Ohio Adm.Code 3772 | Ohio Administrative Code 3772 — Ohio Casino Control Commission

Chapter 3772-1 General Provisions

Ohio Adm.Code 3772-1-01 Definitions.

(A) Except as provided in paragraph (B) of this rule, the words and terms defined in section 3772.01 of the Revised Code are used in the rules adopted thereunder as defined in that section.

(B) The following words and terms, when used in agency 3772 of the Administrative Code with respect to casino gaming, have the following meanings, unless the context clearly indicates otherwise:

(1) "Application" means the total written materials, including the instructions, forms, and other documents issued by the commission, comprising the applicant's request for a license.

(2) "Casino operator" means "casino operator" and "management company" as those terms are defined in section 3772.01 of the Revised Code.

(3) "Chairperson" means the chairperson of the commission.

(4) "Conduct" means to back, promote, organize, manage, carry on, sponsor, or prepare for the operation of casino gaming at a casino facility.

(5) "Control" means the power and ability to exercise authority over, or to direct the management and policies of, another person.

(6) "Indirect interest" means any interest in any other person that is deemed to be held by the holder, not through the holder's actual holdings in the person, but through the holder's holdings in any other person.

(7) "Individual" means any natural person.

(8) "Internal control system" means the administrative and accounting controls designed and utilized by a casino operator for the purpose of exercising control over the casino.

(9) "License" means the complete and approved written document issued by the commission that indicates that an applicant has been chosen for licensure and has met all of the requirements set forth in Chapter 3772. of the Revised Code and the rules adopted thereunder.

(10) "Licensee" means any person who is licensed under the provisions of Chapter 3772. of the Revised Code.

(11) "Participate in conducting" means:

(a) To have a part in or a share of the backing, promoting, offering, organizing, managing, carrying on, sponsoring, or preparing the operation of casino gaming, including leasing an interest in a casino facility to a casino operator; or

(b) To manufacture, distribute, sell, lease, or otherwise supply or provide casino gaming equipment, goods, or services.

(12) "Provisional license" means a written document issued by the commission that indicates that an applicant for a key employee or a casino gaming employee license has been chosen for temporary licensure in accordance with the requirements and conditions set forth in Chapter 3772. of the Revised Code and the rules adopted thereunder.

(13) "Provisional license period" means any of the following, whichever is the shortest length of time:

(a) The period of time between the issuance of a provisional license and the issuance of a license or the issuance of a notice of intent to deny a license;

(b) Three months from the date of issuance if the commission does not renew the provisional license; or

(14) "Publicly traded company" means a corporation or other legal entity, except a natural person, that:

(a) Has one or more classes of security registered pursuant to section 12 of the Securities Exchange Act of 1934, (15 U.S.C. 781), or has executed a registration rights statement for registration at a future date; or

(b) Is required to file reports under section 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78o(d)); or

(c) Has one or more classes of securities traded in any open market in any foreign jurisdiction or regulated pursuant to a statute of any foreign jurisdiction that the commission determines to be substantially similar to either or both of the aforementioned federal statutes.

(15) "Wager" means a sum of money or thing of value risked in a casino game at a casino facility.

Last updated August 2, 2021 at 1:20 PM

History

Effective: August 2, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-1-02 Authority and purpose.

(A) The rules adopted by the commission at a meeting held under section 3772.02 of the Revised Code with respect to casino gaming are done so pursuant to Chapter 3772. of the Revised Code.

(B) The purpose of casino gaming rules is to ensure the integrity of casino gaming conducted in the state of Ohio.

Last updated August 12, 2021 at 2:05 PM

History

Effective: August 2, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-1-04 Waivers and variances.

(A) The commission may, in its sole and absolute discretion, waive or grant a variance from the provisions of casino gaming rules adopted by the commission upon either its own motion or a person's written request, if the commission determines that the waiver or variance is in the best interests of the public. Any such waiver or variance must be considered by the commission at a meeting held under section 3772.02 of the Revised Code, unless the authority to decide upon the waiver or variance has been delegated to the executive director.

(B) In granting any waiver or variance authorized by this rule, the commission may impose certain conditions and restrictions. Failure to comply with the conditions or restrictions contained in the approved waiver or variance will immediately render the approval void and may result in discipline or other formal action as if the waiver or variance had never been granted.

(C) An applicant whose application for casino gaming licensure has been denied or a casino gaming licensee whose license has been revoked may not reapply for casino gaming licensure under Chapter 3772. of the Revised Code for a period of three years from the date of denial or revocation. Upon written request, the executive director may grant a waiver for reapplication if the requestor can demonstrate that the reason the casino gaming application was denied or the casino gaming license was revoked no longer exists or bars suitability for licensure.

(D) Denial or modification of any waiver or variance request submitted under this rule will not require notice and an opportunity for hearing nor will it be considered an adjudication or final appealable order for purposes of Chapter 119. or section 2505.03 of the Revised Code. Such denial or modification will not be considered by the commission during any determination of the rights, duties, privileges, or benefits of legal relationships of the requestor.

Last updated August 2, 2021 at 1:20 PM

History

Effective: August 2, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-1-05 Construction.

(A) The casino gaming rules adopted by the commission are to be construed in accordance with generally accepted principles of statutory construction, including those set forth in this chapter.

(B) Any ambiguity is to be resolved in favor of the interpretation that would provide:

(1) The greater assurance of integrity in either the operation or regulation of casino gaming; or

(2) Heightened public confidence in the regulation or regulatory processes relating to casino gaming.

(C) Nothing contained in the casino gaming rules is to be construed to limit the powers and duties of the commission as provided in the Revised Code or to conflict with any provision of the Revised Code or of any other applicable law.

(D) If any provision of the casino gaming rules is held invalid, that holding is not to be construed to invalidate any other provisions of agency 3772 of the Administrative Code.

Last updated August 12, 2021 at 2:05 PM

History

Effective: August 2, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-1-06 Minimum licensure requirements.

(A) The commission will issue a license under the authority granted by the Revised Code if the applicant has demonstrated suitability for licensure by clear and convincing evidence and all other requirements under the Revised Code and the rules adopted thereunder have been satisfied.

(B) No license issued by the commission establishes a minimum educational or experiential requirement for licensure.

(C) Consideration of natural-person licensure for service members, veterans, or spouses or surviving spouses of service members will be tracked, prioritized, and expedited. To do so, the commission will collect information from service members, veterans, or spouses or surviving spouses of service members or veterans who are seeking natural-person licenses issued by the commission.

Last updated August 2, 2021 at 1:20 PM

History

Effective: August 2, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-1-07 Records retention requirements.

(A) Unless otherwise required by Chapter 3772. of the Revised Code or any rules adopted thereunder, each casino operator, holding company, and gaming-related vendor must retain and maintain, in a place secure from theft, loss, or destruction, whether in electronic or other format, accurate, complete, and legible books, forms, records, documents, and stored data relating to its business and accounting operations for at least five years after they are made, including, but not limited to:

(1) Information related to the conduct of casino gaming in this state;

(2) The business and organizational structure;

(3) Correspondence with or by, or reports to or from, the commission or any local, state, or federal governmental agency, foreign and domestic;

(4) Any acquisition, construction, remodeling, or maintenance of a proposed or existing casino facility in this state;

(5) All transactions and other records related to the lease, purchase, installation, operation, maintenance, or repair of gaming-related equipment stored, used, operated, possessed, or otherwise maintained at one or more casino facilities in this state;

(6) Financial statements, accounting records, ledgers, and internal and external audit records;

(7) The personnel files for all employees;

(8) Any materials used to advertise, publicize, or otherwise promote casino gaming occurring in this state; and

(9) Any other books, records or documents the commission or executive director, or duly authorized designee thereof, requires, in writing, to be retained and maintained.

(B) Each casino operator, holding company, and gaming-related vendor must organize and index all required books, forms, records, documents, and stored data in a manner that enables the commission to locate, inspect, review, and analyze them.

(C) Each casino operator, holding company, and gaming-related vendor must, upon request, provide the commission with the books, forms, records, documents, and stored data required to be retained and maintained.

(D) Nothing in this rule should be construed to require disclosure of a record that is protected by the attorney-client privilege as long as the casino operator, holding company, or gaming-related vendor provides the commission with written notification of the record's existence. Any such notification must also include a general description of the record's contents and the basis for the privilege.

Last updated August 2, 2021 at 1:20 PM

History

Effective: August 2, 2021
Promulgated Under: 119.03

Chapter 3772-2 Ohio Casino Control Commission

Ohio Adm.Code 3772-2-01 Organization.

(A) The commission consists of seven members appointed by the governor with the advice and consent of the senate, an executive director, and staff.

(B) The officers of the commission include a chairperson and a vice-chairperson who are members of the commission, and an executive director who is not a member of the commission.

(1) The chairperson schedules and presides at all meetings of the commission; appoints the members of the commission to such committees as the commission may, from time to time, establish; has the authority to accept for filing all license applications; has the authority to incur on behalf of the commission such expenses as the commission has approved in its operating budget; has general supervision, direction, and control of the affairs of the commission; and performs such other duties as are incidental to the office and as may be assigned, from time to time, by the commission.

(2) The vice-chairperson is a member of the commission from a different party than the chairperson and is selected by the commission members at a meeting held under section 3772.02 of the Revised Code. The vice-chairperson possesses such powers and performs such duties as may be assigned, from time to time, by the commission. In the absence or inability of the chairperson to serve or in the event of a vacancy in the office of chairperson, the vice-chairperson is empowered to carry out all of the responsibilities of the chairperson.

(3) The executive director is appointed by the commission and serves at its pleasure. The executive director is responsible for keeping all commission records and supervising and administering all industries under the agency's purview in accordance with the Revised Code and commission rules adopted thereunder.

Last updated August 2, 2021 at 10:30 AM

History

Effective: August 2, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-2-02 Commission procedure.

(A) Except as established by the Revised Code, the commission determines its practices and internal rules of procedure.

(B) In the absence of contrary action by the commission, the most current version of Robert's Rules of Order Newly Revised will apply unless in conflict with the Revised Code.

Last updated August 2, 2021 at 10:31 AM

History

Effective: August 2, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-2-03 Commission meetings.

(A) All meetings held under section 3772.02 of the Revised Code are open to the public in accordance with Ohio's Open Meetings Act, except as otherwise allowed by law.

(B) Any commission member may place an item on the agenda for consideration at a meeting held under section 3772.02 of the Revised Code.

(C) At any meeting held under section 3772.02 of the Revised Code, the presence of five members of the commission constitutes a quorum for the transaction of official business.

(D) Any action may be effected at a meeting held under section 3772.02 of the Revised Code upon a motion that is considered by the attending members and passed with not fewer than four affirmative votes.

(E) Matters that are acted upon during a meeting held under section 3772.02 of the Revised Code will be memorialized in the form of a resolution or placed in the official minutes of the meeting, both of which are subject to approval of the attending members, and will be maintained by the executive director in accordance with Ohio's Public Records Act.

Last updated August 2, 2021 at 10:31 AM

History

Effective: August 2, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-2-04 Requests to address the commission.

(A) Unless otherwise authorized by the executive director, any person who wishes to address the commission members at a meeting held under section 3772.02 of the Revised Code must submit a written request to the executive director at least five business days before the scheduled meeting.

(B) The written request must contain, at a minimum, the following information:

(1) The name of the person wishing to address the members;

(2) The person's representative, if applicable;

(3) The issue about which the person wishes to address the members;

(4) The amount of time the person requests;

(5) The mailing and electronic mail addresses and telephone number at which the person may be reached.

(C) The person requesting an allotment of time must submit to the executive director at least three business days before the meeting any documentation supporting the person's position and that the person wants the members to review. The executive director may require the person to supplement the written request, submit additional supporting documentation, or provide copies of any of the materials for distribution to the members.

(D) The executive director may deny any request if the person fails to comply with paragraph (A), (B), or (C) of this rule.

(E) The executive director will notify the requesting person once a decision has been made regarding whether the request is granted or denied.

(F) If the executive director denies a person's request, the members will be informed of the request and the denial and will receive any written information submitted by the person to the commission.

(G) The executive director may waive the time requirements set forth in paragraphs (A) and (C) of this rule if one of the following circumstances exists:

(1) The executive director determines that the issue the person will discuss is of such import that it is in the best interest of the public to waive the time requirements; or

(2) The timing of the announcement date of the meeting makes it impossible for the person requesting to meet the time requirements.

(H) The chairperson may impose such procedural and subject matter restrictions as deemed appropriate.

Last updated August 2, 2021 at 10:31 AM

History

Effective: August 2, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-2-05 Delegation of commission authority.

(A) The commission members may, in their discretion and where permitted by law, delegate the authority to perform any of the agency's functions. Except as provided in paragraph (D) of this rule, such action will for all purposes be deemed the final action of the commission, without approval, ratification or other further action by the members.

(B) Any delegation of authority will be effected through formal action at a meeting held under section 3772.02 of the Revised Code. Such action must be memorialized in the manner described in paragraph (E) of rule 3772-2-03 of the Administrative Code.

(C) All delegations of authority made pursuant to this rule will remain in effect indefinitely, unless otherwise specified. Any delegation of authority previously approved may be revoked or modified through subsequent member action at a meeting held under section 3772.02 of the Revised Code.

(D) Any determination made pursuant to delegated authority may be reviewed by the members. Any such determination is deemed final unless modified or reversed by member action at a meeting held under section 3772.02 of the Revised Code.

(E) Notwithstanding any other provision of this rule, any matter that has been delegated may alternatively be presented to and determined by the members on their own motion, at the discretion of the chairperson, or upon the request of the executive director.

Last updated August 2, 2021 at 10:31 AM

History

Effective: August 2, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-2-06 Subpoena power.

(A) In the discharge of any duties imposed by the Revised Code, the commission may require that testimony be given under oath and administer such oath, issue subpoenas compelling the attendance of witnesses and the production of any papers, books, and accounts, and cause the deposition of any witness.

(B) In the event of the refusal of any person without good cause to comply with the terms of a subpoena issued by the commission or the refusal to testify on matters about which the person may lawfully be questioned:

(1) The commission may petition the prosecuting attorney of the county in which such person resides to bring a proceeding for contempt against such person in the court of common pleas of that county; and

(2) The commission may discipline any applicant or licensee, in accordance with the Revised Code and commission rules adopted thereunder, for failing or refusing to submit to a properly issued subpoena.

Last updated August 2, 2021 at 10:32 AM

History

Effective: August 2, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-2-07 Ethics and code of conduct.

(A) The commission will create, maintain, and, as needed, update a code of conduct governing commission members, the executive director, and staff, as well as those doing or seeking to do business with, interested in matters before, or regulated by the commission. The code of conduct and any updates thereto will be approved at a meeting held under section 3772.02 of the Revised Code.

(B) Commission members, the executive director, and staff must comply with Chapter 102. and sections 2921.42 and 2921.43 of the Revised Code, as well as any advice provided by the Ohio ethics commission and decisions by courts of competent jurisdiction that interpret these statutes. Further, they must abide by the code of conduct described in paragraph (A) of this rule.

Last updated August 2, 2021 at 10:32 AM

History

Effective: August 2, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-2-08 Definitions.

For the purposes of administrative rules promulgated in accordance with section 1347.15 of the Revised Code, the following definitions apply:

(A) "Access" as a noun means an instance of copying, viewing, or otherwise perceiving whereas "access" as a verb means to copy, view, or otherwise perceive.

(B) "Acquisition of a new computer system" means the purchase of a "computer system," as defined in this rule, that is not a computer system currently in place nor one for which the acquisition process has been initiated as of the effective date of the agency rule addressing requirements in section 1347.15 of the Revised Code.

(D) "Computer system" means a "system," as defined by section 1347.01 of the Revised Code, that stores, maintains, or retrieves personal information using electronic data processing equipment.

(E) "Confidential personal information" (CPI) has the meaning as defined by division (A)(1) of section 1347.15 of the Revised Code and identified by rules promulgated by the agency in accordance with division (B)(3) of section 1347.15 of the Revised Code that reference the federal or state statutes or administrative rules that make personal information maintained by the agency confidential.

(F) "Employee of the state agency" means each employee of a state agency regardless of whether he/she holds an elected or appointed office or position within the state agency. "Employee of the state agency" is limited to the specific employing state agency.

(G) "Incidental contact" means contact with the information that is secondary or tangential to the primary purpose of the activity that resulted in the contact.

(H) "Individual" means a natural person or the natural person's authorized representative, legal counsel, legal custodian, or legal guardian.

(I) "Information owner" means the individual appointed in accordance with division (A) of section 1347.05 of the Revised Code to be directly responsible for a system.

(J) "Person" means a natural person.

(K) "Personal information" has the same meaning as defined in division (E) of section 1347.01 of the Revised Code.

(L) "Personal information system" means a "system" that "maintains" "personal information" as those terms are defined in section 1347.01 of the Revised Code. "System" includes manual and computer systems.

(M) "Research" means a methodical investigation into a subject.

(N) "Routine" means commonplace, regular, habitual, or ordinary.

(O) "Routine information that is maintained for the purpose of internal office administration, the use of which would not adversely affect a person" as that phrase is used in division (F) of section 1347.01 of the Revised Code means personal information relating to employees and maintained by the agency for internal administrative and human resource purposes.

(P) "System" has the same meaning as defined by division (F) of section 1347.01 of the Revised Code.

(Q) "Upgrade" means a substantial redesign of an existing computer system for the purpose of providing a substantial amount of new application functionality, or application modifications that would involve substantial administrative or fiscal resources to implement, but would not include maintenance, minor updates and patches, or modifications that entail a limited addition of functionality due to changes in business or legal requirements.

Last updated May 28, 2026 at 9:31 AM

History

Effective: October 1, 2016
Promulgated Under: 119.03

Ohio Adm.Code 3772-2-09 Procedures for accessing confidential personal information.

For personal information systems, whether manual or computer systems, that contain confidential personal information, the agency shall do the following:

(A) Criteria for accessing confidential personal information. Personal information systems of the agency are managed on a "need-to-know" basis whereby the information owner determines the level of access required for an employee of the agency to fulfill his/her job duties. The determination of access to confidential personal information shall be approved by the employee's supervisor and the information owner prior to providing the employee with access to confidential personal information within a personal information system. The agency shall establish procedures for determining a revision to an employee's access to confidential personal information upon a change to that employee's job duties including, but not limited to, transfer or termination. Whenever an employee's job duties no longer require access to confidential personal information in a personal information system, the employee's access to confidential personal information shall be removed.

(B) Individual's request for a list of confidential personal information. Upon the signed written request of any individual for a list of confidential personal information about the individual maintained by the agency, the agency shall do all of the following:

(1) Verify the identity of the individual by a method that provides safeguards commensurate with the risk associated with the confidential personal information;

(2) Provide to the individual the list of confidential personal information that does not relate to an investigation about the individual or is otherwise not excluded from the scope of Chapter 1347. of the Revised Code; and

(3) If all information relates to an investigation about that individual, inform the individual that the agency has no confidential personal information about the individual that is responsive to the individual's request.

(1) Upon discovery or notification that confidential personal information of a person has been accessed by an employee for an invalid reason, the agency shall notify the person whose information was invalidly accessed as soon as practical and to the extent known at the time. However, the agency shall delay notification for a period of time necessary to ensure that the notification would not delay or impede an investigation or jeopardize homeland or national security. Additionally, the agency may delay the notification consistent with any measures necessary to determine the scope of the invalid access, including which individuals' confidential personal information invalidly was accessed, and to restore the reasonable integrity of the system.

"Investigation" as used in this paragraph means the investigation of the circumstances and involvement of an employee surrounding the invalid access of the confidential personal information. Once the agency determines that notification would not delay or impede an investigation, the agency shall disclose the access to confidential personal information made for an invalid reason to the person.

(2) Notification provided by the agency shall inform the person of the type of confidential personal information accessed and the date(s) of the invalid access.

(3) Notification may be made by any method reasonably designed to accurately inform the person of the invalid access, including written, electronic, or telephone notice.

(D) Appointment of a data privacy point of contact. The agency's executive director shall designate an employee of the agency to serve as the data privacy point of contact. The data privacy point of contact shall work with the chief privacy officer within the office of information technology to assist the agency with both the implementation of privacy protections for the confidential personal information that the agency maintains and compliance with section 1347.15 of the Revised Code and the rules adopted pursuant to the authority provided by that chapter.

(E) Completion of a privacy impact assessment. The agency's executive director shall designate an employee of the agency to serve as the data privacy point of contact who shall timely complete the privacy impact assessment form developed by the office of information technology.

Last updated May 28, 2026 at 9:31 AM

History

Effective: June 30, 2012
Promulgated Under: 119.03

Ohio Adm.Code 3772-2-10 Valid reasons for accessing confidential personal information.

Pursuant to the requirements of division (B)(2) of section 1347.15 of the Revised Code, this rule contains a list of valid reasons, directly related to the agency's exercise of its powers or duties, for which only employees of the agency may access confidential personal information (CPI) regardless of whether the personal information system is a manual system or computer system:

(A) Performing the following functions constitute valid reasons for authorized employees of the agency to access confidential personal information:

(1) Responding to a public records request;

(2) Responding to a request from an individual for the list of CPI the agency maintains on that individual;

(3) Administering a constitutional provision or duty;

(4) Administering a statutory provision or duty;

(5) Administering an administrative rule provision or duty;

(6) Complying with any state or federal program requirements;

(7) Processing or payment of claims or otherwise administering a program with individual participants or beneficiaries;

(8) Auditing purposes;

(9) Licensure, certification, registration, filing or eligibility processes;

(10) Investigation or law enforcement purposes;

(11) Administrative hearings;

(12) Litigation, complying with an order of the court, or subpoena;

(13) Human resource matters (e.g., hiring, promotion, demotion, discharge, salary/compensation issues, leave requests/issues, and time card approvals/issues);

(14) Complying with an executive order or policy;

(15) Complying with an agency policy or a state administrative policy issued by the department of administrative services, the office of budget and management or other similar state agency;

(16) Complying with a collective bargaining agreement provision; or

(17) Any other reason the executive director documents is necessary for the agency to carry out its duties to regulate the industries over which it has authority or jurisdiction.

