DEPARTMENT OF AGRICULTURE
THOROUGHBRED RACING COMMISSION
Statutory Authority: 3 Delaware Code, Section 10005; 29 Delaware Code,

Section 4815(b)(3)(c)(3)

(3 Del.C. §10005; 29 Del.C. §4815(b)(3)(c)(3))

3 DE Admin. Code 1001



EMERGENCY





DELAWARE STATE FIRE PREVENTION REGULATIONS
Statutory Authority: 16 Delaware Code, Section 6603 (16 Del.C. §6603)





304 Exotic Animal Regulations
1.0Authority

These regulations are promulgated pursuant to the authority of Section 7202 of Title 3 of the Delaware 
Code.

2.0Purpose

These regulations govern the permitting process, possession, sale, rehabilitation and exhibition of 
exotic animals, i.e., live wild mammals or hybrids of wild mammals or live reptiles not native to or 
generally found in the State of Delaware. The State Veterinarian or her or his designee shall have the 
authority to administer these regulations and shall be solely responsible for making the determinations 
required herein.

3.0Definitions

"Accurate Description of the Exotic" means the name, residence, age, gender, markings/color, 
tattoo, identification tag, microchip and/ or other distinguishing characteristics of the exotic together 
with the name and residence of the owner or custodian.

"Adopter" means a person who becomes an owner or custodian of an exotic animal.

"Animal Attack Protocol" means a written document that outlines an owner's or custodian's plan 
should the exotic animal bite, injure or attack a human or animal.

"Carnivore" means a flesh-eating mammal, which possesses teeth and claws adapted for attacking 
and devouring prey.

"Class of Exotic" means each of the following groups constitute a separate and distinct class: 
Carnivore, Herbivore, Hybrid of a wild animal, Omnivore, Primate and Reptile.

"Custodian" means a person who possesses or cares for an exotic animal. A custodian has 
immediate charge and control of the exotic.

"Department" means the Delaware Department of Agriculture.

“DNREC” means the Delaware Department of Natural Resource and Environmental Control.

"Emergency Evacuation Plan" means a written document that outlines the actions the owner or 
custodian plans to implement in an emergency or ordered departure in order to provide for the exotic's 
welfare and the public's health and safety.

"Exhibitor" means a person who displays exotic animals to the public.

"Exotic" means a live wild mammal or hybrid of a wild mammal or a live reptile not native to or 
generally found in Delaware as determined by the Delaware Department of Natural Resources and 
Environmental Control (DNREC) and the Division of Fish and Wildlife.

"Herbivore" means a mammal that feeds exclusively on vegetable matter.

"Hybrid of a wild mammal" means a mammal whose parents are different varieties of the same 
species or belong to different but closely allied species, one parent being a wild mammal not native to 
or generally found in Delaware and the other parent being a domestic mammal native to or generally 
found in Delaware.









"Nuisance" means an act or the threat of an action that unreasonably interferes with the health, safety 
or property rights of the community at large.

"Omnivore" means an animal which eats any sort of food, both animal and vegetable in origin.

"Owner" means a person who owns an exotic animal. An owner has or holds the exotic animal as 
property.

"Permit Holder" means an owner or custodian of an exotic animal who holds an applicable exotic 
animal permit.

"Person" means any individual, partnership, corporation, trade or professional association, firm, 
limited liability company, joint venture, association, trust, estate or any other legal entity, and any 
officer, member, shareholder, director, employee, agent or representative thereof.

"Pet" means an exotic animal that is kept for interest, companionship and amusement and is 
associated with a household.

"Primate" means a mammal that belongs to the highest order of mammals including monkeys and 
lemurs.

"Purchaser" means a person who becomes an owner of an exotic animal by exchange of cash, goods 
or animals.

"Rehabilitator" means a person who restores an exotic animal to good condition by providing short 
term care.

"Reptile" means any cold-blooded vertebrate of the class Reptilia including turtles, lizards, snakes, 
crocodilians and tuatara.

"Seller" means a person who holds a Sales permit and is engaged in the sale or trade of exotic 
animals for cash, goods, or animals.

"Secretary" means the Secretary of the Delaware Department of Agriculture or his or her designee.

"State Veterinarian" means the State Veterinarian of the Delaware Department of Agriculture, or his or 
her designee.

"USDA" means the United States Department of Agriculture.

"Valid Identification" (Valid ID) means a photo identification such as Delaware driver's license, State 
of Delaware Identification card, or a Passport that includes the name and address of the purchaser/
adopter of the exotic animal.

"Welfare" means that the owner or custodian provides for the health and well-being and safeguards 
the physiological requirements of the exotic animal.

"Zoo" means a park or institution accredited by the Association of Zoos and Aquariums (AZA) (or its 
designated successor organization) where: exotics are primarily kept in cages or enclosures for people 
to come and see; exotics are exhibited outside of the park to the public for educational purposes; and 
exotics are bred and studied by scientists.

4.0The State Veterinarian Powers; Duties

4.1The State Veterinarian is responsible for administering and enforcing these regulations. The State 
Veterinarian has the power to grant, deny, or revoke permits to own or have custody of exotics in this 
state.

4.2The State Veterinarian is vested with the power to designate agencies to seize and when warranted to 
humanely destroy an exotic if necessary to protect the public health, safety, or welfare and to protect 
the health of other animals. The State Veterinarian or his/her agent can humanely destroy an exotic 
without first notifying the exotic animal's owner or custodian.

4.3The State Veterinarian will maintain a list of exotic animals that are exempt from the permitting 
requirement. This list will be available to the public and is subject to change in keeping with current 
animal and human health and safety concerns.

4.4The State Veterinarian will maintain a list of exotic animals in the Herbivore and Reptile Classes that 
are prohibited from being bred by Sales Permit Holders. This list will be available to the public and is 
subject to change in keeping with current animal and human health and safety concerns. Sales Permit 









Holders may petition the State Veterinarian in writing if he or she wants to breed an exotic animal in the 
Herbivore or Reptile Class that is listed on the prohibited from being bred list.

4.5The State Veterinarian is charged with preventing the introduction and spread of contagious and 
infectious diseases into and within the domestic animal population of the state, therefore:

4.5.1The State Veterinarian can prohibit activities by any Permit class if there is a threat to domestic 
animals in the state.

4.5.2The State Veterinarian can prohibit Accredited Zoo Permit and Sales Permit holders from breeding 
exotics if there is a threat to domestic animals in the state.

4.5.3The State Veterinarian expects any exotic animal health concern to be reported immediately to the 
Department by all other governmental agencies and veterinarians as well as by the owners or 
custodians of exotics.

5.0Permit Requirement; Permit Prerequisites; Renewals; Waivers

5.1Unless specifically exempted by the Department from the permitting requirement (see Regulation 4.3), 
all persons who would own or have custody of an exotic animal must first obtain a permit issued by the 
Department.

5.2To obtain the required permit from the Department, the prospective owner or custodian of an exotic 
animal must:

5.2.1Provide the Department with satisfactory proof that the exotic animal will be confined within two 
enclosures, designated herein as primary and secondary.

5.2.1.1The primary enclosure shall be a pen, cage or other structure where the exotic will be kept 
and which must be of sturdy and escape-proof construction. The primary enclosure must 
be consistent in size, structure, lighting, temperature control, and ventilation according to 
the welfare standards prescribed in the scientific literature or in the USDA regulations for 
the species being enclosed. The permit applicant is required to demonstrate knowledge of 
enclosure and welfare standards for the species under consideration with the application.

5.2.1.2The secondary enclosure must be sufficient to prevent the exotic animal from escaping 
from the property of the owner or custodian should it be set free or escape from its primary 
enclosure. The secondary enclosure must ensure there will be no physical contact 
between members of the public and the exotic. The secondary enclosure must prevent the 
exotic from escaping the premises if it is out of its primary enclosure.

5.2.1.3The holder of an Accredited Zoo, Exhibitor or Rehabilitator permit issued in accordance 
with Regulations 6.2, 6.3 and 6.4 may request in writing that the State Veterinarian 
consider waiving the enclosure requirements set forth at 5.2.1.1 and/ or 5.2.1.2 because 
the exotic animal has unique enclosure requirements.

5.2.1.4Shared enclosures:

5.2.1.4.1The holders of Sales permits are permitted to breed exotic animals in the Herbivore 
and Reptile class in the State of Delaware in accordance with Regulations 4.4 and 
10.4.2.; therefore exotics in these classes may share enclosures.

5.2.1.4.2The holders of Accredited Zoo permits are permitted to breed exotic animals in the 
State of Delaware in accordance with Regulations 4.5.2 and 10.4.3; therefore exotics 
permitted by the Accredited Zoo Permit may share enclosures.

5.2.1.4.3All other Permit class holders are not permitted to breed exotic animals; hence any 
shared enclosures are only for sterile animals or animals unable to reproduce.

5.2.2Provide the Department with a copy of an emergency evacuation plan upon request.

5.2.3Provide the Department with a copy of an animal attack protocol upon request.

5.3To obtain the renewal of an exotic animal permit, exotic animal owners or custodians must confirm the 
ongoing existence of all the requirements set forth at 5.2 and must, in addition, allow Department 
employees access to inspect the premises where exotics are located to confirm the health and 
humane treatment of the exotic.









5.4Any existing permits issued by the Delaware Department of Agriculture will become void sixty (60) 
days after the effective date of these proposed regulations and must be renewed in accordance with 
Regulations 5.3 and 8.0 at no additional cost to the owner or custodian.

6.0Permit Classes

6.1Individual Permit

6.1.1When exotics are kept as pets, the owner or custodian of the exotic must apply to the Department 
for an Individual Permit on a form supplied by the Department. Individual Permits granted by the 
Department shall become null and void when the owner or custodian transfers ownership or 
possession of the exotic to another person. The owner or custodian must obtain a separate 
Individual Permit for each exotic animal kept as a pet. A background check of an owner or 
custodian applying for an Individual Permit may be completed by the Department.

6.2Accredited Zoo Permit

6.2.1All zoos in Delaware must obtain an Accredited Zoo Permit every five (5) years or other time 
period that is in keeping with the AZA accreditation process.

6.3Exhibitor Permit

6.3.1All owners or custodians (with the exception of permitted Accredited Zoos located in Delaware) 
that wish to present exotic animals for public viewing must obtain an Exhibitor Permit from the 
Department annually.

6.3.2A background check of an owner or custodian applying for an Exhibitor Permit may be completed 
by the Department.

6.3.3Exotic Animal Exhibitors Duties:

6.3.3.1Notify the Department within the 60 day period prior to exhibiting exotic animals in 
Delaware;

6.3.3.2Provide the Department with an annual inventory which includes an Accurate Description 
of each exotic animal to be exhibited. If changes to the annual inventory provided to the 
Department occur prior to exhibiting in Delaware then notify the Department by e-mail or 
Fax of the changed inventory by listing the addition or removal of each exotic animal. 

6.3.3.3Provide the Department with the dates of exhibition;

6.3.3.4Provide the Department with a list of exhibition activities;

6.3.3.5Provide the Department with a public health and safety plan, an animal attack protocol, 
and an animal health plan upon request.

6.3.3.6Show proof of exotic animal permits or licenses from the state or states where the exhibitor 
is based;

6.3.3.7Provide valid health certificates upon request;

6.3.3.8Have a valid business license; and

6.3.3.9Provide proof of knowledge of exotics' health, safety and proper care upon request.

6.4Rehabilitator Permit

6.4.1The Rehabilitator Permit must be obtained from the Department by an owner or a custodian who 
provides short term care and rehabilitation of exotic animals.

6.4.2The applicant for the Rehabilitator Permit must provide documentation that he/she holds a Wildlife 
Rehabilitator Permit from DNREC.

6.4.3A background check of an owner or custodian applying for a Rehabilitator Permit may be 
completed by the Department.

6.4.4Rehabilitator Permit Holder's Duties:

6.4.4.1By December 31st of each calendar year the Exotic Animal Rehabilitator must:

6.4.4.1.1Provide the Department with a yearly inventory of every exotic currently being 
rehabilitated. The inventory must include an Accurate Description of each exotic.









6.4.4.1.2Request in writing permission from the State Veterinarian or his/her designee for an 
extension of the exotic's rehabilitation time when the exotic is carried over from the 
prior year's inventory.

6.4.4.2On a biannual basis (by June 30th and by Dec 31st) notify the Department of exotic 
animals that were acquired in the previous 6 months, and which were not previously 
included in the yearly inventory (see 6.4.4.1.1).

6.4.4.3Provide the Department with a public health and safety plan, an animal attack protocol, an 
emergency evacuation plan and an animal health, proper care and rehabilitation plan 
upon request.

6.4.4.4Be limited to a maximum of twenty (20) exotic animals per Class of Exotic unless a written 
request to exceed the maximum number is approved by the State Veterinarian biannually 
(by June 30th and by December 31st).

6.4.4.5Send a list of relocated exotics to the Department biannually (by June 30th and by 
December 31st).

6.4.4.6The rehabilitator must require at the time of the exotic's relocation that the adopter has 
obtained the appropriate class of Exotic Animal Permit from the Department.

6.4.4.7The rehabilitator must verify at the time of the exotic's relocation that the adopter's name 
and address on a Valid Identification card is the same as noted on the appropriate class of 
Exotic Animal Permit presented.

6.4.4.8Provide the adopter with written information regarding the exotic's enclosure, proper care, 
nutrition and welfare requirements.

6.4.4.9The rehabilitator must inform the adopter that there may be county, city, local laws, rules 
and regulations that may govern or proscribe the possession of exotics in their area.

6.4.4.10If the adopter resides outside the State of Delaware, the rehabilitator must maintain a 
record of the interstate transfer of ownership, including adopter's address; and the 
rehabilitator is responsible for notifying the appropriate state veterinarian's office or 
applicable state agency.

6.4.4.11Keep a record of the adopter's name, address and when available, telephone and e-mail, 
for three years.

6.4.5Adopters of Rehabilitated Exotics; Duties: When an adopter proposes to become an owner or 
custodian of an exotic that requires permitting by the Department the following conditions prior to 
becoming an owner/custodian must be met:

6.4.5.1The adopter must obtain the appropriate class of Exotic Animal Permit from the 
Department prior to the time of the exotic's relocation.

6.4.5.2The adopter must present to the rehabilitator at the time of the exotic's relocation a Valid 
ID with the same name and address that are on the Exotic Animal Permit.

6.5Sales Permit

6.5.1Owners or custodians that sell exotics in Delaware or sell exotics from Delaware to locations 
outside of Delaware must have a valid Delaware business license and must obtain a Sales Permit 
from the Department. Sales Permits granted by the Department must be renewed annually and 
are not transferable.

6.5.1.1Accredited Zoo Permit holders are not required to hold a Sales Permit.

6.5.1.2Individual Permit holders, Exhibitor Permit holders, and Rehabilitator Permit holders 
engaged in the sale of exotics are required to hold a Sales Permit in accordance with 
sections 6.5, 7.5 and 8.5 of these regulations. All of the aforementioned Permit holders 
who apply for a Sales Permit must have a valid Delaware business license.

6.5.1.3A background check of an owner or custodian applying for a Sales Permit may be 
completed by the Department.

6.5.2Seller's Duties- When an owner or custodian proposes to sell an exotic that requires permitting by 
the Department the following conditions of sale must be met:









6.5.2.1The seller must require at the time of the sale that the purchaser has obtained the 
appropriate class of Exotic Animal Permit from the Department.

6.5.2.2The seller must verify at the time of the sale that the purchaser's name and address on a 
Valid Identification card is the same as noted on the appropriate class of Exotic Animal 
Permit presented.

6.5.2.3The seller must provide the purchaser with written information regarding the exotic's 
enclosure and welfare requirements.

6.5.2.4The seller must notify the purchaser that there may be county, city, and local laws, rules 
and regulations within the State of Delaware that may proscribe or govern the possession 
of exotics in their area.

6.5.2.5The seller must notify the Department of the purchaser's name and address, and when 
available, e-mail address or telephone number and an Accurate Description of the Exotic 
after the sale of an Exotic by the first of every month.

6.5.2.6If the purchaser resides outside the State of Delaware, the seller must maintain a record of 
the interstate sale, including purchaser's address, and must notify the appropriate state 
veterinarian's office or applicable state agency.

6.5.2.7A legible copy of the purchaser's sale record must be maintained by the seller for 3 years 
after the sale of the exotic animal.

6.5.2.8The seller must guarantee that all exotic animals put up for sale are in good health at the 
time of sale.

6.5.3Purchaser's Duties- When a purchaser proposes to become an owner or custodian of an exotic 
that requires permitting by the Department the following conditions prior to purchase must be met:

6.5.3.1The purchaser must obtain the appropriate class of Exotic Animal Permit from the 
Department prior to the time of purchase.

6.5.3.2The purchaser must present to the seller at the time of the sale a Valid ID with the same 
name and address that are on the Exotic Animal Permit.

7.0Initial Permit Applications

7.1Individual Permit. Initial applications must be filed with the Department prior to acquiring the exotic and 
prior to relocating an exotic into the State of Delaware. The State Veterinarian, for good causes shown, 
and upon written request of the owner/custodian may grant an extension of time to apply for an initial 
permit. The pre-purchase or pre-adoption fees required to obtain an Individual Permit for an exotic are 
non refundable.

7.2Accredited Zoo Permit. Initial applications must be filed with the Department upon accreditation by the 
Association of Zoos and Aquariums, or its successor association. The Accredited Zoo Permit covers 
every exotic animal housed or kept at the Zoo. The Accredited Zoo Permit application must include a 
current copy of the Zoo's on-going accreditation document and identify an inventory of every exotic 
animal by Accurate Description kept at the Zoo at the time of application.

7.3Exhibitor Permit. Initial applications must be filed with the Department prior to exhibiting exotic animals 
in the State of Delaware. A single Exhibitor Permit covers every exotic animal housed or kept by the 
exhibitor.

7.4Rehabilitator Permit. Initial applications must be filed with the Department prior to rehabilitating an 
exotic animal. A single Rehabilitator Permit covers every exotic animal housed or kept by the 
rehabilitator.

7.5Sales Permit. Initial applications must be filed with the Department prior to the sale of any exotic 
animal by a business. Sales Permits must be obtained for each Class of exotic sold. If an exotic animal 
can be placed in more than one Class, the applicant need only apply for one class per exotic animal. 
The yearly Sales Permit request must include an inventory of each exotic animal per Class of Exotic 
animal identified on the Permit Application. The inventory must identify every exotic animal by 
Accurate Description of the exotic stocked at the business at the time of application for the yearly 
Permit.









8.0Permit Renewal

8.1Individual Permits are valid for 3 years and must be renewed by March 31st of the fourth year.

8.2Accredited Zoo permits are required to be renewed every fifth year by March 31st in keeping with the 
AZA accreditation schedule. An updated inventory must be submitted with each permit renewal 
application.

8.3Exhibitor Permits are required to be renewed as stipulated in 8.3.1 and 8.3.2. An updated inventory 
must be submitted with each permit renewal application.

8.3.1Holders of Exhibitor permits who exhibit in Delaware more than 180 days per calendar year must 
renew by December 31st of each year or by the first of the month after exhibition activities in 
Delaware have exceeded 180 days.

8.3.2Holders of Exhibitor permits who exhibit in Delaware less than or equal to 180 days per calendar 
year must renew annually on an "as needed" basis.

8.4Rehabilitator Permits are valid for three years and renewal must occur by March 31st of the fourth 
year. The renewal application must include proof of an active Wildlife Rehabilitator Permit issued by 
DNREC and an updated inventory.

8.5Sales Permits are required to be renewed on an annual basis and renewal must occur by December 
31st of each year. An updated inventory must be submitted with each permit renewal application.

9.0Possessing or Owning an Exotic Animal Without a Permit

9.1When the Department determines that an owner or custodian of an exotic animal has not obtained the 
required permit, or has failed to timely renew a permit, the Department shall inform the owner or 
custodian by mailing a letter to the owner or custodian's last known address of the legal requirement to 
obtain a permit. The owner or custodian will then have ten (10) business days from the date the 
Department's letter was mailed to obtain the required permit. The State Veterinarian may grant 
additional time to obtain a permit for good cause if petitioned in writing during the ten (10) business 
days from the date the Department's letter. No permit will be issued if possession of an exotic animal is 
prohibited by other applicable statutes. 

9.2Failure to obtain a permit or to timely renew a permit are grounds for the State Veterinarian to seize 
and dispose of the exotic without the administrative hearing contemplated by regulation 13.2 and/or to 
institute criminal proceedings in accordance with Title 3, section 7203.

10.0Transporting; Relocation of Exotic Animals; Transfer of Ownership; Births and Deaths

10.1If an exotic is to be moved from one location to another for any reason, the exotic shall be transported 
in a cage or other container that will be strong enough to prevent its escape while in transport, that will 
protect the public from physical contact with the exotic and that meets the exotic's welfare 
requirements. If an owner or custodian is transporting an exotic because of zoonotic or animal disease 
concerns, the State Veterinarian is to be notified immediately. Violation of this regulation is grounds for 
revoking an otherwise valid permit.

10.2All permit holders are required to notify the Department in writing within thirty (30) business days if they 
change their name, permanent address or other contact information.

10.3All permit holders are required to immediately notify the Department of any change of ownership or 
custodianship of an exotic animal.

10.4Births and Deaths

10.4.1All permit holders must notify the Department of the birth or death of each Exotic by the first of 
every month.

10.4.2Sales permit holders are limited to breeding the following classes: Reptile and Herbivore and must 
stay current with State Veterinarian's list of exotic animals that are prohibited from being bred by 
Sales Permit holders as referenced in 4.4 of these regulations.

10.4.3Accredited Zoo Permit holders may breed exotics in keeping with 4.5.2 of these regulations.









10.4.4Exotics on the State Veterinarian's current list of exotic animals exempt from these regulations 
(see regulation 4.3) may be bred.

11.0Nuisances Prohibited

The exotic must not become a nuisance. Any exotic animal that is an immediate threat and/or poses a 
risk of danger to the public may be subject to seizure and destruction in accordance with regulation 4.2 
and without the administrative hearing contemplated by regulation 13.2.

12.0Escape

The owner or custodian of an exotic who learns of its escape from its enclosures must immediately 
notify the Department and the appropriate animal control agency of the escape. The owner or 
custodian of an escaped exotic has a duty to offer assistance to recapture the exotic and must 
reimburse the Department for any expenses it incurs associated with recapturing the exotic including 
damage to persons, animals or property.

13.0Permit Denials and Revocations; Administrative Hearings; Appeals

13.1The State Veterinarian or his/her designee may deny or revoke an initial application, renewal 
application, or a permit for good cause. Reasons for denials may include, but are not limited to the 
following: a zoo losing its accreditation; an exotic animal biting, maiming, or injuring a human; an exotic 
animal escaping from its enclosures; failure to require and verify that a purchaser/adopter has 
obtained the appropriate class of Exotic Animal Permit from the Department prior to the time of 
purchase/relocation of the Exotic; failure to notify the Department of the transfer or sale of any exotic 
animal; exotic animals being bred or reproducing by Permit class holders not permitted to breed 
exotics; failure to notify the Department of the birth or death of an exotic; failure to keep copies of sales 
records for three years; failure to perform the duties stated in these regulations; any zoonotic or animal 
disease concerns; prior animal cruelty violations; and the applicant/permit holder fails to maintain 
enclosure, proper care, nutrition and welfare standards.

13.2Administrative Hearing: The owner or custodian of an exotic animal may appeal from the State 
Veterinarian's determinations pursuant to regulation 13.1 by requesting an Administrative Hearing 
before the Secretary or his or her designee.

13.2.1Whenever the State Veterinarian proposes to revoke a permit or deny an application for any 
reason other than that the exotic poses an immediate and unreasonable risk of harm to the public, 
the Department shall first give written notice to the permit holder or applicant of the State 
Veterinarian's determination. The written notice shall inform the permit holder or applicant that he 
or she has the right to challenge the determination and to request a hearing before the Secretary 
of the Department or his or her designee. A request for an administrative hearing must be made in 
writing and must be received by the Department within ten (10) business days of the date of the 
written notice to such permit holder or applicant; otherwise, the State Veterinarian's determination 
becomes final. The hearing shall be informal, and the technical rules of evidence shall not apply. 
The administrative hearing shall be scheduled by the Department as soon as practical, but in no 
event more than thirty (30) business days after receiving the written request for an administrative 
hearing.

13.2.2Whenever the State Veterinarian determines that an exotic animal poses an immediate and 
unreasonable risk of harm to public health and safety or domestic animal health, the exotic animal 
is subject to immediate seizure and possible destruction. In such circumstances no administrative 
hearing is available to the applicant/permit holder to challenge the State Veterinarian's 
determination.

13.2.3Administrative hearings shall be recorded. The Secretary or his or her designee shall render his or 
her decision in writing to all interested parties within sixty (60) days of the date of the 
administrative hearing.

13.3Appeals shall be on the record to the Superior Court of the State of Delaware.









HARNESS RACING COMMISSION
Statutory Authority: 3 Delaware Code, Section 10005 (3 Del.C. §10005)\

3 DE Admin. Code 501





501 Harness Racing Rules and Regulations
7.0Rules of the Race

7.6Racing Rules

7.6.1Under Supervision of Starter

7.6.1.1Horses shall be under supervision of the starter from the time they arrive on the track until 
the start of the race.

7.6.1.2All horses shall parade from the paddock to the starting post, and no driver shall dismount 
without the permission of the starter. Attendants may not care for the horses during the 
parade except by permission of the starter.

7.6.1.3After entering the track not more than ten (10) minutes shall be consumed in the parade of 
the horses to the post except in cases of unavoidable delay.

7.6.1.4Horses awaiting post time may not be held on the backstretch in excess of five (5) 
minutes, except when delayed by an emergency.

7.6.2Pre-Race Accidents

When, before a race starts:

7.6.2.1A horse is a runaway or is otherwise involved in an accident, such horse shall be 
examined by the racing veterinarian and if the horse is not ordered scratched by the 
veterinarian, the judges may permit the horse to compete and have this decision 
announced.

7.6.2.2A driver is unseated and appears to have been injured, the horse that was being driven by 
that driver may compete with a substitute driver.

