Iowa Admin. Code r. 491-8.6 - Advance deposit wagering
(1)
Authorization to conduct advance deposit wagering.
a. A licensee may request authorization from
the commission to conduct advance deposit wagering pursuant to Iowa Code
section 99D.11(6)
"c" and this chapter. As part of the request, the licensee
shall submit a detailed plan of how its advance deposit wagering system would
operate. The commission may require changes in a proposed plan of operations as
a condition of granting a request. No subsequent changes in the system's
operation may occur unless ordered by the commission or until approval is
obtained from the commission after it receives a written request.
b. The commission may conduct investigations
or inspections or request additional information from the licensee as the
commission deems appropriate in determining whether to allow the licensee to
conduct advance deposit wagering.
c. The licensee shall establish and manage an
advance deposit wagering center.
d.
The commission may issue an ADWO license to an entity that enters into an
agreement with the commission, the licensee, and the Iowa Horsemen's Benevolent
and Protective Association. The terms of any ADWO's license shall include but
not be limited to:
(1) Any source market fees
and host fees to be paid on any races subject to advance deposit
wagering.
(2) An annual ADWO
license fee in an amount to be determined by the commission.
(3) Completion of all necessary background
investigations.
(4) Acceptance of
wagers on live races conducted at the horse racetrack in Polk County from all
of its licensee account holders.
(5) A bond or irrevocable letter of credit on
behalf of the ADWO to be determined by the commission.
(6) A detailed description and certification
of systems and procedures used by the ADWO to validate the identity and age of
licensee account holders and to validate the legality of wagers
accepted.
(7) Certification of
prompt commission access to all records relating to licensee account holder
identity and age in hard-copy or standard electronic format acceptable to the
commission.
(8) Certification of
secure retention of all records related to advance deposit wagering and
accounts for a period of not less than three years or such longer period as
specified by the commission.
(9)
Utilization and communication of pari-mutuel wagers to a pari-mutuel system
meeting all requirements for pari-mutuel systems employed by licensed racing
facilities in Iowa.
e.
Commission access to and use of information concerning advance deposit wager
transactions and licensee account holders shall be considered proprietary, and
such information shall not be disclosed publicly except as may be required
pursuant to statute or court order or except as part of the official record of
any proceeding before the commission. This requirement shall not prevent the
sharing of this information with other pari-mutuel regulatory authorities or
law enforcement agencies for investigative purposes.
f. For each advance deposit wager made for an
account by telephone, the licensee or ADWO shall make a voice recording of the
entire transaction and shall not accept any such wager if the voice-recording
system is inoperable. Voice recordings shall be retained for not less than six
months and shall be made available to the commission for investigative
purposes.
(2)
Establishing an account.
a.
A person must have an established account in order to place advance deposit
wagers. An account may be established in person at the licensee's facility or
with the ADWO by mail or electronic means. For establishing an account, the
application must be signed or otherwise authorized in a manner acceptable to
the commission and shall include the applicant's full legal name, principal
residence address, telephone number, and date of birth and any other
information required by the commission. The licensee and ADWO shall have a
process to verify that the player is not on the statewide self-exclusion list
set forth in Iowa Code section
99D.7(23)
prior to establishing an account. The licensee and ADWO shall review and
deactivate accounts of newly enrolled participants of the statewide
self-exclusion program and comply with all other requirements set forth by the
commission and in Iowa Code section
99D.7(23).
b. Each application submitted will be subject
to electronic verification with respect to the applicant's name, principal
residence address and date of birth by either a national, independent
individual reference service company or by means of a technology which meets or
exceeds the reliability, security, accuracy, privacy and timeliness provided by
individual reference service companies. An applicant's social security number
may be necessary for completion of the verification process and for
tax-reporting purposes. If there is a discrepancy between the application
submitted and the information provided by the electronic verification or if no
information on the applicant is available from such electronic verification,
another individual reference service may be accessed or another technology
meeting the requirements described above may be used to verify the information
provided. If these measures prove unsatisfactory, then the applicant will be
contacted and given instructions as to how to resolve the matter.
c. The identity of a licensee account holder
must be verified via electronic means or copies of other documents before the
licensee account holder may place an advance deposit wager.
d. Each account shall have a unique
identifying account number. The identifying account number may be changed at
any time by the licensee or ADWO provided that the licensee or ADWO informs the
licensee account holder in writing prior to the change.
e. The applicant shall provide the licensee
or ADWO with an alpha-numeric code to be used as a secure personal
identification code when the licensee account holder is placing an advance
deposit wager. The licensee account holder has the right to change this code at
any time.
f. The licensee account
holder shall receive at the time the account is approved a unique account
identification number; a copy of the advance deposit wagering rules and such
other information and material pertinent to the operation of the account; and
such other information as the licensee, ADWO or commission may deem
appropriate.
g. The account is
nontransferable.
h. The licensee or
ADWO may close or refuse to open an account for what it deems good and
sufficient reason and shall order an account closed if it is determined that
information used to open an account was false or that the account has been used
in violation of these rules or the licensee's or ADWO's terms and
conditions.
(3)
Operation of an account. The ADWO shall submit operating
procedures with respect to licensee account holder accounts for commission
approval. The submission shall include controls and reasonable methods that
provide for the following:
a. Written
notification to the commission consistent with 491-paragraph
5.4(5)"c."
b. The
segregation of incompatible functions so that no employee is in a position to
perpetrate and conceal errors or irregularities in the normal course of the
employee's duties.
c. User access
controls for all sensitive and secure, physical and virtual, areas and systems
within a wagering operation.
d.
Problem gambling controls consistent with 491-subrule 5.4(12).
e. Setoff winnings of customers who have a
valid lien established under Iowa Code chapter 99D.
(4)
Records. Licensees shall
provide all information requested by the commission. Access to this information
shall be prompt, and copies of the information shall be delivered within seven
days or less as ordered or requested by the commission. The licensees shall
ensure all books and records and the retention of all books and records comply
with 491-subrule 5.4(14). All records pertaining to contests shall be available
to allow for player complaint resolution. All records pertaining to the
accounts of people who registered or have account activity in Iowa shall be
available to allow for audits and investigations.
Notes
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