Ch. 5: Internal Controls

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Code of Maine Rules › 16-633 Gambling Control Board › Ch. 5

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III Specific controls

III-A Legal age requirements

At each public entry point, and posted in prominent locations throughout the facility, the following statement will be posted: “Maine law requires a person to be 21 years of age or older in order to play slot machines or table games.” The statement shall be clearly readable by any patron entering the facility. The Operator shall be responsible for the statement being displayed at all times.

Each Operator, as part of its internal controls, shall indicate the forms of identification that it accepts as verification that someone is of legal age to be on the gaming floor.

III-B Facility Based Monitoring System Functionality.

A facility based monitoring system shall provide for the following security and audit requirements:

A program that enables on-line searching of the event log for the present storage cycle and for the previous 30 days through archived data or restoration from backup memory devices. The program shall have the ability to perform a search based on the following:

Date and time range;

Unique hardware components that interface with the facility based monitoring system; and

Event number or identifier.

A master “slot file” that is an operating database for every slot machine in operation and includes the following information:

Unique interface element or location identification number;

Asset number;

Theoretical payout percentage of the slot machine; and

Control program identification numbers within the slot machine.

A database that maintains events generated by a slot machine including the following:

Date and time which the event occurred;

Identity of the slot machine that generated the event; and

A unique number/code that defines the event.

Password access or logon. There shall be a provision for system administrator notification and user lockout or audit trail entry after five (5) or fewer unsuccessful login attempts; and

Prohibit alteration of any log information communicated from the slot machine

time which the event occurred;

Identity of the slot machine that generated the event; and

A unique number/code that defines the event.

Password access or logon. There shall be a provision for system administrator notification and user lockout or audit trail entry after five (5) or fewer unsuccessful login attempts; and

Prohibit alteration of any log information communicated from the slot machine.

III-C Facility Based Monitoring System and Computer Dianostics.

The facility based monitoring system’s slot machine communication protocol shall have the ability to immediately act upon commands received from the facility based monitoring system (FBMS), which provide:

The ability to suspend play on a slot machine;

Daily reports of events; and

Reports providing:

All accounting data contained in the FBMS;

Information on individual events and transactions contained in the FBMS; and

The history of a specific slot machine transaction contained in the FBMS.

The FBMS shall:

Capture all information required for tickets enumerated in III-M Ticket-in, Ticket-out (TITO) slot machines, and

Not permit a configuration setting change that causes an obstruction or interruption to the electronic accounting meters, affect the integrity of the slot machine, or communications without a RAM clear.

An interface element is any system component external to the operation of a slot machine that assists in the collection and processing of data sent to the FBMS, such as a slot machine interface board (SMIB). All interface elements shall:

Be locked in the machine or system;

Maintain separate electronic meters that shall allow for review on demand at the interface element level;

Retain the required information after a power loss for at least 72 hours;

Provide a means to preserve all meter information and event information until it is communicated to the FBMS; and

Allow for the association of a slot machine asset number used in conjunction with a slot machine file on the FBMS

n separate electronic meters that shall allow for review on demand at the interface element level;

Retain the required information after a power loss for at least 72 hours;

Provide a means to preserve all meter information and event information until it is communicated to the FBMS; and

Allow for the association of a slot machine asset number used in conjunction with a slot machine file on the FBMS. The slot machine asset number shall be used by the FBMS to:

Track all information regarding an individual slot machine; and

Identify only one slot machine in the FBMS.

An interface element that serves as a data collector for the FBMS shall:

Provide an error detection and correction scheme to ensure an accuracy of 99 percent or better of messages received; and

Secure all accounting data communications in accordance with the facility’s internal controls.

Each system critical to the operation of the slot machine’s interface element and the FBMS shall be tested to verify that it performs within its manufactured design specifications. Each system shall be tested:

Under controlled laboratory conditions prior to installation at a casino or slot machine licensed facility; and

At the time of transition from central site monitoring to facility-based monitoring to ensure proper configuration of the equipment and installation of the security applications.

The FBMS shall maintain an internal master clock that reflects time in 24-hour format and data that shall be used to provide:

Time stamp of events;

Reference clock for reporting; and

Updated clocks in the system servers, networked systems, or distributed systems.

The FBMS shall create an audit log for any alterations of any accounting or event log information. The audit log must include at least:

The name of the data element altered;

The value of the data element:

Prior to data alteration; and

After data alteration.

The time and date of alteration for each data element alteration event; and

The identification of the individual who performed the alteration

The FBMS shall create an audit log for any alterations of any accounting or event log information. The audit log must include at least:

The name of the data element altered;

The value of the data element:

Prior to data alteration; and

After data alteration.

The time and date of alteration for each data element alteration event; and

The identification of the individual who performed the alteration.

The FBMS shall provide:

Redundant copies of each log file or system database or both; and

Open support for backups and restoration of each log file or system database.

The data contained in the FBMS shall be backed-up daily in a digital format. The back-up data records shall be sufficient to reconstruct the entire day’s activity.

A readily accessible copy of the back-up data records shall be stored for a minimum of 30 days secured in an industry standard two-hour fire and water resistant storage device approved by the Board initially for either on or off-site. Unless there is any allegation of a violation made by the Board, director, department, licensed facility employee, or patron, the licensed facility shall maintain the relevant data records until advised in writing by the director that the record may be deleted.

The casino or slot machine licensee shall provide the department with the contact information, address, and telephone number of each time a new off-site location is used or an off-site location is changed.

The FBMS shall only be reloaded using data contained in the most recent complete back-up data records that contains at least:

An events log;

All accounting information;

All auditing information; and

Specific site information such as device file or employee file

th the contact information, address, and telephone number of each time a new off-site location is used or an off-site location is changed.

The FBMS shall only be reloaded using data contained in the most recent complete back-up data records that contains at least:

An events log;

All accounting information;

All auditing information; and

Specific site information such as device file or employee file.

The FBMS shall:

Implement self-monitoring for all interface elements;

Keep a log of all error conditions;

Monitor the operation of each slot machine in real-time;

Retrieve all financial accounting information for each slot machine on a daily basis;

Report all events in real-time; and

Employ security systems, support measures, or networks to ensure that there is no alteration of any information as it is being communicated from a slot machine to the FBMS.

A slot machine or progressive slot machine shall not be enabled to play following the receipt of any critical malfunction until the control program is authenticated.

The FBMS shall collect and store the following information from each slot machine:

Total credits-in;

Total credits-out;

Total value of all bills, tickets, and vouchers collected by the slot machine;

Total value of all handpays;

Cancelled unpaid credits;

Total monetary value of all bills accepted;

Total number of each type of bill accepted by denomination;

Games played;

Cabinet door openings;

Drop door openings;

Total monetary value of all tickets accepted; and

Total monetary value of all tickets produced.

The FBMS shall recognize an electronic identification card, or equivalent, which card identification shall:

Only be issued to specifically designated licensed employees;

Be inserted into the slot machine utilized prior to the opening of a slot machine door; and

Only be utilized after surveillance has been notified of and approves the CPU door opening

Total monetary value of all tickets produced.

The FBMS shall recognize an electronic identification card, or equivalent, which card identification shall:

Only be issued to specifically designated licensed employees;

Be inserted into the slot machine utilized prior to the opening of a slot machine door; and

Only be utilized after surveillance has been notified of and approves the CPU door opening.

III-D Slot Machine

III-D-1 Slot Machine and Components

An Operator shall only offer slot machines that transmit or track financial data using a game services protocol, such as the Slot Accounting System (SAS) and progressive systems, which, when communicating from machine to machine, may use any generally accepted communication protocol certified by a Board approved independent testing laboratory.

Prior to the delivery of a slot machine or progressive system for play in Maine, the Director must receive written certification from a Board-approved independent testing laboratory that all criteria for operation contained in Title 8, Chapter 31 and Board rules are met.

The manufacturer of any slot machine, slot machine game or progressive system to be offered for play in Maine is responsible for all compliance testing and the cost thereof.

Slot machines and progressive systems shall be capable of resuming game play without operator intervention and shall withstand the following tests where applicable:

Random Number Generator Test;

Electro-Magnetic Interference Test;

Electro-Static Interference Test;

Radio Frequency Interference (RFI) Test;

Magnetic Interference Test; and

Liquid Spills Test.

A slot machine shall have an identification badge permanently affixed to the exterior of the slot machine cabinet by the manufacturer, which shall include:

The name of the manufacturer;

A unique serial number;

The slot machine model number; and

The date of manufacture

est;

Electro-Static Interference Test;

Radio Frequency Interference (RFI) Test;

Magnetic Interference Test; and

Liquid Spills Test.

A slot machine shall have an identification badge permanently affixed to the exterior of the slot machine cabinet by the manufacturer, which shall include:

The name of the manufacturer;

A unique serial number;

The slot machine model number; and

The date of manufacture.

Slot machine components, including progressive systems and any software requiring certification by an independent testing laboratory, shall have an identification affixed to the exterior of the component by the manufacturer, where applicable, which shall be the date of manufacture and either:

The name of the manufacturer;

A unique serial number; or

A part number unique to that type of component if applicable.

All slot machines shall have Asset and location numbers affixed to the outside of the machine and of sufficient height and size to be clearly visible and readable by the surveillance system.

All slot machine external doors shall be locked.

The opening and closing of all slot machine external doors that provide access to the machine’s interface elements shall be:

Monitored by door access sensors, which shall immediately:

Detect when a door is opened or moved from its fully closed and locked position;

Report the door opened event to the slot machine by way of an error; and

Notify the surveillance department of the door opening, which shall record all activities at that slot machine until such time as the incident has been satisfactorily resolved.

Logged in a machine entry authorization log (meal book) or Board approved device except during slot machine drops by the count team.

The slot machine shall have a light or audible alarm, or both, that automatically illuminate and sound when:

A player attempts to redeem credits that the slot machine cannot automatically pay;

An error condition has occurred; or

A player has initiated a “Call Attendant” condition

achine entry authorization log (meal book) or Board approved device except during slot machine drops by the count team.

The slot machine shall have a light or audible alarm, or both, that automatically illuminate and sound when:

A player attempts to redeem credits that the slot machine cannot automatically pay;

An error condition has occurred; or

A player has initiated a “Call Attendant” condition.

The power switch for a slot machine shall be:

Clearly labeled; and

Located within the interior of the slot machine.

The operation of a slot machine, slot machine component, slot machine game, or progressive system:

Shall not be altered by surges or reductions of ± 10% of the power supply voltage; and

May be reset if there is no:

Damage to the equipment; or

Loss or corruption of data.

Each individual slot machine shall be controlled by one or more microprocessors, which shall be physically located within the slot machine’s locked logic compartment and have a key different from the key used for the slot machine main door.

Ticket printers shall be in a locked area of the slot machine and provide an alert when the ticket printer:

Is out of paper;

Is low on paper;

Is disconnected; or

Has a printer jam or failure.

The slot machine shall enter a lock-up condition if:

The sum of the award from the single play of a game is equal to or greater than the IRS taxable threshold for slot machine winnings, at which time a manual jackpot payment shall be made;

The integrity of the machine is compromised; or

A component critical to the proper operation of the machine has failed.

The lock-up condition shall require an attendant to:

Complete any required manual jackpot payment consistent with Board rules; or

Clear the error on the slot machine before play may resume on the slot machine.

A slot machine shall have an electronic identification card reader or Board-approved equivalent which shall be used to communicate with the FBMS

e proper operation of the machine has failed.

The lock-up condition shall require an attendant to:

Complete any required manual jackpot payment consistent with Board rules; or

Clear the error on the slot machine before play may resume on the slot machine.

A slot machine shall have an electronic identification card reader or Board-approved equivalent which shall be used to communicate with the FBMS.

Any adjustments made to a slot machine’s gaming options, slot machine components, or a progressive system during a RAM clear must be completed pursuant to Board rule.

Games that have software and/or software components, shall meet the following requirements:

Any software or software components shall:

Not be introduced into a facility before department approval,

Not be duplicated by the facility,

Be stored within a locked cabinet located at the licensee’s facility.

Actual game title software and logic software shall be secured within a locked cabinet and:

Such software must be tracked using a log that includes:

Date and time inventory is changed,

Software version,

Manufacturer name,

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

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

Must be scheduled with the department in the presence of a department inspector for destruction when it reaches obsolete or revoked status; and,

Must be for those slot machine game titles that require complete software reload and contain both game title and RAM clear software on the same piece of storage media. This type of game/RAM clear software shall be stored in the same cabinet as the other RAM clear software to be utilized when needed for RAM clear purposes only

spector for destruction when it reaches obsolete or revoked status; and,

III-D-2 Slot Machine Logic Compartment

The logic compartment is a locked compartment contained within each slot machine cabinet which shall:

Have its own locked door;

Be separate from any external door lock; and,

Contain, at a minimum, the central processing unit or units that control the slot machine.