7.6.2.3If a horse is scratched in error and cannot be added back into the pari-mutuel system, the 
horse may race for purse only. The judges shall ensure that the race announcer informs 
the public that the horse will be racing without pari-mutuel wagering.

7.6.3Fair Start

The starter shall give such orders and take such measures that do not conflict with the rules of 
racing, as are necessary to secure a fair start.









7.6.4Starter's Duties

7.6.4.1The starter shall be in the starting gate ten (10) minutes before the post time of the race.

7.6.4.2The starter shall have control over the horses and authority to assess fines and/or 
suspend drivers for any violation of the rules from the formation of the parade until the 
word "go" is given.

7.6.4.3The starter may assist in placing the horses when requested by the judges to do so.

7.6.4.4The starter shall notify the judges and the drivers in writing of penalties imposed by him.

7.6.5Starting

7.6.5.1The starter shall have control of the formation of the parade until giving the word "go".

7.6.5.2After warming up scores, the starter shall notify the drivers to come to the starting gate.

7.6.5.3The horses shall be brought to the starting gate as near one-quarter of a mile before the 
start as the track will permit.

7.6.5.4Allowing sufficient time so that the speed of the gate can be increased gradually, the 
following minimum speeds will be maintained:

7.6.5.4.1For the first one-eighth of a mile, not less than 11 miles per hour.

7.6.5.4.2For the next one-sixteenth of a mile, not less than 18 miles per hour.

7.6.5.4.3From that point to the starting point, the speed will be gradually increased to maximum 
speed.

7.6.5.5The starting point will be a point marked at a designated spot not less than 200 feet from 
the first turn. The starter shall give the word "go" at the starting point.

7.6.5.6When a speed has been reached in the course of a start there shall be no decrease 
except in the case of a recall.

7.6.6Recall Rules

7.6.6.1In case of a recall, a light plainly visible to the drivers shall be flashed and a recall 
sounded, but the starting gate shall proceed out of the path of the horses. In the case of a 
recall, whenever possible, the starter shall leave the wings of the gate extended and 
gradually slow the speed of the gate to assist in stopping the field of horses. In an 
emergency, however, the starter shall use his discretion to close the wings of the gate.

7.6.6.2There shall be no recall after the word "go" has been give unless there is a mechanical 
failure of the starting gate.

7.6.6.3The starter shall attempt to dispatch all horses away in position and on gait but there shall 
be no recall for a breaking horse.

7.6.6.4In the event a horse causes two recalls, it may be scratched by the judges.

7.6.6.5The starter may sound a recall for the following reasons:

7.6.6.5.1A horse scores ahead of the gate;

7.6.6.5.2There is interference;

7.6.6.5.3A horse has broken equipment;

7.6.6.5.4A horse falls before the word "go" is given; or

7.6.6.5.5A mechanical failure of the starting gate;

7.6.6.5.6A horse comes to the gate out of position.

7.6.6.7A fine and/or suspension may be applied to any driver for:

7.6.6.7.1Delaying the start;

7.6.6.7.2Failure to obey the starter's instructions;

7.6.6.7.3Rushing ahead of the inside or outside wing of the gate;

7.6.6.7.4Coming to the starting gate out of position;

7.6.6.7.5Crossing over before reaching the starting point;

7.6.6.7.6Interference with another driver during the start; or

7.6.6.7.7Failure to come up into position.









7.6.7Starting Gate

7.6.7.1No persons shall be allowed to ride in the starting gate except the starter and the driver or 
operator and a patrol judge, unless permission has been granted by the Presiding Judge.

7.6.7.2Use of the mechanical loudspeaker for any purpose other than to give instructions to the 
drivers is prohibited. The volume shall be no higher than necessary to carry the voice of 
the starter to the drivers.

7.6.7.3The arms of all starting gates shall be provided with a screen or shield in front of the 
position for each horse.

7.6.7.4The official starter must ensure that the starting gate is in good working order prior to the 
beginning of each race program.

7.6.7.5The official starter and starting gate driver shall operate the starting gate in a manner 
consistent with the safe conduct of the race, the safety of the race participants and the 
safety of the patrons.

7.6.8Two-Tiered Races

7.6.8.1In the event there are two tiers of horses, the withdrawing of a horse that has drawn or 
earned a position in the front tier shall not affect the positions of horses that have drawn or 
entered positions in the second tier.

7.6.8.2Whenever a horse is drawn from any tier, horses on the outside move in to fill the vacancy. 
Where a horse has drawn a post position in the second tier, the driver of such horse may 
elect to score out behind any horse in the front tier so long as it does not interfere with 
another trailing horse or deprive another trailing horse of a drawn position.

7.6.8.3When there is only one trailer, it may start from any position in the second tier. When there 
is more than one trailer, they must start from inside any horse with a higher post position.

7.6.9Starting Without a Gate

7.6.9.1When horses are started without a gate the starter shall have control of the horses from 
the formation of the parade until giving the word "go". The starter shall be located at the 
wire or other point of start of the race at which point as nearly as possible the word "go" 
shall be given. No driver shall cause unnecessary delay after the horses are called. After 
two preliminary warming-up scores, the starter shall notify the drivers to form in parade.

7.6.9.2The driver of any horse refusing or failing to follow the instructions of the starter as to the 
parade or scoring ahead of the pole horse may be set down for the heat in which the 
offense occurs, or for such other period as the starter shall determine, and may be fined. 
Whenever a driver is taken down, the substitute shall be permitted to score the horse 
once. A horse delaying the race may be started regardless of its position or gait and there 
shall not be a recall because of a bad acting horse. If the word "go" is not given, all the 
horses in the race shall immediately turn on signal, and jog back to their parade positions 
for a fresh start. There shall be no recall after the starting word is given.

7.6.10Horse Deemed a Starter

Horses shall be deemed to have started when the word "go" is given by the starter and all horses 
must go the course except in the case of an accident in which it is the opinion of the judges that it 
is impossible to go the course.

7.6.11Unmanageable/Bad Acting Horses

7.6.11.1If, in the opinion(s) of the judges and/or the starter, a horse is unmanageable or liable to 
cause accidents or injury to any other horse or to any driver, it may be sent to the barn. 
When this action is taken, the starter will notify the judges who will in turn notify the public 
and order any refunds as may be required in Rule 10 of these rules.

7.6.11.2The starter may place a bad acting horse on the outside at his discretion. Such action may 
be taken only where there is time for the starter to notify the judges who will in turn notify 
the public prior to any pari-mutuel wagering on the race. If pari-mutuel wagering has 
already begun on the race, the horse must be scratched as stipulated in subdivision 1 
above.









7.6.12Post Positions, Heat Racing

7.6.12.1The horse winning a heat shall take the inside position in the succeeding heat, unless 
otherwise specified in the published conditions of the race, and all others shall take their 
positions in the order they were placed in the prior heat.

7.6.12.2When two or more horses dead heat, their positions shall be determined by lot.

7.6.13Conduct of the Race

7.6.13.1A driver shall not commit any of the following acts which are considered violations of 
driving rules:

7.6.13.1.1Change course or position, or swerve in or out, or bear in or out during any part of the 
race in such a manner as to compel a horse to shorten its stride or cause another 
driver to change course, take his horse back, or pull his horse out of its stride.

7.6.13.1.2Impede the progress of another horse or cause it to break from its gait.

7.6.13.1.3Cross over too sharply in front of another horse or in front of the field.

7.6.13.1.4Crowd another horse by 'putting a wheel under it.'

7.6.13.1.5Allow another horse to pass needlessly on the inside, or commit any other act that 
helps another horse to improve its position.

7.6.13.1.6Carry another horse out.

7.6.13.1.7Take up or slow up in front of other horses so as to cause confusion or interference 
among the trailing horses.

7.6.13.1.8Maintain an outside position without making the necessary effort to improve his overall 
position.

7.6.13.1.9Strike or hook wheels with another sulky.

7.6.13.1.10Lay off a normal pace and leave a hole when it is well within the horse's capacity 
to keep the hole closed.

7.6.13.1.11Drive in a careless or reckless manner.

7.6.13.1.12Fail to set, maintain or properly contest a pace comparable to the class in which 
he is racing considering the horse's ability, track conditions, weather and 
circumstances confronted in the race.

7.6.13.1.13Riding 'half-in' or 'half-out'.

7.6.13.1.14Kicking a horse.

7.6.13.1.15Excessive and/or unnecessary conversation between and among drivers while on 
the racetrack during the time when colors are required is prohibited. Any violation of 
this rule may be punished by a fine, suspension or combination thereof.

7.6.13.2A complaint by a driver of any foul, violation of the rules or other misconduct during a race 
shall be made immediately after the race to which it relates, unless the driver is prevented 
from doing so by an accident or injury or other reasonable excuse. A driver desiring to 
enter a claim of foul, or other complaint of violation of the rules, shall make this known to 
the starter before dismounting and shall proceed immediately to the paddock telephone to 
communicate immediately with the judges. Any driver who is involved in an objection or 
inquiry shall proceed immediately to the paddock telephone to communicate with the 
judges. The judges shall not cause the official sign to be posted until the matter has been 
dealt with.

7.6.13.3If a violation is committed by a person driving a horse coupled as an entry the judges may 
set both horses back if, in their opinion, the violation may have affected the finish of the 
race, otherwise penalties may be applied individually.

7.6.13.4In the case of interference, collision, or violation of any rules, the offending horse may be 
placed back one or more positions in that heat or dash, and in the event of such collisions, 
interference or violation preventing any horse from finishing the heat or dash, the 
offending horse may be disqualified from receiving any winnings and the driver may be 
fined or suspended. If a horse is set back, it must be placed behind the horse with which it 









interfered. If an offending horse has interfered with a horse involved in a dead heat and 
the offending horse is set back, it must be placed behind the horses in the dead heat.

7.6.13.5If the judges believe that a horse is, or has been driven with design to prevent it winning a 
race or races, they shall consider it a violation by the driver.

7.6.13.6If the judges believe that a horse has been driven in an inconsistent manner, they shall 
consider it a violation.

7.6.13.7If the judges believe that a horse has been driven in an unsatisfactory manner due to lack 
of effort or a horse has been driven in an unsatisfactory manner for any reason, they shall 
consider it a violation punishable by a fine and/or suspension.

7.6.13.8If a horse is suspected to have choked or bled during a race, the driver and/or trainer of 
that horse is required to report this to the judges immediately after the race.

7.6.13.9If, in the opinion of the judges, a driver is for any reason unfit or incompetent to drive, or is 
reckless in his conduct and endangers the safety of horses or other drivers in a race, he 
shall be removed and another driver substituted at any time and the offending driver may 
be fined, suspended or expelled.

7.6.13.10If for any cause other than being interfered with, or broken equipment, a horse fails to 
finish after starting a race, that horse shall be ruled out of any subsequent heat of the 
same event. If it is alleged that a horse failed to finish a race because of broken 
equipment, this fact must be reported to the paddock judge who shall make an 
examination to verify the allegation and report the findings to the judges.

7.6.13.11A driver must be mounted in the sulky at all times during the race or the horse shall be 
placed as a non-finisher.

7.6.13.12Shouting or other improper conduct in a race is forbidden.

7.6.13.13Drivers shall keep both feet in the stirrups during the post parade and from the time the 
horses are brought to the starting gate until the race has been completed. Drivers shall be 
permitted to remove a foot from the stirrups during the course of the race solely for the 
purpose of pulling ear plugs and once same have been pulled the foot must be placed 
back into the stirrup. Drivers who violate this rule may be subject to a fine and/or 
suspension.

7.6.13.14Drivers will be allowed whips not to exceed 4 feet, plus a snapper not longer than 6 inches. 
Provided further that the following actions shall be considered as excessive or an 
indiscriminate use of the whip: a) Causing visible injury. b) Whipping a horse after a race. 
c) Whipping under the arch or shafts of the sulky. The use of the whip shall be confined to 
an area above and between the sulky shafts, to include the sulky shafts and the outside 
wheel discs. Drivers shall keep a line in each hand from the start of the race until the 
quarter pole. From the quarter pole to the 7/8th pole, a driver may only use the whip once 
for a maximum of three strokes. Once the lead horse is at the 7/8th pole, these restrictions 
do not apply. The Judges shall have the authority to order and/or conduct such visual 
inspections at their discretion. Impelling of a Horse

7.6.13.14.1Whips: Drivers will be allowed whips not to exceed 4 feet, plus a snapper not longer 
than 6 inches. Modification of a whip is prohibited.

7.6.13.14.1.1Use: The use of a whip shall be confined to the areas above and between the 
sulky shafts and the outside wheel disks.

7.6.13.14.1.2Drivers shall keep a line in each hand from the start of the race until the 
quarter pole. 

7.6.13.14.1.3From the quarter pole to the 7/8th pole, a driver may only use the whip once 
for a maximum of three strokes. Once the lead horse is at the 7/8th pole, these 
restrictions do not apply. 

7.6.13.14.2Violations:

7.6.13.14.2.1Whipping under the arch or shafts of the sulky

7.6.13.14.2.2Whipping a horse after the race









7.6.13.14.2.3Causing injury (visible or not) with a whip

7.6.13.14.2.4Striking or jabbing a horse with the butt end of a whip

7.6.13.14.2.5Whipping a horse that is out of contention

7.6.13.14.2.6Brutal, excessive, and or indiscriminate use of a whip.

7.6.13.14.2.6.1Inspections: At extended pari-mutuel meetings, under the supervision of 
the judges, there may be a mandatory inspection of each horse following each 
race for evidence of excessive or brutal use of the whip. At all other meetings, the 
judges shall have the authority to order and/or conduct such inspections at their 
discretion.

7.6.13.15The use of any goading device, or chain, or spur, or mechanical or electrical device other 
than a whip as allowed in the rules, upon any horse, shall constitute a violation.

7.6.13.16The possession of any mechanical or electrical goading device on the grounds of an 
Association shall constitute a violation.

7.6.13.17The judges shall have the authority to disallow the use of any equipment or harness that 
they feel is unsafe or not in the best interests of racing.

7.6.13.18Brutal or excessive or indiscriminate use of a whip, or striking a horse with the butt end of 
a whip, or striking a wheel disc of a sulky with a whip, shall be a violation. At extended 
pari-mutuel meetings, under the supervision of the judges, there may be a mandatory 
visual inspection of each horse following each race for evidence of excessive or brutal use 
of the whip. At all other meetings, the judges shall have the authority to order and/or 
conduct such visual inspections at their discretion.

7.6.13.19Whipping a horse by using the whip below the level of the shafts or the seat of the sulky or 
between the legs of the horse shall be a violation.

7.6.13.2018When a horse breaks from its gait, it shall be considered a violation on the part of the 
driver for:

7.6.13.2018.1Failure to take the horse to the outside of other horses where clearance exists.

7.6.13.2018.2Failure to properly attempt to pull the horse to its gait.

7.6.13.2018.3Failure to lose ground while on a break.

7.6.13.2018.4If no violation has been committed, the horse shall not be set back unless a 
contending horse on his gait is lapped on the hind quarter of the breaking horse at the 
finish. The judges may set any horse back one or more places if in their judgment, any 
of the above violations have been committed, and the driver may be penalized.

7.6.13.2018.5Any horse making a break which causes interference to other horses may be placed 
behind all offended horses. If there has been no failure on the part of the driver of the 
breaking horse in complying with Rule 7.6.13.20, no fine or suspension shall be 
imposed on the driver as a consequence.

7.6.13.2119If, in the opinion of the judges, a driver allows a horse to break for the purpose of losing a 
race, he or she shall be in violation of the rules.

7.6.13.2220It shall be the duty of one of the judges to call out every break made and have them duly 
recorded in judges official race reports.

7.6.13.2321The horse whose nose reaches the wire first is the winner. If there is a dead heat for first, 
both horses shall be considered winners. In races having more than one heat or dash, 
where two horses are tied in the summary, the winner of the longer dash or heat shall be 
entitled to the trophy. Where the dashes or heats are of the same distance and the horses 
are tied in the summary, the winner of the faster dash or heat shall be entitled to the 
trophy. Where the dashes or heats are of the same time, both horses shall be considered 
winners and the entitlement of the trophy will be decided by lot.

7.6.13.2422The wire or finish line is a real line established with the aid of a surveyor's transit, or an 
imaginary line running from the center of the judges' stand to a point immediately across 
and at right angles to the track.









7.6.13.2523If, during the preliminary scores or during a race a driver is unseated in such a manner that 
he or she falls to the ground, the Presiding Judge or judges may direct the driver to report 
to the infirmary or to the emergency department of the nearest hospital for examination 
and receive clearance to continue with driving assignments on that day of racing.

7.6.13.2624If a horse is to warm up it must go its last warm-up on the same racing strip as it will 
compete on unless excused by the judges.

7.6.14Harness Race Track Without a Hubrail

7.6.14.1If at a racetrack which does not have a continuous solid inside hub rail, a horse or part of 
the horse's sulky leaves the course by running over or going inside the pylons or other 
demarcation which constitutes the inside limits of the course, the offending horse may be 
placed one or more positions where, in the opinion of the judges, the action gave the 
horse an unfair advantage over other horses in the race, or the action helped the horse 
improve its position in the race. Drivers may be fined or suspended for permitting a horse’s 
sulky to run over or go inside the pylons or other demarcation which constitutes the inside 
limits of the course. In addition, when an act of interference causes a horse or part of the 
horse's sulky to cross the inside limits of the course, and the horse is placed by the judges, 
the offending horse shall be placed behind the horse with which it interfered.

7.6.14.2In the event a horse or part of a horse’s sulky leaves the course for any reason, it shall be 
the driver’s responsibility to take all reasonable steps to safely reenter the race course as 
soon as possible.

7.6.15Extended Homestretch

7.6.15.1With approval of the Commission, a track may extend the width of its homestretch up to 10 
feet inward in relation to the width of the rest of the racetrack.

7.6.15.2In the event the home stretch is expanded pursuant to 7.6.15.1 above, the following shall 
apply:

7.6.15.2.1When entering or while going through the homestretch for the first time in a race, no 
horse shall use the expanded inside lane in an attempt to pass other horses or 
improve its position. Any horse, which does so shall be disqualified and placed last in 
the order of finish.

7.6.15.2.2the lead horse in the homestretch shall maintain as straight a course as possible while 
allowing trailing horses full access to the extended inside lane. 

If, in the opinion of the judges, the lead horse changes course in the homestretch in an 
attempt to prevent a trailing horse from passing, said horse shall be placed 
accordingly.

7.6.15.2.3Horses using the expanded inside lane during the homestretch drive for the finish of 
the race, must first have complete clearance of the pylons marking the inside 
boundary of the racecourse. Any horse or sulky running over one or more of the 
pylons or going inside the pylons while attempting to use the expanded inside lane, 
may be disqualified or placed back one or more positions.

7.6.15.2.4A horse may only be driven into the expanded homestretch lane for the purpose of 
passing another horse and may not be driven into the expanded homestretch lane for 
the purpose of blocking a trailing horse. If, in the opinion of the judges, a horse is 
driven into the expanded homestretch lane for the purpose of blocking a trailing horse, 
the driver of the blocking horse may be fined and/or suspended and the horse may be 
placed accordingly.









DEPARTMENT OF FINANCE
STATE LOTTERY OFFICE
Statutory Authority: 29 Delaware Code, Section 4805 (29 Del.C. §4805)



460 Sports Lottery Rules and Regulations
1.0Introduction

These regulations are authorized pursuant to 29 Del.C. §4805 of Title 29 of the Delaware Code. 
Sports lottery operations in the State of Delaware are strictly regulated by the Delaware State Lottery 
Office through the powers delegated to the Director of the Lottery pursuant to Title 29 of the Delaware 
Code.

2.0Definitions

The following words shall be accorded these meanings:

"agency" - the Delaware State Lottery Office created pursuant to 29 Del.C. Ch. 48.

"agent" or "licensed agent" or "licensed sports lottery agent" - any person licensed by the Director 
of the agency to conduct sports lottery operations.

"applicant" - any person applying for a license authorized under these regulations.

"background investigation" - the security, fitness and background checks conducted of an applicant.

"business plan" - a document containing information regarding sports lottery operations as may be 
required by the Director.

"central system" - the hardware, software and network components, which link and support all 
required sports lottery machines and the central site.

"central system provider" - a person with whom the agency has contracted for the purpose of 
providing and maintaining a central communication system and the related management facilities with 
respect to operating and servicing the sports lottery machines.

"central site" - the location where the central sports lottery communications control systems shall be 
located.

"certification" - the authorization by the lottery in accordance with its inspection and approval process 
of sports lottery machines, such certification to relate to either hardware or software.

"credit" - the opportunity provided to a player to play a sports lottery game or redeem the credit for 
cash.

"credit slip" – the ticket (receipt) resulting from a sports lottery game.

“Director" - the Director of the Delaware State Lottery Office as established by Title 29 of the Delaware 
Code.









"key employee" - an individual employee, person or agent of an applicant or licensee who has the 
power to exercise significant influence over significant decisions concerning the applicant's or 
licensee's business.

"kind, type and number" - the generic varieties of sports lottery machines that may be selected for 
installation, and the quantities in which they may be installed.

"license" - the authorization granted by the agency which permits an applicant to engage in defined 
sports lottery activities as an agent or technology provider; and authorization granted by the agency 
which permits an applicant to perform employment duties as a key employee or sports lottery 
operations employee.

"license application" - the process by which a person requests licensing for participation in the sports 
lottery operations.

"licensee" - any person authorized by the Director to participate in sports lottery operations.

"lottery" - the public gaming system or games established and operated by the Delaware State Lottery 
Office.

"maximum wager limit" - the maximum amount that can be wagered on a single sports lottery wager 
be it head-to-head or parlay, as determined by the Lottery Director from time to time.

"net proceeds" – All proceeds net of proceeds returned to players.

"owner" - a person who owns, directly or indirectly, ten percent or more of an applicant or licensee.

"person" - an individual, general partnership, limited partnership, corporation or other legal entity.

"player" - an individual who plays a sports lottery game.

"premises" - the building and grounds occupied by a licensed agent where the agent's sports lottery 
operations occur or support facilities for such operations exist, such as facilities for the service of food 
or drink, including those areas not normally open to the public, such as areas where records related to 
sports lottery operations are kept. The boundaries of the premises will be delineated on the floor plan 
in an agent's business plan.

"request for proposals and qualifications" - a document developed under the direction of the 
Delaware State Lottery Office for the purpose of soliciting responses from potential technology 
providers as a means of acquiring bids for goods or services.

"service technician" - any person who performs service, maintenance and repair operations on sports 
lottery machines.

“sports lottery” shall mean a lottery in which the winners are determined based on the outcome of any 
professional or collegiate sporting event, including racing, held within or without the State, but 
excluding collegiate sporting events that involve a Delaware college or university, and amateur or 
professional sporting events that involve a Delaware team.

“sports lottery machine” shall mean any machine in which bills, coins or tokens are deposited in 
order to play a sports lottery game. A machine shall be considered a sports lottery machine 
notwithstanding the use of an electronic credit system making the deposit of bills, coins or tokens 
unnecessary.

“sports lottery operations employee” shall mean an individual employee, person or agent of an 
applicant or licensee who is responsible for the security of sports lottery operations or proceeds.

“sports lottery systems” – systems provided by a technology provider that consist of sports wagering 
products, risk management (bookmaking), operations and support services.

"technology provider" - any person or entity who proposes to contract with a sports lottery agent or 
the agency for the provision of goods or services related to a sports lottery, the provision of which 
requires a license pursuant to 29 Del.C. Ch. 48.

"terminal" – see “sports lottery machine”.

“VLEU”- the Video Lottery Enforcement Unit of the Delaware State Police. This unit is also responsible 
for the security of the Sports Lottery.









3.0Licensing of Agents; Business Plans

3.1Any applicant desiring to obtain a license to act as an agent shall apply to the agency on forms 
specified by the Director from time to time. Application forms shall require the applicant to provide the 
following, without limitation:

3.1.1The applicant's legal name, form of entity (e.g., general or limited partnership, corporation), the 
names, addresses, employer identification or social security numbers (if applicable) and dates of 
birth (if applicable) of its directors, officers, partners, owners, and key employees and sports lottery 
operations employees.

3.1.2A description of the applicant's organizational structure.

3.1.3With respect to any persons named in subparagraph 3.1.1 that are not individuals, the names, 
addresses, social security numbers, and birth dates of all individuals who are directors, officers, 
owners, partners, key employees, or sports lottery operations employees of any such persons.

3.1.4The percentages of shares of stock, if any, held by each person named in subparagraph 3.1.1 or 
subparagraph 3.1.3 above. The Director may, at his or her discretion, cause periodic 
reexamination of the percentage of shares held by persons subject to such disclosures under 
these regulations.

3.1.5The names of all persons principally involved in the original creation of the applicant's enterprise.

3.1.6The names, if any, and addresses, social security numbers, and dates of birth of any person who 
is or was a director, officer, owner, partner, key employee, or sports lottery operations employee of 
the applicant who has been charged with or convicted of a felony, a crime involving gambling, or a 
crime of moral turpitude.

3.1.7Certified copies of the applicant's charter, articles of incorporation, partnership agreement, and 
other documents which constitute or explain the legal organization of the applicant.

3.1.8The name, address, social security or employer identification number and date of birth of the 
record owner of the premises or the property upon which the premises are located or, if the 
applicant is not the sole owner of the premises or property, the information required by 
subparagraph 3.1.1 above with respect to all persons having an ownership interest in the premises 
or property and copies of all agreements pursuant to which the applicant occupies the premises or 
property, as well as copies of all documents relating to the premises or property including, without 
limitation, all mortgages, deeds of trust, bonds, debentures, pledges of corporate stock and voting 
trust agreements, but excluding easements; utility agreements; subdivision and plot plans; and, for 
the period prior to three years before the filing of the application, deeds in the chain of title and 
satisfied mortgages.

3.1.9The information required by subparagraph 3.1.1 above as to any operator of any business 
conducted by such applicant and any other contractor (which is not a publicly traded entity) utilized 
by such applicant which has received compensation from such applicant in excess of $50,000 in 
any of the three (3) preceding fiscal years together with a copy of all agreements between such 
applicant and such operator or contractor and a statement of all compensation paid to such 
operator or contractor during said three-year period.

