TITLE 16.ECONOMIC REGULATION

Part 1. RAILROAD COMMISSION OF TEXAS

Chapter 3. OIL AND GAS DIVISION

16 TAC §3.58

The Railroad Commission of Texas proposes to amend §3.58, relating to Oil, Gas, or Geothermal Resource Operator's Reports to conform §3.58 to revisions in Commission form P-4 (certificate of compliance and transportation authority) and to provisions of Texas Natural Resources Code, §89.002(a)(2) and §89.011(b). The proposed amendments will clarify current Commission requirements and procedures.

Proposed amendments to §3.58(a)(1) clarify that a transporter may not transport oil, gas or geothermal resources from property on which wells related to crude oil, natural gas or geothermal resources are located until the Commission has approved a certificate of compliance and transportation authority (form P-4).

Proposed amendments to §3.58(a)(2) provide that an approved certificate of compliance and transportation authority (form P-4) binds the operator until another operator files a subsequent certificate, and the Commission has approved the subsequent certificate and transferred the property on Commission records to the subsequent operator.

Proposed amendments to §3.58(a)(3) clarify that the Commission's district offices or Austin office may grant temporary authority for an operator to use a transporter not authorized for a particular property for transportation of condensate as well as oil.

Proposed amendments to §3.58(a)(4) specify that an applicant wishing to assume operator status for a property, but unable to obtain the signature of the previous operator on the certificate of compliance and transportation authority, must file a completed form P-4 signed by a designated officer or agent of the applicant, together with an explanatory letter and legal documentation of the applicant's right to operate the property.

Proposed amendments to §3.58(b) make clear that each operator who is a producer of natural gas must file, for each calendar month, for each producing property, Commission form P-2 (producer's monthly report of gas wells).

Proposed amendments to §3.58(c) clarify the requirements and procedure for filing form P-3, authority to transport recovered load or frac oil.

The proposed amendments would add a new subsection (d) to clarify requirements for filing Commission form P-6 (request for permission to subdivide or consolidate oil leases(s)), which must be made by operators seeking to subdivide or consolidate oil leases, and the circumstances under which such filings may be approved administratively. Under the proposed amendments, a request to subdivide an existing oil lease may be approved administratively if Commission staff determines that approval will not cause waste, harm correlative rights, or result in the circumvention of Commission rules. Also under the proposed amendments, a request to consolidate two or more existing oil leases may be approved administratively if Commission staff determines that approval will not cause waste, harm correlative rights, or result in the circumvention of Commission rules and (1) the mineral and royalty ownership of the leases proposed for consolidation is identical in all respects; (2) the operator has obtained a surface commingling exception permit pursuant to §3.26 (relating to separating devices, tanks, and surface commingling of oil) that authorizes commingling of production from all of the leases proposed for consolidation; or (3) the operator has filed and obtained approval of a valid Commission form P-12 (certificate of pooling authority) authorizing pooling of all of the leases proposed for consolidation.

The proposed amendments to §3.58 also provide the names and numbers of Commission forms on which reports required by the rule must be made and the purposes for which they are filed.

Leslie Savage, Planning and Administration, Oil and Gas Division, has determined that for each year of the first five years the rule as amended will be in effect, there will be no substantial fiscal implications for state government as a result of enforcing or administering the amended rule. All of the proposed amendments clarify existing Commission requirements. There are no fiscal implications for local government.

James M. Doherty, Hearings Examiner, Oil and Gas Section, Office of General Counsel, has determined that for each year of the first five years that the amended section will be in effect the public benefit will be clarification for operators and other members of the public regarding the Commission forms to be used in making filings required by the rule and the purposes and effect of the filings. The public will benefit in that the proposed amendments will eliminate confusion about Commission filing requirements and serve to minimize incomplete or erroneous filings. Additionally, the proposed amendments will promote administrative efficiency by curtailing incomplete or erroneous filings and by providing standards for administrative approval of applications to subdivide or consolidate oil leases.

There will be no additional cost of compliance for individual operators or for small business or micro-business operators, because the proposed amendments do not substantively change current Commission requirements or procedures.

Comments on the proposed amendments may be submitted to James M. Doherty, Hearings Examiner, Oil and Gas Section, Office of General Counsel, Railroad Commission of Texas, P.O. Box 12967, Austin, Texas 78711-2967 or via electronic mail to jim.doherty@rrc.state.tx.us. Comments will be accepted for 30 days after publication in the Texas Register and should refer to the docket number of this rulemaking proceeding: OG 20-0230301. For further information, call Mr. Doherty at (512) 463- 7152.

The Commission proposes the amendments to §3.58 pursuant to Texas Natural Resources Code, §§81.051, 81.052, 85.042, 85.201, 85.202, 86.041, 86.042, 91.101, 141.011, and 141.012 which provide the Commission with jurisdiction over all persons owning or engaged in drilling or operating oil, gas or geothermal resource wells in Texas and the authority to adopt all necessary rules for governing and regulating persons and their operations under the jurisdiction of the Commission.

Texas Natural Resources Code §§81.051, 81.052, 85.042, 85.059, 85.060, 85.161-85.163, 85.201, 85.202, 86.041, 86.042, 89.002, 89.011(b), 91.101, 141.011, and 141.012 are affected by the proposed amendment.

Issued in Austin, Texas on January 8, 2002.

§3.58.Oil, Gas, or Geothermal Resource Operator's Reports.

(a) Certificate of Compliance and [ Producer's ] transportation authority [ and certificate of compliance ].

(1) Each operator who seeks to operate wells related to [ is a producer of ] crude oil, natural gas, or geothermal resources shall file with the commission's Austin office a commission form P-4 (certificate of compliance and transportation authority) [ producer's transportation authority and certificate of compliance ] for each property on which the wells are located [ of the operator's producing properties ] certifying that the operator has complied with the conservation laws and the oil, gas, and geothermal resources conservation orders, rules, and regulations of the commission in respect to the [ each ] property. The Commission form P-4 establishes the operator of an oil lease, gas well, or other well; certifies responsibility for regulatory compliance, including plugging wells in accordance with §3.14 of this title (relating to plugging); and identifies gatherers, purchasers, and purchasers' commission-assigned system codes authorized for each well or lease. Operators shall file form P-4 for new oil leases, gas wells, or other wells; recompletions; reclassifications of wells from oil to gas or gas to oil; consolidation, unitization or subdivision of oil leases; or change of gatherer, gas purchaser, gas purchaser system code, operator, field name or lease name. When an operator files a form P-4 [ this report is filed ], the oil and gas division shall review the form [ report ] for completeness and accuracy. A [ When approved, this report shall authorize a ] transporter (whether the operator or someone else) shall not [ to ] transport the oil, gas, or geothermal resources from such property until the Commission has approved the certificate of compliance and transportation authority . No certificate of compliance designating or changing the designation of an operator will be approved that is signed, either as transferor or transferee, by a non-employee agent of the organization unless the organization has filed with the commission, on its organization report, the name of the non-employee agent it has authorized to sign such certificates of compliance on its behalf.

