 1, 2008, effective Dec. 30, 2008. *Original authority: 590.020, RSMo 2001; 590.030, RSMo 2001; 590.040, RSMo 2001, amended 2005, 2007; 590.050, RSMo 2001; 590.060, RSMo 2001; 590.120, RSMo 1978, amended 1988, 1993, 1995, 2001, 2007; and 590.190, RSMo 2001, amended 2007.

History

• AUTHORITY: sections 590.020, 590.030, 590.040, 590.050, 590.060, 590.120, and 590.190, RSMo Supp. 2007. Original rule filed Aug. 12, 1980, effective Nov. 13, 1980.

Chapter 2 Definitions

11 CSR 75-2.010 Definitions {#sec-11-csr-75-2.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-2.010}

PURPOSE: This rule identifies definitions used in the Peace Officer Standards and Training Program.

(1) For the purposes of 11 CSR 75:

(A) The definitions set forth in section 590.010, RSMo shall apply; and (B) The term “high school diploma or its equivalent” shall mean any of the following:

1. A high school diploma from an attendance-based, accredited high school and not an on-line or computer-based high school program;

2. A General Education Development (GED) certificate;

3. A diploma from a high school program of education under Chapter 167, RSMo; or 4. Passage of the United States Military Armed Services Vocational Aptitude Battery Exam. In addition to passing the exam, the applicant must obtain a score on the exam that would qualify them for a position as a military peace officer.

Rescinded and readopted: Filed April 12, 1989, effective June 29, 1989. Amended:

Filed Aug. 30, 1991, effective Jan. 13, 1992.

Amended: Filed March 2, 1992, effective Aug. 6, 1992. Amended: Filed Sept. 29, 1992, effective May 6, 1993. Emergency rescission and rule filed June 15, 1994, effective Aug. 28, 1994, expired Dec. 25, 1994.

Rescinded and readopted: Filed June 2, 1994, effective Nov. 30, 1994. Amended:

Filed Aug. 11, 1995, effective March 30, 1996. Amended: Filed Dec. 3, 1996, effective June 30, 1997. Amended: Filed June 14, 1999, effective Dec. 30, 1999. Amended:

Filed Feb. 9, 2000, effective Aug. 30, 2000.

Rescinded and readopted: Filed May 1, 2002, effective Oct. 30, 2002. Amended: Filed July 1, 2008, effective Dec. 30, 2008. *Original authority: 590.190, RSMo 2001, amended 2007.

History

• AUTHORITY: section 590.190, RSMo Supp. 2007. Original rule filed Aug. 12, 1980, effective Nov. 13, 1980. Amended: Filed April 1, 1983, effective Aug. 11, 1983.

Chapter 3 Certification of Bailiffs, Peace Officers and Reserve Officers

11 CSR 75-3.010 Certification {#sec-11-csr-75-3.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-3.010}

1998. Original rule filed Aug. 12, 1980, effective Nov. 13, 1980. Rescinded and readopted: Filed April 12, 1989, effective June 29, 1989. Emergency rescission and rule filed June 15, 1994, effective Aug. 28, 1994, expired Dec. 25, 1994. Rescinded and readopted: Filed June 2, 1994, effective Nov. 30, 1994. Amended: Filed Nov. 15, 1999, effective May 30, 2000. Rescinded: Filed May 1,

History

• AUTHORITY: section 590.135, RSMo Supp.

11 CSR 75-3.020 Eligibility for Certification {#sec-11-csr-75-3.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-3.020}

Filed Aug. 30, 1991, effective Jan. 13, 1992.

Amended: Filed Oct. 15, 1997, effective April 30, 1998. Amended: Filed Nov. 15, 1999, effective May 30, 2000. Amended:

Filed Feb. 9, 2000, effective Aug. 30, 2000.

Amended: Filed Oct. 23, 2000, effective April 30, 2001. Rescinded: Filed May 1, 2002, effective Oct. 30, 2002.

History

• AUTHORITY: sections 590.105, 590.110, 590.130 and 590.150, RSMo 2000. Original 1980. Rescinded and readopted: Filed April 12, 1989, effective June 29, 1989. Amended:

11 CSR 75-3.030 Requirements for and Terms of Certification {#sec-11-csr-75-3.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-3.030}

Filed March 2, 1992, effective Aug. 6, 1992.

March 30, 1996. Emergency amendment filed Dec. 2, 1996, effective Dec. 12, 1996, expired June 1, 1997. Amended: Filed Dec. 3, 1996, effective June 30, 1997. Emergency amendment filed Sept. 10, 1997, effective Sept. 20, 1997, expired March 18, 1998.

Amended: Filed Sept. 10, 1997, effective March 30, 1998. Amended: Filed Oct. 15, 1997, effective April 30, 1998. Amended:

Filed May 15, 1998, effective Nov. 30, 1998.

Amended: Filed Nov. 15, 1999, effective May 30, 2000. Amended: Filed Feb. 9, 2000, effective Aug. 30, 2000. Amended: Filed Sept. 21, 2000, effective March 30, 2001.

History

• AUTHORITY: sections 590.120 and 590.135, RSMo Supp. 1999. Original rule filed Aug. 12, 1980, effective Nov. 13, 1980. Rescinded and readopted: Filed April 12, 1989, effective June 29, 1989. Amended: Filed Aug. 30, 1991, effective Jan. 13, 1992. Amended:

11 CSR 75-3.040 Law Enforcement Experience {#sec-11-csr-75-3.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-3.040}

Filed Aug. 30, 1991, effective Jan. 13, 1992.

March 30, 1996. Rescinded: Filed May 1,

History

• AUTHORITY: sections 590.110, 590.130, 590.135 and 590.150, RSMo 1994. Original 1980. Rescinded and readopted: Filed April 12, 1989, effective June 29, 1989. Amended:

11 CSR 75-3.050 Waivers for Equivalent Training and/or Experience {#sec-11-csr-75-3.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-3.050}

Original rule filed Aug. 12, 1980, effective Nov. 13, 1980. Amended: Filed April 1, 1983, effective Aug. 11, 1983. Rescinded and readopted: Filed April 12, 1989, effective June 29, 1989. Amended: Filed Aug. 30, 1991, effective Jan. 13, 1992. Amended:

Filed March 2, 1992, effective Aug. 6, 1992.

March 30, 1996. Amended: Filed Nov. 15, 1999, effective May 30, 2000. Rescinded:

Filed May 1, 2002, effective Oct. 30, 2002.

History

• AUTHORITY: section 590.110, RSMo 1994.

11 CSR 75-3.060 Bailiff, Peace Officer, and Reserve Officer Certification {#sec-11-csr-75-3.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-3.060}

Original rule filed Aug. 12, 1980, effective Nov. 13, 1980. Rescinded and readopted:

Filed April 12, 1989, effective June 29, 1989.

Amended: Filed March 2, 1992, effective Aug. 6, 1992. Emergency rescission and rule filed June 15, 1994, effective Aug. 28, 1994, expired Dec. 25, 1994. Rescinded and readopted: Filed June 2, 1994, effective Nov. 30, 1994. Amended: Filed Aug. 11, 1995, effective March 30, 1996. Amended: Filed Dec. 3, 1996, effective June 30, 1997. Amended:

Filed Nov. 15, 1999, effective May 30, 2000.

History

• AUTHORITY: sections 590.110, RSMo 1994, and 590.115 and 590.120, RSMo Supp. 1998.

11 CSR 75-3.070 Request for Individual Qualification EvaluationóProcedures {#sec-11-csr-75-3.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-3.070}

Rescinded and readopted: Filed June 2, 1994, effective Nov. 30, 1994. Amended:

Filed Aug. 11, 1995, effective March 30, 1996. Amended: Filed Nov. 15, 1999, effective May 30, 2000. Rescinded: Filed May 1,

History

• AUTHORITY: sections 590.110, RSMo 1994 and 590.120, RSMo Supp. 1998. Original 1980. Rescinded and readopted: Filed April 12, 1989, effective June 29, 1989. Emergency rescission and rule filed June 15, 1994, effective Aug. 28, 1994, expired Dec. 25, 1994.

11 CSR 75-3.080 Suspension and Revocation of the Certification of a Bailiff, Peace Officer, or Reserve Officer {#sec-11-csr-75-3.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-3.080}

1998. Original rule filed Aug. 12, 1980, effective Nov. 13, 1980. Rescinded and readopted: Filed April 12, 1989, effective June 29, 1989. Amended: Filed Aug. 30, 1991, effective Jan. 13, 1992. Emergency rescission and rule filed June 15, 1994, effective Aug. 28, 1994, expired Dec. 25, 1994. Rescinded and readopted: Filed June 2, 1994, effective Nov. 30, 1994. Amended: Filed Aug. 11, 1995, effective March 30, 1996. Amended:

Filed Nov. 15, 1999, effective May 30, 2000.

MATTBLUNT(9/30/02)

Chapter 3óCertification of Bailiffs, Peace Officers, and Reserve Officers11 CSR 75-3

History

• AUTHORITY: section 590.120, RSMo Supp.

Chapter 4 Certification of Instructors

11 CSR 75-4.010 Types of Instructor Certification and Limitations of Instructors {#sec-11-csr-75-4.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-4.010}

Rescinded and readopted: Filed April 12, 1989, effective June 29, 1989. Amended:

Filed Aug. 30, 1991, effective Jan. 13, 1992.

Amended: Filed June 2, 1992, effective Feb. 26, 1993. Amended: Filed April 13, 1993, effective Oct. 10, 1993. Emergency rescission and rule filed June 15, 1994, effective Aug. 28, 1994, expired Dec. 25, 1994. Rescinded and readopted: Filed June 2, 1994, effective Nov. 30, 1994. Amended: Filed Aug. 11, 1995, effective March 30, 1996. Amended:

Filed Sept. 10, 1997, effective March 30, 1998. Rescinded: Filed May 1, 2002, effective Oct. 30, 2002.

History

• AUTHORITY: sections 590.123 and 590.135(2), RSMo Supp. 1997. Original rule filed Aug. 12, 1980, effective Nov. 13, 1980.

11 CSR 75-4.020 Application Procedures for Instructor Certification {#sec-11-csr-75-4.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-4.020}

Original rule filed Aug. 12, 1980, effective Nov. 13, 1980. Rescinded and readopted:

Filed April 12, 1989, effective June 29, 1989.

Emergency rescission and rule filed June 15, 1994, effective Aug. 28, 1994, expired Dec. 25, 1994. Rescinded and readopted: Filed June 2, 1994, effective Nov. 30, 1994.

Amended: Filed Aug. 11, 1995, effective March 30, 1996. Amended: Filed Sept. 10, 1997, effective March 30, 1998. Rescinded:

Filed May 1, 2002, effective Oct. 30, 2002.

History

• AUTHORITY: sections 590.110, RSMo 1994, 590.120 and 590.135, RSMo Supp. 1997.

11 CSR 75-4.030 Instructor Certification Procedures {#sec-11-csr-75-4.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-4.030}

1997. Original rule filed Aug. 12, 1980, 29, 1989. Emergency rescission and rule filed June 15, 1994, effective Aug. 28, 1994, expired Dec. 25, 1994. Rescinded and readopted: Filed June 2, 1994, effective Nov. 30, 1994. Amended: Filed Sept. 10, 1997, effective March 30, 1998. Rescinded: Filed May 1, 2002, effective Oct. 30, 2002.

History

• AUTHORITY: section 590.135, RSMo Supp.

11 CSR 75-4.040 Evaluation of Instructors {#sec-11-csr-75-4.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-4.040}

1997. Original rule filed Aug. 12, 1980, 29, 1989. Amended: Filed June 2, 1992, effective Feb. 26, 1993. Emergency rescission and rule filed June 15, 1994, effective Aug. 28, 1994, expired Dec. 25, 1994. Rescinded and readopted: Filed June 2, 1994, effective Nov. 30, 1994. Amended: Filed Aug. 11, 1995, effective March 30, 1996. Amended:

Filed Sept. 10, 1997, effective March 30, 1998. Rescinded: Filed May 1, 2002, effective Oct. 30, 2002.

History

• AUTHORITY: section 590.120, RSMo Supp.

11 CSR 75-4.050 Decertification of Instructors and Appeals Program {#sec-11-csr-75-4.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-4.050}

1997. Original rule filed Aug. 12, 1980, 29, 1989. Emergency rescission and rule filed June 15, 1994, effective Aug. 28, 1994, expired Dec. 25, 1994. Rescinded and readopted: Filed June 2, 1994, effective Nov. 30, 1994. Amended: Filed Sept. 10, 1997, effective March 30, 1998. Rescinded: Filed May 1, 2002, effective Oct. 30, 2002.

History

• AUTHORITY: section 590.120, RSMo Supp.

11 CSR 75-4.060 Decertification of Instructors {#sec-11-csr-75-4.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-4.060}

(Rescinded June 29, 1989)

Original rule filed Aug. 12, 1980, effective Nov. 13, 1980. Rescinded: Filed April 12, 1989, effective June 29, 1989.

History

• AUTHORITY: section 590.120, RSMo 1986.

Chapter 5 Certification of Training Centers

11 CSR 75-5.040 Minimum Requirements and Procedures for Training Centers Title 11óDEPARTMENT OF PUBLIC SAFETY Division 75óPeace Officer Standards and Training Program {#sec-11-csr-75-5.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-5.040}

Chapter 5óCertification of Training Centers

11 CSR 75-5.010 Initial Establishment of Training Centers to be Certified RSMo Supp. 1993. Original rule filed Aug. 12, 1980, effective Nov. 13, 1980. Rescinded and readopted: Filed April 12, 1989, effective June 29, 1989. Emergency rescission and {#sec-11-csr-75-5.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-5.010}

rule filed June 15, 1994, effective Aug. 28, 1994, expired Dec. 25, 1994. Rescinded and readopted: Filed June 2, 1994, effective Nov. 30, 1994. Rescinded: Filed May 1, 2002, effective Oct. 30, 2002.

11 CSR 75-5.020 Training Facility Directors or Coordinators RSMo 1994. Original rule filed Aug. 12, 1980, effective Nov. 13, 1980. Rescinded and readopted: Filed April 12, 1989, effective June 29, 1989. Amended: Filed Aug. 30, 1991, effective Jan. 13, 1992. Amended: {#sec-11-csr-75-5.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-5.020}

Filed Dec. 28, 1992, effective June 7, 1993.

Emergency rescission and rule filed June 15, 1994, effective Aug. 28, 1994, expired Dec. 25, 1994. Rescinded and readopted: Filed June 2, 1994, effective Nov. 30, 1994.

Amended: Filed Aug. 11, 1995, effective March 30, 1996. Rescinded: Filed May 1, 2002, effective Oct. 30, 2002.

11 CSR 75-5.030 Application for Initial Probationary and Continuing Certification of Training Centers RSMo Supp. 1993. Original rule filed Aug. 12, 1980, effective Nov. 13, 1980. Rescinded and readopted: Filed April 12, 1989, effective June 29, 1989. Emergency rescission and {#sec-11-csr-75-5.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-5.030}

rule filed June 15, 1994, effective Aug. 28, 1994, expired Dec. 25, 1994. Rescinded and readopted: Filed June 2, 1994, effective Nov. 30, 1994. Rescinded: Filed May 1, 2002, effective Oct. 30, 2002.

11 CSR 75-5.040 Minimum Requirements and Procedures for Training Centers RSMo Supp. 1999. {#sec-11-csr-75-5.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-5.040}

This rule was previously filed as 11 CSR 75-5.050. Original rule filed Aug. 12, 1980, effective Nov. 13, 1980.

Rescinded and readopted: Filed April 12, 1989, effective June 29, 1989. Emergency rescission and rule filed June 15, 1994, effective Aug. 28, 1994, expired Dec. 25, 1994.

Rescinded and readopted: Filed June 2, 1994, effective Nov. 30, 1994. Amended:

Filed Aug. 11, 1995, effective March 30, 1996. Amended: Filed Feb. 9, 2000, effective Aug. 30, 2000. Rescinded: Filed May 1, 2002, effective Oct. 30, 2002.

11 CSR 75-5.050 Certification of Training CentersóProcedure {#sec-11-csr-75-5.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-5.050}

(Rescinded June 29, 1989)

Rescinded: Filed April 12, 1989, effective June 29, 1989.

MATTBLUNT(9/30/02)

Chapter 5óCertification of Training Centers11 CSR 75-5

History

• AUTHORITY: sections 590.120 and 590.135(1), RSMo 1986. Original rule filed Aug. 12, 1980, effective Nov. 13, 1980.

Chapter 6 Minimum Standards for Training

11 CSR 75-6.010 Minimum Requirements for Peace Officer and Reserve Officer {#sec-11-csr-75-6.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-6.010}

Filed Nov. 12, 1982, effective May 12, 1983.

Rescinded and readopted: Filed April 12, 1989, effective June 29, 1989. Amended:

Filed Aug. 30, 1991, effective Jan. 13, 1992.

Emergency amendment filed Nov. 14, 1991, effective Nov. 24, 1991, expired March 12, 1992. Amended: Filed Nov. 18, 1991, effective April 9, 1992. Amended: Filed Dec. 28, 1992, effective June 7, 1993. Emergency rescission and rule filed June 15, 1994, effective Aug. 28, 1994, expired Dec. 25, 1994.

Rescinded and readopted: Filed June 2, 1994, effective Nov. 30, 1994. Amended:

Filed Aug. 11, 1995, effective March 30, 1996. Rescinded: Filed May 1, 2002, effective Oct. 30, 2002.

History

• AUTHORITY: sections 590.110 and 590.120, RSMo 1994. Original rule filed Aug. 12, 1980, effective Nov. 13, 1980. Amended:

11 CSR 75-6.020 Requirements for Trainee Attendance and Performance {#sec-11-csr-75-6.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-6.020}

Original rule filed Aug. 12, 1980, effective Nov. 13, 1980. Rescinded and readopted:

Filed April 12, 1989, effective June 29, 1989.

Amended: Filed Dec. 28, 1992, effective June 7, 1993. Emergency rescission and rule filed June 15, 1994, effective Aug. 28, 1994, expired Dec. 25, 1994. Rescinded and readopted: Filed June 2, 1994, effective Nov. 30, 1994. Amended: Filed Aug. 11, 1995, effective March 30, 1996. Rescinded: Filed May 1, 2002, effective Oct. 30, 2002.

History

• AUTHORITY: section 590.120, RSMo 1994.

11 CSR 75-6.030 Procedures for Certifying Basic Training Courses {#sec-11-csr-75-6.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-6.030}

Original rule filed Aug. 12, 1980, effective Nov. 13, 1980. Amended: Filed Feb. 23, 1988, effective May 26, 1988. Rescinded and readopted: Filed April 12, 1989, effective June 29, 1989. Amended: Filed Aug. 30, 1991, effective Jan. 13, 1992. Amended:

Filed Aug. 11, 1995, effective March 30, 1996. Amended: Filed May 4, 2000, effective Nov. 30, 2000. Rescinded: Filed May 1, 2002, effective Oct. 30, 2002.

MATTBLUNT(9/30/02)

Chapter 6óMinimum Standards for Training11 CSR 75-6

History

• AUTHORITY: section 590.120, RSMo 1994.

Chapter 7 Peace Officer Standards and Training Commission Administration

11 CSR 75-7.010 General Organization and Administration {#sec-11-csr-75-7.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-7.010}

(Rescinded October 30, 2002)

1993. Original rule filed April 12, 1989, effective June 29, 1989. Emergency rescission and rule filed June 15, 1994, effective Aug. 28, 1994, expired Dec. 25, 1994. Rescinded and readopted: Filed June 2, 1994, effective Nov. 30, 1994. Rescinded: Filed May 1, 2002, effective Oct. 30, 2002.

MATTBLUNT(9/30/02)

Chapter 7óPeace Officer Standards and Training Commission Administration11 CSR 75-7

History

• AUTHORITY: section 590.120, RSMo Supp.

Chapter 8 Minimum Standards for Training Applicable to any Sheriff's Department of any City Not Within a County

11 CSR 75-8.010 Minimum Requirements for St. Louis City Deputy Sheriffsí Training 1993. Emergency rule filed Aug. 30, 1991, effective Sept. 9, 1991, expired Jan. 6, 1992. {#sec-11-csr-75-8.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-8.010}

Jan. 13, 1992. Emergency rescission and rule 1994. Rescinded: Filed May 1, 2002, effec-

11 CSR 75-8.020 Requirements for Trainee Attendance and Performance 1993. Emergency rule filed Aug. 30, 1991, effective Sept. 6, 1991, expired Jan. 6, 1992. {#sec-11-csr-75-8.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-8.020}

Jan. 13, 1992. Emergency rescission and rule 1994. Rescinded: Filed May 1, 2002, effec-

11 CSR 75-8.030 Requirements for and Terms of Recognition of Completion of Training 1993. Emergency rule filed Aug. 30, 1991, effective Sept. 6, 1991, expired Jan. 6, 1992. {#sec-11-csr-75-8.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-8.030}

Jan. 13, 1992. Emergency rescission and rule 1994. Rescinded: Filed May 1, 2002, effec- MATTBLUNT(9/30/02)

Chapter 8óMinimum Standards for Training Applicable to any Sheriffís Department of any City Not Within a County11 CSR 75-8

Chapter 9 Minimum Standards for Training Applicable to any Bailiff in the State of Missouri

11 CSR 75-9.010 Minimum Requirements for Bailiffs RSMo 1994. Emergency rule filed June 15, 1994, effective Aug. 28, 1994, expired Dec. 25, 1994. Original rule filed June 2, 1994, effective Nov. 30, 1994. Amended: Filed Aug. 11, 1995, effective March 30, 1996. Rescinded: Filed May 1, 2002, effective Oct. 30, 2002. {#sec-11-csr-75-9.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-9.010}

11 CSR 75-9.020 Requirements for Trainee Attendance and Performance RSMo 1994. Emergency rule filed June 15, 1994, effective Aug. 28, 1994, expired Dec. 25, 1994. Original rule filed June 2, 1994, effective Nov. 30, 1994. Amended: Filed Aug. 11, 1995, effective March 30, 1996. Rescinded: Filed May 1, 2002, effective Oct. 30, 2002. {#sec-11-csr-75-9.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-9.020}

11 CSR 75-9.030 Requirements for and Terms of Recognition of Completion of Training RSMo Supp. 1993. Emergency rule filed June 15, 1994, effective Aug. 28, 1994, expired Dec. 25, 1994. Original rule filed June 2, 1994, effective Nov. 30, 1994. Rescinded: {#sec-11-csr-75-9.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-9.030}

Filed May 1, 2002, effective Oct. 30, 2002.

MATTBLUNT(9/30/02)

Chapter 9óMinimum Standards for Training Applicable to any Bailiff in the State of Missouri11 CSR 75-9

Chapter 10 Peace Officer Standards and Training Commission Fund

11 CSR 75-10.010 General Organization of Peace Officer Standards and Training (POST) Commission Fund {#sec-11-csr-75-10.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-10.010}

11 CSR 75-10.020 Source of FundsóTerms and Conditions {#sec-11-csr-75-10.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-10.020}

11 CSR 75-10.030 Eligible Applicants Amended: Filed Aug. 11, 1995, effective March 30, 1996. Amended: Filed Nov. 15, 1999, effective May 30, 2000. Rescinded: {#sec-11-csr-75-10.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-10.030}

11 CSR 75-10.040 Eligible Training 1998, 590.140 RSMo Supp. 1999 and {#sec-11-csr-75-10.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-10.040}

11 CSR 75-10.050 Ineligible Training {#sec-11-csr-75-10.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-10.050}

11 CSR 75-10.060 Eligible Cost Items {#sec-11-csr-75-10.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-10.060}

11 CSR 75-10.070 Ineligible Cost Items {#sec-11-csr-75-10.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-10.070}

History

• AUTHORITY: sections 590.120 and 590.140, RSMo Supp. 1998 and 590.178, RSMo 1994. Emergency rule filed June 15, 1994, effective Aug. 28, 1994, expired Dec. 25, 1994. Original rule filed June 2, 1994, effective Nov. 30, 1994. Amended: Filed July 1, 1999, effective Dec. 30, 1999. Rescinded:

11 CSR 75-10.080 Budget Year {#sec-11-csr-75-10.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-10.080}

History

• AUTHORITY: sections 590.120, 590.140 and 590.178, RSMo Supp. 1993. Emergency rule filed June 15, 1994, effective Aug. 28, 1994, Rescinded: Filed May 1, 2002, effective Oct. 30, 2002.