B.) A slot machine, slot machine game or progressive game or system may not be offered for play until:

1) A licensed independent testing laboratory has certified that it meets all requirements of Board rules.

2) The department inspector has verified the identity of the software program and confirmed that it has been certified by an independent testing laboratory; and

3) For slot machines:

a.) The department inspector has secured the logic compartment with a key assigned to department inspectors only or with the use of evidence tape, software verification that takes place, which occurs at least once every 24 hours; or

b.) The Board approves an alternate procedure for verification of software when requested by a licensee.

The department may apply evidence tape to any slot machine components that could affect the outcome of the game, including progressive systems where applicable and as required by this chapter.

C.) A slot machine shall employ a verification mechanism which allows remote validation of all control program storage media. Should a slot machine not be able to support this functionality, the Board should be contacted directly by the manufacturer or supplier to obtain a waiver

uld affect the outcome of the game, including progressive systems where applicable and as required by this chapter.

1) The verification mechanism shall be readily accessible via a communication port and utilize Game Authentication Terminal (GAT) protocol, version 3.50.1 or later, or another protocol approved by the Board.

2) The communication port shall be located within the slot machine and allow connectivity without requiring access to the locked logic compartment. If the port is located on the backplane of the interior cabinet, an extension cable shall be permanently mounted to allow connection of the required cable towards the front interior of the cabinet.

3) The slot machine shall provide on-demand authentication of each control program storage media. This function shall not require the slot machine’s power to be cycled, and the execution time shall not exceed twenty minutes.

4) The slot machine shall generate a unique signature for each control program storage media utilizing Secure Hashing Algorithm-1 (SHA-1) or greater, or another algorithm approved by the Board.

5) The slot machine shall provide support for escrowing and retrieving verification results. Verification results shall be preserved and retrievable pending a subsequent verification request or a loss of power.

ification results shall be preserved and retrievable pending a subsequent verification request or a loss of power.

D.) Slot machines approved for use prior to the effective date of the amendments contemplated by rulemaking proposal filing number 2025-P188 that do not have this functionality described in C.) will be grandfathered in and checked by using a software signature verification device. However, no additional slot machines will be accepted after the effective date of the amendments by rulemaking proposal filing number 2025-P188 unless they comply with C.) or a waiver is obtained from the Board by the manufacturer.

III-D-3 Monitors, Touchscreens and Devices used for Displaying Game Outcomes

Electro-mechanically controlled display devices shall have a closed loop of control so as to enable the software to detect a malfunction or an attempt to interfere with the correct operation of that device. If a reel or wheel is not in the position it is supposed to be in, an error condition shall be generated.

Mechanical assemblies shall have a mechanism that ensures the correct mounting of the assembly’s artwork.

Displays shall be constructed in such a way that winning symbol combinations match up with pay lines or other indicators.

Games that have video monitors shall meet the following requirements:

The Licensee shall maintain any touch screen monitors to ensure the accuracy of the calibration of the machine;

A touch screen shall be capable of being re-calibrated by the Licensee’s Slot Department staff without access to the slot machine cabinet other than opening the main door;

There shall be no hidden or undocumented buttons or touch points anywhere on a touch screen; and

The slot machine shall be capable of displaying all possible outcomes of play of the machine during testing

bration of the machine;

A touch screen shall be capable of being re-calibrated by the Licensee’s Slot Department staff without access to the slot machine cabinet other than opening the main door;

There shall be no hidden or undocumented buttons or touch points anywhere on a touch screen; and

The slot machine shall be capable of displaying all possible outcomes of play of the machine during testing.

III-D-4 Slot Machine Technical Requirements

All program storage media, both writable or non-writable, including EPROMs, Digital Versatile Disc (DVD), Compact Disk – Read Only Memory (CD-ROM), and any other type of program storage media shall:

Be marked with information to identify the software and revision level;

Only be accessible with access to the locked logic compartment; and,

Have a method that shall require display of the program storage media identification information on the slot machine if the program is copied to and executed from Random Access Memory (RAM).

Read Only Memory (ROM) program storage media shall not be re-writable and shall be finalized and closed to prevent further writing.

For non-EPROM based media, the control program shall authenticate all files that are critical to the accurate operation of the slot machine (“critical files”) by employing a hashing algorithm which produces a “message digest” output of a minimum of 128 bits.

For EPROM based media, the control program shall test for possible corruption. The control program may use a Checksum or a Cyclic Redundancy Check (CRC) minimum of 16-bit or equivalent for that test.

The slot machine shall authenticate all critical files against the stored message digest(s), as required in subsection (3), above. In the event of a failed authentication after the slot machine has been powered up, the slot machine shall:

Immediately enter an error condition;

Illuminate its tower light when one is present; and,

Cease operation

k (CRC) minimum of 16-bit or equivalent for that test.

Immediately enter an error condition;

Illuminate its tower light when one is present; and,

Cease operation.

Slot machine authentication failure shall:

Require a supervisor’s authorization;

Be recorded in a machine error accounting log that shall:

Be maintained in each slot machine under that slot machine’s serial number,

Be maintained as a permanent record of program changes and error corrections for the specifically numbered slot machine,

Include the details of each failed authentication and corrective action; and,

Include the date and time of a failure, and date and time of the corrective action.

For writable program storage the following requirements apply to the programs residing in the slot machine that are capable of being erased and reprogrammed without being removed from the slot machine, bill changer, or other equipment or related devices:

Re-writable program storage shall only be written to in cases where the media contains only data, files, and programs that are not critical to the basic operation of the game, such as marketing information.

Notwithstanding the foregoing, such device may write to media containing critical data, files, and programs provided that the gaming equipment:

Properly maintains a log of all information added, deleted, and modified that is stored on the media,

Maintains a control program that verifies the validity of all data, files, and programs which reside on the media using the methods listed in subsection (3), non-EPROM specific requirements,

Contains appropriate security to prevent unauthorized modifications; and,

Prohibits game play while the media containing the critical data, files, and programs are in a modifiable state

is stored on the media,

Maintains a control program that verifies the validity of all data, files, and programs which reside on the media using the methods listed in subsection (3), non-EPROM specific requirements,

Contains appropriate security to prevent unauthorized modifications; and,

Prohibits game play while the media containing the critical data, files, and programs are in a modifiable state.

Slot machine component integrity checks shall:

Occur:

The first-time program files are loaded for use; and,

During the use of components critical to the slot machine’s operation.

Not occur:

For RAM; and,

Program storage device space that is not critical to the slot machine security.

Critical files shall be authenticated during each slot machine start-up and restart.

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

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

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

Completion of all data required in Form MGCB-2500 , Slot Machine Activity,

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

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

Submission of completed Form MGCB-2500 and FBMS printout showing the time and date of each RAM clear performed no later than 12:00 noon on the first business day following all RAM clear procedures performed

icensed employee name(s) who are performing the RAM clear,

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

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

Not be cleared automatically, but shall require a full RAM clear that is performed by a licensee’s technician who is qualified to perform the task.

A RAM clear shall only be authorized for the following:

A slot machine malfunction that results in an unrecoverable memory error;

An EPROM chip failure;

A modification to the slot machine’s program; and,

Troubleshooting the system for possible RAM failure.

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

Slot machines shall be capable of detecting and displaying error conditions and illuminating the tower light for each slot machine in those cases where such a light is available

ot machine. The default reel position or game display after a RAM clear shall not indicate the top award on any selectable line. The default game display, upon entering game play mode, shall also not display the top award.

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

Sustained loss of communication with the FBMS;

Low RAM battery, for batteries external to the RAM itself, or low power source;

Currency-in jam;

Program error or authentication mismatch;

Door open, including bill acceptor;

Reel spin errors:

The specific reel number shall be identified in the error code,

The final positioning of the reel, if the final indexed position error exceeds one-half of the width of the smallest symbol on the reel strip; and,

Malfunctions such as a reel which is jammed, or is not spinning freely, or any attempt to manipulate their final resting position,

Power reset;

Out-of-paper;

Printer jam;

Printer failure; and,

Printer disconnected.

The slot machine licensee shall:

Establish procedures within its internal controls to ensure that:

The FBMS shall alert the licensed facility’s supervisor-level employee who has responsibility for overseeing the operations of the FBMS when communication has been lost between a slot machine and the FBMS.

If communication to a slot machine is lost:

Within 24 hours of the loss of communication:

The facility shall restore communication between the slot machine and the FBMS, or

The licensed facility’s supervisor-level employee who has responsibility for overseeing the operations of the FBMS shall terminate play on each slot machine with which communication has not been restored no later than 24 hours from the time communication was originally lost

hin 24 hours of the loss of communication:

The facility shall restore communication between the slot machine and the FBMS, or

Maintain either a manual or FBMS record of all communication failures, which contains the date and time of the communication failure and resolution of that failure.

A slot machine that has authentication or RAM or ROM errors shall:

Cease operation;

Automatically set to the disabled mode of operation; and,

Automatically light its tower or similar light, if the machine has such.

A description of slot machine error codes and their meanings shall be readily available in electronic format. However, this subsection does not apply to video-based games that shall display text messages for error conditions on the game console.

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

Upon restoration of power to the slot machine:

The previous error message shall be displayed and the slot machine shall remain locked-up if a slot machine is powered down while in an error condition, or

The previous error message shall not be displayed if:

The power down is used as part of the error reset procedure, or

Upon power up or door closure, the slot machine checks for the error condition and detects that the error condition no longer exists

evious error message shall be displayed and the slot machine shall remain locked-up if a slot machine is powered down while in an error condition, or

The previous error message shall not be displayed if:

The power down is used as part of the error reset procedure, or

Upon power up or door closure, the slot machine checks for the error condition and detects that the error condition no longer exists.

Upon resumption of the licensee’s control program, the following procedures shall be performed:

Licensee control programs shall test themselves for possible corruption due to failure of the program storage media; and,

Mechanical displays shall re-spin automatically to display the last valid game’s result when the play mode is re-entered, and the reel positions have been altered.

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

When the slot machine’s main door is opened, the slot machine shall:

Cease further game play,

Enter an error condition,

Display an error message,

Disable bill acceptance; and,

Illuminate the tower light when one is available.

When the slot machine’s main door is closed, the slot machine shall:

Return to its original state in the game; and,

Display an error message, until the next game has ended.

The software shall detect any access to the following doors or secure areas:

External doors,

Drop box door; and,

Bill acceptor door.

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

Bill stacker full;

Bill jams;

Bill acceptor door open; and,

Bill stacker door open or bill stacker removed

ended.

The software shall detect any access to the following doors or secure areas:

External doors,

Drop box door; and,

Bill acceptor door.

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

Bill stacker full;

Bill jams;

Bill acceptor door open; and,

Bill stacker door open or bill stacker removed.

III-D-5 Meter Specifications

The required electronic accounting meters are as follows:

The amounts wagered or cash in meter shall cumulatively count the total amounts wagered during game play, except credits that are won during the game that are subsequently risked in a double-up mode;

The number reflecting the amounts won or the award reflected on the credit out meter shall cumulatively count all amounts the player has won at the end of the game that were not paid by an attendant, including amounts paid by a ticket printer. The credit out meter shall not increment for bills inserted and cashed out to allow the slot machine to be used as a change machine. In those cases where amounts awarded are included on separate meters, the metering requirements for the credit out meter can be met by summing the number reflected on the credit out and machine paid external bonus payout meter;

The drop meter shall maintain a cumulative count of the credit value of all bills and tickets inserted into the bill acceptor processed for play;

The handpays meter shall reflect the cumulative amounts paid by an attendant;

The cancelled credit meter shall reflect the cumulative amounts paid by an attendant that are in excess of the credit limit and residual credits that are collected; and,

Printer games do not require a cancelled credit meter unless a “printer limit” option exists on the game

rted into the bill acceptor processed for play;

The handpays meter shall reflect the cumulative amounts paid by an attendant;

The cancelled credit meter shall reflect the cumulative amounts paid by an attendant that are in excess of the credit limit and residual credits that are collected; and,

Printer games do not require a cancelled credit meter unless a “printer limit” option exists on the game.

The required electronic occurrence meters are as follows:

The games-played meter shall display the cumulative number of games played since the last RAM clear;

A slot machine shall display the number of times the slot machine main door was opened since the last RAM clear; and,

The slot machine shall show the time of the most recent bill acceptor door opening since the last RAM clear.

Each individual slot machine available for play shall have at least amount bet and amount won meters in either credits or dollars.

For each type of slot machine that offers a double-up option, there shall be two meters to indicate the amount doubled and the amount won, which shall increment every time a double-up play occurs.

All electronic meters required by this section, except those described in subsection (5), shall communicate their information to the facility based monitoring system.