(2) An approved certificate of compliance and [ The producer's ] transportation authority [ and certificate of compliance ] shall bind the operator until another operator files a subsequent certificate and the Commission has approved the subsequent certificate and transferred the property [ transferred ] on commission records to the subsequent [ another ] operator.

(3) The appropriate district office or the Austin office may grant temporary authority for an operator to use a transporter not authorized for a particular property in order to take care of production and prevent waste. The operator shall secure such temporary authority in writing from the appropriate district office or the Austin office before the oil or condensate is moved. In an emergency situation the operator may secure such temporary authority verbally but shall notify the district office in writing within 10 days after the oil or condensate is moved. An emergency situation exists when oil or condensate must be moved off a lease because it poses an imminent threat to the public health and safety, or when the threat of waste is imminent. The operator shall also furnish copies of such authorization or notification to the regular transporter and to the temporary transporter.

(4) If an applicant wishes to assume operator status for a property, but is unable to obtain the signature of the previous operator on the certificate of compliance and [ producer's ] transportation authority [ and certificate of compliance ], the applicant shall [ must ] file with the oil and gas division in Austin a completed form P-4 signed by a designated officer or agent of the applicant, along with an explanatory letter and legal documentation of the applicant's right to operate the property. Prior to approval of such an application, the office of the general counsel will notify the last known operator of record, if such operator's address is available, affording such operator an opportunity to protest.

(b) Monthly producer's report (oil , natural gas and geothermal resources). For each calendar month, each operator who is a producer of crude oil , natural gas or geothermal resources shall file with the commission a report [ the required form ] for each of the operator's [ his ] producing properties. Operators shall file such reports on commission form P-1 (producer's monthly report of oil wells), commission form P-2 (producer's monthly report of gas wells), or commission form GT-2 (producer's monthly report of geothermal wells). These commission forms report monthly production and disposition of oil and casinghead gas (form P-1), gas well gas and condensate (form P-2) and geothermal resources (form GT-2) [ leases ]. On or before the last day of the month subsequent to the period [ or ] of the report, the [ such ] operator shall file an original and one copy of each such form, the original to be filed in the Austin office, and one copy with the transporter taking the oil , gas or geothermal resources from the property [ lease ].

(c) Recovered load oil.

(1) The operator of each lease from which load oil is recovered shall [ must ] file the original and one copy of commission form P-3 (authority to transport recovered load or frac oil) [ in duplicate the form described as "report of recovered load oil" ] with the district office, and another [ one ] copy with the transporter prior to running the load oil. Form P-3 requires a producer to report the quantity of recovered load or frac oil to be transported from a particular lease and to identify the transporter. The form P-3 (authority to transport recovered load or frac oil) [ Report of Recovered Load Oil ] filed by the operator shall be the authority for the transporter to run the quantity of recovered load or frac oil stated in the form.

(2) The provisions of this subsection apply only to oil that has been obtained from a source other than the lease on which it is used. "Recovered load oil or frac oil ," as that term is used herein, is any oil or liquid hydrocarbons used in any operation in an oil or gas well, and which has been recovered as a merchantable product.

(d) Subdivision and consolidation of oil leases.

(1) An operator seeking to subdivide or consolidate existing oil leases shall file and obtain approval of a commission form P-4 (certificate of compliance and transportation authority) and a commission form P-6 (request for permission to subdivide or consolidate oil lease(s)). Form P-6 identifies the leases to be subdivided or consolidated as well as the resulting leases. Two plats shall be filed with form P-6, one showing the boundaries of the lease(s) before and one showing the boundaries of the lease(s) after the subdivision or consolidation.

(2) An operator seeking to subdivide an existing oil lease that it operates or to assume operatorship of fewer than all of the wells on an oil lease shall file and obtain approval of a commission form P-4 (certificate of compliance and transportation authority) and a commission form P-6 (request for permission to subdivide or consolidate oil lease(s)). A request to subdivide an oil lease may be approved administratively if the commission staff determines that approval of the request will not cause waste, harm correlative rights, or result in the circumvention of commission rules.

(3) An operator seeking to consolidate two or more existing oil leases that it operates shall file and obtain approval of a commission form P-4 (certificate of compliance and transportation authority) and a commission form P-6 (request for permission to subdivide or consolidate oil lease(s)). A request to consolidate two or more oil leases may be approved administratively if the commission staff determines that approval of the request will not cause waste, harm correlative rights, or result in the circumvention of commission rules and:

(A) the mineral and royalty ownership of the leases proposed for consolidation is identical in all respects;

(B) the operator has obtained a surface commingling exception permit pursuant to §3.26 of this title (relating to separating devices, tanks, and surface commingling of oil) that authorizes commingling of production from all of the leases proposed for consolidation ; or

(C) the operator has filed and obtained approval of a valid commission form P-12 (certificate of pooling authority) authorizing pooling of all of the leases proposed for consolidation.

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State, on January 8, 2002.

TRD-200200077

Mary Ross McDonald

Deputy General Counsel

Railroad Commission of Texas

Earliest possible date of adoption: February 24, 2002

For further information, please call: (512) 463-7033


Part 2. PUBLIC UTILITY COMMISSION OF TEXAS

Chapter 26. SUBSTANTIVE RULES APPLICABLE TO TELECOMMUNICATIONS SERVICE PROVIDERS

Subchapter P. TEXAS UNIVERSAL SERVICE FUND

16 TAC §26.420

The Public Utility Commission of Texas (commission) proposes amendments to §26.420, relating to the Administration of the Texas Universal Service Fund (TUSF). The proposed amendments will implement the provisions of House Bill 1351, 77th Legislature (HB 1351), later codified as the Public Utility Regulatory Act, Texas Utilities Code Annotated §56.022 (Vernon 1998 & Supplement 2002) (PURA), relating to the exemption of pay telephone services from the TUSF assessment. The proposed amendment also removes references to §26.413, relating to Tel-Assistance Service. House Bill 2156, 77th Legislative Session (HB 2156) eliminated the Tel-Assistance Program effective September 1, 2001 and required telecommunications carriers to convert all Tel-Assistance customers to Lifeline Service; therefore, the references to Tel- Assistance Service in §26.420 are no longer necessary and have been deleted. Project Number 24520 is assigned to this proceeding.