11 CSR 75-10.090 Application Procedures {#sec-11-csr-75-10.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-10.090}

(Rescinded May 30, 2000)

Emergency amendment filed Dec. 22, 1994, effective Jan. 1, 1995, expired April 30, 1995. Emergency amendment filed May 5, 1995, effective May 15, 1995, expired Sept. 11, 1995. Rescinded: Filed Nov. 16, 1999, effective May 30, 2000.

History

• AUTHORITY: sections 590.120, 590.140 and 590.178, RSMo Supp. 1993. Emergency rule filed June 15, 1994, effective Aug. 28, 1994, June 2, 1994, effective Nov. 30, 1994. Emergency amendment filed Sept. 8, 1994, effective Sept. 18, 1994, expired Dec. 25, 1994.

11 CSR 75-10.100 Distribution of POST Funds June 2, 1994, effective Nov. 30, 1994. Emergency amendment filed Sept. 8, 1994, effective Sept. 18, 1994, expired Dec. 25, 1994. {#sec-11-csr-75-10.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-10.100}

Emergency amendment filed Dec. 22, 1994, effective Jan. 1, 1995, expired April 30, 1995. Emergency amendment filed May 5, 1995, effective May 15, 1995, expired Sept. 15, 1995. Amended: Filed Aug. 11, 1995, effective March 30, 1996. Amended: Filed Dec. 3, 1996, effective June 30, 1997. Emergency amendment filed Aug. 27, 1998, effective Sept. 6, 1998, expired March 4, 1999.

Emergency amendment filed Nov. 5, 1998, effective Nov. 15, 1998, expired May 13, 1999. Amended: Filed Aug. 27, 1998, effective Feb. 28, 1999. Emergency amendment filed Aug. 27, 1998, effective Sept. 6, 1998, expired March 4, 1999. Emergency amendment filed Nov. 5, 1998, effective Nov. 15, 1998, expired May 13, 1999. Amended: Filed Nov. 5, 1998, effective April 30, 1999.

Amended: Filed March 15, 1999, effective Sept. 30, 1999. Amended: Filed Nov. 16, 1999, effective May 30, 2000. Rescinded:

MATTBLUNT(9/30/02)

Chapter 10óPeace Officer Standards and Training Commission Fund11 CSR 75-10

Chapter 11 Continuing Education Requirements

11 CSR 75-11.010 Minimum Requirements for Peace Officers and Reserve Officers and Chief Executive Officers {#sec-11-csr-75-11.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-11.010}

11 CSR 75-11.020 Requirements for Trainee Attendance and Performance {#sec-11-csr-75-11.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-11.020}

11 CSR 75-11.030 Requirements for and Terms of Recognition of Completion of Training {#sec-11-csr-75-11.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-11.030}

11 CSR 75-11.035 Recognition of Out-of- State Continuing Education Training 1999. Original rule filed Feb. 9, 2000, effective Aug. 30, 2000. Rescinded: Filed May 1, 2002, effective Oct. 30, 2002. {#sec-11-csr-75-11.035 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-11.035}

11 CSR 75-11.040 Suspension of the Certification of a Peace Officer, Reserve Officer or Chief Executive Officer for Failing to Maintain Minimum Continuing Education Requirements {#sec-11-csr-75-11.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-11.040}

(Rescinded February 28, 2001)

1998. Original rule filed Aug. 15, 1995, effective March 30, 1996. Emergency amendment filed Nov. 22, 1999, effective Dec. 2, 1999, expired May 29, 2000. Amended: Filed Nov. 15, 1999, effective May 30, 2000.

Rescinded: Filed Aug. 2, 2000, effective Feb. 28, 2001.

History

• AUTHORITY: section 590.135, RSMo Supp.

11 CSR 75-11.050 Requirements for the Inactive or Unemployed Peace Officer {#sec-11-csr-75-11.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-11.050}

rule filed Aug. 15, 1995, effective March 30, 1996. Amended: Filed Dec. 3, 1996, effective June 30, 1997. Rescinded: Filed May 1, 2002, effective Oct. 30, 2002.

History

• AUTHORITY: sections 590.117, RSMo 1994 and 590.140, RSMo Supp. 1996. Original

11 CSR 75-11.060 Application for Initial Probationary and Continuing POST Commission Approval of Continuing Education Providers 1999. Original rule filed Aug. 15, 1995, effective March 30, 1996. Amended: Filed Feb. 9, 2000, effective Aug. 30, 2000. {#sec-11-csr-75-11.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-11.060}

Rescinded: Filed May 1, 2002, effective Oct. 30, 2002.

11 CSR 75-11.070 Procedures for Continuing Education Course Providers 30, 1997. Amended: Filed Sept. 10, 1997, effective March 30, 1998. Amended: Filed Feb. 9, 2000, effective Aug. 30, 2000. {#sec-11-csr-75-11.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-11.070}

Amended: Filed Aug. 3, 2000, effective Feb. 28, 2001. Rescinded: Filed May 1, 2002, effective Oct. 30, 2002.

11 CSR 75-11.080 Minimum Requirements, Procedures, and Documentation Required for a POST Mandated In-Service Training Course 1997. Original rule filed Aug. 15, 1995, effective March 30, 1996. Amended: Filed Sept. 10, 1997, effective March 30, 1998. {#sec-11-csr-75-11.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-11.080}

Rescinded: Filed May 1, 2002, effective Oct. 30, 2002.

MATTBLUNT(9/30/02)

Chapter 11óContinuing Education Requirements11 CSR 75-11

Chapter 12 Alternative Methods of Training Delivery

11 CSR 75-12.010 Minimum Requirements for Computer-Based Continuing Education Delivery Systems {#sec-11-csr-75-12.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-12.010}

History

• AUTHORITY: section 590.115 and 590.140,

11 CSR 75-12.020 Procedures for POST Approved Providers Using Computer- Based Training as an Alternative Method of Training Delivery {#sec-11-csr-75-12.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-12.020}

History

• AUTHORITY: sections 590.115 and 590.140,

11 CSR 75-12.030 Procedures for Missouri Law Enforcement Agencies Using Computer-Based Training as an Alternative Method of Training Delivery {#sec-11-csr-75-12.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-12.030}

Chapter 12óAlternative Methods of Training Delivery11 CSR 75-12

History

• AUTHORITY: sections 590.115 and 590.140, MATTBLUNT(9/30/02)

Chapter 13 Peace Officer Licenses

11 CSR 75-13.010 Classification of Peace Officer Licenses {#sec-11-csr-75-13.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-13.010}

PURPOSE: This rule identifies the classifications of licenses for peace officers.

(1) Every peace officer license shall be classified according to the type of commission for which it is valid.

(A) Class A. Valid for any commission, except commission with the Missouri State Highway Patrol and the Missouri Conservation Commission.

(B) Class A-HP. Valid for any commission, except commission with the Missouri Conservation Commission.

(C) Class A-CC. Valid only for commission by the Missouri Conservation Commission.

(D) Class B. Valid for any commission, except commission by a first class county with a charter form of government, a political subdivision located within a first class county with a charter form of government, a city not within a county, the Missouri State Highway Patrol, or the Missouri Conservation Commission.

(E) Class C. Valid only for commission within a third class county pursuant to section 590.040.1(4), RSMo and only for the particular commission held by the licensee on July 1, 2002, or a commission that the director has determined to be similar pursuant to section 590.040.2, RSMo.

(F) Class D. Valid only for commission as a reserve peace officer within a county having more than one (1) million inhabitants and with either a charter form of government or of the first classification pursuant to section 590.040.1(5), RSMo.

(G) Class R.

1. Valid only for commission as a reserve peace officer with police powers limited by the commissioning authority as follows: while on duty the officer shall be under the direct supervision of a commissioned officer who holds a valid class A, B, or C license; while off duty the officer shall have no police power and shall not carry a concealed weapon, unless otherwise permitted by law; and the officer shall have no police power outside the commissioning political subdivision.

2. As used in this rule, “direct supervision” means supervision in which the supervising officer: monitors the supervised officer, including by two- (2-) way radio or radio scanner; is available for voice communication with the supervised officer; and is able to respond and assist the supervised officer in a timely manner.

3. A class R license shall not be valid for any commission by a first class county with a charter form of government, a political subdivision located within a first class county with a charter form of government, a city not within a county, the Missouri State Highway Patrol, or the Missouri Conservation Commission.

(H) Class S. Valid only pursuant to section 590.030.6, RSMo for the continuing licensure of a person holding and exercising a law enforcement commission requiring a peace officer license.

(2) If a change in county classification or form of government changes the class of license required in a county, any peace officer validly commissioned in the county on the date of the change shall be deemed to be validly licensed so long as the officer remains in the same commission. If an officer commissioned pursuant to this exception transfers to a new commission, then the officer shall lose the benefit of this exception. 590.040, and 590.190, RSMo 2016.* Original rule filed May 1, 2002, effective Oct. 30, 2002. Amended: Filed April 25, 2003, effective Oct. 30, 2003. Amended: Filed Aug. 2, 2004, effective Jan. 30, 2005. Amended:

Filed Nov. 1, 2004, effective April 30, 2005.

Amended: Filed July 1, 2008, effective Dec. 30, 2008. Amended: Filed March 10, 2017, effective Sept. 30, 2017.

RSMo 2001, amended 2009; 590.040, RSMo 2001, amended 2005, 2007, 2014; and 590.190, RSMo 2001, amended 2007.

11 CSR 75-13.020 Procedure to Obtain New Peace Officer License {#sec-11-csr-75-13.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-13.020}

PURPOSE: This rule identifies the procedure to obtain a new peace officer license.

(1) In order to be eligible to apply for a peace officer license, an applicant must satisfy the following general qualifications. The applicant shall be:

(A) Twenty-one (21) years of age or older;

(B) A United States citizen; and (C) The holder of a valid high school diploma or its equivalent, as defined by 11 CSR 75-2.010.

(2) There shall be no residency requirement to receive or hold a peace officer license.

(3) An applicant must demonstrate qualification for a particular class of peace officer license by one (1) of the following methods:

(A) Graduation from a basic training course certified for a particular class of license pursuant to 11 CSR 75-14.040;

(B) Graduation from a federal, military, or out-of-state basic training course recognized by the Director pursuant to 11 CSR 75- 13.070 as qualifying the trainee for particular class of license;

(C) Qualification for a particular class of license on the Veteran Peace Officer Point Scale pursuant to 11 CSR 75-13.060; or (D) Qualification for a class D license pursuant to section 590.040.1(5), RSMo.

(4) An applicant must apply for a peace officer license within five (5) years after graduating from a basic training course in order to use the training to qualify under subsection (3)(A) or (3)(B) of this rule. An applicant whose basic training is more than five (5) years old must qualify on the Veteran Peace Officer Point Scale pursuant to subsection (3)(C) of this rule.

(5) An applicant shall submit a peace officer license application to the Director.

(6) The applicant shall submit to being fingerprinted in a manner approved by the Missouri State Highway Patrol pursuant to section 43.543, RSMo, to determine if the applicant has a criminal history record on file with the Missouri criminal records repository or the Federal Bureau of Investigation. The fee associated with being fingerprinted in this manner shall be the responsibility of the applicant.

(7) The Director shall examine the qualifications of each applicant and determine whether the applicant has met all requirements for licensing, including the requirements of section 590.100, RSMo. The Director may investigate or request additional information from an applicant pursuant to

section 590.110.1, RSMo.

(8) The applicant shall achieve a qualifying score on the Missouri Peace Officer License Exam (MPOLE), except that an applicant for a class R and a class D license shall not take the MPOLE.

(9) The Director shall grant the appropriate license or deny the applicant’s request to be licensed. An applicant aggrieved by the decision of the Director may appeal pursuant to

section 590.100.3, RSMo. and 590.190, RSMo Supp. 2007. Original 2002. Amended: Filed Oct. 31, 2002, effective April 30, 2003. Amended: Filed July 1, 2008, effective Dec. 30, 2008.

11 CSR 75-13.030 Procedure to Upgrade Peace Officer License Classification {#sec-11-csr-75-13.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-13.030}

PURPOSE: This rule identifies the procedure to upgrade a peace officer license.

(1) A peace officer may qualify to upgrade the officer’s license from its current class to a new class in any of three (3) ways:

(A) Graduation from a basic training recruit course certified to qualify a trainee for the new class pursuant to 11 CSR 75-14.040;

(B) Graduation from a basic training upgrade course certified to qualify a trainee for an upgrade from the current class to the new class pursuant to 11 CSR 75-14.040 and completion of the entire mandatory curriculum for the new class; or (C) Qualification for the new class on the Veteran Peace Officer Point Scale pursuant to 11 CSR 75-13.060.

(2) Individuals with a Class R license who attend an upgrade basic training course to obtain a Class A license shall be required to complete the training requirement within three (3) years of the date they obtained their Class R license.

(3) An applicant shall submit to the Director a peace officer license application.

(4) An applicant must achieve a qualifying score on the Missouri Peace Officer License Exam (MPOLE) within one hundred twenty (120) days of application.

(5) The Director shall examine the qualifications of each applicant and determine whether the applicant has met all requirements for a license upgrade. The Director may investigate or request additional information from an applicant pursuant to section 590.110.1, RSMo.

(6) The Director shall grant the appropriate license reclassification or deny the applicant’s request. An applicant aggrieved by the decision of the Director may appeal pursuant to section 590.100.3, RSMo. and 590.190, RSMo Supp. 2007.* Original 2002. Amended: Filed Jan. 15, 2004, effective July 30, 2004. Amended: Filed Nov. 1, 2004, effective April 30, 2005. Amended:

11 CSR 75-13.040 Relicensing of Expired Peace Officer Licenses {#sec-11-csr-75-13.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-13.040}

PURPOSE: This rule identifies the process to reissue an expired license.

(1) A person whose peace officer license has expired pursuant to section 590.030.6, RSMo, for failure to hold a commission as a peace officer for a period of five (5) consecutive years may apply to the Director to obtain a new peace officer license pursuant to

11 CSR 75-13.020. An application for relicensing shall be treated the same as an application for a new license. {#sec-11-csr-75-13.020. omnilex-key=us-mo-regs-official--title-11--11 CSR 75-13.020.}

(2) The Director may suspend the time period for automatic expiration of a peace officer license pursuant to section 590.030.6, RSMo, for the period of time that a licensee is on official leave for a state or federal military leave of absence. *Original authority: 590.030, RSMo 2001 and 590.190,

11 CSR 75-13.050 Missouri Peace Officer License Exam {#sec-11-csr-75-13.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-13.050}

PURPOSE: This rule establishes the Missouri Peace Officer License Exam.

(1) The Director shall adopt or develop a Missouri Peace Officer License Exam (MPOLE).

(2) No person shall take the MPOLE unless the person:

(A) Is eligible to apply for, and has applied for, a peace officer license; or (B) The applicant is twenty (20) years of age, has provided written verification of current employment as a non-commissioned employee of a law enforcement agency, and is otherwise eligible to apply for a peace officer license pursuant to 11 CSR 75-13.020. An applicant for a class R and a class D license shall not take the MPOLE.

(3) A person must achieve a qualifying score on the MPOLE within one hundred twenty (120) days of application for a peace officer license.

(4) No person shall take the MPOLE after being disqualified by the director pursuant to 11 CSR 75-13.020(7).

(5) The qualifying score on the MPOLE shall be seventy percent (70%) correct. The director shall determine whether a person taking the MPOLE has achieved the qualifying score.

(6) A person who fails the MPOLE may retake the MPOLE as follows:

(A) Within thirty (30) days after notification of initial failure;

(B) Within thirty (30) days after notification of a second failure;

(C) After a third failure, the person may either— 1. Wait one (1) year after notification of failure, and then take the MPOLE as if for the first time; or 2. Attend and graduate from a basic training course, and then take the MPOLE as if for the first time; or (D) A person who fails to retake the MPOLE within thirty (30) days after notification of initial or a second failure may either— 1. Wait one (1) year after notification of failure, and then take the MPOLE as if for the first time; or 2. Attend and graduate from a basic training course, and then take the MPOLE as if for the first time.

(7) The director shall have plenary authority over the MPOLE. Any determination made by the director pursuant to this rule shall be subject to review only pursuant to section 536.150, RSMo.

RSMo 2016.* Original rule filed May 1, 2002, effective Oct. 30, 2002. Amended:

Amended: Filed June 30, 2020, effective Jan. 30, 2021. *Original authority: 590.030, RSMo 2001, amended 2009 and 590.190, RSMo 2001, amended 2007.

11 CSR 75-13.060 Veteran Peace Officer Point Scale {#sec-11-csr-75-13.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-13.060}

PURPOSE: This rule identifies the process for qualifying for a peace officer license on the veteran peace officer point scale.

(12/31/20) JOHN R. ASHCROFT

(1) The Veteran Peace Officer Point Scale is a method for determining the license class for which a veteran peace officer is qualified when applying for a new license pursuant to 11 CSR 75-13.020, a license upgrade pursuant to 11 CSR 75-13.030, or relicensing pursuant to 11 CSR 75-13.040.

(2) In order to be eligible to qualify on the scale, an applicant must be a graduate of a basic training course of at least one hundred twenty (120) hours.

(3) The holder of a class R or a class D license, or a person graduating from a reserve basic training course, is not eligible to qualify on the scale.

(4) An applicant shall request to qualify on the Veteran Peace Officer Point Scale on an application for a new peace officer license pursuant to 11 CSR 75-13.020(3)(C) or on an application for a peace officer license upgrade pursuant to 11 CSR 75-13.030(1)(C).

(5) The director shall score each applicant according to the following point system:

(A) For basic peace officer training— 1. 120 to 179 hours, 1 point;

2. 180 to 299 hours, 3 points;

3. 300 to 469 hours, 5 points;

4. 470 to 599 hours, 8 points;

5. 600 hours or more, 14 points;

(B) For years of experience as a commissioned peace officer— 1. Every year of active, full-time experience: 1 point;

2. Every three years of reserve, part-time experience: 1 point;

(C) For an accredited degree (score only the highest degree attained)— 1. Associate degree, 1 point;

2. Bachelors degree, 2 points;

3. Masters degree, 3 points;

4. Doctorate degree, 4 points;

(D) For continuing law enforcement education— 1. Average of sixteen to thirty-two hours per year of commissioned service, 1 point;

2. Average of thirty-two or more hours per year of commissioned service, 2 points;

3. For a graduate of the Federal Bureau of Investigation (FBI) National Academy or single equivalent training course equal to the FBI National Academy: 1 point for each 100 contact hours of training.

(6) The Director shall recognize the applicant’s qualification on the following scale:

(A) Ten through fifteen (10–15) total points, class B license;

(B) Sixteen (16) or more total points, class A license.

(7) An applicant aggrieved by the decision of the Director may appeal pursuant to section 590.100.3, RSMo.

RSMo 2016.* Original rule filed May 1, 2002, effective Oct. 30, 2002. Amended:

Filed Jan. 15, 2004, effective July 30, 2004.

Amended: Filed Nov. 1, 2004, effective April 30, 2005. Amended: Filed July 1, 2008, effective Dec. 30, 2008. Amended: Filed March 10, 2017, effective Sept. 30, 2017. *Original authority: 590.030, RSMo 2001, amended 2009 and 590.190, RSMo 2001, amended 2007.

11 CSR 75-13.070 Recognition of Federal, Military, and Out-of-State Basic Training {#sec-11-csr-75-13.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-13.070}

PURPOSE: This rule identifies the procedure to obtain recognition of federal, military, or out-of-state basic training.

(1) In order to be eligible to qualify for a new peace officer license based upon basic training not certified by the Director pursuant to 11 CSR 75-14.040, an applicant must be a graduate of a basic law enforcement training course at a law enforcement training center located in another state or a territory of the United States or conducted by the military or the federal government.

(2) An applicant shall request recognition of federal, military, or out-of-state training on an application for a new peace officer license pursuant to 11 CSR 75-13.020(5)(A).

(3) The Director shall determine with regard to each applicant:

(A) Whether the applicant’s basic training curriculum was comparable to basic training certified by the Director pursuant to 11 CSR 75-14.040;

(B) Whether the applicant was trained in substantial compliance with the minimum basic training standards established pursuant to 11 CSR 75-14.050; and (C) Which class of license the applicant is qualified to receive.

(4) The Director shall recognize the applicant’s qualification for a particular class of peace officer license or shall deny the applicant’s request. An applicant aggrieved by the decision of the Director may appeal pursuant to section 590.100.3, RSMo.

(5) The Director may enter into a standing reciprocity agreement with any state that regulates the basic training of peace officers.

History

• AUTHORITY: sections 590.040 and 590.190, Original authority: 590.040, RSMo 2001, amended 2005, 2007 and 590.190, RSMo 2001, amended 2007.

11 CSR 75-13.080 Adjustment of Peace Officer License Classification {#sec-11-csr-75-13.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-13.080}

PURPOSE: This rule authorizes the adjustment of peace officer license classifications to prevent inadvertent change in status or validity due to the adoption of new rules.

(1) The Director may take any administrative action necessary to prevent a change in the status or validity of any existing peace officer license due to the implementation of the peace officer license classification system pursuant to 11 CSR 75-13.010, including the reclassification or restriction of any license.

History

• AUTHORITY: sections 590.020 and 590.190, Original authority: 590.020, RSMo 2001 and 590.190,

11 CSR 75-13.090 Cause to Discipline Peace Officer Licensee {#sec-11-csr-75-13.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-13.090}

PURPOSE: This rule identifies the causes of discipline on a peace officer licensee.

(1) Whenever during the investigation of any cause to discipline a peace officer license the Director issues a subpoena pursuant to section 590.110.1, RSMo, the Director shall notify the officer of the investigation.

(2) As used in section 590.080.1, RSMo:

(A) The phrase has “committed any criminal offense” includes a person who has pleaded guilty to, been found guilty of, or been convicted of any criminal offense.

(B) The phrase “moral turpitude” means the wrongful quality shared by acts of fraud, theft, bribery, illegal drug use, sexual misconduct, and other similar acts, as defined by the common law of Missouri.

(C) “Reckless disregard” means a conscious disregard of a substantial risk that circumstances exist or that a result will follow, and such failure constitutes a gross deviation from the standard of care that a reasonable peace officer would exercise in the situation.

(3) Pursuant to section 590.080.1(6), RSMo, the Director shall have cause to discipline any peace officer licensee who:

(A) Fails to comply with an investigative subpoena lawfully issued by the Director pursuant to section 590.010, RSMo;

(B) Makes unauthorized use of the Missouri Peace Officer License Exam (MPOLE) or any basic training testing materials;

(C) Has pleaded guilty to, been found guilty of, or been convicted of a criminal offense, whether or not a sentence has been imposed.

(4) As used in section 590.090.1(3), RSMo, “clear and present danger” means a grave and immediate danger and not merely a probable danger.

(5) Voluntary surrender pursuant to section 590.080.5, RSMo, shall be permanent.

(6) Any peace officer license issued by fraud, misrepresentation, or mistake to a person not qualified to receive such license shall be subject to recall by the Director. The Director’s determination to recall a license shall be subject to review only pursuant to section 536.150, RSMo.

(7) When the Director has knowledge of cause to discipline a peace officer license pursuant to section 590.080, RSMo, or this

rule, the Director may in lieu of discipline issue a letter of reprimand to the officer and deliver a copy to the officer’s agency or commissioning authority. A letter of reprimand shall not affect the status of a peace officer’s license.

History

• AUTHORITY: sections 590.080, 590.090, and 590.190, RSMo Supp. 2007. Original 2002. Amended: Filed Sept. 5, 2003, effective March 30, 2004. Amended: Filed July 1, 2008, effective Dec. 30, 2008. Original authority: 590.080, RSMo 2001; 590.090,

11 CSR 75-13.100 Notification of Change in Commission Status {#sec-11-csr-75-13.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-13.100}

PURPOSE: This rule identifies the form which is to be submitted for a notification of change in commission status of a peace officer.

(1) Within thirty (30) days after any licensed peace officer departs employment or otherwise ceases to be commissioned, the chief executive officer of the commissioning law enforcement agency shall submit to the Director a Missouri Peace/Reserve Officer Commissioning/Employment Record.

History

• AUTHORITY: sections 590.070 and 590.190, Original authority: 590.070, RSMo 2001 and 590.190, (12/31/20) JOHN R. ASHCROFT

Chapter 14 Basic Training Centers

11 CSR 75-14.010 Procedure to Obtain a Basic Training Center License to obtain a basic training center license. {#sec-11-csr-75-14.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-14.010}

(1) An applicant for a basic training center license shall submit to the Director a completed basic training center license application. The Director may investigate or request additional information from an applicant pursuant to section 590.110.1, RSMo.

