POLICY STATEMENT
POL 110.006 - Signature Stamp Control (Revision)
Added that the deputy director, in addition to the director, may
approve issuing signature stamps, and also approve the stamps'
usage. Clarified that the approvals must be in writing.
The supply officer will now conduct an audit of all signature
stamps twice yearly, instead of once yearly. Clarified that
stamps must be kept in a "secure location," and added a
definition of "secure location." If someone other than the
custodian uses a signature stamp, the use must be entered on a
log.
Added that when the agency has more than one of the same
signature stamp, each stamp will contain an identifying marking.
Lottery security maintains an impression of each of the stamps
and who the custodian of that stamp is, for use in investigations
of misuse, etc.
Added that employees must immediately notify security if a
signature stamp is lost, stolen, or missing.
Signed 1/31/01.
POL 110.009 - Policy and Procedure Approval, Revision and Maintenance (Revision)
The policies/procedures coordinator now participates in the
development of policies/procedures at an earlier point in the
process. Therefore, managers and the policies/procedures
coordinator work together to ensure all affected divisions are
consulted about the policy and, if the document is needed by a
specific date, develop and adhere to a timeline. The deputy
director now signs most policies/procedures, and determines which
policies are sent to the director for signature.
Signed 1/2/01.
POL 110.017 - Public Records Requests (Revision)
Incorporated language about protecting personally identifiable
information, such as: When the public records officer receives a
request to disclose personally identifiable information, he/she
notifies the individual of the request and his/her right to seek
a restraining order. Clarified that disclosable information is
limited to name, city and prize amount, etc. When a requester
signs an "Agreement Not to Release or Use Information for
Commercial Purposes," the PRO may determine that the request is
fraudulent. Clarified that the lottery cannot sell personal
information collected, unless provided by law.
Signed 2/23/01.
POL 110.023 - Protecting Research Respondent Information (New)
This policy ensures that the lottery and its research vendors
protect personally identifiable information received from
research respondents by adhering to the Code of Standards and
Ethics for Survey Research. This code is published by the
Council of American Survey Research Organization. Research
vendors also destroy personally identifiable information in a
manner that ensures the public cannot obtain the information.
Signed 2/23/01.
POL 110.027 - Distributing "Play One On Us" Coupons (New)
This policy documents guidelines for ordering and distributing
"Play One On Us" coupons. It outlines who pays the costs, who
the authorized users are and their authorized uses, how the
expiration dates for redemption are determined, and how the use
is tracked.
Signed 3/21/01.
POL 120.032 - In-Training Appointments (New)
This policy ensures the lottery's in-training appointments meet
Washington State Department of Personnel guidelines, and that the
employee understands the training plan. It also provides for
evaluating the employee's performance and how employees can
request review of decisions.
Signed 3/7/01.
POL 130.005 - Retailer Criminal History and Credit Criteria for Applicants and Licensees (Revision)
Added a section on foreign residents (defined as persons who are
not permanent residents of the United States and persons who are
not citizens of the United States). To receive a license, these
applicants must be a minority shareholder of a corporation or
limited liability company, which owns the applicant's retail
business. (Foreign residents cannot be a shareholder in any
other type of business entity.) In addition, the majority
shareholder of the business must be either a United States
citizen who is a permanent resident of the United States or a
legal alien (defined as having been issued an alien registration
card and permanently residing in the United States).
Further defined what the lottery does if a retailer whose license
is being revoked is an owner at another location: 1) If the
retailer is less than a 1/3 owner, we inform the other owners of
the revocation and its circumstances, 2) if the retailer is more
than a 1/3 owner (but not the sole owner), the security chief and
legal services manager review each situation on a case-by-case
basis and make a recommendation to the deputy director or
director, and 3) if the retailer is the sole owner at another
location, his/her license at the other location(s) will be
revoked.
Re: Reapplication for license - added that we may consider the
facts and findings of previous denials, revocations, etc. and
listed some of the actions we may opt to take.
Added a section on how we protect the information submitted by
the retailer.
Signed 3/8/01.
POL 130.014 - Conducting Background Investigations on Lottery Vendors and Contractors (Revision)
Added that the legal services manager and security chief ensure
that RFPs include notification that bidders may be disqualified
if they do not submit the required background packet within ten
days of being named the apparent successful bidder. The
vendor/contractor will submit only one copy, which is not
photocopied. This information is destroyed in a manner that
ensures the public cannot obtain the information.
Signed 2/23/01.
POL 140.005 - Protecting Personal Information of
Players/Claimants, Research Respondents, Retailers and Vendors
This policy ensures personally identifiable information is
gathered only when needed, retained only as long as needed,
accessed and disseminated when there is a business reason to do
so, and destroyed in a manner that protects the information. It
lists which positions are responsible for ensuring that various
information is collected, retained, and accessed by the
appropriate employees and at the appropriate times, etc.
