Rules

The Rules

Chapter Sw 100 Organization
Chapter Sw 200 Rules of Practice and Procedure
Chapter Sw 300 Rules for Sales Agents
Chapter Sw 500 Rules for Prize Assignment
Chapter Sw 600 Rules for Prize Claims
Chapter Sw 900 Rules for Sweepstakes Lottery Intercept
Chapter Sw 5000 Rules of Multi-State Lottery Association Games
Chapter Sw 6000 Rules for Second Chance Drawings


CHAPTER Sw 100 ORGANIZATION

Statutory Authority: RSA 541-A:16, I(a)

PART Sw 101 DESCRIPTION OF COMMISSION

Sw 101.01 Establishment
Sw 101.02 Quorum.
Sw 101.03 Duties and Rulemaking Authority.
Sw 101.04 Meetings.
Sw 101.05 Requests for Information.

PART Sw 101 DESCRIPTION OF COMMISSION

Sw 101.01 Establishment

The Lottery Commission is established by RSA 284:21-a and consists of 3 members appointed by the governor.

Source. #6509, eff 5-15-97

Sw 101.02 Quorum.

Under RSA 284:21-b, 2 members constitute a quorum of the Commission.

Source. #6509, eff 5-15-97

Sw 101.03 Duties and Rulemaking Authority.

The chief duties of the Lottery Commission in relation to RSA 541-A are as follows:

(a) The Lottery Commission oversees the operation of the granite states Lottery, also known as the New Hampshire Lottery Commission®. The operation is under the supervision of an unclassified executive director, established under RSA 94:1-a. The operation is divided into 2 functions, a games management function, and a finance and administration function as authorized under RSA 284:21-i, I.

(b) Under RSA 284:21-i, the rulemaking authority is delegated directly to the Commission. Although the Lottery enforces the policies which have the effect of law under RSA 541-A, it has no independent rulemaking authority.

Source. #6509, eff 5-15-97

Sw 101.04 Meetings.

The Commission meets at least once a month and schedules other meetings as necessary. All meetings are posted and held in accordance with RSA 91-A.

Source. #6509, eff 5-15-97

Sw 101.05 Requests for Information.

All oral and written requests for information concerning the duties and responsibilities of the Commission, or requests for free copies of the Commission's rules, shall be addressed to the Lottery at the address and telephone number below:

New Hampshire Lottery Commission®
14 Integra Drive
Concord, New Hampshire 03301
Tel: (603) 271-3391

CHAPTER Sw 200 Rules of Practice and Procedure

Statutory Authority: 541-A:16, I(b)-(d)

PART Sw 201 PURPOSE AND SCOPE

Section Sw 201.01 Purpose.
Section Sw 201.02 Scope.

PART Sw 202 DEFINITIONS

Section Sw 202.01 Definitions.

PART Sw 203 COMPLIANCE WITH RULES

Section Sw 203.01 Failure to Comply with Rules.
Section Sw 203.02 Requests for Waiver from Application of Rules.

PART Sw 204 INVESTIGATIONS

Section Sw 204.01 When and by Whom Investigations May be Conducted.
Section Sw 204.02 Authority of Investigating Officer(s).


PART Sw 205 COMPLAINTS

Section Sw 205.01 Who May File a Complaint.
Section Sw 205.02 Misconduct Sufficient to Support a Complaint.
Section Sw 205.03 Receipt and Review of Complaints.
Section Sw 205.04 Form of Complaints.
Section Sw 205.05 Receipt and Review of Written Complaints.

PART Sw 206 PRESIDING OFFICER’S PARTICIPATION AND SCHEDULING

Section Sw 206.01 Applicability.
Section Sw 206.02 Presiding Officer.
Section Sw 206.03 Authority and Duties of Presiding Officer.
Section Sw 206.04 Roles of Complainant and Commission Staff.
Section Sw 206.05 Representation
Section Sw 206.06 Disqualification or Suspension.
Section Sw 206.07 Computation of Time.
Section Sw 206.08 Change in Allowed Times.
Section Sw 206.09 Continuances.
Section Sw 206.10 Intervention Procedure.

PART Sw 207 FILING OF DOCUMENTS AND DELIVERY OF COPIES

Section Sw 207.01 Filing of Documents with the Commission.
Section Sw 207.02 Form, Appearance and Number of Documents.
Section Sw 207.03 Assurances.
Section Sw 207.04 Sending Copies of Documents to All Parties.

PART Sw 208 COMMENCEMENT AND PROCESS OF PROCEEDING

Section Sw 208.01 Commencement.
Section Sw 208.02 Hearing Record and Notice.
Section Sw 208.03 Pre-Hearing and Other Informal Conferences.
Section Sw 208.04 Evidence.
Section Sw 208.05 Burden of Proof.
Section Sw 208.06 Method of Proceeding.
Section Sw 208.07 Reopening the Record.
Section Sw 208.08 Decision of the Commission.

PART Sw 209 SANCTIONS

Section Sw 209.01 When Sanctions May Be Imposed.
Section Sw 209.02 Sanctions.
Section Sw 209.03 Record of Disciplinary Sanction.

PART Sw 210 PUBLIC COMMENT HEARINGS FOR RULEMAKING

Section Sw 210.01 Purpose.
Section Sw 210.02 Scope.
Section Sw 210.03 Notice.
Section Sw 210.04 Media Access.
Section Sw 210.05 Moderator.
Section Sw 210.06 Public Participation.

PART Sw 211 RULES FOR PETITIONING THE COMMISSION

Section Sw 211.01 Rulemaking Petitions.
Section Sw 211.02 Petition for Declaratory Ruling.
Section Sw 211.03 Petition Form.

PART Sw 212 EXPLANATION OF ADOPTED RULES

Section Sw 212.01 Petition for Explanation of Adopted Rules.

PART Sw 201 PURPOSE AND SCOPE

Sw 201.01 Purpose.

Sw 201.01 Purpose. This chapter provides procedural rules for the conduct of hearings before the New Hampshire Lottery Commission® affecting the rights or privileges of any person or organization.

Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 201.02 Scope.

The procedures specified in this chapter shall apply whenever hearings before the Commission are required by statute or rule.

Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

PART Sw 202 DEFINITIONS

Sw 202.01 Definitions.

The following definitions shall apply for rules of fair hearings:

(a) "Commission" means the New Hampshire Lottery Commission®.

(b) "Commissioner" means a member of the New Hampshire Lottery Commission®.

(c) "Complaint" means a written allegation of conduct prohibited by applicable statutes or rules of the Commission.

(d) "Complainant" means a person who has filed a complaint against another person or organization.

(e) "Data" means all information, other than argument, whether finished or unfinished, including, but not limited to:
  1. Oral or written descriptions;
  2. Reports;
  3. Maps or charts;
  4. Drawings or photographs;
  5. Audio or video recordings;
  6. Computer programs or computer printouts;
  7. Testimony, notes, or memoranda; and
  8. Other documents.
(f) "Declaratory ruling" means an agency ruling as to the specific applicability of any statutory provision or of any rule or order of the agency.

(g) "Hearing" means the receipt by the agency of data or argument, or both, from persons.

(h) "License" means the permit, certificate, approval, registration, designation, charter or similar form of permission required pursuant to statutes or rules administered by the Commission.

(i) "Order" means the final disposition of a matter before the Commission.

(j) "Presiding officer" means a Commissioner or his/her designee who presides over a proceeding.

(k) "Proceeding" means any adjudication in which the legal rights, duties or privileges of a person or organization are required by rule or statute to be determined by the agency after opportunity for a hearing.

(l) "Respondent" means a person against whom a complaint has been filed under these rules or statutes administered by the Commission.

(m) "Revocation" means loss of a license or approval granted by the Commission.

(n) "Suspension" means temporary loss of a license or approval by the Commission.
 
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

PART Sw 203 COMPLIANCE WITH RULES

Sw 203.01 Failure to Comply with Rules.

Failure to comply with these rules shall result in the Commission:

(a) Refusing to accept a non-compliant document for filing;

(b) Denying or conditionally denying a non-compliant application or request; or

(c) Issuing an order adverse to a non-compliant person.
 
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-B, eff 8-23-05

Sw 203.02 Requests for Waiver from Application of Rules.

(a) A person may request the Commission to grant a waiver from the application of that rule provided the requirements of this section are met.

(b) A request for a waiver shall:
  1. Be in writing;
  2. Specify the rule(s) by number; and
  3. Specify each and every fact which the person relies upon to support the request for a waiver.
(c) The Commission shall grant the waiver if:
  1. The waiver does not result in any material prejudices; and
  2. Granting the waiver does not conflict with any applicable statute.
(d) The Commission shall render a decision to grant or deny the request for a waiver within 30 days of the filing of the request.

(e) The Commission shall notify the person in writing within 10 days of the decision to grant or deny the request in writing.
 
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-B, eff 8-23-05

PART Sw 204 INVESTIGATIONS

Sw 204.01 When and by Whom Investigations May be Conducted.

(a) The Commission shall conduct an investigation if:
  1. Information is received which leads the Commission to believe a violation of any statute administered by the Commission, or of any Commission rule, has occurred or is likely to occur;
  2. A complaint against a person or entity under the jurisdiction of the Commission has been received; or
  3. Additional information relevant to a Commission proceeding is required.
(b) Pursuant to RSA 284:21-i, I, the Commission shall employ technical assistants, as authorized by the governor and council, to act as investigating officers to conduct an investigation and submit an investigation report to the Commission for their approval. The Commission shall review and approve or reject such report within 30 days.
 
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-B, eff 8-23-05

Sw 204.02 Authority of Investigating Officer(s).

(a) The Commission or appointed investigating officer(s) shall interview the person/organization alleged to have committed the violation or about to commit a violation, and/or any other person who might have knowledge of the violation or potential violation.

(b) The Commission shall specify points to be covered during the investigation, such as, but not limited to, whether the conduct being complained about represents an isolated incident, or whether similar complaints have been received.

(c) The investigating officer(s) shall review records, data and other documents to obtain information pertinent to the investigation.
 
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-B, eff 8-23-05

PART Sw 205 COMPLAINTS

Sw 205.01 Who May File a Complaint.

Any person who has personal knowledge that any other person, or any entity approved by the Commission has violated any statute or rule administered by the Commission may file a complaint against that person or entity.

Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-B, eff 8-23-05

Sw 205.02 Misconduct Sufficient to Support a Complaint.

Misconduct sufficient to support a complaint shall include:

(a) The practice of fraud or deceit in dealing with the Commission or with the public; and

(b) Violation of any statutes or rules administered by the Commission.

Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-B, eff 8-23-05

Sw 205.03 Receipt and Review of Complaints.

(a) If the Commission receives a complaint and finds that the complaint has no merit, the Commission shall dismiss the complaint and so notify the complainant.

(b) If the Commission finds that a complaint may have merit, the Commission shall notify the complainant.
 
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-B, eff 8-23-05

Sw 205.04 Form of Complaints.

Complaints filed with the Commission shall contain:

(a) The name and address of the complainant;

(b) The name and address of the complainant's representative, if any;

(c) A concise statement of the facts which caused the complainant to file the complaint;

(d) The identification of any statutes, rules, orders or other authority which the complainant alleges have been violated, if known to the complainant; and

(e) The name and address of the person or entity against whom the complainant complains.
 
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-B, eff 8-23-05

Sw 205.05 Receipt and Review of Written Complaints.

(a) Upon receipt of a written complaint, the Commission shall determine whether or not to commence an investigation.

(b) The Commission shall, pursuant to the report of the investigating officer (s), if applicable:
  1. Dismiss the complaint and notify the aggrieved complainant of such dismissal within 10 days of such decision, stating the reasons for such dismissal.
  2. Commence an adjudicative proceeding pursuant to these rules.
(c) The Commission shall dismiss a complaint if the complainant fails to state clearly the circumstances of the complaint, fails to respond to a request for information, or fails to participate in any investigation or hearing ordered by the Commission.
 
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-B, eff 8-23-05

PART Sw 206 PRESIDING OFFICER'S PARTICIPATION AND SCHEDULING

Sw 206.01 Applicability.

These rules apply to all proceedings conducted by the Commission except rulemaking and nonadjudicative investigations.

Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 206.02 Presiding Officer.

The presiding officer shall be a Commissioner.

Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 206.03 Authority and Duties of Presiding Officer.

(a) The presiding officer shall:
  1. Have all authority with respect to the conduct of proceedings conducted by the Commission, including but not limited to, the power to administer oaths and to direct the course of the proceeding; and
  2. Serve notices upon all parties to the proceeding as to any session, conference, or other event occurring in the proceeding.
(b) Upon his or her initiative or upon the motion of any party or intervenor, the presiding officer shall withdraw from any adjudicative proceeding for good cause.
 
(c) Good cause under (b) above shall exist if the presiding officer:
  1. Has a direct interest in the outcome of the matter, including but not limited to, a financial or family relationship with any party or intervenor;
  2. Has made statements or engaged in behavior which objectively demonstrates that he or she has prejudged the facts of the case; or
  3. Personally believes that he or she cannot fairly judge the facts of the case.
(d) Mere knowledge of the issues or acquaintance with any party, intervenor, or witness shall not constitute good cause for withdrawal by the presiding officer.
 