(2) The Peace Officer Standards and Training (POST) Commission shall make a preliminary determination of the applicant’s qualifications and the state’s need for an additional licensed basic training center. The POST Commission may consider any relevant factor, including the applicant’s history, facilities and equipment, academic qualifications, financial qualifications, the geographical area to be served, the agencies to be served, the estimated number of annual graduates, letters of support, and the projected impact on existing licensed basic training centers.

(3) If the applicant receives preliminary approval from the POST Commission, the Director shall:

(A) Conduct a site visit;

(B) Review the applicant’s policies and procedures, including attendance and instructor evaluation policies;

(C) Review the applicant’s proposed courses, including training objectives, lesson plans, source documents, and instructor qualifications;

(D) Review the applicant’s advisory board; and (E) Report the findings to the POST Commission.

(4) Upon receipt of the Director’s report, the POST Commission may invite the applicant to appear before the Commission.

(5) The POST Commission shall make a final recommendation to the Director whether to license the applicant.

(6) The Director shall consider the recommendation of the POST Commission and shall grant the basic training center license or deny the applicant’s request. An applicant aggrieved by the decision of the Director may appeal pursuant to section 590.060.2, RSMo.

(7) All new basic training center licenses shall be issued for an initial period of one (1)

year. During this initial period, the Director shall conduct a programmatic audit of the training center. The Director may:

(A) Renew the license for an additional period of one (1) year subject to further audit;

(B) Grant a three (3)-year license to the applicant; or (C) Refuse to renew the license, in which case the applicant may appeal pursuant to

section 590.060.2, RSMo.

(8) The procedure to renew a three (3)-year license shall be as follows:

(A) One hundred twenty (120) days before expiration of the license the applicant shall submit to the Director a basic training center license renewal application.

(B) The Director may conduct a programmatic audit of the training center.

(C) The Director shall grant renewal of the applicant’s license or deny the applicant’s request, which shall cause the license to expire.

(9) An applicant aggrieved by a decision of the Director pursuant to this rule may appeal pursuant to section 590.060.2, RSMo.

11 CSR 75-14.020 Minimum Requirements for Basic Training Centers {#sec-11-csr-75-14.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-14.020}

PURPOSE: This rule identifies minimum requirements for a basic training center.

(1) A basic training center shall— (A) Be under the management and operational control of a full-time, salaried training center director and shall designate to the director the name, mailing address, and telephone number of the training center director;

(B) During its initial one (1) and three (3)year licensing periods pursuant to 11 CSR 75-14.010(7), shall have an advisory board consisting of at least five (5) individuals with a law enforcement background;

(C) Operate pursuant to written policies and procedures;

(D) Deliver basic training courses on a regular basis;

(E) Notify the Director within thirty (30) days upon the dismissal, suspension, or other discipline of the training center director or any instructor;

(F) Maintain facilities and equipment adequate to deliver safe and effective basic training;

(G) Deliver all training in a manner that is safe, effective, and in strict compliance with these rules;

(H) Retain complete records on each basic training course for a period of six (6) years following completion of the course, including:

1. The designation of the course pursuant to 11 CSR 75-14.040(2)(A);

2. The lesson plans used to teach the course;

3. The class schedule, including the date, time, and instructor for all training, both mandatory and supplemental;

4. With respect to each objective designated pursuant to 11 CSR 75-14.050(3)(B)2. to be taught only by a specialist instructor with a valid, current third-party or secondary license, a copy of the appropriate third-party or secondary license; and (I) Retain permanent records regarding each trainee to include: name, Social Security number, date of birth, attendance record, all grades, final course score, and hours of training completed.

(2) The director may on a regular or irregular basis require all basic training center directors to attend meetings called by the director. With prior approval of the director, a training center director may appoint a designated representative to attend any such meeting.

(3) Each basic training center shall submit to a programmatic audit by the director at least once every three (3) years.

(4) All records of a basic training center that are relevant to a determination of compliance with Chapter 590, RSMo, or these rules, shall be open to inspection by the director without a subpoena.

(5) A training center director shall cooperate with the director in all audits and investigations conducted pursuant to Chapter 590, RSMo, or these rules.

RSMo Supp. 2013.* Original rule filed May Amended: Filed Dec. 3, 2015, effective May 30, 2016.

11 CSR 75-14.030 Standard Basic Training Curricula and Objectives {#sec-11-csr-75-14.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-14.030}

PURPOSE: This rule establishes a training curriculum and training objectives for each class of peace officer license.

PUBLISHER’S NOTE: The secretary of state has determined that the publication of the entire text of the material which is incorporated by reference as a portion of this rule would be unduly cumbersome or expensive. This material as incorporated by reference in this

rule shall be maintained by the agency at its headquarters and shall be made available to the public for inspection and copying at no more than the actual cost of reproduction.

This note applies only to the reference material. The entire text of the rule is printed here.

(1) The Peace Officer Standards and Training (POST) Commission shall develop a mandatory basic training curriculum for each class of peace officer license. The minimum number of training hours for each class of peace officer license shall be as follows:

(A) Class A. Six hundred (600) hours;

(B) Class A-HP. One thousand (1,000)

(C) Class A-CC. One thousand (1,000)

(D) Class B. Four hundred eighty (480)

(E) Class C. One hundred twenty (120)

(F) Class R. Two hundred ninety-seven (297) hours; and (G) Class S. Four hundred eighty (480) hours.

(2) The mandatory basic training curriculum for each license class shall— (A) Describe the training objectives that a trainee must complete in order to qualify for that class of license;

(B) Designate any training objective that must be taught by a particular type of specialist instructor;

(C) Assign each training objective to a specific subject area (rules of evidence, civil process, cardiopulmonary resuscitation (CPR), shotgun qualification, fingerprint evidence, etc.);

(D) Specify the minimum number of hours of instruction required to complete each subject area, with each hour equal to fifty (50) minutes of classroom instruction; and (E) Include training in the subject areas of— 1. Officer well-being, including mental health and/or physical health awareness;

2. Fair and impartial policing practices, including implicit bias recognition;

3. Handling persons with mental health or cognitive impairment issues; and 4. Tactical training, which must include one (1) or more of the following areas: deescalation techniques, crisis management, critical thinking, or social intelligence.

(3) The director shall retain at the headquarters of the Department of Public Safety a document entitled “Mandatory Basic Training Curricula,” which shall set forth all basic training curricula developed pursuant to this rule, and which is hereby incorporated by reference into this rule. A copy of the “Mandatory Basic Training Curricula” shall be made available to any interested person at a cost not to exceed the actual cost of the reproduction of a copy.

The publisher: Missouri Peace Officer Standards and Training Commission, Lewis and Clark State Office Building, 4th Floor West, Jefferson City, MO 65101, dated December 15, 2004. This rule does not incorporate any subsequent amendments or additions.

Amended: Filed April 25, 2003, effective Oct. 30, 2003. Amended: Filed Jan. 15, 2004, effective July 30, 2004. Amended: Filed Dec. 15, 2004, effective June 30, 2005. Amended:

Amended: Filed Dec. 3, 2015, effective May 30, 2016. Amended: Filed March 10, 2017, effective Sept. 30, 2017. *Original authority: 590.030, RSMo 2001, amended 2009; 590.040, RSMo 2001, amended 2005, 2007, 2014; and 590.190, RSMo 2001, amended 2007.

History

• AUTHORITY: sections 590.030, 590.040, and 590.190, RSMo 2016. Original rule filed May 1, 2002, effective Oct. 30, 2002.

11 CSR 75-14.040 Certification of Basic Training Courses for certifying a basic training course. {#sec-11-csr-75-14.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-14.040}

(1) Application for certification of a basic training course may be made only by a licensed basic training center.

(2) An applicant shall:

(A) Designate whether the course is a recruit course or an upgrade course pursuant to 11 CSR 75-14.050(1) and what class of license the course is intended to qualify a trainee to receive; and (B) Submit to the Director lesson plans for delivering the mandatory basic training objectives established pursuant to 11 CSR 75- 14.030.

(3) The Director shall review the proposed basic training course and shall certify or refuse to certify the course. Certification of a course shall include certification of the lesson plans submitted pursuant to subsection (2)(B) of this rule.

(4) Any change to a certified course, including a change in lesson plan, shall require prior approval of the Director.

(5) A basic training center aggrieved by a decision of the Director pursuant to this rule may petition the POST Commission for a final determination, in which case the determination of the POST Commission shall be subject to review only pursuant to section 536.150, RSMo.

11 CSR 75-14.050 Minimum Standards for a Certified Basic Training Course {#sec-11-csr-75-14.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-14.050}

PURPOSE: This rule identifies the minimum standards for a certified basic training course.

(1) There shall be two (2) types of basic training courses— (A) Recruit courses, which shall deliver an entire mandatory basic training curriculum, and which shall be designed to qualify a previously untrained person for a new peace officer license pursuant to 11 CSR 75- 13.020; and (B) Upgrade courses, which shall deliver a portion of a mandatory basic training curriculum, and which shall be designed, either singly or in combination with other upgrade courses, to qualify a licensed peace officer for a license upgrade pursuant to 11 CSR 75- 13.030.

(2) The procedure for delivering a basic training course shall be as follows:

(A) The training center director shall verify that each trainee is qualified pursuant to 11 CSR 75-14.060;

(B) At least fifteen (15) days before the start of the course, the training center director shall— 1. Cause each trainee to complete a Missouri peace officer license legal questionnaire, which the training center director shall review;

2. Cause each trainee to submit to being fingerprinted in a manner approved by the Missouri State Highway Patrol pursuant to

section 43.543, RSMo, to determine if the applicant has a criminal history record on file with the Missouri criminal records repository or the Federal Bureau of Investigation. The fee associated with being fingerprinted in this manner shall be the responsibility of the applicant; and (12/31/20) JOHN R. ASHCROFT 3. Report to the director the existence of any known fact or circumstance that might constitute cause for the director to disqualify any trainee from receiving a peace officer license, in which case the training center director shall obtain a waiver from the director before admitting the trainee into the course;

(C) The training center director shall deny entry into the course or shall expel from the course any trainee that the director determines to be unqualified pursuant to 11 CSR 75-14.060 or section 590.100, RSMo;

(D) At least ten (10) days before the start of the course, the training center director shall notify the director of the course start date, end date, class schedule including the instructor of each class, location, and the date on which graduates will be administered the Missouri Peace Officer License Exam;

(E) On or before first day of the training course, the training center director shall provide to each trainee a copy of all training center polices and procedures relating to trainees, including grading and class makeup policies;

(F) The training center director may dismiss for cause any trainee before graduation, in which case the training center director shall immediately notify the director. The training center director shall provide the reason for the dismissal to the director. Dismissal by the training center director shall not be subject to appeal pursuant to these rules or

Chapter 590, RSMo;

(G) No later than thirty-five (35) days before graduation, the training center director shall cause each trainee to submit to the director a peace officer license application;

(H) The training center director shall determine whether each trainee shall graduate from the course pursuant to 11 CSR 75- 14.050(7) and training center policies. A graduation determination by the training center director shall not be subject to appeal pursuant to these rules or Chapter 590, RSMo;

(I) No later than ten (10) days after graduation, the training center director shall forward to the director a list of graduates containing the final score for each trainee; and (J) Upon request of a training center director, the director may waive or modify any time period specified in this rule.

(3) The instruction of every objective of a mandatory basic training curriculum shall be performed— (A) According to a certified lesson plan; and (B) By a licensed instructor, as follows:

1. An objective designated to be taught only by a particular type of specialist instructor shall be taught only by such specialist;

2. An objective designated to be taught only by a particular type of specialist instructor with a valid, current third-party or secondary license shall be taught only by such specialist; and 3. All other objectives may be taught either by a generalist instructor or by a specialist instructor licensed for that objective.

(4) No single instructor shall deliver more than thirty percent (30%) of the total contact hours of a mandatory basic training curriculum.

(5) A basic training course may include supplemental training that is not part of the mandatory basic training curriculum. A basic training center director may elect to add supplemental training to any basic training course. Supplemental training shall be consistent with generally accepted law enforcement practices, shall not be contrary to public safety, and shall not be unreasonably dangerous to the safety of trainees. Supplemental training may be taught by a licensed or unlicensed instructor. Supplemental training shall not be certified by the director, but the director may monitor supplemental training for compliance with this rule.

(6) Trainees shall be graded as follows:

(A) A trainee shall be tested for mastery of each subject area in the appropriate mandatory curriculum. A written or practical examination may test more than one (1) subject area simultaneously.

1. Mastery of firearms shall be tested by practical examination and scored on a numerical scale from zero (0) to one hundred (100).

Supplemental written examinations are permitted, but the overall firearms score required for graduation pursuant to paragraph (7)(C)4. of this rule shall be based solely upon the practical examinations. The final grade of the firearms practical examination may, at the discretion of the training center director, be recorded as a pass or fail.

2. Mastery of defensive tactics, physical fitness, driver training, and any other basic training subject areas requiring a trainee to perform a demonstrative skill as determined by the Peace Officers Standards and Training (POST) Commission shall be tested by practical examination and may be graded on a numerical scale from zero (0) to one hundred (100) or on a pass/fail basis. Supplemental written examinations are permitted.

3. Mastery of all other subject areas shall be tested by written or practical examination and shall be graded on a numerical scale from zero (0) to one hundred (100).

Pass/fail grading is not permitted;

(B) A trainee who achieves less than seventy percent (70%) on any written examination may, at the discretion of the training center director, retake the examination one (1)

time. The highest score that may be awarded on a retake examination is seventy percent (70%), or if the minimum passing score of the program of study being used is greater than seventy percent (70%), that minimum passing score may be awarded;

(C) A trainee who achieves a failing score on an objective graded on a pass/fail basis may, at the discretion of the training center director, reattempt the objective one (1) time;

(D) A trainee who achieves less than seventy percent (70%) on the firearms practical examination may, at the discretion of the training center director, retake the practical examination one (1) time. The highest score that may be awarded on a retake examination is seventy percent (70%), or if the minimum passing score of the program of study being used is greater than seventy percent (70%), that minimum passing score may be awarded;

(E) The weighing of each exam in calculating a trainee’s overall score shall be determined by the training center policy before the start of the training course;

(F) The determination to grade an objective pass/fail shall be made before the start of the training course;

(G) The determination to allow a trainee to retake a written or a practical examination, or the reattempt of an objective graded on a pass/fail basis, shall be made before the start of the training course and the same standard shall apply to all trainees; and (H) A trainee who fails any written examination, or who fails to achieve a passing grade on an objective graded on a pass/fail

basis, or who fails to achieve a passing score on the firearms practical examination, may be afforded an opportunity to complete remedial training prior to retaking any written or practical examination. The training center director shall inform the trainee prior to commencing any examination or reexamination and it shall be clear to the trainee that all remedial training, if offered, has concluded.

(7) To be eligible for graduation from a basic training course, a trainee shall, at a minimum— (A) Attend at least ninety-five percent (95%) of the total contact hours of the mandatory basic training curriculum and make up any missed hours in a manner that ensures that the trainee develops a thorough understanding of the mandatory training (12/31/20) JOHN R. ASHCROFT objectives;

(B) Complete all graduation requirements, including any makeup work, within twelve (12) months after the originally scheduled graduation date for the course. There shall be no partial or transferable credit for an incomplete course without prior approval of the director;

(C) Achieve— 1. A score of no less than seventy percent (70%) on each written exam, unless a greater passing percentage is required by the program of study being used;

2. A final, overall score of no less than seventy percent (70%) for all written exams, unless a greater passing percentage is required by the program of study being used;

3. A passing score on each objective graded pass or fail; and 4. An overall firearms score of no less than seventy percent (70%), unless a greater passing percentage is required by the program of study being used; and (D) Successfully complete any supplemental training included in the course pursuant to

section (5) of this rule.

Amended: Filed Nov. 15, 2002, effective April 30, 2003. Amended: Filed July 1, 2008, effective Dec. 30, 2008. Amended: Filed June 30, 2020, effective Jan. 30, 2021. *Original authority: 590.030, RSMo 2001, amended 2009; 590.040, RSMo 2001, amended 2005, 2007, 2014; and 590.190, RSMo 2001, amended 2007.

History

• AUTHORITY: sections 590.030, 590.040, and 590.190, RSMo 2016. Original rule filed May 1, 2002, effective Oct. 30, 2002.

11 CSR 75-14.060 Eligibility for Entrance into a Basic Training Course {#sec-11-csr-75-14.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-14.060}

PURPOSE: This rule identifies the qualifications for entrance into a basic training course.

(1) No person shall be admitted into a certified basic training course unless such person:

(A) Is eighteen (18) years of age or older;

(B) Is a United States citizen;

(C) Is the holder of a valid high school diploma or its equivalent pursuant to 11 CSR 75-2.010;

(D) Has been fingerprinted pursuant to 11 CSR 75-13.020 within one hundred twenty (120) days of, and no later than fifteen (15) days before, the start of the basic training course; and (E) Has submitted a Missouri Peace Officer License Legal Questionnaire to the basic training center director.

11 CSR 75-14.070 Basic Training Instructor Licenses in obtaining a basic training instructor license. {#sec-11-csr-75-14.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-14.070}

(1) The procedure to obtain a basic training instructor license shall be as follows:

(A) The applicant shall submit to the Director a basic training instructor license application.

(B) The Director shall determine the applicant’s qualifications pursuant to 11 CSR 75- 14.080.

(C) The Director shall grant the applicant the appropriate license or deny the applicant’s request.

(2) Upon the request of a basic training center director, the Director may waive or modify the instructor development course requirement of 11 CSR 75-14.080 as follows:

(A) The Director may grant a probationary license to an instructor who has not graduated from an instructor development course upon the condition that the instructor shall graduate from an instructor development course within one (1) year;

(B) The Director may waive the instructor development course requirement for a specialist instructor after review of an instructor quality rating form completed by the basic training center director and submitted to the Director.

(3) Cause to discipline an instructor license pursuant to section 590.060.2, RSMo, shall include, but not be limited to:

(A) Any cause to discipline a peace officer license pursuant to section 590.080, RSMo, or 11 CSR 75-13.090;

(B) Any act unreasonably jeopardizing the safety of any trainee;

(C) Failure to deliver mandatory basic training curriculum according to a certified lesson plan;

(D) Teaching an objective for which the instructor is not licensed; or (E) Teaching an objective requiring a thirdparty or secondary license without a valid, current third-party or secondary license.

(4) Any person aggrieved by the decision of the Director pursuant to this rule may appeal pursuant to section 590.060.2, RSMo.

RSMo Supp. 2007. Original rule filed May 1, 2002, effective Oct. 30. 2002. Amended:

11 CSR 75-14.080 Minimum Requirements for a Basic Training Instructor {#sec-11-csr-75-14.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-14.080}

PURPOSE: This rule identifies the minimum requirements for a basic training instructor.

(1) There shall be two (2) types of basic training instructor licenses: generalist licenses and specialist licenses.

(2) To qualify for a generalist license, an instructor shall possess the following qualifications:

(A) Sponsorship by a licensed basic training center;

(B) Graduation from a Peace Officer Standards and Training (POST)-approved instructor development course; and (C) Either:

1. A four (4) year baccalaureate degree and five (5) or more years active commission as a full-time peace officer, federal law enforcement officer, or military law enforcement officer;

2. A two (2) year associate degree and eight (8) or more years active commission as a full-time peace officer, federal law enforcement officer, or military law enforcement officer; or 3. A high school diploma or its equivalent and ten (10) or more years active commission as a full-time peace officer, federal law enforcement officer, or military law enforcement officer.

(3) To qualify for a specialist license, an instructor shall possess the following qualifications:

(A) Sponsorship by a licensed basic training center;

(B) Graduation from a POST-approved instructor development course; and (C) The instructor shall be a subject matter expert as to one (1) or more of the mandatory basic training objectives established pursuant to 11 CSR 75-14.030. Subject matter expertise shall be determined by the Director after consideration of the instructor’s academic education; previous teaching experience; practical experience; membership in professional associations; publications; letters of reference; recognition as an expert by courts of law; independent certifications of expertise, and other evidence of the instructor’s qualifications.

(D) A valid, current third-party or secondary license shall be required to qualify as a specialist instructor for any objective related to the following:

1. Tactical Communications if utilizing Verbal Judo, graduate of a Verbal Judo Trainer Course.

2. Hazardous Materials, graduate of a POST recognized eight (8)-hour Hazardous Materials Training Course.

3. Accident Investigation, graduate of an Accident Investigation School or Accident Reconstruction School.

4. First Responder, graduate of a Certified First Responder Trainer Course, or a licensed Emergency Medical Technician (EMT), Emergency Medical Technician Paramedic (EMTP), Registered Nurse (RN), Medical Doctor (MD), or Doctor of Osteopathy (DO).

5. The core curricula areas under Defensive Tactics, with the exception of the subject area of Mechanics of Arrest and Control, graduate of a POST recognized Law Enforcement Defensive Tactics Instructor Course.

6. The core curricula areas under Firearms, graduate of a POST recognized Firearms Instructor School of at least forty (40) hours.

7. The core curricula areas under Driver Training, graduate of a POST recognized Drivers Training Instructor Course.

8. Memoranda, Introduction to Report Writing, and Report Writing Exercises, if an individual does not have at least a four (4)year college degree, they must be a graduate of a POST recognized Report Writing Instructor Course.

Filed Oct. 31, 2002, effective April 30, 2003.

Amended: Filed April 25, 2003, effective Oct. 30, 2003. Amended: Filed July 1, 2008, effective Dec. 30, 2008.

Chapter 15 Continuing Education

11 CSR 75-15.010 Continuing Education Requirement {#sec-11-csr-75-15.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-15.010}

PURPOSE: This rule establishes the continuing education requirement for all peace officers.

(1) Continuing law enforcement education (CLEE) is to be obtained and monitored on a fixed, annual cycle, with the first annual CLEE period beginning January 1, 2017, and ending December 31, 2017, and successive CLEE periods ending December 31 every year thereafter.

(2) Every licensed peace officer is to obtain twenty four (24) hours of CLEE credit during each annual CLEE period.

(3) A peace officer is to be exempt from the CLEE training standard for the remainder of a CLEE period during which the officer receives a new license pursuant to 11 CSR 75-13.020, receives a license upgrade pursuant to 11 CSR 75-13.030, or successfully completes a Missouri basic training course in its entirety.

(4) CLEE credit may be obtained from the following sources:

(A) From a CLEE provider licensed pursuant to 11 CSR 75-15.030;

(B) From a basic training center licensed pursuant to 11 CSR 75-14.010;

(C) From a source approved to provide a specific CLEE course pursuant to 11 CSR 75-15.040;

(D) From a pre-approved source pursuant to 11 CSR 75-15.050;

(E) For serving as an instructor for a CLEE or basic training class pursuant to 11 CSR 75-15.020(3)(B);

(F) By attending an accredited college or university course related to law enforcement or applicable to law enforcement administration pursuant to 11 CSR 75-15.020(3)(C); or (G) As in-service training pursuant to 11 CSR 75-15.060.

(5) Commencing for the reporting period beginning January 1, 2017, and ending December 31, 2017, and for reporting periods thereafter, during each CLEE period, every peace officer is to obtain at least eight (8) hours of CLEE credit from some combination of the following sources:

(A) Licensed CLEE providers;

(B) Licensed basic training centers; and (C) Non-law enforcement agency sources approved to provide a specific CLEE course pursuant to 11 CSR 75-15.040.

(6) Commencing for the reporting period beginning January 1, 2017, and ending December 31, 2017, and for successive reporting periods, no peace officer can receive— (A) More than sixteen (16) hours of CLEE credit for in-service training; or (B) More than eight (8) hours of CLEE credit for accredited college or university courses.

(7) During each CLEE period, every peace officer is to, pursuant to 11 CSR 75- 15.020(1), obtain at least— (A) Two (2) credit hours of legal studies;

(B) Two (2) credit hours of technical studies;

(C) Two (2) credit hours of interpersonal perspectives, which may include implicit bias and racial profiling; and (D) Two (2) credit hours of firearms skill development training.

(8) Every peace officer with the authority to enforce motor vehicle or traffic laws is to obtain CLEE training regarding racial profil- (9) Every peace officer is to obtain at least one (1) credit hour of CLEE training covering the topic of de-escalation and one (1) credit hour of CLEE training covering the topic of implicit bias.

(10) At the conclusion of each CLEE period, the director is to determine the compliance of each peace officer pursuant to this rule. Each peace officer is responsible for reporting and demonstrating compliance to the director.

(11) A peace officer may apply to the director for a modification or waiver of the CLEE requirement for any CLEE period in which the officer takes official state or federal military leave of absence or in which the director determines that the officer was unable to comply with the CLEE training standard due to a documented medical condition. Any determination made by the director pursuant to this rule is subject to review only pursuant to section 536.150, RSMo.