Non-substantive changes to rule language

Proposed §26.420 amends internal references and reflects minor non-substantive changes necessary to ensure consistency with the changes made by the 77th legislature in HB 2156. Proposed §26.420 also includes revisions to renumber subparts affected by amendments to the rule.

Substantive changes to rule language

Proposed §26.420(f)(2)(B) is added, consistent with PURA §56.022(c)(2), to exempt pay telephone service revenues from TUSF assessment.

Proposed §26.420(f)(2)(C) and (f)(5) are added and amended, respectively, in order to denote that the revenue generated by telecommunications providers from the provision of telephone service to pay telephone providers is subject to TUSF assessment, and allowing telecommunications providers, in turn, to pass-on the assessment to their retail customers, including pay telephone providers.

On May 8, 2001, a hearing regarding HB 1351 was held before the Senate Committee on Business and Commerce. HB 1351 was presented as a means to exempt pay telephone services from TUSF assessment; however, payphone providers would continue to make indirect contributions via the pass-through fees on their monthly service bills from local exchange companies (LECs). Scott Pospisil, Executive Director of the Texas Payphone Association (TPA), testified in support of HB 1351 (see video of hearing, Part I at 01:07:28, http://www.senate.state.tx.us/75r/senate/commit/c510/c510.htm). Mr. Pospisil indicated that the impact of HB 1351 upon the TUSF would be minimal, in that it would affect less than one-half of one percent of the budgeted fund. Mr. Pospisil reiterated his support of HB 1351 at the workshop held in this project on November 14, 2001 by emphasizing that members of TPA were prepared to continue making indirect payments into the TUSF via the surcharges on the monthly bills paid to LECs. (See transcript of workshop at 41-43, November 14, 2001.)

Accordingly, the commission initiates the present rulemaking, making substantive changes to §26.420(f) with a twofold purpose: (1) to exempt pay telephone service revenues from TUSF assessment, and (2) to classify payphone providers as retail customers, thus allowing telecommunications providers who contribute directly into the TUSF based upon the revenue they generate from the provision of telephone services to pay telephone providers, to pass-through TUSF assessment fees to the payphone providers.

Lori Hartman, Policy Analyst, Policy Development Division, has determined that for each year of the first five-year period the proposed section is in effect, there will be no fiscal implications for state or local government as a result of enforcing or administering this section.

Ms. Hartman has determined that for each year of the first five years the proposed section is in effect the public benefit anticipated as a result of enforcing the section as amended will be a more equitable, revenue-neutral process of determining the basis for TUSF assessments. Although there may be some loss of revenue to the TUSF, that loss will be minimal in that it represents less than one-half of one percent of the fund's total revenue for 2001. Additionally, the fund currently maintains an operating surplus.

There will be no effect on small businesses or micro-businesses as a result of enforcing this section. There may be some economic cost to the telecommunications providers who provide telephone service to pay telephone providers and who are required to comply with this section as proposed because some billing system modifications may be necessary in order to effectuate §26.420(f)(2)(C) and (f)(5). However, such costs are expected to be minimal and are outweighed by the benefits derived from a more equitable basis for TUSF assessment.

Ms. Hartman has also determined that for each year of the first five years the proposed section is in effect there should be no effect on local economy, and therefore no local employment impact statement is required under the Administrative Procedure Act 2001.022.

The commission staff will conduct a public hearing on this rulemaking, if requested pursuant to Government Code §2001.029, at the commission's offices, located in the William B. Travis Building, 1701 North Congress Avenue, Austin, Texas 78701, in Hearing Room Gee, on Tuesday, March 26, 2002 at 1:30 p.m. The request for public hearing must be received within 30 days after publication.

Comments on the proposed amendments (16 copies) may be submitted to the Filing Clerk, Public Utility Commission of Texas, 1701 North Congress Avenue, P.O. Box 13326, Austin, Texas 78711-3326, within 30 days after publication. Reply comments may be submitted within 45 days after publication. Comments should be organized in a manner consistent with the organization of the proposed rule. The commission will consider the costs and benefits in deciding whether to adopt the amended section. All comments should refer to Project Number 24520.

In addition to general comments, the commission invites specific comments regarding the following question:

Should the commission address the issue of the implementation timeframe for §26.420(f)(2)(C) and (f)(5)? If so,

(a) Should the issue be addressed via a provision in §26.420 even though the issue only applies to specific amended portions of the rule? or,

(b) Should affected LECs be required to seek a good cause waiver from the rule, which would allow the timeline of the waivers to be individualized according to the specific needs of the carrier?

These amendments are proposed under the Public Utility Regulatory Act, Texas Utilities Code Annotated §14.002 (Vernon 1998, Supplement 2002) (PURA), which provides the Public Utility Commission with the authority to make and enforce rules reasonably required in the exercise of its powers and jurisdiction. The commission also proposes this rule pursuant to PURA §56.021 which provides the authority to adopt and enforce rules requiring local exchange companies to establish a universal service fund; PURA §56.022 regarding the statewide uniform charge upon which the TUSF is based and which requires the commission to exempt pay telephone services from the assessment; and HB 2156, 77th Legislature, Regular Session, Chapter 1451, §4, that discontinued the Tel-Assistance Program.

Cross Reference to Statutes: Public Utility Regulatory Act §§14.002, 17.051- 17.053, 56.021, and 56.022.

§26.420.Administration of Texas Universal Service Fund (TUSF).

(a) (No change.)

(b) Programs included in the TUSF.

(1) - (6) (No change.)

[ (7) Section 26.413 of this title (relating to Tel-Assistance Service);]

(7) [ (8) ] Section 26.414 of this title (relating to Telecommunications Relay Service (TRS));

(8) [ (9) ] Section 26.415 of this title (relating to Specialized Telecommunications Assistance Program (STAP));

(9) [ (10) ] Section 26.417 of this title (relating to Designation as Eligible Telecommunications Providers to Receive Texas Universal Service Funds (TUSF));

(10) [ (11) ] Section 26.418 of this title (relating to Designation of Common Carriers as Eligible Telecommunications Carriers to Receive Federal Universal Service Funds); and

(11) [ (12) ] Section 26.420 of this title (relating to Administration of Texas Universal Service Fund (TUSF)).

(c) - (d) (No change.)

(e) Determination of the amount needed to fund the TUSF.

(1) Amount needed to fund the TUSF. The amount needed to fund the TUSF shall be composed of the following elements.

(A) Costs of TUSF programs. The TUSF administrator shall compute and include the costs of the following TUSF programs:

(i) - (vi) (No change.)

