Chapter 3772-12 Voluntary Exclusion and Compulsive and Problem Gambling Plan Compliance Procedures

3772-12-01 Establishment of voluntary exclusion program and list.

(A) The "voluntary exclusion list" shall consist of the names and information of those individuals who have complied with the requirements of this rule and have been placed on the list by the commission.

(B) Nothing in this chapter shall prohibit anyone on the voluntary exclusion list from entering a casino facility for the purpose of carrying out the duties of their employment.

(C) An individual who is on the voluntary exclusion list who is hired by a casino operator or management company must notify the commission office in Columbus prior to starting employment. The individual must provide the following information:

(1) Name;

(2) Date of birth; and

(3) Name and location of the casino facility with which the voluntarily excluded individual will be employed.

Effective: 04/01/2012
R.C. 119.032 review dates: 04/01/2017
Promulgated Under: 119.03
Statutory Authority: 3772.03
Rule Amplifies: 3772.01 , 3772.03 , 3772.18

3772-12-02 Application for voluntary exclusion.

(A) An application for voluntary exclusion shall be available at the commission's office in Columbus and at the on-site commission facility in each casino facility.

(B) An individual may request to be excluded from a casino facility in this state by:

(1) Requesting an application in person from commission staff or a designated agent; and

(2) Completing an application for voluntary exclusion on a form required by the commission in the presence of commission staff or a designated agent.

(C) If an individual is unable to appear in person at the commission's office in Columbus or at an on-site commission facility in a casino facility, the individual may contact the commission's Columbus office during regular business hours so that other arrangements can be made.

(D) After receipt of a completed application for voluntary exclusion, commission staff or its designated agent shall interview the individual in order to:

(1) Ascertain that the individual is voluntarily applying for exclusion;

(2) Ascertain that the individual is fully informed of the consequences of being placed on the voluntary exclusion list; and

(3) Confirm the information provided in the application.

(E) As part of the request for voluntary exclusion, the individual must elect the time period for which he or she wishes to be voluntarily excluded. An individual may select any of the following time periods as a minimum length of exclusion:

(1) One year;

(2) Five years; or

(3) Lifetime.

After an individual's request for voluntary exclusion has been processed by the commission and the individual's name is added to the voluntary exclusion list, that individual may not apply to decrease the length of exclusion. A voluntarily excluded individual who elected to participate in the program for a period of one year or five years may resubmit a request for voluntary exclusion at any time to increase the minimum length of exclusion. An individual who has been voluntarily excluded for a period of one year or five years will continue to appear on the list after the expiration of that time period until such time as he or she completes a request for removal under rule 3772-12-05 of the Administrative Code. An individual that selects lifetime, cannot request removal under rule 3772-12-05 of the Administrative Code.

(F) The list of individuals participating in the voluntary exclusion program and the personal information of those individuals shall be confidential pursuant to division (D)(10)(d) of section 3772.03 of the Revised Code and shall be disseminated by the commission to a casino operator and casino operator's agents and employees for purposes of enforcement and to other entities, upon request of the participant and agreement by the commission.

(G) Each casino operator shall be notified by the commission of the placement of any individual on the voluntary exclusion list. All information contained in the individual's application for voluntary exclusion may be disclosed to a casino operator. A casino operator may disclose information about individuals on the voluntary exclusion list to the commission and to the casino operator's or affiliate's employees and agents who are directly responsible for excluding individuals from the casino facility.

(H) Nothing in this chapter shall prohibit a casino operator from disseminating the name and personal information of an individual on the voluntary exclusion list to an affiliate or an affiliated gaming facility of a casino operator, wherever located, as long as such dissemination is for the sole purpose of allowing the affiliate to exclude that individual from the gaming facility.

(I) A copy of the notice of placement on the voluntary exclusion list shall be delivered by the commission to the applicant by regular U.S. mail to the residential address specified on the application.

(J) If the commission decides that an applicant does not qualify for placement on the voluntary exclusion list or that the applicant should be allowed to withdraw the application, the applicant shall be notified by the commission by regular U.S. mail sent to the home address specified on the application.

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Effective: 06/01/2014
R.C. 119.032 review dates: 03/14/2014 and 06/01/2019
Promulgated Under: 119.03
Statutory Authority: 3772.03
Rule Amplifies: 3772.01 , 3772.03 , 3772.18
Prior Effective Dates: 04/01/2012

3772-12-03 Responsibilities of voluntarily excluded individual.