(12) Any peace officer who fails to comply with this rule is subject to discipline pursuant to section 590.080.1.(6), RSMo.

Filed March 10, 2017, effective Sept. 30, 2017. Amended: Filed March 9, 2018, effective Sept. 30, 2018. Amended: Filed Oct. 13, 2020, effective April 30, 2021.

History

• AUTHORITY: sections 590.030.5.(1), nal rule filed May 1, 2002, effective Oct. 30, 2002. Amended: Filed Aug. 2, 2004, effective Jan. 30, 2005. Amended: Filed July 1, 2008, 3, 2015, effective May 30, 2016. Amended:

11 CSR 75-15.020 Minimum Standards for Continuing Education Training {#sec-11-csr-75-15.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-15.020}

PURPOSE: This rule establishes minimum standards for the continuing education training of peace officers.

(1) All Continuing Law Enforcement Education (CLEE) training is to relate to one (1) of the following curricula areas:

(A) Legal Studies – Described as training that focuses on updates or familiarization of federal or state criminal laws, case law updates, or any type of legal issues;

(B) Technical Studies – Described as training that focuses on specialized studies or activities which directly relate to the job description and performance, such as crash investigation, traffic stops, and agency policy updates;

(C) Interpersonal Perspectives – Described as training that focuses on interpersonal or communication skills, such as implicit bias, racial profiling, cultural diversity, ethics, fair and impartial policing practices, conflict management, victim sensitivity, critical thinking, social intelligence, mental health awareness, officer well-being, and stress management; or (D) Skill development – Described as training that focuses on activities that develop physical skill proficiency and demonstrative tasks such as de-escalation techniques, defensive tactics, firearm training, driver training, first aid, and CPR training.

(2) All CLEE training is to be designated according to curricula area. CLEE training relating to de-escalation, implicit bias, racial profiling, and firearms is to also be designated as such, in addition to being designated by curricula area.

(3) CLEE credit is to be calculated at the following rates:

(A) One (1) hour of CLEE credit for each fifty (50) minutes of CLEE instruction received;

(B) One (1) hour of CLEE credit for each hour of CLEE or basic training instruction delivered to an in-person audience; and (C) Two (2) hours of CLEE credit for each semester hour of credit earned at an accredited college or university and related to law enforcement or applicable to law enforcement administration.

(4) Upon successful completion of the requirements of any CLEE course, the provider of the training is to report to the director the successful completion of the CLEE course by the trainee in a method to be determined by the director and is to present each trainee a certificate bearing— (A) The provider’s name;

(B) The course name;

(C) The total number of CLEE credit hours earned;

(D) A breakdown of CLEE credit hours earned by curricula area;

(E) The number of de-escalation, implicit bias, racial profiling, or firearms CLEE credit hours earned, if any;

(F) The trainee’s name;

(G) The name of the individual responsible for general administration of the course; and (H) The date and location the course was presented.

(5) A CLEE provider is to retain, for a period of six (6) years after each CLEE training course, the following records:

(A) A copy of the training certificate or other record of the information required by subsections (4)(A) to (4)(H) of this rule;

(B) A list of all trainees who successfully completed the course;

(C) The name of the individual responsible for general administration of the course;

(D) A list of all training objectives;

(E) A detailed synopsis or a detailed overview of the course;

(F) All instructor records;

(G) The course evaluation plan; and (H) The course attendance policy.

(6) Every law enforcement agency that provides in-service CLEE training is to present each officer leaving the agency with a complete record of all in-service CLEE training obtained by the officer during the officer’s tenure with the agency.

(7) A source approved to provide a specific CLEE course pursuant to 11 CSR 75-15.040 is to file with the director a complete attendance list within two (2) weeks following the completion of the course in a method to be determined by the director.

(8) CLEE providers are to deliver all CLEE training in a safe and effective manner.

Amended: Filed June 12, 2017, effective Dec. 30, 2017. Amended: Filed March 9, 2018, effective Sept. 30, 2018. Amended: Filed Oct. 13, 2020, effective April 30, 2021.

History

• AUTHORITY: sections 590.030.5.(1), nal rule filed May 1, 2002, effective Oct. 30, 2002. Amended: Filed July 1, 2008, effective Dec. 30, 2008. Amended: Filed Dec. 3, 2015, effective May 30, 2016. Amended: Filed March 10, 2017, effective Sept. 30, 2017.

11 CSR 75-15.030 Procedure to Obtain a Continuing Education Provider License {#sec-11-csr-75-15.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-15.030}

PURPOSE: This rule identifies the procedure to obtain a continuing education provider (1) Any person or entity may apply for a Continuing Law Enforcement Education (CLEE) provider license, except that a law enforcement agency eligible to provide in-service CLEE training pursuant to 11 CSR 75- 15.060 is not eligible for a CLEE provider (2) An applicant shall submit to the director a CLEE provider license application. The director may investigate or request additional information from an applicant pursuant to

section 590.110.1, RSMo.

(3) The Peace Officer Standards and Training (POST) Commission shall make a preliminary determination of an applicant’s qualifications. The POST Commission may consider any relevant factor, including the applicant’s history, facilities and equipment, academic qualifications, financial qualifications, the estimated number of annual graduates, letters of support, and the applicant’s need for licensed provider status as opposed to obtaining individual course approval pursuant to 11 CSR 75-15.040.

(4) If an applicant receives preliminary approval from the POST Commission, the director shall— (A) Conduct a site visit;

(B) Review the applicant’s policies and procedures, including attendance and instructor evaluation policies;

(C) Review the applicant’s proposed courses, including training objectives, a detailed synopsis or a detailed overview of the courses, evaluation plan, and instructor qualifications; and (D) Report the findings to the POST Commission.

(5) Upon receipt of the director’s report, the POST Commission may invite the applicant to appear before the commission.

(6) The POST Commission shall make a final recommendation to the director whether to license the applicant.

(7) The director shall consider the recommendation of the POST Commission and shall grant the CLEE provider license or deny the applicant’s request. An applicant aggrieved by the decision of the director may appeal pursuant to section 590.060.2, RSMo.

(8) All new CLEE provider licenses shall be issued for an initial period of one (1) year.

During this initial period, the director shall conduct a programmatic audit of the CLEE provider and present the findings to the POST Commission for review. The POST Commission shall make a recommendation to the director whether to renew the license. The director shall consider the recommendation of the POST Commission and may— (A) Renew the license for an additional period of one (1) year subject to further audit and review by the POST Commission;

(B) Grant a three- (3-) year license to the applicant; or (C) Refuse to renew the license, in which case the applicant may appeal pursuant to

section 590.060.2, RSMo.

(9) The procedure to renew a three- (3-) year CLEE provider license shall be as follows:

(A) The applicant shall submit to the Director a CLEE provider license renewal application.

(B) The director may conduct a programmatic audit of the training center.

(C) The director shall grant renewal of the applicant’s license or deny the applicant’s request, which shall cause the license to expire.

(10) With the exception of those departmentbased training centers licensed pursuant to 11 CSR 75-14.010, as a condition of continued licensure as a CLEE provider, the licensed provider shall— (A) Make available some computer-based CLEE training pursuant to 11 CSR 75- 15.070; or (B) Deliver at least thirty percent (30%) of their total contact hours of live CLEE instruction at a location away from their main training center office(s).

(11) An applicant aggrieved by a decision of the director pursuant to this rule may appeal (3/31/21) JOHN R. ASHCROFT pursuant to section 590.060.2, RSMo.

Oct. 30, 2002. Amended: Filed Oct. 31, 2002, effective April 30, 2003. Amended:

Filed July 1, 2008, effective Dec. 30, 2008.

Amended: Filed Dec. 4, 2015, effective May 30, 2016.

11 CSR 75-15.040 Procedure to Obtain Approval for an Individual CLEE Course {#sec-11-csr-75-15.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-15.040}

PURPOSE: This rule identifies the procedure to obtain approval for an individual continuing law enforcement education course.

(1) To be eligible to obtain approval for a specific, individual Continuing Law Enforcement Education (CLEE) course, an applicant must not be the holder of a CLEE provider (2) An applicant shall submit to the Director a completed individual CLEE course application. This application must be submitted a minimum of thirty (30) days prior to the scheduled delivery date of the course. The director may investigate the applicant or request additional information from the applicant pursuant to section 590.110.1, RSMo.

(3) The director shall determine the qualification of the applicant. The director may consider any relevant factor, including the applicant’s history, facilities and equipment, academic qualifications, financial qualifications, attendance policy, evaluation plan, training objectives, detailed synopsis or detailed overview of the course, and instructor record(s).

(4) The director shall grant approval of the individual CLEE course or deny the applicant’s request. An applicant aggrieved by the decision of the director may appeal pursuant to section 590.050.2, RSMo.

(5) Any change to the training objectives, the detailed synopsis or the detailed overview of the course, or instructor of an individual CLEE course, shall require prior approval of the director.

Oct. 30, 2002. Amended: Filed July 1, 2008,

11 CSR 75-15.050 Out-of-State, Federal, and Organizations Continuing Education {#sec-11-csr-75-15.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-15.050}

PURPOSE: This rule establishes that the Director will maintain a list of out-of-state, federal, and organizations continuing education entities.

(1) Before the beginning of each Continuing Law Enforcement Education (CLEE) period established pursuant to 11 CSR 75-15.010, the director shall determine which states, federal agencies, and organizations have standards for continuing education training comparable to the standards established pursuant to these rules. The director shall maintain a list of, and shall recognize continuing education credit from, such sources.

(2) All recognized sources of CLEE training shall be subject to audit by the director.

(3) In order to receive credit for attending the CLEE training approved pursuant to this rule, an officer shall provide evidence to the director that— (A) The training was approved for continuing education by the state or federal agency providing the training or by the state in which the training was located; and (B) The officer successfully completed the training.

Oct. 30, 2002. Amended: Filed July 1, 2008,

11 CSR 75-15.060 In-Service Continuing Education Training {#sec-11-csr-75-15.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-15.060}

PURPOSE: This rule establishes a procedure for a law enforcement agency to provide inservice continuing law enforcement education training.

(1) Any law enforcement agency may provide in-service Continuing Law Enforcement Education (CLEE) training.

(2) In order for in-service training to qualify for CLEE credit, the law enforcement agency providing the training shall submit their proposed course to the director and comply with the submission and reporting requirements of 11 CSR 75-15.040.

(3) The director may refuse to recognize CLEE credit from any in-service provider that— (A) Refuses to comply with the course delivery and officer attendance reporting requirements pursuant to this rule; or (B) Fails to comply with the minimum CLEE training standards of 11 CSR 75- 15.020. 590.050, and 590.190, RSMo Supp. 2013.

Oct. 30, 2002. Amended: Filed July 1, 2008,

11 CSR 75-15.070 Computer-Based Continuing Education Training {#sec-11-csr-75-15.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-15.070}

PURPOSE: This rule establishes the requirements for computer-based training.

(1) Any source approved to provide Continuing Law Enforcement Education (CLEE) training pursuant to 11 CSR 75-15.010(4) may offer interactive, computer-based train- (2) Computer-based training shall be controlled by an interactive computer program and shall require the student to participate by making responses influencing the pace and/or the direction of the training involving a mode of operation in which there is an exchange of information between the computer and the student.

(3) Computer-based training shall meet all requirements of 11 CSR 75-15.020. In addition, the training certificate presented to each trainee shall bear the phrase “Computer- Based Training.”

(4) A computer-based training course shall be considered a complete and detailed lesson plan within itself. Source documents may be identified within the computer course. When a course is no longer available via computer, the provider shall maintain a printed copy of the lesson plan in the course file retained (3/31/21) JOHN R. ASHCROFT pursuant to 11 CSR 75-15.020(5).

(5) The course administrator shall attest to actual attendance and may ascertain attendance by any reasonably certain method, as determined by the Director, including tracking by the computer course software, if the tracking meets the standard of this rule. The attendance policy and methodology for ascertaining attendance shall be included in the course record file.

(6) The evaluation plan may include assessment of the student’s mastery of the training objectives as part of computer program or may do so by an examination separate from the computer program, such as a written or practical examination. To successfully complete a computer-based training course, a trainee must achieve a test score of at least seventy percent (70%) correct.

(7) The number of CLEE credit hours for a computer-based training course shall be determined as follows:

(A) A test group of at least ten (10) randomly selected peace officers shall complete the course in a timed manner.

(B) The test group times shall be placed in rank order.

(C) The time required for successful completion of the course by eighty percent (80%) of the test group, rounded down to a convenient time interval, shall be the credit hour value of the course.

(D) The credit hour value of the course may be determined by any other method approved in advance by the Director. 590.050, and 590.190, RSMo Supp. 2007.* Oct. 30, 2002. Amended: Filed July 1, 2008, effective Dec. 30, 2008. *Original authority: 590.030, RSMo 2001; 590.050, RSMo 2001; and 590.190, RSMo 2001, amended 2007.

11 CSR 75-15.080 Failure to Obtain Continuing Education Training {#sec-11-csr-75-15.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-15.080}

PURPOSE: This rule identifies what occurs if a peace officer fails to obtain the necessary continuing law enforcement education train- (1) Pursuant to 11 CSR 75-15.010(11), it is the responsibility of every licensed peace officer to report and demonstrate to the director his or her compliance with the continuing law enforcement education (CLEE) training standard.

(2) Beginning with the CLEE reporting period that ends on December 31, 2018, and every reporting period thereafter, licensed peace officers who fail to report and demonstrate they have successfully obtained the necessary CLEE training hours by the end of their respective reporting period, and who have not applied for a waiver or extension pursuant to 11 CSR 75-15.010(12), will automatically be given until March fifteenth of the following year to obtain any CLEE training hours that the officer may be deficient and demonstrate compliance to the director.

(3) If by March fifteenth of the following year the licensed peace officer has not reported and demonstrated to the director his or her compliance with the CLEE training standard, the officer’s peace officer license may, at the discretion of the director, become inactive.

Once a peace officer’s license becomes inactive, it may remain inactive until the licensee can report and demonstrate to the director compliance with the CLEE training standard.

(4) Persons with an inactive peace officer license are ineligible to hold a commission as peace officer as defined in section 590.010, RSMo. nal rule filed March 9, 2018, effective Sept. 30, 2018. *Original authority: 590.030, RSMo 2001; 590.050, RSMo 2001; and 590.190, RSMo 2001, amended 2007.

Chapter 16 Peace Office Standards and Training Commission Fund

11 CSR 75-16.010 Peace Officer Standards and Training Commission Fund {#sec-11-csr-75-16.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-16.010}

PURPOSE: This rule identifies procedures for administering the training fund established pursuant to section 590.178, RSMo.

(1) A county or municipality may participate in the Peace Officer Standards and Training Commission Fund (POST Fund) as follows:

(A) The county or municipality shall assess a one dollar ($1) surcharge in each criminal case pursuant to section 488.5336, RSMo;

(B) No less than once per calendar month, the county or municipality shall forward, payable to “Treasurer, State of Missouri,” all collected surcharges to the following address:

Department of Revenue, County Tax Section, PO Box 453, Jefferson City, MO 65105- 0453; and (C) All surcharges forwarded to the Department of Public Safety shall be accompanied by a completed POST Fund participation form.

(2) The director shall distribute monies from the POST Fund to participating counties and municipalities as follows:

(A) Distribution shall be made annually on or before October 1 based on contributions made during the preceding state fiscal year;

(B) A county or municipality must have participated at least ninety (90) days during the fiscal year in order to be eligible for distribution;

(C) All participants who contributed five hundred dollars ($500) or less shall receive a distribution of exactly five hundred dollars ($500);

(D) All participants who contributed more than five hundred dollars ($500) shall receive a distribution as follows:

1. The participant’s CONTRIBUTION FACTOR shall be calculated, which shall equal the participant’s contribution divided by total contributions;

2. The participant’s BASE DISTRIBU- TION shall be calculated, which shall equal a percentage of the participant’s contribution to be determined by the director based upon available funds;

3. An OVERALL RESIDUAL shall be calculated, which shall equal total contributions, less the total of five hundred dollar ($500) payments pursuant to subsection (2)(C) of this rule, less the total of base distributions pursuant to paragraph (2)(D)2. of this rule, plus accrued interest on total contributions, less a reserve amount to be determined by the director;

4. The participant’s RESIDUAL ADJUSTMENT shall be calculated, which shall equal the OVERALL RESIDUAL multiplied by the participant’s CONTRIBUTION FACTOR; and 5. The participant’s actual distribution shall equal the participant’s BASE DISTRI- BUTION plus the participant’s RESIDUAL ADJUSTMENT.

(3) Monies distributed from the POST Fund shall not be used for any purpose other than to pay the costs of— (A) Continuing Law Enforcement Education (CLEE) training attended by licensed peace officers; or (B) Technical or professional training attended by non-commissioned personnel employed by a law enforcement agency.

(4) Under no circumstances shall monies distributed from the POST Fund be used to pay for— (A) Salaries; or (B) Training not successfully completed by the trainee.

(5) Monies distributed from the POST Fund shall not be used to supplant or replace existing training funding.

(6) The director shall have discretion to determine whether any particular training or cost item is eligible to be paid with monies distributed from the POST Fund.

(7) The POST Commission shall have discretion to bar a county or municipality from future participation in the POST Fund for failure to comply with this rule.

(8) A decision of the director or of the POST Commission pursuant to this rule shall be subject to review only pursuant to section 536.150, RSMo.

Filed Jan. 15, 2004, effective July 30, 2004.

Amended: Filed July 1, 2008, effective Dec. 30, 2008. Amended: Filed March 8, 2019, effective Sept. 30, 2019. Amended: Filed Jan. 12, 2021, effective July 30, 2021. *Original authority: 590.178, RSMo 1993, amended 1994 and 590.190, RSMo 2001, amended 2007.

History

• AUTHORITY: sections 590.178 and 590.190, RSMo 2016. Original rule filed May 1, 2002, effective Oct. 30, 2002. Amended:

Chapter 17 School Protection Officers

11 CSR 75-17.010 Minimum Training Standards for School Protection Officer 11 CSR 75-17.020Minimum Training Standards for School Protection Officer 11 CSR 75-17.040Minimum Continuing Education Training Standards for School PUBLIC SAFETY Training Program {#sec-11-csr-75-17.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-17.010}

11 CSR 75-17.010 Minimum Training Standards for School Protection Officer Training Centers Officer Training Centers. {#sec-11-csr-75-17.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-17.010}

( 1) Only those basic training centers licensed pursuant to 11 CSR 75-14.010–14.080, and those Continuing Law Enforcement Education providers licensed pursuant to 11 CSR 75- 15.030, shall be approved to deliver the School Protection Officer Training Program.

2014. Original rule filed Aug. 23, 2013,

11 CSR 75-17.020 Minimum Training Standards for School Protection Officer Training Instructors Officer Training Instructors. {#sec-11-csr-75-17.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-17.020}

(1) Only those instructors licensed as basic training instructors pursuant to 11 CSR 75- 14.050(3), 11 CSR 75-14.070, and 11 CSR 75-14.080, shall be approved to deliver the School Protection Officer Training Program.

2014. Original rule filed Aug. 23, 2013,

11 CSR 75-17.030 Minimum Training Standards for School Protection Officers Officers. {#sec-11-csr-75-17.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-17.030}

(1) Applicants seeking to be designated a School Protection Officer, pursuant to section 590.205, RSMo, must— (A) Successfully complete a one hundred twelve (112) hour School Protection Officer Training Program; or (B) Successfully graduate from a Missouri basic training center licensed pursuant to 11 CSR 75-14.010, having completed a minimum of six hundred (600) hours of basic law enforcement training certified pursuant to 11 CSR 75-14.040; or (C) Have been issued a Class A peace officer license under the Veteran Peace Officer Police Scale pursuant to 11 CSR 75-13.060.

(2) Applicants who have had their peace officer license revoked are not eligible to be designated a School Protection Officer.

(3) The one hundred twelve (112) hours of instruction for School Protection Officers is derived, in part, from the mandatory learning objectives for the six hundred (600) hour basic training curriculum outlined in 11 CSR 75-14.030, and shall cover the following subject areas:

(A) 303 - Justification - Use of Force - 8 (B) 809 - Emergency Response/Building Searches - 9 hours (C) 812 - Survival Mentality - 4 hours (D) 1502 - Handcuffing and Restraint Devices - 4 hours (E) 1506 - Weapons Retention and Disarming - 8 hours (F) 1507 - Ground Fighting Techniques - 8 (G) 1601 - Fundamentals of Marksmanship - 2 hours (H) 1602 - Shooting Stance/Loading/Dry Fire - 4 hours (I) 1603 - Skill Development - Handgun - 22 hours (J) 1604 - Handgun Qualification - 4 hours (K) 1608 - Stress Combat Courses - 8 (L) 1610 - Shooting Decisions - 6 hours (M) Basic First Aid/CPR - 8 hours (N) Combat First Aid - 4 hours (O) Practical Application Scenarios - 13 (4) To be eligible for graduation from the School Protection Officer Training Program, trainees shall— (A) Be tested for mastery of each subject area. A written or practical examination may test more than one (1) subject area simultaneously.

1. A trainee who achieves less than seventy percent (70%) on any written examination may, at the discretion of the training center director or Continuing Law Enforcement Education provider, retake the examination one (1) time.

2. Mastery of firearms shall be tested by practical examination and scored on a numerical scale from zero (0) to one hundred (100).

Supplemental written examinations are permitted, but the overall firearms score required for graduation pursuant to paragraph (4)(C)4. of this rule shall be based solely upon the practical examinations. The final grade of the firearms practical examination may, at the discretion of the training center director or Continuing Law Enforcement Education provider, be recorded as a pass or fail.

3. Mastery of any training subject areas requiring a trainee to perform a demonstrative skill, including Practical Application Scenarios, shall be tested by practical examination and may be graded on a numerical scale from zero (0) to one hundred (100) or on a pass/fail basis.

A. A trainee who achieves a failing score on an objective graded pass/fail basis may, at the discretion of the training center director or Continuing Law Enforcement Education provider, reattempt the objective one (1) time.

B. A trainee who achieves less than seventy percent (70%) on the firearms practical examination may, at the discretion of the training center director or Continuing Law Enforcement Education provider, retake the practical examination one (1) time. The highest score that may be awarded on a retake examination is seventy percent (70%).

C. The determination to grade an objective pass/fail shall be made before the start of the training course.

(B) Attend at least ninety-five percent (95%) of the total contact hours of the mandatory basic training curriculum and make up any missed hours in a manner that ensures that the trainee develops a thorough understanding of the mandatory learning objectives that were missed.

(C) Achieve— 1. A score of no less than seventy percent (70%) on each written exam;

2. A final, overall score of no less than seventy percent (70%) for all written exams;

3. A passing score on each objective graded pass or fail; and 4. An overall firearms score of no less than seventy percent (70%).

4. Original rule filed Aug. 23, 2013, JASONKANDER(1/29/14)

11 CSR 75-17.040 Minimum Continuing Education Training Standards for School Protection Officers continued training standards for School Protection Officers. {#sec-11-csr-75-17.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-17.040}

(1) To maintain their designation, School Protection Officers shall— (A) Successfully complete a minimum of twelve (12) hours of annual training. Eight (8) hours of this training shall have a primary focus of responding to active school shootings and shall be delivered by a local, county, or state law enforcement officer qualified to offer a response to active shooter course and who is in possession of a valid peace officer license. The remaining four (4) hours of training shall have a primary focus of weapon retention, firearms skill development, defensive tactics, ground fighting, and handcuffing and restraint devices. The four (4) hours of training shall be delivered by a local, county, or state law enforcement officer qualified to offer this type of training and who is in possession of a valid peace officer license.

(B) On a quarterly basis, successfully complete a firearm qualification course using the same firearm used in the performance of their duties as a School Protection Officer. This course can be delivered by any local, county, or state law enforcement officer qualified to offer a firearm qualification course and who is in possession of a valid peace officer license.

(C) Maintain a secondary/third-party First Aid/CPR certification.

( 2) Written documentation of the completion of the twelve (12) hours of annual training, successful quarterly firearm qualification, and a current copy of his/her secondary/thirdparty First Aid/CPR certification must be maintained by the school where the School Protection Officer is employed for a period of three (3) years from the date the training, qualifications, and certifications were successfully completed.

2014. Original rule filed Aug. 23, 2013, 4CODE OF STATE REGULATIONS (1/29/14) JASONKANDER

Chapter 18 Corporate Security Advisor

11 CSR 75-18.010 Procedure to Obtain a Corporate Security Advisor License {#sec-11-csr-75-18.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-18.010}

PURPOSE: This rule identifies the procedure and requirements to obtain corporate security advisor license pursuant to section 590.750, RSMo.