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 206.04 Roles of Complainant and Commission Staff.

(a) A complainant alleging misconduct by a license or a Commission-approved person or entity shall be a party to the proceeding.

(b) Unless named as a party in the order of notice or called as witnesses, Commission staff shall have no role in any hearing.
 
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 206.05 Representation.

(a) If a complainant chooses to be represented by some other person, he or she shall notify the Commission at the earliest date practical of the name and address of the representative.

(b) Any complainant in a Commission proceeding may be represented by counsel, but counsel so retained shall not be paid for by the state.

(c) Requests for appointment of counsel shall not be entertained.

(d) A representative shall be either an attorney-at-law, licensed in New Hampshire, or such other individual as the complainant may designate.
 
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 206.06 Disqualification or Suspension.

The Commission shall, after notice and opportunity for hearing, upon a finding of misconduct, pursuant to Sw 205.02, by any individual relating to representation before the agency, prohibit that individual from acting as representative before the agency.

Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 206.07 Computation of Time.

Any period of time specified in these rules shall begin with the day following the act, event, or default and end on the last day of the period, but shall not include Saturdays, Sundays or state legal holidays.

Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 206.08 Change in Allowed Times.

(a) Except where the time is fixed by statute, the Commission shall extend or shorten the time provided for the filing of any document, or advance or postpone the time set for any oral hearing if the request for a change of time meets the requirements in (b) and (c) below.

(b) A request to change time shall be filed at least 4 business days preceding the event in question.

(c) A request for a change of time shall be granted upon a finding of diligence and hardship to the complainant making the request which outweighs any hardship likely to be suffered by any other party to the proceeding.
 
Source. #8419-A, eff 8-23-05

Sw 206.09 Continuances.

(a) Any party or intervenor may make an oral or written motion that a hearing be delayed or continued to a later date or time.

(b) A motion for a delay or a continuance shall be granted if the presiding officer determines that a delay or continuance would assist in resolving the case fairly.

(c) If the later date, time, and place are known when the hearing is being delayed or continued, the information shall be stated on the record. If the later date, time and place are not known at that time, the presiding officer shall, as soon as practicable, issue a written scheduling order stating the date, time and place of the delayed or continued hearing.
 
Source. #8419-A, eff 8-23-05

Sw 206.10 Intervention Procedure.

(a) Petitions for intervention shall:
  1. Describe the petitioner's interest in the subject matter of the proceedings; and
  2. Be submitted in writing to the presiding officer.
(b) A copy of a petition submitted pursuant to (a) above shall be mailed to the board and to all persons identified in the notice commencing the adjudicative proceeding.

(c) A petition for intervention shall be granted by the presiding officer if:
  1. The petitioner complied with (a) above and (b) above at least 3 days before the hearing and the presiding officer determines that:
    1. The petition states facts demonstrating that the petitioner's rights, duties, privileges, immunities or other substantial interests might be affected by the proceedings or the petitioner qualifies as an intervenor under law; and
    2. The intervention sought would not impair the interests of justice and the orderly and prompt conduct of the proceedings; or
  2. The petitioner complied with (a) and (b) above at any time and the presiding officer determines that the intervention sought would be in the interests of justice and would not impair the orderly and prompt conduct of the proceedings.
    1. Approval of intervention by the presiding officer shall apply only to the proceeding in which the petition for intervention was granted.
(d) Approval of intervention by the presiding officer shall apply only to the proceeding in which the petition for intervention was granted.

(e) Notwithstanding the provisions of this chapter, an intervenor's right to participate in an adjudicative proceeding shall be subject to any limitations or conditions imposed by the presiding officer pursuant to RSA 541-A:32, III.

(f) An intervenor shall take the proceedings as he or she finds them and no portion of the proceeding shall be repeated because of the fact of intervention.
 
Source. #8419-A, eff 8-23-05

PART Sw 207 FILING OF DOCUMENTS AND DELIVERY OF COPIES

Sw 207.01 Filing of Documents with the Commission.

A document shall be deemed as filed with the Commission when it is actually received by the Commission.

Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 207.02 Form, Appearance and Number of Documents.

All documents filed pursuant to these rules shall be filed with an original and 3 copies, and shall be printed or typed in clear and legible form.

Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 207.03 Assurances.

(a) All documents filed with the Commission shall be signed by the party, or if the party has chosen a representative, by the representative.

(b) By signing the document, the signor shall thereby agree:
  1. That the signor has read the document;
  2. That the signor is authorized to file the document;
  3. That, to the best of the knowledge, information, and belief of the signor, the statements made in the document are true; and
  4. That it is not filed for delay.
(c) All documents shall contain the address and title, if any, of the signors.

Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 207.04 Sending Copies of Documents to All Parties.

(a) Copies of all documents filed by any party to a Commission proceeding shall be sent by that party to all other parties to the proceeding on or before the date it is filed with the Commission by:
  1. Depositing a copy of the document in the United States mail, first class postage prepaid, addressed to the complainant or, if represented, to the complainant's representative; or
  2. Delivering a copy of the document in hand to the complainant or, if represented, to the complainant's representative.

(b) Copies of all notices or other documents issued by the Commission pursuant to a Commission proceeding shall be sent by the Commission to all parties to the proceeding on the date the Commission files the document in the record of the proceeding by:

  1. Depositing a copy of the document in the United States mail, first class postage prepaid, addressed to the complainant or, if represented, to the complainant's representative; or
  2. Delivering a copy of the document in hand to the complainant or, if represented, to the complainant's representative.
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

PART Sw 208 COMMENCEMENT AND PROCESS OF PROCEEDING

Sw 208.01 Commencement.

Commencement shall be determined as follows:

(a) The Commission shall commence a proceeding by issuing an order of notice;

(b) The order of notice shall:
  1. Identify the legal authority for the hearing as well as identify the parties to the proceeding as to the date of the notice;
  2. Briefly summarize the subject matter of the proceeding, and identify the issues to be resolved;
  3. Specify applicable statutory authority, and any applicable Commission rules;
  4. Specify the date, time and location of the oral hearing, if any, which might be a pre-hearing conference limited to procedural matters;
  5. Specify the date and address for the submission of written documents;
  6. Identify the presiding officer for the proceeding; and
  7. Include a statement that each party has the right to have representation by an attorney at the party's own expense.
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 208.02 Hearing Record and Notice.

(a) The presiding officer shall establish a record of the proceeding and send a copy of the order of notice to all parties to the proceeding at least 15 days before the first date of the hearing.

(b) Copies of all subsequent orders and notices in the proceeding shall also be sent to all parties involved within 10 days.

(c) Orders, notices, written documents, and all other materials submitted in a proceeding shall be kept in the hearing record in the main office of the Commission.
 
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 208.03 Pre-Hearing and Other Informal Conferences.

During any proceeding, the presiding officer shall direct all individuals to the proceeding to attend one or more informal conferences if the presiding officer determines that such conference(s) shall aid in the efficiency of the hearing process.

Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 208.04 Evidence.

(a) Commission proceedings shall admit any and all data which will reasonably assist the Commission to arrive at the truth.

(b) The presiding officer shall exclude data which is irrelevant, immaterial, or unduly repetitious.
 
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 208.05 Burden of Proof.

The party asserting the affirmative of a proposition shall have the burden of proving the truth of that proposition by a preponderance of the evidence.

Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 208.06 Method of Proceeding.

(a) Testimonial, documentary and physical evidence shall be offered in the presence of the presiding officer.

(b) All witnesses giving testimony shall be administered an oath or affirmation by the presiding officer.
  1. Exhibits shall be sequentially identified and numbered in a single series.
(c) The order to present evidence shall be as follows:
  1. The party who bears the burden of proof shall first present all evidence necessary to support his/her allegation;
  2. The party responding, if any, shall then present any evidence desired in defense, or as directed in the order of notice;
  3. The party that bears the burden of proof shall then present any evidence desired in rebuttal; and
  4. A party who calls a witness shall first examine the witness. Thereupon, the party opposing may cross-examine the witness. The party sponsoring the witness may then re-examine the witness.
(d) Oral sessions of the proceeding shall be audio-recorded.

(e) A copy of the tape shall be made and kept in the record.

(f) The presiding officer shall close the proceedings after all evidence is offered and all witnesses have presented their testimony.
 
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 208.07 Reopening the Record.

(a) If no decision has been issued, any party or intervenor may move to reopen the record for the inclusion in the record or specified evidence or claims of law.

(b) A motion pursuant to (a) above shall be granted if:
 
1.    There is no objection from any other party or intervenor;

2.    The evidence sought to be included in the record was not available at the time of the hearing or the claim of law was inadvertently omitted; and

3.    The presiding officer determines that the evidence or claim of law is relevant, material, and non-duplicative and its inclusion in the record is necessary to a full and fair consideration of the issued to be decided.
(c) If there is an objection from a party or intervenor to a motion made pursuant to (a) above, the hearing shall be reopened for the purpose of receiving evidence, permitting cross-examination and permitting argument on the issue of reopening the record.

(d) The presiding officer shall grant a motion made pursuant to (a) above if, after the reopened hearing described in (c) above, the presiding officer determines that the evidence sought to be included in the record was not available at the time of the hearing or the claim of law was inadvertently omitted and the evidence or claim of law is relevant, material and non-duplicative and its inclusion in the record is necessary to a full and fair consideration of the issues to be decided.
 
(e) If the presiding officer permits the reopening of the record for the admission of specified evidence or claim of law, the presiding officer shall extend the hearing reopened pursuant to (c) for the purpose of receiving evidence, permitting cross-examination and permitting argument on the substance of the evidence or on the claim of law.

Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 208.08 Decision of the Commission.

(a) The Commission shall issue a decision in the form of a final order within 30 days of the proceeding.

(b) A copy of the final order shall be sent to all parties to the proceeding within 10 days of the date of the final order.

(c) The Commission shall be present at the hearing and observe all witnesses in the situation where credibility is a material issue.

(d) The Commission shall keep a final decision in its records for at least 5 years following its date of issuance, unless the director of the division of records management and archives of the department of state sets a different retention period pursuant to rules adopted under RSA 5:40.
 
Source. #8419-A, eff 8-23-05

PART Sw 209 SANCTIONS

Sw 209.01 When Sanctions May Be Imposed.

The Commission shall impose sanctions after hearing and upon the finding that a person or entity licensed by the Commission violated an agency rule or statute.

Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 209.02 Sanctions.

(a) The Commission shall require that corrective action be taken within a specified period of time as a condition of continued licensure or relicensure if the Commission determines that such licensee remains out of compliance;

(b) The Commission shall require, in the case of an entity approved by the Commission for the provision of services, that corrective action be taken within a specified period of time as a condition of continued approval if such service provider remains out of compliance;

(c) The Commission shall issue a written reprimand to the person or entity if no corrective action is necessary under (a) or (b) above;

(d) The Commission shall suspend the license or approval for up to one year depending on the severity of the violation, during which time the person or entity shall be considered to be unlicensed or unapproved if the violation was not a first violation; or

(e) The Commission shall revoke the license or approval if the license indicates an inability or unwillingness to comply as demonstrated by a pattern of violations.
 
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 209.03 Record of Disciplinary Sanction.

A copy of the disciplinary sanction imposed shall be placed in the record.

Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

PART Sw 210 PUBLIC COMMENT HEARINGS FOR RULEMAKING

Sw 210.01 Purpose.

The purpose of this part is to provide a uniform procedure for the conduct of public hearings at which comment from the general public will be solicited for evaluation and consideration by a quorum of the Commission relative to the adoption, amendment or repeal of a Commission rule under RSA 541-A.

Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 210.02 Scope.

These rules shall apply to all hearings required by state law to be conducted by the Commission at which public comment shall be solicited under RSA 541-A:11. They shall not apply to contested cases as defined by RSA 541-A:1, IV.

Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 210.03 Notice.

(a) A public comment hearing concerning rulemaking shall be commenced by placing notice of the hearing in the "Rulemaking Register" so that it shall appear at least 20 days prior to the hearing date.

(b) Notice of rulemaking public comment hearings shall comply with RSA 541-A:6.

(c) Nothing in these rules shall prohibit the Commission from giving greater notice than the minimum set out in this section.

Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 210.04 Media Access.

(a) Public comment hearings shall be open to the print and electronic media.

(b) The moderator shall place limits on the activities of the media to avoid disruption in the following ways:
  1. Limit the placement of television cameras to certain locations in the hearing room; and
  2. Prohibit interviews from being conducted within the hearing room during the hearing.
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 210.05 Moderator.

(a) The hearing shall be presided over by the moderator who shall be the Commission chair or designee.