3.1.10Copies of the applicant's audited financial statements for the preceding three (3) fiscal years and a 
copy of internally prepared financial statements for the current fiscal year as at the close of the 
most recent fiscal quarter.

3.1.11Copies of the applicant's State and Federal tax returns for a period of three (3) fiscal years.

3.1.12Copies of the declaration pages of all insurance policies insuring the applicant or the premises.

3.1.13The information required by subparagraph 3.1.1 above as to the ten (10) largest unsecured 
creditors which are not publicly traded entities or accounting firms or legal firms of the applicant 
who are owed more than $25,000 by the applicant for a period in excess of sixty days.

3.1.14Disclosure regarding the applicant or any other persons identified in subparagraphs 3.1.1 or 3.1.3 
who were rejected for any gambling or gaming license or permit in any other jurisdiction.

3.1.15Any and all other information as the Director may require to determine the competence, honesty 
and integrity of the applicant as required by Title 29 of the Delaware Code.









3.2The application, as well as other documents submitted to the agency by or on behalf of the applicant 
for purposes of determining the qualifications of the applicant or agent, shall be sworn to or affirmed 
before a notary public. If any form or document is signed by an attorney for the applicant, the signature 
shall certify that the attorney has read the forms or documents and that, to the best of his or her 
knowledge, information and belief, based on diligent inquiry, the contents of the form or documents so 
supplied are true.

3.3Upon request of the agency, the applicant shall supplement the information provided in the application 
form as deemed necessary by the agency. The applicant shall furnish all information, including 
financial data and documents, certifications, consents, waivers, individual history forms, tax returns, 
cancelled checks or other materials required or requested by the agency for purposes of determining 
the qualifications of the applicant or agent.

3.4To the extent, if any, that the information supplied in the application or otherwise supplied by the 
applicant or on the applicant's behalf, becomes inaccurate or incomplete, the applicant shall so notify 
the agency in writing as soon as it is aware that the information is inaccurate or incomplete, and shall 
at that time supply the information necessary to correct the inaccuracy or incompleteness of the 
information.

3.5The applicant shall cooperate fully with the agency and the VLEU with respect to its background 
investigation of the applicant. Among other things, the applicant, upon request, shall make available 
any and all of its books or records for inspection by the agency or the VLEU.

3.6The applicant shall submit with the application a proposed business plan for the conduct of sports 
lottery operations. The plan shall include, without limitation, the following items: a floor plan of the area 
to be used for sports lottery operations; an advertising/marketing plan; the proposed placement of 
sports lottery machines on the premises; the kind, type and number of sports lottery machines 
proposed; money control procedures; a security plan; a staffing plan for sports lottery operations; 
accounting and tax compliance procedures; and the method to be utilized for payments of winnings by 
players.

3.7As soon as the agency has determined that the application is complete, it shall forward same to the 
VLEU which shall, as soon as practicable, undertake and complete the background investigation of the 
applicant, its officers, directors, partners, owners and key employees, sports lottery operations 
employees and report its findings to the agency.

3.8The Director shall weigh the following factors in his or her evaluation of the application:

3.8.1The criminal background, if any, of the applicant, or any of its officers, directors, partners, owners, 
key employees, and sports lottery operations employees. No license shall be issued to any 
applicant if any of the persons identified in this subsection have been convicted, within 10 years 
prior to the filing of the application, of any felony, a crime of moral turpitude or a crime involving 
gambling.

3.8.2The extent to which, if any, the applicant would be subject to the control or influence of its activities 
by any person having a financial interest pertaining to the applicant, including a mortgage or other 
lien against property of the applicant or, who in the opinion of the agency, might otherwise 
influence its activities. In such case the Director shall consider the character, honesty and integrity 
of whoever has the ability to control or influence the activities of the applicant.

3.8.3The degree to which the applicant has demonstrated its ability to finance the proposed sports 
lottery operations, as well as the source of such financing.

3.8.4The degree to which the applicant has supplied accurate and complete information pursuant to the 
requirements of these regulations.

3.8.5Whether the applicant holds a license as a technology provider. An agent license shall not be 
granted to an applicant who is an owner of a technology provider.

3.8.6Whether the applicant has demonstrated the business ability and experience necessary to 
satisfactorily conduct the sports lottery operations.

3.8.7The extent to which the applicant has cooperated with the agency and the State Police in 
connection with the background investigation.









3.8.8Whether the person, or any of its officers, directors, partners, owners, key employees, or sports 
lottery operations employees are known to associate with persons of nefarious backgrounds or 
disreputable character such that the association could adversely affect the general credibility, 
security, integrity, honesty, fairness or reputation of the lottery.

3.8.9With respect to any past conduct which may adversely reflect upon the applicant, the nature of the 
conduct, the time that has passed since the conduct, the frequency of the conduct and any 
extenuating circumstances that affect or reduce the impact of the conduct or otherwise reflect 
upon the applicant's fitness for the license.

3.8.10The extent, if any, to which the applicant has failed to comply with any applicable tax laws of the 
federal, state or local governments.

3.8.11The adequacy of the applicant's business plan, as it reflects on the applicant's competency or 
capability to conduct sports lottery operations in conformance with the requirements of these 
regulations.

3.8.12Any other information before the Director, including substantially similar background investigations 
performed by other agencies or jurisdictions, which relates to the applicant's competency, financial 
capability, honesty, integrity, reputation, habits, or associations.

3.9A license shall be issued to the applicant if the Director is satisfied, upon consideration of the factors 
specified in subsection 3.8, that the applicant would be a fit agent and not pose a threat to the public 
interest, the reputation of the lottery, or the effective control of the lottery.

3.10The approval of any license or the renewal of a license to an agent is subject to the following 
conditions:

3.10.1Operation pursuant to a license issued under these regulations shall signify agreement by the 
agent to abide by all provisions of the regulations, including those contained in this section.

3.10.2The agent shall at all times make its premises available for inspection by authorized 
representatives of the agency or the VLEU personnel, on a 24-hour unannounced basis. The 
VLEU shall be authorized entry to the premises and access to any sports lottery machines or 
records of the agent without acquiring a warrant.

3.10.3The agent and any entity owned by the agent in which the agent has a controlling ownership 
interest shall consent in writing to the examination of all accounts, bank accounts, and records 
under the control of the agent or the owned entity; and, upon request of the agency, shall authorize 
all third parties in possession or control of the said documents to allow the agency to examine 
such documents.

3.10.4To the extent permitted by law, an agent accepts all risks of adverse public notice, 
embarrassment, criticism, damages, or financial loss which may result from any disclosure or 
publication of material or information supplied to the agency in connection with the application for 
the agent's operations.

3.10.5An agent shall immediately notify the agency of any proposed or effective change regarding the 
makeup of the owners, directors, officers, partners, or key employees of the agent.

3.10.6The agent shall certify by a sworn notarized statement that it has not entered and does not intend 
to enter into any joint venture, partnership or teaming agreement in order to fulfill its obligations in 
connection with the sports lottery operations; that it is not acting as a distributor of products 
manufactured by another entity; and that it has not entered and does not intend to enter into any 
agreement whereunder the proceeds generated by any agreement between the agent and the 
agency would be shared with one or more other persons. Provided, however, that an agent may 
enter into a management agreement with a third-party, who is not licensed under these regulations 
as a technology provider, for the operation of the sports lottery on the agent's premises provided 
that: (1) the proposed management agreement is provided to and approved by the agency, and (2) 
the third-party complies with all these regulations which apply to agents, including without 
limitation the licensure requirements.

3.11Any license granted may not be transferred, assigned or pledged as collateral. A change of ownership 
which occurs after the Director has issued a license shall automatically terminate the license ninety 
(90) days thereafter. Provided, however, that the Director may issue a license to the new owner if 









satisfied, after the submission of an application that the new owner has met the requirements 
contained in 29 Del.C. §4806(a)(1-4), as well as the fitness and background standards contained in 
such law and these regulations. In the case of a death of an owner, the estate of such owner shall be 
deemed to have met the requirements of §4806(a)(1-4) for a period of one year following such death 
without the need for submitting an application, and, thereafter, need only supply such additional 
information as the Director may request. In the case of a shift in equity positions of owners, or a 
transfer among owners, notice shall be given the Director, but the license shall not terminate so long 
as no new owner is created or results. An agent may also seek approval of a proposed change in 
ownership prior to the actual change.

3.12If the Director proposes to deny a license application and the agency is subject to the requirements 
contained in subchapter IV of 29 Del.C. Ch. 101, the agency shall first give written notice to the 
applicant of the intended action, the reasons therefor, and the right to a hearing as provided for in 29 
Del. C. Ch. 101.

3.13At the time of issuance of the license or thereafter, in the Director's sole discretion, the Director may 
approve the proposed business plan of the applicant or the agent. If the Director determines that an 
amendment or amendments to the plan are necessary to increase revenues from the sports lottery, 
protect the public welfare or ensure the security of the sports lottery, he or she may amend the plan 
accordingly. An agent may request an amendment to an approved business plan, which proposed 
amendment shall be subject to the approval of the Director.

3.14Any potential sports lottery agent who is already licensed as a Delaware State Lottery Video Lottery 
Agent is not required to apply for a separate sports lottery license. Any such Agent must, however, file 
with the agency, the names, addresses, employer identification or social security numbers (if 
applicable) and dates of birth (if applicable) of its directors, officers or partners, owners, key employees 
and sports lottery operations employees not already provided under the Agent’s Video Lottery license 
application. The Agent must also submit an amendment to its video lottery business plan that shall 
include, without limitation, the items as described in section 3.6 of this regulation.

3.15To the extent provided by law, any information obtained pursuant to this Section 3 shall be held in 
confidence and not subject to the Delaware Freedom of Information Act, 29 Del.C. Ch. 100.

4.0Licensing of Technology Providers

4.1As deemed necessary, the Director shall give public notice of the agency's intent to select technology 
providers of sports lottery systems that consist of sports wagering products, risk management 
(bookmaking), operations and support services through a request for proposal and qualifications by 
advertising in a newspaper of general circulation in Delaware and in a prominent trade publication 
requesting expressions of interest to serve as a technology provider. The licensing of a technology 
provider shall not serve as the basis of requiring the Director to select the technology provider under 
the procurement procedures set forth in Chapter 69 of Title 29 of the Delaware Code.

4.2Each person desiring to obtain a license from the agency as a technology provider shall submit a 
license application on a form specified and supplied by the agency. Any person or entity who proposes 
to contract with a sports lottery agent or the Lottery for the provision of goods or services related to 
sports lottery operations, must obtain a technology provider license pursuant to these Sports Lottery 
Regulations. The license application shall, among other things:

4.2.1Give notice that the applicant will be required to submit to a background investigation, the cost of 
which must be borne by the applicant.

4.2.2Require the applicant to supply specified information and documents related to the applicant's 
fitness and the background of its owners, partners, directors, officers, key employees, and sports 
lottery operations employees, including but not limited to copies of financial statements, tax 
returns, insurance policies, and lists of creditors.

4.2.3Require the applicant to disclose the identity of all customers to whom it has furnished sports 
lottery systems within the three years immediately preceding the date of the application.

4.2.4Require the applicant to disclose whether the applicant, or any of its present or former officers, 
directors, owners, partners, key employees, or sports lottery operations employees, is or has been 









the subject of an investigation in another jurisdiction, the nature of the investigation, and the 
outcome, if any, of such investigation.

4.2.5Provide a description of the means by which the applicant exercises security and financial control 
over the activities of service technicians in order to insure the integrity of sports lottery operations.

4.2.6Require the applicant to disclose its legal name, form or entity (e.g., general or limited partnership, 
corporation), the names, addresses, social security numbers and dates of birth of its directors, 
officers, partners, owners, key employees and sports lottery operations employees.

4.2.7Require the applicant to disclose the names and addresses of individuals who have been 
authorized by the applicant to engage in dealings with the agency for purposes of representing the 
interests of the applicant.

4.2.8Require the applicant to enclose copies of its audited financial statements for the preceding three 
(3) fiscal years and a copy of internally prepared financial statements for the current fiscal year or 
at the close of the most recent fiscal quarter.

4.2.9Require the applicant to provide a description of its risk management capabilities, engineering and 
software development resources, technical and maintenance support capabilities and ability to 
manufacture and deliver the sports lottery machines.

4.2.10Require persons who are proposing to contract with the agency or a sports lottery agent to provide 
a copy of their contract proposal.

4.3Upon request, the applicant shall supplement the information provided in the application form as 
deemed necessary by the Director.

4.4To the extent, if any, that the information in the application or the supplemental information provided by 
the applicant becomes inaccurate or incomplete, the applicant shall so notify the agency in writing as 
soon as it is aware that the information is inaccurate or incomplete, and shall at that time supply the 
information necessary to make the application or supplementary information accurate and complete.

4.5The applicant shall cooperate fully with the agency and the Delaware State Police VLEU in any 
background investigation of the applicant.

4.6The applicant, upon request of the agency or the Delaware State Police VLEU, shall make any and all 
of its books and records available for inspection by the agency or the Delaware State Police VLEU. 
Provided, however, that any information obtained pursuant to this subsection shall, to the extent 
provided by law, be held in confidence and not subject to the Delaware Freedom of Information Act.

4.7As soon as the agency has determined that the application form is complete and that the applicant is 
otherwise qualified, it shall forward the same to the Delaware State Police VLEU which shall conduct 
as soon as practicable a background investigation of the applicant, its officers, partners, owners, 
directors, key employees, and sports lottery operations employees, and report its findings to the 
agency.

4.8Notwithstanding any other provision contained herein to the contrary, the Director may determine, 
upon review of the licensing standards of another state, that such standards are so comprehensive, 
thorough, and provide similar adequate safeguards, that the license of an applicant in such other state 
precludes the necessity of a full application and background check. In such case, the Director shall 
require a limited application and background check, as determined by the Director in his sole 
discretion, as are necessary to assure that the applicant is fit for the license and does not pose a threat 
to the public interest of the State or to the reputation of or effective regulation of the sports lottery.

4.9In evaluating applications, the Director shall consider:

4.9.1Whether the applicant has demonstrated that it has the resources, experience and ability 
necessary to supply the necessary sports lottery systems as may be required under a contract 
with the agency.

4.9.2Any past conduct of the applicant, or any of its present or former officers, directors, partners, 
owners, key employees, or sports lottery operations employees which may adversely reflect upon 
the applicant, the nature of the conduct, the time that has passed since the conduct, the frequency 
of the conduct and any extenuating circumstances that affect or reduce the impact of the conduct 
or otherwise reflect upon the applicant's fitness for the license. No license shall be issued to any 









applicant if any of the persons identified in this subsection have been convicted, within ten years 
prior to the filing of the application, of any felony, a crime of moral turpitude or a crime involving 
gambling.

4.9.3Any findings provided by the Delaware State Police VLEU following its background investigation.

4.9.4The extent, if any, to which the applicant has failed to comply with any applicable tax laws of the 
Federal, State or local governments.

4.9.5The association of the applicant, or any of its officers, directors, owners, partners, key employees, 
or sports lottery operations employees with persons of known criminal background or persons of 
disreputable character, that may adversely affect the general credibility, security, integrity, 
honesty, fairness or reputation of sports lottery operations.

4.9.6Any other information supplied in connection with the application, including substantially similar 
background investigations performed by other agencies or jurisdictions, which relates to the 
applicant's competence, financial capability, honesty, integrity, reputation, habits, or associations.

4.9.7The degree to which the applicant has supplied accurate and complete information pursuant to the 
requirements of these regulations.

4.9.8Whether the applicant is in compliance with the section of Title 29, ch. 48, §4805 (a) (17) that 
states: “The risk manager must be a bookmaker currently licensed to operate, and operating, 
sports books in the United States and the sports lottery technology system provider must be 
licensed to operate lotteries in the United States.”

4.10A license shall not be issued to a technology provider if the applicant technology provider has any 
direct or indirect financial interest in an agent licensee or the real or personal property of an agent 
licensee.

4.11A license shall be issued to the applicant if the Director is satisfied, upon consideration of the factors 
specified in subsection 4.9, that the applicant would be a fit technology provider and not pose a threat 
to the public interest, the reputation of the lottery or to the effective control of the lottery.

4.12An applicant for a technology provider's license shall, prior to issuance of the license, post a bond or 
irrevocable letter of credit in a manner and in an amount established by the agency. Any such bond 
shall be issued by a surety company authorized to transact business in Delaware and said company 
shall be approved by the State Insurance Commissioner as to solvency and responsibility.

4.13The agency, with the assistance of the VLEU, may require licensed technology providers to annually 
update information submitted with their initial license application.

5.0Technology Providers: Contracts; Requirements; Duties

5.1The Director shall, pursuant to the procedures set forth in chapter 69 of title 29 of the Delaware Code, 
enter into contracts with licensed technology providers as he or she shall determine to be appropriate, 
pursuant to which the technology providers shall furnish to the State, a sports lottery system that 
results in the efficient and economical operation of the lottery, convenience of the players, and is in 
accordance with the agents' business plans as approved and amended by the Director.

5.2All contracts with technology providers who are sports lottery system providers shall include without 
limitation, provisions to the following effect:

5.2.1The technology provider shall furnish a person to work with the agency and its consultants to 
provide assistance as needed in establishing, planning and executing acceptance tests on the 
sports lottery machines provided by such technology provider. Technology provider assistance 
shall be provided as requested by the agency in troubleshooting communication and technical 
problems that are discovered when sports lottery machines are initially placed at the agent's site;

5.2.2The technology provider shall submit sports lottery machine illustrations, schematics, block 
diagrams, circuit analysis, technical and operation manuals, program source code and object code 
and any other information requested by the Director for purposes of analyzing and testing the 
sports lottery machines;

5.2.3For testing, examination and analysis purposes, the technology provider shall furnish working 
models of sports lottery machines, associated equipment, and documentation at locations 









designated by the Director. The technology provider shall maintain the current software and sports 
lottery machines in good working order acceptable to the agency. The technology provider shall 
pay all costs of any testing, examination, analysis and transportation of the sports lottery 
machines, which may include the entire dismantling of the machines and some tests that may 
result in damage or destruction to one or more electronic components of the machines. The 
agency and its agents shall have no liability for any damage or destruction. The agency may 
require that the technology provider provide specialized equipment or the agency may employ the 
services of an independent technical laboratory expert to test the sports lottery machine at the 
technology provider's expense;

5.2.4Technology providers shall submit all hardware, software, and test equipment necessary for 
testing of their sports lottery machines, and shall provide the Director with keys and locks subject 
to the Director’s specifications for each approved sports lottery machine;

5.2.5The software or other equivalent technology of each sports lottery machine shall be certified to be 
in compliance with published specifications;

5.2.6No sports lottery machine shall be put into use prior to certification of its model by the Director.

5.3All contracts with technology providers shall include without limitation, provisions to the following 
effect;

5.3.1Technology providers shall agree to promptly report any violation or any facts or circumstances 
that may result in a violation of these rules; provide immediate access to all its records and its 
physical premises for inspection at the request of the Director; attend all trade shows or 
conferences as required by the Director;

5.3.2Technology providers shall agree to modify their hardware and software as necessary to 
accommodate sports game changes directed by the agency from time to time;

5.3.3Technology providers shall provide such bonds and provide evidence of such insurance as the 
Director shall require from time to time and in such amounts and issued by such companies as the 
Director shall approve; and

5.3.4Technology providers shall have a valid license to conduct business in the State of Delaware, shall 
comply with all applicable tax provisions, and shall in all other respects be qualified to conduct 
business in Delaware.

5.4Each sports lottery machine certified by the Director shall bear a unique serial number and shall 
conform to the exact specifications of the sports lottery machine model tested and certified by the 
Director.

5.5Technology providers shall hold harmless the agency, the State of Delaware, and their respective 
employees for any claims, loss, cost, damage, liability or expense, including, without limitation, legal 
expense arising out of any hardware or software malfunction resulting in the wrongful award or denial 
of credits or cash.

5.6A technology provider shall not distribute a sports lottery machine for placement in the state unless the 
machine has been approved by the agency. Only licensed technology providers may apply for 
approval of a sports lottery machine or associated equipment. The technology provider shall submit 
two copies of sports lottery machine illustrations, schematics, block diagrams, circuit analysis, 
technical and operation manuals, program source code and object code, and any other information 
requested by the agency for purposes of analyzing and testing the sports lottery machine or 
associated equipment.

5.7The agency may require that two working models of a sports lottery machine be transported to the 
location designated by the agency for testing, examination, and analysis. The technology provider 
shall pay all costs of testing, examination, analysis and transportation of such sports lottery machine 
models, which may include the entire dismantling of the sports lottery machine and tests which may 
result in damage or destruction to one or more electronic components of such sports lottery machine 
model. The agency may require that the technology provider provide specialized equipment or the 
services of an independent technical expert in testing the terminal.

5.8After each test has been completed, the agency shall provide the sports lottery systems provider with a 
report that contains findings, conclusions, and pass/fail results. Prior to approving a particular sports 









lottery machine model, the agency may require a trial period not in excess of sixty (60) days for a 
licensed agent to test the sports lottery machine. During the trial period, the technology provider may 
not make any modifications to the sports lottery machine model unless such modifications are 
approved by the agency.

5.9The technology provider is responsible for the assembly and initial operation, in the manner approved 
and licensed by the agency, of all its sports lottery machines and associated equipment. The 
technology provider may not change the assembly or operational functions of any of its sports lottery 
machines approved for placement in Delaware unless a "request for modification to an existing sports 
lottery machine prototype" is made to the agency, that request to contain all appropriate information 
relating to the type of change, reason for change, and all documentation required. The agency must 
approve such request prior to any changes being made, and the agency shall reserve the right to 
require second testing of sports lottery machines after modifications have been made.

5.10Each sports lottery machine approved for placement in a licensed agent's place of business shall 
conform to the exact specifications of the sports lottery machine prototype tested and approved by the 
agency. Any sports lottery machine which does not so conform shall be disconnected from the 
Delaware sports lottery system until compliance has been achieved. Each sports lottery machine shall 
at all times operate and be placed in accordance with the provisions of these regulations.

5.11The following duties are required of all licensed technology providers, without limitation:

5.11.1Manufacture terminals and associated equipment for placement in Delaware in accordance with 
the specifications of the agency.

5.11.2Manufacture terminals and associated equipment to ensure timely delivery to licensed Delaware 
agents.

5.11.3Maintain and provide an inventory of associated equipment to assure the timely repair and 
continued, approved operation and play of licensed sports lottery machines acquired under the 
contract for placement in Delaware, provided further that said equipment will be maintained at a 
Delaware storage facility or warehouse.

5.11.4Provide an appropriate number of service technicians with the appropriate technical knowledge 
and training to provide for the service and repair of its licensed sports lottery machines and 
associated equipment so as to assure the continued, approved operation and play of those 
machines acquired under contract for placement in Delaware.

5.11.5Obtain any certification of compliance required under the applicable provisions of rules adopted by 
the Federal Communications Commission.

5.11.6Promptly report to the agency any violation or any facts or circumstances that may result in a 
violation of State or Federal law and/or any rules or regulations adopted pursuant thereto.

5.11.7Conduct sports lottery operations in a manner that does not pose a threat to the public health, 
safety, or welfare of the citizens of Delaware, or reflect adversely on the security or integrity of the 
sports lottery.

5.11.8Hold the agency and the State of Delaware and its employees harmless from any and all claims 
that may be made against the agency, the State of Delaware, or the employees of either, arising 
from the technology provider's participation in or the operation of a sports lottery game.

5.11.9Defend and pay for the defense of all claims that may be made against the agency, the State of 
Delaware, or the employees of either, arising from the technology provider's participation in sports 
lottery operations.

5.11.10Maintain all required records.

5.11.11Provide only those licensed sports lottery machines, validation units and associated equipment 
approved under these regulations.

5.11.12It shall be the continuing duty of the technology provider licensee to provide the Director with an 
updated list of the names and addresses of all its employees who are involved in the daily 
operation of the sports lottery machines. These employees will include individuals or their 
supervisors involved with (1) the repair or maintenance of the sports lottery machines, or (2) 
positions that provide direct access to the sports lottery machines. It shall be the continuing duty of 









the technology provider licensee to provide for the bonding of each of these individuals to ensure 
against financial loss resulting from wrongful acts on their parts.

5.11.13It shall be the ongoing duty of the technology provider licensee to notify the Director of any change 
in officers, partners, directors, key employees, sports lottery operations employees, or owners. 
These individuals shall also be subject to a background investigation. The failure of any of the 
above-mentioned individuals to satisfy a background investigation may constitute "cause" for the 
suspension or revocation of the technology provider's license.

5.11.14Supervise its employees and their activities to ensure compliance with these rules.

5.11.15Promptly report to the Lottery any violation or any facts or circumstances that may result in a 
violation of State or Federal law and/or any rules or regulations pursuant thereto, excluding 
violations concerning motor vehicle laws.

5.11.16Comply with such other requirements as shall be specified by the Director.

6.0Agents: Duties

The following duties are required of all licensed agents:

6.1Provide a secure location for the placement, operation, and play of all licensed sports lottery machines 
located on the licensed agent's premises.

6.2Permit no person to tamper with or interfere with the approved operation of any licensed sports lottery 
machine without prior written approval of the agency and the VLEU, unless otherwise directed by the 
Lottery.

6.3Assure that telephone lines from the central computer system to the licensed sports lottery machines 
located on the licensed agent's premises are at all times connected, and prevent any person from 
tampering or interfering with the continuous operation of the lines.

6.4With respect to sports lottery operations, contract only with officers, directors, owners, partners, key 
employees, and suppliers of sports lottery equipment and paraphernalia authorized by the agency to 
participate in sports lottery operations within the State of Delaware.

6.5Ensure that licensed sports lottery machines are placed and remain as placed unless the agency 
authorizes their movement within the sight and control of the agent or a designated employee, through 
physical presence and by the use of surveillance cameras at all times.

6.6Ensure that licensed sports lottery machines are placed and remain as placed in the specific area of 
the premises as approved by the lottery. The initial placement and any subsequent relocation of any 
sports lottery machine requires the prior written approval of the agency.

6.7Monitor sports lottery play and prevent play by persons who are under the age of twenty-one (21) 
years or who are intoxicated, or whom the agent has reason to believe are intoxicated, and prohibit 
play by persons who are barred by law or self-barred from playing the sports lottery.