(1) To be eligible to apply for a corporate security advisor license, an applicant must satisfy the following minimum qualifications.

The applicant shall be:

(A) Twenty-five (25) years of age or older;

(B) A United States citizen;

(C) The holder of a valid high school diploma or its equivalent, as defined by 11 CSR 75-2.010; and (D) One (1) or more of the following:

1. A graduate of a state recognized basic law enforcement training program consisting of at least six hundred (600) hours of basic training described in 11 CSR 75-14; or 2. A graduate of a basic law enforcement training program consisting of at least one hundred twenty (120) hours of basic training described in 11 CSR 75-14, and having completed a minimum of ten (10) years of service as a commissioned peace officer; or 3. Formerly employed as a credentialed federal special agent.

(2) An applicant shall submit a corporate security advisor license application to the director on a form to be developed or adopted by the director.

(3) As a condition of eligibility to obtain a corporate security advisor license, the applicant shall provide documentation to the director (issued no more than ten (10) days prior to the date of application) from his/her intended corporate employer, indicating the corporate employer’s intention to hire the applicant as a corporate security advisor. This documentation shall also include signed and notarized statements from a supervising representative of the intended corporate employer affirming— (A) There are a minimum of one hundred fifty (150) full-time personnel currently employed by the intended corporate employer in locations in Missouri;

(B) The intended corporate employer is insured for liability in an amount not less than one (1) million dollars, and a statement that the applicant will be included in the policy as a named insured; and (C) The employer’s business is headquartered in Missouri or the applicant’s employer conducts a substantial portion of its business in Missouri.

(4) An applicant shall submit verification of successfully completing a forty- (40-) hour corporate security advisor training program approved by the director pursuant to 11 CSR 75-18.020.

(5) The applicant shall submit to being fingerprinted in a manner approved by the Missouri State Highway Patrol pursuant to

section 43.543, RSMo, to determine if the applicant has a criminal history record on file with the Missouri criminal records repository or the Federal Bureau of Investigation. The resulting criminal history record, including both open and closed records, shall be forwarded by the applicant to the director. The fee associated with being fingerprinted in this manner shall be the responsibility of the applicant.

(6) The director shall examine the qualifications of each applicant and determine whether the applicant has met all requirements for licensing or whether there is cause to deny the applicant pursuant to 11 CSR 75- 18.070. The director may investigate or request any additional information from an applicant as the director deems necessary.

(7) The director may grant the corporate security advisor license or deny the applicant’s request to be licensed. An applicant aggrieved by the decision of the director may appeal pursuant to 11 CSR 75-18.070.

(8) As a condition of initial and continued licensure, corporate security advisors shall provide a current address of record with the director.

11 CSR 75-18.020 Minimum Training Requirements {#sec-11-csr-75-18.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-18.020}

PURPOSE: This rule identifies the minimum training requirements for corporate security advisors.

(1) As a condition of licensure, corporate security advisor license applicants shall complete a training program consisting of at least forty (40) contact hours. This training program shall, at a minimum, cover the following topics in the minimum time noted:

(A) Handgun safety, responsibility, liability, and qualification – 8 hours (B) Missouri statutory laws related to detention of offenders by private citizens – 4 (C) Defensive tactics – 4 hours;

(D) Intermediate weapons – 4 hours;

(E) Basic first aid/CPR and AED use – 8 (F) Workplace violence response – 4 (G) Prevention of assaults and kidnapping – hours; and (H) Reduction of personal and corporate civil liability – 4 hours.

(2) For the handgun qualification portion of the training program, applicants shall successfully complete the same handgun qualification course administered during the basic law enforcement training course pursuant to

11 CSR 75-14.030 and 11 CSR 75-14.050. {#sec-11-csr-75-14.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-14.030}

(3) At the completion of the training program, applicants shall be tested for mastery of each subject area. A written or practical examination may test more than one (1) subject area simultaneously.

(4) Trainees shall be graded as follows:

(A) Mastery of firearms shall be tested by practical examination and scored on a numerical scale from zero (0) to one hundred (100).

Supplemental written examinations are permitted, but the overall firearms score required for graduation pursuant to paragraph (5)(B)3. of this rule shall be based solely upon the practical examinations. The final grade of the firearms practical examination may, at the discretion of the training center director, be recorded as a pass or fail;

(B) Mastery of defensive tactics and any other training subject areas requiring a trainee to perform a demonstrative skill shall be tested by practical examination and may be graded on a numerical scale from zero (0) to one hundred (100) or on a pass/fail basis;

(C) Mastery of all other subject areas shall be tested by written or practical examination and shall be graded on a numerical scale from zero (0) to one hundred (100). Pass/fail grading is not permitted;

(D) A trainee who achieves less than seventy percent (70%) on any written examination may, at the discretion of the training center director, retake the examination one (1)

time. The highest score that may be awarded on a retake examination is seventy percent (70%);

(E) A trainee who achieves a failing score on an objective graded pass/fail basis may, at the discretion of the training center director, reattempt the objective one (1) time;

(F) A trainee who achieves less than seventy percent (70%) on the firearms practical examination may, at the discretion of the training center director, retake the practical examination one (1) time. The highest score that may be awarded on a retake examination is seventy percent (70%);

(G) The weighing of each exam in calculating a trainee’s overall score shall be determined by the training center policy before the start of the training course; and (H) The determination to grade an objective pass/fail shall be made before the start of the training course.

(5) To be eligible for graduation from a corporate security advisor training program, a trainee shall, at a minimum— (A) Attend one hundred percent (100%) of the total contact hours of the corporate security advisor training program; and (B) Achieve— 1. A score of no less than seventy percent (70%) on each written exam;

2. A passing score on each objective graded pass or fail; and 3. An overall firearms score of no less than seventy percent (70%).

(6) Only those basic training centers licensed pursuant to 11 CSR 75-14.010–14.080 and those Continuing Law Enforcement Education (CLEE) training providers licensed pursuant to 11 CSR 75-15.030, shall be approved to deliver the corporate security advisor training program.

(7) Any corporate security advisor license issued by fraud, misrepresentation, or mistake to a person not qualified to receive such license shall be subject to recall by the director. The director’s determination to recall a license shall be subject to review only pursuant to section 536.150, RSMo.

11 CSR 75-18.030 Continuing Education Requirements {#sec-11-csr-75-18.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-18.030}

PURPOSE: This rule identifies the continuing education requirements for corporate security advisors.

(1) As a condition of continued licensure, corporate security advisors shall complete the same Continuing Law Enforcement Education (CLEE) training requirements as licensed peace officers pursuant to 11 CSR 75-15.010.

However, corporate security advisors are not required to complete racial profiling training unless otherwise mandated by law. In addition, corporate security advisors shall be required to successfully complete an annual handgun qualification course. This handgun qualification course can only be offered by firearms instructors affiliated with basic training centers licensed pursuant to 11 CSR 75-14.010– 14.080, and CLEE training providers licensed pursuant to 11 CSR 75-15.030.

(2) The continuing education reporting dates for corporate security advisors shall be same as it is for licensed peace officers pursuant to 11 CSR 75-15.010.

(3) At the conclusion of each continuing education reporting period, the director shall determine the compliance of each corporate security advisor pursuant to this rule. Each corporate security advisor shall be responsible for reporting and demonstrating continuing education compliance in methods approved by the director. 2014.* Original rule filed Feb. 2, 2015 effective Sept. 30, 2015.

11 CSR 75-18.040 Change of Employment Status {#sec-11-csr-75-18.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-18.040}

PURPOSE: This rule identifies when a corporate security advisor must report a change to his/her corporate security employment status.

(1) Corporate security advisors shall report changes of their corporate security employment status to the director, to include employment termination, on a form to be developed or adopted by the director. This change of corporate security employment status form shall be submitted to the director within thirty (30) days of the date of change.

(2) If the notification is to report a change of corporate security employer, to maintain licensure as a corporate security advisor, the licensee shall also provide within thirty (30) days of the date of change, signed and notarized statements from a supervising representative of the intended corporate employer affirming— (A) There are a minimum of one hundred fifty (150) full-time personnel currently employed by the intended corporate employer in locations in Missouri;

(B) The intended corporate employer is insured for liability in an amount not less than one (1) million dollars, and a statement that the applicant will be included in the policy as a named insured; and (C) The employer’s business is headquartered in Missouri or the applicant’s employer conducts a substantial portion of its business in Missouri.

(3) The licensee shall submit to being re-fingerprinted in a manner approved by the Missouri State Highway Patrol pursuant to

section 43.543, RSMo, to determine if the licensee has a criminal history record on file with the Missouri criminal records repository or the Federal Bureau of Investigation. The resulting criminal history record, including both open and closed records, shall be forwarded by the licensee to the director. The fee associated with being fingerprinted in this manner shall be the responsibility of the licensee.

11 CSR 75-18.050 Inactivation and Expiration of Corporate Security Advisor Licenses {#sec-11-csr-75-18.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-18.050}

PURPOSE: This rule identifies when a corporate security officer license becomes inactive and expires.

(1) Corporate security advisor licenses shall become inactive after the licensee’s last day of employment as a corporate security advisor and shall expire after five (5) consecutive years of inactivity.

11 CSR 75-18.060 Cause to Discipline Corporate Security Advisor Licensee {#sec-11-csr-75-18.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-18.060}

PURPOSE: This rule identifies the causes of discipline for a corporate security advisor licensee.

(1) The director shall have cause to discipline any corporate security advisor licensee who— (A) Is unable to perform the functions of a 4CODE OF STATE REGULATIONS (8/31/15) JASONKANDER corporate security advisor with reasonable competency or reasonable safety as a result of a mental condition, including alcohol or substance abuse;

(B) Tests positive for the presence of unlawful drugs;

(C) Has committed any criminal offense, whether or not a criminal charge has been filed;

(D) Has committed any act that involves moral turpitude or a reckless disregard for the safety of the public or any person;

(E) Has caused a material fact to be misrepresented for the purpose of obtaining or retaining a corporate security advisor license issued pursuant to 11 CSR 75-18.010;

(F) Has had a peace officer’s license or security license revoked by any jurisdiction;

(G) Has violated a condition of any order of probation lawfully issued by the director; or (H) Has violated a rule promulgated pursuant to section 590.750, RSMo.

(2) When the director has knowledge of cause to discipline a corporate security advisor pursuant to this rule, the director may cause a complaint to be filed with the administrative hearing commission, which shall conduct a hearing to determine whether the director has cause for discipline, and which shall issue findings of fact and conclusions of law on the matter. The Administrative Hearing Commission shall not consider the relative severity of the cause for discipline or any rehabilitation of the licensee or otherwise impinge upon the discretion of the director to determine appropriate discipline when cause exists pursuant to this section.

(3) Upon a finding by the Administrative Hearing Commission that cause to discipline exists, the director shall, within thirty (30) days, hold a hearing to determine the form of discipline to be imposed and thereafter shall probate, suspend, or permanently revoke the license at issue. If the licensee fails to appear at the director’s hearing, this shall constitute a waiver of the right to such hearing.

(4) Notice of any hearing pursuant to this

chapter or section may be made by certified mail to the licensee’s address of record pursuant to 11 CSR 75-18.010(8). Proof of refusal of the licensee to accept delivery or the inability of postal authorities to deliver such certified mail shall be evidence that required notice has been given. Notice may be given by publication.

(5) Nothing contained in this section shall prevent a licensee from informally disposing of a cause for discipline with the consent of the director by voluntarily surrendering a license or by voluntarily submitting to discipline. The voluntary surrender of a corporate security advisor’s license shall be permanent.

(6) The provisions of chapter 621 and any amendments thereto shall apply to and govern the proceedings of the Administrative Hearing Commission and pursuant to this section the rights and duties of the parties involved.

11 CSR 75-18.070 Cause to Deny Corporate Security Advisor License {#sec-11-csr-75-18.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 75-18.070}

PURPOSE: This rule identifies the causes to deny a corporate security advisor license.

(1) The director shall have cause to deny any application for a corporate security advisor license when the director has knowledge that would constitute cause to discipline the applicant if the applicant were licensed.

(2) When the director has knowledge of cause to deny an application pursuant to this section, the director may grant the application subject to probation or may deny the application. The director shall notify the applicant in writing of the reasons for such action and of the right to appeal pursuant to this section.

(3) Any applicant aggrieved by a decision of the director pursuant to this section may appeal within thirty (30) days to the Administrative Hearing Commission, which shall conduct a hearing to determine whether the director has cause for denial, and which shall issue findings of fact and conclusions of law on the matter. The Administrative Hearing Commission shall not consider the relative severity of the cause for denial or any rehabilitation of the applicant or otherwise impinge upon the discretion of the director to determine whether to grant the application subject to probation or deny the application when cause exists pursuant to this section.

Failure to submit a written request for a hearing to the administrative hearing commission within thirty (30) days after a decision of the director pursuant to this rule shall constitute a waiver of the right to appeal such decision.

(4) Upon a finding by the Administrative Hearing Commission that cause for denial exists, the director shall not be bound by any prior action on the matter and shall, within thirty (30) days, hold a hearing to determine whether to grant the license subject to probation or deny the application. If the licensee fails to appear at the director’s hearing, this shall constitute a waiver of the right to such hearing.

(5) The provisions of chapter 621 and any amendments thereto shall apply to and govern the proceedings of the Administrative Hearing Commission pursuant to this section and the rights and duties of the parties involved.

Division 80 Missouri State Water Patrol

Chapter 1 General Organization

11 CSR 80-1.010 Organization and Methods of Operation {#sec-11-csr-80-1.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 80-1.010}

(Rescinded August 30, 2019)

rule filed Dec. 30, 1975, effective Jan. 9, 1976. Amended: Filed Dec. 16, 1999, effective July 30, 2000. Rescinded: Filed Feb. 7, 2019, effective Aug. 30, 2019.

Op. Atty. Gen. No. 124, Wilson, 8-31-79.

Water patrolmen may not randomly and arbitrarily stop a watercraft without “reasonable suspicion” in order to inspect that watercraft for compliance with the provisions of Chapter 306, RSMo.

Superceded by opinion 141-85 issued Dec. 27, 1985 because of United States Supreme Court decision addressing vehicle stops for D.W.I. checks and revision of 306.165, RSMo (1978). Also opinion 92-84 referencing boating while intoxicated check points issued July 13, 1984.

Op. Atty. Gen. No. 221, Bond, 6-18-74.

Under the provisions of Senate Bill No. 1, 77th General Assembly, First Extraordinary Session, where a division (here, Division of Water Safety) is created by statute and an existing agency is transferred to it by “Type I” transfer, the department head has the power that s/he would if the agency were transferred by “Type I” transfer to the department except s/he may not abolish the division and s/he may assign the function of the previously existing agency to another division in the department.

Op. Atty. Gen. No. 385, Buford, 10-19-71.

The Missouri Boat Commission has no

Statute updated by HB 1374 of 76th General Assembly. Definition of waters of this state changed to include Thomas Hill Reservoir.

JOHNR. ASHCROFT(7/31/19)

History

• AUTHORITY: sections 306.161, RSMo 1994 and 536.023(3), RSMo Supp. 1999. Original
• authority or enforcement powers on or with respect to Thomas Hill Reservoir.

Chapter 2 Diver's Flag Regulations

11 CSR 80-2.010 Diver’s Flag {#sec-11-csr-80-2.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 80-2.010}

(Moved to 11 CSR 50-5.010)

JOHNR. ASHCROFT(7/31/19)

Chapter 3 Skiing Standards

11 CSR 80-3.010 Ski Mirror {#sec-11-csr-80-3.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 80-3.010}

(Moved to 11 CSR 50-6.010)

11 CSR 80-3.020 Ski Jump {#sec-11-csr-80-3.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 80-3.020}

(Rescinded August 30, 2019)

Original rule filed June 19, 1975, effective June 29, 1975. Amended: Filed Dec. 16, 1999, effective July 30, 2000. Rescinded:

Filed Feb. 7, 2019, effective Aug. 30, 2019.

JOHNR. ASHCROFT(7/31/19)

History

• AUTHORITY: section 306.124, RSMo 1994.

Chapter 4 Identification Numbers for Boats and Vessels

11 CSR 80-4.010 Display of Identification Numbers {#sec-11-csr-80-4.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 80-4.010}

(Moved to 11 CSR 50-7.010)

JOHNR. ASHCROFT(7/31/19)

Chapter 5 Aids to Navigation and Regulatory Markers

11 CSR 80-5.010 Aids to Navigation and {#sec-11-csr-80-5.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 80-5.010}

(Moved to 11 CSR 50-3.010)

JOHNR. ASHCROFT(7/31/19)

Chapter 6 Boating Accident Reports

11 CSR 80-6.010 Reporting Requirements {#sec-11-csr-80-6.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 80-6.010}

(Rescinded August 30, 2019)

Filed Feb. 7, 2019, effective Aug. 30, 2019.

JOHNR. ASHCROFT(7/31/19)

History

• AUTHORITY: section 306.140(2), RSMo 1994. Original rule filed Feb. 10, 1977, effective May 12, 1977. Amended: Filed Dec. 16, 1999, effective July 30, 2000. Rescinded:

Chapter 7 Expiration (Renewal) Stickers for Boats and Vessels

11 CSR 80-7.010 Display of Expiration (Renewal) Stickers {#sec-11-csr-80-7.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 80-7.010}

(Moved to 11 CSR 50-7.020)

JOHNR. ASHCROFT(7/31/19)

Chapter 8 Water Event Permit

11 CSR 80-8.010 Reporting a Cancellation or Change in Permit {#sec-11-csr-80-8.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 80-8.010}

(Rescinded August 30, 2019)

Original rule filed Oct. 23, 1981, effective Feb. 11, 1982. Amended: Filed Dec. 16, 1999, effective July 30, 2000. Rescinded:

Filed Feb. 7, 2019, effective Aug. 30, 2019.

JOHNR. ASHCROFT(7/31/19)

History

• AUTHORITY: section 306.130, RSMo 1994.

Chapter 9 Mandatory Boater Safety Education Program

11 CSR 80-9.020 Temporary Nonresident Rental Vessel Operator Permits PUBLIC SAFETY Education Program {#sec-11-csr-80-9.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 80-9.020}

11 CSR 80-9.010 Mandatory Boater Safety Education Program {#sec-11-csr-80-9.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 80-9.010}

(Moved to 11 CSR 50-4.010)

11 CSR 80-9.020 Temporary Nonresident Rental Vessel Operator Permits {#sec-11-csr-80-9.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 80-9.020}

(Rescinded August 30, 2019)

JOHNR. ASHCROFT(7/31/19)

History

• AUTHORITY: section 306.127(7), RSMo Supp. 2004. Original rule filed Feb. 8, 2005, effective Aug. 30, 2005. Rescinded: Filed Feb. 7, 2019, effective Aug. 30, 2019.

Division 85 Veterans Affairs

Chapter 1 Veterans Affairs

11 CSR 85-1.060 The Missouri Veterans Health and Care Fund and Program {#sec-11-csr-85-1.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 85-1.060}

11 CSR 85-1.010 Description of Organization {#sec-11-csr-85-1.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 85-1.010}

PURPOSE: This rule indicates the number of commissioners serving as members of the Missouri Veterans Commission, the number of commissioners required for a quorum to exist, and the ratification of emergency actions by the executive director for scheduled commission meetings.

(1) Definition. The terms used in 11 CSR 85-1 will be given the same meaning as set forth in Chapter 42, RSMo, as amended.

(2) Commission. The commission has nine (9) members. In addition, the chair of the Missouri Military Preparedness and Enhancement Commission (or the chair’s designee) is an ex officio member of the commission. The ex officio member serves a term that is coextensive with that of the term of the chair of the Missouri Military Preparedness and Enhancement Commission. The ex officio member shall be allowed to attend and participate in any open meeting discussions of the commission, but shall not be allowed to hold office, vote, or make a motion on any matter coming before the commission.

Members of the commission and the ex officio member shall not be compensated for their services, but they shall be reimbursed from funds appropriated therefore for actual and necessary expenses incurred in the performance of their duties.

(3) Organization. The commission operates the following:

Veterans Services Program, Missouri Veterans Homes Program, and Missouri Veterans Cemeteries Program. The commission carries out its programs through the following major administrative units:

(A) Central office that advocates, guides, plans, and supports the success of commission programs;

(B) Veterans Services Program ensures that Veterans and dependents in Missouri are informed about Veterans benefits;

(C) Veterans Homes Program provides skilled nursing care for eligible Veterans in Missouri; and (D) Veterans Cemeteries Program provides for the interment of eligible Veterans in Missouri and their dependents.

(4) Executive Director. The commission appoints an executive director who executes the duties vested in the commission and supervises all staff. The executive director serves as secretary at regular and special meetings of the commission. The executive director manages the Veterans programs outlined in section (3) of this rule.

(5) Action by Commission. The performance of any duty or the exercise of any authority of the commission shall be done in the following manner:

(A) Meetings. The commission shall meet at least once each quarter and all meetings are open to the public. The location and time of meetings are determined by the commissioners and are posted with the Office of Administration’s state government meeting notices. All regular and special meetings are held pursuant to the applicable laws of Missouri. Meetings may be held in person, by telephone, or by video conferencing;

(B) Quorum. Five (5) commissioners constitute a quorum for the transaction of business. The ex officio member shall not be included for the purposes of determining whether a quorum is present. No business shall be transacted without a quorum;

(C) Voting. Any action shall be adopted if it receives a majority of votes cast with a quorum being present in person, by telephone, or by video conferencing. If any commissioner is present but does not vote, the abstention shall not be counted as a vote. Unless the vote is unanimous, the secretary shall indicate in the minutes how each commissioner voted;

(D) Officers. The commission shall elect a chairman and vice chairman to serve a term of two (2) years. These officers will hold office until their successors are elected;

(E) Emergency Matters. The executive director is authorized to act for the commission in emergency matters, subject to ratification by the commission at the next scheduled meeting; and (F) Conduct of Meetings. The chairman shall conduct the meetings and be the presiding officer of the commission.

The chairman shall recognize the different members for the

purpose of having the floor to speak, to state and put actions to vote, and shall rule on all points of order. The chairman may not make a motion, but may second any motion on the floor and may vote on any issue before the body. In the absence of the chairman, the vice chairman shall assume the duties of the chairman. The secretary shall prepare all minutes of the commission. Minutes of the previous meeting will be voted on at the next regular or special meeting of the commission, and, following approval, the secretary shall sign and archive the minutes.

History

• AUTHORITY: sections 42.007 and 536.023(3), RSMo Supp. 2013, and section 42.012, RSMo 2000. This rule was previously filed as

13 CSR 100-1.010. Original rule filed Dec. 29, 1975, effective Jan. 9, 1976. Rescinded and readopted: Filed March 22, 1990, effective June 28, 1990. Amended: Filed Jan. 7, 2009, effective July 30, 2009. {#sec-13-csr-100-1.010. omnilex-key=us-mo-regs-official--title-11--13 CSR 100-1.010.}

Amended: Filed June 11, 2013, effective Dec. 30, 2013. *Original authority: 42.007, RSMo 1989, amended 1996, 2008, 2009; 42.012, RSMo 1989, amended 1998; and 536.023, RSMo 1975, amended 1976, 1997, 2004.

11 CSR 85-1.015 Procedures for Receiving Information {#sec-11-csr-85-1.015 omnilex-key=us-mo-regs-official--title-11--11 CSR 85-1.015}

PURPOSE: This rule complies with section 536.023(3), RSMo Supp. 2008, by describing the procedures for receiving information and requests from the public.

(1) The executive director of the Missouri Veterans Commission is the custodian of the records of the commission.

(2) Procedures for the release of information regarding any meeting, record, vote, or other records maintained by the commission are available from the records custodian.

(3) The records custodian may designate one (1) or more deputy custodians to facilitate the handling of records requests. The executive director shall provide information as to the names and addresses of the records custodian and deputy custodians, and charges for record copying by posting such information online at the commission’s website at www.mvc.dps.mo.gov.

Filed June 11, 2013, effective Dec. 30, 2013. *Original authority: 42.007, RSMo 1989, amended 1996, 2008, 2009 and 536.023, RSMo 1975, amended 1976, 1997, 2004.

(8/31/23) John R. Ashcroft

History

• AUTHORITY: sections 42.007 and 536.023(3), RSMo Supp. 2013. Original rule filed Jan. 7, 2009, effective July 30, 2009. Amended:

11 CSR 85-1.020 Veterans Services Program {#sec-11-csr-85-1.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 85-1.020}

PURPOSE: This rule describes the operation of the Veterans Services Program as outlined in sections 42.007 and 42.012, RSMo.