Last updated August 2, 2021 at 10:32 AM

History

Effective: August 2, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-2-11 Confidentiality statutes.

The following federal statutes or regulations or state statutes and administrative rules make personal information maintained by the agency confidential and identify the confidential personal information within the scope of rules promulgated by this agency in accordance with section 1347.15 of the Revised Code:

(A) Social security numbers: Privacy Act, 5 U.S.C. 552a (2010), unless not otherwise designated as confidential information by section 3772.16 of the Revised Code and the individual was told that the number would be disclosed.

(B) "Bureau of Criminal Investigation and Information" criminal records check results: sections 3772.07, 3772.16, and 4776.04 of the Revised Code.

(C) All information designated by sections 3772.16 and 3774.08 of the Revised Code as confidential and not subject to disclosure as a record under section 149.43 of the Revised Code, unless waived by the individual.

Last updated August 2, 2021 at 10:32 AM

History

Effective: August 2, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-2-12 Restricting and logging access to confidential personal information in computerized personal information systems.

For personal information systems that are computer systems and contain confidential personal information, the agency shall do the following:

(A) Access restrictions. Access to confidential personal information that is kept electronically shall require a password or other authentication measure.

(B) Acquisition of a new computer system. When the agency acquires a new computer system that stores, manages or contains confidential personal information, the agency shall include a mechanism for recording specific access by employees of the agency to confidential personal information in the system.

(C) Upgrading existing computer systems. When the agency modifies an existing computer system that stores, manages or contains confidential personal information, the agency shall make a determination whether the modification constitutes an upgrade. Any upgrades to a computer system shall include a mechanism for recording specific access by employees of the agency to confidential personal information in the system.

(D) Logging requirements regarding confidential personal information in existing computer systems.

(1) The agency shall require employees of the agency who access confidential personal information within computer systems to maintain a log that records that access.

(2) Access to confidential information is not required to be entered into the log under the following circumstances:

(a) The employee of the agency is accessing confidential personal information for official agency purposes, including research, and the access is not specifically directed toward a specifically named individual or a group of specifically named individuals.

(b) The employee of the agency is accessing confidential personal information for routine office procedures and the access is not specifically directed toward a specifically named individual or a group of specifically named individuals.

(c) The employee of the agency comes into incidental contact with confidential personal information and the access of the information is not specifically directed toward a specifically named individual or a group of specifically named individuals.

(d) The employee of the agency accesses confidential personal information about an individual based upon a request made under either of the following circumstances:

(i) The individual requests confidential personal information about himself/herself.

(ii) The individual makes a request that the agency takes some action on that individual's behalf and accessing the confidential personal information is required in order to consider or process that request.

(3) For purposes of this paragraph, the agency may choose the form or forms of logging, whether in electronic or paper formats.

(E) Log management. The agency shall issue a policy that specifies the following:

(1) Who shall maintain the log;

(2) What information shall be captured in the log;

(3) How the log is to be stored; and

(4) How long information kept in the log is to be retained.

Nothing in this rule limits the agency from requiring logging in any circumstance that it deems necessary.

Last updated May 28, 2026 at 9:31 AM

History

Effective: June 30, 2012
Promulgated Under: 119.03

Chapter 3772-3 Institutional Investors and Records Retention

Ohio Adm.Code 3772-3-01 Institutional investor suitability or qualification.

(A) To be presumed suitable or qualified as an institutional investor, an entity must submit to the commission:

(1) Documentation sufficient to establish qualifications as an institutional investor; and

(2) A completed certification form, as prescribed by the commission.

(B) The commission may request any other information that would affect an entity's suitability or qualification as an institutional investor under Chapter 3772. of the Revised Code and any rules adopted thereunder.

(C) An entity should clearly identify those portions of the information submitted to the commission that the entity deems confidential, proprietary commercial information, trade secrets, or otherwise not subject to disclosure as a public record under Ohio law. Information provided as part of the suitability or qualification process is open to public inspection to the extent permitted by Ohio's Public Records Act and section 3772.16 of the Revised Code.

Last updated October 29, 2024 at 8:16 AM

History

Effective: October 26, 2024
Promulgated Under: 119.03

Ohio Adm.Code 3772-3-02 Passive behavior.

(A) Any investor in a casino operator, management company, holding company, or gaming-related vendor that falls below the threshold needed to be considered a holding company or institutional investor must not:

(1) Exercise influence over the affairs of the casino operator, management company, holding company, or gaming-related vendor;

(2) Use or authorize the use of authority or influence of its employees, members, or owners to secure anything of value or the promise or offer of anything of value that is of such character as to manifest a substantial and improper influence in relation to casino gaming in this state; or

(3) Participate in any other conduct in relation to the operation of casino gaming that the executive director considers inconsistent with passive institutional investment status.

(B) Any investor failing to comply with this rule will no longer be considered a passive investor.

Last updated January 3, 2022 at 10:41 AM

History

Effective: January 3, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-3-03 Duty to update information.

An institutional investor must notify the commission within ten calendar days of any of the following changes or occurrences:

(A) Any increase in its percentage ownership of the securities of or any intent to exercise influence over the affairs of a casino operator, management company, holding company, or gaming-related vendor that would affect the entity's presumption of suitability or qualification as an institutional investor;

(B) Any changes to its name or to its state of incorporation or principal place of business;

(C) Any inquiry into, investigation of, or action filed against the entity by any gaming regulatory agency or authority or other governmental agency or authority, except for routine renewal reviews;

(D) Any rejection, suspension, revocation, or denial of any institutional investor process by any gaming regulatory agency or authority, and any fine, penalty, or settled amount relating to any institutional process or gaming-related license imposed upon or agreed to by the entity in any jurisdiction; or

(E) Any other information that would affect the entity's suitability or qualifications as an institutional investor under Chapter 3772. of the Revised Code and the rules adopted thereunder.

Last updated January 3, 2022 at 10:41 AM

History

Effective: January 3, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-3-04 Rescission of designation as an institutional investor.

The commission may rescind any institutional investor designation if:

(A) The institutional investor exercises or intends to exercise influence over the affairs of the casino operator, management company, holding company, or gaming-related vendor.

(B) Upon rescission of a designation as an institutional investor, an entity must submit information required by the commission within thirty days and undergo a suitability background evaluation.

(C) This rule does not preclude the commission from investigating the suitability or qualifications of an institutional investor if the commission becomes aware of facts or information that may result in the institutional investor being found unsuitable or disqualified as an institutional investor.

Last updated January 3, 2022 at 10:41 AM

History

Effective: January 3, 2022
Promulgated Under: 119.03

Chapter 3772-4 Casino Operator, Management Company, and Holding Company Licenses

Ohio Adm.Code 3772-4-01 Instructions for the casino operator, management company, and holding company license application.

The following instructions apply to the application for a license as a casino operator, management company, or holding company:

(A) Applicants for a license are seeking a privilege.

(B) The burden of proving qualifications to receive such a license is at all times borne by the applicant.

(D) The applicant is under a continuing duty to promptly disclose any changes in the information provided in the application and requested materials submitted to the commission. The duty to make such disclosures continues throughout any period of the license that is granted by the commission.

(E) If additional pages are required in order to answer any question, additional pages may be used and must be attached to the application form. Be sure to indicate the number(s) of the question(s) being answered and initial and date each additional page. Some schedules may require disclosure of information for more than one individual or entity or type of information.

(F) Failure to answer any question completely or truthfully may result in administrative action, including rejection or denial of the application or revocation of the license.

(G) An applicant should clearly identify those portions of the application that it deems to be confidential, proprietary commercial information or trade secrets. Applications are open to public inspection to the extent permitted by Ohio's Public Records Act and section 3772.16 of the Revised Code.

(H) Appendices are to be provided by the applicant. The required appendices are listed on the application checklist.

(I) A license expires three years after the date of licensure. A complete renewal application must be filed not less than one hundred eighty days prior to the expiration of the license.

Last updated October 29, 2024 at 8:16 AM

History

Effective: October 26, 2024
Promulgated Under: 119.03

Ohio Adm.Code 3772-4-03 Application fees.

(A) Except as provided in division (C) of section 3772.17 of the Revised Code, an applicant for an initial or new casino operator, management company, or holding company license must pay a nonrefundable application fee of one million five hundred thousand dollars for each application.

(B) Except as provided in division (C) of section 3772.17 of the Revised Code, an applicant for a renewal casino operator, management company, or holding company license must pay a nonrefundable application fee of five hundred thousand dollars for each application.

(C) The application fee for a casino operator, management company, or holding company license may be increased to the extent that the cost of the investigation and review relating to an applicant exceeds the application fee set forth in paragraphs (A) and (B) of this rule. The executive director will advise the applicant in writing that an additional application fee is required. Once an applicant is directed to submit an additional application fee, the commission will not issue a casino operator, management company, or holding company license until the increased application fee is paid in accordance with paragraph (D) of this rule.

(D) Unless otherwise approved by the executive director, all fees must be submitted in the form of an electronic funds transfer payable to the treasurer of the state of Ohio.

Last updated August 2, 2021 at 10:33 AM

History

Effective: August 2, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-4-04 License fees.

(A) Upon a determination by the commission at a meeting held under section 3772.02 of the Revised Code that an applicant for an initial casino operator license is eligible to be issued a license, the applicant must pay an upfront, nonrefundable license fee of fifty million dollars for each casino facility.

(B) Except as provided in division (B) of section 3772.17 of the Revised Code, upon a determination by the commission at a meeting held under section 3772.02 of the Revised Code that an applicant for a new or renewal casino operator, management company, or holding company license is eligible to be issued a license, the applicant must pay a nonrefundable license fee of one million five hundred thousand dollars for each casino facility.

(C) Unless otherwise approved by the executive director, all fees must be submitted in the form of an electronic funds transfer payable to the treasurer of the state of Ohio.

Last updated August 2, 2021 at 10:34 AM

History

Effective: August 2, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-4-05 Affirmative license standards.

(A) An applicant for a casino operator, management company, or holding company license must establish, by clear and convincing evidence, the applicant's suitability for licensure.

(B) An applicant for a casino operator, management company, or holding company license must establish, by clear and convincing evidence, the suitability of all holding companies.

(C) An applicant for a casino operator, management company, or holding company license must establish, by clear and convincing evidence, the qualification and suitability of individuals holding the following or equivalent positions:

(1) Chief executive officer;

(2) Chief operating officer;

(3) Chief financial officer;

(4) Controller;

(5) Principal accounting officer;

(6) General counsel or chief legal officer;

(7) Chief compliance officer;

(8) Director of the applicant or its holdings companies;

(9) Member or partner;

(10) General manager of the casino facility; and

(11) Any other office or position that, as determined by the commission, exercises significant influence over the operations of the applicant or its holding companies.

(D) An applicant for a casino operator, management company, or holding company license must establish, by clear and convincing evidence, the suitability of any other individual who holds more than five percent ownership interest in the applicant, who exercises significant influence over the casino operations in this state, who directly or indirectly controls the applicant, or any other individual identified by the commission.

(E) In determining whether to grant, maintain, or renew a casino operator, management company, or holding company license, the commission will evaluate and consider the following factors in addition to those set forth in Chapter 3772. of the Revised Code:

(1) The reputation and business experience of the applicant and its holding companies;

(2) Whether the applicant and its holding companies possess good character, honesty, and integrity;

(3) Whether the applicant and its holding companies possess financial stability, integrity, and responsibility;

(4) The ability of the applicant to obtain and maintain adequate insurance coverage as required by rule 3772-7-01 of the Administrative Code;

(5) The ability of the applicant for a casino operator license to post and maintain a surety bond in the amount of one million dollars in accordance with the requirements in section 3772.112 of the Revised Code;

(6) The compliance history of the applicant, its holding companies, and its affiliates or affiliated companies with casino-related licensing requirements in this state or any other jurisdiction;

(7) The criminal history of the applicant and its holding companies in any jurisdiction;

(8) Whether and to what extent the applicant or its holding companies have associated with members of organized crime and other persons of disreputable character;

(9) Whether the applicant or its holding companies have filed or had filed against it a proceeding for bankruptcy or have ever been involved in any formal process to adjust, defer, suspend, or otherwise resolve the payment of any debt;

(10) Whether the applicant or its holding companies have been served with a complaint or other notice filed with any public body regarding a payment of any tax required under federal, state, or local law that has been delinquent for one or more years;

(11) Whether the applicant or its holding companies have been a defendant in litigation involving its business practices;

(12) The extent to which the applicant or its holding companies have cooperated with the commission in connection with the background investigation;

(13) The extent to which the applicant or its holding companies have provided accurate and complete information in the application;

(14) The suitability of the facilities or proposed facilities for the conducting of casino gaming;

(15) The prospective total revenue to be collected by the state for the conducting of casino gaming; and

(16) Whether awarding the license would undermine the public's confidence in the casino gaming industry in this state.

Last updated August 2, 2021 at 10:34 AM

History

Effective: August 2, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-7-01

A casino operator, management company, holding company, or gaming-related vendor must obtain and maintain insurance in a minimum amount determined by the commission at a public meeting held under section 3772.02 of the Revised Code and in the following types:

(A) Liability;

(B) Casualty; and

Last updated October 29, 2024 at 8:16 AM

History

Effective: October 26, 2024
Promulgated Under: 119.03

Ohio Adm.Code 3772-4-06 Duty to update information.

(A) All casino operators, management companies, and holding companies must submit to the commission, in writing, the following information:

(1) Name changes;

(2) Changes to the state of incorporation or principal place of business;

(3) Changes regarding any individual required to be found suitable under rule 3772-4-05 of the Administrative Code;

(4) Changes regarding shareholders who hold greater than five per cent ownership interest;

(5) Any bankruptcy filed;

(6) Any arrest, charge, plea, or conviction relating to a casino operator, management company, holding company, or individual required to be found suitable under rule 3772-4-05 of the Administrative Code for any crime or offense occurring in any jurisdiction, excluding minor misdemeanor traffic offenses;

(7) Any inquiry into, investigation of, or action filed against a casino operator, management company, holding company, or individual required to be found suitable under rule 3772-4-05 of the Administrative Code by any gaming regulatory agency or authority, or other governmental agency or authority, except for routine renewal application reviews;

(8) Any rejection, suspension, revocation, or denial of any gaming-related application or license, and any fine, penalty, or settled amount relating to any gaming-related license imposed upon or agreed to by a casino operator, management company, holding company, or individual required to be found suitable under rule 3772-4-05 of the Administrative Code in any jurisdiction; and

(9) Any other information that would affect a casino operator's, management company's, or holding company's suitability to obtain and maintain a license under Chapter 3772. of the Revised Code or the rules adopted thereunder.

(B) Each casino operator, management company, and holding company must notify the commission of any key employee or casino gaming employee licensee whose employment has been terminated or suspended for any reason, by the casino operator, management company, or holding company.

Last updated October 29, 2024 at 8:16 AM

History

Effective: October 26, 2024
Promulgated Under: 119.03

Chapter 3772-5 Key Employee Licenses

Ohio Adm.Code 3772-5-01 Key employee license required.

(A) The following individuals must obtain and hold a key employee license:

(1) Those having the following positions, or similar or equivalent positions, with a casino operator:

(a) Assistant general manager;

(b) Internal audit director;

(d) Chief financial officer or controller, or both;

(e) Information technology director;

(f) Security director;

(g) Slot director;

(h) Gaming operations manager;

(i) General manager;

(j) Human resources manager;

(k) Marketing director;

(l) Surveillance director; and

(m) Table games director;

(2) Those meeting the definition of key employee under section 3772.01 of the Revised Code;

(3) Those who are responsible for managing, supervising, directing, or otherwise overseeing someone who is required to obtain and hold a key employee license.

(B) Every key employee of a casino operator must prominently display an active key employee license credential, as determined by the executive director, while on duty at the employer's casino facility. A key employee who forgets, loses, or misplaces this credential may, for up to three consecutive calendar days, display a temporary badge that identifies the individual as a licensed employee.

Last updated June 2, 2025 at 7:54 AM

History

Effective: May 31, 2025
Promulgated Under: 119.03

Ohio Adm.Code 3772-5-02 Key employee license application, license period and provisional license.

(A) An applicant for a key employee license must complete and submit the appropriate form(s) required by the commission. The applicant must provide the commission with all information and documents that the commission requests.

(B) A key employee license expires three years after the date of licensure.

(C) An applicant for a key employee license may request renewal of the license by completing and submitting the appropriate form(s) required by the commission no less than one hundred twenty days before the expiration of the license. An applicant for a renewal license must provide the commission with all information and documents that the commission requests.

(D) All key employees must undergo a complete investigation at least once every three years to determine whether each remains in compliance with Chapter 3772. of the Revised Code and the rules adopted thereunder.

(E) The commission may request and the key employee must provide any other information that would affect the key employee's suitability to obtain or maintain a license under Chapter 3772. of the Revised Code or the rules adopted thereunder.

(F) An individual may apply for a provisional key employee license by completing and filing the appropriate form(s) required by the commission, providing the commission with all information and documents that the commission requests, paying an application fee and license fee as described in rule 3772-5-03 of the Administrative Code, and providing a written account of the exigent circumstances requiring the issuance of a provisional license. Exigent circumstances include conditions that require employment of the individual as a key employee before the issuance of a plenary key employee license. Upon submission of a complete application and a good showing of exigent circumstances, the commission may issue a provisional license. Provisional licenses are valid up to three months and may be renewed one time for up to three additional months.

(G) Pursuant to division (A)(14) and subject to division (C) of section 3772.16 of the Revised Code, information provided in a multijurisdictional personal history disclosure form, including the Ohio supplement, exhibits, attachments, and updates is confidential and not subject to disclosure as a record under section 149.43 of the Revised Code. The applicant should clearly identify those portions of the application that it deems to be confidential, proprietary commercial information, trade secrets, or otherwise not subject to public disclosure. Information provided as part of the application and licensing process is open to public inspection to the extent permitted by Ohio's Public Records Act and section 3772.16 of the Revised Code.

Last updated January 3, 2022 at 10:42 AM

History

Effective: January 3, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-5-03

(A) An applicant for a key employee license must pay a nonrefundable application fee of one thousand seven hundred fifty dollars, except that a casino operator employing the applicant must pay this fee and that a casino operator, management company, gaming-related vendor, or holding company otherwise sponsoring the applicant may pay this fee.

(B) The application fee for a key employee license may be increased to the extent that the cost of the background investigation relating to an applicant exceeds the application fee set forth in paragraph (A) of this rule. The executive director will advise the applicant in writing that an additional application fee is required. Once an applicant is directed to submit an additional application fee, the commission will take no additional steps with respect to the application until the increased application fee is paid.

(C) Upon approval by the commission, an applicant for a key employee license must pay a nonrefundable license fee of five hundred dollars, except that a casino operator employing the applicant must pay this fee and that a casino operator, management company, gaming-related vendor, or holding company otherwise sponsoring the applicant may pay this fee.

(D) A key employee must bear the costs of any investigation, including providing all information, documents, and materials requested by the commission at the key employee's sole expense and cost, except that a casino operator employing the key employee must pay these costs and that a casino operator, management company, gaming-related vendor, or holding company otherwise sponsoring the key employee may pay these costs.

(E) Unless otherwise approved by the executive director, all fees must be submitted in the form of an electronic funds transfer payable to the treasurer of the state of Ohio.

Last updated June 30, 2025 at 7:41 AM

History

Effective: June 28, 2025
Promulgated Under: 119.03

Ohio Adm.Code 3772-5-04 Duty to update information.

(A) All key employees must update the commission, in writing, of the following information:

(1) Change of name;

(2) Change of home address;

(3) Change of home telephone number;

(4) Any bankruptcy filed, discharged, or dismissed;

(5) Any arrest, charge, or conviction, or plea of guilty or no contest for any crime or offense occurring in any jurisdiction, excluding minor misdemeanor traffic offenses;

(6) Any inquiry into, investigation of, or action filed by any gaming regulatory agency or governmental gaming authority, except for routine renewal application reviews;

(7) Any rejection, suspension, revocation, or denial of any gaming-related application or license and any fine, penalty, or settled amount relating to any gaming-related license imposed upon or agreed to in any jurisdiction;

(8) Any other information affecting the key employees' suitability.

(B) All information required to be submitted under this rule must include the name and license number, if applicable, of the key employee and be submitted within ten calendar days of the change or event occurrence.

Last updated January 3, 2022 at 10:42 AM

History

Effective: January 3, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-5-05 Affirmative license standards.

(A) An applicant for a key employee license must establish, by clear and convincing evidence, the applicant's suitability for licensure.

(B) In determining whether to grant, maintain, or renew a key employee license, the commission will evaluate and consider the following factors, in addition to those factors set forth in Chapter 3772. of the Revised Code:

(1) Whether the individual possesses good character, honesty, and integrity;

(2) Whether the individual possesses financial stability, integrity, and responsibility;

(3) The criminal history of the individual in any jurisdiction;

(4) Whether and to what extent the individual has associated with members of organized crime and other persons of disreputable character;

(5) Whether the individual has filed or had filed against the individual a proceeding for bankruptcy or has ever been involved in any formal process to adjust, defer, suspend, or otherwise resolve the payment of any debt;

(6) Whether the individual has been served with a complaint or other notice filed with any public body regarding a payment of any tax required under federal, state, or local law that has been delinquent for one or more years;

(7) The compliance history of the individual with casino-related licensing requirements in this state or any other jurisdiction;

(8) Whether the individual has been a defendant in litigation during the past fifteen years;

(9) The extent to which the individual has cooperated with the agency in connection with the background investigation; and

(10) The extent to which the individual has provided accurate and complete information as required by sections 3772.10 and 3772.13 of the Revised Code.