III-D-6 Meter Readings

A.) Accounting department employees shall report:

whenever there is a variance of more than two percent or more than $100 between the slot machine’s internal electronic meters and the meters of the facility based monitoring system, the Operator shall investigate the cause of the variance and prepare and file an incident report documenting the variance with the controller, the head of surveillance, and the department

rtment employees shall report:

The date of the meter reading;

The date the report was filed;

The amount of the variance, by denomination, which shall be by total value;

The asset number of the machine involved;

The amount of the variance by bills, tickets, and/or vouchers;

An indication as to the cause of the variance with documentation attached to support the explanation; and

The signature and license number of the preparer.

III-D-7 Transaction Log, Accountability of Bills/Tickets, Bill Acceptor Recall, and

Number of Last Plays Required.

All slot machines shall have the ability to display a complete transaction history for the most recent transactions with a cashless wagering system including at least the previous thirty-four (34) transactions prior to the most recent transaction that incremented any of the accounting meters.

A slot machine shall maintain electronic metering to be able to report the following:

Total monetary value of all bills, tickets, or vouchers accepted;

Total number of all bills, tickets, or vouchers accepted; and,

A breakdown of the following items accepted by the bill acceptor:

For bills, the game shall report the number of bills accepted for each bill denomination; and,

For all tickets or vouchers the game shall have a separate meter that reports the number of such items accepted.

A slot machine shall retain in its memory and be capable of displaying the denomination of the last five (5) items referenced in paragraph (2)(c), accepted by the bill acceptor

bill acceptor:

For bills, the game shall report the number of bills accepted for each bill denomination; and,

For all tickets or vouchers the game shall have a separate meter that reports the number of such items accepted.

A slot machine shall retain in its memory and be capable of displaying the denomination of the last five (5) items referenced in paragraph (2)(c), accepted by the bill acceptor.

Information on at least the last ten (10) games shall be retrievable by the operation of an external key-switch, or another secure method that is not available to the player. The slot machine shall provide all information required to fully reconstruct the last ten (10) plays. The information shall include:

The value of initial credits;

The value of credits bet;

The value of credits won;

The value of credits paid;

Each final game outcome including all player choices and bonus features; and,

The results of double-up options.

The last game recall shall reflect bonus rounds in their entirety. If a bonus round lasts a specific number of events, each with separate outcomes, each of the specific events shall be displayed with its corresponding outcome, if the outcome resulted in an award. The recall shall reflect events that are screen position dependent, if the outcome resulted in an award. There shall be a minimum of fifty (50) games recallable for slot machines that have the potential for infinite free games.

III-D-8 Security Requirements, System Access and Firewalls

The firewall application shall maintain an audit log and disable all communications and generate an error event if the audit log becomes full. An audit log shall contain the following information:

All changes to configuration of the firewall;

All successful and unsuccessful connection attempts through the firewall; and

The source and destination IP addresses, username and action taken.

Except as provided in this section, the facility based monitoring system shall not allow for remote access

e an error event if the audit log becomes full. An audit log shall contain the following information:

All changes to configuration of the firewall;

All successful and unsuccessful connection attempts through the firewall; and

The source and destination IP addresses, username and action taken.

Except as provided in this section, the facility based monitoring system shall not allow for remote access. An Operator shall provide in its system of internal controls a method of providing limited remote access to the facility based monitoring system for a business and/or person licensed by the Board for performance of maintenance or diagnostics of the facility based monitoring system that cannot be performed by Operator’s onsite personnel. The system of internal controls for such remote access shall provide for the following:

Each individual engaging in remote access must hold a license and have a unique system account login.

Notification by email to the Director before remote access begins and notification to the Director when the remote access is completed;

Maintenance of a log of each time remote access is provided, enabled, disabled or modified with a separate entry for each of the following and maintained for a period of 1 year from the date of remote access:

The specific reason for which remote access was provided to a person or entity;

The name and employee license number of the perosn who authorized remote access;

The date and time that remote access is established; and

The date and time that remote access is terminated.

III-D-9 Ticket-in, Ticket-out (TITO) slot machines

Each Operator that operates TITO machines shall be equipped with an accounting system that is capable of monitoring and recording all machine transactions including the printing of physical tickets or issuance of virtual tickets. The TITO machines shall be equipped with a printer for printed tickets and their bill acceptor assembly or barcode reader shall also have the capability of receiving and validating tickets

operates TITO machines shall be equipped with an accounting system that is capable of monitoring and recording all machine transactions including the printing of physical tickets or issuance of virtual tickets. The TITO machines shall be equipped with a printer for printed tickets and their bill acceptor assembly or barcode reader shall also have the capability of receiving and validating tickets.

When a ticket is inserted into a slot machine of a different denomination from which the original ticket was generated, the appropriate amount of credits up to the last available unit of current denomination shall be credited on the machine’s credit meter. Any remaining amount shall be returned to the patron as a ticket.

Certain terminals located on the gaming floor shall also be connected to the TITO accounting system and shall be capable of redeeming ticket.

Tickets shall be capable of being redeemed, or wagered, in any TITO ready slot machine by inserting it into the machine's bill acceptor assembly or by using a barcode reader to scan the barcode on the ticket. Tickets inserted into the bill acceptor or scanned by the barcode reader and validated by the FBMS shall be considered redeemed at the time of insertion into the bill acceptor or scanning by the bar code reader and the credits from the tickets shall be displayed on the machine.

Once a ticket has been redeemed, the TITO accounting system shall not allow it to be redeemed a second time.

Signs shall be posted on the gaming floor notifying patrons that tickets may be redeemed at the cage or may be reinserted into the bill acceptor assembly on or scanned by a barcode reader at a TITO enabled slot machine.

Tickets issued at an Operator location shall only be redeemed at that facility.

No ticket shall be accepted as payment for any goods or services.

All tickets shall be dated and valid for one (1) year from the date indicated on the ticket

ns that tickets may be redeemed at the cage or may be reinserted into the bill acceptor assembly on or scanned by a barcode reader at a TITO enabled slot machine.

Tickets issued at an Operator location shall only be redeemed at that facility.

No ticket shall be accepted as payment for any goods or services.

All tickets shall be dated and valid for one (1) year from the date indicated on the ticket.

No payment for a ticket shall be made unless the ticket meets the following requirements:

Every ticket contains the following information clearly visible on the printed or virtual ticket:

a. The slot machine licensee’s name or site identifier;

b. The issuing machine’s asset number or cashier/change booth location number;

c. The date and time of ticket issuance in a 24 hour format;

d. The dollar value of the ticket written in both words and in numerals;

e. The issued ticket’s sequence number;

f. The issued ticket’s validation number, unless the ticket is printed due to a loss of communication with the ticket validation system, or a bar code or other machine readable code representing the ticket’s validation number;

g. The type of transaction in which the ticket was issued or other method or differentiating ticket types; and

i. A clear indication of the expiration period from the date of issue, or the precise date and time the on which the ticket will expire in a 24 hour format based upon the local date/time format.

Each presented ticket must be fully legible, valid, printed on paper approved by the Board, containing the information as required above in subparagraph (J)(1);

It must not be mutilated, altered, unreadable, or tampered with in any manner, or previously paid;

It not be counterfeit in whole or in part; and

It must be presented by a person who is legally or otherwise authorized to play the machine that issued the ticket

must be fully legible, valid, printed on paper approved by the Board, containing the information as required above in subparagraph (J)(1);

It must not be mutilated, altered, unreadable, or tampered with in any manner, or previously paid;

It not be counterfeit in whole or in part; and

It must be presented by a person who is legally or otherwise authorized to play the machine that issued the ticket.

Any adjustment made to any ticket or voucher shall require two approval signatures, of which at least one of the signatures shall be by a supervisor, and all changes shall be contained in a log indicating:

The names and occupational license numbers of the employees of the slot machine licensee who approved the adjustment;

What adjustment was made to the ticket or voucher;

When the adjustment was made;

The item value before and after the change; and

The reason the adjustment was made.

Any device that holds ticket information in its memory shall not allow the removal of that information unless it has first transferred that information to the database of the facility based monitoring system.

Provisions shall be made in the slot machine licensee’s internal controls for an alternate method to pay credits in the event of the loss of communication with the ticket validation system.

III-D-10 Access to and keys

Upon arrival at the Operator’s facility, all slot machine locks shall be replaced with in-house locks.

Keys to each slot machine, with the exception of the key(s) to the area where the cash storage box is located, shall be maintained in a secure place and controlled by Security. The key(s) to the area where the cash storage box is located shall be controlled by an electronic two-party authentication system or a manual two-signature system. One of those signatures must be that of a member of the security department.

Whenever it is required that a slot machine be opened for service, certain information shall be recorded on a “Machine Entry Authorization Log” (“MEAL”)

urity. The key(s) to the area where the cash storage box is located shall be controlled by an electronic two-party authentication system or a manual two-signature system. One of those signatures must be that of a member of the security department.

Whenever it is required that a slot machine be opened for service, certain information shall be recorded on a “Machine Entry Authorization Log” (“MEAL”). The information shall include, at a minimum, the date, time, purpose of opening the machine or device, and signature or electronic recording on a device approved by the Board of authorized employees opening the machine or device. The Machine Entry Authorization Log may be maintained in the slot machine and shall be accounted for by an asset number.

III-D-11 Identification and signs

Unless otherwise authorized by the Board, each slot machine shall have the following identifying features:

A mechanical, electrical, or electronic device that automatically precludes a player from operating the slot machine after a jackpot requiring a manual payout. An attendant is required to reactivate the machine;

A light on the pedestal above the slot machine that automatically illuminates when the door to the machine, or any connected device which may affect the operation of the machine, is opened; and

Asset and location numbers affixed to the outside of the machine and of sufficient height and size to be clearly visible and readable by the surveillance system.

opened; and

Asset and location numbers affixed to the outside of the machine and of sufficient height and size to be clearly visible and readable by the surveillance system.

If the slot machine offers a payout of merchandise or some other thing of value, the word “Jackpot” shall be displayed on the machine itself. A sign, as approved by the Board, shall be displayed at a location near the machine. The sign shall contain a description of the merchandise or thing of value, including its cash equivalent value (unless the payout is an annuity jackpot), the dates the merchandise or thing of value will be offered if the Operator establishes a time limit for offering the merchandise or thing of value, and the availability or unavailability to the patron of the optional cash equivalent value.

III-D-12 Location and movements

No slot machine shall be moved from its approved installed position without the prior written approval of the Department.

Once a slot machine has been placed in the slot machine facility, movements of these machines from or to a location is recorded by a slot operations department member in a Slot Control Log which shall include the following:

The serial number;

The asset number of the slot machine;

The date and time of the movement of the machine;

The location from which the machine was moved; and

The location to which the machine was moved.

Prior to removing a slot machine from the gaming floor, the cash storage box, if applicable, shall be removed and transported to the count room and all meters read and recorded.

No relocated slot machine shall become operational unless approved by the Department.

III-D-13 Cash storage boxes

Each bill validator shall have contained in it a container known as a “cash storage box” in which shall be deposited all cash and tickets inserted into the bill acceptor

ash storage box, if applicable, shall be removed and transported to the count room and all meters read and recorded.

No relocated slot machine shall become operational unless approved by the Department.

III-D-13 Cash storage boxes

Each bill validator shall have contained in it a container known as a “cash storage box” in which shall be deposited all cash and tickets inserted into the bill acceptor. Each cash storage box shall:

Have at least one lock securing the compartment that holds the cash storage box that is keyed separately from the slot machine door key and the cash storage box content key;

Have an opening through which currency and tickets can be inserted into the cash storage box;

Have a mechanical arrangement or device that prohibits removal of currency or tickets from the opening at any time; and

Have an asset or a serial number that is permanently imprinted, affixed or impressed on the outside of the cash storage box, which is sufficient in size to be clearly visible and readable by the surveillance system. This number should correspond to the asset number of the slot machine or have an electronic means to track the box to the machine, to which the bill acceptor has been attached, however, emergency cash storage boxes may be maintained without such number, provided the word “emergency” is permanently imprinted, affixed, or impressed thereon, and when put into use, are temporarily marked with the asset number of the slot machine to which the cash storage box is attached.

The key(s) to the lock securing the contents of a cash storage box shall be maintained and controlled by the accounting or the security department. The accounting/security department shall establish an electronic or manual sign-out procedure for all keys removed

ereon, and when put into use, are temporarily marked with the asset number of the slot machine to which the cash storage box is attached.

III-E Jackpots

III-E-1 Payouts not paid directly from the slot machine

An operator shall include in its system of internal controls with specificity the following approved by the Board:

Description and procedures for automated, manual, overrides and voided jackpot slips;

Required information from each form used in 1) above;

Procedures for payouts not paid directly from slot machines, to include manual and automated payouts in increments equal to the IRS taxable threshold to $4,999.99, $5,000.00 to $9,999.99 and $10,000.00 or more;

Procedures for payments to players with a previous win in the same gaming day;

Procedures to ensure appropriate government forms are completed;

Procedures to ensure surveillance coverage is kept of all jackpots equal to or greater than the IRS threshold are saved for a minimum of 14 days; and

Procedures to ensure the logging of events and the availability of records to permit an effective audit of the conduct of jackpot payouts and the reporting of revenue.