6.8Commit no violations of the laws of this State concerning the sale, dispensing, and consumption on the 
premises of alcoholic beverages that result in suspension or revocation of an alcoholic beverage 
license.

6.9Maintain at all times sufficient cash for daily operations.

6.10Exercise caution and good judgment in extending credit for sports lottery play, and comply with all 
applicable federal and state laws.

6.11Exercise caution and good judgment in providing cash for checks presented for sports lottery play. The 
agent shall also ensure that any contractor who performs check-cashing services for the agent also 
exercises caution and good judgment in providing cash for checks under this Regulation.

6.12Report promptly all sports lottery machine malfunctions to the appropriate technology provider and 
notify the agency of any technology provider failure to provide service and repair of such terminals and 
associated equipment.

6.13Conduct agency approved advertising and promotional activities related to sports lottery operations.

6.14Install, post and display prominently at locations within or about the premises signs, redemption 
information and other promotional material as may be required by the agency.









6.15Conduct sports lottery operations only during those hours established and approved by the Director or 
designee.

6.16Assume responsibility for the proper and timely payment to players of winning sports lottery wagers.

6.17Prohibit the possession, use or control of gambling paraphernalia on the premises not directly related 
to the lottery or horse racing or harness horse racing and prohibit illegal gambling on the premises.

6.18Attend all meetings, seminars, and training sessions required by the agency.

6.19Supervise its employees and their activities to ensure compliance with these rules.

6.20Assume responsibility for the proper and immediate redemption of all credits; however, no credits may 
be redeemed by a person under twenty-one (21) years of age, and no credits submitted for redemption 
beyond the one year time limit will be redeemed. No credits or prizes may be redeemed by any person 
illegally on the agent’s premises or persons who have requested that they be self-banned from the 
Agent’s premises.

6.21Provide dedicated power and a proper sports lottery environment in accordance with the specifications 
of the agency. The agent shall permit no person to completely shut off power to an operational sports 
lottery machine without the prior approval of the agency.

6.22Furnish to the Director complete information pertaining to any change in ownership of the agent or the 
owner of the premises or beneficial owner (other than a change in ownership by an owner of less than 
twenty (20) percent of the issued and outstanding capital stock of the agent or premises owner if such 
stock is publicly traded).

6.23Promptly report to the lottery any violation or any facts or circumstances that may result in a violation of 
State or Federal law and/or any rules or regulations pursuant thereto, excluding violations concerning 
motor vehicle laws.

6.24Conduct sports lottery operations in a manner that does not pose a threat to the public health, safety, 
or welfare of the citizens of Delaware, or reflect adversely on the security or integrity of the lottery.

6.25Hold the Director, the State of Delaware, and employees thereof harmless from and defend and pay for 
the defense of any and all claims which may be asserted against the Director, the State or the 
employees thereof, arising from the participation in the sports lottery, except claims arising from the 
negligence or willful misconduct of the Director, the State or the employees thereof.

6.26Maintain all required records.

6.27Provide at the request of the Director or the VLEU immediate access to the premises and to all records 
related to any aspect of these regulations, including without limitation the duties imposed by these 
regulations.

6.28Keep current on all payments, tax obligations and other obligations to the agency and other licensees 
with whom sports lottery business is conducted. The agent shall pay the players and transfer the net 
proceeds to the State lottery fund in conformity with the requirements set forth in these regulations and 
29 Del.C. Ch. 48.

6.29Locate all sports lottery machines within the viewing range of closed circuit television cameras at all 
times, including both normal business hours and those periods when sports lottery operations are 
closed. The presence of these cameras is to ensure the integrity of the lottery, the sports lottery 
operations, and the safety of the patrons. Surveillance tapes will be maintained by the agent according 
to a schedule established by the Director and the VLEU. The installation of any new closed circuit 
television or repositioning of any CCTV cameras or new surveillance system must be reviewed and 
approved by the Director and the VLEU before being placed in operation.

6.30Comply with such other requirements as shall be specified by the Director. The agent shall submit to 
the Director a description of its system of internal procedures and administrative and accounting 
controls which shall conform to the rules and regulations of the agency and be otherwise satisfactory 
to the Director in his or her sole discretion.

6.31Provide, on a continuing basis, to the Director the names and addresses of all employees who are 
involved in the daily operation of the sports lottery. These employees will include individuals or their 
supervisors involved with (1) the security of the sports lottery, (2) the handling or transporting of 
proceeds from sports lottery, or (3) positions that provide direct access to sports lottery machines. It 









shall be the continuing duty of the sports lottery agent licensee to provide for the bonding of any of the 
above-mentioned employees to ensure against financial loss resulting from wrongful acts on their 
parts. Likewise, the agent shall post a bond or irrevocable letter of credit in a manner and in an amount 
established by the agency. Any such bonds shall be issued by a surety company authorized to transact 
business in Delaware and said company shall be approved by the State Insurance Commissioner as to 
solvency and responsibility.

6.32Notify the Director on a continuing basis of any change in officers, partners, directors, key employees, 
sports lottery operations employees, and owners.

6.32.1The sports lottery agent shall provide this information to the Lottery and the VLEU on a weekly 
basis. Such persons will also be subject to a background investigation. The failure of any of the 
above-mentioned persons to satisfy a background investigation may constitute "cause" for the 
suspension or revocation of the sports lottery agent's license, provided that an agent is first given 
a reasonable opportunity to remove or replace such person if the agent was unaware of such 
"cause" prior to the background investigation. The agent must supply the VLEU with the 
completed License Application Form ("LAF") and fingerprint cards for each employee before the 
employee begins employment. Agent employees required to be licensed by the Delaware Lottery 
laws, 29 Del.C. Ch. 48, and these Regulations must have been successfully completed and been 
issued a valid license under section 14.0 of these Regulations prior to commencement of 
employment.

6.32.2The agent must notify the VLEU of the transfer of any employee within the agent’s organization on 
a weekly basis. The Lottery and the VLEU will determine if a new or updated LAF must be 
submitted for the transferred employee.

6.32.3The agent must notify the Lottery and the VLEU of the termination of any employee and the reason 
for the termination on a weekly basis.

6.32.4The agent must submit to the Lottery and the VLEU on a weekly basis the names of all new 
employees who will work on the sports lottery premises.

6.32.5The agent must obtain advance approval before any temporary employee, consultant, or 
contractor will be permitted access to secure locations. Any such temporary employee, consultant, 
or contractor must submit a Request for Temporary Work Approval Form to the VLEU at least 
forty-eight (48) hours prior to the date of assignment. Any such temporary employee, consultant, 
or contractor must also submit a license application pursuant to Regulation 14.0 and must be 
employed by a licensed technology provider. Any vendor who proposes to contract with a sports 
lottery agent or the Lottery for the provision of goods or services, related to the sports lottery 
operations, must obtain a technology provider license pursuant to Sports Lottery Regulation 4.0. 
The Lottery will consider secure areas to include, but not be limited to, access to the inside of a 
sports lottery machine, surveillance rooms, cash vaults, and cash booths.

6.33As soon as it is known to the agent, file with the Director a copy of any current or proposed agreement 
and disclose to the Director any other relationship between the agent, its parents, subsidiaries, related 
entities, partners, owners, directors, officers or key employees for the sale, lease, maintenance, repair 
or other assignment of the agent's premises, or any other relationship of any vendor, manufacturer or 
other person who stands to benefit financially from the possession or use of sports lottery machines by 
such agent. Failure to file such information shall constitute grounds for the revocation or suspension of 
a license.

6.34The agent shall file with the Director for approval every contract in excess of $50,000 which pertains to 
the agent's sports lottery operations. The agent shall notify the Director of any contract with an entity 
that is subject to the license requirements for vendors or technology providers under 29 Del.C. 
§4805(a)(17) and Chapter 4 of these Regulations.

6.35Comply with the provisions of the business plans as approved and amended.

6.36Comply on a continuing basis with the requirements for obtaining or retaining a license under the 
provisions of these regulations and 29 Del.C. Ch. 48.









7.0Sports lottery

7.1The Director shall authorize a sports lottery on the agent's premises in conformity with approved 
business plans, as amended.

7.2The sports lottery shall be based on bills, coins, or credits and the wagering limits shall be set by the 
Lottery in cooperation with the technology provider.

7.3Each sports lottery machine shall display the amount wagered and the payout based on the amount 
wagered.

7.4Each player shall be at least twenty-one (21) years of age. In the event an underage player attempts to 
claim any winning payout, the sports lottery agent should treat the wager as void and the underage 
player shall not be entitled to any winning payouts or a refund of amounts bet. In the event a person 
illegally on the premises or a self-barred person attempts to claim any winning payout, the sports 
lottery agent will also treat the wager as void and the person shall not be entitled to any winning 
payouts or a refund of amounts bet. This policy prohibiting persons underage, persons illegally 
entering the premises, and persons self-barred from winning prizes shall be prominently displayed on 
the premises of the sports lottery agent.

7.5Agents shall redeem credit slips presented by a player in accordance with procedures proposed by the 
agent and approved by the Director prior to the opening of the premises for sports lottery wagering. 
Such procedures shall be modified at the direction of the Director in his or her sole discretion at any 
time. Players claiming winning payouts may be required to present sufficient identification as required 
by the agency.

7.6Credit slips may be redeemed by a player at the designated place on the premises where the sports 
lottery is located during the one year redeeming period commencing on the date that the last wagered 
event occurred.

7.7No credit slip or winning ticket shall be redeemed more than one (1) year from the date that the last 
wagered event occurred. Funds reserved for the payment of a credit slip or expired winning ticket shall 
be paid into the State Lottery Fund if unredeemed one year from the date that the last wagered event 
occurred. The one-year redemption policy in this regulation shall be prominently displayed on the 
premises of the sports lottery agent.

7.8No payment for a credit slip may be made unless the credit slip meets the following requirements:

7.8.1It is presented on a fully legible, valid, printed credit slip on paper approved by the agency, 
containing the information as required;

7.8.2It is not mutilated, altered, unreadable, or tampered with in any manner, or previously paid;

7.8.3It is not counterfeit in whole or in part; and

7.8.4It is presented by a person authorized to play.

7.9Method of Payment - The management of each licensed agent shall designate employees authorized 
to redeem credit slips during the hours of operation. Credits shall be immediately paid in cash or by 
check when a player presents a credit slip for payment meeting the requirements of this section.

7.10Restrictions on Payment - Agents may only redeem credit slips from sports lottery machines located 
on its premises.

7.11Redeemed Tickets Defaced - All credit slips redeemed by a licensed agent shall be marked or 
defaced in a manner that prevents any subsequent presentment and payment.

7.12Liability for Malfunction - The agency and the State of Delaware are not responsible for any sports 
lottery machine malfunction or for any error by the agent that causes credit to be wrongfully awarded 
or denied to players.

7.13Sports lottery machines shall not be operated or available for play on Christmas, or after 4:00 a.m. on 
Easter.









8.0Accounting and Distribution Procedures

8.1The technology provider will provide an accounting mechanism for the sports lottery system as a 
whole, which mechanism shall achieve compliance with the standards of integrity, security and control 
established by the agency.

8.2Each agent and technology provider shall submit to the Director such financial and operating 
information as the Director shall require from time to time at such times and in such format as the 
Director shall specify. For purposes of submission of this and other information, each agent shall have 
a computer on the premises which is suitable for this purpose.

8.2.1Each agent, unless specifically exempted by the Agency, shall file weekly, monthly, quarterly, and 
annual reports and statistical data in a format specified by the Director. The data may be used by 
the Agency to evaluate the financial position and operating performance of individual sports lottery 
agents and to compile information regarding the performance and trends of the sports lottery 
industry in the State of Delaware. 

8.2.2Each agent, unless specifically exempted by the Agency, shall at its own expense, cause its 
annual financial statements to be audited in accordance with generally accepted auditing 
standards by an independent certified public accountant licensed to practice in the State of 
Delaware.

8.2.3The annual financial statement shall be prepared on a comparative basis for the current and prior 
fiscal year, and shall present the sports lottery agent's present financial position and results of 
operations in conformity with generally accepted accounting principles.

8.2.4The Agency may periodically prescribe a set of standard reporting forms and instructions to be 
used by each sports lottery agent for filing the weekly, monthly, and quarterly reports.

8.2.5Each sports lottery agent and technology provider, unless specifically exempted by the Agency, 
shall conduct its sports lottery operations to meet the minimum requirements set forth in the 
Agency's Minimum Internal Control Standards (MICS).

8.3The agency or its designated agents shall have the right to audit the books and records including 
without limitation tax returns and IRS withholding and reporting records of any agent and each 
technology provider. To such end, the agents and technology providers shall fully cooperate with 
whomever undertakes the audit.

8.4All proceeds, net of proceeds returned to players, from the operation of the sports lottery shall be 
electronically transferred daily or weekly at the discretion of the Lottery Director into a designated State 
Lottery account by the agent. To the extent, if any, that such daily or weekly remission cannot be 
achieved due to the unavailability of bank services, the remission shall be made on the first day that 
such services are available. Agents shall furnish to the agency all information and bank authorizations 
required to facilitate the timely transfer of monies to the State lottery fund. Agents shall provide the 
agency thirty (30) days advance notice of any proposed account changes in order to assure the 
uninterrupted electronic transfer of funds.

8.6The agency is not responsible for resolving net proceeds discrepancies which are differences between 
actual money collected and the amount shown on the billing statement. Further, the agency is not 
responsible for the loss or theft of money prior to its deposit in the agency's account in the bank.

8.7Agents shall comply with all prescribed Federal requirements for tax withholding, recording and 
reporting, including, without limitation, those requirements relating to the transfer of funds withheld 
from player winnings from the agents to the tax authorities.

8.8Any discrepancy regarding settlement of accounts will be resolved by the Director as he or she deems 
appropriate.

9.0Maintenance of Sports Lottery Machines

9.1No sports lottery machine may be placed in operation in Delaware until the technology provider has 
provided its personnel with sufficient and appropriate training in the service and repair of each of its 
approved sports lottery machine models.









9.2Each technology provider shall service and maintain its sports lottery machines, current software, and 
associated equipment in the manner and condition required by the agency and in accordance with its 
contractual arrangements. 

9.3Technology providers shall provide the agency or its designee upon request with a master key for 
access into each locked compartment of each sports lottery machine placed in operation.

10.0Standards for Advertising, Marketing and Promotional Materials

10.1All advertising, marketing and promotional materials, related to the sports lottery or referencing the 
sports lottery, to be utilized by an agent or person acting on behalf of the agent shall be submitted to 
the agency for review and approval prior to use, except that such materials need not be submitted for 
review and approval if identical materials have been previously submitted and approved. Materials 
are not identical for purposes of this provision if they vary in any respect, such as in the size of a 
billboard.

10.2The agency shall review any materials submitted pursuant to this section and approve their use unless 
in the judgment of the agency such materials, if used, would result in an appearance which reflects 
adversely on the agency, would reasonably be expected to offend a substantial number of people, 
contain inaccurate or misleading information, or otherwise be inappropriate.

11.0Enforcement

11.1The license of a sports lottery agent or technology provider may be suspended or revoked for the 
following reasons:

11.1.1Failure of the agent to file with the Director the information required pursuant to 29 Del.C.
§4820(a); and

11.1.2For cause, such as, but not limited to falsifying any application for license or report to the agency; 
failure to report information required by the regulations; the material violation of the regulations; or 
any conduct by the licensee, or any of its owners, officers, directors, partners, key employees, or 
sports lottery operations employees, which undermines the public confidence in the sports lottery 
system or serves the interest of organized gambling or crime and criminals in any manner. A 
license may be revoked for an unintentional violation of any Federal, State or local law, rule or 
regulation provided that the violation is not cured within a reasonable time as determined by the 
Director, or a longer period where the sports lottery agent has made diligent efforts to cure. For 
purposes of this provision, the licensee is deemed to be familiar with all the provisions of these 
regulations and unintentional violations shall not include violations which the agent or technology 
provider asserts are unintentional because of lack of awareness of these regulations. Likewise, 
for purposes of this provision, diligent efforts to cure shall not constitute a defense to a suspension 
or revocation of the license arising out of situations where the violation would not have occurred 
had the licensee exercised diligent efforts to comply with the requirements when they were first 
applicable.

11.2Prior to the revocation or suspension of any license, the agency shall notify the licensee of the 
intended revocation or suspension of the license, and the reasons therefor. No revocation or 
suspension shall be effective until a final order is issued pursuant to the following procedure, except 
when the public welfare clearly requires emergency action and the agency's order so states. The 
notice of the intended revocation or suspension shall comply with any applicable requirements of the 
Delaware Administrative Procedures Act and, at a minimum, afford the licensee with an opportunity for 
a hearing.

11.3If the licensee desires a hearing, it shall provide the agency with a written statement within ten days of 
receipt of the notice which contains the following:

11.3.1A clear and concise assignment of each error which the licensee alleges to have been committed 
in the tentative determination to suspend or revoke the license. Each assignment of error should 
be listed in a separately numbered paragraph.









11.3.2A clear and concise statement of the facts on which the licensee relies in support of each 
assignment of error.

11.3.3A prayer setting forth the relief sought.

11.3.4The signature of the licensee or an officer authorized to request the hearing.

11.3.5A verification by the licensee or counsel for the licensee that the statements contained in the 
statement are true.

11.4The Secretary of Finance with respect to petitions filed by agents, and the Director with respect to 
petitions filed by technology providers, shall appoint a hearing officer within a reasonable time of 
receipt of the statement referenced in the preceding paragraph. Notice of the hearing shall be given at 
least 20 days before the date it is to be held.

11.5The licensee may appear individually, by legal counsel, or by any other duly authorized representative. 
In the absence of the licensee, written evidence of a representative's authority shall be presented to 
the hearing officer in a form satisfactory to the hearing officer.

11.6The licensee or his duly authorized representative, may, with the approval of a hearing officer, waive 
the hearing and agree to submit the case for decision on the record, with or without a written brief. 
Such a waiver or agreement shall be in writing and placed in the record.

11.7The licensee shall be given an opportunity for argument within the time limits fixed by the hearing 
officer following submission of the evidence. The hearing officer, upon request of the licensee, may 
accept briefs in lieu of argument. The briefs shall be filed within ten days after the hearing date or 
within such other time as fixed by the hearing officer.

11.8The hearing officer may admit any relevant evidence, except that it shall observe the rules of privilege 
recognized by law. The hearing officer may exclude any evidence which is irrelevant, unduly 
repetitious, or lacking a substantial probative effect.

11.9A record shall be made of all hearings and all witnesses shall be sworn and subject to cross 
examination.

11.10Following the conclusion of the hearing and within ten days of the receipt of the transcript thereof, or 
within such other time as fixed by the hearing officer but in no event later than forty-five days following 
the hearing, the hearing officer shall in proceedings involving agents prepare a final decision, including 
his or her findings of fact and conclusions of law, and the order signed by the hearing officer shall be 
final. A copy of said order shall be served upon the licensee and any attorney of record in person or 
by registered or certified mail. In proceedings involving technology providers, the hearing officer shall 
submit his or her recommendations to the Director for decision.

11.11Notwithstanding the procedures set forth herein regarding technology providers, there shall be no right 
of hearing or judicial review allowed with respect to decisions involving technology providers unless 
otherwise provided by law.

11.12Whoever violates the Lottery chapter 29 Del.C. Ch. 48, or any Lottery rule or regulation duly 
promulgated thereunder, or any condition of a license issued pursuant to 29 Del.C. §4805, or any 
Administrative Order issued pursuant to Lottery statutes or Regulations shall be punishable as follows:

11.12.1If the violation has been completed, by a civil penalty imposed by Superior Court, which by 29 
Del.C. §4823 shall have jurisdiction of civil penalty actions brought pursuant to this section, of not 
less than $1000 nor more than $10,000 for each completed violation. Each day of a continued 
violation shall be considered as a separate violation if, on each such day, the violator has 
knowledge of the facts constituting the violation and knows or should know that such facts 
constitute or may constitute a violation. Lack of knowledge regarding such facts or violation shall 
not be a defense to a continued violation with respect to the first day of its occurrence.

11.12.2If the violation is continuing or there is a substantial likelihood that it will reoccur, the Director may 
also seek a temporary restraining order, preliminary injunction, or permanent injunction in the 
Court of Chancery, which shall have jurisdiction of an action for such relief.

11.12.3In his discretion, the Director may impose an administrative penalty of not more than $1,000 for 
each administrative penalty for each violation. Each day of continued violation shall be considered 
as a separate violation if the violator has knowledge of the facts constituting the violation and 









knows or should know that such facts constitute or may constitute a violation. Lack of knowledge 
regarding such facts or violations shall not be a defense to a continued violation with respect to the 
first day of its occurrence. Prior to the assessment of an administrative penalty, written notice of 
the Director's proposal to impose such penalty shall be given to the violator, and the violator shall 
have 30 days from receipt of such notice to request a public hearing. Any public hearing, if 
requested, shall be held prior to the imposition of the penalty and shall be governed by §10125 of 
Title 29. If no hearing is timely requested, the proposed penalty shall become final and shall be 
paid no later than 60 days from receipt of the notice of proposed penalty. Assessment of an 
administrative penalty shall take into account the circumstances, nature, and gravity of the 
violation, as well as any prior history of violations, the degree of culpability, the economic benefit to 
the violator resulting from the violation, any economic loss to the State, and such other matters as 
justice may require. In the event of nonpayment of an administrative penalty within 30 days after 
all legal appeal rights have been waived or otherwise exhausted, a civil action may be brought by 
the Director in Superior Court for the collection of the penalty, and for interest, from the date 
payment was due, attorneys' fees and other legal costs and expenses. The validity or amount of 
such administrative penalty shall not be subject to review in an action to collect the penalty. Any 
penalty imposed after a public hearing is held pursuant to this subsection shall be appealable to 
Superior Court, and such appeal shall be governed by §10142 of Title 29.

11.12.4In his discretion, the Director may endeavor to obtain compliance with requirements of the Lottery 
chapter, 29 Del.C. Ch. 48, by written Administrative Order. Such order shall be provided to the 
responsible party, shall specify the complaint, and propose a time for correction of the violation. It 
may also provide an opportunity for a public hearing at which the Director shall hear and consider 
any submission relevant to the violation, corrective action, or the deadline for correcting the 
violation.

11.13The Director shall enforce Ch. 48, 29 Delaware Code and any rules, regulations, or Administrative 
Orders issued thereunder.

11.14Any interest, costs or expenses collected by the Lottery under actions instituted by 29 Del.C. §4823 or 
these regulations shall be appropriated to the State Lottery Office to carry out the purposes of 29 
Del.C. Ch. 48.

12.0Employee License Procedure

12.1The license applicant, licensee, or sports lottery agent or technology provider employee will contact 
the State Bureau of Identification (SBI) or the Delaware State Police Video Lottery Enforcement Unit to 
make arrangements for fingerprint processing.

12.1.1The applicant will complete the license application form for a Sports Lottery license as required by 
the Lottery and VLEU.

12.1.2The completed license application form will be reviewed and witnessed by the applicant’s human 
resources personnel or designee.

12.2Rehires/Transfers

12.2.1A licensee that voluntarily ends his or her employment or is terminated while in good standing with 
a former employer may apply for a new Sports Lottery license in the following manner:

12.2.1.1Applicants will be required to follow the procedures in Sports Lottery Regulations 12.1-
12.8 if twelve (12) months or more have passed since the end of the applicant's former 
employment.

12.2.1.2Applicants will be required to follow the procedures in Sports Lottery Regulations 12.1-
12.8, except for the fingerprinting requirements, if less than twelve (12) months but more 
than thirty (30) days have passed since the end of the applicant's prior employment.

12.2.1.3Applicants will be required to complete a License Application Update Form including a 
release of information waiver form and submit to a new background investigation if less 
than thirty (30) days have passed since the end of the applicant's prior employment.









12.2.2Transfers. Licensees transferring employment from one licensed entity to another licensed entity 
under these Sports Lottery Regulations will be required to complete a License Application Update 
Form and submit to a new background investigation including a release of information waiver form.

12.3A fee is required to be paid for state and federal processing of fingerprint cards and criminal history 
cards and criminal history records. The fee is set by the State Bureau of Identification and payment is 
to be made directly to that agency.

12.4An applicant must complete fingerprint cards/process with the necessary personal information, and 
sign an Authorization for Release of Information form to release criminal history to the VLEU. At the 
time of the processing, the applicant must show proof of identification to complete the criminal history 
request and pay the appropriate fee.

12.4.1The applicant must contact the VLEU and submit the completed license application form and 
fingerprint verification/receipt for processing. No investigation will proceed without a copy of the 
SBI fingerprinting receipt.

12.4.2Investigators assigned to the VLEU will conduct an initial investigation to determine the suitability 
of the applicant. If the applicant is approved, a temporary license may, at the discretion of the 
Director, be issued at that time pending SBI’s final report. This temporary license is valid for thirty 
(30) days from the issue date.

12.4.3A waiver will be signed by the applicant indicating that should an unfavorable criminal history 
background check be received by the VLEU, including any detrimental information or failure to 
fully disclose criminal history, the applicant’s temporary license may be revoked. If revoked, the 
applicant will then be required to respond to VLEU within five (5) working days for another 
interview.

12.4.4Should the Director determine the applicant is to be fully licensed, the permanent license badge 
will be delivered to the appropriate agent for delivery to the employee. The employee upon receipt 
of the permanent license badge shall turn in his temporary badge to the agent representative who 
in turn shall destroy the badge.

12.5Certified copies of the criminal history record will be forwarded to the Video Lottery Enforcement Unit.

12.6The State Bureau of Identification shall act as the intermediary for the receipt of the federal criminal 
history record checks performed by the Federal Bureau of Investigation. The State Bureau of 
Identification shall forward the results of these federal record checks to the attention of the VLEU in a 
confidential manner.