Last updated January 3, 2022 at 10:43 AM

History

Effective: January 3, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-6-01 Gaming-related vendor license.

The following must obtain and hold a gaming-related vendor license:

(A) Any person who supplies gaming-related equipment, goods, or services to a casino operator or management company that are directly related to or affect casino gaming authorized under Chapter 3772. of the Revised Code, including but not limited to, the manufacture, sale, distribution, or repair of slot machines and equipment related to table games;

(B) Any management company owning casino gaming devices, supplies, and equipment; and

(C) Any person that leases a casino facility to a casino operator or otherwise permits a casino operator to use a casino facility to conduct or participate in the conduct of casino gaming.

Last updated January 3, 2022 at 10:43 AM

History

Effective: January 3, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-6-02 Gaming-related vendor license application, license period, and license renewal.

(A) An applicant for a gaming-related vendor license must complete and submit the appropriate form(s) required by the commission.

(B) A gaming-related vendor license expires three years after the date of licensure.

(C) A gaming-related vendor may request renewal of the license by completing and submitting, not less than one hundred twenty days before the expiration of the license, the appropriate form(s) required by the commission.

(D) All gaming-related vendors must undergo a complete investigation at least once every three years, as determined by the commission, to verify that each remains in compliance with Chapter 3772. of the Revised Code and the rules adopted thereunder.

(E) The commission may request any other information that would affect the gaming-related vendor's suitability to obtain, hold, and maintain a gaming-related vendor license under Chapter 3772. of the Revised Code or the rules adopted thereunder.

(F) The applicant should clearly identify those portions of the application that it deems to be confidential, proprietary commercial information, trade secrets, or otherwise not subject to public disclosure. Information provided as part of the application and licensing process is open to public inspection to the extent provided by the Ohio Public Records Act and section 3772.16 of the Revised Code.

Last updated January 3, 2022 at 10:43 AM

History

Effective: January 3, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-6-03 Gaming-related vendor fees.

(A) An applicant for an initial, new, or renewal gaming-related vendor license must pay a nonrefundable application fee of ten thousand dollars.

(B) The application fee for an initial, new, or renewal gaming-related vendor license may be increased to the extent that the cost of the background investigation relating to an applicant exceeds the application fee set forth in paragraph (A) of this rule. The executive director will advise the applicant in writing that an additional application fee is required and the amount of the additional fee that must be provided. Once an applicant is directed to submit an additional application fee, the commission will take no additional steps with respect to the application until the increased application fee is paid.

(C) Upon approval by the commission, an applicant for an initial, new, or renewal gaming-related vendor license must pay a nonrefundable license fee of fifteen thousand dollars.

(D) A gaming-related vendor must bear the costs of any investigation, including providing all information, documents, and materials requested by the commission at the gaming-related vendor's sole expense and cost.

(E) Unless otherwise approved by the executive director, all fees must be submitted to the commission in the form of an electronic funds transfer payable to the treasurer of the state of Ohio.

Last updated January 3, 2022 at 10:43 AM

History

Effective: January 3, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-6-04 Duty to update information.

(A) All gaming-related vendors and holding companies thereof must update the commission, in writing, of the following information:

(1) Change of name;

(2) Change to the state of incorporation or principal place of business;

(3) Any bankruptcy filed, discharged, or dismissed;

(4) Any arrest, charge, or conviction, plea of guilty or no contest for any crime or offense occurring in any jurisdiction, excluding minor misdemeanor traffic offenses;

(5) Any inquiry into, investigation of, or action filed against the gaming-related vendor or holding company by any gaming regulatory agency or governmental gaming authority, except for routine renewal application reviews;

(6) Any rejection, suspension, revocation, or denial of any gaming-related application or license, and any fine, penalty, or settled amount relating to any gaming-related license imposed upon or agreed to in any jurisdiction; and

(7) Any other information affecting the gaming-related vendors' or holding companies' suitability.

(B) All information required to be submitted under this section must include the name and license number, if applicable, of the gaming-related vendor and be submitted within ten calendar days of the change or event occurrence.

Last updated January 3, 2022 at 10:44 AM

History

Effective: January 3, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-6-05 Affirmative license standards.

(A) An applicant for a gaming-related vendor license must establish, by clear and convincing evidence, the applicant's suitability for licensure.

(B) In determining whether to grant, maintain, or renew a gaming-related vendor license, the commission will evaluate and consider the following factors in addition to those set forth in Chapter 3772. of the Revised Code:

(1) The reputation and business experience of the gaming-related vendor and its holding companies;

(2) Whether the gaming-related vendor and its holding companies possess good character, honesty, and integrity;

(3) Whether the gaming-related vendor and its holding companies possess financial stability, integrity, and responsibility;

(4) The ability of the gaming-related vendor to obtain and maintain adequate insurance coverage, as required by rule 3772-7-01 of the Administrative Code;

(5) The compliance history of the gaming-related vendor, its holding companies, and its affiliates or affiliated companies with casino-related licensing requirements in this state or any other jurisdiction;

(6) The criminal history of the gaming-related vendor and its holding companies in any jurisdiction;

(7) Whether and to what extent the gaming-related vendor or its holding companies have associated with members of organized crime and other persons of disreputable character;

(8) Whether the gaming-related vendor or its holding companies have filed or had filed against it a proceeding for bankruptcy or have ever been involved in any formal process to adjust, defer, suspend, or otherwise resolve the payment of any debt;

(9) Whether the gaming-related vendor or its holding companies have been served with a complaint or other notice filed with any public body regarding a payment of any tax required under federal, state, or local law that has been delinquent for one or more years;

(10) Whether the gaming-related vendor or its holding companies have been a defendant in litigation involving its business practices;

(11) The extent to which the gaming-related vendor or its holding companies have cooperated with the commission in connection with the background investigation;

(12) The extent to which the gaming-related vendor or its holding companies have provided accurate and complete information as required by the commission;

(13) Whether awarding the license would undermine the public's confidence in the casino gaming industry in this state; and

(14) The suitability of any material person, as determined by the executive director.

Last updated January 3, 2022 at 10:44 AM

History

Effective: January 3, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-7-01

(A) Liability;

(B) Casualty; and

Last updated October 29, 2024 at 8:16 AM

History

Effective: October 26, 2024
Promulgated Under: 119.03

Chapter 3772-7 Insurance

Ohio Adm.Code 3772-7-01 Insurance.

(A) Liability;

(B) Casualty; and

Last updated October 29, 2024 at 8:16 AM

History

Effective: October 26, 2024
Promulgated Under: 119.03

Chapter 3772-8 Casino Gaming Employee Licenses

Ohio Adm.Code 3772-8-01 Casino gaming employee license required.

(A) Individuals who perform the following casino-gaming functions, regardless of title, for a casino operator must obtain and hold a casino gaming employee license:

(1) Assistant managers and other supervisors;

(2) Boxpersons;

(3) Cashiers;

(4) Change personnel;

(5) Clerks;

(6) Count room personnel;

(7) Credit supervisors;

(8) Data processing personnel;

(9) Dealers;

(10) Floorpersons;

(11) Hosts;

(12) Internal audit and accounting personnel;

(13) Electronic gaming equipment technicians and table game device technicians;

(14) Personnel authorized to extend complimentary services, including employees performing functions similar to those performed by a gaming junket;

(15) Personnel authorized to issue credit;

(16) Personnel authorized to issue promotional play;

(17) Personnel authorized to access and edit information within casino gaming systems;

(18) Personnel who configure and maintain electronic gaming equipment;

(19) Security personnel, including guards and game observers;

(20) Shills;

(21) Surveillance personnel; and

(22) Any other individual who conducts or participates in the conduct of casino gaming, who participates in the transfer or handling of chips, tokens, vouchers, or money, or who participates in audit or accounting functions.

(B) Every casino gaming employee of a casino operator must prominently display an active casino gaming employee license credential, as determined by the executive director, while on duty at the employer's casino facility. A casino gaming employee who forgets, loses, or misplaces this credential may, for up to three consecutive calendar days, display a temporary badge that identifies the individual as a licensed employee.

Last updated June 2, 2025 at 7:54 AM

History

Effective: May 31, 2025
Promulgated Under: 119.03

Ohio Adm.Code 3772-8-02 Casino gaming employee license application, license period, and provisional license.

(A) An applicant for an initial, new, or renewal casino gaming employee license must complete and submit the appropriate form(s) required by the commission. The casino gaming employee must provide the commission with all information and documents that the commission requests.

(B) A casino gaming employee license expires three years after the date of licensure.

(C) An applicant for a casino gaming employee license may request renewal of the license by completing and submitting the appropriate form(s) required by the commission no less than one hundred twenty days before the expiration of the license. An applicant for a renewal license must provide the commission with all information and documents that the commission requests.

(D) All casino gaming employees must undergo a complete investigation at least once every three years as determined by the commission to determine whether each remains in compliance with Chapter 3772. of the Revised Code and the rules adopted thereunder.

(E) The commission may request any other information that would affect the casino gaming employee's suitability to maintain a license under Chapter 3772. of the Revised Code or the rules adopted thereunder.

(F) An individual may apply for a provisional casino gaming employee license by completing and filing the appropriate form(s) required by the commission, providing the commission with all information and documents that the commission requests, and paying an application fee and license fee as described in rule 3772-8-03 of the Administrative Code. Upon submission of a complete application, the commission may issue a provisional license. Provisional licenses are valid up to three months and may be renewed one time for up to three months.

Last updated January 3, 2022 at 10:44 AM

History

Effective: January 3, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-8-03

(A) Application fees.

(1) An applicant for an initial or new casino gaming employee license must pay a nonrefundable application fee of two hundred fifty dollars, except that a casino operator that currently employs the applicant must pay this fee and that a casino operator, management company, gaming-related vendor, or holding company otherwise sponsoring the applicant may pay the application fee.

(2) An applicant for a renewal casino gaming employee license must pay a nonrefundable application fee of one hundred dollars, except that a casino operator that currently employs the applicant must pay this fee and that a casino operator, management company, gaming-related vendor, or holding company otherwise sponsoring the applicant may pay this fee.

(3) The application and renewal application fees for a casino gaming employee license may be increased to the extent that the cost of the background investigation relating to an applicant exceeds the application fee set forth in paragraph (A)(1) or (A)(2) of this rule. The executive director of the commission will advise the applicant in writing that an additional application fee is required. Once an applicant is directed to submit an additional application fee, the commission will take no additional steps with respect to the application until the increased application fee is paid.

(B) License fees.

(1) Upon approval by the commission, an applicant for an initial or new casino gaming employee license must pay a nonrefundable license fee of two hundred fifty dollars, except that a casino operator that currently employs the applicant must pay this fee and that a casino operator, management company, gaming-related vendor, or holding company otherwise sponsoring the applicant may pay this fee.

(2) Upon approval by the commission, an applicant for a renewal casino gaming employee license must pay a nonrefundable license fee of fifty dollars, except that a casino operator that currently employs the applicant must pay this fee and that a casino operator, management company, gaming-related vendor, or holding company otherwise sponsoring the applicant may pay this fee.

(C) A casino gaming employee must bear the costs of any investigation, including providing all information, documents, and materials requested by the commission at the casino gaming employee's sole expense and cost, except that a casino operator employing the casino gaming employee must pay these costs and that a casino operator, management company, gaming-related vendor, or holding company otherwise sponsoring the casino gaming employee may pay these costs.

(D) Unless otherwise approved by the executive director, all fees must be submitted to the commission in the form of an electronic funds transfer payable to the treasurer of the state of Ohio.

Last updated January 3, 2022 at 10:45 AM

History

Effective: January 3, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-8-04 Duty to update information.

(A) All casino gaming employees must update the commission, in writing, of the following information:

(1) Change of name;

(2) Change of home address;

(3) Change of home telephone number;

(4) Any bankruptcy filed, discharged, or dismissed;

(5) Any arrest, charge, or conviction, or plea of guilty or no contest for any crime or offense occurring in any jurisdiction, excluding minor misdemeanor traffic offenses;

(6) Any inquiry into, investigation of, or action filed by any gaming regulatory agency or governmental gaming authority;

(8) Any other information affecting the casino gaming employees' suitability.

(B) All information required to be submitted under this rule must include the name and license number, if applicable, of the casino gaming employee and be submitted within ten calendar days of the change or event occurrence.

Last updated January 3, 2022 at 10:45 AM

History

Effective: January 3, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-8-05 Affirmative license standards.

(A) An applicant for a casino gaming employee license must establish, by clear and convincing evidence, the applicant's suitability for licensure.

(B) In determining whether to grant, maintain, or renew a casino gaming employee license, the commission will evaluate and consider the following factors, in addition to those factors set forth in Chapter 3772. of the Revised Code:

(1) Whether the individual possesses good character, honesty, and integrity;

(2) Whether the individual possesses financial stability, integrity, and responsibility;

(3) The criminal history of the individual in any jurisdiction;

(4) Whether and to what extent the individual has associated with members of organized crime and other persons of disreputable character;

(5) Whether a proceeding in bankruptcy has been filed by or against the individual in the last ten years;

(6) Whether the individual has been involved in any formal process to adjust, defer, suspend, or otherwise resolve the payment of any debt in the last ten years;

(7) Whether the individual has been served with a complaint or other notice filed with any public body regarding a payment of any tax required under federal, state, or local law that has been delinquent for one or more years;

(8) The compliance history of the individual with casino-related licensing requirements in this state or any other jurisdiction;

(9) Whether the individual is a party to any currently pending litigation;

(10) The extent to which the individual has cooperated with the agency in connection with the background investigation; and

(11) The extent to which the individual has provided accurate and complete information as required by section 3772.131 of the Revised Code.

Last updated January 3, 2022 at 10:45 AM

History

Effective: January 3, 2022
Promulgated Under: 119.03

Chapter 3772-9 Gaming Supplies, Devices, and Equipment

Ohio Adm.Code 3772-9-01 Definitions.

The following words and terms, when used in agency 3772 of the Administrative Code with respect to casino gaming, have the following meanings unless the context indicates otherwise:

(A) "Electronic gaming equipment" means all of the following:

(1) Slot machines or any component parts material to casino gaming activity, including random number generators, all game media, and progressive controllers;

(2) Mechanical or electromechanical devices used with live table games or electronic table games, including items using radio frequency identification, shuffling devices, and progressive controllers;

(3) Any computer systems or software used in the conduct or monitoring of casino gaming activity, including systems or software used for system-to-system, game-to-game, or intra-device communication, or any equivalent thereof;

(4) Electronic or electromechanical devices used to account for casino gaming assets, including redemption kiosks and ticket validation equipment; and

(5) Any other device, software, hardware or other technology that the executive director determines may affect the integrity of casino gaming.

(B) "Redemption kiosk" means

(1) Any device that validates and exchanges cashless wagering instruments for currency; or

(2) To provide currency for payment of gaming transactions requiring a manual payout.

Last updated September 27, 2021 at 8:19 AM

History

Effective: September 27, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-9-02 Approval for use in a casino facility.

(A) A casino operator is not permitted to install, maintain, use, or operate any electronic gaming equipment unless such equipment is approved in the commission's database or has otherwise been approved by the executive director.

(B) Electronic gaming equipment that accepts wagers or processes conversions of currency or cashless wagering instruments must be connected to an on-line monitoring system. The on-line monitoring system must record all transactions processed by the electronic gaming equipment and provide acceptable reporting as required by the executive director.

(C) Electronic gaming equipment must support a port and protocol, referred to as game authentication terminal (GAT), for gaming equipment verification, unless otherwise approved in writing by the executive director. Electronic gaming equipment must:

(1) Employ a verification mechanism that authenticates all CPSM. The verification mechanism must:

(a) Be accessible by a communication port and the GAT protocol;

(b) Provide on-demand verification of electronic gaming equipment CPSM. This function will not require the electronic gaming equipment power to be cycled;

(c) Generate a unique signature for each CPSM utilizing, at a minimum, secure hashing algorithm-1 (SHA-1) with hash-based message authentication code (HMAC), as defined by the "National Institute of Standards and Technology (NIST), Federal Information Processing Standards Publication 180-4: Secure Hash Standard (March 2012);" and

(d) Provide support for escrowing verification results. Verification results must be preserved and retrievable pending a subsequent verification request or a loss of power; and

(2) Provide means for the use of third-party verification tools.

Last updated September 27, 2021 at 8:19 AM

History

Effective: September 27, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-9-03 Evaluation by a certified independent testing laboratory.

(A) The executive director may require electronic gaming equipment to be evaluated by a certified independent testing laboratory prior to approval and inclusion in the commission's database. If required, a gaming-related vendor must adhere to the following:

(1) Submit a written request to a certified independent testing laboratory that, at a minimum, specifically references the scientific testing and technical evaluation necessary to determine compliance with Chapter 3772. of the Revised Code and the rules adopted thereunder, as well as the applicable standards in the appendix to this rule, and identifies the particular electronic gaming equipment at issue;

(2) Submit all necessary items and information to the certified independent testing laboratory;

(3) Pay all costs associated with the scientific testing and technical evaluation performed by the certified independent testing laboratory;

(4) Engage no more than one certified independent testing laboratory to perform scientific testing and technical evaluation of any particular version of electronic gaming equipment software, hardware, or other technology without prior written authorization from the executive director; and

(5) Submit any items or information pertaining to the electronic gaming equipment to the commission, if requested.

(B) The executive director may require previously approved electronic gaming equipment to be re-evaluated by a certified independent testing laboratory if it is determined that the equipment jeopardizes the integrity of casino gaming.

(C) Electronic gaming equipment will not be included in the commission's database unless the executive director approves the certified independent testing laboratory's results.

View Appendix

Last updated September 27, 2021 at 8:19 AM

History

Effective: September 27, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-9-05 Transportation of electronic gaming machines to and from a casino facility.

(A) As used in this rule, "electronic gaming machine" means the following:

(1) Slot machines; and

(2) Electronic table game terminals and stations.

(B) A casino operator must notify the executive director at least five days in advance of a proposed and comply with any conditions imposed by the executive director. The notice must include the following information:

(1) The full name and address of the licensee causing transportation of the electronic gaming machines;

(2) The full name and address of the entity receiving the electronic gaming machines;

(3) The manufacturer's serial number of each electronic gaming machine;

(4) The expected date the electronic gaming machines will be transported; and

(5) Nothing in this rule prohibits the transportation of electronic gaming machines going to different destinations from being transported by the same carrier simultaneously, provided the electronic gaming machines for each destination are physically segregated.

Last updated September 27, 2021 at 8:19 AM

History

Effective: September 27, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-9-06 Possession and storage of electronic gaming equipment.

(A) Each casino operator must provide the commission with a comprehensive list of all electronic gaming equipment (EGE inventory list), in a format approved by the executive director, prior to the commencement of casino gaming. Each casino operator must provide updates to the EGE inventory list as changes occur. The EGE inventory list must include:

(1) Electronic gaming equipment on the casino floor;

(2) Electronic gaming equipment off the casino floor but on the premises of the casino facility; and

(3) Electronic gaming equipment at locations in this state, but off the premises of the casino facility.

(B) Access within electronic gaming equipment stored on the casino floor must be secured and restricted to appropriate personnel.

(1) Be secured and restricted to appropriate personnel;

(2) Not contain critical program storage media, unless the electronic gaming equipment is on the casino premises and it is secured in the same manner as on the casino floor;

(3) Not contain locks that correlate to sensitive keys defined in the casino operator's internal controls, unless the electronic gaming equipment is on the operator's premises and the locks are unable to be removed without the corresponding sensitive key; and

(4) Meet any other requirements as deemed appropriate by the executive director.

(D) Critical program storage media must be stored in a secure location on the casino operator's premises with access restricted to appropriate personnel.

Last updated September 27, 2021 at 8:20 AM

History

Effective: September 27, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-9-08 Movement of electronic gaming equipment within a casino facility.

A casino operator must maintain a log of all movements, installation, and removal of electronic gaming equipment. The log must include, but is not limited to:

(A) The electronic gaming equipment manufacturer's serial number;

(B) The electronic gaming equipment's asset number;

(D) The location from which the equipment was moved; and

(E) The location to which the equipment was moved.

Last updated September 27, 2021 at 8:20 AM

History

Effective: September 27, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-9-09 Installation or removal of electronic gaming equipment.

(A) A casino operator must obtain approval from the executive director before installing or removing electronic gaming equipment from the gaming floor.

(B) Access within the secure area of electronic gaming equipment for the purpose of installation or removal must be logged, except for access associated with the scheduled removal of the equipment's bill validator canister. The log must include, but is not limited to:

(1) The electronic gaming equipment manufacturer's serial number;

(2) The electronic gaming equipment's asset number;

(3) Name of the employee who opened the secure area;

(4) Gaming license number of the employee who opened the secure area;

(5) Date and time of entry; and

(6) The reason for entry.

(C) Critical program storage media must be verified and sealed by a commission employee before any electronic gaming equipment is placed into service at a casino facility, unless otherwise approved by the executive director.

(D) The following must occur before removing electronic gaming equipment from the gaming floor:

(1) The commission seal must be removed by a commission employee, unless otherwise approved by the executive director;

(2) All currency and vouchers are removed from the electronic gaming equipment and transported to the count room;

(3) All accounting meters are recorded by an online monitoring system or, in the event the monitoring system is unavailable, the accounting meters must be recorded manually; and

(4) All credits remaining on the equipment are removed, with cashable credits being cashed out and processed as unsecured currency in accordance with the casino operator's internal control standards.

Last updated September 27, 2021 at 8:20 AM

History

Effective: September 27, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-9-10 Electronic gaming equipment maintenance, repair or other servicing standards.

(A) Electronic gaming equipment may not be placed into operation at a casino facility unless the equipment is suitable to operate.

(B) Critical program storage media must be verified and sealed by a commission employee before any electronic gaming equipment is placed into operation at a casino facility, unless otherwise approved by the executive director.