[ (vii) Tel-Assistance Service, §26.413 of this title;]

(vii) [ (viii) ] Telecommunications Relay Service (TRS) , §26.414 of this title; and

(viii) [ (ix) ] Specialized Telecommunications Assistance Program (STAP), §26.415 of this title.

(B) Costs of implementation and administration of the TUSF. The TUSF implementation and administration costs shall include appropriate costs associated with the implementation and administration of the TUSF incurred by the commission (including the costs incurred by the TUSF administrator on behalf of the commission), any costs incurred by the Texas Department of Human Services caused by its administration of the Lifeline Service and Link up Service programs [ Tel-Assistance program ], and any costs incurred by the Texas Commission for the Deaf and Hard of Hearing caused by its administration of the STAP [ Specialized Telecommunications Assistance Program (STAP) ] and TRS [ the Telecommunications Relay Service ] programs.

(C) (No change.)

(2) (No change.)

(f) Assessments for the TUSF.

(1) Providers subject to assessments. The TUSF assessments shall be payable by all telecommunications providers having access to the customer base; including but not limited to wireline and wireless providers of telecommunications services.

(2) Basis for assessments. Assessments will be based upon the following:

(A) Assessments shall be made to each telecommunications provider based upon its monthly taxable telecommunications receipts reported by that telecommunications provider under Chapter 151 of the [ , ] Tax Code.

(B) Pay telephone service revenues received by providers of pay telephone services are exempt from the TUSF assessment pursuant to the Public Utility Regulatory Act §56.022(c)(2).

(C) Revenue received by telecommunications providers from telephone services supplied to pay telephone providers for the provision of pay telephone services is subject to TUSF assessment.

(3) (No change.)

(4) Reporting requirements. Each telecommunications provider shall be required to report taxable telecommunications receipts under Chapter 151 of the [ , ] Tax Code as required by the commission or the TUSF administrator.

(5) Recovery of assessments. A telecommunications provider may recover the amount of its TUSF assessment only from its retail customers who are subject to tax under Chapter 151 of the Tax Code, except for Lifeline and [ , ] Link Up[ , and Tel-Assistance ] services. For purposes of the recovery of the TUSF assessment, pay telephone providers are considered retail customers subject to Chapter 151 of the Tax Code. The commission may order modifications in a telecommunications provider's method of recovery.

(A) Retail customers' bills. In the event a telecommunications provider chooses to recover its TUSF assessment through a surcharge added to its retail customers' bills;

(i) (No change.)

(ii) the surcharge must be assessed as a percentage of every retail customers' bill, except Lifeline and [ , ] Link Up[ , and Tel-Assistance ] services.

(B) - (D) (No change.)

(6) (No change.)

(g) Disbursements from the TUSF to ETPs, ILECs, other entities and agencies.

(1) ETPs, ILECs, other entities, and agencies.

(A) ETPs. The commission shall determine whether an ETP qualifies to receive funds from the TUSF. An ETP qualifying for the following programs is eligible to receive funds from the TUSF:

(i) (No change.)

(ii) Small and Rural ILEC Universal Service Plan; and/or

(iii) Lifeline Service and Link Up Service[ ; and/or ]

[ (iv) Tel-Assistance Service].

(B) - (D) (No change.)

(2) - (3) (No change.)

(h) - (j) (No change.)

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State, on January 11, 2002.

TRD-200200136

Rhonda G. Dempsey

Rules Coordinator

Public Utility Commission of Texas

Earliest possible date of adoption: February 24, 2002

For further information, please call: (512) 936-7308


Part 9. TEXAS LOTTERY COMMISSION

Chapter 401. ADMINISTRATION OF STATE LOTTERY ACT

Subchapter D. LOTTERY GAME RULES

16 TAC §401.307

The Texas Lottery Commission proposes amendments to 16 TAC §401.307 relating to the "Pick 3" on-line game. The proposed amendments provide for additional draws to be conducted during the day as "day" draws. These draws will be in addition to the existing evening draws. The proposed amendments also clarify that a Pick 3 ticket can not be cancelled if during an on-line game promotion that Pick 3 ticket purchase generates a free promotional ticket for any of the commission's on-line games. The proposed amendments also eliminate language that indicates unclaimed prizes go to the prize reserve fund. Pursuant to Government Code, §466.4075, unclaimed prize money shall be deposited to the credit of the Texas Department of Health state-owned multicategorical teaching hospital account or the tertiary care facility account as prescribed in §466.4075.

Bart Sanchez, Financial Administration Director, has determined for each year of the first five years the section is in effect there will be the following foreseeable additional fiscal implications for state or local government as a result of enforcing or administering the rule. FY02, $806,061; FY03, $4,641,575; FY04, $4,641,575; FY05, $4,641,575; and, FY06, $4,641,575. There is no anticipated impact on small businesses, micro businesses or local or state employment as a result of implementing the section.

Robert Tirloni, On-line Products Manager, Marketing Division, has determined that each of the first five years the section as proposed is in effect, the public benefit anticipated as a result of the proposed amendments is to offer additional draws to lottery players. An additional public benefit anticipated is additional sales and revenue. Retailers will benefit because they will be receiving additional monies from the additional Pick 3 sales. The State of Texas will receive additional revenue from the additional Pick 3 sales.

Written comments on the proposed amendment may be submitted to Kimberly L. Kiplin, General Counsel, Texas Lottery Commission, P.O. Box 16630, Austin, Texas 78761-6630. The Texas Lottery Commission will also conduct a hearing to receive comment on the proposed amendments on February 8, 2002 at 9:00 a.m. at the Commission auditorium, 611 East Sixth Street, Austin, Texas.

The amendments are proposed under Government Code, §466.015 which authorizes the Commission to adopt all rules necessary to administer the State Lottery Act and to adopt rules governing the establishment and operation of the lottery, and under Government Code, §467.102 which authorizes the Commission to adopt rules for the enforcement and administration of the laws under the Commission's jurisdiction.

The amendments implement Government Code, Chapter 466.

§401.307."Pick 3" On-Line Game Rule.

(a) (No change.)

(b) Definitions. In addition to the definitions provided in §401.301 of this title (relating to General Definitions), and unless the context in this section otherwise requires, the following definitions apply.

(1) Advance play--A player may purchase a Pick 3 ticket for any of the eleven [ five ] Pick 3 drawings immediately following the current drawing. Example: On Monday, before the day drawing, a Pick 3 ticket can be purchased for the Monday night drawing, the Tuesday day or night drawing, the [ , ] Wednesday day or night drawing, the [ , ] Thursday day or night drawing, the [ , ] Friday day or night drawing , or the Saturday day or night drawing [ drawings ].