III- E -2 Payouts of merchandise or other things of value

This section shall apply to all jackpot payouts of merchandise or other things of value.

The cash equivalent of all merchandise or things of value offered as part of a payout shall be included in the total of winnings paid to patrons for purposes of determining gross revenue. The cash equivalent value of such merchandise or thing of value will be recorded at an amount based upon the actual cost to the Operator of acquiring such merchandise or thing of value

e or other things of value.

Prior to the initial offering or any substitution, the Operator shall provide documentation to the Board relating to the acquisition and valuation of any merchandise or thing of value to be offered as a payout. The documentation shall include the following:

A detailed description of the merchandise or thing of value;

A copy of the invoice from the vendor for the merchandise or thing of value;

Any time limitation on the offering;

Language to be included on the posted sign;

Starting date for the offering; and

Asset numbers of the slot machines that will offer the merchandise or thing of value as prizes.

A quarterly report shall be filed with the Board, on a form prescribed by the Board, which shall, at a minimum, provide the current quarter and year-to-date itemized listing of the cash equivalent value, number of payouts, dates won, and descriptions of the merchandise or things of value paid to patrons.

Whenever a patron wins a jackpot which includes any merchandise or thing of value, an accounting representative with no incompatible functions shall prepare a Jackpot Payout Slip. Jackpot Payout Slips shall be serially numbered forms, each series of which shall be used in sequential order, and the series of numbers of all Jackpot Payout Slips received by an Operator shall be accounted for by employees independent of the cashiers’ cage and the slot operations department. All original and duplicate void Jackpot Payout Slips shall be marked “Void” and shall require the signature of the preparer

ps shall be serially numbered forms, each series of which shall be used in sequential order, and the series of numbers of all Jackpot Payout Slips received by an Operator shall be accounted for by employees independent of the cashiers’ cage and the slot operations department. All original and duplicate void Jackpot Payout Slips shall be marked “Void” and shall require the signature of the preparer.

On the original and all copies of the Jackpot Payout Slip, or in stored data, the preparer shall record, at a minimum, the following information:

The asset number of the slot machine on which the jackpot was registered;

The number of credits played;

The date and time when the jackpot occurred;

A description of the merchandise or thing of value won and its cash equivalent value;

The selection of merchandise or its cash equivalent value as made by the patron;

The time of the Jackpot Payout Slip’s preparation; and

The signature or, if computer prepared, identification code of the preparer.

Signatures attesting to the accuracy of the information contained on the Jackpot Payout Slip shall be, at a minimum, of the following personnel:

The original:

An accounting representative with no incompatible functions upon preparation; and

A slot supervisor or above.

The duplicate:

An accounting representative with no incompatible functions upon preparation; and

A slot supervisor or above; and

A security department member.

Upon meeting the signature requirements as described in G. 1) and 2) above, the slot department shall maintain and control the duplicate and subsequently place it in a locked accounting box which will be located on the premises and will be accessible only by accounting. The accounting department shall maintain and control the original.

At the end of each gaming day, at a minimum, the original and duplicate of the Jackpot Payout Slip shall be forwarded as follows:

The original shall be used by the accounting department for agreement with the triplicate copy or stored data

counting box which will be located on the premises and will be accessible only by accounting. The accounting department shall maintain and control the original.

At the end of each gaming day, at a minimum, the original and duplicate of the Jackpot Payout Slip shall be forwarded as follows:

The original shall be used by the accounting department for agreement with the triplicate copy or stored data.

The duplicate shall be picked up by the accounting department for agreement with the triplicate copy or stored data.

Except as otherwise provided in 2.) below, any merchandise or thing of value to which a patron is entitled as a result of a payout shall be given to the patron. Documentation supporting the receipt by the patron of such merchandise, thing of value or, in accordance with 2.) below, cash equivalent value shall be prepared by a representative of the Operator having no incompatible functions and shall agree to the triplicate copy of the Jackpot Payout Slip or stored data.

An Operator may, at any time, establish a time limit of not less than 30 days for the offering of a jackpot of merchandise or other thing of value by providing notice of the time limit.

The Operator may permit winning patrons to request and receive the exact cash equivalent value of the merchandise or thing of value in lieu of the merchandise or thing of value. If an Operator chooses to offer patrons this option, the Operator shall so state on a sign visible to all.

Any advertising involving payouts of any merchandise or thing of value by the Operator shall include an accurate description of the merchandise or thing of value, the dates the merchandise or thing of value will be offered if the Operator establishes a time limit for offering the merchandise or thing of value pursuant to K.) above, and the cash equivalent value of the merchandise or thing of value

For establishments in which Jackpot Payout Slips are manually prepared, each series of Jackpot Payout Slips shall be a three-part form, at a minimum, and shall be inserted in a locked dispenser that will permit an individual slip in the series and its copies to be written upon simultaneously while still locked in the dispenser, and that will discharge the original and duplicate while the triplicate remains in a continuous unbroken form in the dispenser. Access to the triplicate copy shall be maintained and controlled at all times by employees responsible for controlling and accounting for the unused supply of Jackpot Payout Slips, placing Jackpot Payout Slips in the dispensers, and removing from the dispensers each day the triplicate copy remaining therein. These employees shall have no incompatible functions.

For establishments in which Jackpot Payout Slips are computer prepared, each series of Jackpot Payout Slips shall be a two-part form, at a minimum, and shall be inserted in a printer that will: simultaneously print an original and duplicate and store, in machine readable form, all information printed on the original and duplicate; and discharge the original and duplicate. The stored data shall not be susceptible to change or removal by any personnel after preparation of a Jackpot Payout Slip.

III- E -3 Inspection of slot machine jackpots

iginal and duplicate. The stored data shall not be susceptible to change or removal by any personnel after preparation of a Jackpot Payout Slip.

III- E -3 Inspection of slot machine jackpots

Prior to the payment of any slot jackpot which has a total value in cash and/or merchandise of at least $25,000, or any jackpot where there is evidence of a malfunction, the Operator will notify the department. Upon notification of a jackpot or malfunction, the Department shall respond at its earliest convenience to conduct an inspection and/or investigation. The Operator may award payment of the jackpot to the winning patron at its discretion. The Operator will provide the Department with:

A photocopy of the patron’s W-2G;

A photocopy of the Jackpot Payout Slip;

The photo identification used by the winning patron;

A surveillance photo of the patron; and

A photo of the winning combination display.

Failure of the Department to object to the payment of the jackpot upon completion of the inspection shall not constitute waiver or estoppel of any charge, issue, or claim raised in any criminal or regulatory complaint subsequently filed against any person in connection with the winning or payment of that jackpot.

III- E-4 Progressive Jackpots

Banks of progressive slot machines will have an overhead progressive meter(s). This requirement may be waived for individual progressive slot machines if there is a progressive meter installed in the slot machine, and the meter is visible to the player.

The Operator will be liable for payment of a Progressive Jackpot and will maintain a sufficient bankroll for such payment.

All progressive controllers must be certified for use in Maine according to Chapter 19.

The reset or base value and the rate of increment of a progressive jackpot game must be filed with the Board prior to implementation. A reset or base value of all progressive jackpots must be equal to or exceed the equivalent non-progressive jackpot payouts for each individual machine linked to that jackpot

nt.

All progressive controllers must be certified for use in Maine according to Chapter 19.

All progressive controllers will be in a secured area by physical key, access control or by use of security tape to detect any unauthorized access to the controller approved by the Board or its designee.

Access to adjust settings or reset progressive controllers will be controlled by a secure access method which will also be available to the Department.

All Operators’ controllers or access thereto must always also be kept under continual surveillance coverage. Surveillance footage of controllers and access thereto must be maintained for a period of no less than 14 days.

All linked progressive controllers will be inspected by a Board inspector to verify operation and check incrementation rates, reset values, and rules of the progressive before the controller is secured and brought up initially for play.

Once a controller is approved for play, any adjustments to rate, seed amount, current progressive amount, hidden amounts, etc. will be adjusted after approval by the Board or its designee and in the presence of a Board inspector.

Through the use of security tape or surveillance coverage, if a controller is ever found unsecured or tampered with, the progressive controller and linked machines shall be disabled and secured until an investigation is completed by the Department.

The Board may request that the controller and linked progressive machines be fully tested by an independent testing laboratory before being released for play.

An Operator may impose a limit on the progressive jackpot payout of a slot machine if the limit imposed is filed with the Board prior to the progressive being placed into play

nd secured until an investigation is completed by the Department.

The Board may request that the controller and linked progressive machines be fully tested by an independent testing laboratory before being released for play.

An Operator may impose a limit on the progressive jackpot payout of a slot machine if the limit imposed is filed with the Board prior to the progressive being placed into play. The Operator must prominently display a notice informing the public of the limit.

No progressive meter may be altered unless one of the following circumstances occurs:

The amount shown on the progressive meter is paid to a player as a jackpot;

It is necessary to change the progressive indicator because of game malfunction; or

The jackpot is being moved to other progressive(s).

Incremental percentage rates may be used, including an overflow for the reserve pool.

All progressive controllers shall have the ability to record the following information for each progressive amount:

The current prize amount;

The number of progressive wins;

The history of at least the last five progressive awards;

The starting award value;

The jackpot award value limit, if applicable;

The initial incremental percentage rate at which an award is increased;

The secondary incremental percentage rate at which an award is increased after the jackpot limit is reached;

The overflow incremental percentage increment rate for the reserve pool, if applicable;

The base reset amount after the progressive jackpot is awarded; and

The slot machines participating in the progressive jackpot.

Any modification of a progressive controller or reset of a progressive jackpot amount shall require:

Prior written notification to the Board or its designee; and

The presence of a Board inspector.

All linked progressive jackpots over the IRA threshold shall be reported to the Department via audit reports

rogressive jackpot is awarded; and

The slot machines participating in the progressive jackpot.

Any modification of a progressive controller or reset of a progressive jackpot amount shall require:

Prior written notification to the Board or its designee; and

The presence of a Board inspector.

All linked progressive jackpots over the IRA threshold shall be reported to the Department via audit reports. All linked progressive jackpots above $25,000.00 shall be reported to the Department as soon after the jackpot is won as reasonably possible via email to gambling.control@maine.gov.

All progressive jackpot amounts shall be equal to or greater than the reset amount of each progressive slot machine.

All progressives’ records must be maintained on a daily basis the date, time, progressive (name/number), progressive type, bank(s)/slot machine(s), and progressive amounts. The records and documents must be retained for a period of five years unless permission to destroy them earlier is given in writing by the Board.

III-F Cashiers’ cages

Each establishment shall have on or immediately adjacent to the gaming floor a physical structure known as a cashiers’ cage satisfying the definition in Section I.

Each establishment shall have within the cashier cage or in such other area as approved by the Board a main bank satisfying the definition of “main bank” in Section I.

The cage shall be designed and constructed to provide maximum security and shall contain the following features:

Fully enclosed except for openings through which materials such as cash, records, and documents can be passed to service the public.

Manually triggered silent alarm systems connected, at a minimum, directly to the monitoring rooms of the surveillance department.

Double door entry and exit system that will not permit a person to pass through the second door until the first door is securely locked. In addition:

The first door adjacent to the floor of the double door entry and exit system shall be controlled by the security or surveillance department

ilent alarm systems connected, at a minimum, directly to the monitoring rooms of the surveillance department.

Double door entry and exit system that will not permit a person to pass through the second door until the first door is securely locked. In addition:

The first door adjacent to the floor of the double door entry and exit system shall be controlled by the security or surveillance department. The second door of the double door entry and exit system shall be controlled by the cashiers’ cage or the security department.

The system shall be monitored by the surveillance department and shall include both visual and audio monitoring.

Any entrance to the cage that is not a double door entry and exit system shall be an alarmed emergency exit door only.

Separate locks on each door of the double door entry and exit system, the keys to which shall be different from each other, or magnetic locks on each door of the double door entry and exit system, the release buttons to which shall be different from each other.

Any licensed employee, who has a legitimate purpose for doing so, may enter the cashiers’ cage. Any non-licensed employee or non-employee who is authorized to enter the cashiers’ cage must be accompanied by a security officer or player services supervisor. Authorization may come from a cashiers’ cage supervisor or above.

III- F -1 Accounting controls for the cashiers’ cage

The assets for which the cage cashiers are responsible shall be maintained with an imprest amount. At the end of each shift, the cashiers assigned to the outgoing shift shall record on a Cashiers’ Count Sheet the face value of each cage inventory item counted and the total of the opening and closing cage inventories and shall reconcile the total closing inventory with the total opening inventory.