12.7A person subject to 29 Del.C. §4807A shall have the opportunity to respond to the Lottery Director 
regarding any information obtained prior to a determination of suitability for licensure. Such a response 
shall be made within ten (10) working days of the person’s receipt of the criminal background 
information from the Lottery. The determination of suitability for licensure shall be made by the Lottery 
pursuant to the factors listed in 29 Del.C. §4807A regarding an applicant’s criminal history. The Lottery 
will also consider the factors contained in 29 Del.C. Ch. 48 and these Sports Lottery Regulations in 
considering applications for licensure. The Lottery will consider the truthfulness of the applicant, 
licensee, or employee in disclosing their criminal history. Under 29 Del.C. §4805(a)(16)(17), the 
Lottery Director shall consider the background of key employees or sports lottery operations 
employees in order to determine if the person’s reputation, habits, and associations pose a threat to 
the public interest of the State or to the reputation of or effective regulation and control of the sports 
lottery. It is specifically provided, pursuant to 29 Del.C. §4805(a)(16)(17), that any person convicted of 
any felony, a crime involving gambling, or a crime of moral turpitude within ten (10) years prior to 
applying for a license or at any time thereafter shall be deemed unfit. The Director may determine 
whether the licensing standards of another state are comprehensive, thorough and provide similar 
adequate safeguards and, if so, may in the Director’s discretion, license an applicant already licensed 
in such state without the necessity of a full application and background check. The Delaware State 
Police shall conduct the security, fitness, and background checks required by §4805(a)(16)(17) and 
the Sports Lottery Regulations. The Director may deny a license application if an applicant fails to 
provide the required information necessary for the Lottery and the VLEU to determine and evaluate the 
applicant's background as required by 29 Del.C. §4805(a)(16)(17).









12.8The Lottery shall communicate the results of the determination of suitability in writing, to the license 
applicant or licensee within thirty (30) days of receipt of the criminal history information, unless 
extenuating circumstances require a longer period. If the Lottery determines that an applicant has 
satisfied the licensing requirements of Sports Lottery Regulation 12.7, the applicant will be issued a 
Sports Lottery License. If a determination is made to deny a person licensure, the person shall have an 
opportunity to appeal for reconsideration as set out below.

12.8.1Appeal shall be initiated by a person notified that he/she is being denied a license pursuant to 29 
Del.C. §4807A and Sports Lottery Regulation 11.3 by submitting a request for a hearing to the 
Director within ten (10) working days of the receipt of the written notice.

12.8.2The appeal shall be reviewed by the Lottery Director and the person shall be given the right to be 
heard by the Director or the Director’s designee within thirty (30) working days of the receipt of the 
letter of appeal, unless extenuating circumstances require a longer period. Any hearing will be 
pursuant to the procedures in the Sports Lottery Regulations 11.5-11.11, whichever is applicable.

12.8.3A written decision shall be rendered by the Director or the Director’s designee within thirty (30) 
working days of the hearing unless extenuating circumstances require a longer period. All 
decisions made by the Lottery under this appeal procedure are final.

12.8.4A person determined to be unsuitable for licensure pursuant to these Regulations shall be 
prohibited from reapplying for licensure for a period of twelve (12) months.

12.8.5Every license issued by the Lottery shall bear thereon the distinguishing number assigned to the 
licensee and shall contain the name and photograph of the licensee. The license shall also contain 
the name of the sponsoring employer, agent, or technology provider.

12.8.6The Sports Lottery License is the property of the Lottery. The Sports Lottery license shall be 
returned to the Lottery or the VLEU if the Director issues a decision to suspend or revoke a 
person's license to participate in sports lottery operations. A license may be revoked or suspended 
for violations of 29 Del.C. Ch. 48 or these Sports Lottery Regulations. 

12.9The Lottery or the Video Lottery Enforcement Unit will communicate the results of suitability in writing 
regarding an employee to either the sports lottery agent or technology provider employing said 
individual. The Lottery will provide a copy of the criminal history record to the employee upon request.

12.10All records pertaining to criminal background checks, pursuant to 29 Del.C. §4807A and copies of 
suitability determinations of applicants for licensure, shall be maintained in a confidential manner, 
including, but not limited to the following:

12.10.1Access to criminal background check records, and letters of reference accompanying out-of-state 
criminal background checks, and determinations of suitability of applicants shall be limited to the 
Director and designated personnel;

12.10.2All such records shall be kept in locked, fireproof cabinets;

12.10.3No information from such records shall be released without the signed release of the applicant.

12.11All licensees will prominently display their license while on duty or acting in their official capacity at the 
approved sports lottery facility.

12.12License renewal. The Lottery license shall expire and be renewable on the last day of the month on thethird anniversary of the issuance date. At a minimum of sixty (60) days prior to expiration, each 
licensee shall contact the VLEU and submit a new and updated license application form (and 
fingerprints) for a background investigation. The background investigation will follow the procedures 
set forth in Sports Lottery Regulations 12.7-12.8

12.13Terminations/End of Employment. The Lottery license is the property of the Lottery and shall be 
returned to the Lottery or the VLEU when the licensee’s employment is either terminated involuntarily 
by the employer or terminated at the request of the employee.

12.14Any person licensed under these Sports Lottery Regulations or any employee who has submitted a 
license application shall notify the VLEU within seventy-two hours of any change in his/her criminal 
history information. This subsequent criminal history information shall be used by the Lottery in making 
a determination about the person’s continued suitability as a licensee or employee of a sports lottery 
agent or other licensed entity.









12.15Any employee who currently holds a valid video lottery license shall not be required to be re-licensed 
for the sports lottery.

13.0Self-Excluded Players

13.1A “self-excluded person” means any person whose name is included, at his or her request, on the 
self-exclusion list maintained by the Lottery Director or Deputy Director.

13.2“Self-exclusion list” means a list of names of persons who, pursuant to this subchapter, have 
voluntarily agreed to be excluded from all sports lottery agent premises and to be prohibited from 
collecting any winnings or recovering any losses at all licensed sports lottery agents.

13.3Request for Self-Exclusion

13.3.1Any person may have his or her name placed on the self-exclusion list by submitting a request for 
self-exclusion in the form and manner required by these Sports Lottery Regulations.

13.3.2Any person requesting placement on the self-exclusion list shall submit in person, a completed 
request for self-exclusion as required in this Regulation. The request shall be delivered to the 
Delaware State Lottery Office, 1575 McKee Road, Dover, DE. Any person submitting a self-
exclusion request shall be required to present valid identification credentials containing his or her 
signature and a photograph and general physical description. Any person requesting self-
exclusion pursuant to these Regulations shall be required to have his or her photograph taken by 
the VLEU upon submission of the request.

13.3.3A request for self-exclusion shall be in a form prescribed by the Lottery which form shall include:

13.3.3.1The following identifying information concerning the person submitting the request for self-
exclusion:

13.3.3.1.1Name, including any aliases or nicknames;

13.3.3.1.2Date of birth;

13.3.3.1.3Address of current residence.

13.3.3.1.4Telephone number of current residence;

13.3.3.1.5Social security number;

13.3.3.1.6A physical description of the person, including height, weight, gender, hair color, eye 
color, and any other physical characteristic that may assist in the identification of the 
person; 

13.3.3.2The length of minimum self-exclusion requested by the person:

13.3.3.2.1One year;

13.3.3.2.2Five years; or

13.3.3.2.3Lifetime;

13.3.3.3A waiver and release which shall release and forever discharge the State of Delaware, its 
employees, and agents, and all sports lottery agents, and their employees and agents 
from any liability to the person requesting self-exclusion and his or her heirs, 
administrators, executors, and assigns for any harm, monetary or otherwise, which may 
arise out of or by reason of any act or omission relating to the request for self-exclusion or 
request for removal from the self-exclusion list, including:

13.3.3.3.1Its processing or enforcement;

13.3.3.3.2The failure of a sports lottery agent to prevent sports lottery play by a self-excluded 
person, or the failure by the agent to restore the ability of self-excluded person to play 
sports lottery.

13.3.3.3.3Permitting a self-excluded person to engage in sports lottery play at a sports lottery 
agent’s premises while on the list of self-excluded persons; and 

13.3.3.3.4Disclosure of the information contained in the self-exclusion request or list, except for 
a willfully unlawful disclosure of such information.

13.3.3.4The signature of the person submitting the request for self-exclusion indicating 
acknowledgement of the following statement:









“I am voluntarily requesting exclusion from all gaming activities at all licensed Delaware 
sports lottery agents. I certify that the information provided above is true and accurate, and 
that I have read and understand and agree to the waiver and release included with this 
request for self-exclusion. I am aware that my signature below authorizes the Lottery and 
the VLEU to direct all licensed sports lottery agents to prohibit my access to all sports 
lottery facilities in accordance with this request and unless I have requested to be 
excluded for life, until such time as the Lottery removes my name from the self-exclusion 
list in response to my written request to terminate my voluntary self-exclusion. I am aware 
and agree that during any period of self-exclusion, I shall not collect any winnings or 
recover any losses resulting from any sports lottery play at all licensed sports lottery 
agents premises, and that any money or thing of value obtained by me from, or owed to 
me by a sports lottery agent as a result of sports lottery play by me while on the self-
exclusion list, shall be subject to forfeiture.”

13.3.3.5The type of identification credentials examined containing the signature of the person 
requesting self-exclusion, and whether said credentials included a photograph and 
general physical description of the person; and

13.3.3.6The signature of an authorized Lottery employee accepting the request, indicating that the 
signature of the person on the request for self-exclusion appears to agree with that 
contained on his or her identification credentials and that any photograph and physical 
description of the person appears to agree with his or her actual appearance.

13.4Self-exclusion list.

13.4.1The Lottery shall maintain the official self-exclusion list and shall notify each sports lottery agent of 
any addition to or deletion from the list by mailing a notice to each sports lottery agent. The Lottery 
may provide copies of the official self-exclusion list to the VLEU.

13.4.2Each sports lottery agent shall maintain its own copy of the self-exclusion list and shall establish 
procedures to ensure that its copy of the self-exclusion list is updated and that all appropriate 
employees and agents of the sports lottery agent are notified of any addition to or deletion from the 
list within forty eight (48) hours after the notice is mailed by the Lottery or VLEU. The notice mailed 
by the Lottery/VLEU shall include the name and date of birth of any person whose name shall be 
removed from self-exclusion list and the following information concerning any person whose name 
shall be added to the self-exclusion list:

13.4.2.1Name, including any aliases or nicknames;

13.4.2.2Date of birth;

13.4.2.3Address of current residence;

13.4.2.4Telephone number of current residence;

13.4.2.5Social security number;

13.4.2.6A physical description of the person, including height, weight, gender, hair color, eye color, 
and any other physical characteristic that may assist in the identification of the person; 
and

13.4.2.7A copy of the photograph taken by the Lottery or VLEU.

13.4.3Information furnished to or obtained by the Lottery or VLEU shall be deemed confidential and not 
be disclosed except in accordance with these Regulations.

13.4.4No sports lottery agent or employee or agent thereof shall disclose the name of, or any information 
about, any person who has requested self-exclusion to anyone other than employees of the agent 
whose duties and functions require access to such information. Notwithstanding the foregoing, a 
sports lottery agent may disclose the name of and information about a self-excluded person to 
appropriate employees of another sports lottery agent for the purpose of alerting other sports 
lottery agents that a self-excluded person has tried to play sports lottery or obtain access to the 
premises of a sports lottery agent.

13.5Duties of Sports Lottery Agent









13.5.1Each sports lottery agent shall establish procedures that are designed, to the greatest extent 
practicable, to:

13.5.1.1Permit appropriate employees of the sports lottery agent to identify a self-excluded person 
when present in a sports lottery facility and, upon such identification, notify:

13.5.1.1.1Those employees of the sports lottery designated to monitor the presence of the self-
excluded persons;

13.5.1.1.2Designated representatives of the Lottery and the VLEU.

13.5.1.2Refuse access to the premises for any self-excluded person;

13.5.1.3Deny check cashing privileges, player club membership, complimentary goods and 
services, and other similar privileges and benefits to any self-excluded person;

13.5.1.4Ensure that self-excluded persons do not receive, from the sports lottery agent any 
solicitations, targeted mailings, telemarketing promotions, player club materials or other 
promotional materials relating to sports lottery activities at the sports lottery agent’s 
premises;

13.5.2Each sports lottery agent shall submit to the Lottery and the VLEU, a copy of its procedures 
established to comply with these self-exclusion regulations within thirty (30) days of the effective 
date of these Regulations. The agent's procedures will be incorporated into the agent's internal 
control submission with the agency. Any amendments to said procedures shall be submitted to the 
Lottery and the VLEU at least three business days prior to the implementation. If the Lottery and 
the VLEU do not object to said procedures or amendments thereto, such procedures or 
amendments shall be deemed to be approved.

13.6Removal from Self-Exclusion List

13.6.1Except for those persons choosing a lifetime self-exclusion, any self-excluded person may, upon 
the expiration of the period of self-exclusion requested pursuant to Sports Lottery Regulation 13.3, 
request removal of his or her name from the self-exclusion list by submitting, in person, a 
completed request for removal as required in subsection (2) below. The request shall be delivered 
to the Lottery Office, 1575 McKee Road, Dover, DE. Any person submitting a request for removal 
from the list shall be required to present valid identification credentials containing his or her 
signature and a photograph and general physical description.

13.6.2A request for removal from the self-exclusion list shall be in a form prescribed by the Lottery, which 
form shall include:

13.6.2.1The identifying information specified in Sports Lottery Regulation 13.3;

13.6.2.2The signature of the person requesting removal from the self-exclusion list indicating 
acknowledgement of the following statement: “I certify that the information that I have 
provided above is true and accurate. I am aware that my signature below constitutes a 
revocation of my previous request for self-exclusion, and I authorize the Lottery to permit 
all sports lottery agents to reinstate my sports lottery privileges at licensed sports lottery 
premises;"

13.6.2.3The type of identification credentials examined containing the signature of the person 
requesting removal from the self-exclusion list, and whether said credentials included a 
photograph and general physical description of the person; and,

13.6.2.4The signature of a Lottery or VLEU employee authorized to accept such request, 
indicating that the signature of the person on the request for removal from the self-
exclusion list appears to agree with that contained on his or her identification credentials 
and that any photograph and physical description appears to agree with his or her actual 
appearance.

13.6.3The Lottery shall delete the name of the person requesting the removal from the self-exclusion list 
and notify each sports lottery agent of such removal by mailing a notice to each sports lottery 
agent.









(3)use of a certification or professional designation that indicates or implies a level of occupational 
qualifications obtained through education, training, or experience that the person using the 
certification or professional designation does not have; and

(4)use of a certification or professional designation that was obtained from a designating or certifying 
organization that:

(A)is primarily engaged in the business of instruction in sales and/or marketing;

(B)does not have reasonable standards or procedures for assuring the competency of its 
designees or certificants;

(C)does not have reasonable standards or procedures for monitoring and disciplining its 
designees or certificants for improper or unethical conduct; or

(D)does not have reasonable continuing education requirements for its designees or 
certificants in order to maintain the designation or certificate.

(b)there is a rebuttable presumption that a designating or certifying organization is not disqualified solely 
for purposes of paragraph (a)(4) above when the organization has been accredited by:

(1)The American National Standards Institute; or

(2)The National Commission for Certifying Agencies; or

(3)an organization that is on the United States Department of Education’s list entitled “Accrediting 
Agencies Recognized for Title IV Purposes” and the designation or credential issued therefrom 
does not primarily apply to sales and/or marketing.

(c)In determining whether a combination of words (or an acronym standing for a combination of words) 
constitutes a certification or professional designation indicating or implying that a person has special 
certification or training in advising or servicing senior citizens or retirees, factors to be considered shall 
include:

(1)use of one or more words such as “senior,” “retirement,” “elder,” or like words, combined with one 
or more words such as “certified,” “registered,” “chartered,” “adviser,” “specialist,” “consultant,” 
“planner,” or like words, in the name of the certification or professional designation; and

(2)the manner in which those words are combined.

(d)(1)For purposes of this rule, a certification or professional designation does not include a job title 
within an organization that is licensed or registered by a state or federal financial services regulatory 
agency, when that job title:

(A)indicates seniority or standing within the organization; or

(B)specifies an individual’s area of specialization within the organization.

(2)For purposes of this subsection, financial services regulatory agency includes, but is not limited to, 
an agency that regulates broker-dealers, investment advisers, or investment companies as 
defined under the Investment Company Act of 1940.

(e)Nothing in this rule shall limit the Commissioner’s authority to enforce existing provisions of law.





DEPARTMENT OF STATE
Statutory Authority: 28 Delaware Code, Sections 1122 (a) (28 Del.C. §§1122 (a))

24 DE Admin. Code 401, 404







401 Regulations Governing Bingo
1.0Definitions

“Bingo” A game of chance played for prizes with cards bearing numbers or other designations, five or 
more in one line, the holder covering numbers as objects similarly numbered are drawn from a 
receptacle and the game being won by the person who first covers a previously designated 
arrangement of numbers on such a-card.

“Bingo Statute” The statutory law concerning bingo, as contained in 28 Del.C., §1101 et. seq.

“Board” The Delaware Gaming Control Board.

“Color Coded” A different color for each of the five letters of the word "BINGO."

“Cookie Jar Bingo” A game of chance in which players pay a set fee into a cookie jar or other 
container and receive a number which entitles the player to entry into a later drawing for the total funds 
deposited by all other players in the cookie jar or container a chance to win the total funds in the cookie 
jar or container. At the start of the event, a bingo number shall be drawn which shall serve as the 
“cookie jar number.” That number shall be posted for all players to see. During the games played on 
that occasion, if a player achieves bingo when the cookie jar number is drawn, the player shall win the 
funds in the cookie jar or container. If no one achieves bingo when the cookie jar number is drawn, the 
funds in the jar shall not be awarded. An organization may not otherwise offer a cookie jar game and 
may not designate the last game of the night or any other particular game as a cookie jar game at 
which the funds will be awarded without a person achieving bingo when the cookie jar number is 
drawn.

Any amounts in any cookie jar bingo games shall not be included in any prize money limitations 
contained in these rules. An organization may not have more than two cookie jar bingo pots at any one 









time. The first jar must be awarded before a third jar can be started. If two cookie jar pots each contain 
the maximum amount of money allowed by law, the first jar must be awarded at the same event at 
which the second jar reaches the allowable maximum. If the first jar has not been awarded by the final 
game of the night, a special final bingo game of “full card” or “black out” bingo using a separate, single 
card, shall be played and the jar will be won by the first person who covers all spaces on their entire 
card.

“Districts” Those districts mentioned in Article II, 917A of the Delaware Constitution.

“Equipment” The receptacle and color coded numbered objects to be drawn from it, the master board 
upon which such objects are placed as drawn, the cards or sheets bearing numbers or other 
designations to be covered and the objects used to cover them, the boards or signs, however 
operated, used to announce or display the numbers or designations as they are drawn, public address 
systems, tables, chairs, and other articles essential to the operation, conduct and playing of bingo.

“Game” The game of bingo.

“Instant Bingo” A game of chance played with sealed or covered cards which must be opened in 
some fashion by the holder such that the cards reveal instantly whether the holder has won a prize. 
This type of game includes but is not limited to games commonly known as “rip-offs” or “Nevada pull-
tabs.”

“Member in Charge” A bona fide, active member of the "Qualified Organization" in charge of, and 
primarily responsible for the conduct of the game on each occasion.

“Occasion” A single gathering or session at which a series of successive bingo games (regular, 
special, or otherwise) is played, not to exceed forty (40) in number.

“Proceeds” The gross income received from all activities engaged in or on occasion when bingo is 
played, less only, such actual expenses incurred as are authorized in the Bingo Statute and these 
Rules and Regulations.

“Qualified Organization” A volunteer fire company, veterans organization, religious or charitable 
organization, or fraternal society that is operated in a manner so as to come within the provisions of 
Section 170 of the U.S. Secretary of the Treasury.

“Week” means a seven day period beginning on Sunday and ending on Saturday.

2 DE Reg. 1224 (01/01/99)

12 DE Reg. 357 (09/01/08)

2.0Applications For Bingo License

2.1Original applications shall be filed upon:

2.1.1 the first application of an organization for a license;

2.1.2after the first application and upon a subsequent change in the organization's charter or bylaws; or

2.1.3in the event of a subsequent application after a prior refusal, suspension, or revocation by the 
Board.

2.2Supplemental applications for bingo licenses shall be filed in all instances except those covered by the 
original application. All promotional give-away events, as defined under 28 Del.C. §1139(h)(2), must 
be listed on an applicant's application for licensure, giving the dates of the promotional give-away 
events. If the event is not listed on the application, no promotional give-away event can be conducted.

2.3All original and supplemental applications shall be filed with the Secretary of the Board at least six (6) 
weeks prior to the date of the occasion.

2.3.1An application must be submitted in advance of the proposed date of the function as to allow the 
Board to consider the application at two consecutive board meetings before deciding to approve or 
deny the application.

2.4No applications (original or supplemental) shall be accepted unless the applicant, at the time of the 
filing, attaches a check or money order for the full amount of the fees payable by law for each occasion 
requested. In the event an application is refused by the Board, the application fees shall be refunded in 









full to the applicant. There shall be a license fee of $15 for each occasion on which bingo is conducted 
under a license.

2.5No application shall be received by the Commission unless it clearly shows that the applicant is 
located in and seeks to conduct the game in a district which has approved the licensing of bingo by 
referendum, and on premises owned or regularly leased by the applicant. If the applicant desires to 
conduct games on premises specially leased for the occasion, a separate written request therefor 
(together with supporting reasons) shall accompany the application. The Board reserves the right to 
accept or reject any application for the conduct of games on specially leased premises. Organization 
conducting a Function shall prepare and have available on the premises a list of all persons taking part 
in the management or operation of the Function. Such list shall be maintained as part of the licensees, 
records of the Function and shall be made available to any member or agent of the Board or law 
enforcement officer.

2 DE Reg. 1224 (1/1/99)

8 DE Reg. 531 (10/01/04)

12 DE Reg. 357 (09/01/08)

3.0Bingo Licenses

3.1Upon receiving an application, the Board shall make an investigation of the merits of the application. 
The Board shall consider the impact of the approval of any license application on existing licensees 
within the applicant's geographical location prior to granting any new license. The Board may deny an 
application if it concludes that approval of the application would be detrimental to existing licensees.

3.2The Board may issue a license only after it determines that:

3.2.1The applicant is duly qualified to conduct games under the State Constitution, statutes, and 
regulations.

3.2.2The members of the applicant who intend to conduct the bingo games are bona fide active 
members of the applicant and are persons of good moral character and have never been 
convicted of a crime involving moral turpitude.

3.2.3The bingo games are to be conducted in accordance with the provisions of the State Constitution, 
statutes, and regulations.

3.2.4The proceeds are to be disposed of as provided in the State Constitution and statutes.

3.2.5No salary, compensation or reward whatever will be paid or given to any member under whom the 
game is conducted. If the findings and determinations of the Board are to the effect that the 
application is approved, the Secretary shall execute a license for the applicant.

3.3The license shall be issued in triplicate. The original thereof shall be transmitted to the applicant. Two 
copies shall be retained by the Commission for its files.

3.4If the findings and determinations of the Commission are to the effect that the application is denied, the 
Secretary shall so notify the applicant by certified mail of the reasons for denial, and shall refund any 
application fees submitted.

3.5In the event of a request for an amendment of a license, the request shall be promptly submitted to the 
Commission in writing, and shall contain the name of the licensee, license number, and a concise 
statement of the reasons for requested amendment. The Commission may grant or deny the request, 
in its discretion, and may require supporting proof from the licensee before making any determination. 
The Commission may require the payment of an additional license fee before granting the request. 
The licensee shall be notified of the Commission's action by appropriate communication, so that the 
licensee will not be unduly inconvenienced.

3.6No license shall be effective for a period of more t an one year from the date it was issued.

3.7No license shall be effective after the organization to which it was granted has become ineligible to 
conduct bingo under any provision of Article II, §17A of the Delaware Constitution.

3.8No license shall be effective after the voters in any District designated in Article II, §17A of the 
Constitution have decided against bingo in a referendum held pursuant to that section and subchapter 
II of the Bingo Statute.









3.9No bingo licensee licensed prior to July 14, 1998, shall conduct more than ten (10) bingo events in any 
calendar month and no bingo licensee licensed after the enactment of 71 Del. Laws 444 (July 14, 
1998) shall conduct more than one (1) bingo event per week. A bingo licensee who was licensed prior 
to July,14, 1998 whose license lapses for six (6) months or more due to non-renewal or suspension or 
any other reason shall, upon licensing thereafter, be considered a licensee licensed after the 
enactment of 71 Del. Laws 444 (July 14, 1998).

3.10The license application shall contain a full and fair description of the prize and the appraised value of 
the prize. In lieu of submitting an appraisal, the applicant or licensee may submit the full retail value of 
the prize. In cases where the applicant or licensee purchases the prize from a third party, the Board 
may require that the applicant or licensee arrange for an independent appraisal of the value of the 
prize from a person licensed to render such appraisals, or if there is no person licensed to render such 
appraisals, from a person qualified to render such appraisals.

 2 DE Reg. 1224 (1/1/99)

 3 DE Reg. 1692 (6/1/00)

 4 DE Reg. 334 (8/1/00)

4.0Conduct of Bingo

4.1The officers of a licensee shall designate a bona fide, active member to be in charge of and primarily 
responsible for the conduct of the game of chance on each occasion. The member in charge shall 
supervise all activities on the occasions for which he is in charge and shall be responsible for the 
making of the required report thereof. The member in charge shall be familiar with the provisions of the 
Bingo Statute, and these rules and regulations.

4.2The room where any game is being held, operated, or conducted, or where it is intended that any 
game shall be held, operated, or conducted, or where it is intended that any equipment be used, shall 
at all times be open to inspection by the appropriate law enforcement officers and agents of the District 
in which the premises are situated, and to the Board and its agents and employees. Bingo games shall 
not be commenced prior to 1:30 p.m. and the operation of a function shall be limited to six hours. 
Instant bingo is permitted during any event sponsored by the organization that is licensed to conduct it, 
regardless of the day or time.

4.3No person under the age of eighteen (18) shall be permitted in any bingo game, the prize for which is 
money. No person under the age of 18 shall be permitted to participate in any instant bingo game. No 
person under the age of sixteen (16) shall participate in any game of bingo nor shall such person 
conduct or assist in the conduct of the playing of any game of bingo, except that persons no younger 
than the age of fourteen (14) may act as waiters and waitresses in the handling of food or drinks at an 
occasion on which a licensee conducts bingo.