(C) A casino operator must notify the commission about, and remove from operation, any electronic gaming equipment that becomes unsuitable for operation at a casino facility due to an unexplainable malfunction. The electronic gaming equipment must remain out of operation until a report is provided to the commission detailing the issue with the equipment and describing how it was resolved.

(D) Any maintenance, repair, or other type of servicing of electronic gaming equipment that is to be or has been placed into operation at a casino facility must be performed by, or in the presence of, appropriately licensed personnel.

(E) Access within the secure area of electronic gaming equipment for the purpose of maintenance, repair, or other service must be logged, except for access associated with the scheduled removal of the equipment's bill validator canister. The log must include:

(1) The electronic gaming equipment manufacturer's serial number;

(2) The electronic gaming equipment's asset number;

(3) Name of the employee who opened the secure area;

(4) Gaming license number of the employee who opened the secure area;

(5) Date and time of entry; and

(6) A description of actions performed during entry.

Last updated September 27, 2021 at 8:20 AM

History

Effective: September 27, 2021
Promulgated Under: 119.03

Chapter 3772-10 Internal Control Systems

Ohio Adm.Code 3772-10-01 Definitions.

The following words and terms, when used in agency 3772 of the Administrative Code, have the following meanings, unless the context clearly indicates otherwise:

(A) "Accounting department" means the casino operator's internal department that is responsible for all financial, accounting, and revenue and gaming audit activities.

(B) "Asset number" means a unique number assigned to electronic gaming equipment by a casino operator for the purpose of tracking the electronic gaming equipment.

(C) "Bill validator canister" means a mechanical or electronic device designed to interface with electronic gaming equipment for the purpose of storing any combination of United States currency, gaming tickets, coupons, or other instruments authorized by the executive director.

(D) "Cashier's cage" means executive director-approved secured rooms in which cashiers conduct transactions associated with gaming.

(E) "Complimentary" means any lodging, service, or item that is provided directly or indirectly to an individual at no cost or at a reduced cost and that is not generally available to the public. Group rates, including convention and government rates, are deemed generally available to the public.

(F) "Contractor" means any person that provides goods or services to a casino facility.

(G) "Count room" means a secured room with access controlled by two separate casino departments where the proceeds from gaming are counted.

(H) "Critical program storage media" and "CPSM" mean any media storage device that contains data, files, or programs and is determined by the executive director to be capable of affecting the integrity of gaming.

(I) "Drop" means the total amount of money, tickets, and coupons removed from any slot machine, table game, or redemption kiosk.

(J) "Imprest" means the basis on which the operating funds of cashiers are maintained. The opening and closing values must be equal, and any difference must result in a variance. The funds may be replenished as needed in exactly the value of the net of expenditures made from the funds for value received.

(K) "Incompatible functions" means functions or duties that place any person or department in a position to perpetuate and conceal errors, fraudulent or otherwise.

(L) "Main bank" means the location in the casino where acts that include the following are performed:

(1) Transactions for recording and storage of currency, coin, tokens, cash equivalents, and negotiable instruments;

(2) Preparation of bank deposits;

(3) Acceptance of currency from the count room; and

(4) Reconciliation of all cage transactions.

(M) "Manual payout" means any payout not paid directly from electronic gaming equipment (EGE) or a table game, and any taxable jackpot.

(N) "Trolley" means an apparatus used for the secured transport of the contents of the drop.

(O) "Unclaimed winnings" means gaming winnings that are held by the casino operator as a liability to a patron until that patron is paid.

Last updated February 28, 2022 at 8:47 AM

History

Effective: February 28, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-02 Internal controls.

(A) Each casino operator must submit written internal controls, as required under agency 3772 of the Administrative Code, for approval by the commission at a meeting held under section 3772.02 of the Revised Code. No casino operator may operate without the commission's approval of these internal controls.

(B) Each casino operator may amend its commission approved internal controls with the approval of the commission at a meeting held under section 3772.02 of the Revised Code. For amendments requiring immediate action, the executive director may discretionarily grant temporary approval. Such temporary approval will be subject to final consideration at the next scheduled commission meeting.

Last updated February 28, 2022 at 8:48 AM

History

Effective: February 28, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-03 Casino operator's organization.

(A) Each casino operator must maintain an organizational chart depicting the segregation of functions and describing the duties for each position shown, which may be tailored to meet management needs or policies so long as it does not conflict with Chapter 3772. of the Revised Code and the rules adopted thereunder. A copy of the current organizational chart must be made immediately available to the commission upon request.

(B) Each casino operator's organizational charts must provide for the following:

(1) A system of personnel and chain of command that permits management and supervisory personnel to be held accountable for actions or omissions within their areas of responsibility;

(2) The segregation of incompatible functions, duties, and responsibilities so that no employee is in a position both to commit an error or perpetrate a fraud and to conceal the error or fraud in the normal course of the employee's duties;

(3) The performance of all functions, duties, and responsibilities in accordance with legitimate financial practices by trained personnel; and

(4) The areas of responsibility that are not so extensive as to be impractical for one person to monitor.

(D) Each casino operator must have the following departments and supervisory positions, each of which must cooperate with, yet perform independently of, other mandatory departments and supervisory positions:

(1) A surveillance department supervised by a director of surveillance located at the casino;

(2) An internal audit department supervised by a director of internal audit. The director of internal audit must report directly to one of the following regarding matters of policy, purpose, responsibility, and authority, and the following must also control the hiring, termination, and salary of the director's position:

(a) The independent audit committee of the operator's board of directors;

(b) The independent audit committee of the board of directors of any holding or intermediary company of the facility manager that has authority to direct the operations of the operator;

(c) The internal audit executives of any holding or intermediate company if the most senior executive in the reporting line reports directly to the independent audit committee of the board of directors of the holding or intermediary company; or

(d) Another entity as approved by the executive director;

(3) An IT department supervised by an IT director located at the casino;

(4) A slots department supervised by a slot director located at the casino;

(5) A table games department supervised by a table games director located at the casino;

(6) A security department supervised by a director of security located at the casino;

(7) An accounting department supervised by a person who functions as the casino's controller located at the casino. The controller must be responsible for all accounting functions, including the preparation and control of books, records, and data, the control of stored data, the control of unused forms, the accounting for and comparison of operational data and forms; and

(8) A cashier's cage department supervised by a person located at the casino who functions as the cage manager. The cage manager must be responsible for the control and supervision of the cashier's cage, satellite cages, count room, and vault. The cashier's cage may be separated into independent operations or satellite cages to facilitate operations and accountability. The cashier's cage department must be responsible for the following:

(a) The custody and accountability of coin, currency, negotiable instruments, documents, and records normally associated with the operation of a cage;

(b) Any other functions normally associated with the operation of a cage;

(d) The vault; and

(e) The control and supervision of gaming cashiers and change persons.

(9) A regulatory compliance department supervised by a regulatory compliance officer located at the casino. The regulatory compliance department must be responsible for the casino's compliance with state and local law, including Chapter 3772. of the Revised Code and the rules adopted thereunder, as well as the casino's internal controls and procedures. The regulatory compliance officer must report directly to one of the following regarding matters of policy, purpose, responsibility, and authority, and the following must also control the hiring, termination, and salary of the compliance officer's position:

(a) The casino operator's corporate chief compliance officer; or

(b) Another position or entity as approved by the executive director.

(E) The casino operator's personnel must be trained in all policies, procedures, and internal controls relevant to each employee's individual function. The casino operator must develop special instructional programs in addition to any on-the-job instruction sufficient to make each member of the department knowledgeable about the requirements and performance of all transactions relating to that employee's functions.

(F) In addition to the department supervisory positions listed in paragraph (B) of this rule, each casino operator must also employ a casino general manager who must be the primary individual responsible for the performance of the casino facility. All casino departments may be subject to direct control by the casino general manager except the internal audit department, the compliance department, and the surveillance department.

(G) If a vacancy in any of the casino operator's mandatory department supervisory positions or in the casino general manager position required by this chapter occurs or if written notice is received that such a vacancy will occur in the future, the casino operator must:

(1) Notify the executive director immediately in writing of the vacant position;

(2) Designate a licensed person or persons to assume the duties and responsibilities of the vacant position on a temporary basis;

(3) Fill the position on a permanent basis within sixty days after the effective date of the vacancy. An extension of the temporary appointment to the position may be granted at the discretion of the executive director and should not be unreasonably withheld; and

(4) Notify the executive director immediately in writing upon the filling of the vacancy.

Last updated February 28, 2022 at 8:48 AM

History

Effective: February 28, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-04 Controlled demonstration.

(A) Each casino operator must train its licensed employees on agency 3772 of the Administrative Code and its internal controls and procedures. Each casino operator must perform at least one controlled demonstration of its ability to abide by the Administrative Code and follow its internal controls and procedures before the executive director may allow the casino facility to open to the public. If the casino operator does not pass the controlled demonstration, then the executive director may require additional controlled demonstrations.

(B) The controlled demonstration must:

(1) Be at a date, time, and duration set by the executive director;

(2) Use casino gaming equipment that has been approved by the commission in accordance with Chapters 3772-9 and 3772-11 of the Administrative Code;

(3) Use cash or other actual consideration for live casino gaming;

(4) Involve at least one casino gaming employee shift change;

(5) Involve all aspects of casino gaming;

(6) Involve dropping all or part of the casino gaming floor to ensure proper accounting and security procedures; and

(7) Meet any other requirements established by the executive director.

(C) The casino operator's share of the net win from the controlled demonstration must go to a charitable organization, as defined under section 1716.01 of the Revised Code.

Last updated February 28, 2022 at 8:48 AM

History

Effective: February 28, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-05 Forms, records, and documents.

(A) Each casino operator must maintain all forms and procedures necessary to account for gaming and financial activities.

(B) All books, forms, records, documents, and stored data required by this rule must have the name of the casino facility, date of completion, and the title of the book, form, record, document, or stored data.

(C) Whenever forms or serial numbers are required to be accounted for under this rule and an exception is noted, the exception must be reported in writing to the casino operator's internal audit department and the commission upon identification of the exception.

(D) Whenever a prenumbered form is voided, the original and all copies must be marked "void" and the person voiding the form and another person independent of the transaction must sign the voided form and list the reason for the voided transaction.

(E) Each casino operator's internal controls must include procedures for using and retaining books, forms, records, documents, and stored data as well as the following:

(1) The department responsible for the receipt, control, and issuance of all prenumbered forms. Serial numbers on manual forms must be printed on the form by the manufacturer. Computerized forms must be sequentially numbered by the computer system. Documentation of all serial numbers must be maintained to account for the forms; and

(2) Procedures for making corrections to a completed form.

Last updated February 28, 2022 at 8:48 AM

History

Effective: February 28, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-06 Standard financial reports.

Casino operators must maintain and provide to the commission upon request or as otherwise required appropriate accounting, including a monthly process which includes the preparation of the following financial reports:

(A) Balance sheet;

(B) Income statement;

(D) A daily gross casino revenue supplemental report and supporting documentation submitted concurrent with the casino operator's daily submission to the department of taxation, as required by section 5753.04 of the Revised Code.

Last updated June 2, 2025 at 7:55 AM

History

Effective: May 31, 2025
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-07 Audits; other reports; suspicious transaction reporting.

(A) Each casino operator must have its annual financial statements audited by an independent certified public accountant or, when appropriate, an independent registered certified public accounting firm, licensed to practice in this state. The audit must be in accordance with generally accepted auditing standards and, when applicable, the standards of the accountancy board. The casino operator must report to the commission the name of the independent certified public accountant or independent registered certified public accounting firm as well as the lead audit partner or other individual taking primary responsibility for the financial statement audit engagement before the start of the engagement.

(B) The lead audit partner or other individual taking primary responsibility for the financial statement audit engagement may serve a maximum of five years in such a position before being required to rotate off the engagement.

(C) The annual financial statements audit must be prepared on a comparative basis for the current and prior fiscal years and present financial position and results of operations in conformity with generally accepted accounting principles. The financial audit required by this rule must include an explanation reconciling any differences between the financial statements included in any annual reports and the audited financial statements.

(D) The casino operator must require the independent certified public accountant or independent registered certified public accounting firm auditing the casino operator's financial statements to render a report on the prospective financial statements, including a one-year forecast and three-year projection, expressing an opinion as to whether the prospective financial information is properly prepared on the basis of the assumptions and is presented in accordance with the relevant financial reporting framework, and any additional reports required by the executive director.

(E) The casino operator must file with the commission the reports required by paragraphs (A) and (D) of this rule in a format determined by the executive director within one hundred twenty days following the end of the casino operator's fiscal year or upon receipt, whichever is earlier.

(F) Each casino operator must contract with a third party to perform an independent IT audit and surveillance system audit. The third party must be approved by the executive director as qualified, independent, and capable of performing the audit. The audits must be performed, and a copy of the report provided to the commission, at least once every licensure period. The audits and corresponding report must assess the following:

(1) The design, controls, maintenance, and security of the casino operator's IT and surveillance systems;

(2) The casino operator's compliance with the IT and surveillance requirements of this chapter; and

(3) Any other subject required by the executive director.

(G) At any time, the executive director may require a special audit of a casino operator by commission personnel, an independent certified public accountant, an independent registered certified public accounting firm, or any other third party the executive director approves as qualified, independent, and capable of performing the special audit. The scope, procedures, and reporting requirements of any special audit are to be established by the executive director.

(H) The casino operator must notify the commission of any report that is filed, or required to be filed, with the securities and exchange commission or other securities regulatory agency.

(I) All audits and reports required by this rule are to be prepared at the sole expense of the casino operator.

(J) Any audit engagement contract entered into under this rule is subject to decertification, as established under paragraph (A) of rule 3772-10-23 of the Administrative Code, or invalidation due to lack of qualification, independence, or capacity or a finding that the contract or conduct performed thereunder poses a material risk to the integrity of casino gaming in this state. The invalidation process is an action against the casino operator that is subject to the hearing procedures and disciplinary actions provided for under Chapters 3772-21 and 3772-22 of the Administrative Code, respectively. If an audit engagement contract is decertified or invalidated, the casino operator must enter into a new audit engagement contract to ensure the requirements of this rule are met.

(K) Each casino operator must file with the commission a copy of any suspicious activity report.

Last updated February 28, 2022 at 8:49 AM

History

Effective: February 28, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-23

(A) The commission may decertify a casino operator contract if it becomes aware of a contractor that has violated statutes or rules of this state or the federal government. The decertification process is an action against the casino operator that is subject to the hearing procedures and disciplinary actions provided for under Chapters 3772-21 and 3772-22 of the Administrative Code, respectively.

(B) Money a casino operator owes to, but is not claimed by, a patron because of a casino gaming transaction is subject to Chapter 169. of the Revised Code.

(C) Each casino operator must comply with Chapter 5753. of the Revised Code and with any requests of the tax commissioner in the computation and reporting of winnings, compensation from casino gaming, and gross revenue.

Last updated February 28, 2022 at 8:52 AM

History

Effective: February 28, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-08 Procedures for monitoring and reviewing game operations.

(A) Each casino operator must establish internal controls for monitoring and reviewing table game operations, which must include:

(1) Procedures for the monthly review of table game performance. The review must be a comparison of the lifetime average historical payout percentage and the rolling thirty-day average payout percentage for each table game, on a per table basis; and

(2) Procedures for documenting, investigating, and resolving deviations of more than four percent between the historical results and the actual results. The procedures must include:

(a) Conducting and documenting the investigation; and

(b) Notification to the commission of the investigation results upon completion.

(B) Each casino operator must establish internal controls for monitoring and reviewing electronic gaming equipment operation for equipment that accepts wagers. These controls must include:

(1) Procedures for the review of recorded electronic gaming equipment meters, including the parameters used to determine the reasonableness of the recorded meters;

(2) Procedures for the alteration of recorded electronic gaming equipment meters, including the positions authorized to perform the alteration and the documentation maintained to support the alteration;

(3) Procedures for the comparison of each electronic gaming equipment's recorded meters with the actual drop amount. The comparison must be performed for each drop;

(4) Procedures for documenting, investigating, and resolving inconsistencies encountered while comparing each electronic gaming equipment's recorded meters with the actual drop amounts. They must include, but are not limited to:

(a) The variance threshold(s) that indicate an investigation is necessary. The commission must be notified of variances requiring investigation within one week of the variance discovery;

(b) Procedures for conducting and documenting the investigation. The procedures should include a comparison of metered cash and voucher transactions with cash and vouchers from the drop; and

(5) Procedures for the monthly review of electronic gaming equipment performance. The review must consist of a rolling thirty days, rolling twelve months, and life-to-date comparison of the expected theoretical payout percentage and the actual payout percentage for each electronic gaming device that accepts wagers. The comparisons must be done on a per paytable basis, unless otherwise approved by the executive director; and

(6) Procedures for documenting, investigating, and resolving deviations of more than four percent while reviewing electronic gaming equipment performance. They must include:

(a) Notification of the electronic gaming equipment requiring investigation to the commission within one week of the deviation discovery;

(b) The procedures for conducting and documenting the investigation; and

Last updated February 28, 2022 at 8:49 AM

History

Effective: February 28, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-09 Complimentaries.

(A) In addition to the limits on promotional credits in section 3772.23 of the Revised Code, each casino operator's internal controls must include the following:

(1) Procedures for the authorization, issuance, and recording of complimentaries, including cash and non-cash gifts. These internal controls must include the delegation of authority to approve the issuance of complimentaries and the limits that apply to this authority, including limits based on proper separation of duties and limits based on relationships between the authorizer and recipient;

(2) Procedures for ensuring that complimentaries are not provided to members of the Ohio voluntary exclusion program or those on the commission's involuntary exclusion list; and

(3) Procedures for auditing complimentaries.

(B) All complimentaries paid in cash must be disbursed directly to the patron by a gaming cashier at the cage after receipt of appropriate documentation.

Last updated February 28, 2022 at 8:49 AM

History

Effective: February 28, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-10 Patron financial transactions at the cashier's cage.

(A) Each casino operator may process financial transactions at the cashier's cage for patrons. For the purpose of this rule, "financial transaction" does not include the exchange of cash for casino chips, the redemption of casino chips or redeemable vouchers issued from electronic gaming equipment for cash at the cashier's cage, or coin or currency exchanges.

(B) Each casino operator must designate in its internal controls the types of financial transactions to be conducted at the cashier's cage and the procedures for doing so.

(C) Before processing each financial transaction at the cashier's cage, the casino cashier must verify the identity of the patron and ensure that the patron is not a part of the commission's voluntary or involuntary exclusion programs.

(D) The casino operator must retain all records related to each transaction whether in paper or electronic form in accordance with rules 3772-1-07 and 3772-10-05 of the Administrative Code.

(E) The casino operator must do the following with respect to patron deposits that are received or withdrawn:

(1) Provide the patrons with a receipt, which must include the total amount deposited or withdrawn, the date of the deposit or withdrawal, and the signature of the cage employee accepting or processing the patron deposit or withdrawal, respectively; and

(2) Maintain a log detailing all patron deposits and withdrawals.

(F) Wire transfers must be subject to the following additional requirements:

(1) A cage wire transfer log must be kept and must list the details of each wire transfer sent and received for gaming purposes;

(2) Wire transfers received must be verified by a receiving licensed employee and a second licensed employee independent of the original receipt of the transfer. Both licensed employees must sign the wire transfer log as evidence of this verification.

(3) Residual balances must be returned to the patron if not used during a set amount of time detailed in the internal controls.

Last updated February 28, 2022 at 8:49 AM

History

Effective: February 28, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-1-07

(1) Information related to the conduct of casino gaming in this state;

(2) The business and organizational structure;

(3) Correspondence with or by, or reports to or from, the commission or any local, state, or federal governmental agency, foreign and domestic;

(4) Any acquisition, construction, remodeling, or maintenance of a proposed or existing casino facility in this state;

(6) Financial statements, accounting records, ledgers, and internal and external audit records;

(7) The personnel files for all employees;

(8) Any materials used to advertise, publicize, or otherwise promote casino gaming occurring in this state; and

(9) Any other books, records or documents the commission or executive director, or duly authorized designee thereof, requires, in writing, to be retained and maintained.

Last updated August 2, 2021 at 1:20 PM

History

Effective: August 2, 2021
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-11 Credit.

(A) A casino operator may extend credit to a patron in a commercially reasonable manner considering the patron's finances and in accordance with this rule.

(B) If a casino operator chooses to extend credit to patrons, the casino operator's internal controls must detail the procedures for extending credit, including a description of the application process, the identification of employees involved, a requirement for prompt recording of the transactions that impact the patron's credit line, and placement of safeguards on credit extension.

(C) The casino operator's internal controls must detail the information contained in, the use of, and security for patron credit files. A credit file for each patron must be prepared before the casino operator's approval of a patron's credit limit and include, at a minimum, the following:

(1) The patron's name;

(2) The patron's address;

(3) The patron's telephone number;

(4) A copy of the patron's government issued identification;

(5) The patron's banking information;

(6) The patron's income information;

(7) The patron's credit limit, showing how it was established and how the casino operator considered other outstanding total indebtedness;

(8) The credit agreement;

(9) A listing of all transactions affecting a patron's outstanding indebtedness to the casino operator and its affiliates; and

(10) Any other information the executive director deems necessary to ensure the reasonableness of the credit extension.

(D) Before extending credit to a patron, a casino operator must verify that the patron is not participating in the Ohio voluntary exclusion program or on the commission's involuntary exclusion list.

(E) A casino operator may not extend credit to any patron who has not made a payment on the patron's outstanding credit within a period of thirty days.

(F) Except as otherwise provided in this rule, no person who is employed by a casino operator or is acting on behalf of or under any arrangement with a casino operator may extend credit to a patron in connection with the conduct of casino gaming.