(2) Multidraw--A player may purchase a Pick 3 ticket for 12 consecutive day and night drawings beginning with the current draw, 12 consecutive day drawings beginning with the current day drawing or 12 consecutive night drawings [ draws ] beginning with the current night drawing [ draw ].

(3) - (6) (No change.)

(c) (No change.)

(d) Play for Pick 3.

(1) (No change.)

(2) Method of play. The player may use playslips to make number selections. The on-line terminal will read the playslip and issue ticket(s) with corresponding plays. If a playslip is not available, the on-line retailer may enter the selected numbers, play type, draw time (day or night) and play amount via the keyboard. However, the retailer shall not accept telephone or mail-in requests to manually enter selected numbers through the keyboard. A player may leave all number selections to a random number generator operated by the computer, referred to as Quick Pick.

(3) (No change.)

(e) Prizes for Pick 3.

(1) - (2) (No change.)

(3) Prize pool. The prize pool for Pick 3 prizes shall be 50% of Pick 3 sales. The prize payout [ pool percentage ] may vary since all prize amounts are guaranteed.

(4) Prize reserve fund.

[(A) The prize reserve fund may be increased or decreased by amounts paid to winners or prizes not claimed within the 180-day claim period.]

(A) [ (B) ] In the event any player who has a valid winning ticket does not claim the prize within 180 days after the drawing in which the prize was won, the prize amount shall be deposited to the credit of the Texas Department of Health state-owned multicategorical teaching hospital account or the tertiary care facility account as prescribed in Government Code, §466.4075 [ added to the prize reserve fund and all rights to the prize shall terminate ].

(B) [ (C) ] The prize reserve fund may be increased or decreased by any amounts paid to winners, due to the guaranteed prize amounts. For example, money may be allocated from the prize reserve fund to the Pick 3 prize pool if the prize liability is greater than the 50% prize pool.

(f) (No change.)

(g) Ticket purchases.

(1) (No change.)

(2) Pick 3 tickets shall show the player's selection of numbers, play type, play amount, play boards played, draw time(s) (day or night), drawing date(s), and serial [ validation and reference ] numbers.

(3) - (4) (No change.)

(h) Cancellations.

(1) A Pick 3 ticket may be canceled by the selling retailer only if the following occur:

(A) - (B) (No change.)

(C) the ticket is canceled no later than 60 minutes since the ticket was purchased [ issued/purchased ];

(D) the ticket is canceled before the next draw break on the day the ticket was purchased [ issued/purchased ];

(E) the ticket is canceled before midnight on the day the ticket was purchased. A Pick 3 ticket can not be canceled if during an on-line game promotion that Pick 3 ticket purchase generates a free promotional ticket for any of the commission's on-line games [ no drawing applicable to the ticket has previously been held ].

(2) (No change.)

(i) Drawings.

(1) The Pick 3 drawings shall be held each week on Monday, Tuesday, Wednesday, Thursday, Friday, and Saturday twice daily, the day drawing at 12:27 p.m. Central Time and the night drawing [ evenings ] at 9:59 p.m. Central Time except that the drawing schedule may be changed by the director, if necessary.

(2) Pick 3 tickets will not be sold during the draw breaks [ break ] for the Pick 3 game on Monday, Tuesday, Wednesday, Thursday, Friday, and Saturday [ nights ].

(3) - (6) (No change.)

(j) (No change.)

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State, on January 9, 2002.

TRD-200200116

Kimberly L. Kiplin

General Counsel

Texas Lottery Commission

Earliest possible date of adoption: February 24, 2002

For further information, please call: (512) 344-5113


Subchapter E. RETAILER RULES

16 TAC §401.353

The Texas Lottery Commission proposes amendments to 16 TAC §401.353 relating to retailer sales commissions. The proposed amendments provide for a 1% cashing bonus to be paid to lottery retailers for cashing mid tier prizes. Mid-tier prizes are prizes from $25 to $599.

Bart Sanchez, Financial Administration Director, has determined for each year of the first five years the section is in effect there will be the following foreseeable additional fiscal implications for state or local government as a result of enforcing or administering the rule. FY02, -$1,125,000; FY03, -$4,725,000; FY04, -$4,961,250; FY05, -$5,209,313; and, FY06, -$5,469,778. There is no anticipated impact on small businesses, micro businesses or local or state employment as a result of implementing the section.

Mr. Sanchez has determined that each of the first five years the section as proposed is in effect, the public benefit anticipated as a result of the proposed amendments is to offer compensation to lottery retailers who are cashing mid tier prizes. By paying this cashing bonus, the Commission recognizes the retailer base is an important part of the operation of the lottery and there is a benefit to the Commission to assist lottery retailers in recovering costs for the incidental administrative burden on the retailer when the retailer pays prizes to players. An additional public benefit anticipated will be the added convenience to lottery players in the cashing of mid-tier prizes at retail locations. By paying a cashing bonus to retailers for the cashing of mid-tier prizes, the agency expects a higher number of retail locations to pay mid-tier prizes, thus offering lottery players more locations where prizes can be claimed.

Written comments on the proposed amendment may be submitted to Kimberly L. Kiplin, General Counsel, Texas Lottery Commission, P.O. Box 16630, Austin, Texas 78761-6630.

The amendments are proposed under Government Code, §466.015 which authorizes the Commission to adopt all rules necessary to administer the State Lottery Act and to adopt rules governing the establishment and operation of the lottery, and under Government Code, §467.102 which authorizes the Commission to adopt rules for the enforcement and administration of the laws under the Commission's jurisdiction.

The amendments implement Government Code, Chapter 466.

§401.353.Retailer Settlements, Financial Obligations, and Commissions.

(a) - (c) (No change.)

(d) Each retailer shall receive 5.0% compensation on all sales from lottery games. A retailer may not accept compensation for the sale of lottery tickets other than compensation referenced in this section, regardless of the source. In addition to the 5% compensation on all sales from lottery games, each retailer shall receive a 1% cashing bonus for cashing mid-tier prizes. At the sole discretion of the executive director, a retailer may receive additional compensation which may include but is not limited to incentive or bonus programs.

(e) - (f) (No change.)

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State, on January 10, 2002.

TRD-200200130

Kimberly L. Kiplin

General Counsel

Texas Lottery Commission

Earliest possible date of adoption: February 24, 2002

For further information, please call: (512) 344-5113


Chapter 402. BINGO REGULATION AND TAX

16 TAC §402.572

(Editor's note: The text of the following section proposed for repeal will not be published. The section may be examined in the offices of the Texas Lottery Commission or in the Texas Register office, Room 245, James Earl Rudder Building, 1019 Brazos Street, Austin.)