At the opening of every shift, in addition to the imprest funds normally maintained by the cage cashiers, each Operator shall have on hand in the cage or readily available thereto, a reserve cash bankroll necessary for normal operations

inventory item counted and the total of the opening and closing cage inventories and shall reconcile the total closing inventory with the total opening inventory.

All currency and coin counting machines shall be tested weekly for accuracy and the results of the tests shall be documented.

The cashiers’ cage shall be physically segregated by personnel and function as follows:

Cage cashiers shall operate with individual imprest inventories of cash and such cashiers’ functions shall be, but are not limited to:

Receiving and paying out cash and cash equivalents, tickets and checks (excluding child support, public assistance, welfare and unemployment checks, and any others specified by the Board).

Cashiers’ functions shall be, but are not limited to, the following:

Receive cash, cash equivalents, original copies of Jackpot Payout Slips and checks (excluding child support, public assistance, welfare and unemployment checks, and any others specified by the Board).

Receive currency, coin and chips from cage cashiers in exchange for proper documentation.

Provide cage cashiers with currency, coin and chips in exchange for proper documentation, including tickets.

Receive currency, coin and chips from the currency count rooms.

Prepare the overall cage reconciliation and accounting records.

Prepare the daily bank deposit for cash, coin, and checks.

Receive from cage cashiers’ documentation with signatures thereon, required to be prepared for the effective segregation of functions in the cashiers’ cage.

Be responsible for the reserve cash bankroll

ng tickets.

Receive currency, coin and chips from the currency count rooms.

Prepare the overall cage reconciliation and accounting records.

Prepare the daily bank deposit for cash, coin, and checks.

Receive from cage cashiers’ documentation with signatures thereon, required to be prepared for the effective segregation of functions in the cashiers’ cage.

Be responsible for the reserve cash bankroll.

Signatures attesting to the accuracy of the information contained on the Cashiers’ Count Sheet shall be, at a minimum, of the following cashiers after preparation of the Cashiers’ Count Sheet:

The cage cashiers assigned to the incoming and outgoing shifts; or

The cashier supervisors or above assigned to the incoming and outgoing shifts.

At the end of each gaming day, at a minimum, a copy of the Cashiers’ Count Sheets and related documentation shall be forwarded to the accounting department for reconciliation of activity during the shift the cashier worked.

The above reconciliation may be performed by a cashier supervisor or above prior to forwarding to the accounting department.

III-F -2 Expired unclaimed prizes and tickets

No ticket or jackpot claim shall be redeemed by an Operator more than one year from the date of issuance of the ticket or the date of occurrence of the jackpot. This one-year redemption policy shall be prominently displayed on the premises of an Operator.

An Operator shall report expired unclaimed jackpots and tickets on a daily basis to the Board on form MGCB 2300. Daily amounts added minus those redeemed by the Operator shall be a part of the financial reporting of revenue for that day.

An Operator shall maintain an Expired Unclaimed Jackpot Report and an Expired Ticket Report setting forth the aggregate value of unclaimed prizes and tickets for the past five years

eport expired unclaimed jackpots and tickets on a daily basis to the Board on form MGCB 2300. Daily amounts added minus those redeemed by the Operator shall be a part of the financial reporting of revenue for that day.

An Operator shall maintain an Expired Unclaimed Jackpot Report and an Expired Ticket Report setting forth the aggregate value of unclaimed prizes and tickets for the past five years. In addition, the report shall contain, at a minimum, the following information on unclaimed prizes and tickets over $1 in value:

Customer name (if known);

Date won/issued;

Amount won/issued (and expired);

Asset Number; and

Ticket Number.

III-G Removal of drop boxes and cash storage boxes

For each slot machine game or electronic table on the gaming floor, the cash storage box shall be removed at least once a week on specific days and at times designated by the Operator for each table game the drop box will be removed at least daily. The Operator shall complete both drops on a schedule which shall be filed with the Board and the Department. No drop box or cash storage box shall be emptied or removed from its compartment at other than the times specified on such schedule except under emergency situations. The Operator shall keep the Department Inspector Supervisor notified of any changes in the schedule. Prior to emptying or removing any drop box or cash storage box, an Operator shall notify the surveillance department of the transportation route that will be utilized.

When a cash storage box is removed to investigate any problem or malfunction, the removal shall be witnessed by at least three employees consisting of a security department member, a surveillance department member and a slot operations employee. In the event of a patron dispute, the Operator shall move the cash storage box to a location approved by the Board or its designee in order to open the box using a cash storage box content key to resolve the dispute

or malfunction, the removal shall be witnessed by at least three employees consisting of a security department member, a surveillance department member and a slot operations employee. In the event of a patron dispute, the Operator shall move the cash storage box to a location approved by the Board or its designee in order to open the box using a cash storage box content key to resolve the dispute. All movements of the cash storage box shall be monitored by surveillance and escorted by security.

Procedures and requirements for removing cash storage boxes from the gaming floor shall be the following:

The cash storage box shall be removed from its compartment; an empty cash storage box shall be placed in the compartment; and after which the compartment door shall be closed and locked.

All cash storage boxes that are removed from a slot machine or electronic table game shall be transported and secured in the count room for the counting of their contents by a drop team consisting of a minimum of three individuals with one security department member assigned to the cart and two other licensed employees from the accounting department that would not create an incompatible function. The security department member must be physically present during any such removal, and the removal shall be continuously monitored and recorded by surveillance.

All persons participating in the cash storage box removal procedure, except for security department employees and representatives of the Board and Department, shall wear as outer garments one-piece coveralls with no pockets and with openings only for the arms, feet, and neck.

Procedures and requirements for removing drop boxes from table games shall be the following:

The removal of a drop box shall be performed by a drop team consisting of a minimum of three individuals with two security department members, one of which shall be assigned to the drop cart, and one table game supervisor or above

veralls with no pockets and with openings only for the arms, feet, and neck.

Procedures and requirements for removing drop boxes from table games shall be the following:

Surveillance must continuously record at all times the removal and placement of drop boxes from the table games onto the drop carts and the transportation of the drop cart to the count room.

III-H Unsecured currency

Whenever currency is found inside a bill acceptor but outside the cash storage box (“unsecured currency”), a slot department representative in the presence of security shall immediately complete an unsecured currency envelope.

Whenever currency is found inside a drop box compartment but outside the drop box (“unsecured currency”), a table games department representative in the presence of security shall immediately complete an unsecured currency envelope.

An unsecured currency envelope shall contain the following information:

The asset number of the cash storage box or the table game number of the drop box in which the unsecured currency was found;

The date on which the unsecured currency was found; and

The total dollar amount of the unsecured currency.

The slot department or table games department representative and the security department member shall then sign the envelope as evidence of the total dollar amount being transported, seal the envelope and transport the envelope directly to the count room or other secured area approved by the Board.

At the end of the gaming day, the count team shall count all cash contained in unsecured currency envelopes relevant to areas collected during the drop. The cash counted from each asset shall be recorded as drop. The envelope prepared pursuant to the above shall be forwarded to the accounting department along with the recording documentation

count room or other secured area approved by the Board.

When unsecured currency is found during the collection of cash storage or drop boxes, the completion of the envelope shall be performed by a count team member and a security department member. The envelope shall be transported with the cash storage or drop boxes to the count room. The unsecured currency shall be counted and recorded with the contents removed from the corresponding cash storage or drop box. The envelope shall be forwarded to the accounting department with the recording documentation.

If the count team has an unsecured currency envelope in its possession and the corresponding cash storage or drop box is not being counted that day, the envelope shall be placed in a clear Plexiglas box, which shall be kept locked in the count room or other secured area approved by the Board. The key to this box shall be maintained in a double lock box in the cashiers’ cage or other secured area approved by the Board and shall be signed out by soft count personnel each day during the duration of the count. A count team member shall check the box each day and remove the unsecured currency envelopes for the corresponding cash storage or drop boxes being counted that day.

III-I Count procedures

III-I -1 Count room characteristics

Each Operator shall have a room or rooms specifically designated for counting the contents of drop boxes and cash storage boxes. These rooms shall be known as “count rooms.”

Count rooms shall be used exclusively for slot or casino operations unless otherwise authorized by the Board

ponding cash storage or drop boxes being counted that day.

III-I Count procedures

III-I -1 Count room characteristics

Each Operator shall have a room or rooms specifically designated for counting the contents of drop boxes and cash storage boxes. These rooms shall be known as “count rooms.”

Count rooms shall be used exclusively for slot or casino operations unless otherwise authorized by the Board.

Count rooms shall be designed and constructed to provide maximum security for the materials housed therein and for the activities conducted therein. They shall include, at a minimum, the following:

A metal door with a one-way security glass so that one can see out of the count room but not in or by other means such as surveillance. The door shall be equipped with at least one lock securing the interior of the count room, the key to which shall be different from the keys to the locks securing the contents of the drop box and cash storage box. The key shall be maintained and controlled by cage personnel and/or security; and

An alarm device connected to the entrance of the count room in such a manner as to cause a signaling to the monitors of the surveillance system whenever the door to the count room is opened.

Located within a count room shall be:

A table whose surface is constructed of clear glass or similar transparent material for the emptying, counting, and recording of the contents of cash storage or drop boxes which shall be known as the “count table.” The surface of this table must remain transparent at all times and is subject to periodic approval and review by the Board and/or the Department;

A device or methodology by which the content key to the cash storage box or drop box is attached to the above table such that a cash storage box or drop box has to be brought to the table in order to be opened; and

Surveillance camera and microphone wired to monitoring rooms capable of, but not limited to, the following:

Effective and detailed audio-video monitoring and recording of the entire count process and any other a

which the content key to the cash storage box or drop box is attached to the above table such that a cash storage box or drop box has to be brought to the table in order to be opened; and

Surveillance camera and microphone wired to monitoring rooms capable of, but not limited to, the following:

Effective and detailed audio-video monitoring and recording of the entire count process and any other activities in the count room; and

Effective, detailed video-monitoring of the interior of the count room, including storage cabinets or trolleys used to store drop boxes and cash storage boxes.

III-I -2 Opening, counting, and recording contents of cash storage boxes and drop boxes

The contents of the cash storage boxes and drop boxes shall be counted and recorded in the count room in conformity with this section.

Each Operator shall place on file with the Board and the Department the specific times during which the contents of cash storage boxes and drop boxes are to be counted and recorded. Counting and recording of cash storage boxes, at a minimum, shall be once a week. Counting and recording of drop boxes, at a minimum, shall be once a week, counting and recording each day separately.

The opening, counting, and recording of the contents of cash storage boxes and drop boxes shall be performed in the presence of at least two employees with no incompatible functions (“count team”).

All persons present in the count room during the counting process, except representatives of the Board and the Department, shall wear as outer garments, one-piece coveralls with no pockets and with openings only for the arms, feet, and neck.

No person shall:

Carry a pocketbook or other container unless it is transparent.

Remove that person’s hands from or return them to a position on or above the count table unless the backs and palms of the hands are first held straight out and exposed to the view of other members of the count team and the surveillance camera

eralls with no pockets and with openings only for the arms, feet, and neck.

No person shall:

Carry a pocketbook or other container unless it is transparent.

Immediately prior to opening the cash storage boxes or drop boxes, the doors to the count room shall be securely locked and, except for the entrance of a cage cashier at the conclusion of the count and/or members of the Board or Department, no person shall be permitted to enter or leave the count room, except during a normal work break or in an emergency, until the entire counting, recording, and verification process is completed. During a work break or in the event of an emergency, or to permit cash storage boxes or drop boxes to be secured in the count room for the count of the contents, the counting and recording process shall be discontinued unless the appropriate number of personnel as described in C) above is present. Surveillance must be notified prior to any person entering or exiting the count room.

In the event that the count (drop) cannot be completed in a timely manner, such as equipment failure or other circumstances beyond the control of the Operator, or in the event that excess cash has accumulated during a count, a partial count will be accepted by the main bank. The normal end of count procedures set forth above will be followed. In addition, surveillance will be notified, the partial count will be clearly segregated on the count table, verified by the count team, verified by the cage cashier and properly documented

ontrol of the Operator, or in the event that excess cash has accumulated during a count, a partial count will be accepted by the main bank. The normal end of count procedures set forth above will be followed. In addition, surveillance will be notified, the partial count will be clearly segregated on the count table, verified by the count team, verified by the cage cashier and properly documented.

Immediately prior to the commencement of the count, one count team member shall notify surveillance that the count is about to begin, after which surveillance shall make an audio-video recording, with the time and date inserted thereon, of the entire counting process which shall be retained by the surveillance department for at least fourteen days from the date of recordation unless otherwise directed by the Board or the Department.

Procedures and requirements for conducting the count shall be the following:

As each cash storage box or drop box is placed on the count table, one count team member shall verbalize, in a tone of voice to be heard by all persons present and to be recorded by the audio recording device, the asset number marked thereon for cash storage boxes or drop box.