(1) The executive director shall hire a Veterans Services Program director. The director shall be an honorably discharged Veteran of the United States Armed Forces. The Veterans Services Program director shall have the authority and responsibility for the planning, implementation, and operation of the Veterans Services Program.

(2) The Veterans Services Program director shall hire the professional, technical, and support staff necessary to operate the Veterans Services Program. This staff shall be responsible for providing services to Veterans and their dependents in Missouri.

(3) The staff assigned to the Veterans Services Program shall— (A) Perform the duties and responsibilities outlined in

section 42.007.5(1), (2), (3), and (4), RSMo, as amended;

(B) Exercise on behalf of the executive director the powers vested in section 42.012.2(2) and 42.012.2(5), RSMo, as amended;

(C) Act as the referral agent for Veterans seeking services provided by the commission and all matters relating to the rights of Veterans and their dependents.

History

• AUTHORITY: sections 42.007 and 536.023(3), RSMo Supp. 2013, and section 42.012, RSMo 2000. Original rule filed March 22, 1990, effective June 28, 1990. Amended: Filed Jan. 7, 2009, effective July 30, 2009. Amended: Filed June 11, 2013, effective Dec. 30, 2013. Original authority: 42.007, RSMo 1989, amended 1996, 2008, 2009; 42.012, RSMo 1989, amended 1998; and 536.023, RSMo 1975, amended 1976, 1997, 2004.

11 CSR 85-1.030 Missouri Veterans Homes Program {#sec-11-csr-85-1.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 85-1.030}

PURPOSE: This rule defines terms and explains the operation of the Missouri Veterans Homes Program under sections 42.100 to 42.130, RSMo.

(1) As used herein, unless the text clearly indicates otherwise, the following terms shall mean:

(A) Resident—a Veteran who receives skilled nursing care and resides at a Missouri Veterans Home;

(B) Per diem—a rate established by the United States Department of Veterans Affairs and paid to the state based on the actual number of days a Veteran occupies a bed in a Missouri Veterans Home;

(C) Applicant—a citizen of Missouri who applies for placement in a Missouri Veterans Home and meets the admissions eligibility criteria set forth in this rule;

(D) Skilled nursing care—care and oversight for individuals by licensed personnel twenty-four (24) hours per day;

(E) Waiting list—the list of applicants awaiting admission into a Missouri Veterans Home; and (F) Hardship—a reduced monthly room and care fee for a Missouri Veterans Home resident who does not have adequate financial resources to pay the monthly room and care fee set by the commission.

(2) Admissions.

(A) Eligibility criteria. In order to be eligible for admission as a resident to a Missouri Veterans Home, a person must— 1. Be a citizen of Missouri who has maintained physical residency in Missouri for one hundred eighty (180) days prior to application for placement in a Missouri Veterans Home;

2. Meet the criteria established by the United States Department of Veterans Affairs for veteran status, or have an honorable discharge from the National Guard with preference given to the Missouri National Guard;

3. Require skilled nursing care within the capabilities of the Missouri Veterans Home at the time of application for admission as determined by the Missouri Veterans Home;

4. Have adequate financial resources available to defray the costs of their care as contemplated by section 42.110, RSMo, or qualify for a hardship rate in accordance with the procedures set forth in this rule;

5. Not appear on any sex offender registry;

6. Not have a criminal history including a conviction for, or a plea of guilty or nolo contendre to, a Class A or B felony in the state of Missouri, or an offense in another jurisdiction which would be a Class A or B felony if committed in the state of Missouri;

7. Has not been previously discharged from a Missouri Veterans Home in accordance with this rule; and 8. Be ready to admit to the facility upon notification from the Missouri Veterans Home.

(B) Admissions waitlist. Applicants eligible for admission to a Missouri Veterans Home shall be placed on an admissions waitlist until such time as a placement opportunity is available.

The priority of applicants on a waiting list shall be established according to the following criteria:

1. Priority one: applicants with a singular or combined rating of seventy percent (70%) or more based on one (1) or more service-connected disabilities as defined by the United States Department of Veterans Affairs, and/or has been determined to be in need of skilled care for a Department of Veterans Affairs adjudicated service-connected disability, and/or has a rating of total disability based on individual unemployability; and 2. Priority two: all remaining eligible applicants.

(3) Hardships.

(A) Threshold.

1. When the State of Missouri is providing thirty-five percent (35%) or more of the funding necessary for the care of those veterans who are not deemed full cost of care by the U.S. Department of Veterans Affairs, the Missouri Veterans Commission (MVC) will maintain an allocation cap of approximately five hundred thousand dollars ($500,000) dedicated to hardships, which may be allocated to residents or applicants of any or all of its Veterans Homes.

2. Once the five hundred thousand dollar ($500,000) hardship threshold is met, MVC will continue to accept hardship applications within its Veterans Homes, but will not admit applicants requesting a hardship until such time as MVC is below the five hundred thousand dollar ($500,000) hardship threshold.

3. When MVC returns to below the five hundred thousand dollar ($500,000) hardship threshold, MVC will consider outstanding hardship applications in the order that they were received. MVC reserves the right to request updated information from hardship applicants as necessary to determine the applicant’s current need for a hardship.

(B) Determinations.

1. All hardship requests will be reviewed by the Missouri Veterans Home Program Hardship Review Team (HRT).

2. The HRT shall convene within ten (10) business days of receipt of each hardship application and all required supporting documentation.

3. The HRT will consist of the following MVC personnel: the director of Homes Program, the director of Budget and Finance, and the director of Veterans Services Program, or their respective designees. The home administrator, admissions coordinator, and accounts supervisor of the applicable Missouri Veterans Home will present the hardship application to the HRT during the meeting.

4. In collaboration with the HRT, the director of Homes Program will make the final decision on each hardship application and direct that a letter be sent to the hardship applicant notifying him/her of that decision. The letter notifying the hardship applicant of the final decision shall specifically state the decision and, if the hardship is not granted, the process to appeal the decision. If applicable, the letter notifying the hardship applicant of the final decision shall also state that full payment for all outstanding room and care expenses is due by the tenth of the following month.

(C) Appeals.

1. Hardship applicants wishing to appeal the denial of their request must submit their appeal request in accordance with the appeals process set forth in section (5) of this rule.

(4) Involuntary Discharge from a Missouri Veterans Home.

(A) Residents of Missouri Veterans Homes may be involuntarily discharged from the facility in which they reside for any of the following reasons:

1. The resident’s welfare and the resident’s needs cannot be met in the facility;

2. The resident’s health has improved sufficiently so the resident no longer needs the services provided by the facility;

3. The safety of individuals in the facility is endangered by the resident’s continued residency in the facility;

4. The health of individuals in the facility would be endangered by the resident’s continued residency in the facility;

5. The resident has failed, after reasonable and appropriate notice, to pay for his or her care or stay at the facility; or 6. The facility ceases to operate.

(B) Documentation. When a Missouri Veterans Home discharges a resident involuntarily, the facility’s medical director must document the reason for such discharge in the resident’s clinical record.

(C) Notice of discharge. Before a resident is discharged from a Missouri Veterans Home, the facility must— 1. Notify the resident or legal representative of the discharge and the reasons for the discharge in writing and in a language and manner they understand;

2. Record the reasons for the discharge in the resident’s clinical record; and 3. Include in the notice the following items:

A. The reason(s) for discharge;

B. The effective date of the discharge;

C. The location to which the resident will be discharged;

D. A statement that the resident has the right to appeal the action to the director of the Missouri Veterans Homes Program; and E. The name, address, and telephone number of the local office of the state long-term care ombudsman.

(D) Timing of the notice. The notice of discharge required under this rule must be made by the facility at least thirty (30) days before the resident is discharged, except in cases of emergency discharges as provided for in this rule.

1. Emergency discharges. In cases where the director of the Missouri Veterans Homes Program determines the resident poses an imminent risk to the health and safety of him or herself, or to that of the facility’s staff or other residents by continued residence in the facility, the director of the Missouri Veterans Homes Program may authorize the use of emergency discharge procedures in which the resident may be discharged from the facility as soon as practicable. In such cases, the Missouri Veterans Home need not provide thirty (30) days notice of the discharge, but must adhere to the remaining notice requirements set forth in this rule.

(E) Orientation for transfer or discharge. Missouri Veterans Home facility management must ensure sufficient preparation and orientation is available to residents to ensure safe and orderly discharge from the facility.

(F) Discharge summary. Prior to discharging a resident, Missouri Veterans Home facility management must prepare a discharge summary that includes— 1. A recapitulation of the resident’s stay;

2. A summary of the resident’s status at the time of the discharge to include a comprehensive assessment conducted or coordinated by a registered nurse with the participation of appropriate healthcare professionals, including at least one (1) physician, the registered nurse, and one (1) social worker. The registered nurse must sign and certify the assessment. The comprehensive assessment is to determine the care, treatment, and services that will meet the resident’s initial and continuing needs. The assessment must be an objective evaluation of the resident’s health and functional status, describing the resident’s capabilities and impairments in performing activities of daily living, strengths, and needs; and 3. A post-discharge plan of care developed with the participation of the resident and his or her family, which will assist the resident to adjust to his or her new living environment.

(5) Appeals from Adverse Decisions Rendered Under This Rule.

(A) An applicant or resident who is aggrieved by the decision of the Missouri Veterans Home to deny admission to the facility, deny granting a hardship rate, or to involuntarily discharge a resident from the Missouri Veterans Home shall have the right to an administrative review of the Missouri Veterans Home’s decision.

(B) The applicant or resident may appeal the decision of the Missouri Veterans Home to deny admission to the facility, deny granting a hardship rate, or to involuntarily discharge a resident from the Missouri Veterans Home by filing a written request for administrative review with the MVC executive director within fifteen (15) calendar days of the date of the notice of denial or discharge. The request for administrative review shall set forth the basis of the applicant or resident’s objection to the Missouri Veterans Home’s decision.

(C) The MVC executive director shall consult with appropriate MVC executive staff on each appeal. The executive director may attempt to resolve the issue with an informal meeting with the aggrieved party, or independently review the case and issue a written decision thereon.

(D) The MVC executive director’s administrative review shall consist of a review of all written materials relevant to the decision being appealed. Aggrieved parties may submit any documentary evidence they choose with their request for an administrative review of the adverse decision so long as it is received by the executive director within fifteen (15) calendar days of the date of the notice of denial or discharge. Aggrieved parties are not entitled to an evidentiary hearing on the decision being appealed.

(E) The MVC executive director shall give written notice of his or her decision and the basis thereof by delivering or mailing (1/29/26) Denny Hoskins such notice to the applicant, resident, legal representative or, if applicable, to his or her attorney of record.

(F) The decision of the MVC executive director shall be the final decision of the Missouri Veterans Commission.

(6) Missouri Veterans Homes Program Administration. The executive director shall hire a director of the Homes Program.

The director of the Homes Program shall have the authority and responsibility for the planning, implementation, and operation of the Homes Program. The director of the Homes Program shall— (A) Maintain a current Missouri nursing home administrator’s license;

(B) Develop fiscal policies and procedures that assure accountability of all facility revenues, expenditures, and inventories of the home including the determination of the resident rate as approved by the commission;

(C) Hire an administrator, who shall maintain a current Missouri nursing home administrator’s license, for each Missouri Veterans Home in order to operate each facility licensed by the commission; and (D) Adjudicate appeals in accordance with this rule.

(7) Missouri Veterans Home Administration. Each home administrator shall hire professional, technical, and support staff necessary to operate the home. Each home administrator shall maintain an environment that produces quality skilled nursing care and ensure compliance with Department of Veterans Affairs laws and regulations.

Amended: Filed Jan. 23, 1992, effective June 25, 1992. Amended:

Filed March 13, 1992, effective Aug. 6, 1992. Amended: Filed April 18, 1995, effective Sept. 30, 1995. Amended: Filed June 11, 2013, effective Dec. 30, 2013. Amended: Filed March 9, 2023, effective Sept. 30, 2023. *Original authority: 42.100–42.130, see Missouri Revised Statutes 2016 and Missouri Revised Statutes Cumulative Supplement 2023, and 536.023, RSMo 1975, amended 1976, 1997, 2004.

History

• AUTHORITY: sections 42.100–42.130 and 536.023(3), RSMo 2016. Original rule filed March 22, 1990, effective June 28, 1990.

11 CSR 85-1.040 Veterans Trust Fund {#sec-11-csr-85-1.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 85-1.040}

PURPOSE: This rule outlines the duties and responsibilities of the executive director in administering the Veterans Trust Fund established by sections 42.135 and 43.100, RSMo.

(1) The Veterans Trust Fund, is a state fund established to receive monies generated by individual income taxes, corporate taxes, grants, gifts, bequests, the federal government, or other sources.

This fund shall be administered by the executive director with approval of the commission for purposes authorized under sections 42.002 to 42.135 and section 143.1001, RSMo, and appropriated by the state.

(2) The executive director shall establish, with approval of the commission, procedures and agreements with other state agencies as necessary to manage the Veterans Trust Fund.

The executive director shall develop operational policies and procedures to administer new programs developed using Veterans’ Trust Fund monies.

(3) The executive director shall establish internal accounting procedures which safeguard Veterans Trust Fund monies received by the commission as the collection agency for the fund.

(4) The executive director shall establish a public information program to assure the public has accurate knowledge of how the Veterans Trust Fund monies are used and precisely how contributions may be made.

History

• AUTHORITY: sections 42.135 and 143.1001, RSMo 2000, and section 536.023(3), RSMo Supp. 2013. Original rule filed March 22, 1990, effective June 28, 1990. Amended: Filed Jan. 7, 2009, effective July 30, 2009. Amended: Filed June 11, 2013, effective Dec. 30, 2013. Original authority: 42.135, RSMo 1989, amended 1993; 143.1001, RSMo 1989, amended 1991; and 536.023, RSMo 1975, amended 1976, 1997, 2004.

11 CSR 85-1.050 Veterans Cemeteries Program {#sec-11-csr-85-1.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 85-1.050}

PURPOSE: This rule describes the operations of the Veterans’ Cemeteries Program authorized by sections 42.010 and 42.012, RSMo.

(1) The executive director shall hire a Veterans Cemeteries Program director who shall have the authority and responsibility for the planning, implementation, and operation of the Veterans Cemeteries Program.

(2) The Veterans Cemeteries Program director shall hire the professional, technical, and support staff necessary to operate the cemeteries program. This staff shall be responsible for providing interment services to eligible Veterans and their dependents in Missouri, maintaining cemetery grounds and facilities, performing outreach activities to promote awareness of the Veterans Cemeteries Program, and cooperating with the National Cemetery Administration and other states’ Veterans Cemeteries Programs.

(3) Operations.

(A) Visiting Hours. Visiting hours shall be posted at the front entrance to each cemetery and are subject to change with or without notice to the public for state holidays, inclement weather, or other exigent circumstances. Unauthorized visitors to the cemetery outside of these hours may be referred to local law enforcement.

(B) Operation and Maintenance. The cemetery shall be operated and maintained in accordance with national standards set forth in Title 38 U.S.C. Section 2408. Cemetery regulations and any changes thereto shall be posted at each cemetery in a location accessible to the public. Missouri Veterans Cemeteries (MVC) reserves the right to change cemetery regulations as necessary to align with the national standards or to conform to current conditions.

Amended: Filed June 11, 2013, effective Dec. 30, 2013. Amended:

Filed Oct. 2, 2020, effective April 30, 2021. Amended: Filed Aug. 4, 2025, effective Feb. 28, 2026. *Original authority: 42.007, RSMo 1989, amended 1996, 2008, 2009; 42.010, RSMo 1996, amended 1998; and 536.023, RSMo 1975, amended 1976, 1997, 2004.

History

• AUTHORITY: sections 42.007.6, 42.010, and 536.023(3), RSMo 2016. Original rule filed Jan. 7, 2009, effective July 30, 2009.

11 CSR 85-1.060 The Missouri Veterans Health and Care Fund and Program {#sec-11-csr-85-1.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 85-1.060}

(Rescinded June 30, 2025)

Rescinded: Filed Dec. 20, 2024, effective June 30, 2025.

History

• AUTHORITY: sections 42.007.6, 42.012.2(4), and 536.023.3, RSMo 2016. Original rule filed May 26, 2021, effective Nov. 30, 2021.

Chapter 2 Federal Soldiers' Home

11 CSR 85-2.010 Federal Soldiers’ Home {#sec-11-csr-85-2.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 85-2.010}

(Rescinded June 28, 1990)

This rule was previously filed as 13 CSR 100- 2.010. Original rule filed Dec. 29, 1975, effective Jan. 9, 1976. Rescinded: Filed March 22, 1990, effective June 28, 1990.

MATTBLUNT(12/31/01)

History

• AUTHORITY: 212.130, RSMo 1986 and Omnibus State Reorganization Act of 1974.

Division 90 Missouri 911 Service Board

Chapter 1 Board Operations

11 CSR 90-1.010 Overview {#sec-11-csr-90-1.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-1.010}

PURPOSE: This rule provides a brief overview of the board.

(1) The Missouri 911 Service Board represents all Missouri 911 entities and jurisdictions, and is striving toward the immediate access to emergency services for all citizens in the state of Missouri. The board is charged with assisting and advising the state regarding 911 services; aiding in the collection and dissemination of information relating to use of a universal emergency telephone number; reviewing existing and proposed legislation and recommending changes; recommending primary and secondary answering points on technical and operational standards for 911 services; recommending model systems to be considered in preparing a 911 service plan; providing requested mediation services to political subdivisions involved in 911 jurisdictional disputes; applying for and receiving grants; conducting an annual survey of public answering points in Missouri to evaluate potential for improved services, coordination, and feasibility of consolidation; developing a plan and timeline of target dates for the testing, implementation, and operation of a next generation 911 system throughout Missouri; administering and authorizing grants and loans from the Missouri 911 service trust fund to improve 911 services, especially in the most underserved areas; and setting the percentage rate of the prepaid wireless emergency telephone service charge remitted to a county or city under section 190.406.3.(5), RSMo to reimburse expenditures for implementing and operating 911 systems and for answering and dispatching emergency calls.

(2) The board is funded by prepaid wireless emergency telephone service charges deposited in the Missouri 911 service trust fund pursuant to section 190.460, RSMo.

2021. Original rule filed May 7, 2020, effec-

11 CSR 90-1.020 Organization and Administration {#sec-11-csr-90-1.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-1.020}

PURPOSE: This rule describes the organization and administration of the board and is necessary to comply with the requirements of

section 536.023, RSMo.

(1) The executive director of the board shall be the chief public spokesperson for the board in all dealings with the media.

(2) The executive director shall be responsible for the daily operation of the board’s business as delegated by the board; provided, however, that any party aggrieved by any action of the director, by petition to the chairman, may request that action be reviewed as an agenda item in a board meeting.

(3) The executive director shall have the power to appoint, fire, and discipline board employees and consultants as delegated by the board.

(4) The executive director, the executive director’s designee, or such other individual as may be designated by the board shall serve as the board’s custodian of records. The board’s custodian of records shall maintain the board’s records as required by law.

(5) Except as otherwise provided in the board’s regulations, by statute or directed by the board, all materials to be submitted with the board or requests for information or documents shall be sent by mail to: Missouri 911 Service Board, PO Box 2126, Jefferson City, MO 65102, or by electronic mail to: admin@missouri911.org.

History

• AUTHORITY: section 536.023, RSMo 2016. Emergency rule filed May 6, 2020, effective May 21, 2020, expired Feb. 25, 2021. Original rule filed May 7, 2020, effective Dec. 30, 2020. Original authority: 536.023, RSMo 1975, amended 1976, 1997, 2004.

11 CSR 90-1.030 Code of Ethics {#sec-11-csr-90-1.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-1.030}

PURPOSE: The board is charged with assisting and advising the state in ensuring the availability, implementation, and enhancement of a statewide emergency telephone number common to all jurisdictions. The board and its staff are held to the highest ethical and professional standards and must conduct all business in a manner which maintains the public trust. Therefore, the following Code of Ethics prescribes measures to prohibit practices that possess a potential of wrongdoing or the appearance of impropriety.

(1) Standard of Compliance for Board and its Staff. Each member of the board and all board staff are directed to read and comply with this Code of Ethics and with Executive Order 92-04 dated January 31, 1992. For the purposes of this Code of Ethics, the term staff shall include the board’s executive director, staff, and state employees who provide day-to-day services to the board. The board shall be responsible for the enforcement of applicable statutes, the provisions of the Executive Order, and this rule by the suspension or discharge, other disciplinary action, or other action as the board deems appropriate.

(2) Compensation. No member or staff of the board shall solicit anything of value, nor shall any member or staff of the board accept anything of value, in addition to that compensation received from the board or state of Missouri in their official capacity, intended to influence the member or staff’s official duties or in exchange for having exercised the member’s or staff’s official powers or performed the member’s or staff’s official duties in a particular manner. For the purposes of this

rule, grant or payment of a thing of value to another person on behalf of the member or staff shall be considered grant or payment to the member or staff. Nothing in this rule shall preclude the acceptance of any award, presentation, honor, or memorabilia presented to the member or staff of the board in recognition of his/her performance in his/her official capacity and not designed to influence any particular action taken by the member or staff of the board.

(3) Confidentiality. No information furnished to the board by a corporation, organization, or person that the board deems to be a closed record under Chapter 610, RSMo, shall be open to public inspection or made public except on order of the board.

(4) Use of Confidential Information. No member or staff of the board shall use or disclose confidential information gained in the member’s or staff’s official position or activities to further the member’s or staff’s own financial or political interests or the financial or political interests of anyone else.

(5) Duty to Maintain Confidentiality. A former member or staff of the board having information that s/he knows is confidential governmental information or knew was confidential governmental information at the time the member or staff acquired the information about a person or matter subject to the jurisdiction of the board while the member or staff was associated with the board, may not disclose such information without the consent of the board granted before such disclosure and after complete disclosure to the board of the information sought to be disclosed, all persons to whom the information is to be disclosed, and the reasons for such disclosure.

Confidential information means information that has been obtained under governmental

2021. Original rule filed May 7, 2020, effec-

History

• authority and which, at the time this rule is applied, the government or the board is prohibited by law from disclosing to the public or has a legal privilege not to disclose, and which is not otherwise available to the public.

11 CSR 90-1.040 Board Meetings {#sec-11-csr-90-1.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-1.040}

PURPOSE: This rule establishes the procedures for meetings of the board.

(1) The chair or the chair’s designee shall preside over each meeting of the board. The board shall elect officers from its membership as it determines, including a chair, vicechair, secretary, and treasurer and form committees as it deems appropriate to handle designated functions of the board.

(2) Minutes of each meeting, open or closed, including special meetings, shall be prepared in written form and shall be subject to the approval of the board.

(3) The board may vote to delegate to its chair limited authority to take certain actions without a prior vote of the board. Any action taken by the chair pursuant to such delegation of authority shall have the full force and effect of a majority vote of the board, but must be ratified by a subsequent majority vote of the board at the next public meeting.

If such action is not ratified by the board as provided herein, such action shall be cancelled, withdrawn, or rescinded as of the date of the public board meeting at which the ratification failed. Such delegation of board

2021. Original rule filed May 7, 2020, effec-

History

• authority to the chair shall expire twelve (12) months after its adoption by a majority of the board, unless rescinded or renewed by the board prior to its expiration.

11 CSR 90-1.050 Addressing Board {#sec-11-csr-90-1.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-1.050}

PURPOSE: This rule establishes procedures for the public to address the board.

(1) The board will allot time for public comment at each open meeting. The board reserves the right to determine the amount of time allotted at each open meeting for public comment and to limit the amount of time per person for public comment.

(2) No person interested in a case, matter, or application pending before the board shall improperly attempt to influence the judgment of the board by undertaking, directly or indirectly, to pressure or influence the board, regarding the case, matter, or application.

2021. Original rule filed May 7, 2020, effec- (11/30/20) JOHN R. ASHCROFT

Chapter 2 911 Financial Assistance Program

11 CSR 90-2.010 Definitions {#sec-11-csr-90-2.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-2.010}

PURPOSE: This rule establishes definitions for terms used in this

chapter.

PUBLISHER’S NOTE: The secretary of state has determined that publication of the entire text of the material that is incorporated by reference as a portion of this rule would be unduly cumbersome or expensive. This material as incorporated by reference in this

rule shall be maintained by the agency at its headquarters and shall be made available to the public for inspection and copying at no more than the actual cost of reproduction. This note applies only to the reference material. The entire text of the rule is printed here.