(b) The moderator shall:
  1. Call the hearing to order;
  2. Cause a recording of the hearing to be made;
  3. Place a limit on the media to avoid disruption as set out in Sw 210.04(b);
  4. Recognize those who wish to be heard and establish the order thereof;
  5. Limit the time for each speaker, as set out in Sw 210.06 (b) (2);
  6. Recognize or revoke recognition of a speaker for cause as set out in Sw 210.06(b);
  7. Remove or have removed any person who disrupts the hearing;
  8. Adjourn the hearing; and
  9. Provide opportunity for the submission of written comments consistent with the notice published in the rulemaking register.
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 210.06 Public Participation.

(a) Any person who wishes to speak on the issue or issues which are the subject of the hearing shall list both name and address on a speakers' list. All those whose names appear on the speakers' list, as provided, may speak at the hearing.

(b) The Commission, through the moderator, shall:
  1. Refuse to recognize a person who refuses to give his or her full name and address;
  2. When a group or organization wishes to comment, limit the group to no more than 3 persons, provided that the members who are present may enter their names and addresses into the record as supporting the position by the group or organization;
  3. Revoke recognition of a speaker who speaks or acts in an abusive or disruptive manner; and
  4. Revoke recognition of a speaker who refuses to keep comments relevant to the issues which are the subject of the hearing.
(c) Written comments may be submitted any time from the time the notice has been published until the record has been closed by the moderator, which shall be consistent with the notice published in the rulemaking register.
 
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05


PART Sw 211 RULES FOR PETITIONING THE COMMISSION

Sw 211.01 Rulemaking Petitions.

(a) Any interested person may petition the Commission for the adoption, amendment or repeal of any Commission rule under RSA 541-A.

(b) Within 30 days of the receipt of the completed petition required by Sw 211.03, the Commission shall either:
 
1.    Initiate rulemaking procedures in compliance with the petition and in accordance with RSA 541-A; or
2.    Deny the petition in writing, stating the reasons for the denial. Such reasons shall detail why the Commission deems the problem can be solved by a method which does not require a formal rulemaking proceeding.
 
(c) The Commission shall determine whether to initiate a requested procedure or deny a petition based on whether the requested change is consistent with the duties of the Commission under RSA 284:21-h, and RSA 284:21-I and whether the issue can be addressed without rulemaking.
 
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 211.02 Petition for Declaratory Ruling.

(a) Any interested person may petition the Commission using the form specified in Sw 211.03, requesting a declaratory ruling on the applicability of any statute concerning the Commission or rule adopted by the Commission.

(b) Within 45 days of the receipt of the completed petition required by Sw 211.03, the Commission shall either:
  1. Issue a declaratory ruling responsive to the petition; or
  2. If a legal opinion is required, the Commission shall request the opinion of the attorney general's office and issue a responsive declaratory ruling within 20 working days of receipt of the attorney general's reply explaining the reply to the petitioner.
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

Sw 211.03 Petition Form.

(a) The Commission shall consider any petition which meets the following minimum requirements:
  1.  Each petition shall be in legible written form and addressed to the Commission as follows: Chairman, Lottery Commission                                                                                                     14 Integra Drive                                                                                                                             Concord, NH 03301
  2. Petitions for proposed rulemaking shall:
    1. State the nature of each proposed rule;
    2. State the petitioner's reasons for proposing the rule; and
    3. Include a text of the proposed rule.
  3. Petitions for the amendment or repeal of a rule shall identify specifically which rule or rules are to be amended or repealed and state the petitioner's reasons for proposing the rule change;
  4. Petitions for a declaratory ruling shall identify all material facts and specify the statute, rule or order on which a declaratory ruling is sought;
  5. Each petition shall include the name and the address of the petitioner, and, if applicable, the name and address of the organization the petitioner represents; and
  6. Each petition shall include the date of the petition and shall be signed by the petitioner.
(b) If the petition is deficient and does not meet the minimum requirements of (a) above, the Commission shall notify the petitioner within 10 working days of the receipt of the incomplete petition.

(c) Notification pursuant to (b) above shall be in writing and:
  1. Identify the specific deficiencies; and
  2. Contain an explanation of how the petition can be corrected and allow the petitioner to amend the petition in accordance with the terms of the notification.
(d) A complete petition which meets the requirements of these rules shall be placed on the next available Commission agenda.
 
Source. #6564, eff 8-21-97, EXPIRED: 8-21-05

New. #8419-A, eff 8-23-05

PART Sw 212 EXPLANATION OF ADOPTED RULES

Sw 212.01 Petition for Explanation of Adopted Rules.

(a) Any interested person may, within 30 days of the final adoption of a rule, request a written explanation of that rule.

(b) Each petition shall be in legible written form and addressed to the executive director as follows:
Executive Director, Lottery Commission
14 Integra Drive
Concord, NH 03301
 
(c) Petitions for explanations of adopted rules shall contain the name and address of the individual making the request or, if the request is that of an organization or other entity, the name and address of such organization or entity and the name and address of the representative authorized by the organization or entity to make the request.
 
(d) The executive director shall, within 90 days of receiving a request, provide a written response which:
  1. Concisely states the meaning of the rule adopted;
  2. Concisely states the principal reasons for and against the adoption of the rule in its final form; and
  3. States, if the Commission did so, why the Commission overruled any arguments and considerations presented against the rule.
Source. #8419-A, eff 8-23-05

CHAPTER Sw 300 RULES FOR SALES AGENTS

Statutory Authority: RSA 284:21-I, V., (a)(5)

PART Sw 301 APPLICATION PROCEDURE

Sw 301.01 Required Information
Sw 301.02 Signatories to Application.

PART Sw 302 CRITERIA FOR REVIEWING APPLICATION

Sw 302.01 Review by Commission

PART Sw 303 DECISION

Sw 303.01 Decision on Application

PART Sw 304 HANDLING FUNDS

Sw 304.01 Weekly Transfers

PART Sw 301 APPLICATION PROCEDURE

Sw 301.01 Required Information.

Sw 301.01 Required Information. Each applicant wishing to become a sales agent of the Commission shall submit an application containing the following information:

(a) Name of natural person applying to become a sales agent;

(b) Whether the application is on behalf of a partnership or corporation;

(c) The name under which the agent is doing business, if other than the agent's own name, and whether this name has been registered with the secretary of state;

(d) Name of business or corporation, and the corporate or business street address, telephone number and tax identification number;

(e) Whether the applicant owns the property where the business is located, and if not, the name of the property owner, in order to determine wiring requirements for terminal installation; and

(f) Whether this location is currently selling Lottery tickets and has an instant ticket vending machine at the location.
 
Source. #83, eff 12-18-73; ss by #1542, eff 3-24-80; EXPIRED 3-24-86

New. #6551, eff 7-29-97; EXPIRED 7-29-05

New. #8435, INTERIM, eff 9-21-05, EXPIRED: 3-20-06

New. #8610, eff 4-15-06

Sw 301.02 Signatories to Application.

Sw 301.02 Signatories to Application. Each application shall be signed by the applicant and any partners of the applicant. Each signature shall be dated at the time of the signing.

Source. #83, eff 12-18-73; EXPIRED 12-18-79

New. #6551, eff 7-29-97, EXPIRED: 7-29-05

New. #8435, INTERIM, eff 9-21-05, EXPIRED: 3-20-06

New. #8610, eff 4-15-06

PART Sw 302 CRITERIA FOR REVIEWING APPLICATION

Sw 302.01 Review by Commission.

Each application filed under Sw 301.01 shall be reviewed by the Commission or the Commission's designee to determine:

(a) Whether the applicant has a good business record with the national credit bureau.

(b) A "good business record" means that the applicant has:
  1. Not filed for bankruptcy; and
  2. Made timely payments on all loans.
(c) Whether the applicant has complied with all the requirements of the Federal Internal Revenue Service;

(d) The number of years the applicant has been in business; and

(e) Whether the applicant, or any of the applicant's corporate or business partners, has been convicted of a crime under RSA 284:21-h, II(e).
 
Source. #83, eff 12-18-73; ss by #1598, eff 6-24-80; EXPIRED 6-24-86

New. #6551, eff 7-29-97, EXPIRED: 7-29-05

New. #8435, INTERIM, eff 9-21-05, EXPIRED: 3-20-06

New. #8610, eff 4-15-06

PART Sw 303 DECISION

Sw 303.01 Decision on Application.

The following shall apply to a decision by the Commission to grant or deny a completed application under Sw 301.01:

(a) The Commission, or designees appointed by the Commission under RSA 284:21-i, I, shall review the application and either grant or deny the application in writing within the time frames prescribed by RSA 541-A:29.

(b) A license shall be granted if the applicant:
  1. Has a good business record with a national credit bureau;
  2. Has complied with all the requirements of the Federal Internal Revenue Service;
  3. Has not been convicted of a crime under RSA 284:21-h, II(e); and
  4. Complies with ADA access requirements to allow a person to purchase a Lottery ticket.
(c) If the application is granted, the approved agent shall sign a written agreement stating that the agent shall comply with all the requirements of RSA 284:21-h, II(d) and all applicable Commission rules.

(d) If the application is denied, the Commission shall state the reason for denial.

(e) If the application is denied the applicant shall be informed in writing. The applicant may appeal in accordance with RSA 541-A and Sw 200 rules, provided that the request for appeal is filed within 30 days of the postmarked date on the written notice of denial.
 
Source. #83, eff 12-18-73; ss by #1542, eff 3-24-80; EXPIRED 3-24-86

New. #6551, eff 7-29-97, EXPIRED: 7-29-05

New. #8435, INTERIM, eff 9-21-05, EXPIRED: 3-20-06

New. #8610, eff 4-15-06

PART Sw 304 HANDLING FUNDS

Sw 304.01 Weekly Transfers.

Retailers shall electronically transfer on a weekly basis the funds due the Lottery Commission for tickets sold.

Source. #6551, eff 7-29-97

New. #8435, INTERIM, eff 9-21-05, EXPIRE: 3-20-06

New. #8610, eff 4-15-06

Chapter Sw 500 Rules for Prize Assignments


PART Sw 501 SCOPE

Sw 501.01 Scope

PART Sw 502 DEFINITION

Sw 502.01 Definition


PART Sw 503 ASSIGNABILITY OF WINNING TICKETS

Sw 503.01 Prize Payments
Sw 503.02 Prize as Collateral.
Sw 503.03 Filing Requirements.
Sw 503.04 Commission Obligations.
Sw 503.05 Confidentiality.
Sw 503.06 Suspension Due to Child Support.


PART Sw 501 SCOPE

Sw 501.01 Scope.

These rules shall apply to all prize assignments whether original, modifications or amendments.

Source. #7094, eff 9-15-99

PART Sw 502 DEFINITION

Sw 502.01 Definition.

The following definition shall apply for rules for assignments of prize winnings:

(a) "Commission" means the New Hampshire Lottery Commission®.
 
Source. #7094, eff 9-15-99


PART Sw 503 ASSIGNABILITY OF WINNING TICKETS

Sw 503.01 Prize Payments.

Payment of any prize may be made to a person other than the winner as follows:

(a) To the estate of a deceased prize winner upon receipt by the Commission of a certified court order appointing an executor or administrator.
 
(b) To any person pursuant to a certified final order of a court of competent jurisdiction, including orders pertaining to:
  1. Claims of ownership in the prize;
  2. Division of marital property in divorce actions;
  3. Bankruptcy;
  4. Child support;
  5. Appointment of a guardian or conservator; and
  6. Distribution of an estate.
(c) To any person, including a trustee, pursuant to a certified final order of a court of competent jurisdiction approving the voluntary assignment of the right to a prize provided that the court affirmatively finds all of the following:
  1. The assignor and the assignee are not represented by the same counsel;
  2. The assignment is in writing and represents the entire agreement between the parties;
  3. The assignment agreement contains the following provisions.
    1. The assignor's name, social security number or tax identification number and address;
    2. The assignee's name, social security number or tax identification number, citizenship or resident alien number, if applicable, and address;
    3. The specific prize payment or payment assigned, or any portion thereof, including:
      1. The payable due dates and amounts of each payment to be assigned; and
      2. The gross amount of the annual payment or payments to be assigned before taxes; and
    4. A notice of right to cancel in immediate proximity to the space reserved for the signature of the assignor in bold face type of a minimum size of 10 points which shall provide that:
      1. The assignor may cancel the assignment without cost until midnight of the fifteenth business day after the day on which the assignor has signed an agreement to assign a prize or portion of a prize;
      2. Cancellation occurs when notice of cancellation is given to the assignee;
      3. Notice is sufficient if it indicates the intention of the assignor not to be bound; and
      4. Notice of cancellation, if given by mail, shall be deemed given when deposited in a mailbox properly addressed and first class mail postage prepaid.
  4. Prior to execution of the assignment agreement, the assignee has provided to the assignor in writing, on a disclosure form separate and apart from the agreement, the following:
    1. The aggregate dollar value of payments assigned;
    2. The total consideration paid to the assignor by the assignee; and
    3. An itemization of all other fees or costs to be paid by the assignor, or deducted from the payment to the assignor;
  5. The assignor has represented to the court in, sworn testimony, if a personal appearance is required by the court, or in the assignor's written affidavit, sworn to under penalty of perjury, that:
    1. Prior to signing the assignment agreement, the assignor reviewed the agreement and understood its terms and effects;
    2. The assignor has consulted with independent financial and tax advisors not referred by or associated with the assignee;
    3. The assignor has signed the assignment agreement acting under free will without undue influence or duress;
    4. The assignor is not under any obligation to pay child support, or is under such obligation and is in good standing with respect to that obligation or has agreed to a payment plan with the state agency responsible for child support and in full compliance with that plan; and
    5. The assigned payment or payments are not subject to any claims, liens, levies, security interests, assignments, or offsets asserted by other persons or the state or has provided the court with written consent of each person having such an interest; and
  6. If the assignor is married, the assignor has submitted to the court a signed and notarized statement of the spouse consenting to the assignment.
    1. Failure to provide the notice of right to cancel as provided in (c)(3)d., above, shall render the assignment agreement unenforceable.
Source. #7094, eff 9-15-99


Sw 503.02 Prize as Collateral.