The contents of each cash storage box or drop box shall be emptied on the count table.

The inside of the cash storage box or drop box shall be in full view of a surveillance camera and shall be shown to at least one other count team member to assure all contents of the cash storage box or drop box have been removed, after which the cash storage box or drop box shall be locked and placed in the cart for cash storage boxes or drop boxes.

The contents of each cash storage box or drop box shall be segregated by a count team member into separate stacks on the count table by tickets and by denominations of currency except that the Board may permit the utilization of a machine to automatically separate tickets from currency and sort currency by denomination

ox shall be locked and placed in the cart for cash storage boxes or drop boxes.

Each denomination of currency shall be counted separately by one count team member who shall place individual bills of the same denomination on the count table in full view of a surveillance camera after which the currency shall be counted by a second count team member who is unaware of the result of the original count and who, after completing this count, shall confirm the accuracy of the total, either orally or in writing, with that reached by the first count team member. The Board may permit an Operator to perform an aggregate count by denomination of all currency collected in substitution of the second count if the Board is satisfied that the original count is being performed automatically by a machine that counts and automatically records the amount of currency and that the accuracy of the machine has been suitably tested and proven prior to each count.

The number of tickets contained in the cash storage box shall be counted by a count team member manually or by placing the tickets into a device approved by the Board. The number of tickets counted must be compared to the number of tickets on the Cash Storage Box Report

ally records the amount of currency and that the accuracy of the machine has been suitably tested and proven prior to each count.

As the contents of each cash storage box are counted, or at the completion of the count, one count team member shall record on the Cash Storage Box Report or supporting documentation the following information:

The asset number of the slot machine to which the cash storage box contents correspond;

The amount of each denomination of currency counted;

The amount of all denominations of currency counted;

The total number and dollar amount of tickets; and

Any additional information as may be required on the Cash Storage Box Report by the Board.

As the contents of each table game drop box are counted, one count team member shall record on the count documentation, in ink or by computer, the type of game, table number, shift (if applicable), and the following information:

The amount of each denomination of currency counted;

The amount of all denominations of currency counted;

The amount of chips counted;

The total amount counted;

The amount of the opener;

The amount of the closer;

The serial number and amount of each fill;

The amount of all fills;

The serial number and amount of each credit;

The amount of all credit;

The win or loss; and

The amount of coupons authorizing chip purchases.

If the licensee’s system of internal controls provides for the recording on the master game report or supporting documents of fills, front money deposits, and table inventory slips prior to commencement of the count, a count team member shall compare for agreement the totals of the amounts recorded thereon to the fills, credits, and table inventory slips removed from the drop boxes

chip purchases.

After preparation of the Drop Box Report, each count team member shall sign the reports attesting to the accuracy of the information recorded thereon.

At the conclusion of the count:

The cage cashier will enter the count room, bulk count all strapped currency, count all the loose (unstrapped) currency and test count at least one strap of each denomination of cash. The cage cashier will compare this total with the count team’s total prior to having access to the Count Transfer Sheets and in the presence of a count team member; attest to the amount of cash received by signing the Count Transfer Sheets; and then will transport all monies directly to the main bank.

The Count Transfer Sheets, after signing, as well as all tickets removed during the count, will be transported directly to the accounting department. The accounting department will record the figures from the Count Transfer Sheets and calculate the total drop for that gaming day.

III-I -3 Usage and initialization of currency counting machines

The Board shall permit the utilization of currency counting machines. The Operator will submit a plan to the Board to verify that all currency counting machines to be used during the “soft count” are accurate prior to any count. At a minimum, this process shall involve two members of the “count team.” One member of the team will be designated as “lead” or similar title. The “lead” member will be responsible for the verification process and will attest in writing as to the results

submit a plan to the Board to verify that all currency counting machines to be used during the “soft count” are accurate prior to any count. At a minimum, this process shall involve two members of the “count team.” One member of the team will be designated as “lead” or similar title. The “lead” member will be responsible for the verification process and will attest in writing as to the results.

III-J Chips

III- J -1 Approval of chips and tokens; applications and procedures

A licensee shall not issue any chips for use in its gaming establishment or sell or redeem any such chips unless the chips have been approved in writing by the Gambling Control Board or its designee. A licensee shall not issue any chips for use in its gaming establishment or sell or redeem any such chips that are modifications of chips previously approved by the Gambling Control Board or its designee unless the modifications have been approved in writing by the Gambling Control Board or its designee.

Applications for approval of chips and modifications to previously approved chips must be made, processed, and determined in such manner and using forms MGCB-3000. Each application must include, in addition to such other items or information as the Gambling Control Board or its designee may require:

The names of the licensee and person requesting approval;

An exact drawing, in color or in black-and-white, of each side and the edge of the proposed chip drawn to actual size or drawn to larger than actual size and in scale, and showing the measurements of the proposed chip in each dimension;

Written specifications for the proposed chips;

The name and address of the manufacturer;

The licensee's intended use for the proposed chips; and

Two Sample chip(s) in final, manufactured form. The Board shall retain sample chips

d the edge of the proposed chip drawn to actual size or drawn to larger than actual size and in scale, and showing the measurements of the proposed chip in each dimension;

Written specifications for the proposed chips;

The name and address of the manufacturer;

The licensee's intended use for the proposed chips; and

Two Sample chip(s) in final, manufactured form. The Board shall retain sample chips.

If, after receiving and reviewing the items and information described in subsection B.), the Gambling Control Board or its designee is satisfied that the proposed chips conform with the requirements of this regulation, the Gambling Control Board or its designee shall approve the proposed chips and notify the licensee in writing. As a condition of approval of chips issued for use at a specific table, the Gambling Control Board or its designee may prohibit the licensee from using the chips other than at the specified game.

III J -2 Specifications for chips

Chips must be designed, manufactured, and constructed in compliance with all applicable statutes, regulations, and policies of the United States, and this state, so as to prevent counterfeiting of the chips to the extent reasonably possible. Chips must not deceptively resemble any current or past coinage of the United States or any other nation.

In addition to such other specifications as the Gambling Control Board or its designee may approve:

The name of the issuing gaming establishment must be inscribed on one side of each chip, and the city or other locality and the state where the establishment is located must be inscribed on at least one side of each chip;

The value of the chip must be inscribed on one side of each chip, other than chips used exclusively at roulette;

The manufacturer's name or a distinctive logo or other mark identifying the manufacturer must be inscribed on at least one side of each chip; and

Each chip must be designed so that when stacked with chips of other denominations and viewed on closed-circuit, black-and-white television, the denominat

the chip must be inscribed on one side of each chip, other than chips used exclusively at roulette;

The manufacturer's name or a distinctive logo or other mark identifying the manufacturer must be inscribed on at least one side of each chip; and

Each chip must be designed so that when stacked with chips of other denominations and viewed on closed-circuit, black-and-white television, the denominations of the chip can be distinguished from that of the other chips in the stack.

The names of the city or other locality and the state where the establishment is located must be inscribed on at least one side of each chip unless the Gambling Control Board or its designee finds, after application by a licensee, that such an inscription is not necessary because:

The name of the issuing establishment is unique to one readily identifiable establishment in all gaming jurisdictions; and

The inclusion of the city or other locality and the state is not necessary or beneficial for any regulatory purpose relating to the applicant.

Any application submitted pursuant to subsection III-H-1. must be signed by the general manager of the applicant and be on form MGCB-3000.

III J -3 Reception and inspection of chips

The Operator will inspect all chips upon receipt from the manufacturer or distributor to ensure, at a minimum, that:

The quantity and denomination of the chips that are actually received from the manufacturer or distributor agree with the quantity and denomination of such the chips listed on the shipping documents.

There are no physical defects in the chips that were received.

The inspection required by A.) above will be conducted by at least three people (“inspection team”) and the Department inspector on duty. Each inspection team will consist of at least one representative from each of the following departments under surveillance:

Accounting;

Cashier’s Cage; and

Security

listed on the shipping documents.

There are no physical defects in the chips that were received.

Accounting;

Cashier’s Cage; and

Security.

The inspection team will report to the Department inspector promptly after an inspection required by B.) the following:

The shipment contains defective chips, or

The quantity and denomination of the chips actually received do not agree with quantity and denomination listed on the shipping documents.

After the receipt and inspection of the chips, the cage cashier from the inspection team will record on the Chips Receipt Log the following information:

Date of receipt;

Description and denomination of the chips received;

Number of the chips shipped from the manufacturer or distributor (invoice);

The actual amount by denomination of the chips received;

Any variance between the number of the chips on the invoice and the actual number of the chips received;

Total dollar amount received;

Signature and license number of the cage cashier representative;

Signature and license number of the accounting department representative; and

Signature and license number of the security department representative.

The cage cashier will then add the additional chips delivered to the chip inventory log.

The Operator shall supply two chips of each denomination to the Board or its designee prior to their usage

and license number of the cage cashier representative;

Signature and license number of the accounting department representative; and

Signature and license number of the security department representative.

The cage cashier will then add the additional chips delivered to the chip inventory log.

The Operator shall supply two chips of each denomination to the Board or its designee prior to their usage.

III J -4 Use of chips

A licensee that uses chips at its gaming establishment shall:

Comply with all applicable statutes, regulations, and policies of this state and of the United States pertaining to chips;

Sell chips only to patrons of its gaming establishment and only at their request;

Promptly redeem its own chips from its patrons;

Post conspicuous signs at its establishment notifying patrons that the use of the licensee’s chips may not be used outside the licensee’s establishment for any monetary purpose whatsoever;

Take reasonable steps, including examining chips and segregating those issued by other licensees to prevent sales to its patrons of chips and tokens issued by another licensee; and

Not accept chips as payment for any goods or services offered at the licensee's gaming establishment with the exception of the specific use for which the chips were issued and payment of tips and gratuities for food and beverages on the gaming floor. The licensee shall not give chips as change in any other transaction.

A licensee shall not redeem its chips if presented by a person who the licensee knows or reasonably should know is not a patron of its gaming establishment, except that a licensee shall promptly redeem its chips if presented by:

Another licensee who represents that it redeemed the chips from its patrons and received them unknowingly, inadvertently, or unavoidably; or

An employee of the licensee who presents the chips in the normal course of employment

person who the licensee knows or reasonably should know is not a patron of its gaming establishment, except that a licensee shall promptly redeem its chips if presented by:

Another licensee who represents that it redeemed the chips from its patrons and received them unknowingly, inadvertently, or unavoidably; or

An employee of the licensee who presents the chips in the normal course of employment.

A licensee shall not knowingly sell, use, permit the use of, accept, or redeem chips issued by another licensee, except as follows:

A licensee may redeem chips issued by another licensee if:

The chips are presented by a patron for redemption at the cashiers’ cage of the licensee’s gaming establishment; or

The chips are presented by a patron at a table game and the licensee redeems the chips with chips of its own, places the redeemed chips in the table’s drop box, and separates and properly accounts for the redeemed chips during the count performed pursuant to the licensee’s system of internal controls.

Chips whose use is restricted to uses other than at table games or other than at specified table games may be redeemed by the issuing licensee at table games or non-specified table games if the chips are presented by a patron, and the licensee redeems the chips with chips issued for use at the game, places the redeemed chips in the table's drop box, and separates and properly accounts for the redeemed chips during the count performed pursuant to the licensee’s system of internal controls.

III J -5 Redemption of chips

ensee’s system of internal controls.

III J -5 Redemption of chips

A licensee that permanently removes from use or replaces approved chips at its gaming establishment, or that ceases operating its gaming establishment whether because of closure or sale of the establishment or any other reason, must prepare a plan for redeeming discontinued chips that remain outstanding at the time of discontinuance. The licensee must submit the plan in writing to the Gambling Control Board or its designee not later than thirty (30) days before the proposed removal, replacement, sale, or closure, unless the closure or other cause for discontinuance of the chips cannot reasonably be anticipated, in which event the licensee must submit the plan as soon as reasonably practicable. The Gambling Control Board or its designee may approve the plan or require reasonable modifications as a condition of approval. Upon approval of the plan, the licensee shall implement the plan as approved.

In addition to such other reasonable provision as the Gambling Control Board or its designee may approve or require, the plan must provide for:

Redemption of outstanding, discontinued chips in accordance with this regulation for at least 120 days after the removal or replacement of the chips or for at least 120 days after operations cease as the case may be, or for such longer or shorter period as the Gambling Control Board or its designee may for good cause approve or require;

Redemption of the chips at the premises of the gaming establishment or at such other location as the Gambling Control Board or its designee may approve;

Publication of notice of the discontinuance of the chips, the redemption and the pertinent times and locations in at least two newspapers of general circulation in this state at least twice during each week of the redemption period, subject to the Gambling Control Board or its designee’s approval of the form of the notice, the newspapers selected for publication and the specific days of publication;

Conspicuous posting of the notice

nuance of the chips, the redemption and the pertinent times and locations in at least two newspapers of general circulation in this state at least twice during each week of the redemption period, subject to the Gambling Control Board or its designee’s approval of the form of the notice, the newspapers selected for publication and the specific days of publication;

Conspicuous posting of the notice described in paragraph (3) at the gaming establishment or other redemption location; and

Destruction or such other disposition of the discontinued chips as the Gambling Control Board or its designee may approve or require.