4.4No organization licensed prior to enactment of 71 Del. Law 444 (July 14, 1998), may hold, operate, or 
conduct bingo more often than ten (10) days in any calendar month. No bingo licensee licensed after 
the enactment of 71 Del. Laws 444 (July 14, 1998) shall conduct more than one bingo event per week. 
A bingo licensee licensed prior to the enactment of 71 Del. Laws 444 (July 14, 1998), whose license 
lapses for six (6) months or more due to nonrenewal or suspension or any other reason shall, upon 
licensing thereafter, be considered a licensee licensed after the enactment of 71 Del. Laws 444 (July 
14, 1998).

4.5The Board and its duly authorized agents and employees may examine the books and records of any 
licensee, so far as those books and records relate to any transaction connected with the holding, 
operating, and conducting of the game of bingo, and may examine any manager, officer, director, 
agent, member, employee, or assistant of the licensee under oath in relation to the conduct of the 
game of bingo.

4.6No prize greater in an amount or value than $250 shall be offered or given any single game and the 
aggregate amount or value of all prizes offered or given in all games played on a single occasion shall 
not exceed $1,000. All winners shall be determined and all prizes shall be awarded in any game 
played on any occasion within the same calendar day as that upon which the game is played. The 
value of any promotional giveaways, which shall be no more than $500 per annum to be distributed at 









an organizational anniversary date and no more than three (3) holiday dates per year, shall not be 
counted towards the dollar amounts described in this section. However, a licensee may offer 
inducements, including but not limited to cookie-jar bingo games that do not exceed $500 per game 
per night, free refreshments, and free transportation of players to and from bingo events, to attract 
bingo players to the bingo event, provided that the fair market value of inducements is limited to 15% 
of the total amount of all other prizes offered or given during the bingo event.

4.6.1Any amounts in any cookie-jar bingo games shall not be included in the limitations of this section 
or in any prize money limitations. A bingo licensee may not have more than two $500 cookie jar 
bingo pots at any one time which are to be awarded to players. The licensee must award the first 
cookie jar bingo pot before it may start a third cookie jar bingo pot. In the event that a licensee has 
a first cookie jar bingo pot of $500 and then accrues a second cookie jar bingo pot of $500, the 
licensee must award the first cookie jar pot to a player on the occasion at which the second cookie 
jar pot reaches the $500 limit. On such occasion, if the first cookie jar pot is not awarded by the 
end of the occasion, the licensee shall conduct a final special bingo game of "full card" or "black 
out" bingo using a separate, single card, and the first $500 cookie jar shall be won by the player or 
players who first covers all spaces on their entire card.

4.7Two or more organizations may not hold games of bingo at the same place on the same day. Unless a 
bingo licensee has been licensed prior to the enactment of 71 Del. Laws 444 (July 14, 1998), only one 
licensed organization may hold bingo games in a licensed organization's building during any given 
week.

4.8No alcoholic beverages shall be permitted in the room from the time the bingo hall opens until the 
conclusion of the last bingo game of the occasion.

4.9All games shall be conducted with equipment that is owned absolutely by the licensee or that is leased 
for fees not in excess of those allowable under the Schedule of Rental for leasing of equipment on file 
with the Board. Equipment shall include playing cards. If the licensee uses cards that are for more than 
one session of playing bingo, these cards should be identified as the property of the licensee.

4.10All winners shall be determined and all prizes shall be awarded in any game played on any occasion 
within the same calendar day as that upon which the game is played.

4.11When more than one player is found to be the winner on the call of the same number in the same 
game, the designated prize shall be divided equally as possible; and when division is not possible, 
substitute prizes, whose aggregate value shall not exceed that of the designated prize, shall be 
awarded; but such substitute prizes shall be of equal value to each other.

4.12The equipment used in the playing of bingo and the method of play shall be such that each card shall 
have an equal opportunity to be a winner. The objects drawn shall be essentially equal as to size, 
shape, weight, and balance, and as to all other characteristics that may control their selection, and all 
shall be present in the receptacle before each game is begun. All numbers shall be announced so as 
to be visible or audible to all players present.

4.13The particular arrangement of numbers required to be covered in order to win the game shall be 
clearly described and announced to the players immediately before each game is begun.

4.14No arrangement of numbers shall be required to be covered in order to win the game other than the 
following:

4.14.1one unspecified horizontal row;

4.14.2one unspecified vertical row;

4.14.3one unspecified full diagonal row;

4.14.4one unspecified row (horizontal, vertical, or diagonal);

4.14.5Two or more of the foregoing, forming a specified arrangement;

4.14.6The entire card;

4.14.7Four corners;

4.14.8Eight spaces surrounding the free space.









4.15Within the limits contained in 28 Del.C. §1132(b), alternate prizes may be offered depending upon the 
number of calls within which bingo is reached, provided the application for the bingo license and the 
license so specify.

4.16Any player shall be entitled to call for a verification of all numbers drawn at the time a winner is 
determined, and for a verification of the objects remaining in the receptacle and not yet drawn. The 
verification shall be made in the immediate presence of the member designated to be in charge on the 
occasion, but if such member is also the announcer, then in the immediate presence of an officer of the 
licensee.

4.17No licensee shall conduct more than forty (40) games on a single occasion.

4.18In the playing of bingo, no person who is not physically present in the room where the game is actually 
conducted shall be allowed to participate as a player in the game.

4.19Within the limits contained in 28 Del.C. §1132(6), the prizes offered may be varied depending upon the 
number of people who attend the occasion, provided the application for bingo license and license so 
specify. If a licensee avails itself of the provisions of this rule, it must announce at the beginning of 
each game the number of people present and the prizes to be awarded.

4.20The entire proceeds of the games of bingo must be used solely for the promotion or achievement of 
the purposes of the licensee.

4.21Any local rules adopted by the licensee that affect the conduct of the players or the awarding of prizes 
shall be prominently posted in at least four locations within the area where the bingo games are 
conducted.

4.22The licensee shall be permitted to reserve seats within the area where the bingo games are conducted 
to provide for the special needs of handicapped persons, and the licensee shall ensure that the 
remaining seats are made available to the players on an equal basis.

4.23A licensee may charge an admission fee to a game event in any room or area in which a game is to be 
conducted. The admission fee shall entitle the game player (a) to a card enabling the player to 
participate without additional charge in all regular games to be played under the license at the event, or 
(b) to free refreshments. The licensee may charge an additional fee to a game player for a single 
opportunity to participate in a special game to be played under license at the event.

4.24No person shall conduct or assist in conducting any game except an active member of the 
organization to which the license is issued.

4.25No item of expense shall be incurred or paid in connection with the conduct of the game except shall 
be incurred or paid in connection with the conduct of the game except such as are bona fide items of a 
reasonable amount for merchandise furnished or services rendered which are reasonably necessary 
for the conduct of the game.

 2 DE Reg. 1224 (1/1/99)

 2 DE Reg. 1761 (4/1/99)

12 DE Reg. 357 (09/01/08)

5.0Reports After the Function

5.1When no game is held on a date a licensee is authorized to hold such game, a report to that effect 
shall be filed with the Board.

5.2Within 15 days of the last day of the function, the member-in-charge shall submit a report to the Board 
that includes all information required by 28 Del.C. §1140(a).

5.3If a licensee fails to timely file a report or if a report is not properly verified, or not fully, accurately, and 
truthfully completed, no further license shall be issued to the licensee and any existing license shall be 
suspended until such time as the deficiency has been corrected.

11 DE Reg. 516 (10/01/07)

12 DE Reg. 357 (09/01/08)









6.0Suspension and Revocation of Licenses

6.1Proceedings to suspend or to revoke a license shall be brought by notifying the licensee of the ground 
thereof and the date set forth for a hearing thereon. The Commission may stop the operation of a 
game pending hearing, in which case the hearing must be held within five (5) days after such action.

6.2When suspension or revocation proceedings are begun before the Commission, it shall hear the 
matter and make written findings in support of its decision. The licensee shall be informed of the 
decision and of the effective date of the suspension or revocation.

6.3When a license is suspended or revoked, the licensee shall surrender up the license to the Board on or 
before that effective date set forth in the notice of decision. In no case shall any license be valid 
beyond the effective date of suspension or revocation, whether surrendered or not.

6.4Upon finding of the violation of these rules and regulations or the Bingo Statute, such as would warrant 
the suspension or revocation of a license, the Board may in addition to any other penalties which may 
be imposed, declare the violator ineligible to conduct a game of bingo and to apply for a license under 
said law for a period not exceeding thirty (30) months thereafter. Such declaration of the ineligibility 
may be extended to include, in addition to the violator, any of its subsidiary organizations, its parent 
organization and any other organization having a common parent organization or otherwise affiliated 
with the violator, when in the opinion of the Board, the circumstances of the violation warrant such 
action.

7.0Severability

If any provision of these Regulations or the application of such provision to any person or 
circumstances shall be held invalid, the validity of the remainder of these Regulations and the 
applicability of such provisions to other persons or circumstances shall not be affected thereby.

2 DE Reg. 1224 (1/1/99)

1.0Reports After the Function

1.1Within 30 days of the last day of the function, the member-in-charge shall submit a report to the Board 
that includes all information required by 28 Del.C. §1140(a).

1.2When no function is held on a date a licensee is authorized to hold such a function, a report to that 
effect shall be filed with the Board.

1.3If a licensee fails to timely file a report or if a report is not properly verified, no further license shall be 
issued to the licensee and any existing license shall be suspended until such time as the deficiency 
has been corrected.

2.0Limitation of Texas Hold’em Tournaments

The Board interprets the phrase “with each tournament by the sponsoring organization to be held at 
least 75 days apart” in 28 Del.C. §1827 to mean that no sponsoring organization may conduct a 
subsequent tournament less than 75 days from the date of their immediately prior tournament.

12 DE Reg. 357 (9/01/08)

3.0Re-buys

The statutory provisions of 28 Del.C. §1825 and 28 Del.C. §1826(2) do not harmonize. Consequently, 
the Board has determined that re-buys are optional.

11 DE Reg. 516 (10/01/07)









4.0Application

An application must be submitted sufficiently in advance of the proposed date of the function as to 
allow the Board to consider the application at two consecutive board meetings before deciding whether 
to approve or deny the application.

12 DE Reg. 357 (9/01/08)

5.0Prize Amount

No prize greater in amount or value than $5,000 shall be offered or given in any single tournament and 
the aggregate amount or value of all prizes offered or given in any single tournament shall not exceed 
$13,000.

DIVISION OF PROFESSIONAL REGULATION
2500 Board of Pharmacy

Statutory Authority: 24 Delaware Code, Section 2509 (24 Del.C. §2509)

24 DE Admin. Code 2500





2500 Board of Pharmacy
1.0Pharmacist and Pharmacy Licensure Requirements

1.1Definitions 

Words and terms defined in Delaware Code Title 1, Section 302 and Title 24, Section 2502 of the 
Delaware Code are applicable to these regulations. The following additional words and terms, when 
used within these regulations, shall have the following meaning unless the context clearly indicates 
otherwise or an alternate definition has been given: 

"Automated Data Processing System (ADPS)" means a system utilizing computer software and 
hardware for the purposes of recordkeeping.

"Cell" means any container that holds the medication for automatic dispensing. 

"Central Prescription Processing" means the processing by a pharmacy of a request from another 
pharmacy to fill or refill a prescription drug order or to perform processing functions such as 
dispensing, DUR, claims adjudication, refill authorizations, and therapeutic interventions. 









"Common Database" means a file or database created by an ADPS that enables authorized users to 
have common access to this file regardless of physical location. 

"Compounding" means the art of the extemporaneous preparation and manipulation of drugs as a 
result of a practitioner's prescription order or initiative based on the practitioner-patient-pharmacist 
relationship in the course of professional practice, including the preparation of drugs in anticipation of 
drug orders based on routine, regularly observed prescribing patterns. Reconstitution of oral solutions 
is not considered compounding. 

"Computer" means a programmable electronic device, capable of multifunctions including but not 
limited to storage, retrieval and processing of information. 

"Controlled Substance" means those drug items regulated by Federal (CSA of 1970) and/or State 
Controlled (dangerous) Substances Act.

"CRT" means a Cathode Ray Tube used to impose visual information on a screen. 

"Delivery" means the transfer of a dispensed prescription to the ultimate user (patient) or his/her 
agent. 

"Dispensing" means to furnish or deliver a drug to an ultimate user by or pursuant to the lawful order 
of a practitioner; including the preparation, packaging, labeling or compounding necessary to prepare 
the drug for that delivery. 

"Downtime" means that period of time when a computer is not operable. 

"Facsimile (FAX) Prescription" means a facsimile prescription is an order which is transmitted by an 
electronic device over telephone lines which sends an exact copy image to the receiver (pharmacy). 

"New Medication" means a medication not previously dispensed by the pharmacy for the ultimate 
user. 

"Patient Counseling" means the offer to discuss the patient's prescription made by the pharmacist or 
the pharmacist's designee in a face-to-face communication with the patient or his agent, unless in the 
professional judgment of the pharmacist it is deemed impracticable and in such instances, it would be 
permissible for the offer to counsel to be made through alternative means.

"Pertinent Patient Medication Information" means information which increases the patient's ability 
to minimize the risks and enhance the benefits of drug use. The type of information the pharmacist 
should consider is contained in the latest edition of USP DI "Advice for the Patient."

"Prescriber" means a practitioner authorized to prescribe and acting within the scope of this 
authorization.

"Prescription" or "Prescription drug order" means the lawful written or verbal order of a practitioner 
for a drug, but does not include an order for medication which is dispensed for immediate 
administration to the ultimate user, (e.g., an order to dispense a drug to a bed patient for immediate 
administration in a hospital is not a prescription.) 

"Printout" means a hard copy produced by computer that is readable without the aid of any special 
device.

"Reduced to Writing" means the preparation of a paper document containing all the information 
required for a written prescription including the State requirement for drug product selection;

For a refill authorization, it may be handled as a new prescription as in above, or by placing on the 
original prescription or the patient profile (whichever document is consistently used to document refills) 
the date, a statement "O.K. for 'x' number of additional refills", or words of similar import, and the 
pharmacist's initials. In no instance, shall the refill authorizations exceed the legal limits established by 
State and Federal laws. 

If the prescriber authorizing additional refills differs from the prescriber whose name appears on the 
signature line of the original prescription, then that authorization is considered a new prescription and 
must be handled as described above.

"Regulatory Agency" means any Federal or State agency charged with enforcement of pharmacy or 
drug laws and regulations.









"Stop Date" means a date established by an appropriate authority which indicates when medication 
will no longer be administered or dispensed in the absence of a specific time period directed by the 
prescriber.

1.12Examination Requirements

1.12.1In order to be eligible for examination for licensure, an applicant must provide proof of completion 
of all requirements for graduation from an approved school or college. An approved school or 
college of pharmacy is an institution which has established standards in its undergraduate degree 
program which are at least equivalent to the minimum standards for accreditation established by 
the American Council on Pharmaceutical Education. Provided, however, that graduates of schools 
or colleges of pharmacy located outside of the United States, which have not established 
standards in their respective undergraduate degree programs which are at least equivalent to the 
minimum standards for accreditation established by the American Council on Pharmaceutical 
Education, shall be deemed eligible for examination for licensure by providing evidence 
satisfactory to the Board of Pharmacy of graduation from such school or college and by 
successfully passing an equivalency examination recognized by the Board of Pharmacy. 
Certification by the National Association of Boards of Pharmacy (NABP) Foreign Pharmacy 
Graduate Examination Committee (FPGEC) meets the equivalency examination requirement.

1.12.2Candidates must obtain a passing grade as determined by the National Association of Boards of 
Pharmacy (NABP) on the North American Pharmacist Licensure Examination (NAPLEX) and the 
Multistate Pharmacy Jurisprudence Examination for Delaware (MPJE) to be eligible for a license 
to practice. A candidate must take an examination within 365 days of the determination of eligibility 
by the Board. The Secretary will supply the grades obtained to the candidate upon receipt of a 
written request from that person.

1.12.3The Board will re-confirm the eligibility of an applicant who fails the NAPLEX. The applicant shall 
be entitled to take a re-examination at least ninety-one (91) days following the date of the failure. If 
an applicant has failed the examination three times, he/she shall be eligible to re-take the 
NAPLEX, provided that he/she produces evidence of working full-time as an intern for a period of 
six months or has attended an accredited college of pharmacy as a registered student for a 
minimum of one semester consisting of 12 credits during the interim. A certification of satisfactory 
completion of such work shall be furnished by the Dean of the College or the preceptor as the case 
may be. 

1.12.4The Board will re-confirm the eligibility of an applicant who fails the MPJE. The applicant shall be 
entitled to re-take the MJPE at least thirty-one (31) days following the date of the failure. If an 
applicant has failed the examination three times, he or she shall be eligible to re-take the 
examination, provided that he or she produces evidence of working full-time as an intern for a 
period of three months or has completed a one semester college course on jurisprudence. 

1.23Practical Experience Requirements

1.23.1An applicant for registration as an intern must submit an application for registration of Internship 
after entering the first professional year of college of pharmacy which includes an “Affidavit of 
Class Standing” and “Affidavit of Preceptor.” This application must be obtained from the Board of 
Pharmacy. If the applicant is a graduate of a foreign pharmacy school, he/she must produce 
evidence that he/she has passed an equivalency examination by the Board.

1.23.2Persons who register as interns in the State of Delaware shall, in accordance with the 
requirements of 24 Del.C. §2515, complete not less than 1500 hours of Board approved practical 
experience under the supervision of a licensed pharmacist. A minimum of 1000 hours shall be 
obtained in the community or hospital settings. The remaining 500 hours may be obtained in other 
recognized fields of practice, e.g.: Industrial Pharmacist, Drug Information Pharmacist, Military 
Pharmacist, Mail Order Pharmacist, HMO Pharmacist, Consultant Pharmacist (Nursing Home, 
Infusion, Medicaid DUR, Etc.), Home Health Care Pharmacist (may include Durable Medical 
Equipment, etc.), Nuclear Pharmacist, Compliance Pharmacist, Government Pharmacist, Clinical 
Pharmacist, Contracted Pharmacy Services.









1.23.3Practical experience must be acquired under the supervision of a licensed pharmacist known as a 
Preceptor. The Preceptor must be a pharmacist licensed in this State or any other State and must 
have a minimum of two years of pharmacy practice. A pharmacist affiliated with a College of 
Pharmacy shall serve as the preceptor for a student participating in the coordinated practical 
experience program. The Preceptor must certify that the intern has successfully completed all the 
requirements outlined in the Responsibilities of the Intern professional assessment form.

1.23.4Practical experience acquired in another State is acceptable if the State Board in which the 
applicant acquired the hours submits a letter of certification, or if the applicant’s preceptor 
completes the Delaware State Board of Pharmacy’s Affidavit of Intern Experience form. Applicants 
who have not completed all the practical experience requirements, but who have graduated from 
an accredited college or have been certified by the NABP Foreign Pharmacy Graduate 
Examination Committee are eligible to take the examination. However, applicants will not be fully 
licensed until all the requirements of the Statutes and Regulations are completed. 

1.23.5The hours accrued during the College of Pharmacy Practical Experience Program may be applied 
to the 1500 hours total. These hours shall be recorded on the College Practical Experience 
Affidavit supplied by the Board. Registration as an intern in this State is not required for school 
experience.

1.23.6An intern must notify the Board of Pharmacy in writing within ten (10) days of a change or 
preceptor. A change of preceptor affidavit must be completed and filed with the Board.

1.34Continuing Education Requirements

1.34.1A pharmacist must acquire 3.0 C.E.U.'s (30 hours) per biennial licensure period. No carry over of 
credit from one registration period to another period is permitted.

1.34.2Hardship - Hardship exemptions may be granted by the Board of Pharmacy upon receipt of 
evidence that the individual was unable to complete the requirements due to circumstances 
beyond his control.

1.34.3Criteria for Hardship Exemption as Recommended by the Board of Pharmacy:

1.34.3.1Applicant must notify the Board in writing concerning the nature of the hardship and the 
time needed for an extension. In case of medical disability, a letter from the physician with 
supporting documentation to corroborate the condition and the length of time of extension 
needed.

1.34.3.2The Board of Pharmacy will review requests. 

1.34.3.3The Board will notify the registrant of its decision.

1.34.4Persons who are newly licensed after the registration period begins, must complete continuing 
education units proportional to the total number of continuing education units required for the 
biennial licensure renewal. (1.25 hours/per month).

1.45Continuing Professional Educational Programs

1.45.1Topics of Study

Topics of study shall be subject matter designed to maintain and enhance the contemporary 
practice of pharmacy.

1.45.2Approved Provider 

1.45.2.1Any provider approved by ACPE.

1.45.2.2In-state organization which meets criteria approved by the Board.

1.45.3Application for Delaware State Provider

1.45.3.1Any in-state organization may apply to the Board on forms provided by the Board for initial 
qualification as an approved provider. The Board shall accept or reject any such 
application by written notice to such organization within 60 days after receipt of its 
application. If an organization is approved, the Board will issue a certificate or other 
notification of qualification to it, which approval shall be effective for a period of two years 
and shall be renewable upon the fulfillment of all requirements for renewal as set forth by 
the Board.









1.45.3.2The Board may revoke or suspend an approval of a provider or refuse to renew such 
approval if the provider fails to maintain the standards and specifications required. The 
Board shall serve written notice on the provider by mail or personal delivery at its address 
as shown on its most current application specifying the reason for suspension, revocation, 
or failure to renew. The provider so affected shall, upon written request to the Board within 
ten days after service of the notice, be granted a prompt hearing before the Board at which 
time it will be permitted to introduce matters in person, or by its counsel, to defend itself 
against such revocation, suspension, or failure to renew, in accordance with the provisions 
set forth in the State's Administrative Procedures Act.

1.45.4Criteria for Approval of Delaware State Providers. Only applicants who are located within the State 
of Delaware are eligible. Such Continuing Education providers shall provide evidence of ability to 
meet the following criteria or approval as a Continuing Pharmaceutical Education Provider. Other 
persons must apply through ACPE for approval or be acceptable to other Boards of Pharmacy that 
certify continuing education for relicensure. 

1.45.4.1Administration and Organization

1.45.4.1.1The person who is in charge of making sure that the program meets the quality 
standards must have a background in the administration of education programs.

1.45.4.1.2There shall be an identifiable person or persons charged with the responsibility of 
administering the continuing pharmaceutical education program.

1.45.4.1.3Such personnel shall be qualified for such responsibilities by virtue of experience and 
background.

1.45.4.1.4If an approved provider presents programs in co-sponsorship with other non-approved 
provider(s), the approved provider has the total responsibility for assurance of quality 
of that program. If more than one approved provider co-sponsors a program, they 
have the joint responsibility for assuring quality.

1.45.4.1.5Administrative Requirements include:

1.45.4.1.5.1The development of promotional materials which state:

1.45.4.1.5.1.1Educational objectives.

1.45.4.1.5.1.2The target audience.

1.45.4.1.5.1.3The time schedule of the activities.

1.45.4.1.5.1.4Cost to the participant/covered items.

1.45.4.1.5.1.5Amount of C.E. credit which will be awarded.

1.45.4.1.5.1.6Credentials of the faculty, presenters, and speakers.

1.45.4.1.5.1.7Self-evaluation instruments.

1.45.4.1.5.2Compliance with a quantitative measure for C.E. credit.

1.45.4.1.5.2.1The number of C.E.U.'s to be awarded for successful completion shall be 
determined by the provider and reported in the promotional materials.

1.45.4.1.5.2.2In cases where the participants' physical presence is required, C.E. credit 
will only be awarded for that portion of the program which concerns itself with the 
lecture(s), evaluation and question and answer segments.

1.45.4.1.5.2.3The measure of credit shall be a fifty-minute contact hour. In the case of 
other programs such as home study courses, the amount of credit awarded shall 
be determined by assessing the amount of time the activity would require for 
completion by the participant if delivered in a more formal and structured format.

1.45.4.1.5.2.4The provider must provide the Board upon request with appropriate 
records of successful participation in previous continuing education activities.

1.45.4.1.5.2.5The provider must present to the participant a form or certificate as 
documentation of the completion of the program. The form must be at least 4" x 6" 
and no larger than 8 1/2" x 11". That certificate must show the name, address, and 
license number of the participant, the name of the provider, the title and date of 









the program, the number of credits earned, and an authorized signature from the 
provider.

1.45.4.2Program Faculty. The selection of program faculty must be based upon proved 
competency in the subject matter and an ability to communicate in order to achieve a 
learning experience.

1.45.4.3Program Content Development

1.45.4.3.1Such programs shall involve effective advance planning. A statement of educational 
goals and/or behaviors must be included in promotional materials. Such objectives 
and goals must be measurable and accessible to evaluation. In determining program 
content, providers shall involve appropriate members of the intended audience in 
order to satisfy the educational needs of the participants. All programs of approved 
providers should pertain to the general areas of professional pharmacy practices 
which should include, but not be limited to:

1.45.4.3.1.1The social, economic, behavioral, and legal aspects of health care,

1.45.4.3.1.2the properties and actions of drugs and drug dosage forms,

1.45.4.3.1.3the etiology, characteristics, therapeutics and prevention of the disease state,

1.45.4.3.1.4pharmaceutical monitoring and management of patients.

1.45.4.3.2All ancillary teaching tools shall be suitable and appropriate to the topic.

1.45.4.3.3All materials shall be updated periodically to include up-to-date-practice setting.

1.45.4.3.4It is the responsibility of the provider to be sure that the programs are continuously 
upgraded to meet educational objectives of the Practice of Pharmacy. The needs of 
the pharmacist participant must be considered in choosing the method of delivery. 
Innovation in presentations is encouraged within the limits of budget resources and 
facilities. Whatever method of delivery is used, it must include the participation of the 
pharmacist as much as possible within the program, i.e. questions and answers, 
workshops, etc.

1.45.4.4Facilities. The facilities shall be adequate for the size of the audience, properly equipped 
(all appropriate audio/-visual media materials), well lighted and ventilated to induce a 
proper learning experience.

1.45.4.5Evaluation. Effective evaluation of programs is essential and is the responsibility of both 
the provider and participant.