(a) A winner may pledge all or any part of a prize as collateral for a loan. Perfection of a security interest in a prize shall be completed by filing with the Commission, in addition to any other filings which shall be required, a Standard Uniform Commercial Code Financing Statement containing the information required by RSA 382-A:9-402.

(b) In order to be entitled to receive a prize payment or payments from the Commission, a secured party shall obtain a certified final order of a court of competent jurisdiction which:
  1. Adjudges the prize winner in default of a loan agreement with the secured party;
  2. Makes findings with respect to the loan agreements and financing statements constituting the loan transaction which are equivalent to those required pursuant to Sw 503.01(c) and, in addition, a finding that truth-in-lending disclosures set forth in 12 CFR 226.17, 226.18, 226.19 and 226.20 were made; and
  3. Identifies specific payments and awards ownership of such payments to the secured party.
(c) Nothing in this section shall be construed to:
  1. Create or enlarge a cause of action in favor of a secured party; or
  2. Alter or impair any rule of law applicable to or governing the rights of a debtor under federal or state lending statutes.
Source. #7094, eff 9-15-99


Sw 503.03 Filing Requirements.

A certified copy of the final order required by Sw 503.01 and Sw 503.02 and the assignor's affidavit shall be served by the assignor on the Commission.

Source. #7094, eff 9-15-99


Sw 503.04 Commission Obligations.

Commencing on the thirtieth day after full compliance with Sw 503.01 and Sw 503.02, or after final determination of any motion filed to vacate or modify a final order, the Commission shall be obligated to make payments, subject to tax withholding, in accordance with such order.

Source. #7094, eff 9-15-99


Sw 503.05 Confidentiality.
Any records resulting from an assignment under this section shall be exempt from disclosure providing such records are of the types specified in RSA 91-A:5. Upon written request, the Commission shall release the name, town or residence, date of prize, and the gross and net amounts of the annual prize payment of a winner. Financing statements filed with the Commission shall be public records.

Source. #7094, eff 9-15-99


Sw 503.06 Suspension Due to Child Support.

Upon receipt of notice, the Commission shall suspend payment of winnings in the amount of the child support debt or arrearage and notify the winner. Child support debts and arrearages of a winner shall be offset by the Commission in the manner required by RSA 284:21-v to offset such debts and arrearages.

Source. #7094, eff 9-15-99

NEW HAMPSHIRE CODE OF ADMINISTRATIVE RULES
CHAPTER Sw 600 RULES FOR PRIZE CLAIMS

Statutory Authority: RSA 541-A:16, I(b)

PART Sw 601 DEFINITIONS

Sw 601.01 Definitions

PART Sw 602 PRIZE CLAIMS

Sw 602.01 Payments
Sw 602.02 Identification.
Sw 602.03 Social Security Number Verification.
Sw 602.04 Claim Period.

PART Sw 601 DEFINITIONS

Sw 601.01 Definitions.

The following definitions shall apply for all prize claims:

(a) “Agent” means a sales outlet authorized to sell Lottery tickets.

(b) “Commission” means the New Hampshire Lottery Commission®.
 
Source. #7167, eff 12-21-99; ss by #8365, eff 6-2-05

PART Sw 602 PRIZE CLAIMS

Sw 602.01 Payments.

(a) No prize shall be paid without the physical possession of a winning ticket or a valid subscription recorded in the Lottery's central computer system.

(b) Each Lottery ticket, whether instant or on-line, shall be a bearer instrument until such time as a signature is placed in the designated area on the back of the ticket.

(c) When a player has a winning ticket, he/she shall complete the reverse side of the ticket with his/her name, address and signature.

(d) Prizes, not to exceed $599, shall be paid by any:
  1. Participating Lottery sales agent;
  2. State liquor store; or
  3. Lottery Commission headquarters.
(e) Prizes exceeding $599, shall be claimed at the Lottery Commission headquarters only.

(f) The claimant shall complete a winner claim form with the following:
  1. Name;
  2. Address;
  3. Telephone number;
  4. Social security number; and
  5. Claimant signature and date.
(g) The Commission shall prepare a prize check and a federal W2-G, Certain Gambling Winnings, form which shall be signed by the winner. Pursuant to Internal Revenue Code Section 3402(q)(1) and the Economic Growth and Tax Relief Reconciliation Act of 2001, Sec. 101 (a), Table 7, prizes exceeding $5,000 shall be subject to applicable federal income tax withholding.
 
Source. #7167, eff 12-21-99; amd by #7705, eff 6-8-02; ss by #8365,

eff 6-2-05

Sw 602.02 Identification.
(a) At the time a claim of over $599 is made, the claimant shall furnish any of the following documentation to the Commission for purposes of identification:
  1. A motor vehicle driver's license issued by the state of New Hampshire, or a valid driver's license issued by another state, or province of Canada, which bears the name, address and date of birth of the licensee;
  2. An identification card issued by the director of motor vehicles under the provisions of RSA 260:21, or any picture identification card issued by another state which bears the name, address and date of birth of the individual;
  3. An armed services identification card; or
  4. A valid passport from the United States or from a country with whom the United States maintains diplomatic relations.
(b) Photographic identification presented under this section shall be consistent with the appearance of the person, shall not be expired, and shall be correct and free of alteration, erasure, blemish, or other impairment.

(c) If the claimant is under the age of 16, and does not have photographic identification, the claimant shall present a valid social security card for verification by the Commission.

(d) If the claimant is a trust, the individual named as trustee shall furnish photographic identification to the Commission at the time of the claim. Acceptable forms of identification shall be those documents listed in Sw 602.02(a).

(e) If the claim is being filed by another individual on behalf of the claimant, the claimant's original picture identification or a photostatic copy of the claimant's picture identification as well as the filing individual's original picture identification shall be presented to the Commission at the time of the claim.
 
Source. #7167, eff 12-21-99; ss by #8365, eff 6-2-05

Sw 602.03 Social Security Number Verification.

(a) At the time a claim over $599 is made, the claimant shall furnish positive proof of their social security number as reported on the claim form, to comply with the following:
  1. IRC 3402(q)(1) requires the reporting and withholding, if appropriate, on any winnings reported; and
  2. Per IRC 3406(a), if social security number is not furnished per proper reporting on withholding, a back up withholding shall be withheld.
(b) Acceptable forms of positive proof shall include, but not be limited to:
  1. Original signed social security card issued by Social Security Administration;
  2. Valid driver's license in which the claimant's social security number is printed; or
  3. Original and recent, within 30 days, paycheck stub in which the claimant's social security number is printed.
(c) If the claimant provides original documentation, other than what is stated above, with their social security number printed, the Commission shall accept the documentation if it is determined to be a genuine document and is valid. If the validity is questionable or cannot be determined, the Commission shall then request an acceptable form as stated above in Sw 602.03(b).
 
(d) Failure to provide positive proof of the claimant's social security number shall result in the claimant being required to sign, under penalties of perjury, a Form W-9, Request for Taxpayer Identification and Certification.
 
Source. #7376, eff 10-13-00; ss by #8365, eff 6-2-05

Sw 602.04 Claim Period.

All Lottery prizes shall be claimed prior to the expiration of one year from the termination of the game for scratch tickets pursuant to Sw 1004 or for one year from the drawing date for on-line games. Any prize not claimed within the one year period shall be forfeited.

Chapter Sw 900 Rules for New Hampshire Lottery Intercept

Statutory Authority: RSA 284:21-v

TABLE OF CONTENTS


PART Sw 901 NEW HAMPSHIRE LOTTERY INTERCEPT

Sw 901.01 Definitions


PART Sw 902 LOTTERY INTERCEPT PROCEDURES

Sw 902.01 Procedure
Sw 902.02 Non-Cash Prizes.
Sw 902.03 Disclosure.

PART Sw 901 NEW HAMPSHIRE LOTTERY INTERCEPT

Sw 901.01  Definitions.

(a)  "Commission" means the New Hampshire lottery commission.

(b)  "Director" means the administrative head appointed by the commission under the authority of RSA 284:21-i, I, to act on their behalf in the daily decision-making process.
 
Source.  #1548, eff 3-17-80, EXPIRED:  1-1-83

New.  #6401, eff 12-14-96; ss and moved by #7413, eff
12-8-00 (from Sw 9000), EXPIRED: 12-8-08

New.  #9344, eff 12-10-08

PART Sw 902  LOTTERY INTERCEPT PROCEDURES

Sw 902.01 Procedure.

(a)  Pursuant to RSA 284:21-v, the claimant of any lottery prize, subject to Federal Tax Form W-2G reporting requirements, shall be identified as to whether a child support arrearage is owed.

(b)  The commission shall verify through the department of health and human services, division of child support services (DCSS), the amount, if any, of the child support arrearage owed.

(c)  The commission shall notify the claimant via Form w742, "Notice of Intercept of Lottery Winnings for Child Support" that all or a portion of their lottery prize shall be paid to DCSS in satisfaction of past due child support.  Non-cash prizes shall be paid in accordance with the provisions set forth in Sw 902.02.

(d)  The director or his/her designee along with one other employee of the commission shall together, personally inform the claimant of the intercept.

(e)  If the claimant disputes the intercept of the lottery prize, he/she shall be referred to the DCSS for information regarding an appeal.
 
Source.  #1548, eff 3-17-80, EXPIRED: 1-1-83

New.  #6401, eff 12-14-96; ss and moved by #7413, eff
12-8-00 (from Sw 9000), EXPIRED: 12-8-08

New.  #9344, eff 12-10-08

Sw 902.02 Non-Cash Prizes.
(a)  In the event that the claimant of a non-cash prize is identified as having a child support arrearage and the claimant does not contest owing such arrearage, the commission shall, at the request of the claimant:
  1. Retain the prize for up to 5 business days, commencing with the date of the claim, to afford the claimant the opportunity to satisfy any arrearage, or
  2. Convert the prize to cash and remit to DCSS, the arrearage amount owed up to the cash value paid by the commission, and remit the remaining cash balance to the claimant, if any.
(b)  The DCSS shall send official notification to the commission, via fax or other expedient method on Form 743, "Confirmation of Child Support Arrearages" from the DCSS stating that the arrearage has been satisfied prior to releasing the non-cash prize.

(c)  The director shall waive the deadline of 5 business days for good cause shown by the claimant.  In no event shall the commission retain the non-cash prize for more than 30 days.  Good cause shall be considered when the claimant can demonstrate, through documentation, that due to circumstances beyond his or her control, he or she will be able to satisfy the arrearage at a specified date within the 30 day time frame.

(d)  In the event that the claimant disputes owing a child support arrearage, the commission shall immediately convert the prize to cash and remit to DCSS the arrearage amount owned up to the cash value of the prize and remit the remaining balance to the claimant, if any.  The commission shall refer the claimant to the DCSS for information regarding an appeal.

Source.  #7413, eff 12-8-00, EXPIRED: 12-8-08

New.  #9344, eff 12-10-08

Sw 902.03 Disclosure.
(a)  No person or organization, other than DCSS, shall be granted access to any personally identifiable information regarding any claimant obtained by the lottery intercept program, except as permitted by law or rule.

(b)  The commission shall restrict access to the DCSS database to only authorized claims personnel and shall advise all personnel having access as to the confidential nature of this data pursuant to RSA 161-B:7, III.
 
Source.  #7413, eff 12-8-00, EXPIRED: 12-8-08

New.  #9344, eff 12-10-08

APPENDIX

Provision of the Proposed rule Specific State Statute which the Rule is Intended to Implement
   
Sw 900 RSA 284:21-v
   
 

CHAPTER Sw 5000 RULES OF MULTI-STATE LOTTERY ASSOCIATION GAMES


PART Sw 5001 MULTI-STATE LOTTERY ASSOCIATION GAMES

Statutory Authority:  2009, RSA 284:21-i, VI and 96; RSA 541-A:16, I(b)  

Sw 5001.01 Definitions.
Sw 5001.02 Ticket Characteristics, Purchase and Restrictions.
Sw 5001.03 Validation Requirements.
Sw 5001.04 Ineligible Tickets.
Sw 5001.05 Prize Payments.
Sw 5001.06 Payment Election Review.
Sw 5001.07 Jackpot Assignments.
Sw 5001.08 Original Subscriptions Purchased By Mail, Internet or Phone.
Sw 5001.09 Renewal Subscriptions.
Sw 5001.10 Original Subscriptions Purchased Through A Lottery Retailer.