The Texas Lottery Commission proposes the repeal of 16 TAC §402.572, relating to Temporary Capital Equipment Acquisition. The rule provided for the equivalent of a 25% increase in license application fees for conductor and lessor licenses, Classes E through J. A needs assessment performed on the 18-year-old Charitable Bingo System (CBS) determined that the CBS needs to be replaced. The 76th Legislature, Regular Session, recognized the need to replace the CBS but made the appropriation of additional funds for this purpose contingent on the Lottery Commission covering the additional costs by assessing fees sufficient to generate increased revenues in excess of Bingo revenues estimated in the Comptroller's Biennial Revenue Estimate for 2000 and 2001. This rule carried out the language of Rider 11, Texas Lottery Commission bill pattern, General Appropriations Act, 76th Legislature, Regular Session. The purpose of the rule has been accomplished and should be repealed.

Bart Sanchez, Financial Administration Director, Texas Lottery Commission has determined that for each year of the first five-year period the repeal is in effect there will no fiscal implications for state or local government as a result of enforcing or administering the section.

Mr. Sanchez has also determined that for each year of the first five-year period the repeal is in effect there will be no cost to small businesses. There will be no impact on local employment.

William L. Atkins, Charitable Bingo Operations Director, Texas Lottery Commission has determined that for each year of the first five-year period the repeal is in effect, the public benefit anticipated as a result of enforcing or administering the repeal will be to clarify to licensees that the increased license fee is no longer in effect.

Comments on the proposal may be submitted to Kimberly L. Kiplin, General Counsel, Texas Lottery Commission, P.O. Box 16630, Austin, Texas 78761-6630.

The repeal is proposed under the Government Code, §467.102 and the Occupations Code, §2001.054 which provide the Commission with the authority to adopt rules for the enforcement and administration of the laws under the Commission's jurisdiction.

The proposed repeal implements Occupations Code, Chapter 2001.

§402.572.Temporary Capital Equipment Acquisition.

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State, on January 9, 2002.

TRD-200200118

Kimberly L. Kiplin

General Counsel

Texas Lottery Commission

Earliest possible date of adoption: February 24, 2002

For further information, please call: (512) 344-5113


16 TAC §§402.590 - 402.596

The Texas Lottery Commission proposes new 16 TAC §§402.590 - 402.596, relating to bingo audits. Specifically, the new sections set out the types and purposes of audits conducted by the Charitable Bingo Operations Division as well the general process followed in connection with the audits.

Bart Sanchez, Financial Administration Director, has determined for each year of the first five years the sections are in effect there will be no additional fiscal implications for state or local government as a result of enforcing or administering the rules. There is no anticipated impact on small businesses, micro businesses or local or state employment as a result of implementing the sections.

Roy Gabrillo, Senior Audit Manager, Charitable Bingo Operations Division, has determined that each of the first five years the sections as proposed are in effect, the public benefit anticipated as a result of the proposed new sections is to set out the types and purposes of audits conducted by the Division as well as the general process followed in connection with the audits so that licensees will be better informed and have a clearer understanding of the Charitable Bingo Operations Division's process and procedures in connection with the audit process. Additionally, the proposed new sections are anticipated to improve licensee compliance with the Bingo Enabling Act and Charitable Bingo administrative rules.

Written comments on the proposed new sections may be submitted to Kimberly L. Kiplin, General Counsel, Texas Lottery Commission, P.O. Box 16630, Austin, Texas 78761-6630.

The new sections are proposed under Occupations Code, §2001.054 which authorizes the Commission to adopt rules to enforce and administer the Bingo Enabling Act, under Government Code, §467.102 which authorizes the Commission to adopt rules for the enforcement and administration of the laws under the Commission's jurisdiction, and under Occupations Code, §2001.051(b) which grants the Commission broad authority to exercise strict control and close supervision over all bingo conducted in Texas so that bingo is fairly conducted and the proceeds derived from bingo are used for an authorized purpose.

The new sections implement Occupations Code, Chapter 2001.

§402.590.General Audit Rule.

(a) General Provisions. The commission will perform an audit to determine whether a licensee is complying with the requirements of the Bingo Enabling Act and Charitable Bingo Administrative Rules. The audit will be conducted in accordance with the Bingo Audit Reference and Procedures Manual of the Texas Lottery Commission, Charitable Bingo Operations Division and Generally Accepted Auditing Standards.

(b) Notification. The commission will notify the organization's primary operator, business contact, and/or an officer of the organization of the audit. The notification letter will state the specific period to be audited and identify the records that must be available for commission review. The notification letter will also include forms for the organization to complete. The forms may include, but are not limited to a questionnaire, physical inventory, and instructions. The forms must be completed prior to the entrance conference and the information must be provided in the manner prescribed by the commission. The auditor will contact the organization and schedule the time and place of the entrance conference not later than ten working days from the date of the notification letter.

(c) Entrance Conference.

(1) The entrance conference is the official start of the audit. The auditor will meet with the responsible parties including the primary operator, business contact, bookkeeper, and/or any other person who is familiar with organization's bingo operations. The organization must complete the forms included with the notification letter prior to the entrance conference and must provide the requested records and completed forms at the entrance conference. If any records requested are not available, the auditor will issue a formal final request for these records. The requested records must be provided within ten working days of receipt of the request.

(2) The auditor will review the records and forms completed by the organization to determine whether the organization provided the required information.

(3) The audit fieldwork is routinely conducted at the Commission's Regional office. The auditor and the organization's authorized representative will sign an appropriate receipt form documenting the specific records received by the auditor. Alternatively, the organization may provide the auditor with photocopies of all requested records at the expense of the organization. If the organization wants the audit to be conducted at a location other than the Commission's Regional Office, the organization shall pay all costs incurred as a result of conducting the audit. Costs will be paid pursuant to terms and conditions as outlined in the most recent State of Texas Travel Allowance Guide published by the Texas Comptroller of Public Accounts.

(d) Fieldwork. The audit may include but is not limited to reviewing the organization's financial records, performing a game observation, analyzing the charitable distributions, paper depletion, pull-tab ticket analysis, examining all books and records necessary to substantiate the licensee's quarterly reports, verifying that bingo proceeds are disbursed according to the Bingo Enabling Act, and meeting with members of the organization to discuss its bingo operation. The auditor will estimate a completion date of all fieldwork and will inform the organization.

(e) Records Required (if applicable). The following records must be provided to the auditor at the time the audit begins. The auditor may require other records or information based on the particular audit.