1.45.4.5.1Participant - Some evaluation mechanisms must be developed by the provider to 
allow the participant to assess his/her own achievement per the program.

1.45.4.5.2Provider evaluation - a provider shall also develop an instrument for the use of the 
participant in evaluating the effectiveness of the program including the level of 
fulfillment of stated objectives.

1.45.5Criteria for Awarding Continuing Education Credits. Individual programs must meet the criteria for 
provider approval in order to be considered. In those cases where the provider is not an ACPE 
provider, nor a Board of Pharmacy approved provider, a registrant may complete an application 
provided by the Board for approval of individual programs.

1.45.5.1In order to receive full credit for non-ACPE approved programs of one-to-two hour lengths, 
evidence of a post test must be presented. An automatic 25% deduction if no post test 
presented.

1.45.5.2In order to receive full credit for non ACPE approved programs of three or more hours in 
length, evidence of a pre and post test must be presented. Automatic 25% deduction if no 
pre and post test presented.

1.45.5.3Credit will be assigned only for the core content of the program which explicitly relates to 
the contemporary practice of Pharmacy.

1.45.5.4A maximum of 2 credit hours will be awarded for First Aid, attendance at a Board of 
Pharmacy meeting and CPR/BCLS courses one time only per registration period.









1.45.5.5Credit for Instructors of Continuing Education

1.45.5.5.1Any pharmacist whose primary responsibility is not the education of health 
professionals, who leads, instructs or lectures to groups of nurses, physicians, 
pharmacists or others on pharmacy related topics in organized continuing education 
or inservice programs, shall be granted continuing education credit for such time 
expended during actual presentation, upon adequate documentation to the Delaware 
Board of Pharmacy.

1.45.5.5.2Any pharmacist whose primary responsibility is the education of health professionals 
shall be granted continuing education credit only for time expended in leading, 
instructing, or lecturing to groups of physicians, pharmacists, nurses or others on 
pharmacy related topics outside his/her formal course responsibilities (that is, lectures 
or instructions must be prepared specifically for each program) in a learning 
institution.

1.45.5.5.3Credit for presentations of in-service training programs or other lectures shall be 
granted only for topics meeting the criteria for continuing pharmacy education, and 
shall be granted only once for any given program or lecture. (Any topic completely 
revised would be eligible for consideration.)

1.45.5.5.4A maximum of 6 hours (0.6 C.E.U.'s) in this category may be applied toward fulfilling 
the total biennial continuing education requirements.

1.45.5.6Credit for On the Job Training:

1.45.5.6.1The Board of Pharmacy does not as a general rule encourage the submission of "on 
the job training" for fulfilling the continuing education requirements. All programs 
meeting this definition shall be reviewed on an individual basis.

1.45.5.6.2All programs that are submitted for credit must meet the criteria for continuing 
pharmacy education.

1.45.5.6.3No credit shall be awarded for programs required by an employer for continued 
employment of the employee. (Examples OSHA training, Infection Control Education 
required by JCAHO.)

1.45.5.6.4A maximum of 4 hours (0.4 C.E.U.'s) in this category may be applied toward fulfilling 
the total biennial continuing education requirements.

1.56The Verification of Continuing Education - A pharmacist shall retain the supporting documentation, 
such as certification of completion for a minimum of six years. The Board will randomly audit the 
documentation of at least 10% of licensed pharmacists every biennial term. Supporting documentation 
may be requested for up to six years. Pharmacists who were not selected for audit do not send 
supporting documentation to the Board. Submitting a false documentation may constitute grounds for 
discipline under 24 Del.C. §2518 (a)(1).

1.67Reciprocal Requirements

1.67.1An applicant for licensure by reciprocity shall be of good moral character and shall: 

1.67.1.1submit proof that he or she was qualified for licensure in Delaware at the time of initial 
licensure by examination;

1.67.1.2submit proof of licensure in good standing from each state where he or she is or has been 
licensed; and

1.67.1.3obtain a passing score on the MPJE on the laws applicable in this State as provided in 
Regulation 1.1.

1.67.2Reciprocity applicants who took examinations after June 1, 1979, must have passed the NAPLEX 
or an examination deemed equivalent by the Board and obtained scores required for applicants for 
licensure by examination.

1.67.3Applicants who are licensed by reciprocity must begin accruing continuing education units at a rate 
of 1.25 hours/per month beginning with the month of licensure.

1.78Late Renewal - If a pharmacist license or pharmacy permit expire for failure to renew before the 
deadline, the license or permit may be renewed at any time within the 60 days immediately following 









expiration upon application and payment of the renewal fee and a late fee. In accordance with 24 
Del.C. §§2507 and 2526, it is unlawful for a licensee or permittee to practice or operate while their 
license or permit is expired. All late pharmacist license renewals will be audited for compliance with the 
CE renewal requirement.

1.9Pharmacy Licenses. Pharmacy licenses shall include retail, hospital, nuclear and specialty institutional 
pharmacy licenses.

3.0Pharmacy Requirements

3.1Pharmacist in Charge 

3.1.1Application for permit to operate a pharmacy in the State of Delaware must be on a form approved 
by the Board. The form shall include the statement to be signed by the pharmacist in charge, "I 
understand that I am responsible for conducting and managing the prescription department in 
compliance with applicable State and Federal laws."

3.1.2The Board interprets the responsibilities of the Pharmacist-in-Charge to include, but not be limited 
to the following:

3.1.2.1Maintain necessary pharmaceutical equipment and reference texts in accordance with the 
State Board of Pharmacy requirements.

3.1.2.2Maintain records required by the Uniform Controlled Substances Act and other relevant 
State and Federal regulations.

3.1.2.3Maintain proper security of particular pharmacy operation during and after normal 
business hours.

3.1.2.4Establish procedures within operation that maintain standard of practice as it relates to the 
dispensing of pharmaceuticals and refusal to dispense pharmaceuticals based on the 
religious, moral, or ethical beliefs of the dispensing pharmacist. These procedures shall 
include proper supervision of supportive personnel and delegation of authority to another 
pharmacist when not on duty.

3.1.2.5The pharmacist on duty is directly responsible for his own actions.

3.1.2.6Notify the Board of Pharmacy in writing within 10 days of termination as 
pharmacist-in-charge.

3.2Owner's Affidavit. The owner or owners and, in the case of a corporation, an authorized official of the 
corporation must present an affidavit properly notarized containing the statement, "I hereby swear or 
affirm that the foregoing statements are correct and do hereby agree to abide by the pharmacy laws of 
the State of Delaware and to all rules and regulations of the Delaware State Board of Pharmacy." The 
Board must be notified within 10 days of change of ownership.

3.3Equipment and Reference Materials.

3.3.1Equipment: Each pharmacy shall have all equipment appropriate to the individual pharmacy 
practice and to the care of the patients served.

3.3.1.1All equipment must be clean and must be maintained in such a manner that allows the 
pharmacist to accurately weigh, measure and compound ingredients.

3.3.1.2Equipment may include such things as prescription scale, metric graduates, mortars and 
pestles, filter paper, spatulas, funnel, stirring rod, ointment slab or papers, distilled water, 
and prescription/physician order files.

3.3.2References: Each pharmacy shall maintain a library of the latest edition and supplements of 
current reference sources, either hard copy or electronically accessible, appropriate to the 
individual pharmacy practice and to the care of the patients served. References must:

3.3.2.1Provide information on the therapeutic use, dosing, pharmacology, adverse effects, and 
interactions of drugs dispensed.

3.3.2.2Provide information helpful in the counseling of patients on the use of drugs dispensed.









3.3.2.3Enable the pharmacist to properly compound medicines within accepted standards of 
pharmacy practice.

3.3.2.4Include a listing of therapeutic equivalents for drugs dispensed.

3.3.2.5Include current Delaware and Federal laws and regulations governing pharmacy and 
controlled substances.

3.3.2.6Provide any other information necessary to the safe and effective practice of pharmacy for 
the specific practice setting.

3.4Physical Facilities. Have sufficient size, space, sanitation, and environmental control for adequate 
distribution, dispensing and storage of drugs and devices. Such facilities shall include:

3.4.1A dispensing area of adequate size and space for proper compounding, dispensing and storage of 
drugs and devices, to ensure the safety and well being of the public and pharmacy personnel.

3.4.2Sufficient environmental control, i.e. lighting, ventilation, heating and cooling to maintain the 
integrity of drugs and devices. The area in which drugs and devices are stored shall be accurately 
monitored using control devices to maintain room temperature between 59 degrees and 86 
degrees Fahrenheit.

3.4.3The pharmacy department or prescription area must contain a sink with hot and cold running 
water. It must be large enough to accommodate the equipment required by the Board so that the 
utensils can be properly washed and sanitized appropriate to the individual pharmacy practice.

3.4.4Suitable refrigeration with appropriate monitoring device. Refrigerators and freezers (where 
required) will be maintained within the USP/NF range:

Refrigerator - 36 degrees to 46 degrees Fahrenheit

Freezer - Minus 13 degrees to plus 14 degrees Fahrenheit.

A sign with letters not less than 3/4" in height in the vicinity of the prescription department visible to 
the public which shows the name of the pharmacists employed at that pharmacy or the name of 
the pharmacist on duty.

3.5Building Standards. An application to operate a new pharmacy must include (3) copies of floor plans 
drawn to scale of the proposed prescription department. The floor plans must include the following:

3.5.1The requirements listed in §2534(f)(1) through (4) 2533(e).

3.5.2An area which assures patient privacy will be provided to facilitate counseling. This area must 
afford the patient privacy from auditory detection by any unauthorized person or persons. An area 
partitioned by a 5 foot divider on 2 sides with a minimum of 9 square feet would satisfy this 
requirement in most settings.

3.5.3The floor plans shall include the location of the sink, all doors, storage room, approved Schedule II 
controlled substance safe or cabinet, and the method of securing the prescription department from 
floor to ceiling, when the prescription department is closed and the remainder of the store is open.

3.5.4The floor plans must include the type of alarm system to be installed, and the name, address and 
phone number of alarm provider. The alarm system, as required by Regulation 5 of the Delaware 
Controlled Substance Act, must be reviewed and approved for compliance by the Office of 
Narcotics and Dangerous Drugs Controlled Substances.

3.5.5The above requirements shall also apply for any remodeling or change of location of the 
prescription department. The pharmacist-in-charge or applicant for permit must submit the floor 
plans requirements to the Delaware Board of Pharmacy and the Office of Narcotics and 
Dangerous Drugs prior to any construction and at least 15 days prior to the next scheduled Board 
of Pharmacy meeting for its review.

3.6Security. When the pharmacist is not physically present and the operation is open for business, the 
pharmacy department shall be physically or electronically secured from floor to ceiling. The partitioned 
off section required by 24 Del.C. §2534 2533 must be five feet high measured from the floor. A 
conspicuous sign with letters not less than three inches in height, reading "PRESCRIPTION 
LABORATORY TEMPORARILY CLOSED, NO PROFESSIONAL SERVICES RENDERED," or words 
of similar import, must be posted in the front section of the operation or in front of the prescription area, 
room or partitioned off section where it can be seen by the public.









3.7Board Interview. Applicants for permit to operate a pharmacy in the State of Delaware must appear 
before the Board for an interview. The owner or authorized official must be present in addition to the 
pharmacist-in-charge. Whenever there is a change of pharmacist-in-charge, if that person has never 
held that position in the State of Delaware, he/she must appear before the Board for an interview within 
ninety days after assuming the position.

3.8Technician Support. At all times that the pharmacy department is open for business, there shall be at 
least one technician immediately available in the facility to assist in the pharmacy at the pharmacist's 
request. A schedule of technician support shall be readily available to the pharmacists at all times.

5.0Dispensing

5.1Definitions

“Agent” An employee of the pharmacy supervised by the pharmacist or a person acting on behalf of 
the ultimate user.

“Automated Data Processing System (ADP)” A system utilizing computer software and hardware 
for the purposes of recordkeeping.

“Cell” Any container which holds the medication for automatic dispensing.

“Central Prescription Processing” The processing by a Pharmacy of a request from another 
Pharmacy to fill or refill a prescription drug order or to perform processing functions such as 
dispensing, DUR, claims adjudication, refill authorizations and therapeutic interventions. 

“Common Data Base” A file or data base created by ADP that enables authorized users to have 
common access to this file regardless of physical location.

“Compounding” The art of the extemporaneous preparation and manipulation of drugs as a result of 
a practitioner's prescription order or initiative based on the practitioner/patient/pharmacist relationship 
in the course of professional practice, including the preparation of drugs in anticipation of drug orders 
based on routine, regularly observed prescribing patterns. Pharmaceutical compounding must be in 
compliance with FFDCA Section 503A and any regulations promulgated by FDA concerning 
compounding, pertaining to this section.

“Computer” Programmable electronic device, capable of multifunctions including but not limited to 
storage, retrieval and processing of information.

“Controlled Substance” Those drug items regulated by Federal (CSA of 1970) and/or State 
Controlled (dangerous) Substances Act.

“CRT” Cathode Ray Tube used to impose visual information on a screen.

“Delivery” The transfer of a dispensed prescription to the ultimate user (patient) or his/her agent.

“Dispensing” To furnish or deliver a drug to an ultimate user by or pursuant to the lawful order of a 
practitioner; including the preparation, packaging, labeling or compounding necessary to prepare the 
drug for that delivery.

“Downtime” That period of time when a computer is not operable.

“Facsimile (FAX) Prescription” A facsimile prescription is an order which is transmitted by an 
electronic device over telephone lines which sends an exact copy image to the receiver (pharmacy).

“Final Container” is that which holds the article, designed to hold a quantity of drug product intended 
for administration as a single dose, multiple dose, or a single finished device intended for use promptly 
after the container is opened.

“New Medication” A medication not previously dispensed by the pharmacy for the ultimate user.

“Patient Counseling” The offer to discuss the patient's prescription made by the pharmacist or the 
pharmacist's designee in a face-to-face communication with the patient or his/her agent, unless in the 
professional judgment of the pharmacist it is deemed impracticable and in such instances, it would be 
permissible for the offer to counsel to be made through alternative means. 









“Pertinent Patient Medication Information” Information which increases the patient's ability to 
minimize the risks and enhance the benefits of drug use. The type of information the pharmacist 
should consider is contained in the latest edition of USP DI "Advice for the Patient."

“Prescriber” A practitioner authorized to prescribe and acting within the scope of this authorization.

“Prescription” An order for medication which is dispensed to or for an ultimate user, but does not 
include an order for medication which is dispensed for immediate administration to the ultimate user, 
(e.g., an order to dispense a drug to a bed patient for immediate administration in a hospital is not a 
prescription.) A written order from a practitioner authorized to prescribe and acting within the scope of 
this authorization, (other terminology: prescription order) or a telephone order reduced to writing by the 
pharmacist.

“Printout” A hard copy produced by computer that is readable without the aid of any special device.

“Reduced to Writing”

For new prescriptions this means the preparation of a paper document containing all the 
information required for a written prescription including the State requirement (Section 2553)for 
drug product selection;

For a refill authorization, it may be handled as a new prescription as in above, or by placing on the 
original prescription or the patient profile (whichever document is consistently used to document 
refills) the date, a statement "O.K. for 'x' number of additional refills", or words of similar import, 
and the pharmacist's initials. In no instance, shall the refill authorizations exceed the legal limits 
established by State and Federal laws.

If the prescriber authorizing additional refills differs from the Prescriber whose name appears on 
the signature line of the original prescription, then that authorization is considered a new 
prescription and must be handled as described above.

“Regulatory Agency” Any Federal or State agency charged with enforcement of pharmacy or drug 
laws and regulations.

“Stop Date” A date established by an appropriate authority which indicates when medication will no 
longer be administered or dispensed in the absence of a specific time period directed by the 
prescriber.

“Supportive personnel” A person who is not registered as an intern or pharmacist with the Board 
who may perform tasks as authorized by this Regulation.

5.21The practice of dispensing shall include, but not be limited to the following acts which shall be 
performed only by a pharmacist, or a pharmacy intern or student participating in an approved College 
of Pharmacy coordinated, practical experience program under the direct supervision of a pharmacist.

5.21.1Receive oral prescriptions and reduce them immediately to writing.

5.21.2Certification of the prescription order - (This involves authenticating the prescription, confirming 
proper dosage and instructions, and reviewing for incompatibility, etc.)

5.21.3The pharmacist, intern or student who dispenses the original prescription shall hand-sign or initial 
the prescription. Initials mechanically or electronically generated are acceptable in lieu of the 
above provided that the individual verifies either on a daily printout or in a bound log book daily 
that the information on the prescription is correct. The verification must be hand-signed and dated 
by the individual.

5.32Patient Counseling

5.32.1Before dispensing or delivering a new medication to a patient or his or her agent, a pharmacist or 
pharmacy intern under the direct supervision of the pharmacist, shall conduct a prospective drug 
review. A pharmacist or pharmacy intern or student participating in an approved College of 
Pharmacy coordinated practical experience program and working under the direct supervision of 
the pharmacist, shall conduct a prospective drug review. A prospective drug review may be 
conducted before refilling a prescription to the extent deemed appropriate. A prospective drug 
review shall include screening for potential drug therapy problems due to therapeutic duplication, 
drug-drug interactions, including serious interactions with over-the-counter drugs, drug-disease 
contraindications, if disease is known, incorrect drug dosage or duration of drug treatment, 









drug-allergy interactions, and clinical abuse or misuse based on available information received by 
the pharmacist.

5.32.2A pharmacist, or a pharmacy intern or student participating in an approved College of Pharmacy 
coordinated practical experience program and working under the direct supervision of a 
pharmacist shall, with each new medication dispensed, provide verbal counseling to the patient or 
the patient's agent on pertinent medication information. The counseling may include, but not be 
limited to the following:

5.32.2.1the name and description of the prescribed drug;

5.32.2.2the dosage and the dosage form;

5.32.2.3the method and route of administration;

5.32.2.4the duration of the prescribed drug therapy;

5.32.2.5any special directions and precautions for preparation, administration, and use by the 
patient that the pharmacist determines are necessary;

5.32.2.6common severe side effects or adverse effects or interactions and therapeutic 
contraindications that may be encountered, how to avoid them, and what actions should 
be taken if they occur;

5.32.2.7patient techniques for self-monitoring of the drug therapy;

5.32.2.8proper storage;

5.32.2.9prescription refill information;

5.32.2.10the action to be taken in the event of a missed dose; and

5.32.2.11current over-the-counter medication use.

5.32.3This section does not apply to a pharmacist dispensing drugs for inpatient use in a hospital or 
other institution where the drug is to be administered by a nurse or other appropriate health care 
provider.

5.32.4Nothing in this section requires a pharmacist or pharmacy intern or student participating in an 
approved College of Pharmacy coordinated practical experience program and working under the 
direct supervision of a pharmacist, to provide patient counseling when a patient or the patient's 
agent refuses the counseling. There must be a record in a uniform place that documents a 
patient's acceptance or refusal of counseling.

5.32.5If the dispensed prescription is delivered by an agent of the pharmacy when the pharmacist is not 
present (i.e. home delivery, pharmacist off duty and non-resident pharmacies) written or printed 
information shall be included with the prescription. The patient or his/her agent shall be informed 
that the pharmacist will be available for consultation.

5.4Supportive personnel

5.4.1Qualifications and training

5.4.1.1The pharmacist-in-charge is responsible for ensuring proper training of all supportive 
personnel. The actual training may be delegated to a pharmacist or other trained 
supportive personnel.

5.4.1.2The areas of training required are to be determined by the pharmacist-in-charge and will 
be appropriate to the practice site and responsibilities assigned to the supportive 
personnel. Areas of training shall include:

5.4.1.2.1general drug and dosage form knowledge

5.4.1.2.2medical terminology 

5.4.1.2.3pharmaceutical calculations

5.4.1.2.4prescription labeling requirements

5.4.1.2.5general filling/dispensing responsibilities

5.4.1.2.6patient profile record system requirements

5.4.1.2.7requirements for patient counseling

5.4.1.2.8confidentiality









5.4.1.2.9safety practices

5.4.1.2.10inventory functions

5.4.1.2.11knowledge of applicable State and Federal Statutes and Regulations

5.4.1.2.12other site-specific parameters

5.4.1.3The general content of the training program must be maintained in the policy and 
procedure manual.

5.4.1.4Documentation of successful training in specific areas by oral or written evaluation will be 
maintained and will be available for inspection by the Board of Pharmacy. 

5.4.2Supervision. Supportive personnel must be supervised by a registered pharmacist who will be 
responsible for the activities of these persons.

5.4.3Activities allowed

5.4.3.1Supportive personnel will be allowed to perform only those duties permitted by this 
regulation.

5.4.3.2Supportive personnel may aid in the dispensing of prescriptions as authorized in Section 
2513 under the supervision of a pharmacist by performing the following tasks:

5.4.3.2.1Obtaining the medication from stock.

5.4.3.2.2Typing the label after the pharmacist has interpreted the directions.

5.4.3.2.3Counting, pouring and selecting prefabricated medications and selecting individual 
prepackaged unit dose medication provided that these are not in conflict with the state 
and federal law (Federal Comprehensive Controlled Substances Act) and that a final 
check by the pharmacist is made after the medication is placed in the final container 
prior to dispensing and administration to the patient. There will be a final check by a 
licensed pharmacist prior to dispensing and administration, except where the Board of 
Pharmacy grants, in writing, an exemption for good cause shown.

5.4.3.3Compounding is the responsibility of the pharmacist or pharmacy intern under the direct 
supervision of the pharmacist. All compounding must be in compliance with FFDCA 
Section 503A and any regulations promulgated by FDA concerning compounding 
pertaining to this section. The pharmacist may utilize the assistance of supportive 
personnel if the following is performed:

5.4.3.3.1The formulation is developed by the pharmacist before proceeding with the 
compounding.

5.4.3.3.2The compounding ingredients are checked by the pharmacist before proceeding with 
the compounding.

5.4.3.3.3Every weight and measurement is checked by the pharmacist before proceeding with 
the compounding.

5.4.3.3.4The finished product is checked by the pharmacist before dispensing.

5.4.3.3.5A log is maintained showing the identity of the person actually compounding the 
medication and the identity of the pharmacist who has performed each of the checks 
indicated above for each step of the procedure. If policies and procedures are in place 
ensuring adequate checks by the pharmacist per regulation, the requirement for a log 
will be waived.

5.4.3.4Only supportive personnel or persons being trained as supportive personnel as required 
by this regulation, may perform the activities defined by this regulation.

5.54Automatic Dispensing Devices. If any automatic counting device is used by a pharmacy, each cell shall 
have clearly displayed thereon, the date filled, the name of the drug, the batch number, the 
manufacturer's name, and the expiration date of the particular batch number. No drug can be added to 
the cell until the present supply is depleted. 

5.65Authorization for renewal of prescriptions. A prescription written for medication which, pursuant to 
State and Federal law, may be sold, dispensed, or furnished only upon prescription, shall not be 
renewed without specific authorization of the prescriber. The pharmacist shall in his/her professional 









judgment refill prescriptions in keeping with the number of doses ordered and the directions for use. 
Refills beyond one year of the date of the original prescription shall not be dispensed without further 
authorization of the prescriber.

5.76Mandatory Patient Profile Record System

5.76.1A patient profile record system must be maintained at all pharmacies for persons for whom 
prescriptions are dispensed. The patient profile system shall be devised so as to entitle the 
immediate retrieval of information necessary to enable the dispensing pharmacist to identify 
previously dispensed medication at the time a prescription is presented for dispensing. 

5.76.2The following information shall be recorded by a pharmacist or designee:

5.76.2.1The family name and first name of the person for whom the medication is intended (the 
patient);

5.76.2.2The address of the patient and phone number;

5.76.2.3The patient's age, or date of birth, and gender;

5.76.2.4The original date the medication is dispensed pursuant to the receipt of a prescriber’s 
prescription;

5.76.2.5The number or designation identifying the prescription;

5.76.2.6The prescriber's name;

5.76.2.7The name, strength, quantity, directions and refill information of the drug dispensed;

5.76.2.8The initials of the dispensing pharmacist and the date of dispensing medication as a 
renewal (refill) if said initials and such date are not recorded on the original prescription;

5.76.2.9If the patient refuses to give all or part of the required information, the pharmacist shall so 
indicate and initial in the appropriate area.

5.76.2.10Pharmacist comments relevant to the patient's drug therapy, including any other 
information peculiar to the specific patient or drug.

5.76.3The pharmacist or pharmacy intern under the direct supervision of a pharmacist shall attempt to 
ascertain and shall record any allergies and idiosyncrasies of the patient and any chronic disease 
states and frequently used over-the-counter medication as communicated to the pharmacist by the 
patient. If the answer is none, this must be indicated on the profile.

5.76.4Upon receipt of a new prescription, a pharmacist, pharmacy intern, or student participating in a 
College of Pharmacy practical experience program under the direct supervision of a pharmacist 
must examine the patient’s profile record before dispensing the medication to determine the 
possibility of a harmful drug interaction or reaction. Upon recognizing a potential harmful reaction 
or interaction, the pharmacist shall take appropriate action to avoid or minimize the problem with 
shall, if necessary, include consultation with the prescriber.

5.76.5A patient profile record must be maintained for a period of not less than one year from the date of 
the last entry in the profile record unless it is also used as a dispensing record.

5.87Exchange of Valid Non-Controlled Prescriptions Between Pharmacies

5.87.1Verbal Exchange of Prescriptions - When a pharmacy receives a verbal request for a prescription 
transfer, it may be honored provided that:

5.87.1.1The request comes from a registered pharmacist.

5.87.1.2The copy is immediately reduced to writing and contains the information required on a 
written prescription as listed in Regulation 5.0, and includes the first and last name of the 
pharmacist transmitting the information.

5.87.1.3The prescription used for refills must be clearly identified as a copy. 

5.87.1.4The copy shows the date and the file number of the original prescription and indicates the 
name and address of the pharmacy providing the copy.

5.87.1.5The copy shows the last date of dispensing.

5.87.1.6Only the actual number of refills remaining are indicated.









5.87.1.7A notation indicating a copy was given and refills are no longer valid must be placed on 
either the original prescription or patient profile. The document used must be the same 
one used for the recording of refills per the pharmacy's policy.