Adopt Chapter Sw 5000 to read as follows:

Sw 5001.01  Definitions.

The following definitions shall apply for the New Hampshire multi-state lottery association games:
(a)  “Retailer” means an authorized sales outlet, authorized to sell lottery tickets;

(b)  “Annuity option” means an election of the player indicating payments from their jackpot share is to be made on an annuitized basis over a period of years;

(c)  “Bet” means a combination of different numbers which appear on a ticket as a single lettered selection;

(d)  “Bet slip” means a pre-printed piece of paper which contains play panels with sets of numbered squares between to be marked by the player;

(e)  “Commission” means the New Hampshire lottery commission;

(f)  “Designated number” means a pre-determined number specified by the multi-state lottery association (MUSL)   that identifies the highest number available to be chosen in one or more sets of the bet slip;

(g)  “Director” means the administrative head appointed by the New Hampshire lottery commission to act on their behalf in the daily decision making process;

(h)  “Drawing” means the process used to randomly select different numbers to determine the winning combination for a particular date;

(i)  “Easy pick” means an on-line ticket with a selection of numbers randomly selected by a lottery on-line sales terminal;

(j)  “Jackpot share” means the jackpot prize pool divided by the number of jackpot winning plays;

(k)  “Multi-state lottery game” means an on-line terminal lottery game offered for sale by the lottery commission;

(l)  “On-line terminal” means a computer device authorized by the commission to function in an interactive mode with a central computer system, for the purpose of issuing lottery tickets and entering, receiving and processing lottery transactions;

(m)  “Pari-mutuel means the calculated prize amount for a prize category by dividing the amount of winning plays for the prize category into the amount of prize money available for the prize category;

(n)  “Party states” means all member states of MUSL;

(o)  “Subscription” means a multi-state lottery game bet recorded on the commission's central computer system for a specified range of draw dates;

(p)  “Ticket” means a slip of paper produced by an on-line terminal acknowledging the recording of a legal transaction between the commission and the recipient for a certain date;

(q)  “Winning numbers” means randomly selected numbers to determine the winning plays on a specific draw date; and

(r)  “Multiplier option” means a single multi-state lottery game play for which the player shall pay an extra cost for the option and which shall multiply, by a number selected during the drawing, the value of applicable prizes
Source.#9698, eff 4-24-10
 
Sw 5001.02  Ticket Characteristics, Purchase and Restrictions.
 
(a)  To purchase a multi-state lottery game or subscription, an individual shall be 18 years of age or older. An individual under the age of 18 years of age may be the recipient of a multi-state lottery game ticket or subscription, and may redeem the ticket.

(b)  Once a ticket has been produced for the player, it shall be the sole responsibility of the player to verify that the following are correct:
  1. Desired draw date;
  2. The player chosen numbers;
  3. The dollar amount wagered;
  4. The number of draws desired;
  5. The ticket contains the appropriate multi-state lottery game name;
  6. The ticket contains the caption “New Hampshire Lottery”; and
  7. The ticket contains the affirmative caption if the player chose the multiplier option.
(c)  A multi-state lottery game ticket shall not be canceled.

(d)  A bet placed for a drawing which has already occurred shall be void.

(e)  The price of a game play shall be determined by MUSL.

(f)  Tickets shall be purchased only through authorized retailers.

(g)  A multi-state lottery game ticket shall be a bearer instrument until such time as a signature is placed in the designated area on the back of the ticket.

(h)  No prize shall be paid without the physical possession of a winning ticket or to an unregistered or invalid subscriber.

(i)  The director shall make payment as directed by the person(s)   whose signature(s)   appear on the back of the ticket.

(j)  When a prize is disputed, the commission in concert with MUSL, shall determine the winner.

(k)  The commission shall not be responsible for lost or stolen tickets prior to their redemption.

(l)  The commission shall not replace lost or stolen tickets prior to their redemption.

(m)  In the event a bet is not accepted and confirmed by the central computer system, the liability of the commission and its agent shall be limited to a refund of the amount wagered.
 
Source.#9698, eff 4-24-10

Sw 5001.03  Validation Requirements.

(a)  A winning ticket shall be eligible to receive a prize if the following are true:
  1. The winning ticket was issued from an on-line terminal by an authorized lottery retailer;
  2. The winning ticket information was recorded in the central computer system at least 59 minutes prior to the drawing;
  3. All information appearing on the winning ticket corresponds precisely with the commission's computer record;
  4. The validation number and bar code appears in its entirety;
  5. The winning ticket is intact, fully legible and corresponds to the art work on file at the commission;
  6. The ticket is not defectively printed, fuzzy, unreadable, blank or partially blank, or defective; and
  7. The ticket is not counterfeit in whole or in part, altered, reconstructed, tampered with in any manner, stolen or misregistered.
Source.#9698, eff 4-24-10


Sw 5001.04  Ineligible Tickets.

If a ticket does not meet the requirements of Sw 5001.03, the ticket shall be deemed void and ineligible for any prize.

Source.#9698, eff 4-24-10


Sw 5001.05  Prize Payments.

(a)  Claims for payment of a winning multi-state lottery game ticket or subscription shall be made in accordance with the requirements set forth in Sw 600.

(b)  Claims submitted to the commission shall be subject to validation.

(c)  The first annuitized jackpot share shall be made not less than 15 calendar days following the claim.
 
Source.#9698, eff 4-24-10


Sw 5001.06  Payment Election Review.

A winner of an annuity option shall have the opportunity to review the election prior to the final claim being made subject to the following:

(a)  The winner shall have 60 days from the date a claim is filed to change the election from annuity to a lump sum cash payment;

(b)  The winner shall sign a statement furnished by the commission indicating their final election, either annuity or cash payment;

(c)  The winner shall be under no obligation to accept the cash payment; and

(d)  The winner shall not be allowed to revoke, withdraw or otherwise change their final election.
 
Source.#9698, eff 4-24-10


Sw 5001.07  Jackpot Assignments.

Payment of a prize may be made to a person other than the winner pursuant to the requirements of Sw 500.

Source.#9698, eff 4-24-10


Sw 5001.08  Original Subscriptions Purchased By Mail, Internet or Phone.

(a)  To play by subscription, a player shall provide the commission with the following information:
  1. Choice of numbers from a designated field;
  2. Name;
  3. A New Hampshire mailing address;
  4. Home telephone number;
  5. Work telephone number, if applicable;
  6. A gift message, if applicable;
  7. The number of draws the subscription shall be valid;
  8. Affirmation of age eligibility; and
  9. Payment method.
(b)  If the subscriber selects payment for subscription by check, the check shall be payable to the New Hampshire Lottery Commission and attached to the subscription application form.

(c)  If the player selects payment for the subscription by credit card, the player shall provide the commission with the following information:
  1. Credit card number;
  2. Credit card expiration date;
  3. Cardholder's name;
  4. Cardholder's address;
  5. Cardholder's home telephone number;
  6. Cardholder's work telephone number, if applicable; and
  7. Cardholder's signature, if the credit card information is submitted on a subscription form.
(d)  The completed subscription form shall be forwarded to the commission headquarters for processing.
 
(e)  Upon receipt of the subscription application, the commission shall enter the subscriber's information into a lottery approved subscription database program.

(f)  The database program shall assign the next available effective draw date for the subscription, as determined by MUSL.

(g)  The database program shall assign the following identification numbers to the subscription:
  1. Subscriber number; and
  2. Subscription number.
(h)  The commission shall assign the following identification numbers to the subscription:
  1. Batch number; and
  2. Sequence or certificate number.
(i)  The commission shall print a subscription confirmation card listing the following information:
  1. Subscriber name;
  2. Subscriber address;
  3. Multi-state lottery game numbers;
  4. Day, month and year the subscription is effective;
  5. Day, month and year the subscription expires;
  6. A gift message, if applicable;
  7. Subscription number;
  8. Batch number;
  9. Sequence or certificate number; and
  10. Multi-state lottery game name.
(j)  The commission shall forward a subscription confirmation card to the subscriber.
 
(k)  It shall be the sole responsibility of the player to verify that the following are correct:
  1. Subscriber name;
  2. Subscriber address;
  3. Subscriber chosen multi-state lottery game numbers;
  4. Subscription play length; and
  5. Effective and expiration dates.
(l)  It shall be the sole responsibility of the subscriber to notify the commission of incorrect data on the confirmation card prior to the effective date of the subscription.

(m)  A subscription application form shall have no pecuniary or prize value and shall not constitute evidence of ticket purchase or of numbers selected.

(n)  Once a subscription play is registered with the commission, the registration shall constitute the only acceptable evidence of play for the subscriber.

(o)  A subscription shall not become effective until the effective date listed on the confirmation card, which shall match the effective date listed in the party lottery's subscription database.

(p)  Any changes to a subscriber's name or address shall be requested in writing by the subscriber and include the previous name and address. Name and address changes shall require a notarized letter from the subscriber.

(q)  There shall be no changes to the subscriber's numbers during the effective dates of the subscription unless authorized by the commission as a result of and prior to the implementation of a game change.

(r)  Prizes shall be paid, by check or by expiration date extensions.

(s)  Prize checks shall be made payable to the subscription name(s)   as recorded in the commission's central computer system.

(t)  Subscriptions, once in effect, cannot be cancelled in whole or in part unless authorized by the commission as a result of and prior to the implementation of a game change.
 
Source.#9698, eff 4-24-10


Sw 5001.09  Renewal Subscriptions.

(a)  Subscription renewal forms shall be forwarded to the subscriber by the commission prior to the subscription's expiration date.

(b)  Out-of-state residents shall telephone the commission to renew, by credit card, their original subscriptions purchased in New Hampshire and shall not purchase additional subscriptions.

(c)  An out-of-state resident from a state that does not have a state lottery shall not renew his or her subscription.

(d)  The subscription renewal form shall contain the following information:
  1. Subscriber's name;
  2. Subscriber's address;
  3. Multi-state lottery game numbers;
  4. Subscriber number;
  5. Subscription number;
  6. Expiration date including free play extensions;
  7. Multi-state lottery game name.
(e)  If the subscriber elects to continue a subscription, the subscriber shall provide the commission with the following information:
  1. Subscription play length;
  2. Change of address, if applicable;
  3. Payment method; and
  4. A change of multi-state lottery game numbers, if applicable.
(f)  If the subscriber selects payment for the subscription by credit card, the following shall be provided to the commission:
  1. Credit card number;
  2. Credit card expiration date;
  3. Cardholder's name;
  4. Cardholder's address;
  5. Cardholder's home telephone number;
  6. Cardholder's work telephone number, if applicable; and
  7. Cardholder's signature, if the credit card information is submitted on a subscription form.
(g)  If the subscriber selects payment for subscription by check, the check shall be payable to the New Hampshire Lottery Commission and attached to the subscription renewal form.

(h)  The completed subscription renewal form shall be forwarded to the commission headquarters for processing.

(i)  Upon receipt of the subscription renewal form, the commission shall enter the subscriber's information into a lottery approved subscription database program.

(j)  The database program shall assign the next available effective draw date for the subscription, as determined by MUSL.

(k)  The database program shall assign a subscription number to the subscription.
 
(l)  The commission shall assign the following identification numbers to the subscription:
  1. Batch number; and
  2. Sequence or certificate number.
(m)  The commission shall print a subscription confirmation card listing the following information:
  1. Subscriber name;
  2. Subscriber address;
  3. Multi-state lottery game numbers;
  4. Day, month and year the subscription is effective;
  5. Day, month and year the subscription expires;
  6. A gift message, if applicable;
  7. Subscription number;
  8. Batch number;
  9. Sequence or certificate number; and
  10. Multi-state lottery game name.
(n)  The commission shall forward a subscription confirmation card to the subscriber.
 
Source.#9698, eff 4-24-10


Sw 5001.10  Original Subscriptions Purchased Through A Lottery Retailer.

(a)  To play by subscription, a player shall provide the retailer with the following information:
  1. Name of multi-state lottery game;
  2. Choice of numbers from a designated field or have the computer choose the numbers;
  3. The number of draws the subscription shall be valid; and
  4. Choice of the multiplier option, if applicable.
(b)  The retailer shall enter the player provided information in to a lottery sales terminal.

(c)  After the transaction has been completed, the lottery sales terminal shall produce a player receipt and a registration form.
 
(d)  The sales receipt shall contain the following information:
  1. The date of purchase;
  2. The multi-state lottery game name;
  3. The multi-state lottery numbers selected;
  4. An affirmative caption if the player chose the multiplier option;
  5. The starting draw date; and
  6. The value of purchase.
(e)  The registration form shall contain the following information:
  1. A field for the player to add their first and last name;
  2. A field for the player to add their mailing address;
  3. A field for the player to add their phone number;
  4. The date of purchase:
  5. The multi-state lottery game name;
  6. An affirmative caption if the player chose the multiplier option;
  7. The starting drawing date;
  8. The value of purchase;
  9. The number of drawings; and
  10. A unique identifying number assigned to the subscription.
(f)  The player shall complete the original registration form and forward it to the commission headquarters for processing.