Signed 2/8/01.
POL 210.014 - Prize Payment Check Storage and Inventory (Revision)
Clarified that this process also applies to checks ordered by
headquarters-customer service (not just regional offices). Added
information on the general accounting supervisor's and financial
services manager's duties regarding ordering and storing the
agency's supply of checks.
The warehouse supervisor no longer delivers checks to the
regional offices; the warehouse ships the checks to the regions.
Regions no longer wrap the checks in batches. General accounting
documents the list of check numbers shipped to a location via
e-mail, rather than on a check stock control form. General
accounting must activate the checks in tandem (or the bank's
"positive pay" system will identify it as an unauthorized check).
Quarterly inventories are now e-mailed to general accounting,
rather than telephoned in. General accounting no longer enters
the inventories onto a spreadsheet - they use the check stock
control log and the lottery's in-house computer system to track
the inventories.
Signed 1/31/01.
POL 240.003 - Electronic Funds Transfer (EFT) Rejections (Revision)
For rejections, retailer support will send a copy of the retailer
letter to the region. After a first rejection, the DSR or RSM
visits the retailer, usually within five (instead of two)
business days. The DSR or RSM takes a copy of the letter with
him/her when visiting the retailer. The letter after a third
rejection will include that if the account is sent to a
collection agency, the agency will receive personally
identifiable information, such as SSN and bank account number.
Signed 3/1/01.
POL 320.063 - $250,000 Cash! Second Chance Drawing (Revision)
This addendum memo outlines the process drawing officials used to
ensure that any tickets purchased by lottery security in the
course of an investigation were not selected as the winning
ticket numbers for this drawing.
Signed 1/4/01.
POL 320.066 - Lotto "Wild Ride" Bonus Drawing Promotion (Revision)
The last week of the promotion was changed to include sales
through 6:52 p.m. on Sunday, March 11 (instead of Saturday, March
10). The drawings are not "announced;" only displayed and are
aired only on the day of the drawing. For the February 19
drawing, the population (number of entries) was run by drawing
staff, rather than information services staff.
Signed 3/1/01.
POL 320.068 - $250,000 Cash! Retailer Promotion - Phase II (New)
In an effort to ensure that all top prizes in this promotion were
claimed, for each $250,000 prize* claimed at a lottery office
between January 8, 2001, and the close of business February 15,
2001, the retailer who sold the ticket was awarded $25,000.
*Does not refer to the $250,000 promotional prize.
Signed 1/4/01.
POL 320.069 - "Big Money" Retailer Promotion (New)
This policy establishes guidelines for awarding prizes to
retailers for selling the top prizes ($300,000) in Scratch Game
340 - Big Money. For each $300,000 prize claimed at a lottery
office by the close of business June 29, 2001, the retailer who
sold the ticket will be awarded $5,000.
Signed 3/1/01.
POL 410.005 - Facilities Management (Revision)
Clarified that the Region 4 regional sales manager (RSM) reports
maintenance problems to the administrative services manager
(other RSMs report maintenance problems to the building's
landlord). The deputy director, in addition to the director, can
now approve new facilities, leases, and remodels costing over
$2,500. Added that the Department of General Administration must
inspect and authorize payment for construction projects costing
over $2,500.
Signed 1/17/01.
POL 420.007 - Records Management (Revision)
Added information on ensuring that lottery records are destroyed
in a manner that complies with our policy on protecting
personally identifiable information. Other minor updates to the
titles of manuals and handbooks referenced, etc.
Signed 1/26/01.
POL 420.012 - Purchasing Purchased Goods and Services (Revision)
Added that if the manager of a budget is not available to sign an
approval, anyone in that manager's chain of command can approve
the expenditure.
Added that employees can report suspected violations of this
policy to a manager or to the deputy director (not just to an
assistant director). Whoever investigates the complaint is
responsible for preparing a memorandum of the finding and
forwarding it to the financial services manager or designee
(instead of the internal audit manager).
The deputy director (in addition to the director) may now sign
for furniture of $5,000 and other items over $10,000. Added a
note that personal service contracts must go through the legal
services manager. Also added a definition of a personal service
contract. Added a section on handling protests. Deleted the
requirement that if a maintenance agreement must be paid in
advance, the agreement will not be written for longer than three
months. Added a reference to being able to make purchases using
a purchasing card (per POL 420.021).
Signed 1/31/01.
POL 440.007 - Processing Electronic Funds Transfers (EFTs) (Revision)
Updated the process showing new paperwork, updating titles, etc.
Signed 1/4/01.
To receive a copy of any of these policies, contact Becky
Zopolis, Washington State Lottery, P.O. Box 43000, Olympia, WA
98504-3000, phone (360) 664-4816, fax (360) 664-4817.
April 30, 2001
Becky L. Zopolis