(1) All records pertaining to the operation of bingo

(2) All records pertaining to the organization's charitable distributions

(3) All records pertaining to the organization's charitable purpose

(4) All records pertaining to rental receipts

(5) All records pertaining to expenditures

(6) All records pertaining to lease agreements

(f) Exit Conference

(1) Scope. Prior to the exit conference, the licensee's records will be returned and the auditor will provide the organization a copy of the draft audit report. Following a review of this report by the organization, the organization may submit a written response to all relevant issues contained in the report. The response must be received by the auditor not later than ten working days after the date the organization received the draft audit report. The exit conference will be scheduled to occur at a prearranged time and place within ten working days after the receipt of the organization's response. At the exit conference, the organization must be represented by an active officer of the organization and a person(s) who is familiar with the organization's bingo operations and accounting systems. At the exit conference, the auditor will present the audit findings, discuss the organization's response, address and recommend solutions to violations noted, if any, and explain any audit schedules and any exhibits, e.g., copies of checks invoices, reports, etc. The organization's active officer attending the exit conference must provide a copy of the executive summary with detailed findings to all officers and directors of the organization. The organization must make the completed audit report available to all members of the organization upon request.

(2) Resolution. At the exit conference, the auditor will address any audit violations and provide appropriate recommendations to the organization. Proof of corrective measures taken to address any audit violations must be submitted to the Commission in writing within 20 working days of the exit conference. If an organization is required to make a re-deposit to its bingo bank account and the amount of re-deposit is $1,000.00 or less, the organization has 20 working days from the date of the exit conference to make the re-deposit. If the re-deposit is greater than $1,000.00, but less than $5,000.00, the organization has 60 working days from the date of the exit conference to make the re-deposit. If the re-deposit amount is greater than $5,000.00, the organization has 120 working days from the date of the exit conference to make the re-deposit. Re-depositing the funds does not act to waive the organization's violation of the Act and/or rules but may be a mitigating factor in connection with an administrative disciplinary action. "Re-deposit" means the amount of money that must be deposited into the bingo account to restore bingo proceeds that were disbursed from the bingo account for items not authorized by the Bingo Enabling Act and/or the amount of bingo proceeds not deposited in the bingo account.

§402.591.Compliance Review.

(a) A compliance review is conducted to determine if a licensee's records are in compliance with Occupations Code, Chapter 2001, Bingo Enabling Act and this chapter. The compliance review process may be caused by, but not limited to, any of the following:

(1) a request by Charitable Bingo Operations management;

(2) a request by another division of the commission;

(3) a request by commission bingo auditors based on compliance violations noted in a previous inspection or game observation, or

(4) by random selection process based on the Division's risk assessment.

(b) The scope of the compliance review is initially limited to the quarter associated with the compliance violation or the risk assessment. The scope of the review may be expanded to cover additional quarters if the records warrant. Conditions may exist that would expand the scope to be a complete Compliance Audit or Financial Audit. If this occurs, the compliance review will be concluded with a report recommending a financial or compliance audit be conducted. Compliance Reviews will be conducted in accordance with the procedures contained in the Charitable Bingo Operations Division Bingo Procedures, Audit Services Section of the Texas Lottery Commission.

(c) Notification of the compliance review will be provided in accordance with the provisions of the general audit rule. The records required will be the same records that are requested in accordance with the provisions of the general audit rule.

(d) The auditor will begin the field review work in accordance with the Conductor Compliance Review procedures found in the Charitable Bingo Operations Division Bingo Procedures, Audit Services Section of the Texas Lottery Commission. The records examination will be based on the complaint or the risk assessment analysis.

(1) The organization's bingo expenses, receipts, and charitable distributions will be reviewed to determine whether the distributions were consistent with the donor organization's stated purposes, Bingo Enabling Act, and administrative rules.

(2) If the auditor determines a more detailed examination of records is necessary, the compliance review will be concluded at this point. A report will be prepared with the auditor's recommendation that an audit be conducted.

(e) An exit conference will be conducted in accordance with the provisions of the general audit rule.

§402.592.Tax Review Inspection.

(a) The Tax Review Inspection is to obtain delinquent quarterly reports and/or delinquent fees or taxes owed to the State, determine the reason(s) for the licensee's failure to submit timely the quarterly reports and/or fees or taxes, and inform the organization's representative(s) of the requirements of provisions of the Bingo Enabling Act and administrative rules relating to the filing of quarterly reports and the payment of taxes and fees.

(b) A Tax Review Inspection is performed for the following reasons:

(1) A licensee failed to file a quarterly report;

(2) A licensee received a "Notice of Prize Fee or Taxes Due" that indicates there are unpaid prize fees, penalties or rental taxes due; or,

(3) A licensee failed to pay the full amount of prize fees, rental tax, penalties, or interest due.

(c) A Tax Review Inspection is performed on an organization regardless of whether the organization has undergone a Books and Records Inspection. The commission will contact the primary operator or business contact by telephone to request records, quarterly report(s) and/or delinquent taxes/fees. A meeting with the primary operator or business contact will be arranged to obtain necessary items.

(1) The auditor will review the delinquent Quarterly Report(s) and the check or money order for accuracy.

(2) The auditor will inform the primary operator or business contact of the violation(s) and corrective action required and issue a "Charitable Bingo Audit Violations" form, documenting the specific violation(s) of the Bingo Enabling Act. The auditor will give the operator or the organization's representative a copy of the form and the original receipt of payment, if applicable.

(d) Based on the outcome of the Tax Review Inspection, a more detailed examination of the records may be required.

§402.593.Books and Records Inspection.

(a) Purpose. The Books and Records Inspection is an education-based review designed to train a licensee in the proper method of establishing and maintaining bingo related accounting records. The Books and Records Inspection will be conducted within six months of issuance of the original license or as otherwise necessary. The Books and Records Inspection will be conducted at a time other than a bingo occasion. However, the auditor may observe an occasion as deemed necessary.

(b) Scope. The scope of a Books and Records Inspection shall cover a minimum of one quarter. A Books and Records Inspection will be conducted in accordance with the procedures contained in the Charitable Bingo Operations Division Bingo Procedures, Audit Services Section of the Texas Lottery Commission.

(c) Notification. The commission will notify in writing the organization's operator or commercial lessor's business contact of the Books and Records Inspection. The operator or business contact must attend the Books and Records Inspection. In addition, any person knowledgeable of the operation and record keeping practices may accompany the operator or business contact.

(d) Books and Records Inspection. The books and records to be reviewed or examined will include, but are not limited to, those records that relate to the operation of bingo and the organization's charitable distributions. If the commission provides forms for recordkeeping, a licensee may use the forms provided by the commission or other forms provided the forms contain the same information required by the commission forms.