(g)  Upon receipt of the registration form, the commission shall enter the subscriber's information into a lottery approved subscription database program.

(h)  The starting date of the subscription shall correspond to the starting date assigned by the lottery's computer system at time of purchase.
 
(i)  The database program shall assign a subscriber number to the subscription:

(j)  The commission shall assign the following identification numbers to the subscription:
  1. Batch number; and
  2. Sequence or certificate number.
(k)  The commission shall print a subscription confirmation card listing the following information:
  1. Subscriber name;
  2. Subscriber address;
  3. Multi-state lottery game numbers;
  4. Day, month and year the subscription is effective;
  5. Day, month and year the subscription expires;
  6. A gift message, if applicable;
  7. Subscription number;
  8. Batch number;
  9. Sequence or certificate number; and
  10. Multi-state lottery game name.
(l)  The commission shall forward a subscription confirmation card to the subscriber.
 
(m)  It shall be the sole responsibility of the player to verify that the following are correct:
  1. Subscriber name;
  2. Subscriber address;
  3. Subscriber chosen multi-state lottery game number;
  4. Subscription play length; and
  5. Effective and expiration dates.
(n)  It shall be the sole responsibility of the subscriber to notify the commission of incorrect data on the confirmation card prior to the effective date of the subscription.

(o)  A subscription sales receipt and registration form shall have no pecuniary or prize value.

(p)  A subscription sales receipt shall be considered evidence of ticket purchase and shall not be considered ownership of a subscription.

(q)  The original subscription registration form shall be the only form accepted as evidence of ownership.

(r)  The commission shall not be responsible for a lost, stolen or mutilated registration form.

(s)  Once a subscription play is registered with the commission, the registration shall constitute the only acceptable evidence of play for the subscriber.

(t)  A subscription shall not become effective until the effective date listed on the registration form and its corresponding confirmation card, which shall match the effective date listed in the party lottery's subscription database.

(u)  Any changes to a subscriber's name or address shall be requested in writing by the subscriber and include the previous name and address. Name and address changes shall require a notarized letter from the subscriber.

(v)   There shall be no changes to the subscriber's numbers during the effective dates of the subscription unless authorized by the commission as a result of and prior to the implementation of a game change.

(w)  Prizes shall be paid by check or by expiration date extensions.

(x)  Prize checks shall be made payable to the subscription name(s) as recorded in the commission's central computer system.

(y)   If the commission does not receive or enter a player's registration form prior to the subscription's effective date, the subscription shall start on the date assigned at time of purchase and any prize(s) won and payable by check shall be mailed to the player after the commission processes the registration form.

(z)  A player shall forfeit any prize won on a subscription if the registration form is not received by the commission within one year from the date won.
 
(aa)  Subscriptions, once in effect, shall not be cancelled in whole or in part unless authorized by the commission as a result of and prior to the implementation of a game change.
 
Source.#9698, eff 4-24-10

APPENDIX

Rule Specific State or Federal Statutes or Regulations which the Rule Implements
Sw 5001.01
RSA 284:21-h, I(d)   and RSA 541-A:16, I(b)
Sw 5001.02 RSA 541-A:16, I(b)  , RSA 284:21-h, I(d)   and RSA 284:21-i, I-III
Sw 5001.03 RSA 284:21-h, I(d)   and RSA 541-A:16, I(b)
Sw 5001.04 RSA 284:21-h, I(d)   and RSA 541-A:16, I(b)
Sw 5001.05 RSA 541-A:16, I(b)
Sw 5001.06 Federal Statutory Authority: Internal Revenue Code, Subtitle A, Chapter 1, Subchapter E, Part II, Subpart B, Sec. 451 and Act Sec 5501
Sw 5001.07 RSA 284:21-I, II (c)  (4)
Sw 5001.08  RSA 284:21-h, I(d)  , RSA 541-A:16, I(b)
Sw 5001.09 RSA 284:21-h, I(d)  , RSA 541-A:16, I(b)
Sw 5001.10 RSA 284:21-q
   

CHAPTER SW 6000 RULES OF SECOND CHANCE DRAWINGS


PART Sw 6001 SECOND CHANCE DRAWINGS

Statutory Authority: RSA 284:21-i, II (a)

Sw 6001.01  Definitions
Sw 6001.02  Valid Entry Characteristics
Sw 6001.03  Invalid Ticket or Form
Sw 6001.04  Drawing Entry Deadlines
Sw 6001.05  Drawing Procedures
Sw 6001.06  Prize Awards


Sw 6001.01 Definitions

The following definitions shall apply for the second chance drawing rules:

(a)  “Eligible” means as authorized by the New Hampshire lottery commission (NHLC).

(b)  “Instant scratch game” means a lottery ticket sold by a NHLC licensed retailer that requires the player to remove a covering to reveal the play symbols to determine if the ticket is a prize winner in accordance with game instructions.

(c)  “On-line game” means a lottery game sold through and printed by a NHLC sales terminal.

(d)  “Player” means an individual who participates in a drawing by submitting a designated entry form, ticket, or identifying number(s) from an eligible ticket

(e)  “Point” means a non-monetary numerical value assigned by the lottery to a player in exchange for the entry of an eligible non-winning lottery ticket.

(f)  “Random number generator” means a computer software program that selects a number from within a pre-designated range through a process of selection in which each number has an equal probability of being chosen.
 
Source.  #4978, eff 11-14-90; EXPIRED 11-14-96
New.  #6452, INTERIM, eff 2-14-97, EXPIRED: 6-14-97
New.  #6528, eff 6-27-97, rpld by #7404, eff 11-15-00<
New.  #9166, eff 5-31-08

Sw 6001.02  Valid Entry Characteristics.

All entries for a second chance drawing shall meet at least one of the following characteristics as designated by the NHLC:

(a)  An instant game ticket shall meet the requirements set forth in Sw 1002.01 and Sw 1002.02;

(b)  An on-line game ticket shall meet the requirements set forth in the rules for the game eligible for the drawing;

(c)  An entry form, other than an instant game or on-line game ticket, as designated by the NHLC as eligible for a drawing; or

(d)  A point value as designated by the NHLC submitted by a player through an authorized method.
 
Source.  #4978, eff 11-14-90; EXPIRED 11-14-96
New.  #6452, INTERIM, eff 2-14-97, EXPIRED: 6-14-97
New.  #6528, eff 6-27-97, rpld by #7404, eff 11-15-00
New.  #9166, eff 5-31-08


Sw 6001.03  Invalid Ticket or Form

Any ticket, entry form or point value which does not meet the drawing entry requirements designated by the NHLC shall be considered invalid for the drawing and shall not be eligible for any prize from that drawing.

Source.  #4978, eff 11-14-90; EXPIRED 11-14-96
New.  #6452, INTERIM, eff 2-14-97, EXPIRED: 6-14-97
New.  #6528, eff 6-27-97, rpld by #7404, eff 11-15-00
New.  #9166, eff 5-31-08


Sw 6001.04  Drawing Entry Deadlines.

An entry ticket, form or point value shall be received by the deadline date and time as designated by the NHLC. An entry ticket, form or point value received after the drawing’s deadline shall be considered invalid and ineligible for any prize from that drawing.

Source.  #6528, eff 6-27-97, rpld by #7404, eff 11-15-00
New.  #9166, eff 5-31-08


Sw 6001.05  Drawing Procedures.

(a)  Drawings shall be conducted in a public accessible place.

(b)  Drawings shall be video recorded and the recording shall be securely stored for one year from the date of drawing.

(c)  Prior to the start of a drawing the following information shall be announced by the draw supervisor:
  1. The name of the lottery personnel assisting with the drawing;
  2. Date and time of the announcement; and
  3. A summary of the prize(s) to be awarded during the drawing.
(d)  The following procedures shall be used in the event that the drawing entries are physically selected from a container:
  1. If possible, the container shall be rotated at least 3 times before selecting an entry;
  2. A member of the public shall select an entry or entries from the container;
  3. In the event that a member of the public is not available, a lottery staff person who is not assisting with the drawing shall select an entry or entries;
  4. Any person selecting an entry shall first complete an attendance sheet listing their name and address, and shall announce their name for video recording purposes;
  5. Any person selecting an entry shall first be checked by lottery staff to ensure that there is nothing held in their hands and that their shirt sleeves, if applicable, do not extend below their elbow;
  6. Any person selecting an entry shall have the front and back of their hands video recorded immediately prior to them entering the container to select an entry;
  7. The drawing supervisor shall announce the prize to be awarded prior to the selection of an entry;
  8. Any person selecting an entry shall not look in to the container when selecting an entry and shall, instead, look at a spot designated by lottery staff;
  9. Each selected entry shall be immediately given to the lottery draw supervisor who will review the entry to ensure its validity;
  10. The draw supervisor shall announce the following information for each valid selected entry:
    1. The prize awarded; and
    2. The name and address listed on the entry;
  11. The draw supervisor shall announce the following information for each invalid selected entry:
    1. The reason why the entry is considered invalid; and
    2. The name and address listed on the entry;
  12. In the event an entry is considered invalid, the prize shall be awarded to the next selected valid entry;
  13. In the event that 2 or more entries are selected at the same time, the draw supervisor shall:
    1. Count and announce the number of multiple entries selected;
    2. Place all multiple entries back in to the container;
    3. If possible, rotate the container at least 3 times; and
    4. Have another entry selected;
  14. Following the selection of the final valid entry, 5 additional entries shall be selected and designated as alternate entries to be used in the event an entry or entries are later determined to be invalid.
  15. If needed alternate entries shall be used in the order selected;
  16. If a selected entry is determined by the NHLC to be ineligible to receive a prize, the next available alternate entry shall be awarded the prize which would have been awarded to the ineligible entry; and
  17. The draw supervisor shall announce the completion of the drawing following the selection of the final valid entry.
(e)  The following procedures shall be used in the event that the drawing entries are selected by a computer:
  1. All winning entries shall be randomly selected through the use of an independently certified random number generator algorithm;
  2. The drawing supervisor shall announce the prize to be awarded prior to the selection of an entry;
  3. The drawing supervisor shall enter the required password(s) and initiate the computer selection process;
  4. The draw supervisor shall announce the name and address from the selected entry;
  5. The draw supervisor shall announce the name and address from the selected alternate entries;
  6. If a selected entry is determined by the NHLC to be ineligible to receive a prize, the next available alternate entry shall be awarded the prize which would have been awarded to the ineligible entry; and
  7. The draw supervisor shall announce the completion of the drawing following the selection of the final entry.
Source.  #6528, eff 6-27-97, rpld by #7404, eff 11-15-00
New.  #9166, eff 5-31-08


Sw 6001.06  Prize Awards.

(a)  A notification of the prize won shall be sent to the winner’s name and address associated with the entry within 15 business days of the drawing date.

(b)  The prize notification shall state how to collect the prize.

(c)  Prizes which are mailed shall be shipped to the name and address listed associated with the winning entry.
 
Source.  #6528, eff 6-27-97, rpld by #7404, eff 11-15-00
New.  #9166, eff 5-31-08

Tri-State Rules

Tri-State Lotto Commission Policies

  1. Expense Reimbursement
  2. Contingency Fund(s)
  3. Standing Committees with the Tri-State Commission
  4. Drawings Monitored Via a Tri-State Representative
  5. Ownership of Tri-State Annuities and/or Investments
  6. Prize Verification
  7. Request for Jackpot Winners List
  8. Jackpot Payments Made Within 5 Business Days
  9. No Cancel Policy
  10. Annual Budget including State-Specific Advertising Dollars
  11. Tri-State Business Office
  12. Conflict of Interest
  13. Out-of-Balance Condition
  14. Minimum Testing Standards Checklist
  15. Standards for Sales Promotions
  16. Authorization to Hire Tri-State Employees
  17. Retailer Incentive Prize
  18. Departure of Party Lottery or Termination of Tri-State Compact
  19. Funding Promotional Raffle Games

POLICY NO. 1:
TRI-STATE LOTTO COMMISSION
EXPENSE REIMBURSEMENT POLICY

(Amended 4/6/99)

Definitions:


Expense Reimbursement: The term shall apply to either:

Reimbursements of monies advanced out-of-pocket for Tri-State expenses authorized under this policy.

Tri-State expenses authorized under this policy and charged to a Tri-State credit card account.

Receipt: Shall mean an actual receipt obtained representing goods or services purchased. If the goods or services are charged to a Tri-State credit card, a receipt that includes anitemized detail of the purchase, as well as the purchaser's copy of the credit card charge is required. Amounts of individual expenditures less than $5.00 do not require a receipt. Notwithstanding the above, a detailed explanation of the expenditure, signed by the purchaser, may be used in case of a lost or misplaced receipt that can not be obtained or reconstructed.

Tri-State Business is defined to include regular monthly Tri-State committee meetings and commission meetings, special committee or commission meetings, industry conferences such as NASPL, media presentations and workshops. Other types of meetings not covered in this definition may be sanctioned by the commission for purposes of payment of per diems when the meeting is held for Tri-State business purposes.