(1) As used in this chapter, the following terms shall mean— (A) “911 services authority,” any county or city governing body or elected emergency services board to which the board remits prepaid wireless emergency telephone service charges deposited in the fund under section 190.460.3.(5), RSMo;

(B) “911 service level,” level of a Public Safety Answering Point’s (PSAPs) 911 services. There are four (4) levels— 1. Basic—No 911 equipment;

2. Enhanced—Wireline only;

3. Phase 1—Wireless number only; and 4. Start Phase II—Latitude/Longitude, Text-to-911;

(C) “Adverse action,” an action taken by the board to deny, reject, reduce, suspend, or terminate a grant or loan application, financial assistance under an approved application or project agreement, or request to materially amend a project agreement or extend the project completion date;

(D) “Application window,” a period set by the board for the submission of applications for grants and loans available pursuant to section 650.335, RSMo;

(E) “Award priority areas,” attributes of loan or grant applications that warrant priority in allocating financial assistance from the fund due to the potential to most greatly improve 911 services statewide, especially in underserved areas, including the following:

1. Including one (1) or more PSAPs located in a jurisdiction with a 911 service level of basic;

2. Consolidating two (2) or more PSAPs;

3. Consolidating 911 services within a defined region of the state;

4. Moving one (1) or more PSAPs up one (1) or more 911 service levels;

5. Meeting the NENA i3 Solution Standard for Emergency Services IP Network;

6. Becoming NG9-1-1 compatible;

7. Purchasing 911 technology and equipment, such as 911 trunking equipment, workstations with 911 answering equipment, software, dispatch systems, and radio systems, that is currently non-existent and is not being used to replace existing equipment; and 8. Adding Text-to-911; defined as the ability to send a text message to reach 911 emergency call takers from a mobile phone or device;

(F) “Board,” the Missouri 911 service board defined in section 650.320, RSMo, and established by section 650.325, RSMo;

(G) “Eligible applicants” or “Applicants,” counties, cities, elected emergency service boards, and regional planning commissions as defined in section 70.515, RSMo, that provide emergency telephone services to multiple counties, that sections 650.330 and 655.335, RSMo, authorize to submit applications to the board for grants and loans to finance all or a portion of the costs incurred by their 911 services authorities in implementing a 911 communications service project;

(H) “Eligible uses,” expenditures that may be paid using financial assistance from the fund, including but not limited to capital expenses such as building, facility, and equipment costs; operating expenses such as research, development, and administrative costs; expenses associated with training; and matching funds for federal grants;

(I) “Fund,” the Missouri 911 service trust fund established by

section 190.420, RSMo;

(J) “Grant,” a distribution from the fund that is not required to be repaid;

(K) “Incomplete application,” an application received by the board that is not submitted in accordance with the application instructions, regulations, or statutes;

(L) “Loan,” a distribution from the fund that must be repaid with interest;

(M) “NENA i3 Solution Standard,” the NENA Detailed Functional and Interface Standard for the NENA i3 Solution, NENA-STA-010.2-2016 (originally 08-003), September 10, 2016, published by the National Emergency Number Association, 1700 Diagonal Rd., Suite 500, Alexandria, VA 22314 (www.

NENA.org) and available at http://www.nena.org/resource/ resmgr/standards/NENA-STA-010.2_i3_Architectu.pdf\ and on the board’s website. This standard is incorporated herein by reference and does not include any later amendments or additions;

(N) “Next Generation 911” or “NG9-1-1,” a system comprised of managed IP-based networks, gateways, functional elements, and databases that augment or replicate present day E9-1-1 features and functions and provide new capabilities. NG9-1-1 is designed to provide access to emergency services from all sources, and to provide multimedia data capabilities for PSAPs and other emergency service organizations;

(O) “Project Agreement,” an agreement governing the board’s award of financial assistance for a 911 services authority’s 911 communications service project; and (P) “PSAPs,” public safety answering points as defined in sections 190.400 and 650.320, RSMo.

(2) As used in this chapter, all terms defined in sections 650.320 and 190.400, RSMo, shall have meaning prescribed therein.

(12/31/23) John R. Ashcroft SERVICE BOARD 11 CSR 90-2—DEPARTMENT OF PUBLIC SAFETY

History

• AUTHORITY: sections 650.330 and 650.335, RSMo Supp. 2023. Feb. 25, 2021. Original rule filed May 7, 2020, effective Dec. 30, 2020. Emergency amendment filed Aug. 31, 2021, effective Sept. 15, 2021, expired March 13, 2022. Amended: Filed Jan. 7, 2022, effective July 30, 2022. Emergency amendment filed July 14, 2023, effective Aug. 28, 2023, expired Feb. 22, 2024. Amended: Filed July 14, 2023, effective Jan. 30, 2024. Original authority: 650.330, RSMo 1997, amended 1999, 2017, 2018, 2019, 2023, and 650.335, RSMo 2018, amended 2021, 2023.

11 CSR 90-2.020 Application Requirements and Submission Procedure {#sec-11-csr-90-2.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-2.020}

PURPOSE: This rule prescribes the content of and procedure for applying for financial assistance in the form of grants and loans from the Missouri 911 service trust fund, the proceeds of which are to be used to finance a portion of the costs incurred in implementing projects to improve 911 services.

(1) Application Window. All application windows shall be established by the board as it deems appropriate and be published on its website, https://www.missouri911.org. The board reserves the right to extend published application windows as it deems appropriate. For each application window, the board shall exercise its discretion to determine the total amount of financial assistance available from the fund, allocate the available amounts between grants and loans, establish any percent of match in local funds required for applications seeking grants, and determine the maximum amount of financial assistance available per application. The board will publish this information on its website before the start of each application window.

(2) Application Submission Procedure.

(A) Deadline. Applications for all application windows shall be submitted to the board by the deadline established and published by the board. Applications may be submitted by electronic mail or certified or registered mail. Electronic mail shall be sent to admin@missouri911.org and certified and registered mail shall be sent to “Missouri 911 Service Board” at PO Box 2126, Jefferson City, MO 65102. The board presently lacks the ability to receive applications by hand delivery because it does not maintain a physical office. The board prefers to receive electronic copies of applications by electronic mail.

(B) Format. Applicants must provide one (1) electronic version of their applications, including the accompanying documents.

(C) Joint Applications. Applications submitted by two (2) or more eligible applicants must contain all information required for each applicant and its 911 services authority and a memorandum of understanding between all eligible applicants and their 911 services authorities. The board encourages joint applications.

(D) Rejection Criteria. The board will reject applications that are untimely. The board may extend the application deadline for up to seventy-two (72) hours. Any extension will apply to all applications. The board will notify applicants and their 911 services authorities in writing regarding applications it deems incomplete and allow fourteen (14) calendar days for the submission of information necessary to complete such applications. The board may reject applications that remain incomplete for longer than fourteen (14) days after notice is sent.

(3) General Requirements.

(A) Who may apply. Applications may be submitted by eligible applicants singly, or in combination with one (1) or more other eligible applicants.

(B) Signature and Certification. All applications shall be prepared by the 911 services authority that will incur some or all the costs to implement the 911 communications service project in the application. All applications will be signed by an authorized representative of each applicant and an authorized member of its 911 services authority. By signing the application— 1. Applicants authorize the board to transmit directly to their 911 services authorities any portion of an award of financial assistance that is for costs to be incurred by their 911 services authorities in implementing approved projects;

2. Applicants and 911 services authorities certify that any financial assistance obtained from the fund will be expended only for purposes specified in the approved application or the project agreement.

3. 911 services authorities certify that they, on behalf of their eligible applicants, will repay any portion of a loan made that is transmitted directly to them by the board, with interest, and will annually budget an amount sufficient to make any payments required by the board under section 650.335, RSMo.

Eligible applicants make the same certification with respect to any portion of a loan transmitted to them for costs to be incurred by them in implementing approved projects.

(C) Funding Limits and Sources. The maximum amount of grants, loans, or a combination of grants and loans that may be requested in a single application, as set by the board for each application window, shall be the same regardless of the number of eligible applicants included in an application.

(D) Project Costs Disclosure. Applications shall include all necessary costs, including those of any third party, required for the full implementation of the project. For all projects in which not all project costs will be incurred and paid by the applicants’ 911 services authorities, the applications also shall identify all other sources that will incur or pay project costs, the specific project costs to be incurred or paid by each source, and the total project costs to be incurred or paid by each source.

(E) Limit on Number of Applications. The board reserves the right to limit the number of applications that may be submitted per applicant per application window. The limit applies to joint applications.

(F) Project Completion Deadline. Applications must demonstrate that the proposed project is able to be completed no later than one (1) year after the board first remits any financial assistance from the fund for project implementation.

(G) Grounds for Rejection or Disapproval. The board may reject applications signed by applicants or 911 services authorities owing money to the fund under a loan agreement previously approved by the board or that have not yet completed a project that was previously approved by the board.

(4) Application Contents. Applications shall contain a Project Narrative and a Technical Assistance Report that includes a proposed budget.

(A) Project Narrative Requirements. The project narrative shall include the following information for all applicants and their 911 services authorities signing the application:

1. Identifying and contact information. The names, addresses, titles, locations addresses, telephone numbers, and email addresses of the eligible applicants’ governing bodies and the 911 services authorities’ primary contact individuals;

2. Constituent information. The number of constituents to be served by the entire project, the 911 services authorities’ 911 levels as of the date of the application and upon project completion;

3. Funding request information. State a preference for a grant, loan, or combination of the two (2), the total amount of financial assistance requested, and the amount of each type of financial assistance requested (only if both types are requested). The board reserves the right to extend an offer for either type of financial assistance or a combination of the two (2) regardless of the type of funding requested and to less than the requested amount;

4. Funding Purpose. Identify the statutory purposes for which the requested financial assistance will be used— A. Implementation of 911 services in counties of the state where services do not exist or to improve existing 911 systems;

B. Promotion of consolidation of public safety answering points (PSAPs), where appropriate;

C. Mapping or addressing all county locations;

D. Ensuring primary access and texting abilities to 911 services for disabled residents;

E. Implementation of initial emergency medical dispatch services, including prearrival instructions in counties where those services are not offered as of the date the application is submitted; and F. Development and implementation of an emergency services internet protocol network that can be shared by all public safety agencies;

5. Personnel information. State the name and title of key personnel performing the project for which financial assistance is sought. For any vacant job positions, provide a job description instead of a name; and 6. Service description. Provide a detailed description of the services to be provided for each purpose identified in (4)(A)-(F) of this rule for which financial assistance is requested. The description must include the following information:

A. A summary of the activities to occur and the key personnel responsible for each activity;

B. A description of how the application addresses one (1) or more of the Award Priority Areas;

C. A work plan and timeline that identifies activities, and proposed start and completion dates;

D. A plan for the 911 services authorities to report progress and expenditures to the board. At a minimum, the plan must require the 911 services authorities to submit to the board progress and expenditure reports on a quarterly basis and a final project report and financial reconciliation no later than thirty (30) calendar days after project completion; and E. A brief description of how the activities identified in the application will be sustained by the 911 services authorities beyond the completion date of the project.

(B) Technical Assistance Report. The technical assistance report shall contain— 1. A detailed budget and justification for the total cost of the funded project, including the following:

A. Capital expenses incurred by the 911 services authorities, the applicants, or any other source for the purchase of materials, equipment, and supplies;

B. Operating expenses incurred by the 911 services authorities, the applicants, or any other source for personnel, administration, and operations;

C. Training expenses, incurred by the 911 services authorities, the applicants, or any other source for programs, facilities, travel, and trainers; and D. Other direct costs incurred by the 911 services authorities, the applicants, or any other source for the funded project;

2. The suggested format for the budget is a spreadsheet that contains or is accompanied by notes describing how amounts of expenses incurred by the 911 services authorities, the applicants, or any other source align with the activity timeline in the narrative proposal;

3. Financial records and other documents demonstrating that the applicants, through their 911 services authorities or otherwise, have the ability to operate and maintain ongoing 911 services after project completion;

4. Written certification, such as a resolution, that the governing bodies of the applicants have approved the applicants entering into a project agreement with the board if the application is approved and a copy of the approvals.

Applicants indicating that approval of their governing bodies is not required must submit proof acceptable to the board;

5. For applications requesting a loan, financial records, and other documents or information demonstrating that the applicants, through their 911 services authorities or otherwise, are providing at least a fifty percent (50%) match of the amount of loan sought and that the total project cost will be recovered during the loan repayment period; and 6. For applications requesting a grant, financial records, and other documents or information demonstrating that the applicants, through their 911 services authorities or otherwise, are providing at least the minimum percent match of the amount of grant sought as is required by the board for the application window.

Feb. 25, 2021. Original rule filed May 7, 2020, effective Dec. 30,

11 CSR 90-2.030 Application Review and Decision {#sec-11-csr-90-2.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-2.030}

PURPOSE: This rule establishes the process the board will use to review and make decisions regarding applications for financial assistance in the form of grants and loans from the Missouri 911 service trust fund.

(1) Application Review. The board or its designated members or appointees will review all applications. Applications meeting the minimum requirements will be scored and ranked based on the scoring to aid the board in deciding which applications to approve and the amount and type of financial assistance to award approved applicants. If more than one (1) application receives the same score, then the tied applications will be ranked in the order determined to best accomplish the purposes listed in section 650.330.1.(16), RSMo.

(2) Application Scoring.

(A) Project Narrative. The project narrative shall be scored as follows:

1. One (1) point shall be awarded for each portion required by 11 CSR 90-2.020(4)(A)1., 2., 3., and 5. that is determined to contain adequate information;

2. One (1) point shall be awarded for each separate purpose listed in 11 CSR 90-2.020(4)(A)4.A.-F. that is determined to be adequately identified and described; and 3. Points for portions of the project narrative required by 11 CSR 90-2.020(4)(A)6. shall be awarded as follows:

A. For the portion required by 11 CSR 90-2.020(4)

(A)6.A., three (3) points if the application adequately describes specific, feasible activities and identifies parties responsible for completing the activities. Fewer than three (3) points may be awarded for answers that are determined to be partially adequate;

B. For the portion required by 11 CSR 90-2.020(4)(A)6.B., one (1) point for including in the application one (1) or more public safety answering points (PSAPs) located in a jurisdiction with a current 911 level of basic for up to five (5) points, one (1) point for consolidating a PSAPs for up to five (5) points, one (12/31/23) John R. Ashcroft SERVICE BOARD 11 CSR 90-2—DEPARTMENT OF PUBLIC SAFETY (1) point for consolidating 911 services within a region, one (1) point for moving one (1) or more PSAPs up one 911 service levels for up to five (5) points, and one (1) point for meeting the National Emergency Number Association (NENA i3) Solution Standard for Emergency Services IP Network;

C. For the portion required by 11 CSR 90-2.020(4)

(A)6.C., one (1) point for providing a work plan and timeline that adequately identifies activities and proposed start and completion dates;

D. For the portion required by 11 CSR 90-2.020(4)(A)6.D., one (1) point for providing an adequate plan for reporting progress and expenditures to the board; and E. For the portion required by 11 CSR 90-2.020(4)(A)6.E., one (1) point for adequately describing how the activities identified in the application will be sustained beyond the completion date of the funded project. One (1) additional point may be awarded if the application shows above average confidence of sustainability and a second additional point may be awarded if the application shows high confidence of sustainability.

(B) Technical Assistance Report Scoring. The technical assistance report required by 11 CSR 90-2.020(4)(B) shall be scored one (1) to three (3) points depending on the board’s or its reviewer’s determination as to the level of reasonableness and feasibility of the budget and the adequacy of the justification for the total project cost.

(3) Application Decisions.

(A) The board will make all final decisions regarding applications. The board will strive to approve or disapprove applications within sixty (60) calendar days after the close of each application window and decide the amount and type of financial assistance to award each approved applicant and transmit to its 911 services authority for project implementation.

(B) The board will disapprove all applications that it determines do not meet the minimum requirements.

(C) The board will make final decisions on applications meeting the minimum requirements on a case-by-case basis based on the board’s determination, in its sole discretion, of which projects best promote the purposes of the fund set forth in section 650.330.4.(16)(a)-(f), RSMo. In situations where the board offers a loan when a grant was requested, the board reserves the right to request any additional documents or information needed to ascertain if the match requirement is met.

(D) The board or its designee will notify each applicant and its 911 services authority in writing of the board’s decision regarding the application. If the board disapproves an application, the writing will advise of the protest procedure in 11 CSR 90-2.050.

Feb. 25, 2021. Original rule filed May 7, 2020, effective Dec. 30,

11 CSR 90-2.040 Project Administration {#sec-11-csr-90-2.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-2.040}

PURPOSE: This rule establishes the process the board will use to administer approved 911 communications service projects.

(1) Project Agreements. Approved applicants and their 911 services authorities must enter into project agreements with the board. The project agreements will contain the terms and conditions of the board’s award of financial assistance. For projects involving a loan, the project agreements will contain the interest rate, repayment amount, number of payments, and a repayment schedule determined by the board based on the total project costs, amount of the loan, amount of match in local funds, award priority areas addressed by the project, and purposes listed in section 650.330.4.(16), RSMo to be accomplished. The project agreements will require each eligible applicant’s 911 services authority to agree to repay on behalf of the eligible applicant, any portion of the loan transmitted directly to them or used to pay costs incurred on their behalf.

(2) Fund Disbursement. The board will not disburse any financial assistance for any project until a project agreement has been fully executed, and it has received a written certification of approval, such as a resolution, of the project agreement from the applicants’ respective governing bodies or the applicants have demonstrated to the board’s satisfaction that no such approval is required.

(3) Project Agreement Change Requests. 911 services authorities must obtain written approval of the board or its designee before making any material changes to an approved project.

(A) 911 services authorities may request approval of the board or its designee for a material change to an approved project by submitting a written request by electronic mail to the electronic mail address in the project agreement or by certified or registered mail addressed to “Missouri 911 Service Board” at PO Box 2126, Jefferson City, MO 65102.

(B) Requests must include a detailed explanation of the circumstances warranting the requested change.

(C) The board or its designee, in its sole discretion, will determine all change requests on a case-by-case basis and advise the requestor in writing of the board’s decision. If a change request is denied, the writing will advise of the protest procedure in 11 CSR 90-1.050.

(4) Extensions of Time. 911 services authorities may request extensions of the project completion deadline in their project agreement by submitting a written request by electronic mail to the electronic mail address in the project agreement or by certified or registered mail addressed to “Missouri 911 Service Board” at PO Box 2126, Jefferson City, MO 65102.

(A) Requests must include a detailed explanation of the circumstances warranting extension of the project completion deadline.

(B) Requests for extension must be received by the board at least forty-five (45) calendar days before the expiration of the current project completion deadline.

(C) The board will not consider any request for extension of a project completion deadline that exceeds six (6) months.

(D) The board or its designee, in its sole discretion, will determine all requests for extensions on a case-by-case basis and will grant a timely submitted first request for extension when the requestor demonstrates an inability to meet its project completion deadline despite a good faith effort to do so. Second and subsequent requests for extension will be viewed unfavorably and will only be granted when the board determines that substantial justification or extreme circumstances exist.

(E) The board or its designee will notify the requestor of its decision in writing. If a request for extension is denied, the writing will advise of the protest procedure in 11 CSR 90-1.050.

(5) Audits. The board will conduct audits as it deems appropriate. Applicants and 911 services authorities shall provide any information requested by the board and access to the project site.

(6) Funding Change or Termination. The board reserves the right to reduce, suspend, or terminate the provision of financial assistance before or after execution of the project agreement due to a lack of funds, misrepresentations on the application, a failure to comply with the project agreement or applicable laws, or other conduct deemed inappropriate by the board.

Feb. 25, 2021. Original rule filed May 7, 2020, effective Dec. 30,

11 CSR 90-2.050 Protests {#sec-11-csr-90-2.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-2.050}

PURPOSE: This rule establishes a procedure to protest adverse actions taken by the board.

(1) Protest Procedure. Applicants and 911 services authorities may protest any adverse action taken by the board related to their applications (assuming the applicants are eligible applicants) or a project agreement signed by them by submitting a protest by certified or registered mail addressed to “Missouri 911 Services Board” at PO Box 2126, Jefferson City, MO 65102, or by electronic mail addressed to admin@ missouri911.org.

(A) Protest Deadline. Protests must be received by the board within fourteen (14) calendar days after the date of adverse action. If the fourteenth day falls on a Saturday, Sunday, or state holiday, the period will extend to the next state business day.

(B) Protest Requirements. All protests shall be in writing and include the following information:

1. Name, address, and phone number of the protesting applicants and 911 services authorities;

2. Signature of an authorized representatives of the protesting applicants and 911 services authorities;

3. Detailed statement of the grounds for the protest;

4. Supporting exhibits, evidence, or documents for the protest;

5. The board will deny a protest that does not contain all required information, is untimely, or fails to establish standing to protest;

6. All protests meeting the above requirements will be reviewed by the board;

7. The board will only issue a determination on the issues asserted in the protest; and 8. The board’s determination will be in writing, will set forth the facts relied upon, an analysis of the protest, and a conclusion that the protest will either be sustained or denied in whole or part, and will be mailed to the protesting applicants and 911 services authorities by registered or certified mail.

A. If the protest is sustained, remedies include a modification or reversal of the protested adverse action.

B. If the protest is denied, the board will take no further action on the protest.

Feb. 25, 2021. Original rule filed May 7, 2020, effective Dec. 30,

Chapter 3 Funding Rates

11 CSR 90-3.010 Funding Rates {#sec-11-csr-90-3.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-3.010}

PURPOSE: This rule establishes rates of prepaid wireless emergency telephone service charges deposited in the Missouri 911 service trust fund that will be paid under section 190.460, RSMo.

(1) Forty percent (40%) of the prepaid wireless emergency telephone service charges deposited in the Missouri 911 service trust fund, less the deductions authorized by section 190.460.3.(4), RSMo shall be remitted to each county without a charter form of government in direct proportion to the amount of charges collected in that county, if any.

(2) Sixty-five percent (65%) of the prepaid wireless emergency telephone service charges deposited in the Missouri 911 service trust fund, less the deductions authorized by section 190.460.3.(4), RSMo shall be remitted to each county other than counties without a charter form of government in direct proportion to the amount of charges collected in that county, if any.

rule filed May 6, 2020, effective May 21, 2020, expired Feb. 25, 2021. Original rule filed May 7, 2020, effective Dec. 30, 2020. *Original authority: 190.460, RSMo 2018, amended 2019 and 650.330, RSMo 1997, amended 2017, 2018, 2019.

History

• AUTHORITY: sections 190.460.3. and 650.330.6., RSMo Supp. 2020. Emergency

Chapter 4 911 Training and Standards Act

11 CSR 90-4.070 Procedure to Obtain Continuing Education Provider Approval for 911 {#sec-11-csr-90-4.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-4.070}

11 CSR 90-4.080 Procedure to Obtain Approval for an Individual Continuing Education {#sec-11-csr-90-4.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-4.080}

11 CSR 90-4.090 Out-of-State, Federal and Organizations or Commercial Entities Continuing Education Credit for 911 Telecommunicator First {#sec-11-csr-90-4.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-4.090}

11 CSR 90-4.100 Computer-Based Continuing Education Training for 911 {#sec-11-csr-90-4.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-4.100}

11 CSR 90-4.010 General Organization {#sec-11-csr-90-4.010 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-4.010}

PURPOSE: This rule provides for the organization, administration, and methods of operation of a program of certification for telecommunicators.

(1) The objective of the Missouri 911 Service Board is creating standardized 911 training and education requirements for telecommunicator first responders to enhance statewide 911 emergency services. originally filed as 11 CSR 10-12.010. Original rule filed May 16, 2000, effective Nov. 30, 2000. Moved to 11 CSR 30-13.010 and CSR 90-4.010 and amended: Filed March 12, 2021, effective Sept.

11 CSR 90-4.020 Definitions {#sec-11-csr-90-4.020 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-4.020}

PURPOSE: This rule defines the terms which pertain to the training and education of telecommunicators.

(1) Board refers to the Missouri 911 Service Board within the Department of Public Safety established in section 650.325, RSMo.

(2) Training committee refers to the committee or other designees of the board tasked by the board with assisting the board in administering the 911 Training and Standards Act in

section 650.340, RSMo.

(3) Joint Communications Center refers to a public safety answering point which dispatches fire, law enforcement, and emergency medical service agencies.

(4) Public Safety Answering Point (PSAP) and Emergency Communications Center (ECC) refer to the location at which 911 calls are answered initially.