III J -6 Destruction of chips

The destruction of chips, if carried out by the Operator, will take place in the presence of at least three (3) representatives of the following departments and a department inspector;

Security;

Accounting; and

Cashier’s Cage.

The Operator has the option of using a vendor for the destruction of chips on the Operator’s premises in front of those representatives in A.) above.

If the Operator decides to use a licensed vendor for the destruction of chips, the Operator shall maintain a document that confirms the receipt and the destruction of the chips from the vendor. This document shall be readily available for inspection by the Board and the Department.

The amount and description of all chips destroyed by the Operator or vendor will be recorded in the Chip Destruction Log. The Chip Destruction Log will contain:

Date of destruction;

Denomination of the chips being destroyed;

Total number of chips being destroyed by denomination;

Total dollar amount of the chips being destroyed by denomination;

Total dollar amount of all chips being destroyed;

Signature and employee number of the Cashiers’ Cage representative;

Signature and employee number of the accounting department representative; and

Signature and employee number of the security department representative

destroyed;

Total number of chips being destroyed by denomination;

Total dollar amount of the chips being destroyed by denomination;

Total dollar amount of all chips being destroyed;

Signature and employee number of the Cashiers’ Cage representative;

Signature and employee number of the accounting department representative; and

Signature and employee number of the security department representative.

III J -7 Counterfeit chips

As used in this section, “counterfeit chips” mean any chip-like objects that have not been approved pursuant to this regulation, but not including coins of the United States or any other nation.

The Operator must turn over any and all counterfeit chips to the Department’s Inspector Supervisor with an Operator’s security and/or surveillance department report containing, at a minimum:

Date and time the chips were discovered;

The names of the individuals who discovered them;

The denomination of the chips;

Number of chips by denomination;

Total amount of all chips;

The names of the individuals who presented the chips for play or redemption, if known; and

The names of any other interested parties to the transaction.

III J- 8 Promotional and tournament chips

As used in this section, “promotional chip” means a chip object issued by a licensee for use in promotions or tournaments at the licensee's gaming establishment.

Promotional chips must be designed, manufactured, approved, and used in accordance with the provisions of this regulation applicable to chips, except as follows:

Promotional chips must be distinguishable from other chips as determined by the Gambling Control Board or its designee.

Each side of each promotional chip must conspicuously bear the inscription “No Cash Value”;

Promotional chips must not be used, and licensees shall not permit their use, in transactions other than the promotions or tournaments for which they are issued; and

The provisions of section III-H-6 of this regulation shall not apply to promotional chips

mined by the Gambling Control Board or its designee.

Each side of each promotional chip must conspicuously bear the inscription “No Cash Value”;

Promotional chips must not be used, and licensees shall not permit their use, in transactions other than the promotions or tournaments for which they are issued; and

The provisions of section III-H-6 of this regulation shall not apply to promotional chips.

III J -9 Inventory of chips

Chips shall be taken from or returned to the reserve chip inventory in the presence of at least two (2) individuals. The denominations, number and amount of chips so taken or returned shall be recorded in the chip inventory ledger together with the date and signatures of the individuals carrying out this process.

Each licensee shall, on a monthly basis, compute and record the unredeemed liability for each denomination of chips and record the result of such inventory in the chip inventory ledger. On a monthly basis, each licensee shall conduct an inventory of chips in reserve and record the result of such inventory in the chip inventory ledger. If the reserve chips are stored in a locked compartment that is sealed and tamper resistant, a physical inventory must be conducted annually, unless the compartment is opened, at which time an inventory must be conducted.

During nongaming hours all chips in the possession of the licensee shall be stored in the main bank or chip bank, or in a locked compartment in a cashiers’ cage, except that chips may be locked in a transparent compartment on gaming tables under continuous surveillance coverage.

III–K Table games

Access to playing cards, dice and other instruments used in the playing of table games

New and used playing cards to be issued to a table shall be maintained in a secure location to prevent unauthorized access and reduce the possibility of tampering. Used playing cards that are not to be re-used shall be properly canceled and removed from service

inuous surveillance coverage.

III–K Table games

Access to playing cards, dice and other instruments used in the playing of table games

All dice or playing cards that are not being utilized at a live gaming device shall be kept in locked compartments.

Dice and playing cards shall not be left at a live gaming device while unattended.

Casino licensees shall maintain an inventory of all dice and playing cards on forms prescribed by the Board. The inventory shall contain all of the following information:

The date on which dice and playing cards are received;

The quantity of the dice and playing cards received;

The name, business address, and business telephone number of the manufacturer from which the dice or playing cards are received;

The quantity of dice and playing cards that are placed into play each day;

The quantity of dice and playing cards that are removed from play due to suspected tampering and the date of the removal; and

The quantity of dice and playing cards that are removed from play and canceled each day.

A casino licensee shall conduct a physical inventory of the dice and playing cards every 3 months. A casino licensee shall record the results of the physical inventory on forms prescribed by the Board. A casino licensee shall reconcile inventory maintained in sub rule (III-I-A-4) of this rule with the results of the physical inventory. A casino licensee shall immediately report any discrepancies in the inventory forms and the physical inventory to the Board

ice and playing cards every 3 months. A casino licensee shall record the results of the physical inventory on forms prescribed by the Board. A casino licensee shall reconcile inventory maintained in sub rule (III-I-A-4) of this rule with the results of the physical inventory. A casino licensee shall immediately report any discrepancies in the inventory forms and the physical inventory to the Board.

Playing card specifications

All playing cards utilized by a casino licensee shall be in compliance with all of the following specifications:

Unless otherwise provided in this part or in the rules of the game document, all decks of cards shall be 1 complete standard deck of 52 cards in 4 suits. The 4 suits shall be hearts, diamonds, clubs, and spades. Each suit shall consist of all of the following numerical cards:

Two to 10.

A jack.

A queen.

A king.

An ace.

The backs of each card in a deck shall be identical, and no card shall contain any marking, symbol, or design that will enable a person to know the identity of any element printed on the face of the card or that will differentiate the back of that card from any other card in the deck.

All edges shall be perfectly square with each side at a precise 90-degree angle to each adjacent side of the card.

The radius of all 4 corners shall be exactly the same.

The name, trade name, or logo of the casino licensee or casino license applicant shall be imprinted on the back side of each playing card twice in a mirror image. The mirror imaged name, trade name, or logo of the casino licensee or casino license applicant shall be spaced a minimum of 3/4 of an inch apart.

If playing cards have a white border, then the border shall be a minimum of 3/16 of an inch on each side of the card.

In the hearts suit, the hearts shall be a burgundy red color.

In the diamonds suit, the diamond pips shall be a burgundy red color.

In the spades suit, the spades shall be a black color

In the clubs suit, the trefoil-shaped figure shall be a black color

mum of 3/4 of an inch apart.

If playing cards have a white border, then the border shall be a minimum of 3/16 of an inch on each side of the card.

In the hearts suit, the hearts shall be a burgundy red color.

In the diamonds suit, the diamond pips shall be a burgundy red color.

In the spades suit, the spades shall be a black color

In the clubs suit, the trefoil-shaped figure shall be a black color.

All finished card decks are to be packaged using a cellophane or shrink wrap in single deck boxes that have a tamper-resistant security seal and a tear band.

The manufacturer's identification name shall be placed on each deck box.

The manufacturer's identification name shall be placed on each box containing individual decks of playing cards.

Dice specifications.

All dice utilized by a casino licensee shall be in compliance with all of the following specifications:

Each die must be formed in the shape of a perfect cube and of a size no smaller than 0.750 inches on each side nor larger than 0.775 inches on each side.

The name, trade name, or logo of the casino licensee shall be imprinted on or in each die utilized by the casino licensee or casino license applicant.

Each die must be transparent and made exclusively of cellulose, except for the following:

Spots.

Name, trade name, or logo of the casino licensee.

Serial number or letters, or both.

The surface of each side of the die shall be perfectly flat, and the spots contained in each side of the die shall be perfectly flush with the area surrounding the spots.

The edges and corners of each die shall be perfectly square and form 90-degree angles with each adjacent side.

The texture and finish of each side shall be exactly identical to the texture and finish of all other sides.

The weight of each die shall be equally distributed throughout the cube, and no side of the cube may be heavier or lighter than any other side of the cube

ea surrounding the spots.

The edges and corners of each die shall be perfectly square and form 90-degree angles with each adjacent side.

The texture and finish of each side shall be exactly identical to the texture and finish of all other sides.

The weight of each die shall be equally distributed throughout the cube, and no side of the cube may be heavier or lighter than any other side of the cube.

Each die must have 6 sides bearing white circular spots from 1 to 6, respectively, with the diameter of each spot equal to the diameter of every other spot on the die.

Each die must have spots arranged so that all of the following provisions are satisfied:

The side containing 1 spot is directly opposite the side containing 6 spots.

The side containing 2 spots is directly opposite the side containing 5 spots.

The side containing 3 spots is directly opposite the side containing 4 spots.

Each spot shall be placed on the die by drilling, or the equivalent, 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.

Inspection of cards

When playing cards are accepted for play at a live gaming device, the licensee accepting the playing cards shall inspect the playing cards to ensure the playing cards comply with this rule.

On at least a daily basis, playing cards shall be inspected by sorting the cards sequentially by suit and inspecting the sides of the cards for crimps, bends, cuts, shaving, or any other defect that would affect the integrity or fairness of the game.

Inspection of dice.

Before dice are placed into play at a live gaming device, the pit boss, or the pit boss’s equivalent, shall inspect the dice to ensure the dice comply with this rule

ards shall be inspected by sorting the cards sequentially by suit and inspecting the sides of the cards for crimps, bends, cuts, shaving, or any other defect that would affect the integrity or fairness of the game.

Inspection of dice.

Before dice are placed into play at a live gaming device, the pit boss, or the pit boss’s equivalent, shall inspect the dice to ensure the dice comply with this rule.

Dice shall be inspected by all of the following methods on a flat surface that allows the inspection of the dice to be monitored by the surveillance system:

A micrometer or any other approved instrument that performs the same function.

A balancing caliper.

A steel set square and magnet.

A casino licensee shall store the micrometer or other approved instrument, the balancing caliper, and the steel set square and magnet in a secure place that is not accessible by the public.

Removal of cards or dice from play.

A casino licensee shall remove any dice or playing cards if there is an indication of any of the following:

The dice or playing cards have been tampered with.

The dice or playing cards are flawed.

The dice or playing cards are defective, and the defect may affect the integrity or fairness of the game.

If there is an indication that dice or playing cards have been tampered with, then the pit boss, or the pit boss’s equivalent, shall place the dice or playing cards in an envelope, seal the envelope, and give the envelope to the Department. The pit boss, or the pit boss’s equivalent, shall note all of the following information on the outside of the envelope:

The date and time the dice or playing cards were removed from play.

The live gaming device from which the dice or playing cards were removed from play.

The characteristics that indicate that the dice or playing cards were tampered with.

The name of all licensees at the live gaming device from which the dice or playing cards were removed, and the name of the pit boss, or the pit boss’s equivalent, who removed the dice or playing cards from play

e removed from play.

The live gaming device from which the dice or playing cards were removed from play.

The characteristics that indicate that the dice or playing cards were tampered with.

Except for dice that are removed from play due to the possibility of tampering, all dice shall be canceled when removed from play. Dice may be canceled by any of the following means:

Drilling a circular hole that is not less than 1/4 of an inch in diameter through the center of each die.

Destroying the die by shredding.

Canceling the die in any other manner approved by the Board or its designee.

Except for playing cards that are removed from play due to the possibility of tampering, all playing cards shall be canceled by 1 of the following methods:

Drilling a circular hole that is no less than 1/4 of an inch in diameter through the center of each card in the deck.

Shaving not less than 2 corners of each playing card so that each side is no longer at 90-degree angles with each adjacent side.

The cards are destroyed by shredding.

Canceling the cards by any other method approved by the Board or its designee.

This rule shall not prevent a licensee from removing cards and dice from a game at any time in its discretion.

Table limits

The rules of the game submitted by the casino licensee or casino license applicant shall require that table limits for each table will be clearly posted for the public.

A casino licensee may amend the minimum and maximum wager at a table if the new maximum wager is not above the house maximum wager for the game. A casino licensee may amend the minimum and maximum wagers of a table if both of the following actions are taken:

A sign is posted at the gaming table advising patrons of the new minimum and maximum wagers in effect for the table.