(G) Procedures must be established for the issuance, use, and payment of markers, including the following:

(1) A designation of employees who are authorized to issue markers;

(2) A designation of where markers can be issued;

(3) A description of the marker's documentation and signatures required to authorize the marker;

(4) Verification of the patron's identity and available credit before issuance of the marker;

(5) Controls on how the transaction will be recorded;

(6) Controls on the use of markers;

(7) Controls on how markers may be repaid; and

(8) Any other information deemed necessary by the executive director.

Last updated February 28, 2022 at 8:50 AM

History

Effective: February 28, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-12 Access controls.

(A) Each casino operator's internal controls must establish procedures for sensitive keys and securing access to assets and restricted areas.

(B) Each casino operator must maintain automated systems approved by the executive director designed to control and record access to assets and restricted areas.

(C) Unless otherwise required by the executive director, all sensitive keys, locks, access cards, biometric access, and all other methods used to grant access to assets and restricted areas must be controlled and managed by the security department. The IT department may provide assistance with management of automated systems.

(D) Inventory ledgers must be maintained for all sensitive keys and locks. Key and lock inventory ledgers must detail the following information:

(1) The acquisition of sensitive keys and locks;

(2) The placement into service or removal from service of sensitive keys and locks including the current location; and

(3) The destruction or disposal of sensitive keys and locks.

(E) Database records must be maintained documenting the assigned access for sensitive keys, access cards, biometric access, and all other methods used to grant access.

(F) The automated system in which sensitive keys are kept must be continuously covered by a fixed surveillance camera.

(G) Access to assets and restricted areas must be assigned to employees by position type.

(H) Additions or deletions of employee access to assets or restricted areas must be recorded in the automated systems and properly supported by personnel action documentation.

(I) The casino operator's automated systems must track and record when sensitive keys are checked out by employees.

(J) The casino operator's automated systems must track and record employee access to restricted areas secured by the automated systems.

(K) The casino operator's internal audit team must, at least semi-annually, complete an audit or analytical procedures designed to test the physical inventory count of sensitive keys and locks and assigned access to assets and restricted areas.

(L) Procedures for the destruction of sensitive keys and locks must be approved by the executive director.

(M) If a sensitive key or lock is lost, becomes missing, or is otherwise compromised, the casino operator must notify the commission in writing and investigate the incident. After receiving the results of the investigation from the casino operator, the executive director will determine if all associated sensitive keys and locks must be changed in order to maintain access restrictions.

(N) If an access card, biometric access, or other electronic access is lost, becomes missing, or is otherwise compromised, the casino operator must immediately remove all compromised access.

Last updated February 28, 2022 at 8:50 AM

History

Effective: February 28, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-13 Signature requirements.

Each casino operator must maintain procedures to track and authenticate approvals and attestations made by employees either in electronic or manual formats.

Last updated June 2, 2025 at 7:55 AM

History

Effective: May 31, 2025
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-14 Internal audit standards.

(A) Each casino operator's internal controls must include internal audit standards.

(B) The casino operator must maintain a separate internal audit department whose primary function is to perform internal audit work that must be independent with respect to the departments subject to audit. The casino operator must ensure that the standards, conventions, and rules governing audits in the United States are followed for all audits. The internal audit department must be responsible for the following:

(1) The review and appraisal of the adherence of the casino operator's internal controls to Chapter 3772. of the Revised Code and the rules adopted thereunder;

(2) Performing tests to ensure compliance with the internal controls;

(3) The reporting to the casino operator's management and the commission of instances of noncompliance with the internal controls;

(4) The reporting to the casino operator's management and the commission of any weaknesses in the internal controls;

(5) The recommendation of procedures to eliminate any weaknesses in the internal controls; and

(6) Performing tests to ensure compliance with rule 3772-10-06 of the Administrative Code.

(C) The auditing department must prepare documents to evidence all internal audit work performed as the work relates to the requirements in this rule, including all instances of noncompliance with the internal controls:

(1) The internal audit department must operate with audit programs that address the requirements of this rule;

(2) The internal audit department must accurately document the work performed, the conclusions reached, and the resolution of all exceptions; and

(3) All audit reports must be prepared, maintained, and provided to the commission on a schedule approved by the executive director.

(D) Internal audit personnel must perform audits of all major gaming areas of the casino operator. The following must be reviewed at least semi-annually:

(1) Slot revenue and procedures;

(2) Table games revenue and procedures;

(3) Manual payouts;

(4) Cage procedures;

(5) Information technology;

(6) Complimentaries and promotions;

(7) Control of access to assets and restricted areas;

(8) Purchasing; and

(9) Any other internal audits as required by the executive director, audit committee of the board of directors, or any other entity designated by the executive director.

(E) The audit reports must include the following information:

(1) Audit objectives;

(2) Audit procedures and scope;

(3) Findings and conclusions; and

(4) Management's response.

(F) The internal audit department must perform follow-up examinations to verify that corrective action has been taken regarding all instances of noncompliance cited by internal audit and the independent accountant. Further, if directed by the executive director, the internal audit department must perform follow-up examinations to verify that corrective action has been taken regarding all settlement agreements, notices of noncompliance, and disciplines imposed by the commission. These verifications must be performed within three months of the issuance of the audit report.

(G) Whenever possible, internal audit observations must be performed on an unannounced basis.

(H) All exceptions disclosed during audits must be investigated and resolved.

(I) All internal audit findings must be reported to management, who must respond to internal audit findings stating corrective measures to be taken to avoid recurrence of the audit exception. The management responses must be included in the internal audit reports that are delivered to the casino operator's management, the commission, audit committee of the board of directors, or other entity designated by the executive director.

Last updated February 28, 2022 at 8:50 AM

History

Effective: February 28, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-15 Information technology controls.

(A) The casino operator's information technology ("IT") department is responsible for the quality, reliability, accuracy, security, and integrity of all gaming-related computer systems, regardless of the system's location.

(B) Each casino operator must provide hardware and software, approved by the executive director, for the exclusive use of the commission to facilitate access to the casino operator's gaming-related systems from commission offices.

(C) Each casino operator must provide the commission with a comprehensive list of all gaming-related computer systems in a format approved by the executive director. Each casino operator must provide updates to the list as changes occur.

(D) The area where the gaming-related system servers and core components are located must be secured and access restricted to appropriate personnel. Access to the secured area must be logged. The log must be reviewed for accuracy and completion by a member of the IT department at least monthly. At a minimum, the log must include the following information:

(1) Date and time the secured area was entered;

(2) Date and time the secured area was exited;

(3) Reason for access;

(4) First and last name of individual entering the area; and

(5) License number of individual entering the area, if applicable.

(E) Logical access and security measures must be implemented on all gaming-related systems to segregate incompatible functions, prohibit unauthorized access, and prevent loss of data integrity. The measures must include:

(1) Creation and maintenance of gaming-related system user accounts, which must be reviewed for appropriate access levels at least quarterly. The review must be documented and checked for accuracy and completion by a member of the IT department; and

(2) Gaming-related system user accounts must be authenticated prior to being given access. Appropriate authentication mechanisms (passwords, biometrics, etc.) and security policies must be used.

(F) Gaming-related system data must be backed-up and recoverable. The back-up and recovery process must be logged.

(G) Gaming-related system security event logs must be monitored and reviewed for suspicious activity and abnormal operation. The commission must be notified upon confirmation of any activity or abnormal operation that results in unauthorized access to, or loss of, gaming-related system data.

(H) Remote access to gaming-related systems may be allowed, but must adhere to the following guidelines:

(1) A unique gaming-related system user account must be established for each vendor requesting remote access;

(2) A dedicated and secure communication mechanism must be used to provide remote access;

(3) Each instance of remote access must be activated by the casino operator's IT department;

(4) Remote access must be deactivated by the casino operator's IT department at the conclusion of each instance of remote access; and

(5) Each instance of remote access must be logged. At a minimum, the log must include the following information:

(a) Date and time remote access capability was activated;

(b) Date and time remote access capability was deactivated;

(d) First and last name of the individual or unique service request tracking number assigned by the licensed gaming-related vendor remotely accessing the system;

(e) First name, last name, and license number of the IT department member who activated the remote access capability;

(f) First name, last name, and license number of the IT department member who deactivated the remote access capability; and

(g) The reason for remote access, including a description of the actions taken during the remote access session.

(I) Each casino operator's internal controls must contain provisions for IT, which include, but are not limited to:

(1) Procedures for the control and installation of gaming-related system software. A software control log evidencing all authorized changes to software must be maintained and reviewed for accuracy and completion by a member of the IT department; and

(2) Procedures for the examination of gaming-related system software to detect changes, whether authorized or not. The examination must occur at least monthly and must be logged and reviewed for accuracy and completion by a member of the IT department.

Last updated February 28, 2022 at 8:50 AM

History

Effective: February 28, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-16 Cashier's cages, main bank, and count rooms.

(A) Each casino facility must have a main cashier's cage adjacent to the gaming floor.

(B) Each casino facility may also have one or more satellite cages separate and apart from the main cashier's cage that may be used for performing some of the functions of the main cashier's cage.

(D) Each casino facility must have a count room located in a secure area of the casino facility.

(E) The main cashier's cage, main bank, and count room must be equipped with the following security controls:

(1) A double-door entry and exit system (mantrap) that contains different locks on each door and will not permit a person to pass through the second door until the first door is securely locked. Access to each door of the mantrap must be controlled by different independent casino departments. An emergency exit without a mantrap may be installed in these locations as approved by the executive director;

(2) Automatically triggered alarms monitored by the surveillance department which sound when any door is opened unexpectedly;

(3) Manually triggered silent alarms accessible to each workstation monitored by the surveillance department; and

(4) Tables used for the count must be constructed of clear glass or similar transparent material so that all activity may be monitored by the surveillance department.

(F) Any window in a cashier's cage, main bank, or count room must be secured in a manner that prevents any person from passing through the opening.

(G) Each casino operator's access controls must detail the access restrictions and processes of all casino cashiering areas, including the main cashier's cage, satellite cages, main bank, and count rooms.

(H) Unless otherwise approved by the executive director, the casino cashiering areas, including the main cashier's cage, satellite cages, main bank, and count rooms, must only be used for the processing of casino gaming and promotional transactions.

(I) Each casino operator must offer services for converting cashless wagering instruments to cash at all times during which the casino facility is open for business.

Last updated February 28, 2022 at 8:51 AM

History

Effective: February 28, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-17 Accounting controls for the cage, main bank, and redemption kiosks.

(A) Each casino operator's internal controls must detail the procedures for operating the cages, main bank, and satellite cages. The procedures must provide for the following:

(1) The organization, number, and qualifications of staff;

(2) The beginning and ending times for each shift;

(3) Documentation to support any transfers between the cage, main bank, or satellite cages, and adequate security to provide safety of funds being moved;

(4) The recording of perpetual inventory and the reconciliation of physical inventory to that perpetual inventory upon the changing of shifts, and documentation to support such information;

(5) The documentation of imprest amounts being transferred upon the changing of shifts, and signatures of the incoming and outgoing cashiers or supervisors; and

(6) Adequate key control to assure the security of funds during a shift.

(B) Any variances in the cages, main bank, or redemption kiosks, must be documented by the casino operator and a system must exist to identify variances by each individual cashier or redemption kiosk. If a variance exceeds five hundred dollars, the variance must be reported to the commission and investigated by the casino operator. The findings of the investigation must be forwarded to the commission.

(D) Redemption kiosks will be returned to an imprest amount and must be reconciled on a schedule as established in the casino operator's internal controls.

(E) Procedures for redemption kiosk reconciliation, for all types of transactions offered, must be described in the casino operator's internal controls and must include:

(1) Procedures for removal and counting of all currency and vouchers from the redemption kiosks;

(2) Procedures for performing and documenting fills and drops of redemption kiosks; and

(3) Procedures for documenting the imprest amount per reconciliation period.

(F) A trial balance of gaming operation accounts receivable, including the name of the customer and current balance, must be prepared at least monthly for active, inactive, settled, or written-off accounts. The trial balance of gaming operation accounts receivable must be reconciled to the general ledger each month. The reconciliation and any follow up performed must be documented, maintained for inspection, and provided to the commission upon request.

(G) All cage and credit accounting procedures and any follow-up performed must be documented, maintained for inspection, and provided to the commission upon request.

Last updated February 28, 2022 at 8:51 AM

History

Effective: February 28, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-18 Table drop boxes and electronic gaming equipment bill validator canisters: physical requirements and transportation.

(A) Each casino operator must submit for executive director approval the specific times and procedures that table drop boxes and electronic gaming equipment (EGE) bill validator canisters will be brought to or removed from table games and EGE. The procedures may allow for the casino operator to remove table game drop boxes and EGE outside of the approved times only if the box or canister is full or has malfunctioned.

(B) The executive director may require a table game drop box or EGE bill validator canister to be removed and secured in the count room or other designated location at any time.

(C) Transportation of table game drop boxes and EGE bill validator canisters must be performed by a member of the security department and at least one other licensed employee, as designated in the casino operator's internal controls. The surveillance department must monitor the process.

(D) Table game drop box removal must be performed at least once per gaming day for all tables that offered casino gaming. Each table game drop box must be removed and replaced with an empty table game drop box in a continuous process. Upon removal from the tables, table game drop boxes must be transported in a locked trolley directly to the count room, or other secure area as approved by the executive director, and secured until the count takes place.

(E) EGE bill validator canister removal must be performed at least once per week for all EGE that offered casino gaming. Each bill validator canister must be removed and replaced with an empty bill validator canister in a continuous process. Upon removal from EGE, bill validator canisters must be transported in a locked trolley directly to the count room, or other secure area as approved by the executive director, and secured until the count takes place.

(F) Licensed employees authorized to remove table game drop boxes and EGE bill validator canisters must be precluded from having simultaneous access to remove table game drop boxes or EGE bill validator canisters and access to the drop box or canister contents.

(G) When not in use, empty table game drop boxes and EGE bill validator canisters must be stored in a locked trolley in the count room or in a secure area as approved by the executive director. Access to stored empty table game drop boxes and EGE bill validator canisters must require the involvement of at least two licensed employees from independent departments.

(H) Each table game drop box and EGE bill validator canister must:

(1) Have a unique identification number assigned to it that can be readily identified and correlates with the table game or EGE in which it is placed;

(2) Be fully enclosed, except for openings as required for the designed operation;

(3) Be designed to prohibit the removal of the contents without the use of the appropriate key (content key); and

(4) Be designed to prohibit the removal from a table game or EGE without the use of the appropriate key (release key).

Last updated February 28, 2022 at 8:51 AM

History

Effective: February 28, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-19 Count procedures.

(A) Each casino operator's internal controls must detail the count procedures for counting the proceeds from casino gaming.

(B) The counting process must be conducted by a count team that is independent of the cashier's cage, the accounting department, all audit functions, and of the transactions being reviewed and counted, unless otherwise approved by the executive director.

(D) There must be at least three count team employees in the count room during the counting process, until the proceeds from casino gaming have been accepted into the cage or main bank accountability.

(E) Table game drop boxes and electronic gaming equipment bill validator canisters containing the proceeds from casino gaming must only be opened and counted in the count room by the count team. Only count team members can handle the proceeds from casino gaming during the count.

(F) Access to the count room must be restricted as follows:

(1) When proceeds from casino gaming are present in the count room, access is limited to members of the count team, security, main bankers, and commission personnel. The executive director may conditionally approve temporary access for additional individuals, as requested.

(2) When proceeds from casino gaming are not present in the count room, access is limited to those detailed in the casino operator's access controls.

(G) Entering and exiting the count room during the counting process is only permitted when scheduled or for emergencies. Commission personnel may enter and exit at any time.

(H) All persons present in the count room during the counting process, except commission and security personnel, must wear a full-length, one-piece, pocket-less outer garment with openings only for the arms, feet, and neck.

(I) Only transparent bags and containers are permitted in the count room.

(J) Before conducting the counting process, the count team must test the counting machines for accuracy. The test procedures must be witnessed by at least two count team members and must be documented. The test documentation must be signed by at least two count team members and included in the final count documentation. Counting machines that fail the test must not be used.

(K) Before conducting the counting process, the count team must alert the surveillance department that the counting process is about to begin.

(L) Each member of the count team must display the backs and palms of their hands to the view of the other members of the count team and a surveillance camera prior to commencing and after completing each of the following:

(1) Transporting money from the count table to the count machine or placing money into the count machine;

(2) Removing money from the count machine or transporting money from the count machine to the count table;

(3) Conducting the bulk count of loose bills at the end of the count; and

(4) Removing or returning hands from a position on or above the count table;

(5) Returning hands to a position on or above the count table; and

(6) Coming in contact with their person or that of another individual.

(M) At least three members of the count team must attest in writing as to the results of the count prior to the proceeds being given to the main banker.

(N) All proceeds from casino gaming must be turned over to a main banker who must be independent of the count team. The main banker must conduct a bulk count of the proceeds from casino gaming and then compare it to the count documentation. The main banker must attest in writing to the amount of funds. All differences must be reconciled before the remaining count team members leave the count room.

(O) The count documentation, with all supporting documents, must be delivered to the accounting department by a licensed person independent of the cashier's cage department. Alternatively, the count documentation and all supporting documents may be secured in a locked canister or other device to which only accounting personnel have access, until retrieved by the accounting department.

Last updated February 28, 2022 at 8:51 AM

History

Effective: February 28, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-20 Unsecured currency.

(A) Each casino operator must record the following information for currency inserted into a casino game, but found outside of the table game drop box or electronic gaming equipment (EGE) bill validator canister:

(1) The table game number or EGE asset number wherein the currency was inserted;

(2) The date the currency was found; and

(3) The value of the currency.

(B) The unsecured items must be brought to the count room with the proceeds from casino gaming and included in the revenue for the associated game.

Last updated February 28, 2022 at 8:51 AM

History

Effective: February 28, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-21 Manual game payouts.

(A) Each casino operator's internal controls must detail the procedures for paying manual payouts, which must include the following:

(1) Verification and documentation of the manual payout by a licensed employee of the respective department, or requirements for detailed information on payout documents that are generated by casino or slot management systems;

(2) Submission of a manual payout two-part form to the cage;

(3) Processing system overrides or adjustments;

(4) Completing and filing required tax forms;

(5) Checking the identity of patrons winning taxable payouts against required intercept databases;

(6) Documented patron acknowledgment of the amount to be paid;

(7) Documented supervisor verification of manual payouts over ten thousand dollars;

(8) The daily review of all manual payouts from EGE. The review must consist of a comparison of the EGE's recorded manual payout meter with the actual amount paid for each manual payout; and

(9) Documenting, investigating, and resolving inconsistencies encountered while reviewing manual payouts from EGE. The procedures must include:

(a) The variance threshold at which an investigation is necessary. The commission must be notified of variances requiring investigation within one week of the variance discovery;

(b) The procedures for conducting and documenting the investigation; and

(B) Surveillance department must monitor all manual payouts over ten thousand dollars.

(D) A casino operator may not offer games that offer annuity or merchandise payouts unless otherwise approved by the executive director.

Last updated February 28, 2022 at 8:52 AM

History

Effective: February 28, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-22 Tips and gratuities.

(A) Licensed employee's may not solicit any tip or gratuity from any patron of the casino facility.

(B) Licensed employee's acting in a supervisory capacity may not accept any tip or gratuity from a patron of the casino facility.

(C) All tips and gratuities given to table game dealers must be deposited in a transparent locked box reserved for such purpose. The tips and gratuities must be placed in a pool for distribution, pro rata, among the table game dealers, unless the tips and gratuities are given during the conduct of a player against player contest.

Last updated February 28, 2022 at 8:52 AM

History

Effective: February 28, 2022
Promulgated Under: 119.03

Chapter 3772-11 Table Games

Ohio Adm.Code 3772-11-01 Definitions.

As used in the rules adopted by the commission, the following words have the following meanings:

(A) "Burning cards" means a process performed by a dealer in which one or more cards are removed from the top of the deck of cards and placed in the discard pile after the cards have been cut, and a process of a dealer discarding other cards as required by the game rules.

(B) "Counterfeit chip" means any chip or chip-like objects that have not been approved pursuant to this chapter.

(C) "Non-value chips" means any chip used for roulette or player against player contests that may not be exchanged for currency.

(D) "Pit area" means the areas within a casino facility that are completely enclosed or encircled by gaming tables where access is restricted and casino personnel administer and supervise the games played.

(E) "Rake" means a commission charged by the casino operator for maintaining or dealing a game, including an entry fee for a player against player contest.

(F) "Table game mechanism" means a component that is critical to the operation of a table game, as determined by the executive director, including any wheel apparatus used for outcome determination.

(G) "Value chip" means a chip with a value impressed, engraved, or imprinted on the chip that may be exchanged for currency.

Last updated May 2, 2022 at 9:25 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-02 Approval of table games and publication of table game information.

(A) A casino operator must not operate a table game or table game mechanism unless the table game and the table game mechanism have been approved by the executive director. The executive director may require an independent testing laboratory evaluation of the proposed table game and table game mechanism before it is approved for use or at any time thereafter.

(B) A casino operator must submit internal controls for the operation of any table game. The controls must include:

(1) Procedures for dealing the game;

(2) Proceudres for handling game irregularities; and

(3) Procedures for collecting and paying wagers.

(C) The executive director may require a trial period to analyze the operation and performance of a table game and associated equipment in a live gaming environment. The conduct of the trial period will be subject to compliance by the casino operator with any conditions that may be required by the executive director, including duration of the trial.

(D) The casino operator must obtain written approval from the executive director before installing or removing a table game or associated equipment from the gaming floor.

(E) A casino operator must not operate any table game or associated equipment that becomes unsuitable for operation at a casino facility.

(F) Payoff schedules must be worded in a manner that does not mislead the public.

(G) A casino operator must prominently post a copy of the game rules and payoff schedules on its website for each table game offered and provide a copy of the rules and payoff schedules for any table game offered if requested by a patron.