(A) A voluntarily excluded individual shall have the following ongoing obligations regarding the voluntary exclusion list:

(1) Refrain from entering a casino facility until such time as a request for removal has been processed by the commission;

(2) Update the commission each time the personal information of a voluntarily excluded individual changes. Personal information includes but is not limited to name, residential address, telephone number(s), driver's license number and licensing state, social security number, and physical description;

(3) Notify the commission if direct mailing items are received addressed to a voluntarily excluded person at his or her residence; and

(4) Any other obligations required by the commission.

(B) A voluntarily excluded individual who violates the terms of the voluntary exclusion program and enters a casino facility agrees to surrender any money or thing of value the individual has converted or attempted to convert into a wagering instrument, including, but not limited to, chips, tokens, prizes, jackpots, non-complimentary pay vouchers, cash, cash equivalents, electronic credits, and vouchers representing electronic credits, at a casino facility to the commission for deposit in the state problem gambling and other addiction services fund.

(C) Voluntarily excluded individuals agree to forfeit all points or complimentaries earned by the individual on or before the date the individual completes his or her request for application for placement on the voluntary exclusion list. However, if at the time an individual makes a request for placement on the voluntary exclusion list he or she is owed a cash amount from a casino operator, the individual shall have the right to receive that amount from the casino operator after placement on the voluntary exclusion list. To the extent that complimentaries or points described above may be redeemed for cash under the casino operator's marketing program, the individual shall be entitled to receive that amount.

(D) A voluntarily excluded individual who violates the terms of the voluntary exclusion program and enters a casino facility shall be asked to leave and could be subject to a arrest and a criminal action for trespass.

Effective: 06/01/2014
R.C. 119.032 review dates: 03/14/2014 and 06/01/2019
Promulgated Under: 119.03
Statutory Authority: 3772.03
Rule Amplifies: 3772.01 , 3772.03 , 3772.18
Prior Effective Dates: 04/01/2012

3772-12-04 Responsibilities of casino operators.

(A) A casino operator shall immediately notify the commission if an individual on the voluntary exclusion list is found on the premises of a casino facility.

(B) Each applicant for a casino operator license and casino operator licensee must submit written internal controls plans for compliance with the voluntary exclusion program for commission approval at least sixty days before the applicant's anticipated casino facility opening. These plans for compliance with the voluntary exclusion program, shall include at a minimum the following:

(1) Procedures to prevent employees from permitting an individual on the voluntary exclusion list from engaging in gambling activities at the casino facility;

(2) Procedures to identify and remove voluntarily excluded persons from the casino facility;

(3) Procedures to prevent an individual on the voluntary exclusion list from receiving any advertisement, promotion, or other direct marketing mailing fifteen days after receiving notice from the commission that the individual has been placed on the voluntary exclusion list;

(4) Procedures to prevent an individual on the voluntary exclusion list from having access to credit or from receiving complimentary services, check-cashing services, junket participation and other benefits; and

(5) Procedures to ensure the confidentiality of the identity and the information of the voluntarily excluded individual.

(C) A casino operator, its employees and agents shall:

(1) Exclude from the premises, refuse wagers from, and deny gaming privileges to any individual who the casino operator, its employees or its agents knows or should have known to be a voluntarily excluded person;

(2) Cease all direct marketing efforts to a person participating in the voluntary exclusion program. A casino operator satisfies this requirement if the casino operator removes the individual's name from the list of patrons to whom direct marketing materials are sent, and the individual does not receive direct marketing materials more than fifteen days after the casino operator receives notice, under rule 3772-12-02 of the Administrative Code, that the individual has been placed on the voluntary exclusion list;

(3) Ensure that information about individuals on the voluntary exclusion list is not disclosed to any person beyond the disclosures that are authorized under rules 3772-12-02 and 3772-12-05 of the Administrative Code;

(4) Not cash the check of an individual participating in the voluntary exclusion program; and

(5) Not extend credit in any manner to an individual participating in the voluntary exclusion program.

(D) Nothing in this chapter shall prohibit a casino operator and its employees and agents from seeking payment of a debt from a voluntarily excluded person if the debt was accrued by the individual before his or her name was placed on the voluntary exclusion list.

Effective: 04/01/2012
R.C. 119.032 review dates: 04/01/2017
Promulgated Under: 119.03
Statutory Authority: 3772.03
Rule Amplifies: 3772.01 , 3772.03 , 3772.18

3772-12-05 Removal from voluntary exclusion list.

(A) This rule does not apply to those voluntarily excluded individuals who elected lifetime exclusion under rule 3772-12-02 of the Administrative Code.