Expense Reimbursement:
  1. All Commission members, staff, and/or Directors shall be reimbursed for all necessary and reasonable expenses incurred for Tri-State operations providing they are generally consistent with the intent of the expense reimbursement policies of the Tri-State Commission. When a Commission member, a Director or staff is accompanied by a guest or spouse when traveling on lottery business or attending a lottery meeting, no expenses of the guest or spouse shall be charged to the Tri-State Commission. The guest or spouse will be personally responsible for all travel, meals and incidental expenses. If there is a differential between single and double occupancy hotel rates, the spouse or guest will be responsible to pay the difference between the single and double occupancy rate. Due to the special nature of the Tri-State meetings, meals which are held for the convenience of Tri-State and where business is transacted will be reimbursed in full when a receipt is submitted. Meals, lodging or other expenses incurred by vendors, spouses and guests will not be paid or reimbursed by Tri-State unless specified in a vendor contract with Tri-State.
  2. Prior to submission to the Tri-State Business Office for reimbursement, each respective state's lottery Executive Director, or designee, shall have approved said expenses thereby certifying compliance with this Tri-State Expense Policy. The Tri-State Business Office expense reimbursement requests shall be approved by a Tri-State Commissioner or a Director.
  3. Each Commissioner shall have the authority to approve any business expense forms, except their own, in keeping with this policy. It is prohibited for a person to approve their expense voucher; therefore, a Tri-State Commissioner, Director, or designee, can sign an expense reimbursement voucher for the other.
Expense Guidelines:
  1. No liquor charges will be reimbursed as an expense nor become part of any hotel or restaurant bill.
  2. Meal expenses not accompanied by a receipt shall not exceed on a per person basis:
    1. Dinner: $25.00
    2. Lunch: 12.00
    3. Breakfast: 10.00
  3. Mileage shall be at the business reimbursement rate as determined by each party member not to exceed the reimbursement rate as determined from time to time by the Internal Revenue Service.
  4. Per diem shall be paid to Tri-State Commissioners for each day Tri-State business is conducted as defined above, or for meetings not defined above, but designated as meetings eligible for per diem by the Tri-State Commission. One day's per diem will be paid for travel to and from a business meeting unless travel time can be reasonably accomplished on the same day as the business meeting.
  5. With the exception of the recording secretary provided by Vermont, each state's delegation for overnight accommodations and meals will not exceed five people unless unanimous consent is granted by the Tri-State Commission.
  6. Reimbursement for Travel:
    1. Authorized persons may elect to travel by personal automobile or commercial carrier at their option. However, expense reimbursement may not exceed the least cost method of travel, including consideration for in-transit hotels and meals.
    2. When automobile travel is utilized, authorized reimbursement for transportation shall be limited to the amount of the round trip coach air fare. Expenses for any additional travel days beyond those which would have been incurred had regular air travel been utilized are not compensable. This is interpreted to mean that if travel could be accomplished in one day by air and it would take two or more days by auto, the meal and hotel expenses of the first and subsequent days cannot be claimed. However, the transportation costs of the first and second days, etc. including mileage, tolls, and parking are reimbursable up to the amount of the regular coach airfare. Persons electing to travel by auto should obtain airfare quotes from their travel agency to base the reimbursement on. It is expected that a good faith attempt will be made to obtain the lowest cost commensurate with schedule and service convenience.
  7. General:
    1. The Tri-State credit card may be used only for expenses authorized under this policy or explicitly voted by the Commission.
    2. All expenses authorized under this policy will be submitted on an appropriate expense reimbursement form and sent to the Executive Director, or designee, of the respective state for approval. The Executive Director, or designee, will then forward the approved expense reimbursement form to the Tri-State Business Office. Expense reimbursement forms must be signed by the person requesting reimbursement and the state's Executive Director, Tri-State Commissioner or designee.
    3. If the respective state's Executive Director, or designee, determines that the expense reimbursement request is inappropriate under the terms of this policy, the entire expense reimbursement request will be returned to the requestor for further clarification.
    4. NOTE: Credit card charges may be included on the same form as reimbursable expenses.  The appropriate credit card receipt shall include the actual receipt of goods tendered as well as a copy of the credit card charge and be attached to the form.
    5. This policy requires that all Tri-State expenses, whether credit card or reimbursement, is explained in full on the expense form.
    6. Any expense reimbursement request which is either not in accordance with this policy or not covered in this policy will be submitted to the Commission by the Director of a party state or the Chair of the Finance Committee for consideration of approval.

POLICY NO. 2:
TRI-STATE LOTTO COMMISSION
CONTINGENCY FUND(S)


(Amended 6/2/00)

Monies constituting the difference between the calculated prize pool and the actual prizes awarded, whether annuitized or cash,shall be placed each week in a Contingency Fund, per the game rules, which will be allowed to accumulate. These funds shall be used to pay off guaranteed jackpots, if needed, but are not restricted solely to this disbursement.

No one bank account or investment shall represent any one contingency fund. Monies shall be pooled in order to maximize interest earned.

No contingency fund will be negative at fiscal year end. Expired, unclaimed prizes will be used to offset negative contingencies.

Disbursement of Designated Prize Reserves shall be determined by a unanimous vote of the Commission.

POLICY NO. 3:
TRI-STATE LOTTO COMMISSION
STANDING COMMITTEES WITH THE TRI-STATE COMMISSION


(Amended July 11, and ratified August 1, 2008)

Tri-State shall have four standing committees: Marketing & Development, Draw, Finance, and Operations. Each committee will be appointed annually by the directors at the Commission's July meeting. With the exception of the Marketing & Development Committee, whose chairperson shall be from the state of the current Tri-State Commission Chairperson, each of the other committees shall select its own chairperson from its membership.

* See Tri-State minutes dated July 15, 2005 for description and duties of the Development Committee.

POLICY NO. 4:
TRI-STATE LOTTO COMMISSION
DRAWINGS MONITORED VIA A TRI-STATE REPRESENTATIVE


(Adopted 8/6/87)
(Amended 4/6/99)


A Tri-State representative shall monitor all on-line drawings and the Tri-State Commission shall compensate those monitors on a per diem basis.

POLICY NO. 5:
TRI-STATE LOTTO COMMISSION
OWNERSHIP OF TRI-STATE ANNUITIES AND/OR INVESTMENTS

Tri-State jackpot annuities or other investments remain the property of Tri-State.

POLICY NO. 6:
TRI-STATE LOTTO COMMISSION
PRIZE VERIFICATION


(Amended 11/2/99)
No one may claim a prize without presentation of a valid ticket issued and authenticated by a state and/or Tri-State, along with the proper identification as required by the individual states for all tickets worth $500.00 or more or as required by the individual party states.

POLICY NO. 7:
TRI-STATE LOTTO COMMISSION
REQUEST FOR JACKPOT WINNERS LIST


(Adopted 1/8/93)
(Amended 4/6/99)


Requests for a listing of jackpot winners' names will be honored upon a written request.  Such a list would include winner's name, home town and amount won (designated as either cash or annuity payment).

POLICY NO. 8:
TRI-STATE LOTTO COMMISSION
JACKPOT PAYMENTS MADE WITHIN 5 BUSINESS DAYS


(Adopted 2/5/93)
(Amended 4/6/99)


The Business Office will issue payment for the second through the twenty-fifth Megabucks jackpot payments within five business days of the anniversary of the draw date on which the jackpot was won unless the jackpot winner instructs the Business Office to the contrary in writing. This policy applies only to jackpot payments issued by the Tri-State Lotto Commission Business Office.

For jackpots payable on a monthly basis, the Tri-State Business Office may choose to make payment on or around the 1st of each month, but no later than the 5th business day of each month.
 

POLICY NO. 9:
TRI-STATE LOTTO COMMISSION
NO CANCEL POLICY


(Adopted 6/10/94)
(Amended 6/1/01)


A ticket may be canceled by returning the ticket to the selling agent/retailer provided that the ticket is returned to the agent/retailer on the same day that it was purchased, and, if purchased on the drawing day for the ticket, in time to permit cancelling to be fully completed prior to draw break of that day’s drawing(s).
 

POLICY NO. 10:
TRI-STATE LOTTO COMMISSION
ANNUAL BUDGET INCLUDING STATE-SPECIFIC ADVERTISING DOLLARS

(Adopted 3/3/95)
(Amended 4/6/99)


The Finance Committee Chair, or designee, shall submit an annual budget for Tri-State, broken out by state, for Commission approval by the July Tri-State meeting. This budget will include the advertising dollars for each state. The Commission will vote to accept or deny the budget request. This budget shall be revised if necessary at least once in the course of a fiscal year with the approval of the Commission.

The participant states may expend their advertising dollar sat their own discretion provided that these monies are expended only for the promotion of Tri-State products.

Monies budgeted to each state which remain unexpended at period end will remain with that state as an addition to its profit.
 

POLICY NO. 11:
TRI-STATE LOTTO COMMISSION
TRI-STATE BUSINESS OFFICE


(Amended 4/6/99)

(This policy was formerly Megabucks Rule 11 (b))

The Commission shall establish a Tri-State Business Office for the purpose of managing prize disbursements and expenditures. The location of the Business Office shall be determined by the Commission and may be changed at the direction of the Commission.
 

POLICY NO. 12:
TRI-STATE LOTTO COMMISSION
CONFLICT OF INTEREST


(Adopted 4/6/99)

The Tri-State Commission shall not issue a contract for services for products to a company or person who employs, or is, a family member of a lottery employee that has an administrative responsibility over any of the duties specified in the contract, or who may be involved in the decision to award the contract. A family member is defined as a person living in the same primary residence as the lottery employee. A lottery employee is defined as an employee of the Maine, New Hampshire or Vermont lotteries, or the Tri-State Commission.


POLICY NO. 13:
TRI-STATE LOTTO COMMISSION
OUT-OF-BALANCE CONDITION


(Adopted 6/2/00)

For any out-of-balance condition for any game which requires jackpot management on draw nights, the jackpot management coordinator shall be notified as soon as possible.

If any state’s ICS staff determines there is an out-of-balance condition in total prizes up to $9,999 for that night’s drawing, the ICS staff shall contact that state’s director and continue working on the problem until the problem is identified and the out-of-balance condition is brought back into balance. An out-of-balance condition report shall be forwarded to the other states the next business day.

Should any state’s ICS staff determine an out-of-balance condition in total prizes is greater than or equal to $10,000 and is not the jackpot winning ticket for that night’s drawing, the ICS staff shall notify that state’s director who shall then suspend sales and validations for the game affected in the state in which the problem occurred until the problem is identified and the out-of-balance condition is brought back into balance. The other two directors shall be notified as soon as possible. An out-of-balance condition report shall be forwarded to the other states the next business day.

Should the ICS staff determine an out-of-balance condition involves a jackpot winning ticket, all three state directors shall be notified immediately, and sales and validations in all three states shall be suspended until the problem is identified and the out-of-balance condition is brought back into balance. If one or more directors cannot be located, this policy will still apply.


POLICY NO. 14:
TRI-STATE LOTTO COMMISSION
MINIMUM TESTING STANDARDS CHECKLIST


(Adopted 6/2/00)

The Systems Operations Committee shall develop a minimum testing standards checklist. The minimum standards shall be completed by each state prior to implementing any new Tri-State game change, enhancement, or promotion that requires system testing.
 

POLICY NO. 15:
TRI-STATE LOTTO COMMISSION
STANDARDS FOR SALES PROMOTIONS

(Adopted 10/5/01)

The Tri-State Lotto Commission or a party state(s) may enact a promotion for the explicit use of encouraging an increase in Tri-State ticket sales.

A party member state shall have the privilege to conduct a state promotion with the use of individual advertising monies. The Marketing Director of a party state, or designee, will, out of common courtesy prior to the promotion commencement, provide the Commission with details concerning the promotion. This would include, but is not limited to, timeframe of promotion, what the promotion consists of and what the party state hopes to achieve. Following the promotion, an analysis of the promotion will be presented by the party state.

Per game rules, at least once a year the Commission is required to make a decision as to the disbursement of expired unclaimed prize money. The Chair of the Marketing Committee or Development Committee, in concurrence with the Finance Committee Chair, shall request a sum of expired unclaimed prizes to be allocated to each of the member states proportional to each states total sales for the most recent fiscal year ended to be used for promotions or promotional games. This request shall be made by the July Tri-State Lotto Commission meeting. Unused (not awarded to a player) expired unclaimed prizes shall be forfeited at fiscal year end.

Promotions that involve the use of expired, unclaimed prize money shall not exceed the approved allocation of expired unclaimed prizes for any state. Any state wishing to use expired unclaimed prize money for a promotion must provide the Development Committee with the details of the promotion in a timely manner in order to allow the other states to also participate in the promotion. The Chair of the Marketing Committee or Product, Development Committee, or designee, will review the promotion during a commission meeting, and provide the Commission with details concerning the promotion. This would include, but is not limited to, the timeframe of the promotion, what the promotion consists of and what the Commission hopes to achieve. This type of promotion shall be brought to the attention of the Tri-State Lotto Commission for a vote of approval. Following the promotion, an analysis of the promotion will be presented by the Chair of the Marketing and Product Development Committee, or designee.