Last updated May 2, 2022 at 9:26 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-03 Table game supervision.

(A) Each casino operator must maintain staffing of table games supervisors or similar positions as approved by the executive director.

(B) The table games supervisors and the oversight of their assigned table games and pit operations must be directly supervised by either a table games manager or casino shift manager.

(C) The casino shift manager must assign table games managers specific responsibilities regarding activities associated with specific tables.

Last updated May 2, 2022 at 9:26 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-04 Minimum and maximum table game wagers.

(A) All minimum and maximum wagers must be posted at each table and may be changed between games by posting new table limits.

(B) If the minimum or maximum wager is changed, the sign must be changed to reflect the new amount. A casino operator may allow the following bets during a table limit change:

(1) Patrons who were playing when minimum table limits were raised may continue to place bets under the old table minimum limit; and

(2) Patrons who were playing when a maximum table limit was lowered may be allowed to continue placing bets under the previous table maximum bet.

(D) A patron may aggregate current bets to satisfy a table game minimum unless the casino posts that aggregation is not permitted.

(E) Unless otherwise approved by the executive director, casino operators must not accept wagers from anyone other than an individual wagering from a recognized table position.

Last updated May 2, 2022 at 9:26 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-05 Dealer hand clearing.

Each dealer must clear their hands in view of all persons in the immediate area and surveillance before and after touching their body and when entering and exiting the game. "Clearing" one's hands means holding and placing both hands out in front of the body with the fingers of both hands spread and rotating the hands to expose both the palms and the backs of the hands to demonstrate that the hands are empty.

Last updated May 2, 2022 at 9:27 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-06 Table inventory.

(A) Chips may be added or removed from the table inventory in only the following instances:

(1) In exchange for cash, coupons, markers, or other payment, if applicable, presented by the patron;

(2) For payment of winning wagers or collection of losing wagers made at the table;

(3) Through approved internal controls governing table fill and credit procedures;

(4) In exchange with patrons for gaming chips of equal value; or

(5) In exchange with patrons for non-value chips on the roulette table.

(B) A casino operator must not transfer or exchange chips or currency between table games.

(C) Table inventories must be maintained in trays that are covered with a transparent locking lid when the tables are closed. The information on the table inventory slip must be placed inside the transparent locking lid and must be visible from the outside of the cover. In case of an emergency, the transparent lid must be locked over the inventory until normal play resumes.

(D) The table inventory slip must be at least a two-part form, one of which must be designated as the "opener" and the other as the "closer."

(E) If a table game is not open for play for seven consecutive gaming days, the table inventory must be counted and verified either by two table games supervisors or by a table games supervisor and a dealer, who shall prepare a new table inventory slip and place the previous inventory slip in the table drop box.

(F) Foreign currency must not be exchanged or accepted in the pit.

(G) Patrons must purchase chips from the casino operator. Patrons must not purchase chips from other patrons.

(H) A casino operator may have procedures for sanitizing chips in the table inventory.

Last updated May 2, 2022 at 9:27 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-07 Patron exchanges.

(A) Whenever a patron presents cash, tickets, or other physical payment instrument to a dealer at a gaming table to obtain gaming chips, the following requirements must be met:

(1) The physical payment instrument, if applicable, must be spread on the top of the gaming table by the dealer in full view of the patron who presented it and the supervisor assigned to that gaming table;

(2) The physical payment instrument, if applicable, must be taken from the top of the gaming table and placed by the dealer into the drop box.

(B) When electronic payments are exchanged at a gaming table, the amount exchanged must be displayed in a manner that is visible to the patron, dealer, and surveillance.

(C) When the value of cash, tickets, chips, or other payment in patron exchanges exceeds thresholds set by the executive director, the following additional requirements must be met:

(1) The amount to be exchanged must be announced by the dealer accepting the cash, tickets, chips, or other payment in a tone of voice calculated to be heard by the patron and the supervisor assigned to that gaming table; and

(2) A supervisor must verify the amount of cash, tickets, chips, or other payment as they are exchanged.

Last updated May 2, 2022 at 9:27 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-08 Opening of gaming tables.

(A) Immediately before opening a table for gaming, a table games supervisor or table games manager must unlock the transparent table tray lids in the presence of the dealer assigned to the table.

(B) The dealer in addition to either the table games supervisor or table games manager must each count the chips by denomination, in accordance with requirements for proving chips, and verify the count to the opening table inventory slip.

(C) The dealer and the table games supervisor or table games manager must sign and attest to the accuracy of the information recorded on the opener.

(D) Once signed, the opener must be deposited into the drop box attached to the gaming table.

(E) Internal controls must include procedures for reconciling instances when counted inventory differs from the amount recorded on the opener and must include the name of the table games supervisor or table games manager preparing a table games variance slip, the signatures required, distribution of each part of the form, and the assurance that one part is deposited in the drop box. Each variance of one hundred dollars or more at any table must be reported immediately by the table games supervisor or table games manager to a commission gaming agent on duty.

Last updated May 2, 2022 at 9:27 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-09 Closing of gaming tables.

(A) Whenever a gaming table is closed, all chips remaining at the table must be counted and verified, in accordance with requirements for proving chips, by either two table games supervisors or a table games supervisor in addition to a dealer, who must prepare a table inventory slip.

(B) After the table inventory slip is signed by the table games supervisor and the dealer, the closing table inventory slip must be deposited in the drop box.

(C) The table games supervisor must place the opening inventory slip under the table tray lid in a manner that the amounts on the opening inventory slip may be read and lock the lid in place.

(D) Each time a table game is closed, complete closing procedures must be followed to include the counting, verification, recording, and securing of the chips in the tray, as well as the proper disposal of the cards or dice that were in play. If the game is reopened again on the same gaming day, complete opening procedures must be followed to include the counting and verification of chips in the tray and inspection of cards or dice and all applicable gaming equipment. The opening and closing inventory table slip for games that are opened and closed more than once in a gaming day may be marked in a manner that indicates the sequence of the slips.

(E) During twenty-four hour gaming, a closing table inventory slip or list of closing inventories by table and pit must be prepared for that gaming day.

Last updated May 2, 2022 at 9:28 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-10 Gaming table chip fills.

(A) Each casino operator must establish internal controls identifying the positions that have authority to initiate fills, credits, or enter related data into the casino's automated table system.

(B) The internal controls must detail the procedures to initiate the request for fill process. If a request for fill slip is used, procedures for distribution of the slip must be included in the internal controls.

(1) The amount by denomination;

(2) The total amount;

(3) The game or table number and pit;

(4) The date and time; and

(5) The required signature or computer identification code of the preparers.

(D) A two-part computer-generated fill slip must be used to record the transfer of chips from the cashier's cage to a gaming table. The fill slips must be numbered by the computer in a manner that ensures that every fill in a given calendar year has a unique sequential number.

(E) Two copies of the computerized fill slips must be printed simultaneously, and a record of the transaction must be stored within the computer database.

(F) If a computerized fill slip needs to be voided, the cage cashier must mark "VOID" across the original and all copies of the fill slip with an explanation of why the void was necessary. Both a cashier's cage employee and either a security department employee or another licensed employee independent of the transaction must sign the voided fill slip. The voided fill slips must be submitted to the accounting department for retention and accountability. The transaction must be properly voided in the computer database.

(G) A two-part fill slip must be printed in the cashier's cage containing the information required in paragraph (B) of this rule. A security department employee must verify the chip totals with the fill slip. A cashier's cage employee must present the ordered chips to a security department employee in a clear chip carrier. Once verified, both a cashier's cage employee and security department employee must sign the fill slip.

(H) After notifying surveillance, a security department employee must take the chips and the fill slips to the indicated table. Only a security department employee must transport fills. The chips must be counted by the dealer and witnessed by a table games supervisor and security department employee in full view of surveillance. After verifying the chips to the amounts listed on the fill slip, the table games supervisor and a dealer must sign the fill slip. The table games supervisor and security department employee must observe the dealer place the chips in the rack. The fill slip must be deposited in the table drop box. A security department employee must not leave the table until the chips have been placed in the racks and the fill slip has been dropped. A security department employee must return a copy of the fill slip to the cashier's cage.

(I) The main bank cashier must verify the manual fill slips total to the amount in the automated accounting system. All fill paperwork must be forwarded to accounting.

Last updated May 2, 2022 at 9:28 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-11 Gaming table chip credits.

(A) Two-part computer-generated credit slips must be used to record the transfer of chips from a gaming table to the cashier's cage. The credit slips must be sequentially numbered by the computer system, ensuring that each credit in a given calendar year is assigned a unique number. Chips must not be transported unless accompanied by a credit slip.

(B) The positions designated in the casino operator's internal controls must enter a request for credit into the computer, including the following information:

(1) The amount by denomination;

(2) Total amount;

(3) Game or table number and pit;

(4) Date and time; and

(5) Required signatures or computer identification code of the preparers.

(C) A security department employee must obtain the credit slip and chip carrier from the cage and proceed to the pit area.

(D) The dealer must count the chips in full view of a security department employee and either the table games supervisor or an employee in a higher position. The count must be conducted in full view of a camera connected to the surveillance department.

(E) The table games supervisor and a dealer must verify that the value of the chips in the carrier matches the amount on the credit slip and sign the credit slip. The security department employee must verify that the chips match the credit slip, sign the credit slip, and carry the chips and the credit slip to the cashier's cage.

(F) A cashier's cage employee must receive the credit slip and the chips from the security department employee, verify that the chips match the credit slip, and sign the credit slip. A copy of the credit slip must be retained by the cashier's cage.

(G) The copy of the credit slip must be taken back to the table by the security department employee and be deposited into the table drop box.

(H) The main bank cashier must document the aggregate total of all credit slips and verify the total against the amount on the automated accounting system. All credit paperwork must be forwarded to the accounting department by the main bank cashier.

(I) If a credit slip needs to be voided, the cashier's cage employee must mark the slip "VOID" with an explanation of why the void was necessary across the original and all copies of the credit slip. Both the cashier's cage employee and a security department employee independent of the transaction must sign the voided credit slip. The voided credit slip must be transferred to the accounting department, where the slip must be retained. The transaction must be properly voided in the computer database.

(J) The ability to input data into the casino operator's computer system from the pit must be restricted to the positions designated in the casino operator's internal controls.

(K) Each employee in accounting who makes corrections must initial each correction and include that employee's commission license number.

Last updated May 2, 2022 at 9:28 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-12 Table game secondary procedures.

Each casino operator must have a secondary method documented in the internal controls that must allow for the table game fills and credits to be processed when the primary automated system is unavailable.

Last updated May 2, 2022 at 9:29 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-13 Table games inspection and maintenance.

(A) Each casino operator must establish the following procedures in the internal controls for inspecting and maintaining roulette wheels, big six wheels, and any other table game mechanisms:

(1) Procedures for and personnel involved in inspecting and balancing wheels and other table game mechanisms before a table is opened for play;

(2) Procedures for inspecting any roulette balls that may be played in that gaming day;

(3) Procedures for assessing the randomness of game outcomes;

(4) Logging of inspections and maintenance; and

(5) A maintenance schedule for games with table game mechanisms.

(B) The casino operator must immediately notify the commission upon discovering that a roulette ball or wheel, or other table game mechanism's play was compromised.

Last updated May 2, 2022 at 9:29 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-14 Progressive table games.

Each table game that includes progressive manual payouts must have a progressive meter visible to patrons. If any part of the distribution to the progressive manual payouts is being used to fund a secondary manual payout, visible signage informing players of this supplemental distribution must be placed in the immediate area of the table. The existence of progressive manual payouts and the distributions to those manual payouts must be set forth in the published rules for each game having a progressive manual payout.

Last updated May 2, 2022 at 9:29 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-15 Instructional table games.

(A) A casino operator may offer instructional table games if all of the following conditions are met:

(1) Only canceled cards and dice are used;

(2) Gaming chips used in the instructional table game are marked "no cash value" or are distinctively different from any value and non-value chips used in the casino facility and can be readily seen if intermingled into a stack of active chips of a similar color;

(3) No wagering is permitted;

(4) No prizes are awarded in association with the games; and

(5) All participants are at least twenty-one years of age.

(B) Written notification setting forth the date, time, type of event, and event location must be submitted to the executive director in advance of the instructional game.

Last updated May 2, 2022 at 9:29 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-16 Required gaming chips.

(A) Unless otherwise authorized by the executive director, each casino operator must have a primary set of value chips, and a separate secondary set of value chips.

(B) The secondary set of value chips must have different secondary colors than the primary set for all denominations of twenty-five dollars and higher.

(C) A casino operator must remove a set of value or non-value chips from active play if any one of the following conditions are met:

(1) A determination is made by the casino operator that the casino facility is receiving a significant number of counterfeit chips;

(2) Any impropriety or defect in the utilization of a set of value or non-value chips makes removal of the set necessary; or

(3) The executive director orders the removal of any set of chips.

(D) An approved secondary set of value chips must be placed into active play when the primary set of value chips is removed.

(E) If a set of non-value chips is removed it must be replaced with a different set of approved nonvalue chips or the game must be closed for play.

Last updated May 2, 2022 at 9:30 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-17 Chip specifications.

(A) Casino operators must submit a detailed schematic and production sample of proposed value chips and non-value chips to the executive director for approval before placing them into circulation.

(B) The detailed schematic must show the front, back, and edge of each denomination of value chip and each non-value chip and the design and wording to be contained on the chip.

(D) A casino operator must notify a gaming agent upon discovering a counterfeit chip and must deliver the counterfeit chip to the gaming agent.

(E) Each value and non-value chip must have its center portion impressed, engraved, imprinted, or inlaid with the name of the casino facility that is issuing the chip.

(F) Each value chip issued by a casino operator must have the following characteristics:

(1) Be round;

(2) Have its center portion impressed, engraved, imprinted, or inlaid with the value of the chip;

(3) Have, at least on one side of the chip, the name of the city or other locality and the state in which the casino facility is located and either the manufacturer's name or a distinctive logo or other mark identifying the manufacturer;

(4) Utilize a different center shape for each denomination; and

(5) Be designed so that the specific denomination of a chip can be determined on surveillance camera monitors when placed in a stack of chips of other denominations.

(G) Unless otherwise authorized by the executive director, value chips may be issued by casino operators in denominations of one dollar, two dollars and fifty cents, five dollars, twenty dollars, twenty-five dollars, one hundred dollars, five hundred dollars, one thousand dollars, five thousand dollars, ten thousand dollars, and twenty-five thousand dollars. Each casino operator will have the discretion to determine the denominations to be utilized at its casino facility and the amount of each denomination necessary for the conduct of casino gaming operations.

(H) Unless otherwise authorized by the executive director, value chips worth equal to or less than five hundred dollars must have a diameter of thirty-nine millimeters, and value chips worth greater than five hundred dollars must have a diameter of forty three millimeters.

(I) Each denomination of value chip must have a different primary color from every other denomination of value chip. Unless otherwise approved by the executive director, value chips must have the colors specified in this paragraph when the chips are viewed both in daylight and under artificial light. In conjunction with these primary colors, each casino facility must utilize contrasting secondary colors for the edge spots on each denomination of value chip. Unless otherwise approved by the executive director, no casino operator can use a secondary color on a specific denomination of chip identical to the secondary color used by another casino facility in this state on that same denomination of value chip. The primary color to be utilized by each casino facility for each denomination of value chip must be as follows:

(1) For one dollar, white;

(2) For two dollars and fifty cents, pink;

(3) For five dollars, red;

(4) For twenty dollars, yellow;

(5) For twenty-five dollars, green;

(6) For one hundred dollars, black;

(7) For five hundred dollars, purple;

(8) For one thousand dollars, fire orange;

(9) For five thousand dollars, grey;

(10) For ten thousand dollars, burgundy; and

(11) For twenty-five thousand dollars, blue.

(J) Each non-value chip utilized by a casino operator for roulette must meet the following conditions:

(1) Contain a design, insert, or symbol differentiating it from the non-value chips being used at every other roulette table in the casino facility;

(2) Have "Roulette" impressed on it; and

(3) Only be used for roulette.

(K) Non-value chips issued at a roulette table may only be used for gaming at that table and must not be redeemed or exchanged at any other location in the casino facility. When so presented, the dealer at the issuing table must exchange these chips for an equivalent amount of value chips.

(L) Patrons must not be allowed to remove non-value chips from the roulette table from which the chips were issued.

(M) Patrons at a roulette table may not be issued or permitted to wager with non-value chips that are identical in color and design to value chips or to non-value chips being used by another person at the same table. When a patron purchases non-value chips, a non-value chip of the same color must be placed in a slot or receptacle attached to the outer rim of the roulette wheel. At that time, a sign denoting the value of a stack of twenty chips of that color must be placed in the slot or receptacle.

(N) Each casino operator has the discretion to permit, limit, or prohibit the use of value chips in wagering at roulette. Each casino operator is responsible for keeping 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.

Last updated May 2, 2022 at 9:30 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-18 Transportation of table game mechanisms and gaming chips.

(A) A casino operator must notify the executive director at least five days in advance of a proposed transportation of table game mechanisms or gaming chips and comply with any conditions imposed by the executive director. The notice must include the following information:

(1) The full name and address of the licensee causing transportation of the table game mechanisms or gaming chips;

(2) The full name and address of the entity receiving the table game mechanisms or gaming chips;

(3) The quantity, manufacturer's make, model, and identifying number, including the approved artwork number, of each item, if applicable;

(4) The expected date the table game mechanisms or gaming chips will be transported; and

(5) The expected date of delivery of the table game mechanisms or gaming chips.

(B) Nothing in this rule prohibits the transportation of any table game mechanisms or gaming chips going to different destinations from being transported by the same carrier simultaneously, provided the table game mechanisms or gaming chips for each destination are physically segregated.

Last updated May 2, 2022 at 9:30 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-19 Receipt, inventory, and storage of gaming chips.

(A) Casino operators must open and inspect any shipment of gaming chips upon receipt. The inspection must be performed by at least two licensed employees from different departments, one of which must be from the cage department and the other from the security or table games department.

(B) All employees participating in the inspection must sign the invoice attesting that the delivered chips match the amount, denominations, and designs listed on the invoice. Any deviation between the invoice and the actual chips received must be reported to a commission gaming agent.

(C) All chips in possession of the casino operator must be placed in a chip inventory. All chip inventory changes must be conducted in the presence of at least two licensed employees from different departments.

(D) The casino operator, at a minimum, must maintain the following chip inventory categories:

(1) Primary chips for current use;

(2) Reserve chips that may be placed into play as the need arises; and

(3) Secondary chips that are held to replace the primary set when needed.

(E) All chip inventory changes must be recorded in the chip inventory ledger. The ledger must include:

(1) The denomination of each value chip or description of each non-value chip;

(2) The number of each denomination of value chip or each type of non-value chip;

(3) Whether the chips are being removed or added;

(4) The date;

(5) The inventory category (primary, reserve, secondary);

(6) The reason for the inventory change; and

(7) The signature of the employees completing the process.

(F) Chips must be stored in the chip bank, vault, locked compartment in a cashier's cage, a table game float, or other secure location approved by the executive director, with access restricted to appropriate personnel.

(G) Secondary chips must be stored separately from reserve chips.

(H) The casino operator's accounting department must complete a physical inventory count of all chips at the casino facility quarterly and record the results, including the unredeemed chip liability, in the chip inventory ledger. Each employee who inspected and counted the chips must sign either the inventory ledger or other supporting documentation. A physical inventory count of chips in the secondary and reserve inventories need only be completed annually, so long as the inventory procedures incorporate a commission-sealed, locked storage compartment. Seals may only be removed by commission personnel, with each violation of this requirement reported upon discovery to a gaming agent on duty.

Last updated May 2, 2022 at 9:31 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-20 Exchange of gaming chips.

(A) Chips may only be issued to a patron and only at the request of that patron.

(B) Chips may only be issued at cashiers' cages, live table games, and any other location approved by the executive director.

(D) Chips must be redeemed for cash, digital currency, or check dated the day of the redemption, except when the chips were obtained or used unlawfully.

(E) Any casino operator may demand the redemption of its chips from any person in possession of them.

(F) If a casino operator allows for the exchange, redemption, use, or wagering of gaming chips from other casinos, the casino operator's internal controls must detail the procedure for the redemption or exchange, including the logging of the foreign chip exchanges.

Last updated May 2, 2022 at 9:31 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-21 Proving chips.

(A) A dealer must prove chips when opening, closing, filling, or crediting a table by displaying and counting chips in full view of surveillance and a table games supervisor or higher position.

(B) Proving chips must include the dealer placing the chips on the table game layout, separating the chips into equal stacks, and displaying each of the chips from one of the stacks individually to show the exact count of chips in that stack.

Last updated May 2, 2022 at 9:31 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-22 Destruction of gaming chips.

(A) Destruction of gaming chips must be approved by the executive director. A casino operator must notify the executive director of the proposed destruction at least seven days in advance and comply with any conditions imposed by the executive director. The notice must include the following:

(1) The date on which and the location at which the destruction will be performed;

(2) The denomination of the chips to be destroyed;

(3) The number and amount of value chips to be destroyed;

(4) The description and number of non-value chips to be destroyed; and

(5) A detailed explanation of the method of destruction.

(B) The casino facility's surveillance staff and a commission gaming agent must be notified before the commencement of destruction.

(C) The destruction of chips must occur in a room monitored by surveillance for the duration of destruction, unless otherwise approved by the executive director.

(D) Unless otherwise authorized by the executive director, the destruction of chips must be carried out in the presence of at least three licensed employees, one from the cage department, one from the table games department, and the other one from the security department. The following information regarding destroyed chips must be recorded in the chip inventory ledger:

(1) The denomination, number, and amount of value chips or, in the case of non-value chips, the description and number so destroyed;

(2) The signatures of the licensed employees carrying out the destruction; and

(3) The date and time the destruction took place.