(e) Exit Conference. The auditor will conduct an exit conference at the conclusion of the Books and Records Inspection to discuss the auditor's findings with the operator or business contact. The auditor will discuss any violations noted during the inspection and make recommendations. The auditor will request the operator or business contact sign the form stating that he/she understands the violations. If the operator or business contact will not sign the form, the auditor will indicate on the form the operator or business contact's refusal to sign the form. The auditor will provide the operator or business contact with a copy of the form. If the violations are numerous or of a serious nature, the auditor may recommend that a follow-up inspection be conducted to ensure that the licensee has taken corrective measures.

§402.594.Assessment and Assistance Inspection.

(a) Purpose. The Assessment and Assistance Inspection is conducted for the following reasons:

(1) To verify that an organization is conducting bingo occasions in compliance with the Bingo Enabling Act and the Charitable Bingo Administrative Rules; and,

(2) To offer assistance to the organization in connection with the regulation of bingo.

(b) Notification. An auditor will perform this inspection. The auditor will arrive at the bingo hall during the licensed playing time. An operator in charge must be made available to the auditor during the observation of the organization's bingo activities. The observation will be conducted with a minimum amount of disruption to the occasion.

(c) Observation. The game observation will be conducted in accordance with the, Charitable Bingo Operations Division Procedures, Audit Services Section procedures manual. In addition, the observation will address the following items:

(1) Counting the number of card minders sold and the number of people playing the card minders.

(2) Checking to see if pull-tabs are sold and noting the form numbers.

(3) Obtaining the game schedule and observing a few games played.

(4) Watching for raffles and door prizes and noting how they are awarded.

(5) Checking to see if an organization has instant bingo dispensers.

(6) Counting the attendance during the bingo occasion.

(7) Noting the pricing structure, minimum buy-in package, and any reductions of prizes offered for reduced priced cards.

(8) Checking to see if there is a snack bar and if alcoholic beverages are available.

(d) Exit Conference. The auditor will meet with the operator at the conclusion of the inspection to address any questions or concerns the operator may have. The auditor will forward the findings to the Division for review and action, if any.

§402.595.Game Observation.

The commission will perform a game observation to determine whether the licensed authorized organization is conducting bingo in compliance with the Bingo Enabling Act and the Charitable Bingo Administrative Rules. The game observation will be conducted with a minimum amount of disruption to the occasion. The organization's operator in charge must attend the entire bingo occasion. "Operator in charge" means the person responsible for conducting, promoting or administering bingo.

(1) The operator in charge must be available to answer any questions that the commission may have.

(2) The commission will provide a questionnaire to the operator in charge to be completed and returned after the bingo occasion.

(3) The commission will provide a questionnaire to one or more workers to be completed during and returned during the bingo occasion.

(4) The organization must provide the commission a copy of its game schedule. "Game schedule" means a list of all games played and the prize amounts paid during the occasion.

(5) The organization's operator in charge must verify that the price structure agrees with the cash register keys. If applicable, the organization's operator in charge must verify that no more than 66 card faces per game for each card-minding device are sold. "Price structure" means a list of all prices charged for each type of bingo paper, electronic card-minders, instant pull-tab tickets or combinations sold during the occasion.

(6) The organization's operator in charge must verify that the inventory being used was purchased by the organization that is playing during that occasion. Also, the organization's operator in charge must inspect the paper and pull tabs to verify that the paper and pull tabs comply with commission requirements as set out in §402.554 and §402.558.

(7) If applicable, the organization's operator in charge must verify the count of the number of card minders sold and the number of people playing the card minder.

(8) The organization's operator in charge must verify the count of the attendance during the bingo occasion.

(9) At the end of the occasion, the organization's operator in charge must provide a copy of the daily cash report and sales print out from the card minding devices.

(10) If the game observation was not conducted in conjunction with an audit, the commission will provide a copy of the Bingo Occasion Observation form to the operator in charge. If the commission detected any violations, the commission will provide a copy of the Charitable Bingo Audit/Inspection Findings and Recommendations Report to the operator in charge and will explain the violations.

(11) Based on the outcome of the game observation, the commission may require a more detailed examination of records.

§402.596.Location Verification Inspection.

(a) Purpose. The purpose of the Location Verification Inspection is to verify that the location requirements for a conductor, lessor, distributor/manufacturer, and system service provider license are in compliance with the Occupations Code, Chapter 2001.

(1) Conductor Location Verification Inspection. A person that is applying for a license to conduct bingo or is changing its principal business location is subject to an on-site verification inspection. This inspection is to provide assistance to the applicant or licensee with the licensing process and to review the applicant or licensee's business records. The commission will visit the location identified as the Primary Business office on the application to verify the following:

(A) The location listed is where the applicant or licensee is primarily conducting business;

(B) The location listed is where the applicant or licensee's records relating to their primary purpose are maintained in the ordinary course of business; and,

(C) The county in which the applicant or licensee is principally located. In addition, during the site verification inspection, the commission may obtain any items missing from the application that were requested by the commission. A pre-licensing interview is held with every applicant filing an original license application. The interview should be held at the organization's next regularly scheduled general meeting.

(2) Lessor Location Verification Inspection. A person that is applying for a lessor license or is amending its license to move to another location is subject to an on-site verification inspection. This inspection is to provide assistance to the applicant or licensee with the licensing process and review the applicant or licensee's business records. The commission will visit the location identified on application as the playing location to verify the following:

(A) The county in which the proposed activity is located;

(B) The proposed bingo premises is located at the "Lessor Location Address" as stated on the license application;

(C) Whether a bingo license is currently held at that location;

(D) No more than one bingo premises exists under a common roof or over a common foundation.

(3) Manufacturer, Distributor, and System Service Provider Location Verification Inspections. A person applying for a manufacturer, distributor, or system service provider license is subject to an on-site verification inspection. This inspection is to provide assistance to the applicant or licensee with the licensing process and review the applicant or licensee's business records. A manufacturer, distributor, or system service provider Location Verification Inspection will be conducted for the following situations:

(A) Newly licensed manufacturer, distributor, or system service provider

(B) New location of a currently licensed manufacturer, distributor, or system service provider

(b) Notification. The commission will contact the applicant to arrange to meet and conduct the inspection. An operator or business contact must attend the Location Verification Inspection.

This agency hereby certifies that the proposal has been reviewed by legal counsel and found to be within the agency's legal authority to adopt.

Filed with the Office of the Secretary of State, on January 9, 2002.

TRD-200200119

Kimberly L. Kiplin

General Counsel

Texas Lottery Commission

Earliest possible date of adoption: February 24, 2002

For further information, please call: (512) 344-5113