If any state inadvertently or otherwise exceeds their approved allocation of expired unclaimed prizes, state specific advertising dollars will be used to supplement the promotion.

POLICY NO. 16:
TRI-STATE LOTTO COMMISSION
AUTHORIZATION TO HIRE TRI-STATE EMPLOYEES


(Adopted 11/02/01)

The executive director, or the director’s designee, of each party lottery is authorized to hire and terminate personnel for positions within that director’s state, for games authorized by the Tri-State Commission.


POLICY NO. 17:
TRI-STATE LOTTO COMMISSION
RETAILER BONUS PRIZE


(Adopted 7/11/02)

In addition to any retailer bonus prize authorized by the Commission on any Tri-State game, a member lottery may establish additional bonus prizes for other lower tier prize levels, in accordance with a member lottery’s rules and regulations. The cost for these lower tier bonus prizes shall be borne by the paying member lottery.
 

POLICY NO. 18:
TRI-STATE LOTTO COMMISSION
DEPARTURE OF PARTY LOTTERY OR TERMINATION OF TRI-STATE COMPACT


(Adopted 2/4/05)

The Commission, on unanimous vote of the Party Lotteries, may terminate the Compact, effective on a date established by the Commission, in conformance with applicable law. Likewise, a Party Lottery may withdraw from the Compact with due notice to the Commission and in accordance with applicable law and Commission policy. However, the Compact or a Party Lottery’s membership in the Compact shall terminate no sooner than the latest date of an advanced play bet on a terminated Party Lottery’s gaming system. A full financial external audit shall be performed prior to distribution of any funds to any Party Lotteries.
 

Termination of the Tri-State Compact.

Upon termination of the Tri-State Lotto Compact, any assets acquired by the Tri-State Lotto Commission (the Commission) shall be liquidated, with the exception of the designated reserve fund, the operational accounts essential to support residual post-termination Commission operations, and investment and deposit fund contracts held for lottery payments to jackpot winners. Party Lotteries that have valid subscriptions shall refund to their players the value of remaining draws following the termination date. The Commission shall provide the Tri-State Business office with reasonable funds to perform the duties required of it until such time as all Tri-State assets are liquidated and jackpot payments are transferred to the respective lotteries in accordance with this policy.

On termination of the Tri-State Compact, the distribution of any assets shall be as follows:

CLAIMED JACKPOT PAYMENTS. The responsibility of claimed lottery payments to jackpot winners, and the required funds or investments to make those payments, shall be transferred to the Party Lottery of the State where the claim originated. In the event that an insurer defaults on an investment fund contract and the designated reserve account is not adequate to pay the jackpot winner, all three Party Lotteries shall be responsible for their pro rata shares of liability to the jackpot prize winner based on their respective average sales for the game at issue over the 12 month period preceding and up to the date of termination.

DESIGNATED PRIZE RESERVE. The Commission shall use one half of the designated prize reserve fund balance as a reserve fund for investment fund contracts. This reserve fund shall be placed in an interest-bearing escrow account until such time as all investment fund contracts, and insurer obligations thereunder, expire. Once all insurer obligations under applicable investment fund contracts have been fulfilled, the escrow account shall be distributed to the Party Lotteries pro rata based on the Party Lotteries proportional average sales over the 12 month period preceding and up to the date of termination. On termination and after the requisite financial audit, the remaining half of the designated prize reserve fund shall be distributed to the Party Lotteries pro rata based on the Party Lotteries’ proportional average sales over the 12 month period preceding and up to the date of termination. Before receiving its pro rata share of either half of the designated prize reserve fund, the Party Lottery must first execute a Memorandum of Understanding or equivalent agreement with the other Party Lotteries committing it to expend its pro rata share as prizes to its lottery players and for no other purpose.

UNEXPIRED UNCLAIMED LOW-TIER PRIZES. Low-tier Tri-State game prize amounts unclaimed but not yet expired at time of termination of the compact shall be returned to the Party Lottery that sold the ticket. The Party Lottery to whom funds are returned, shall have sole responsibility for payment of any subsequent claims on the returned low-tier prize amounts. After the period of one year any unclaimed prize amounts shall be awarded to the Party Lottery’s players. A prerequisite to any Party Lottery receiving its pro rata share of the unclaimed prize amounts is that the terminating Party Lottery must execute a Memorandum of Understanding or equivalent agreement with the Commission committing it to expend its pro rata share as prizes to its state lottery players and for no other purpose.

UNCLAIMED JACKPOT PRIZE. Upon termination of the compact, the cash value of any unclaimed jackpot prize will remain with the Tri-State Business Office until claimed. If upon termination there are any unclaimed jackpots, contingency funds shall be withheld from distribution to member states in an amount to allow the Business Office to purchase an investment to fund an annuity payment if necessary to pay such jackpot. If after a period of one year from draw date the jackpot prize is not claimed, the pertinent funds, including interest, shall be distributed to each Party Lottery pro rata based on their respective average sales for the game at issue over the 12 month period preceding and up to the date of termination. The jackpot prize values shall be awarded to each Party Lottery’s players.

EXPIRED UNCLAIMED LOW-TIER PRIZES. Any expired unclaimed low-tier prizes shall be distributed to each member state pro rata based on their respective average sales for the game at issue over the 12 month period preceding and up to the date of termination. These prize values shall be awarded to each member state’s players.

PRIZE CONTINGENCY FUNDS. The prize contingency funds shall be maintained by the Commission in an interest-bearing escrow account for one year following the date of termination at which time the remaining funds shall be distributed to the Party Lotteries pro rata based on the Party Lotteries’ proportional average sales over the 12 month period preceding and up to the date of termination.

REMAINING ASSETS. Any remaining assets held in equity, except for retained operational funds, shall be distributed to each member state pro rata based on the Party Lotteries’ proportional average sales over the 12 month period preceding and up to the date of termination. Upon termination, and after wind-up operations of the Tri-State Lotto Compact have concluded, any net profit or loss and any interest earned shall be distributed to each member state. For any income or expenses normally apportioned based upon percentage of sales, such percentage shall be pro rata based on the Party Lotteries’ proportional average sales over the 12 month period preceding and up to the date of termination.


Termination by a Party Lottery of its Participation in the Tri-State Compact

If a Party Lottery terminates its membership in the Compact, the Compact shall continue pertaining to the remaining Party Lotteries. The respective rights and obligations of the Party Lotteries shall be as follows.

LOW TIER PRIZES. All unclaimed low-tier prize amounts pertaining to tickets sold in the terminating Party Lottery’s state, shall be returned to that Party Lottery within 30 days after the full financial audit. The terminating Party Lottery shall have sole responsibility for payment of any subsequent claims on the returned low-tier prize amounts. A prerequisite to receiving its pro rata share of the prize amounts is that the terminating Party Lottery must execute a Memorandum of Understanding or equivalent agreement with the Commission committing it to expend its pro rata share as prizes to its state lottery players and for no other purpose.

JACKPOT PRIZES. The Commission shall retain responsibility for payment of jackpot annuities and shall retain the investment and deposit fund contracts held for lottery payments to jackpot winners. In the event that an insurer defaults on an investment fund contract issued prior to the date of withdrawal of the terminating Party Lottery, the terminating Party Lottery shall be responsible for its pro rata share of liability to the jackpot prize winner based on the respective Party Lottery average sales for the game at issue over the 12 month period preceding and up to the date of termination.

UNCLAIMED JACKPOT PRIZES. If upon termination there are any unclaimed jackpots, contingency funds shall be withheld from distribution to that state in an amount to allow the Business Office to purchase an investment to fund an annuity payment if necessary to pay such jackpot. All other contingency funds shall be distributed in accordance with this policy as described below. If after a period of one year from draw date the jackpot prize is not claimed, the pertinent funds, including interest, shall be distributed to the Party Lotteries pro rata based on their respective average sales for the game at issue over the twelve month period preceding and up to the date of termination. The jackpot prize value shall be awarded to the Party Lotteries’ players.

DESIGNATED PRIZE RESERVE FUND. On termination by a Party Lottery of its participation in the Compact, The Commission shall equally divide the designated prize reserve fund into two separate accounts. The first account will serve as a reserve fund for investment fund contracts issued prior to the date of withdrawal of the terminating Party Lottery. The account shall be placed in an interest-bearing escrow account until such time as all investment fund contracts in place at the time of the Party Lottery’s termination expire. Once all insurer obligations under applicable investment fund contracts have been fulfilled, the Commission shall pay to the terminating Party Lottery its pro rata share of the balance of the first account. The second account will serve as the designated prize reserve for all Tri-State Lotto Commission games. After the requisite Memorandum of Understanding or equivalent is executed as provided in the following paragraph, and on completion of the financial audit required pursuant to the first paragraph of this policy, the Commission shall pay the terminated Party Lottery its pro rata share of the balance of the second account.

A prerequisite to receiving its pro rata share of the first or second account is that the terminating Party Lottery must execute a Memorandum of Understanding or equivalent agreement with the Commission committing it to expend its pro rata share as prizes to its state lottery players and for no other purpose. A Party Lottery’s pro rata share, pertaining to both accounts, shall be based on the Party Lotteries proportional average sales over the 12 month period preceding and up to the date of the departing Party Lottery’s termination.

EXPIRED UNCLAIMED LOW-TIER PRIZES. Any expired unclaimed low-tier prizes shall be distributed to the terminating Party Lottery pro rata based on its respective average sales for the game at issue over the 12 month period preceding and up to the date of termination. These prize values shall be awarded to the terminating Party Lottery’s players.

CONTINGENCY FUNDS. After the requisite Memorandum of Understanding or equivalent is executed as provided in the following sentence, and on completion of the financial audit required pursuant to the first paragraph of this policy, the Commission shall pay the terminated Party Lottery its pro rata share, as determined in the preceding paragraph, of the various game contingency accounts. A prerequisite to receiving its pro rata share of the contingency account is that the terminating Party Lottery must execute a Memorandum of Understanding or equivalent agreement with the Commission committing it to expend its pro rata share as prizes to its state lottery players and for no other purpose.

A Party Lottery that withdraws prior to termination of the Compact shall be entitled to its pro rata share of the operational account based on the withdrawing Party Lottery’s average sales for the game at issue over the 12 month period preceding and up to the date of termination. However, the withdrawing Party Lottery shall be entitled to its state-specific operational accounts in the amount of its unexpended contribution as of the date of withdrawal. The Party Lottery is not otherwise entitled to any share of the property or assets of the Commission except as provided herein.


POLICY NO. 19:
TRI-STATE LOTTO COMMISSION
FUNDING PROMOTIONAL RAFFLE GAMES


(Adopted 12/28/07)

For the purpose of funding the expenditures associated with Tri-State Lotto Commission Raffle-type promotional games, the Business Office shall first, on a weekly basis, allocate sales associated with a Raffle game to operating expenses directly related to the game (including agent commissions, vendor fees, and weekly contributions for general operating costs) per a predetermined percentage of each state’s sales, as well as to a prize pool for future payment of prizes and agent bonuses up to an amount as determined by game rules. Any excess of sales, after operating expenses, prize pool and agent bonuses have been fully funded, shall remain with the states. After tickets for a particular Raffle are no longer available for sale, any shortfall in a prize pool for a Raffle game shall be supplemented with expired, unclaimed prize money in order to fully fund the prizes.

Updated as of 7/9/10
 

Winning Numbers   Check to see if you've won!

04/12/2014
14
26
45
54
55
PB20
PP2
Jackpot Won: ROLLOVER
Next Drawing: 04/16/2014
Next Estimated Jackpot: $110,000,000
Cash Value: $64,400,000

04/15/2014
4
39
46
47
70
MB13
MP3
Jackpot Won: ROLLOVER
Next Drawing: 04/18/2014
Next Estimated Jackpot: $38,000,000
Cash Value: $21,400,000

04/12/2014
2
11
17
20
26
MB4
Jackpot Won: ROLLOVER
Next Drawing: 04/16/2014
Next Estimated Jackpot: $1,750,000

04/14/2014
10
21
34
36
43
LB40
No Grand Prize Winner
Next Drawing: 04/17/2014
Win up to $1,000 a day for life!
2nd prize $25,000 a Year for Life!

04/16/2014
9
5
4
Day Draw

04/15/2014
3
5
7
Evening Draw

04/16/2014
8
6
0
7
Day Draw

04/15/2014
7
4
9
6
Evening Draw

04/12/2014
11
14
23
38
39
HB2
Jackpot Won: ROLLOVER
Next Estimated Jackpot:
$5,560,000
Next Drawing:
04/16/2014

04/14/2014
7
20
34
36
38
No Grand Prize Winner
Next Drawing: 04/16/2014
Win up to $100,000!
View Past Winning Numbers                       Didn’t win? Replay your non-winning tickets here