(B) Upon the expiration of the selected term of voluntary exclusion, an individual may request removal of his or her name from the voluntary exclusion list. A person making a request for removal must do so by declaring, in writing, on a form provided by the commission, the intent to remove his or her name from the voluntary exclusion list.

(C) After receipt of a request for removal and verifying that the individual requesting removal is the voluntarily excluded individual, the commission shall remove the name of the individual requesting removal from the voluntary exclusion list. The commission shall act upon a request for removal within thirty days of receipt of the request and verification of the identity of the individual requesting removal.

(D) A copy of the notice of removal from the voluntary exclusion list shall be delivered by the commission to the individual by regular U.S. mail to the home address specified on the application.

(E) Each casino operator shall be notified by the commission of the removal of any individual from the voluntary exclusion list. All information contained on the individual's application for removal from the voluntary exclusion list may be disclosed to a casino operator. A casino operator may disclose information about individuals on the voluntary exclusion list to the commission and to the casino operator's or affiliate's employees and agents who are directly responsible for excluding individuals from the casino facility.

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Effective: 04/01/2012
R.C. 119.032 review dates: 04/01/2017
Promulgated Under: 119.03
Statutory Authority: 3772.03
Rule Amplifies: 3772.01 , 3772.03 , 3772.18

3772-12-06 Compulsive and problem gambling plan.

(A) Each casino operator, management company, and holding company involved in the application and ownership or management of a casino facility shall provide to the commission, as applicable, an applicant's compulsive and problem gambling plan. An applicant's compulsive and problem gambling plan shall be approved by the commission before the commission issues or renews a license. Each plan shall at minimum include the following:

(1) The goals of the plan and procedures and timetables to implement the plan;

(2) The identification of the individual who will be responsible for the implementation and maintenance of the plan;

(3) Policies and procedures including the following:

(a) The commitment of the applicant and the casino operator to train appropriate employees;

(b) The duties and responsibilities of the employees designated to implement or participate in the plan;

(c) The responsibility of patrons with respect to responsible gambling;

(d) Procedures for compliance with the voluntary exclusion program;

(e) Procedures to identify patrons and employees with suspected or known compulsive and problem gambling behavior, including procedures specific to loyalty and other rewards and marketing programs;

(f) Procedures for providing information to individuals regarding the voluntary exclusion program and community, public and private treatment services, gamblers anonymous programs and similar treatment or addiction therapy programs designed to prevent, treat, or monitor compulsive and problem gamblers and to counsel family members;

(g) Procedures for responding to patron and employee requests for information regarding the voluntary exclusion program and community, public and private treatment services, gamblers anonymous programs and similar treatment or addiction therapy programs designed to prevent, treat, or monitor compulsive and problem gamblers and to counsel family members;

(h) The provision of printed material to educate patrons and employees about compulsive and problem gambling and to inform them about the voluntary exclusion program and treatment services available to compulsive and problem gamblers and their families. The applicant shall provide examples of the materials to be used as part of its plan, including, brochures and other printed material and a description of how the material will be disseminated;

(i) Advertising and other marketing and outreach to educate the general public about the voluntary exclusion program and compulsive and problem gambling;

(j) An employee training program, including training materials to be utilized and a plan for periodic reinforcement training and a certification process established by the applicant to verify that each employee has completed the training required by the plan;

(k) Procedures to prevent underage gambling;

(l) Procedures to prevent patrons impaired by drugs or alcohol, or both, from gambling; and

(m) The plan for posting signs within the casino facility, containing information on gambling treatment and on the voluntary exclusion program. The applicant shall provide examples of the language and graphics to be used on the signs as part of its plan;

(4) A list of community, public and private treatment services, gamblers anonymous programs and similar treatment or addiction therapy programs designed to prevent, treat, or monitor compulsive and problem gamblers and to counsel family members; and

(5) Any other information, documents, and policies and procedures that the commission requires.

(B) Each applicant or casino operator shall submit any amendments to the compulsive and problem gambling plan to the commission for review and approval before implementing the amendments.

(C) Each casino operator shall submit an annual summary of its compulsive and problem gambling plan to the commission.

(D) Each casino operator shall submit quarterly updates and an annual report to the commission of its adherence to the plans and goals submitted under this rule, including any information that the casino operator has received related to bankruptcy, divorce, crime, and attempted suicide related to gambling at a casino facility.

Effective: 04/01/2012
R.C. 119.032 review dates: 04/01/2017
Promulgated Under: 119.03
Statutory Authority: 3772.03
Rule Amplifies: 3772.01 , 3772.03 , 3772.18