Patrons at the table are advised of the change

mend the minimum and maximum wager at a table if the new maximum wager is not above the house maximum wager for the game. A casino licensee may amend the minimum and maximum wagers of a table if both of the following actions are taken:

A sign is posted at the gaming table advising patrons of the new minimum and maximum wagers in effect for the table.

Patrons at the table are advised of the change.

A casino licensee may raise the house limit for individual patrons by following procedures for raising the limits that have been submitted with the rules of the game and approved in accordance with these rules.

III K -1 Handling of cash and chips

All games shall be conducted only with the use of chips that have been approved by the Board or its designee or with lawful currency or coinage of the United States of America. All table game payouts by licensees shall be made in the form of chips and/or coins only. Each employee in gaming operations, owner or licensee who receives currency of the United States (other than tips or gratuities) from a patron in the gaming area of a gaming establishment must promptly place the currency in the table game drop box or, in the case of a cashier, in the cash drawer.

When a patron redeems chips, the gaming establishment shall immediately return the full value of the chips to the patron in the form of cash or check.

All chips shall be the standard colors commonly accepted for each denomination within the industry. Those colors are:

One dollar ($1.00), white;

Two dollars and fifty cents ($2.50), pink;

Five dollars ($5.00), red;

Ten dollars ($10.00), blue;

Twenty dollars ($20.00), yellow;

Twenty-five dollars ($25.00), green;

One hundred dollars ($100.00), black;

Five hundred dollars ($500.00), purple; and

One thousand dollars ($1,000), chips will be orange.

All Operators shall create internal controls related to the acceptance and distribution of tips and gratuities for approval by the Board

nk;

Five dollars ($5.00), red;

Ten dollars ($10.00), blue;

Twenty dollars ($20.00), yellow;

Twenty-five dollars ($25.00), green;

One hundred dollars ($100.00), black;

Five hundred dollars ($500.00), purple; and

One thousand dollars ($1,000), chips will be orange.

All Operators shall create internal controls related to the acceptance and distribution of tips and gratuities for approval by the Board.

III-K -2 Fill and credit slips

All fill slips and credit slips shall be serially numbered forms and shall be in triplicate in a continuous series utilizing the property identification logo, so that no facility may ever utilize the same documents.

Only one series of each type may be used at a time.

For Operators at which fills, or credits are manually prepared, each series must be inserted in a consecutive order in a locked machine that will permit the original and duplicate to be utilized in accordance with the detailed rules for each type of slip set forth and will only permit the third copy to be retained intact in a continuous unbroken form by a member of the accounting department.

The third series, after use, must not be available to personnel in table game or cashiers’ cage operations who have access to the original and duplicate of the series, and must be retained in a secure place in the accounting department. All series numbers must be accounted for.

All voided slips shall be marked “VOID” and shall require the signatures and employee number of two employees voiding the slip. One of those employees must be a cashier supervisor.

Information on the fill or credit slip must include:

The time and date of the fill or credit;

The game and table number to which the gaming chips are to be distributed or returned;

The denomination of gaming chips to be distributed to the gaming tables or being returned; and

The total amount of each denomination of gaming chips

voiding the slip. One of those employees must be a cashier supervisor.

Information on the fill or credit slip must include:

The time and date of the fill or credit;

The game and table number to which the gaming chips are to be distributed or returned;

The denomination of gaming chips to be distributed to the gaming tables or being returned; and

The total amount of each denomination of gaming chips.

For Operators at which fills or credits are computer prepared, each series shall be a two (2) part form and shall be inserted in a printer that will simultaneously print an original and a duplicate and store, in machine readable form, all information printed on the original and duplicate. The stored data shall not be susceptible to change or removal by any personnel after preparation.

III-K –3 Procedure for distributing gaming chips to and from game tables (fills and credits)

An operator shall include in its system of internal controls with specificity, the following to be approved by the Board:

Description and procedures for table fills and credits;

Procedures to ensure appropriate government forms are completed;

Procedures to ensure surveillance coverage is kept of all table fills and credits; and

Procedures to ensure the logging of events and the availability of records to permit an effective audit of the conduct of table fills and credits for the proper reporting of revenue.

III-K–4 Procedure for incorrect fills

The Operator must utilize the following procedures when the fill has an incorrect denomination, total amount or table assignment and the incorrect fill is discovered before the original fill slip is dropped in the table drop box.

The security officer must return the fill to the cashiers’ cage.

The cage cashier counts, verifies and accepts the return of the fill.

The cage cashier and cage supervisor must:

Mark all voided fill slips “VOID”;

Sign and note employee number on the voided fill slip; and

Forward the voided fill slip to accounting to provide a means of reconciliation of fill slips

is dropped in the table drop box.

The security officer must return the fill to the cashiers’ cage.

The cage cashier counts, verifies and accepts the return of the fill.

The cage cashier and cage supervisor must:

Mark all voided fill slips “VOID”;

Sign and note employee number on the voided fill slip; and

Forward the voided fill slip to accounting to provide a means of reconciliation of fill slips.

The Operator must utilize the following procedures when the fill has an incorrect denomination, total amount or table assignment and the incorrect fill is discovered after the original fill slip has already been dropped in the table drop box.

Regardless of how an incorrect fill is found after the original fill slip is dropped into the table drop box, the table games supervisor shall complete a notification of error slip and drop that slip into table drop box to alert the count team and accounting of the error.

The table games supervisor must notify surveillance about the error, record the error and report the error to the Department inspector on duty and if inspector is not on duty email information to Gambling.control@maine.gov.

III K–5 Procedure for closing gaming tables

At the end of the gaming day, the dealer or boxperson must count the gaming chips and coins in the table tray.

The table games supervisor or above must:

Observe the count of the gaming chips and coins; and

Record the gaming chips and coins counted on a table inventory slip, which must be a three-part form. On the original copy of the slip (“closer”) and the duplicate of the slip (“opener”), the table games supervisor must record:

The date and identification of the shift ended;

The game and table number;

The total value of each denomination of gaming chips and coins remaining on the table; and

The total value of all denominations of gaming chips and coins remaining at the table.

The dealer or boxperson and table games supervisor or above must:

Sign the inventory slip attesting to the accuracy of the information recorded for closing the table

ification of the shift ended;

The game and table number;

The total value of each denomination of gaming chips and coins remaining on the table; and

The total value of all denominations of gaming chips and coins remaining at the table.

The dealer or boxperson and table games supervisor or above must:

Sign the inventory slip attesting to the accuracy of the information recorded for closing the table.

The dealer or boxperson then must deposit the closer in the drop box and place the opener in the table tray before placing the cover on the tray and securing the chips.

III- K-6 Procedure for opening gaming tables

When the table is going to be opened for play, the dealer shall count the chips and coin in the tray and attest by signature on the opener that the inventory is correct. The dealer then must place the opener in the drop box.

If a discrepancy exists between the opener and the table inventory, the table games supervisor shall notify surveillance and complete a discrepancy or similar report.

III–L Electronic Table Games (ETGs)

The operator monitoring system or independently operated ETG shall be under access or dual-key control by the Operator’s accounting or finance department and another authorized department as set forth in the Operator’s system of internal controls approved by the Board.

An operator shall include in its system of internal controls for either an operator monitoring system or independently operated ETG the following:

Procedures to ensure the physical security of the computer or server and related hardware, software and other devices;

Procedures to ensure the integrity and security of all sensitive data and software;

Procedures to ensure that access to sensitive data and software is limited to appropriate licensed personnel only;

Procedures to accept and record table game player incentives as described in Chapter 29 §2 of the Rules of the Gambling Control Board; and

Procedures to ensure the logging of events and the availability of records to permit an effective audit of the conduct of the

data and software;

Procedures to ensure that access to sensitive data and software is limited to appropriate licensed personnel only;

Procedures to accept and record table game player incentives as described in Chapter 29 §2 of the Rules of the Gambling Control Board; and

Procedures to ensure the logging of events and the availability of records to permit an effective audit of the conduct of the ETG system and the reporting of revenue.

III-L -1 Independently operated ETGs

An independently operated ETG shall have software or hardware installed that distinguishes it from a slot machine.

An independently operated ETG shall have the capability to accept currency or gaming vouchers and to issue a gaming voucher to a player for any winnings.

An independently operated ETG shall be equipped with all meters to support reporting in III-J(B)(5) above.

III-L -2 Dealer operated ETGs

A dealer operated ETG shall have the ability to authenticate the transmission of data between the various components of the ETG system.

A dealer operated ETG must send or display a notification to the surveillance department whenever a door or cabinet at an ETG is open and whenever there is a malfunction in the operation of the ETG system, or any component thereof, including whenever a printer or currency jam occurs.

III-M Poker games

III- M –1 Minimum standards of internal controls for poker games

Poker rooms for the play of poker games approved by the Board shall be located separately from slot machine and casino table games areas.

A table games supervisor or above shall be present at all times the poker room is operating.

Poker table tray inventory must be used only for the purposes of making change or handling player buy-ins. The poker room bank is to be used only for the purchase and redemption of chips by players.

Transfers between the poker room bank and the casino cage are to be properly authorized and documented by the poker room supervisor, cage cashier and a security department member

ker room is operating.

Poker table tray inventory must be used only for the purposes of making change or handling player buy-ins. The poker room bank is to be used only for the purchase and redemption of chips by players.

Transfers between the poker room bank and the casino cage are to be properly authorized and documented by the poker room supervisor, cage cashier and a security department member.

When the poker table bank is to be replenished with chips from the poker room bank, the chips to be transferred must be counted down by the dealer in public view on the poker table and verified by the poker room supervisor and the dealer under surveillance coverage.

Rake-off, which is a percentage of the pot taken by the licensee for maintaining or dealing a game, shall only be pulled from the pot by the dealer in an obvious manner after call or at the completion of the hand.

The rake-off shall be placed in a designated rake circle and shall remain there until a winner is declared and paid. The rake-off shall then be deposited into the drop box. The amount of any rake-off must be conspicuously posted at or near the table.

Time buy-ins, which are charges to a player determined on a time basis by the licensee for the right to participate in a game, or any other fees charged to a patron shall be immediately placed in the drop box.

Playing cards, both used and unused, are to be maintained in a secure location to prevent unauthorized access.

The amount of the poker room bank is to be counted, recorded and reconciled on, at least, a daily basis. At the end of the shift the amount of the table bank is counted, recorded, and reconciled by at least two employees with such count being attested to by signatures on the check-out form.

The procedure for the collection of poker drop boxes and the count of the contents thereof will comply with all procedures applicable to the table game drop boxes. The poker drop boxes shall be removed on the same schedule with the table games and the contents therein counted on the same schedule

ciled by at least two employees with such count being attested to by signatures on the check-out form.

III- M -2 Poker game drop box procedures

Each poker table shall have one poker game drop box with the drop slot located at least four inches in front of the table tray and to the right thereof, unless the table is equipped with a drop slot located at least two inches to the right of and even with the top right-hand corner of the table tray, with a cover over the drop slot, which when activated will cause the rake to drop directly into the drop box.

The poker game drop box shall be a locked container marked with a permanent number corresponding to a permanent number on the card table and permanently marked to indicate game and shift, all of which markings shall be clearly visible at a distance of 20 feet. The locked container shall be locked to the poker table and shall be separately keyed from the container itself.

All poker game drop boxes shall be removed from their respective card tables at the times previously submitted in writing to and approved by the Inspector Supervisor. The removal of poker drop boxes shall be without any interruptions so that an observer may be able to observe the markings on the boxes.

The boxes must be transported directly to the room designated for counting where they shall be stored in a secure place or immediately counted.

In the event of electronic or mechanical malfunction, or any other situation which prevents the placement of money in the drop box, the licensee may perform an emergency drop on the malfunctioning device and will email information to Gambling.control@maine.gov.

xes must be transported directly to the room designated for counting where they shall be stored in a secure place or immediately counted.

. Such emergency drop must be recorded on the casino surveillance systems.

III-M-3 Transactions between poker table bank and poker room bank

When the poker table bank is to be replenished with chips from the poker room bank, all cash or chips to be transferred must be counted down by the dealer in public view on the poker table and verified by the poker room supervisor and the dealer under surveillance coverage.

The transfer shall be preceded by the placement of appropriately designated marker buttons on the poker table of a value equivalent to the cash or chips to be transferred to the poker room bank. Such marker buttons may only be removed by the dealer after the transaction has been completed.

Those licensees wishing to utilize the casino cage in lieu of a poker room bank may do so upon written approval of the Board or its designee.

III-M-4 Limitations on the use of poker room banks and poker table banks

Poker room banks shall be used exclusively for the purchase and redemption of chips by players.

Poker table banks shall be used only for the purposes of making change or handling player buy-ins.

APAO ACCESSIBILITY CHECK (Word):

March 24, 2026

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.