Last updated May 2, 2022 at 9:32 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-23 Card and dice specifications.

(A) Casino operators must submit a detailed schematic and production sample of proposed cards or dice to the executive director for approval before placing them into play.

(B) The detailed schematic must show all sides of the cards or dice and the design and wording to be contained on the cards or dice.

(C) Unless otherwise approved by the executive director, each die used in casino gaming must meet the following requirements:

(1) Be formed in the shape of a cube with a size no smaller than .750 inch on each side and not any larger than .775 inch on each side;

(2) Be transparent and made exclusively of cellulose except for the spots, name, or trade name of the casino facility and serial numbers or letters contained on the die;

(3) Have the surface of each of its sides flat and the spots contained in each side flush with the area surrounding them;

(4) Have all edges and corners square and forming ninety degree angles;

(5) Have the texture and finish of each side exactly identical to the texture and finish of all other sides;

(6) Have its weight equally distributed throughout the cube, with no side of the cube heavier or lighter than any other side of the cube;

(7) Have its six sides bearing white circular spots from one to six respectively, with the diameter of each spot equal to the diameter of every other spot on the die;

(8) Have spots placed on the die by drilling into the surface of the cube and filling the drilled-out portion with a compound that is equal in weight to the weight of the cellulose drilled out and that forms a permanent bond with the cellulose cube. Each spot must extend into the cube exactly the same distance as every other spot extends into the cube to an accuracy tolerance of .0004 inch. The spots must be arranged as follows:

(a) The side containing one spot is directly opposite the side containing six spots;

(b) The side containing two spots is directly opposite the side containing five spots; and

(9) Have the name or trade name of the casino facility in which the die is being used imprinted or impressed on the die.

(D) Unless otherwise approved by the executive director, all cards used for table games must meet all of the following requirements:

(1) Cards shall be in standard decks of fifty-two cards, with each card identical in size and shape to every other card in the deck;

(2) Each standard deck must be composed of four suits: diamonds, spades, clubs, and hearts;

(3) Each suit must consist of thirteen cards: "ace," "king," "queen," "jack," "10," "9," "8," "7," "6," "5," "4," "3," and "2." The face of the "ace," "king," "queen," "jack," and ten value cards may contain an additional marking that will permit a dealer, before exposing the dealer's hole card at the game of blackjack, to determine the value of that hole card;

(4) The backs of all cards in the deck must be identical and no card may 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;

(5) The backs of all cards in the deck must be designed so as to diminish as far as possible the ability of any person to place concealed markings on the backs;

(6) The design to be placed on the backs of cards used by casino operators must contain the name or trade name of the casino facility where the cards are to be used; and

(7) Each package of cards must be wrapped with cellophane.

(E) Casino operators may use packages containing multiple pre-shuffled decks of cards supplied by a gaming-related vendor whose quality controls are sufficient to ensure the integrity of casino gaming.

(F) The cards used by a casino operator in any poker room game must be visually distinguishable from the cards used by that casino operator to play any other table games.

Last updated May 2, 2022 at 9:32 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-24 Card and dice receipt, storage, and use.

(A) Cards and dice must be stored in a secure storage area with access restricted to appropriate personnel. The storage area for used cards and dice must be separate from the storage area for new cards and dice.

(B) An inventory ledger must be maintained for all card and dice storage areas. The ledger must be updated whenever cards or dice are added or removed from the storage area and whenever cards or dice are canceled or destroyed. The ledgers must be reconciled daily and at a minimum include the following:

(1) The current balance of cards and dice of each type on hand in the storage areas;

(2) All transactions of cards or dice added or removed from the storage area;

(3) All transactions of cards or dice canceled or destroyed;

(4) The date and time of each transaction; and

(5) The signature of each licensed employee involved with each transaction.

(C) When cards or dice are received for use in the casino facility the following requirements must be completed by at least two licensed employees, one of which must be from the table games department and the other from the security or accounting department:

(1) The packages must be inspected for proper quantity and any obvious damage;

(2) The cards or dice must be recorded in the inventory ledgers. Any discrepancies in the invoice or packing list or any defects found must be reported upon discovery to a gaming agent on duty; and

(3) The boxes must be placed in secured storage.

(D) Each day a table games supervisor, in the presence of a security department employee and after notification to surveillance, must transport cards and dice to the gaming floor and distribute the cards and dice to the table games supervisors as necessary.

(E) Any movement of cards or dice between table game pits after being delivered to the gaming floor must be made by a table games supervisor and require a security escort after notifying surveillance.

(F) The casino operator's internal controls must include procedures for changing cards after periods of use.

(G) Cards and dice are unsuitable for use and must be removed from play if there is any indication of tampering, flaws, scratches, marks, or other defects that might affect the integrity of the game. Unsuitable cards or dice identified by the casino operator must be reported to a gaming agent on duty and surveillance.

(H) If a single card is damaged and is therefore unsuitable for use on a game using multiple decks of cards, a single card may be replaced. The replacement must be conducted according to the following requirements:

(1) Surveillance is notified of the replacement;

(2) The single card is replaced from a designated replacement deck kept locked in the pit stand; and

(3) The replacement deck is used only once, is made whole with the insertion of the affected card, and is immediately sealed and placed into either the cancellation or destruction process required by this chapter.

(I) If a card is damaged and therefore unsuitable for use on a game using a single deck the entire deck must be replaced.

(J) At the end of each gaming day or at any other times as may be necessary, a table games supervisor other than the person who originally inspected the dice must visually inspect each die for evidence of tampering.

(K) As necessary, cards and dice must be removed from the gaming floor by security. Security will notify surveillance and transport the used cards and dice to a secured storage area to be canceled or destroyed.

(L) Used cards and dice shall be transported secured in transparent sealed bags that are designed so any tampering after they are sealed is evident. The transparent bags should include the following information:

(1) The date and time of removal from play;

(2) The table number; and

(3) The signature of the employees removing the cards or dice from play.

(M) A physical inventory of all cards and dice both in storage and in play at the casino facility must be conducted by employees with no incompatible functions with discrepancies reported to the commission gaming agent on duty.

Last updated May 2, 2022 at 9:32 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-25 Inspection of cards and dice before use.

(A) Before dice are used for play, a table games supervisor must inspect each die according to the following requirements:

(1) Each die must be tested with a micrometer, balancing caliper used on a flat surface, and a steel set square to ensure that each die is compliant with the commissions specifications and that there is no evidence of tampering or other irregularity. These instruments must be kept in a compartment at each pit which includes games using dice. The instruments must be readily available for use by the commission.

(2) Dice inspections must occur at a location in the pit area that is observable by surveillance.

(3) Dice may not be scribed or marked after the inspection.

(4) Following this inspection, the table games supervisor, in the presence of another table games supervisor, must place the dice in a container on the table for use in gaming or in a locked, access restricted, compartment. The dice must not be left unattended while not secured in a locked compartment.

(B) Before cards are used for play they must be distributed to the dealer at each table where they will be used and inspected by the dealer according to the following requirements:

(1) Both single deck packages of cards and pre-shuffled multiple deck packages of cards must be inspected to ensure there is no evidence of tampering with the packaging.

(2) Each single deck of cards and every tenth pre-shuffled multiple deck package of cards must be opened and inspected by the dealer with the inspection verified by a table games supervisor. This inspection requires the dealer to open the cards, verify the correct individual cards are present, and visually confirm that no evidence of tampering or irregularity is present on the front or back of each card. The inspected cards must be shuffled at the table prior to use.

(C) Dice found to be unsuitable for use must be removed from play and reported to a commission gaming agent on duty and surveillance.

Last updated May 2, 2022 at 9:32 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-26 Cancellation and destruction of cards and dice.

All cards and dice used in casino gaming or which are removed from new inventory for any other reason must be canceled or destroyed in a manner described in the casino operator's internal controls.

Last updated June 2, 2025 at 7:56 AM

History

Effective: May 31, 2025
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-27 Table game layouts.

All table game layouts must meet the following requirements:

(A) Markings on the layout must be of a size that can be adequately seen by the surveillance;

(B) The odds of winnings and payouts must be included in markings on the layout when required by the executive director;

(D) All other components of the game on the layout must be of a size that can be adequately seen by surveillance; and

(E) A colored depiction of the table must be submitted to the executive director for approval before being placed into play.

Last updated May 2, 2022 at 9:33 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-28 Prohibited activities.

Casino operators must not:

(A) Permit the use of any table game or associated table game equipment that could have been marked, tampered with, or otherwise placed in a condition or operated in a manner that might affect the normal game play and its payouts;

(B) Conduct, carry on, operate, or deal any cheating or thieving game or device on the casino facility premises;

(D) Permit a patron to use any calculator, computer, or other electronic, electrical, or mechanical device to do any of the following:

(1) Assist in projecting the outcome of a game;

(2) Keep track of cards that have been dealt; or

(3) Keep track of changing probabilities.

(E) Permit any cheating device to remain in use in any casino facility.

Last updated May 19, 2022 at 3:17 PM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Chapter 3772-12 Voluntary Exclusion and Compulsive and Problem Gambling Plan Compliance Procedures

Ohio Adm.Code 3772-12-01 Definitions, purpose, and scope of the Ohio voluntary exclusion program.

(A) As used in agency 3772 of the Administrative Code, the following words have the following meanings, unless the context clearly indicates otherwise:

(1) "Excluded entity" means all casino facilities, as defined in section 3772.01 of the Revised Code; all video lottery terminal facilities, as authorized in section 3770.21 of the Revised Code; and all sports gaming conducted by sports gaming proprietors, as defined in section 3775.01 of the Revised Code and the rules adopted thereunder.

(2) "Excluded facilities" means all casino facilities, as defined in section 3772.01 of the Revised Code; all video lottery terminal facilities, as authorized in section 3770.21 of the Revised Code; and all sports gaming facilities, as defined in section 3775.01 of the Revised Code.

(3) "Ohio voluntary exclusion program" or "Ohio VEP" means the combined voluntary exclusion program, consisting of the Ohio casino control commission voluntary exclusion program, created pursuant to section 3772.03 of the Revised Code; the state lottery commission voluntary exclusion program, created pursuant to section 3770.03 of the Revised Code; and the sports gaming voluntary exclusion program, created pursuant to section 3775.02 of the Revised Code.

(4) "Ohio VEP application" means a prescribed contract that an individual must complete and agree to in order to participate in the Ohio VEP.

(B) The purpose of this chapter is to help curtail disordered and problem gambling in the state of Ohio by creating the Ohio voluntary exclusion program.

(C) Participants in the Ohio VEP agree to exclude themselves from both excluded facilities and excluded entities, as further enumerated in this chapter and the associated Ohio VEP application.

(D) Except as described in rule 3772-12-07 of the Administrative Code, no person will be able to voluntarily exclude themselves from only certain aspects or portions of the Ohio VEP.

(E) Nothing in this chapter will prohibit participants in the Ohio VEP from entering an excluded facility for the purpose of carrying out the duties of their employment. Any such individual must submit notification of their employment in accordance with the procedure described on a prescribed form.

(F) The Ohio casino control commission or state lottery commission, in consultation with each other, may disclose anonymized information from the Ohio VEP and any legacy voluntary exclusion programs described in rule 3772-12-07 of the Administrative Code to one or more research entities selected by the Ohio casino control commission for the purpose of evaluating the effectiveness and ensuring the proper administration of the Ohio VEP.

(G) This chapter is to be read in tandem with Chapter 3770:2-8 of the Administrative Code.

Last updated December 21, 2022 at 8:35 AM

History

Effective: December 21, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-12-07

(A) This rule applies only to those individuals who submitted their application to join the Ohio casino control commission's voluntary exclusion program prior to March 1, 2019, and those individuals who submitted their application to join the Ohio VEP prior to the effective date of this rule and have not yet sought removal from the applicable program.

(B) The individuals who submitted their application to join the Ohio casino control commission's voluntary exclusion program prior to March 1, 2019, may continue their participation and voluntary exclusion from only the four casino facilities in the state of Ohio.

(C) The individuals who submitted their application to join the Ohio VEP prior to the effective date of this rule may continue their participation and voluntary exclusion from only the four casino facilities and seven video lottery terminal facilities in the state of Ohio.

(D) The application for voluntary exclusion signed by the individual at the time of enrollment governs their participation.

(E) These individuals may submit an Ohio VEP application, pursuant to rule 3772-12-02 of the Administrative Code. The individual's selected length of exclusion on this application will supersede their previously selected length of exclusion and will expand to all excluded entities and facilities.

(F) Notwithstanding any rules to the contrary, or the terms of the applicable application to join the voluntary exclusion program, those individuals who selected the lifetime exclusion are permitted to seek removal from the voluntary exclusion program if they comply with the requirements set forth in paragraph (D) of rule 3772-12-05 of the Administrative Code.

Last updated June 17, 2024 at 10:45 AM

History

Effective: December 21, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-12-02 Application for Ohio voluntary exclusion.

(A) Ohio VEP applications will be available for completion at all Ohio casino facilities, video lottery terminal facilities, and the online Ohio VEP portal. If an individual is unable to appear in person at any of these facilities to complete an application and unable to utilize the online portal, the individual may contact staff from the state lottery commission or the Ohio casino control commission during regular business hours to make alternative arrangements to complete the application.

(B) No application will be accepted if it was not completed in the presence of either commission's staff or through the online Ohio VEP portal.

(C) As part of the Ohio VEP application, the individual must select the duration of their participation in the Ohio VEP. An individual may select any of the following time periods as a length of exclusion:

(1) A minimum of one year;

(2) A minimum of five years; or

(3) Lifetime, subject to paragraph (D) of rule 3772-12-05 of the Administrative Code.

(D) If an individual completing the Ohio VEP application, in the presence of an Ohio casino control commission or state lottery commission agent, appears to be doing so involuntarily or while impaired, their application will be rejected.

(E) After an individual's Ohio VEP application has been processed, delivery of written confirmation of their participation in the Ohio VEP will be attempted. Failure of delivery of the notification does not negate the individual's participation in the Ohio VEP.

Last updated June 4, 2024 at 1:41 PM

History

Effective: December 21, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-12-05

(A) A participant in the Ohio VEP is not automatically removed from the program at the end of the applicable exclusion period.

(B) Upon reaching the selected minimum length of voluntary exclusion, an individual may request removal from the Ohio VEP.

(C) An individual may be removed from the one-year or five-year exclusion by requesting and completing an unaltered application for removal.

(D) An individual may be removed from the lifetime exclusion, if the individual has:

(1) Remained in the Ohio VEP for at least five years;

(2) Completed the Ohio VEP education program on problem gambling awareness; and

(3) Requested and completed an unaltered application for removal.

Last updated June 17, 2024 at 10:44 AM

History

Effective: December 21, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-12-03 Responsibilities of voluntarily excluded individuals.

(A) Participants in the Ohio VEP agree to abide by all terms listed in the Ohio VEP application, including refraining from entering an excluded facility or engaging in or attempting to engage in gaming offered by an excluded entity.

(B) Except as provided in paragraph (C) of this rule, participants who violate the terms of the Ohio VEP at a casino or sports gaming facility, or on an online sports pool, agree to surrender to the casino control commission any money or thing of value the individual has converted or attempted to convert into a wagering instrument and any prize won, claimed, or attempted to be claimed.

(1) Seized assets at a casino facility will be deposited into the state problem gambling and addictions fund.

(2) Seized assets at a video lottery terminal facility will be deposited to the state lottery commission for the sole use of problem gambling prevention and treatment.

(3) All other seized assets will be deposited into the problem sports gaming fund.

(C) Participants in the Ohio VEP must agree to forfeit all points, complimentaries, or promotional credits earned by the individual on or before the date the individual completed their Ohio VEP application. However, if at the time the individual completed the Ohio VEP application, the individual has placed a wager that is not yet decided or is owed a cash amount from an excluded entity or facility, the individual still has the right to receive the amount owed, including the amount due as a result of any pending wager winning, being voided, or otherwise being canceled from the entity or facility, even after placement on the voluntary exclusion program. No sports gaming wager that is currently pending at the time of a participant's enrollment in the Ohio VEP may be voided or cancelled by either party solely due to that participant's enrollment. To the extent that promotional credits, complimentaries, or points described above may be redeemed for cash under the entity's or facility's marketing program, the individual is entitled to receive that amount.

(D) A voluntarily excluded individual who violates the terms of the Ohio VEP by entering any of the excluded facilities may face charges for criminal trespass.

(E) The individual must remain a participant in the Ohio VEP for at least the minimum duration of their selected length of exclusion before they may request to be removed, subject to paragraph (D) of rule 3772-12-05 of the Administrative Code.

(F) An Ohio VEP participant may always request to increase their length of exclusion.

Last updated December 21, 2022 at 8:36 AM

History

Effective: December 21, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-12-04 Responsibilities of excluded entities or facilities.

(A) This rule only applies to excluded entities or facilities in their capacity as either a casino or sports gaming facility or in their capacity as an online sports pool.

(B) Each excluded entity or facility must maintain a system for indicating whether an individual is in the Ohio VEP and must have approved procedures to update the system with changes in the enrollment status of those individuals at least once every seven days.

(C) Casino operators must immediately notify Ohio casino control commission staff if an Ohio VEP participant is found on the premises.

(D) Within seventy-two hours of an Ohio VEP participant being found on premises or engaging in sports gaming through an online sports pool, an excluded entity or facility must provide to the Ohio casino control commission, in writing, the following:

(1) The individual's name;

(2) The individual's date of birth;

(3) The circumstances of the individual's violation or attempted violation of the Ohio VEP; and

(4) The individual's gaming activity, if any.

(E) Nothing in this rule requires an excluded entity or facility to notify the Ohio casino control commission of an individual found on premises who was on property solely for purposes of:

(1) Seeking removal from the Ohio VEP; or

(2) Claiming payments owed to the participant.

(F) Each excluded entity or facility must provide to the Ohio casino control commission a quarterly report of the number of participants in the Ohio VEP who were denied entry or sign-in to a casino facility, sports gaming facility, or online sports pool.

(G) Each excluded entity or facility must comply with the disordered and problem gambling plan established under rule 3772-12-06 of the Administrative Code.

(H) Nothing in this chapter prohibits an excluded entity or facility, or its employees and agents, from seeking payment of a debt from an Ohio VEP participant, if the debt was accrued prior to a participant's enrollment in the Ohio VEP.

(I) No sports gaming wager that is currently pending at the time of a participant's enrollment in the Ohio VEP may be voided or cancelled by either party solely due to that participant's enrollment.

(J) A casino facility must apply the requirements of this rule to individuals participating in a voluntary exclusion program pursuant to rule 3772-12-07 of the Administrative Code.

Last updated December 21, 2022 at 8:36 AM

History

Effective: December 21, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-12-06

(A) Each excluded entity and facility, who is a casino or sports gaming facility or an online sports pool, must provide to the Ohio casino control commission a disordered and problem gambling plan for approval. Each plan must, at minimum, include the following:

(1) The goals of the plan and procedures and timetables to implement the plan;

(2) The identification of the position responsible for the implementation and maintenance of the plan;

(3) Policies and procedures, including the following:

(a) Procedures for compliance with the Ohio VEP including, at a minimum:

(i) Procedures preventing an individual in the Ohio VEP from entering an excluded facility or engaging in or attempting to engage in gaming offered by an excluded entity;

(ii) Procedures identifying and removing individuals in the Ohio VEP from an excluded facility;

(iii) Procedures for preventing dissemination of any advertisement, promotion, or other direct marketing mailing fifteen days after the individual has been placed in the Ohio VEP;

(iv) Procedures for preventing an Ohio VEP participant from having access to credit or from receiving complimentary services, check-cashing services, and other benefits;

(v) Procedures for ensuring the confidentiality of the identity and the information of the Ohio VEP participants; and

(vi) Any other procedure required by the executive director.

(b) The duties and responsibilities of the employees designated to implement or participate in the plan;

(d) Procedures to identify patrons and employees with suspected or known disordered and problem gambling behavior, including procedures specific to loyalty and other rewards and marketing programs;

(e) Procedures for providing information to individuals regarding the Ohio VEP and community, public and private treatment services, peer support groups, and similar treatment or addiction therapy programs designed to prevent, treat, or monitor individuals with a gambling problem or gambling disorder and to counsel family members, including for providing the information upon the request of a patron or employee;

(f) The provision of written material to educate patrons and employees about disordered and problem gambling and to inform them about the Ohio VEP and treatment services available to individuals with a gambling problem or gambling disorder and their families. The excluded entity or facility must provide the Ohio casino control commission examples of the materials to be used and a description of how the material will be disseminated;

(g) Advertising and other marketing and outreach to educate the general public about disordered and problem gambling;

(h) An employee training program, including training materials to be utilized and a plan for periodic reinforcement training and a certification process established by the excluded entity or facility to verify that each employee has completed the training required by the plan;

(i) Procedures to prevent underage gambling;

(j) Procedures for excluded facilities to prevent patrons impaired by drugs or alcohol, or both, from gambling; and

(k) The plan for posting signs within an excluded facility, containing information on gambling treatment and on the Ohio VEP, including examples of the language and graphics to be used on the signs;

(4) A list of public and private treatment services, peer recovery support groups, and similar treatment or addiction therapy programs designed to prevent, treat, or monitor individuals with a gambling problem or gambling disorder and to counsel family members; and

(5) Any other information, documents, and policies and procedures that the Ohio casino control commission requires.

(B) Each excluded entity or facility must submit quarterly updates and an annual report to the Ohio casino control commission of its adherence to the plans and goals submitted under this rule. This report must include any information that the excluded entity or facility has received related to bankruptcy, divorce, crime, and attempted or died by suicide related to gambling offered by an excluded entity or at an excluded facility, including:

(1) The name and date of birth of any individual;

(2) How the entity or facility came to know of the incident; and

(3) A brief description of the incident.

(C) A casino facility must apply the requirements of this rule to individuals participating in a voluntary exclusion program pursuant to rule 3772-12-07 of the Administrative Code.