(5) Telecommunicator first responder is any person employed as an emergency telephone worker, call taker, or public safety dispatcher whose duties include receiving, processing, or transmitting public safety information received through a Public Safety Answering Point or Emergency Communications Center. originally filed as 11 CSR 10-12.020. Original rule filed May 16, 2000, effective Nov. 30, 2000. Moved to 11 CSR 30-13.020 and CSR 90-4.020 and amended: Filed March 12, 2021, effective Sept.

11 CSR 90-4.030 Initial Training {#sec-11-csr-90-4.030 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-4.030}

PURPOSE: This rule defines the training levels and requirements for telecommunicators.

(1) Telecommunicator first responders hired after August 28, 1999, must complete the following initial training units (ITU) within twelve (12) months of the date of employment:

(A) In order to act as a police telecommunicator first responder, sixteen (16) hours of police dispatcher ITU or forty (40) hours of joint communications dispatcher ITU;

(B) In order to act as a fire telecommunicator first responder, sixteen (16) hours of fire dispatcher ITU or forty (40) hours of joint communications dispatcher ITU;

(C) In order to act as an emergency medical services telecommunicator first responder, sixteen (16) hours of emergency medical dispatcher ITU or forty (40) hours of joint communications dispatcher ITU; and (D) In order to act as a joint communications center telecommunicator first responder, forty (40) hours of joint communications dispatcher ITU.

(2) Individuals who were employed as a telecommunicator first responder prior to August 28, 1999, are not required to complete the initial training requirements, but are encouraged to attend applicable training disciplines as feasible.

(3) Telecommunicator first responder ITU may be obtained from the sources identified in 11 CSR 90-4.050(3).

(4) Each Public Safety Answering Point or Emergency Communications Center shall be responsible for maintaining records of compliance with the ITU rules for each telecommunicator first responder in their employ.

(A) Telecommunicator first responders shall be responsible to submit ITU certificates of completion to their employer.

(B) Telecommunicator first responders should maintain certificates of completion showing their compliance with the ITU rules. originally filed as 11 CSR 10-12.030. Original rule filed May 16, 2000, effective Nov. 30, 2000. Moved to 11 CSR 30-13.030 and CSR 90-4.030 and amended: Filed March 12, 2021, effective Sept.

11 CSR 90-4.040 Exemptions and Waiver of Initial Training Requirement {#sec-11-csr-90-4.040 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-4.040}

PURPOSE: This rule defines those individuals exempt from the training requirements, delineates those circumstances where the initial training requirements may be waived, and how such requests shall be handled.

(1) The following individuals shall be exempted from the requirements of this rule:

(A) Telecommunicator first responders who meet the definition of an emergency medical dispatcher as defined by section 190.100, RSMo;

(B) Individuals who have received training by an emergency medical entity accredited or certified under section 190.131, RSMo; and (C) Individuals who provide pre-arrival medical instructions and work for an agency, which meets the requirements, set forth in section 190.134, RSMo.

(2) Any persons hired after August 28, 1999, as a telecommunicator first responder, may have the initial training requirement waived upon furnishing proof to the board that they have completed a training course in another state that meets the minimum requirements listed in 11 CSR 90-4.030.

(A) Typically, a certificate of training or college transcripts must be produced to meet the waiver requirement.

(B) If an individual received training in a single discipline and is now employed in a multidiscipline Public Safety Answering Point (PSAP) (two (2) disciplines) or joint communication center, they must complete the initial training requirements for the disciplines in which they are not certified.

(C) Requests for waivers from individuals who received training from organizations outside Missouri may submit certificates, transcripts, or other proof of training to the board by mail or electronic mail for review and approval. Mail to Missouri 911 Service Board, PO Box 2126, Jefferson City, MO 65102 or email to admin@missouri911.org. Original documents are preferred if the request for waiver is submitted by mail and will be returned to the applicant. The board reserves the right to request the provision of original documents prior to making a decision on requests for waivers.

(D) Upon completion of the review process, the board will inform the applicant by letter of its decision.

(E) The waiver letter will suffice for proof of training by the PSAP or Emergency Communication Center (ECC). originally filed as 11 CSR 10-12.040. Original rule filed May 16, 2000, effective Nov. 30, 2000. Moved to 11 CSR 30-13.040 and CSR 90-4.040 and amended: Filed March 12, 2021, effective Sept.

11 CSR 90-4.050 Requirements for Continuing Education {#sec-11-csr-90-4.050 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-4.050}

PURPOSE: The rule defines the requirements for completion of continuing education and the terms for maintaining training records. The rule further defines the approved sources for telecommunicator continuing education.

(1) Telecommunicator first responder continuing education units (CEU) shall be obtained and monitored on a fixed three- (3-) year cycle, with the first CEU period ending December 31, 2014, and successive CEU periods ending December 31 every third year thereafter.

(2) Every telecommunicator first responder shall obtain a minimum of twenty-four (24) hours of CEU credit during each CEU period.

(3) CEU credit may be obtained from the following sources:

(A) From a CEU provider approved pursuant to 11 CSR 90- 4.070 or a Continuing Law Enforcement Education provider licensed pursuant to 11 CSR 75-15.030 Peace Officer Standards and Training (POST) Program;

(B) From an Emergency Medical Dispatch (EMD) Training entity certified pursuant to 19 CSR 30-40.331 Application and Accreditation or Certification Requirements for Training Entities that Conduct Training for First Responders, Emergency Medical Dispatchers, Emergency Medical Technicians-Basic, Emergency Medical Technicians-Intermediate, and Emergency Medical Technicians-Paramedic;

(C) From a source approved to provide a specific CEU course pursuant to 11 CSR 90-4.080;

(D) From an approved out-of-state source pursuant to 11 CSR 90-4.090;

(E) For serving as an instructor for a CEU class pursuant to 11 CSR 90-4.060(3)(B);

(F) By attending an accredited college or university course related to communications or emergency management or applicable to communications or emergency management administration pursuant to 11 CSR 90-4.060(3)(C); or (G) From any current governmental agency or public safety organization employer.

(4) Each Public Safety Answering Point or Emergency Communications Center shall be responsible for maintaining records of compliance with the continuing education rules for each telecommunicator first responder in their employ.

(A) Telecommunicator first responders shall be responsible to submit CEU certificates of completion to their employer.

(B) Telecommunicator first responders should maintain certificates of completion showing their compliance with the continuing education rules. originally filed as 11 CSR 10-12.050. Original rule filed May 16, 2000, effective Nov. 30, 2000. Moved to 11 CSR 30-13.050 and CSR 90-4.050 and amended: Filed March 12, 2021, effective Sept.

11 CSR 90-4.060 Minimum Standards for Continuing Education Training {#sec-11-csr-90-4.060 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-4.060}

PURPOSE: This rule establishes minimum standards for the continuing education training of telecommunicators.

(1) All telecommunicator first responder continuing education unit (CEU) training shall relate to one (1) or more of the following curricula areas:

(A) Legal studies—Described as training that focuses on the organization’s mission, policy and procedure, standards, discipline, liability, or any type of legal issue;

(B) Technical studies—Described as training that focuses on public safety communications systems, radios or other dispatch consoles, telephone instruments and features, automatic number and location identification, broadband applications, text-to-9-1-1, ADA compliance equipment, and NG 9-1-1;

(C) Interpersonal perspectives—Described as training that focuses on interpersonal communications skills such as cultural diversity, ethics and values, fair and impartial service practices, conflict management, critical thinking, social intelligence, mental health awareness, personal wellbeing, stress management, customer service, management, and leadership; or (D) Skill development—Described as training that focuses on activities that develop higher proficiency in telephone interview, call processing techniques, information management, computerized mapping, computer aided dispatch techniques, radio dispatch, and other critical skills related to public safety communication.

(2) All CEU training shall be designated according to curricula area.

(3) CEU credit shall be calculated at the following rates:

(A) One (1) hour of CEU credit for each fifty (50) minutes of CEU instruction received;

(B) Two (2) hours of credit for each fifty (50) minutes of CEU instruction delivered; and (C) Two (2) hours of CEU credit for each semester hour of credit earned at an accredited college, university, or technical institution related to communications and emergency management or applicable to communications and emergency management administration.

(4) Upon successful completion of the requirements of any CEU course, the provider of the training shall present each trainee a certificate bearing— (A) The provider’s name and the phrase “Approved Provider”;

(B) The course name;

(C) The date or dates on which the course was held;

(D) The total number of CEU credit hours earned broken down by curricula area;

(E) The trainee’s name; and (F) The name of the individual responsible for general administration of the course.

(5) The CEU provider shall retain, for a period of five (5) years after each CEU training course, the following records:

(A) A copy of the training certificate or other record of the information required by section (4) of this rule;

(B) A list of all training objectives;

(C) All course outlines;

(D) All instructor records; and (E) The course evaluation plan.

(6) Every governmental agency or public safety organization employer that provides CEU training shall present each telecommunicator first responder leaving the agency with a complete record of all CEU training obtained by the telecommunicator first responder during the telecommunicator first responder’s tenure with the organization.

(7) CEU providers shall deliver all CEU training in an effective manner. originally filed as 11 CSR 10-12.060. Original rule filed May 16, 2000, effective Nov. 30, 2000. Moved to 11 CSR 30-13.060 and CSR 90-4.060 and amended: Filed March 12, 2021, effective Sept.

11 CSR 90-4.070 Procedure to Obtain Continuing Education Provider Approval for 911 Telecommunicators {#sec-11-csr-90-4.070 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-4.070}

PURPOSE: This rule identifies the procedure to obtain continuing education provider approval.

(1) Any person or entity may apply for continuing education units (CEU) provider approval.

(2) An applicant shall submit to the board a CEU provider approval application. The board’s training committee or other designees may review or request additional information from an applicant.

(3) CEU courses shall relate to one (1) or more of the curricula areas pursuant to 11 CSR 90-4.060.

(4) The board’s training committee or other designees may consider any relevant factor in determining an applicant’s qualifications, including the applicant’s history, facilities and equipment, academic qualifications, financial qualifications, the estimated number of annual graduates, letters of support, and the justification for provider status as opposed to obtaining individual course approval pursuant to 11 CSR 90-4.080.

(5) The board’s training committee or other designees— (A) May request additional information regarding the application and/or conduct a site visit;

(B) Shall review the applicant’s policies and procedures, including attendance and instructor evaluation policies;

(C) Shall review the applicant’s proposed courses, including training objectives, outlines, evaluation plan, and instructor qualifications; and (D) Report its findings to the board’s director and recommend that the board’s director grant or deny the application.

(6) At the board’s director’s request, the board’s training committee or designees shall obtain additional information regarding the application and share this information with the board’s training committee or designees and the board’s training committee or designees shall again recommend that the board’s director grant or deny the application.

(7) The board’s director shall consider the recommendation of the board’s training committee or designees and shall grant or deny the application. The board’s director shall send all application decisions to applicants by certified or registered mail, return receipt requested, and provide the board with the results of the application process.

(8) All new CEU provider approvals shall be issued for an initial period of one (1) year. During this initial period, the board’s training committee or designees shall conduct a programmatic audit of the provider. Following this initial period and any additional one (1) year period under 11 CSR 90-4.100(8)(A), the board’s training committee or designees shall recommend that the board’s director— (A) Issue an additional one (1) year provider approval subject to further audit and review;

(B) Issue a three (3) year provider approval; or (C) Deny the application, in which case the applicant may request to appear before the committee in order to appeal the decision.

(9) The procedure to renew a CEU provider approval shall be as follows:

(A) The applicant shall submit to the board a CEU provider renewal application;

(B) The board’s training committee or designees may conduct a programmatic review of the applicant;

(C) The board’s training committee or designees shall review the renewal application of the CEU provider and recommend that the board’s director grant or deny the renewal application; and (D) The director shall consider the renewal recommendation of its training committee or designees and shall— 1. Request additional information regarding the renewal application;

2. Renew the approval for an additional period of one (1) year subject to further audit and review;

3. Grant a three- (3-) year approval; or 4. Deny the approval.

(10) Any applicant whose application is denied may appeal the denial decision to the board’s chairperson by submitting an appeal by certified or registered mail to Chairperson, Missouri 911 Service Board at PO Box 2126, Jefferson City, MO 65102, or by electronic mail addressed to admin@missouri911.org.

(A) Appeal Deadline. Appeals must be received by the Board’s Chairperson within fourteen (14) calendar days of the date the applicant received the application decision. If the fourteenth day falls on a Saturday, Sunday, or state holiday, the period will extend to the next state business day.

(B) Appeal Requirements. All appeals shall be in writing and include the following information:

1. A copy of the application denial letter;

2. The applicant’s handwritten or electronic signature;

3. A detailed statement of the grounds for the appeal; and 4. Supporting exhibits, evidence, or documents for the appeal.

(C) The board’s chairperson will deny an appeal that does not contain all of the required information or is untimely.

(D) The board’s chairperson will issue a written decision sustaining or denying the appeal and send it to the applicant by registered or certified mail.

(E) If the board’s chairperson sustains the appeal, it will grant the application. If the board denies the appeal, the board will take no further action on the appeal.

History

• AUTHORITY: section 650.340, RSMo Supp. 2020. Original rule filed Jan. 3, 2012, effective Aug. 30, 2012. Moved to 11 CSR 90-4.070 and amended: Filed March 12, 2021, effective Sept. 30, 2021. Original authority: 650.340, RSMo 1999, amended 2007, 2017, 2018.

11 CSR 90-4.080 Procedure to Obtain Approval for an Individual Continuing Education Course for 911 Telecommunicator First Responders {#sec-11-csr-90-4.080 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-4.080}

PURPOSE: This rule identifies the procedure to obtain approval for an individual telecommunicator continuing education unit (CEU) course.

(1) To be eligible to obtain approval for a specific, individual telecommunicator first responder continuing education unit (CEU) course, an applicant must not be the holder of a CEU provider approval.

(2) An applicant shall submit to the board’s training committee or designees a completed individual CEU course application.

The training committee may investigate the applicant or request additional information from the applicant.

(3) CEU courses shall relate to one (1) or more of the curricula areas in 11 CSR 90-4.060.

(4) The board’s training committee or designees may consider any relevant factor in determining the qualification of the applicant and proposed course, including, attendance policy, evaluation plan, training objectives, course outline, and record of instructions of previous courses.

(5) The board’s training committee or designees shall make a recommendation to the board’s director.

(6) The board’s director may— (A) Request additional information regarding the application;

(B) Grant approval of the individual CEU course; or (C) Deny the application.

(7) Any change to the training objectives of an individual CEU course shall require the course to be resubmitted to the board’s training committee or designees in accordance with these guidelines for review and approval of the board’s director.

(8) Any applicant whose application is denied may appeal the denial decision to the board’s chairperson by submitting an appeal by certified or registered mail to Chairperson, Missouri 911 Service Board at PO Box 2126, Jefferson City, MO 65102, or by electronic mail addressed to admin@missouri911.org.

(A) Appeal Deadline. Appeals must be received by the board’s chairperson within fourteen (14) calendar days of the date the applicant received the application decision. If the fourteenth day falls on a Saturday, Sunday, or state holiday, the period will extend to the next state business day.

(B) Appeal Requirements. All appeals shall be in writing and include the following information:

1. A copy of the application denial letter;

2. The applicant’s handwritten or electronic signature;

3. A detailed statement of the grounds for the appeal;

4. Supporting exhibits, evidence, or documents for the appeal.

(C) The board’s chairperson will deny an appeal that does not contain all of the required information or is untimely.

(D) The board’s chairperson will issue a written decision sustaining or denying the appeal and send it to the applicant by registered or certified mail.

(E) If the board’s chairperson sustains the appeal, it will grant the application. If the board denies the appeal, the board will take no further action on the appeal. 4.080 and amended: Filed March 12, 2021, effective Sept. 30, 2021.

11 CSR 90-4.090 Out-of-State, Federal and Organizations or Commercial Entities Continuing Education Credit for 911 Telecommunicator First Responders {#sec-11-csr-90-4.090 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-4.090}

PURPOSE: This rule establishes the process for receiving credit for continuing education from other state or federal agencies and organizations.

(1) The board’s training committee or designees may recognize other state or federal agencies and organizations or commercial entities with standards for continuing education training providers comparable to the standards established pursuant to these rules.

(2) In order to receive credit for attending continuing education unit CEU training recognized by the board’s training committee pursuant to this rule, a telecommunicator first responder shall maintain evidence that— (A) The training was approved for continuing education by the state or federal agency or organization or a commercial entity providing the training or by the state in which the training was located; and (B) The telecommunicator first responder successfully completed the training. 4.090 and amended: Filed March 12, 2021, effective Sept. 30, 2021.

11 CSR 90-4.100 Computer-Based Continuing Education Training for 911 Telecommunicator First Responders {#sec-11-csr-90-4.100 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-4.100}

PURPOSE: This rule establishes the requirements for computerbased training.

(1) Any source approved to provide telecommunicator first responder continuing education unit (CEU) training pursuant to 11 CSR 90-4.050 may offer interactive, computer-based training.

(2) Computer-based training shall meet all requirements of 11 CSR 90-4.060. In addition, the training certificate presented to each trainee shall bear the phrase “Computer-Based Training.”

(3) A computer-based training course shall be considered a complete course outline plan within itself. When a course is no longer available via computer, the provider shall maintain a printed copy of the course outline in the course file or a video copy retained pursuant to 11 CSR 90-4.060(5).

(4) The course administrator shall attest to actual attendance and may ascertain attendance by any reasonably certain method, including tracking by the computer course software, if the tracking meets the standard of this rule. The attendance policy and methodology for ascertaining attendance shall be included in the course record file.

(5) The number of CEU credit hours for a computer-based training course shall be determined by the approved provider. 4.100 and amended: Filed: March 12, 2021, effective Sept. 30, 2021.

11 CSR 90-4.150 Emergency Medical Dispatch Services Requirements {#sec-11-csr-90-4.150 omnilex-key=us-mo-regs-official--title-11--11 CSR 90-4.150}

PURPOSE: This rule prescribes requirements for the provision of Emergency Medical Dispatch Services, including training requirements consistent with changes to section 650.340, RSMo, that became effective August 28, 2023.

(1) For purposes of this rule, the following terms mean— (A) “Board,” the Missouri 911 service board established in

section 650.325, RSMo;

(B) “Call routing,” the reception of emergency calls where the only purpose is to determine the course of direction of routing (police, fire, medical) resulting in rapid transfer of medical callers to the appropriate agency;

(C) “Dispatch agency,” any person or organization that receives requests for emergency medical services from the public, by telephone or other means, and is responsible for dispatching emergency medical services;

(D) “EMD agency,” any business, organization, or government agency, including a dispatch agency and Public Safety Answering Points (PSAP), that is tasked with gathering information related to medical emergencies and the delivery of medical instructions by voice before the arrival of emergency medical services and that is recognized by the board as an emergency medical dispatch agency;

(E) “EMD medical director,” a licensed physician under

Chapter 334, RSMo, who provides EMD medical direction to a dispatch agency, PSAP, or a dispatch agency and PSAP, and works with the local EMS medical director if another person holds that position;

(F) “Emergency,” the sudden and, at the time, unexpected onset of a health condition that manifests itself by symptoms of sufficient severity that would lead to a prudent layperson, possessing an average knowledge of health and medicine, to believe that the absence of immediate medical care could result in— 1. Placing the person’s health, or with respect to a pregnant woman, the health of the woman or her unborn child, in significant jeopardy;

2. Serious impairment to a bodily function;

3. Serious dysfunction of any bodily organ or part; and 4. Inadequately controlled pain;

(G) “Emergency medical dispatcher (EMD),” a person who receives emergency calls from the public and is certified or recertified to have successfully completed an approved emergency dispatch course and Continuing Dispatch Education requirements prescribed by this regulation;

(H) “Emergency medical dispatching,” the reception, evaluation, processing, provision of dispatch life support, management of requests for emergency medical assistance, and participation in ongoing evaluation and improvement of the emergency medical dispatch process. This process includes identifying the nature of the request, prioritizing the severity of the request, dispatching the necessary resources, providing instructions to callers, and coordinating the responding resources as needed but does not include call routing per se;

(I) “Emergency Medical Dispatch Priority Reference System (EMDPRS),” a board approved and EMD medical director approved system that includes the protocol used by an EMD in a dispatch agency, PSAP, or dispatch agency and PSAP to dispatch aid to medical emergencies that includes systematized caller interrogation questions, systematized instructions, and systematized coding protocols that match the EMD’s evaluation of the injury or illness severity with the vehicle response mode and vehicle response configuration; continuous quality improvement program that measures compliance to protocol through ongoing random case review for each EMD; and a training curriculum and testing process consistent with the specific EMDPRS protocol used by the dispatch agency, PSAP, or dispatch agency and PSAP;

(J) “Instructions,” the scripted medical aid and safety instructions provided in response to critical medical situations;

(K) “National standards,” the following standards related to emergency medical dispatch programs and EMDs— 1. “ASTM F1258-95 (2022) Standard Practice for Emergency Medical Dispatch,” published by ASTM International, 100 Barr Harbor Dr., West Conshohocken, PA 19428-2959, last updated September 7, 2022;

2. “ASTM F1552-94 (2016) Standard Practice for Training Instructor Qualification and Certification Eligibility of Emergency Medical Dispatchers,” published by ASTM International, 100 Barr Harbor Dr., West Conshohocken, PA 19428-2959, last updated December 27, 2016;

3. “ASTM F1560-00 (2022) Standard Practice for Emergency Medical Dispatch Management,” published by ASTM International, 100 Barr Harbor Dr., West Conshohocken, PA 19428-2959, last updated September 7, 2022;

4. “Emergency Medical Dispatch. National Standard Curriculum. Instructor Guide. Trainee Guide,” of the National Highway Traffic Safety Administration (DOT), Washington, DC;

Health Resources and Services Administration (DHHS/PHS), Washington, DC, Maternal and Child Health Bureau. Published in February 1996 by the U.S. Government Publishing Office, Superintendent of Documents, Mail Stop: SSOP, Washington DC 20402-9328. Available at https://files.eric.ed.gov/fulltext/ ED425308.pdf;

5. “2018 American Heart Association Focused Update on Advanced Cardiovascular Life Support Use of Antiarrhythmic Drugs During and Immediately After Cardiac Arrest: An Update to the American Heart Association Guidelines for Cardiopulmonary Resuscitation and Emergency Cardiovascular Care,” republished on December 4, 2018, by the American Heart Association, 7272 Greenville Ave., Dallas, TX 75231. Available at https://www. ahajournals.org/doi/full/10.1161/CIR.0000000000000613;

6. “Highlights of the 2020 American Heart Association Guidelines for CPR and ECC,” published in 2020 by the American Heart Association, 7272 Greenville Ave., Dallas, TX 75231; and 7. “2020 American Heart Association Guidelines for CPR and ECC,” published in 2020 by the American Heart Association, 7272 Greenville Ave., Dallas, TX 75231;

(L) “Public Safety Answering Points (PSAP),” the location at which 911 calls are answered, including primary and secondary Public Safety Answering Points, also known as Emergency Communication Centers;

(M) “Quality Assurance and Improvement Program (QAAIP),” a program approved by the EMD Medical Director and administered by the dispatch agency, PSAP, or dispatch agency and PSAP for the purpose of ensuring safe, efficient, and effective performance of EMDs in regard to their use of the EMDPRS and patient care advice provided. This program shall include, at a minimum, the random case review evaluating EMD performance, feedback of EMDPRS compliance levels to EMDs, related Continuing Dispatch Education, and submission of compliance data to the EMD medical director.

(2) The board’s authority and responsibilities shall include— (A) Determining acceptable EMD training programs to be used to certify and recertify EMDs;

(B) Setting minimum training and Continuing Dispatch Education requirements that meet national standards for EMD certification and recertification; and (C) Evaluating and approving EMD training and Continuing Dispatch Education programs based on national standards.

(3) All EMD agencies shall have an EMD medical director, utilize a EMDPRS and have a QAAIP. The board shall identify preapproved, standardized EMDPRS’s for selection and use by local EMD agencies. The board shall recognize all dispatch agencies and PSAPs that meet these requirements as EMD agencies.

(4) EMD training programs shall be based on an EMDPRS and a board-approved curriculum that includes a board-approved examination which tests for competency in the specific EMDPRS taught in the program. All such programs shall be conducted in accordance with national standards.

(5) A business, organization, or government agency, including a dispatch agency or PSAP, may not represent itself as an EMD agency unless it is recognized by the board as an EMD agency.

History

• AUTHORITY: sections 650.330 and 650.340, RSMo Supp. 2024. Original rule filed May 1, 2024, effective Nov. 30, 2024. Original authority: 650.330, RSMo 1997, amended 1999, 2017, 2018, 2019, 2023, and 650.340, RSMo 1999, amended 2007, 2017, 2018, 2023.