Last updated June 17, 2024 at 10:44 AM

History

Effective: September 17, 2022
Promulgated Under: 119.03

Chapter 3772-13 Advertising

Ohio Adm.Code 3772-13-01 Definitions.

As used in rules adopted by the commission, the following words have the following meanings:

(A) "Advertisement" means any notice or communication to the public or any information concerning the gaming-related business of a casino operator through broadcasting, publication or any other means of dissemination, including electronic dissemination.

(B) "Direct advertisement" means any advertisement as described in paragraph (A) of this rule that is disseminated to a specific individual or individuals.

(1) A drawing, contest, game, or similar activity in which no consideration is required to participate or compete for the chance to win a gift, prize, or item from the casino operator.

(2) A gift, prize, or item given by a casino operator in accordance with the operator's written criteria and for which no consideration is required.

A casino operator may conduct a promotion in conjunction with a commission-approved casino game, provided that any gift, prize, or item offered is incidental to the underlying casino game and does not require any additional thing of value.

Last updated October 7, 2024 at 12:01 PM

History

Effective: July 27, 2019
Promulgated Under: 119.03

Ohio Adm.Code 3772-13-02 Advertisements.

(A) All advertisements must:

(1) Clearly and conspicuously include messages designed to prevent problem gambling and provide information about how to access resources related to problem gambling, including one of the following:

(a) The national council on problem gambling's twenty-four hour confidential helpline;

(b) The problem gambling hotline number established under section 3772.062 of the Revised Code; or

(2) Clearly and conspicuously specify any material conditions or limiting factors; and

(3) State the name and location of the relevant casino facility, except for billboards within a thirty mile radius of the casino facility.

(B) All advertisements must not:

(1) Obscure any material fact;

(2) Depict or target any individual under the age of twenty-one; or

(3) Be false, deceptive, or misleading.

(C) A casino operator must not advertise or promote on college or university campuses located in the state of Ohio except for generally available advertising, including television, radio, and digital advertising. Any advertisement shown to be targeting the area of a college or university campus is not generally available and will be a violation of this paragraph.

(D) Each direct advertisement must clearly and conspicuously describe a method by which an individual may opt out of receiving future direct advertisements. If the direct advertisement is sent via electronic mail, the described opt out method must include either electronic mail or a linked online website. All other direct advertisements must include at least one of the following methods to opt out:

(1) Telephone;

(2) Regular U.S. mail;

(3) Online website or mobile application; or

(4) Electronic mail.

(E) Casino operators shall cease the public dissemination of an advertisement upon discovery the advertisement fails to continue to comply with the criteria described in paragraph (B) of this rule, or to the extent ordered by the executive director.

(F) Within fifteen days of receipt of an individual's request described in paragraph (D) of this rule, a casino operator shall take the necessary action to prevent future dissemination of direct advertisements to the individual.

Last updated December 2, 2024 at 8:33 AM

History

Effective: November 30, 2024
Promulgated Under: 119.03

Ohio Adm.Code 3772-13-03 Promotions.

(A) A casino operator may only offer a promotion in the manner it is described in written, dated rules that must contain, at a minimum, the following information:

(1) The date(s) on which the promotion will be held;

(2) A description of the promotion, including the structure, equipment, guidelines, any material conditions or limiting factors, and criteria for eligibility, entry, and determination of winners;

(3) The prize or gift structure, including amounts or percentages, or both, for each prize or gift level; and

(4) Procedures for cancellation of the promotion.

(B) A promotion's rules must be made immediately available to the public and the commission upon request.

(C) Each casino operator must establish policies and procedures for conducting promotions. The policies and procedures must include the delegation of authority to approve the issuance of promotional slot or table credits, and the limits that apply to this authority, including limits based on separation of duties and limits based on relationships between the authorizer and the recipient.

(D) Promotions must not be deceptive or misleading, including not using the term "free" or "risk-free" when the patron is required to incur any loss or risk their own money to obtain winnings.

(E) No employee of a casino operator may participate in a promotion offered to casino patrons by the casino operator, or an affiliated casino operator, in the state of Ohio.

(F) Each promotional coupon must clearly and conspicuously contain the following information:

(1) The name and location of the relevant casino facility;

(2) The specific value of any monetary coupon in U.S. dollars;

(3) A unique identifier for complete and accurate tracking and accounting;

(4) All conditions required to redeem the coupon; and

(5) A specific expiration date or condition, if any.

(G) A casino operator must track the issuance and redemption of each promotional coupon.

(H) Promotional coupons must be canceled when they are redeemed, in a manner that prevents illicit redemptions of the same coupon.

Last updated December 2, 2024 at 8:33 AM

History

Effective: November 30, 2024
Promulgated Under: 119.03

Chapter 3772-14 Player Against Player Contests

Ohio Adm.Code 3772-14-01 Player against player contests.

(A) "Player Against Player Contest" means an event in which individuals pay consideration to participate or compete against one another in a program or series of programs in which the casino operator has no stake other than a rake. A promotion, as described in rule 3772-13-01 of the Administrative Code, is not a player against player contest.

(B) "Program" means a poker game, table game, or slot machine that has been approved by the commission for use in the state of Ohio, as required by Chapter 3772. of the Revised Code and the rules adopted thereunder.

(C) A casino operator may offer a player against player contest using a previously-approved program without seeking further approval.

(D) A casino operator shall submit any substantive or material differences made to a previously-approved program or a program that has not already been approved by the commission, to the executive director for approval before the first day of a planned event.

(E) All player against player contests must be conducted using only commission-approved electronic gaming equipment, table games, and table game equipment unless otherwise approved by the executive director.

(F) Player against player contests must be conducted in a separate room or area segregated within the gaming floor, unless otherwise approved by the executive director.

(G) A casino operator may only offer a player against player contest in the manner it is described in written, dated rules that must contain, at a minimum, the following information:

(1) The date(s) on which the player against player contest will be held or its designation as a perpetual event;

(2) Required entry fee or other consideration to be paid in order to participate;

(3) Formula to be used to calculate the rake;

(4) Participant eligibility requirements;

(5) Minimum and maximum number of participants;

(6) A description of the player against player contest, including the program, structure, equipment, guidelines, time limits, any material conditions or limiting factors, and criteria for entry and determination of winners;

(7) The prize structure, including amounts or percentages, or both, for prize levels; and

(8) Procedures for event cancellation, including timely notification to entrants and refunding of entry fees or other consideration collected.

(H) Except for rules 3772-11-05 and 3772-11-28 of the Administrative Code, and to the extent necessary to ensure compliance with paragraph (E) of this rule, player against player contests are not subject to the requirements prescribed in Chapters 3772-9 and 3772-11 of the Administrative Code.

(I) Player against player contest rules shall be made immediately available to the public and the commission upon request.

(J) A casino operator shall keep a complete record of the names of all entrants, all prizes awarded, and prize winners for each player against player contest, unless it was designated as a perpetual event.

Last updated December 2, 2024 at 8:34 AM

History

Effective: November 30, 2024
Promulgated Under: 119.03

Ohio Adm.Code 3772-13-01

As used in rules adopted by the commission, the following words have the following meanings:

(B) "Direct advertisement" means any advertisement as described in paragraph (A) of this rule that is disseminated to a specific individual or individuals.

(1) A drawing, contest, game, or similar activity in which no consideration is required to participate or compete for the chance to win a gift, prize, or item from the casino operator.

(2) A gift, prize, or item given by a casino operator in accordance with the operator's written criteria and for which no consideration is required.

Last updated October 7, 2024 at 12:01 PM

History

Effective: July 27, 2019
Promulgated Under: 119.03

Ohio Adm.Code 3772-11-05

Last updated May 2, 2022 at 9:27 AM

History

Effective: May 2, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-14-02 Monetary controls for player against player contests.

(A) A casino operator shall have written procedures for collecting a rake, including entry fees or other consideration, during the conduct of player against player contests. The rake shall accumulate to gross casino gaming revenue.

(B) Winnings paid in a tournament shall be deductible from gross casino gaming revenue, but any such deduction shall not exceed the total rake, including entry fees or other consideration, received for the tournament and non-cash winnings shall be deductible only to the dollar value of the amount invoiced to and paid by the casino operator.

(C) Player against player contest banks shall be kept at an imprest amount and any variances between the actual amount of chips and cash and the set imprest amount shall be documented and investigated.

(D) Casino operators shall have procedures for conducting transfers between imprest player against player contest banks and casino cages or other imprest player against player contest banks.

(E) Chips or cash shall be transported between imprest contest banks and casino cages or other imprest contest banks in a manner which allows for the chips or cash to be continuously observed by surveillance.

Last updated October 7, 2024 at 12:01 PM

History

Effective: July 27, 2019
Promulgated Under: 119.03

Ohio Adm.Code 3772-14-03 Player against player contest progressive fund.

(A) Each casino operator may operate a player against player contest progressive fund. Progressive fund procedures shall be approved by the executive director and shall include:

(1) How funds will be collected and counted daily by the casino count team in the count room; and

(2) How the funds will be recorded, and where the funds will be held.

(B) The current balance of the progressive fund shall be prominently displayed in the room or area where contests are permitted and shall be updated each gaming day to reflect the amounts collected and distributed over the previous gaming day.

Last updated October 7, 2024 at 12:01 PM

History

Effective: July 27, 2019
Promulgated Under: 119.03

Chapter 3772-15 Independent Testing Laboratories

Ohio Adm.Code 3772-15-01 Independent testing laboratory certification.

(A) An independent testing laboratory must request to be certified by the commission to scientifically test and technically evaluate electronic gaming equipment to be used in casino gaming for compliance with Chapter 3772. of the Revised Code and the rules adopted thereunder.

(B) Commission certification to scientifically test and technically evaluate machines, equipment, software, or other goods to be used in regulated industries other than casino gaming does not grant authority to test or technically evaluate electronic gaming equipment to be used in casino gaming.

(C) An independent testing laboratory requesting certification or renewal certification must pay a nonrefundable certification fee of five thousand dollars.

(D) The certification fee may be increased to the extent that the cost of the compliance investigation exceeds the certification fee set forth in paragraph (C) of this rule. The executive director must advise the independent testing laboratory in writing that an additional certification fee is required and the amount and purpose of the additional fee. The commission will not certify an independent testing laboratory until the entirety of the certification fee is paid.

(E) Unless otherwise approved by the executive director, all fees must be submitted by electronic funds transfer payable to the treasurer of the state of Ohio.

(F) An independent testing laboratory requesting certification or requesting renewal certification must undergo a compliance investigation. Results from a compliance investigation completed within the year prior to a renewal certification request may be applied to the renewal certification request at the executive director's discretion.

(G) Independent testing laboratory certification expires five years after the date of certification.

(H) A certified independent testing laboratory may request renewal of the certification by submitting an intent to renew not less than ninety days before the expiration of the certification.

Last updated July 5, 2022 at 10:41 AM

History

Effective: July 5, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-15-02 Compliance investigation of an independent testing laboratory.

An independent testing laboratory must undergo a compliance investigation at least once every five years, as determined by the executive director, to verify compliance with Chapter 3772. of the Revised Code and the rules adopted thereunder.

(A) All information, documents and materials required by the executive director, must be provided at the independent testing laboratory's sole expense and cost, and the independent testing laboratory must bear the cost of the investigation.

(B) An independent testing laboratory should clearly identify those portions of the information submitted that it deems to be confidential, proprietary commercial information or trade secrets. Information provided as part of the certification process are open to public inspection to the extent permitted by Ohio's Public Records Act and section 3772.16 of the Revised Code.

(1) Business structure including, but not limited to, its ownership and controlling interests;

(2) Policies and procedures to determine if they prevent conflicts of interest, provide for segregation of duties, detect and prevent fraud, and ensure impartiality;

(3) Staff experience and expertise to conduct all required tests;

(4) Staff and equipment to determine if they are sufficient to conduct all required testing;

(5) Financial viability to conduct all required testing; and

(6) Compliance with the requirements of certification as established by Chapter 3772. of the Revised Code and the rules adopted thereunder.

Last updated July 5, 2022 at 11:51 AM

History

Effective: July 5, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-15-03 Requirements of certification.

(A) To be certified and maintain certification, the independent testing laboratory must meet the following requirements:

(1) Be independent of any entity or product for which the laboratory provides testing services;

(2) Maintain "Professional Liability (Errors and Omissions) Insurance" of not less than one million dollars;

(3) Maintain accreditation from a reputable accrediting body to International Organization for Standardization (ISO) standards 17020 and 17025, and any other standards as required by the executive director;

(4) Employ a full-time quality manager who is responsible for ensuring compliance with national accreditation standards and Chapter 3772. of the Revised Code and the rules adopted thereunder;

(5) Maintain physical security at each laboratory facility, including but not limited to, surveillance systems and alarms to minimize the risk that confidential information is misappropriated;

(6) Maintain IT security necessary to minimize the risk that confidential information is misappropriated;

(7) The laboratory must utilize verification methodologies required by the executive director. The laboratory must request approval from the executive director to use alternative verification methodologies. If approved, the laboratory must provide the verification tool utilizing the alternative verification methodologies to the commission;

(8) Ensure that testing and support procedures are performed consistently at all laboratory locations;

(9) Make available to the commission, upon request, all policies, procedures and records of the independent test laboratory;

(10) Make available to the commission, upon request, a master list of all test methods, standards, forms, and other relevant documents used in the independent test laboratory;

(11) Not subcontract any testing without the prior written approval of the executive director;

(12) Maintain all records for a minimum of five years unless otherwise specified as follows:

(a) Maintain for a minimum of five years after an associated commission approval is no longer in effect, an electronic database containing testing data, reports, and related materials and provide access to the commission. Data, reports, and related materials must be provided in a format and through a mechanism required by the commission;

(b) If not available from the manufacturer, maintain an inventory of gaming equipment and versions of software tested by the laboratory and approved by the commission for a minimum of five years after an associated commission approval is no longer in effect; and

(c) Maintain for a minimum of five years after the end of the laboratory's certification period in which the submission occurred, all software and associated documentation and source code submitted for testing, but not subsequently approved by the commission. The information must be stored in a manner which is secure and readily accessible to appropriately approved laboratory personnel.

(13) Assist the commission in investigations when requested, at the expense of the independent testing laboratory. The independent testing laboratory may seek reimbursement from the owner of the devices subject to investigation;

(14) When requested, a laboratory must assist or train commission agents in accounting, auditing, compliance, security, technology, and verification practices for any submission to that laboratory seeking approval from the commission; and

(15) Any additional condition imposed by the commission at a meeting held under section 3772.02 of the Revised Code.

(B) The independent testing laboratory must notify the executive director immediately if it fails to maintain compliance with any of these requirements.

Last updated July 5, 2022 at 11:51 AM

History

Effective: July 5, 2022
Promulgated Under: 119.03

Ohio Adm.Code 3772-15-04 Duties of a certified independent testing laboratory.

(A) A certified independent testing laboratory must provide a recommendation on whether the electronic gaming equipment complies with Chapter 3772. of the Revised Code and the rules adopted thereunder.

(B) A certified independent test laboratory must provide a report to the commission of its test results for each submission to be considered for approval by the commission. The report must be provided in a format approved by the commission. No submission will be considered approved for use in Ohio until approved by the commission.

(C) A certified independent testing laboratory must testify at any administrative hearing or court proceeding as requested by the commission.

(D) A certified independent testing laboratory must annually review each of its employees. This review must include a criminal background check and an assessment of the training, experience, performance, and competence of each employee.

(E) A certified independent testing laboratory must take corrective action whenever any nonconforming work is discovered, laboratory procedures are not followed, procedures are required to be changed or other unsatisfactory conditions exist. A report must be filed internally by the quality manager describing why the problem occurred, what was done to resolve the problem, and how the problem will be prevented in the future. Such report must be made available to the commission upon request.

(F) A certified independent testing laboratory must establish and maintain a training program for its employees to ensure the employees maintain the experience and expertise to conduct all testing required by the commission. Training records must be maintained for all employees and made available to the commission upon request.

(G) A certified independent testing laboratory must test and verify that all testing equipment and software used internally is suitable for use. The laboratory must have internal policies to verify that such equipment and software will perform as needed. The laboratory must maintain records of test cases involving the validation of equipment, software, and methods. All testing performed by the laboratory must be traceable to a test method that has been suitably validated.

Last updated July 5, 2022 at 10:42 AM

History

Effective: July 5, 2022
Promulgated Under: 119.03

Chapter 3772-17 Approval of Third-party Engineering and Accounting Firms

Ohio Adm.Code 3772-17-01 Approval of third-party engineering and accounting firms.

(A) A third-party engineering or accounting firm ("firm") engaged pursuant to sections 3772.09 and 3772.27 of the Revised Code must request approval from the commission and must establish to the commission's satisfaction that the firm is suitable and qualified to conduct such services. The firm's request for approval must contain, at a minimum, the following information and supporting documentation:

(1) A list and description of any and all services that the firm has provided to an Ohio casino operator or an applicant for an Ohio casino operator license over the previous five years;

(2) A certification that the firm and its current partners, principals, or members has not been sanctioned for any failure to comply with rules of professional standards and practices promulgated by the accountancy board of Ohio or the professional engineering and surveyors board within the last five years.

(B) The firm must agree to the following conditions:

(1) The firm will maintain all information compiled in the course of its engagement regarding the casino operator's initial investment in separate files and retain them in accord with any standards promulgated by the accountancy board of Ohio or the professional engineering and surveyors board. Upon request of the commission, the firm will provide the commission access to examine and review documents, records, or other papers created or obtained by the firm in the course of this engagement;

(2) Upon request of the commission, the firm will provide to the commission access to any individuals or sub-contractors who performed services to the casino operator pursuant to this engagement.

(C) The commission may further request information from either the casino operator or the firm regarding this engagement not specifically requested in this rule or in addition to that which is provided in response to this rule.

(D) After all required information and documentation has been satisfactorily submitted, the commission will consider approval of the firm at a meeting held under section 3772.02 of the Revised Code.

(E) The firm may be approved to certify initial investment expenses for more than one casino facility.

(F) The approved firm must also submit to the commission a copy of any certification or examination report that it submits to a casino operator that has engaged it to certify to or attest to initial investment expenses. The firm must certify to or attest that the casino operator has made the necessary expenses for development of the casino facility as required by section 3772.27 of the Revised Code. Such certification or examination report must state that the conclusions it contains were independently arrived at, that the examination was conducted in accordance with standards of practice promulgated by the accountancy board of Ohio or the professional engineering and surveyors board, and that the author or authors of the certification or report believe that the examination conducted provides a reasonable basis for the conclusion stated.

(G) The commission may immediately withdraw the approval of the firm when it cause to do so.

Last updated September 27, 2021 at 8:21 AM

History

Effective: September 27, 2021
Promulgated Under: 119.03

Chapter 3772-19 Security, Surveillance System and Commission Facilities

Ohio Adm.Code 3772-19-01 Definitions.

(A) "Casino surveillance room" means the area reserved for casino surveillance personnel to conduct monitoring and recording activities.

(B) "Surveillance coverage" means the quantity, quality, features, placement, and direction of surveillance cameras and audio recorders used by the casino operator to provide live monitoring and recorded video and audio of the casino facility.

(C) "Surveillance system" means the hardware and software selected by the casino operator to be used by the casino surveillance department and the commission for surveillance purposes.

(D) "Surveillance viewing room" means the area outside of the casino surveillance room in which the director of surveillance may authorize non-casino-surveillance persons to view and listen to the casino surveillance department's video and audio recordings.

Last updated March 29, 2025 at 7:33 PM

History

Effective: March 29, 2025
Promulgated Under: 119.03

Ohio Adm.Code 3772-19-02 Responsibilities of the surveillance department.

(A) Each casino operator must maintain and make available to the commission the following items:

(1) An interactive electronic floor plan that shows the placement of all surveillance equipment in and around the casino facility and all gaming equipment on the gaming floor;

(2) A detailed description of all surveillance system components;

(3) The procedures utilized for operation of the casino surveillance department;

(4) Staffing plans;

(5) A list of personnel authorized to access the casino surveillance room;

(6) A list of persons or positions authorized by the director of surveillance to access the surveillance viewing room; and

(7) Any information related to the operation of the surveillance department as requested by the executive director.

(B) The surveillance department must receive and monitor open-door alerts for all slot machines.

Last updated March 29, 2025 at 7:34 PM

History

Effective: March 29, 2025
Promulgated Under: 119.03

Ohio Adm.Code 3772-19-03 Required surveillance system.

Each casino operator shall install, maintain, and operate in the casino facility a surveillance system in accordance with the specifications of this chapter and as approved by the commission at a meeting held under section 3772.02 of the Revised Code. The surveillance system and casino facility must include components that meet or exceed the following requirements or listed features:

(A) Installation which prevents obstruction, tampering, or disabling.

(B) An uninterrupted power supply which is automatically engaged within ten seconds in the event of a power outage. The uninterrupted power supply shall provide enough power to maintain full system functionality.

(D) Clear presentation and recording of the video and audio from surveillance video cameras.

(E) Recording date and time stamped on all digital recordings and visible on all monitors based on a synchronized and accurate clock.

(F) The ability to provide exported copies of video, audio, and image recordings. The system must include a mechanism for authenticating exported recordings.

(G) Audible and visual notification of any failure of recording.

(H) Logical access and security measures must be implemented in the same way as required for gaming-related systems in 3772-10-15.

(I) Reformat and erase capabilities must be restricted to appropriate personnel.

(J) Remote access for authorized casino personnel, the commission, and vendors. Remote access for casino personnel and vendors shall be administered in accordance with the requirements for remote access listed in rule 3772-10-15 of the Administrative Code.

(K) Log all user activity.

Last updated March 29, 2025 at 7:35 PM

History

Effective: March 29, 2025
Promulgated Under: 119.03

Ohio Adm.Code 3772-10-15