5.87.2A copy prepared or transmitted that does not meet the requirements of this Regulation is deemed 
to be an invalid prescription.

5.87.3Written copies of prescriptions are for information only and are not valid for refilling.

5.98Automated Data Processing Systems

5.98.1Profiles. When ADP's are used to maintain patient profile records, all the requirements of 
Delaware Pharmacy Regulation 5.0 must be met.

5.98.2Prescription (Drug Order) Information. Prescription information (drug order) shall include, but not 
be limited to:

5.98.2.1Original dispensing date

5.98.2.2Name and address of patient (patient location if in an institution)

5.98.2.3Name of prescriber

5.98.2.4DEA number of prescriber in the case of a controlled substance

5.98.2.5Name, strength, dosage form and quantity, (or Stop Date), and route of administration if 
other than oral form of drug prescribed

5.98.2.6Renewals authorized

5.98.2.7Directions of use for patient

5.98.3Records of Dispensing. Records of dispensing for original and refill prescriptions are to be made 
and kept by pharmacies for three years. Information must be immediately accessible for a period 
of not less than one year from the date of last entry. Information beyond one year but up to three 
years from the date of last entry may be maintained off-line but must be produced no later than five 
days upon request from proper authorities. The information shall include, but not be limited to:

5.98.3.1Quantity dispensed

5.98.3.2Date of dispensing

5.98.3.3Serial Number (or equivalent if an institution)

5.98.3.4The identification of the pharmacist responsible for dispensing

5.98.3.5Record of renewals to date

5.98.3.6Name and strength of medicine

5.98.4Record Retrieval (Documentation of Activity). Any such ADP system must provide via CRT display 
and or hard copy printout a current history of all authorized prescription activity. This information 
shall include, but not be limited to:

5.98.4.1Serial number of prescription (equivalent if an institution)

5.98.4.2Date of processing

5.98.4.3Quantity dispensed

5.98.4.4The identification of the pharmacist responsible for dispensing

5.98.4.5Medication dispensed

5.98.5Auxiliary Recordkeeping System. An auxiliary recordkeeping system shall be established for the 
documentation of renewals if the ADP is inoperative for any reason. The auxiliary system shall 
insure that all renewals are authorized by the original prescription and that the maximum number 
of renewals are not exceeded. When the ADP is restored to operation, the information regarding 
prescriptions dispensed and renewed during the inoperative period shall be entered into the 
automated data processing system.

5.98.6Common Data Base. Two or more pharmacies may establish and use a common data file or base 
to maintain required or pertinent dispensing information. Pharmacies using such a common file are 
not required to transfer prescriptions or information for dispensing purposes between or among 
pharmacies participating in the same common prescription file or data base; provided however, 
any such common file must contain complete and adequate records of such prescription and 









renewals dispensed. Where common data base is used, this shall not be considered a transfer 
under Board Regulation 5.0 for non-controlled substances.

5.98.7Transfer of Prescriptions via ADP. A pharmacist may transfer a prescription electronically (ADP) 
for Schedule III, IV, or V controlled substances to another pharmacy for renewal purposes in 
accordance with Title 21, Code of Federal Regulations Section 1306.26. A pharmacist may 
transfer a prescription electronically (ADP) for non-controlled drug for renewal purposes in 
accordance with current State Regulations.

5.98.7.1Any pharmacy using ADP must comply with all applicable State and Federal regulations.

5.98.7.2A pharmacy shall make arrangements with the supplier of data processing services or 
materials to assure that the pharmacy continues to have adequate and complete 
prescription and dispensing records if the relationship with such supplier terminates for 
any reason. A pharmacy shall assure continuity in maintenance of records.

5.98.7.3The computer record shall reflect the fact that the prescription order has been transferred, 
the name of the pharmacy to which it was transferred, the date of transfer, the name of the 
pharmacist transferring information, and any remaining refill information, if applicable.

5.98.7.4The pharmacist receiving the transferred prescription drug order shall reduce it to writing 
with the following information:

5.98.7.4.1Write the word "TRANSFER" on the face of the transferred prescription.

5.98.7.4.2Provide all information required to be on the prescription drug order pursuant to State 
and Federal laws and regulations.

5.98.7.5To maintain the confidentiality of patient's prescriptions (drug orders) or other pertinent 
records, there must exist adequate safeguards of security. This shall also pertain to 
prevent non-user access.

5.109Electronic Transmission of Prescriptions

5.109.1All Prescription Drug Orders communicated by way of Electronic Transmission shall:

5.109.1.1be transmitted directly to a Pharmacist in a licensed Pharmacy of the patient’s choice with 
no intervening Person having access to the Prescription Drug Order;

5.109.1.2identify the transmitter’s phone number for verbal confirmation, the time and date of 
transmission, and the identity of the Pharmacy intended to receive the transmission, as 
well as any other information required by Federal or State law;

5.109.1.3be transmitted by an authorized Practitioner or his designated agent; and

5.109.1.4be deemed the original Prescription Drug Order provided it meets the requirements of this 
subsection.

5.109.2The prescribing Practitioner may authorize his agent to communicate a Prescription Drug Order 
orally or by way of Electronic Transmission to a Pharmacist in a licensed Pharmacy, provided that 
the identity of the transmitting agent is included in the order.

5.109.3The Pharmacist shall exercise professional judgment regarding the accuracy, validity, and 
authenticity of the Prescription Drug Order communicated by way of Electronic Transmission 
consistent with existing Federal or State laws and rules.

5.109.4All electronic equipment for receipt of Prescription Drug Orders communicated by way of 
Electronic Transmission shall be maintained so as to ensure against unauthorized access.

5.109.5Persons other than those bound by a confidentiality agreement pursuant to Section 2.A. (2)(k) 
shall not have access to Pharmacy records containing Confidential Information or personally 
identifiable information concerning the Pharmacy’s patients.

5.109.6Controlled substance prescriptions may only be electronically transmitted via a facsimile.

5.109.7Facsimile prescriptions must meet the following requirements in addition to the above listed 
electronic Transmission requirements.

5.109.7.1The prescription order shall include the fax number of the transmitter, the number of 
transmitted pages, the name, phone number, and electronic number of the pharmacy 









intended to receive the transmission, and a confidentiality statement in bold type stating 
the electronic transmission should not be seen by unauthorized persons. 

5.109.7.2Unless the prescription is written for a schedule II controlled substance, the prescriber 
should not issue the written prescription to the patient.

5.109.7.3A facsimile transmitted prescription order must be reduced to writing, unless received as a 
non-fading document, with a notation that the order was received by facsimile.

5.109.7.4The receiving facsimile machine must be in the prescription department to protect 
patient-pharmacist-authorized prescriber confidentiality and security.

5.109.7.5Both non-controlled and controlled substance prescriptions may be transmitted via 
facsimile following state and federal requirements. All prescription orders for controlled 
substances shall be hand-signed by the practitioner.

5.1110Return of Medications and Supply

5.1110.1Prescriptions and items of personal hygiene shall not be accepted for return or exchange by any 
pharmacist or pharmacy after such prescription or items of personal hygiene have been taken 
from the premises where sold, distributed or dispensed.

5.1110.2Products under the direct control of a health care professional which are packaged in 
manufacturer unit dose or tamper-proof unopened bulk containers, tamper proof seal in tact, 
including unused multi-dose punch cards, may be redispensed in accordance with expiration 
dating in customized patient medication package. Partially used products may not be redispensed. 
Nothing in this regulation precludes the Federal laws and regulations.

5.1211Centralized Prescription Processing

5.1211.1A Pharmacy may perform or outsource centralized prescription processing, services provided the 
parties:

5.1211.1.1have the same owner; or

5.1211.1.2have a written contract outlining the services to be provided and the responsibilities and 
accountabilities of each party in fulfilling the terms of said contract in compliance with 
federal and state laws and regulations; and

5.1211.1.3share a common electronic file or have appropriate technology to allow access to sufficient 
information necessary or required to fill or refill a prescription drug order.

5.1211.2The parties performing or contracting for centralized prescription processing services shall 
maintain a policy and procedures manual and documentation that implementation is occurring in a 
manner that shall be made available to the Board for review upon request and that includes, but is 
not limited to, the following:

5.1211.2.1A description of how the parties will comply with federal and state laws and regulations;

5.1211.2.2The maintenance of appropriate records to identify the responsible pharmacist(s) in the 
dispensing and counseling processes;

5.1211.2.3The maintenance of a mechanism for tracking the prescription drug order during each step 
in the dispensing process;

5.1211.2.4The maintenance of a mechanism to identify on the prescription label all pharmacies 
involved in dispensing the prescription drug, order;

5.1211.2.5The provision of adequate security to protect the confidentiality and integrity of patient 
information;

5.1211.2.6The maintenance of a quality assurance program for pharmacy services designed to 
objectively and systematically monitor and evaluate the quality and appropriateness of 
patient care, pursue opportunities to improve patient care, and resolve identified 
problems.

5.1211.3In addition to the requirements of 24 Del.C. §2536, all drugs dispensed to a patient that have been 
filled via a centralized prescription processing system shall bear a label containing an identifiable 
code that provides a complete audit trail of the dispensing of the drug and pharmaceutical care 
activities.









5.1312Compounded medications for office use.

5.1312.1On the order of a practitioner, compounded products may be sold to the practitioner for use in his 
or her office to administer to individual patients, but not for resale.

11.0Pharmaceutical Services in Nursing Homes

11.1Definition: A nursing home is an institution licensed by the Division of Public Health that provides 
permanent facilities that include in-patient beds and medical services, including continuous nursing 
services, to provide treatment for patients who do not currently require continuous hospital services. 
Rest-Residential and Assisted Living beds in licensed nursing homes are exempt from this regulation. 
They are considered under Health Care Facilities.

11.2General Requirements

11.2.1Each facility shall provide a cabinet or medication carts for individual patient medications. These 
storage units shall be of sufficient size and located where easily accessible. They shall be locked 
when not in use and the key and/or code for the storage unit shall be carried by or be accessible 
only to registered nurses, licensed practical nurses, or pharmacists. Controlled substances 
storage shall be in compliance with State and Federal statutes and regulations.

11.2.2Internal medications must be stored separately from external medications.

11.2.3Medications requiring refrigeration must be stored within the USP/NF refrigeration temperature 
range of 36 to 46 degrees Fahrenheit.

11.2.4Medications which require room temperature storage must be maintained at either USP/NF 
ranges of 59 to 86 degrees Fahrenheit or the manufacturer's labeled range.

11.2.5No persons except properly authorized personnel shall handle or administer medications.

11.2.6Schedule II substances shall be secured under two locks in securely fixed boxes or drawers in the 
medication storage area, medication cart, or emergency use medication supplies.

11.2.7There shall be accountability procedures for all controlled substances present. There shall be 
readily retrievable records maintained showing the receipt and disposition of all controlled 
substances. These records must be maintained for 2 years.

11.3Emergency Use Medications

11.3.1Emergency use medications are for the purposes of this Regulation shall be those injectable 
medications which may be required to meet the immediate therapeutic needs of patients, as 
determined by the prescriber, and which are not available from any other authorized source in 
sufficient time to prevent risk or harm to patients by delay resulting from obtaining such drugs from 
other sources.

11.3.2Interim use medications for the purposes of this Regulation shall be those non-injectable 
medications which may be required to meet the immediate therapeutic needs of patients, as 
determined by the prescriber, and which are not available from any other authorized source in 
sufficient time to prevent risk or harm to patients by delay resulting from obtaining such drugs from 
other sources.

11.3.23It is the responsibility of the facility and provider pharmacy to determine the supply of emergency 
use medication and interim use medication that are to be stocked as well as documenting their the 
number of boxes and location(s) within the facility. Stock supply of interim use medication shall not 
exceed sixty (60) medications without the prior review and approval of the Board or its designee. A 
list Emergency use and interim use medications lists of current contents must be attached to the 
medication supply.

11.3.34Accountability for emergency use medications and interim use medications.

11.3.34.1The pharmacy provider must be contacted within 24 hours after medication is used from 
the supply and the pharmacy must restock the supply within a reasonable time to prevent 
harm to patients.









11.3.34.2The provider pharmacy is responsible for the accuracy of all emergency use and interim 
use medications at the time of the filling of the medication. This check must also include 
any medication that became available when the medication is accessed. Records 
documenting use of an emergency medication or interim medication must be kept for a 
minimum of 2 years at the provider pharmacy with a copy at the facility and must be 
readily available for inspection by the Board.

11.3.34.3Failure to comply with these procedures can result in the suspension or denial of the use 
of emergency use and/or interim use medications.

11.3.34.4Violations of accountability procedures for emergency use and/or interim use medications 
may result in review proceedings before the Board.

11.3.45There must be an accountability procedure at the facility for needles and syringes.

11.4Return Medication Procedures.

11.4.1All unused portions of any patient's discontinued prescription medication shall be immediately 
isolated. Non-controlled medication shall be destroyed or returned to the pharmacist or provider 
pharmacy supplying pharmaceutical services within 72 hours with the appropriate notation of 
disposition. The notation shall include the date, quantity, and name and strength of the medication.

11.4.2Medications for hospitalized patients must be isolated, and may be held until the patient’s return or 
permanent discharge.

11.4.3Destruction of discontinued controlled patient medication and discharged or deceased patient's 
controlled medication shall be jointly performed by two authorized licensed personnel within 72 
hours of the discontinuation of the medication or discharge of the patient. A record of the 
destruction must be signed by both parties and kept at the facility for 2 years.

11.5Labeling

11.5.1Labels on controlled substances must show the actual refill date and amount of medication 
dispensed.

11.5.2The provider pharmacy must maintain prescription records required by State and Federal law in 
addition to a readily retrievable record of the actual refills, amount dispensed and accountability of 
the amounts used.

11.5.3A pharmacy providing prescriptions for use in a nursing home may label the prescription, “to be 
administered according to current physician's orders.

11.5.4A change in a medication order that involves a direction change must be communicated to the 
pharmacy within 24 hours, and the labeling on medication currently in the facility may be handled 
in the following ways:

11.5.4.1A licensed nurse or pharmacist may apply an accessory label to the medication which 
denotes that there has been a direction change.

11.5.4.2A label(s) with new directions may be requested from the pharmacy and applied to the 
current medication supply by a licensed nurse or pharmacist.

11.6Duties of Consultant Pharmacist

11.6.1A consultant pharmacist to a nursing home in the State of Delaware must be licensed to practice 
pharmacy in the State of Delaware. The consultant pharmacist shall be responsible for the general 
supervision of the nursing home pharmaceutical services and the direct supervision of registered 
pharmacy interns, who may assist in chart reviews. Supervision of chart reviews by a pharmacy 
intern must be documented by the supervising pharmacist.

11.6.2The consultant pharmacist shall provide the administrator of a nursing home with a statement 
indicating those minimum professional services that will be provided. This statement shall be 
incorporated into the nursing home Pharmacy Policy and Procedure Manual.

11.6.3The consultant pharmacist must notify the Board in writing within ten days of starting as a 
consultant in the State.

11.6.3.1If the consultant pharmacist has not served in that position in the State of Delaware, he/
she must appear before the Board for an interview within ninety days after assuming that 
position.









11.6.4The consultant pharmacist shall be responsible for written policies and procedures which shall 
include, but not be limited to:

11.6.4.1Procedures for administering the services outlined in the statement of proposed services.

11.6.4.2Policies governing practitioner medication orders, medication errors, automatic stop 
orders, medications for patient discharge and leave of absence.

11.6.4.3Policies and procedures necessary to insure the safe use, administration, control and 
accountability of all drugs through out the nursing home in compliance with State and 
Federal laws.

11.6.4.4Policies and procedures outlining the destruction of wastage for all controlled medications.

11.6.4.5Policies governing appropriate storage of medications, an effective drug recall procedure 
and labeling of all prescription drugs and biologicals in accordance with State and Federal 
requirements. For registered out-of-state providers an additional labeling requirement is 
having the toll-free telephone number on the prescription labels.

11.6.4.6Policies and procedures governing patient drug regimen review, which shall include 
procedures for reporting irregularities, and documenting that such reviews have been 
performed. The provider pharmacy is to receive copies of all practitioners’ orders to be 
reviewed with the information on the patient profiles.

11.6.5If the nursing home has a pharmacy or quality related committee the consultant pharmacist shall 
serve on that committee.

11.6.6The consultant pharmacist or designated pharmacy staff shall make inspections of each nursing 
station and related drug storage areas at least monthly. A pharmacy support person may assist 
with inspection under the direct supervision of a pharmacist. 

11.6.6.1Nursing station inspections must include, but are not limited to, documentation of the 
following:

11.6.6.1.1medication storage area(s) (59 to 86 degrees Fahrenheit) and refrigerator 
temperatures (36 to 46 degrees Fahrenheit);

11.6.6.1.2security of all drugs;

11.6.6.1.3proper labeling, including any accessory or cautionary instructions;

11.6.6.1.4proper expiration dating;

11.6.6.1.5cleanliness;

11.6.6.1.6emergency use medication supplies are properly maintained.

11.6.6.2A copy of these inspection reports must be maintained at the facility for two years.

11.6.7The consultant pharmacist shall review the drug regimen of each patient monthly at the facility. 
Documentation of the review is accomplished in the following manner:

11.6.7.1If the pharmacist determines that there are no irregularities in the patient's drug regimen, 
he/she must note in the patient's chart that he/she has reviewed the drug regimen, found 
no irregularities, and sign and date this notation. This documentation must remain on the 
patients' charts for a minimum of 12 months.

11.6.7.2If the pharmacist determines that there are irregularities, he/she must prepare a drug 
regimen review report which includes any pertinent information such as the patient's 
diagnosis(es), the drug regimen, any pertinent laboratory findings, dietary considerations, 
etc., and his/her recommendations for improving the drug therapy of the patient. This 
written recommendation shall be forwarded to the attending practitioner, with the original 
documentation maintained in the patient chart. 

11.6.7.3Nursing unit inspections and a summary report of patient drug regimen reviews must be 
submitted to the Director of Nursing and the Administrator monthly.

11.6.8The consultant pharmacist is responsible for the accountability of all medications. A random 
sample will be done monthly to identify overages or shortages of any medications. Documentation 
will be made of irregularities and will include date of audit, patient identification, a listing of 
overages or shortages, and an explanation if known. A plan for correction will be included in the 









documentation where appropriate. Documentation will be maintained for a period of 12 months at 
the facility.

11.6.9The consultant pharmacist shall be responsible for providing information to the nursing home staff, 
as may be appropriate or required, to ensure safety, understanding and compliance with policies 
and procedures pertaining to pharmacy-related activities and concerns.

11.6.10 The consultant pharmacist shall assume all other responsibilities required of a consultant 
pharmacist as set forth in any State or Federal statutes or regulations as enacted or amended or 
may be enacted or amended.

 7 DE Reg. 914 (01/01/04)

18.0Storage and Dispensing of Medical Gases

18.1The following rules are included to address those areas specific to the medical gases specialty 
practice.

"Medical gas" means those gases and liquid oxygen intended for human consumption as per the 
standards of the U.S.P.

"Medical gas dispenser" A person or entity who sells medical gases directly to a patient in Delaware. 

"Medical gas distributor" A person or entity who is licensed to distribute medical gases to another 
facility that is authorized to possess medical gases.

"Order" means an order issued by a licensed practitioner legally authorized to order medicinal gases.

18.2Licensure and Registration

18.2.1Any person that dispenses medical gas directly to patients by sale shall register with the Board of 
Pharmacy pursuant to 24 Del.C. §2523. Applications for registration under this Regulation shall be 
on a form supplied by the Board and accompanied by a fee determined by the Board. The 
registration shall be renewed bi-ennially as determined by the Board.

18.2.1.1A medical gas dispenser may refill cylinders for a patient provided that the licensee is 
registered by the FDA.

18.2.2Distributors of medical gas who distribute to non-patient entities shall obtain a distributor license 
from the Board of Pharmacy pursuant to 24 Del.C. §2540.

18.3Order Requirements

18.3.1Verbal orders:

18.3.1.1Verbal orders shall be reduced to writing.

18.3.1.2Verbal orders are only valid for oxygen and no other medical gases.

18.3.1.3Verbal orders shall be reviewed by a licensed healthcare professional authorized to 
administer oxygen to a patient. This review shall be performed within 72 hours.

18.3.1.4 The order is valid for the length of time authorized by the prescriber. If the duration is not 
specified the order is valid for one year.

18.4Policy and Procedure Requirements

18.4.1Written policy and procedures must be available for review and shall include but not be limited to 
the following areas:

18.4.1.1Storage and handling

18.4.1.2Oxygen Safety

18.4.1.3Orders

18.4.1.4Labeling

18.4.1.5Record keeping

18.4.1.6Patient education

18.4.1.7Security









18.4.1.8Recall

18.4.1.9Quarantine

18.4.1.10Loss/theft

18.5Training Requirements

18.5.1Personnel shall be trained in areas to comply with standards dictated by the United States 
Pharmacopoeia, the Food Drug Administration, the Department of Transportation, the 
Occupational Safety and Health Administration, the Board of Pharmacy, any other applicable 
requirement under State and Federal law and any implementing rules or regulations regarding 
storage, packaging, labeling, shipping, dispensing, transfilling, distributing and repackaging of 
medical gas.

18.5.2Documentation of training required by this Regulation shall be readily available for inspection. 
The documentation shall be kept for three years from the date of last employment.

18.6Storage and Handling Requirements

18.6.1Storage and handling of medical gas shall follow the manufacturer's labeling requirements.

18.6.2Labeling shall include the manufacturer's label and a lot number on the cylinder in accordance with 
the Federal Food Drug and Cosmetic Act under Title 21 of the Code of Federal Regulation.

18.7Record Keeping Requirements

18.7.1The original order shall be kept and be readily retrievable for a minimum of three years after the 
date of the last dispensing.

18.7.2Records shall include but not be limited to:

18.7.2.1Name, address and telephone number of the patient

18.7.2.2Name, address and telephone number of licensed practitioner

18.7.2.3Item and quantity dispensed

18.7.2.4Date of dispensing

18.8Inspections

18.8.1Inspections are conducted unannounced, during normal business hours, in accordance with 24 
Del.C. §2534.

19.0Technicians: Qualifications, Training, and Duties 

19.1Qualifications and Training

19.1.1Pharmacy Technicians shall successfully complete a training program. Training shall begin 
immediately upon initiation of employment and be completed within 90 days. Once training is 
commenced the technician in training may work in the pharmacy under the direct supervision of a 
pharmacist or a trained technician.

19.1.1.1The pharmacist-in-charge is responsible for ensuring proper training of all supportive 
personnel. The actual training may be delegated to a pharmacist or other trained 
supportive personnel.

19.1.1.2The areas of training required are to be determined by the pharmacist-in-charge and will 
be appropriate to the practice site and responsibilities assigned to the technicians. 
Training should be a minimum of 10 hours of didactic training in the following areas:

19.1.1.2.1general drug and dosage form knowledge

19.1.1.2.2medical terminology

19.1.1.2.3pharmaceutical calculations 

19.1.1.2.4prescription labeling requirements 

19.1.1.2.5general filling/dispensing responsibilities

19.1.1.2.6patient profile record system requirements

19.1.1.2.7requirements for patient counseling

19.1.1.2.8confidentiality









19.1.1.2.9safety practices

19.1.1.2.10inventory functions

19.1.1.2.11knowledge of applicable State and Federal Statutes and Regulations

19.1.1.2.12other site-specific parameters 

19.1.1.3The general content of the training program must be maintained in the policy and 
procedure manual.

19.1.1.4Documentation of successful training in specific areas by oral or written evaluation will be 
maintained and will be available for inspection by the Board of Pharmacy.

19.1.1.5Supervision. Supportive personnel must be supervised by a registered pharmacist who 
will be responsible for the activities of these persons.

19.1.2Certified pharmacy technicians must be at least 18 years of age, successfully complete a certified 
training program approved by the Board of Pharmacy and successfully pass the PTCB Exam or 
other national technician certification exam approved by the Board of Pharmacy. Only certified 
pharmacy technicians may assist the pharmacist by reconstituting oral solutions and contacting 
the prescriber or their agent to obtain refill authorization or other patient or prescription information 
of a non-clinical nature, or assisting the pharmacist with compounding. 

19.2Allowed Activities

19.2.1Except in emergency situations for short periods where staff is unavailable only pharmacy 
technicians and certified pharmacy technicians may assist the pharmacist or deliver prescriptions 
in the pharmacy to a patient or the patient's agent.

19.2.2Pharmacy technicians and certified pharmacy technicians may carry out any pharmacy-related 
duty assigned to them by their supervising pharmacist except for those activities specifically 
excluded by 24 Del.C. §§2507(b) and 2502(19).

20.0Specialty Institutional Pharmacy Licenses.

20.1Specialty institutional pharmacies are those institutional pharmacies which provide specialized 
pharmacy services restricted in scope of practice and designed to provide certain health care 
pharmacy services that are not generally obtainable from other pharmacy permittees. Specialty 
institutional pharmacies include but are not limited to short term or primary care treatment modalities 
that have pharmacies on site such as outpatient chemotherapy centers, primary treatment centers, 
free standing emergency rooms, rapid in/out surgical centers and certain county health programs.

20.2Labeling and record keeping requirements shall be kept in accordance with Regulation 9.9 through 
9.13.

DIVISION OF PROFESSIONAL REGULATION
Statutory Authority: 24 Delaware Code, Section 3805 (a) (24 Del.C. §3805 (a))

24 DE Admin. Code 3800











3800 Committee on State Board of Dietetics/Nutrition
1.0Qualifications of Applicants

1.1Major Course of Study

1.1.1An equivalent A major course of study [24 Del.C. §3806(l) (2)] must include 3 semester credits 
with content in biochemistry, 3 semester credits with content in human physiology, and 12 
semester credits of courses with major content in human nutrition and/or dietetics including 3 
semester credits in nutrition and disease or diet therapy.

1.2Foreign Degrees:

1.2.1An agency authorized to validate foreign academic degrees equivalent to the Baccalaureate or 
Master's Degree conferred by a regionally accredited college or University in the U.S. includes the 
following:

International Consultants of Delaware, Inc., (109 Barksdale Professional Center, Newark, DE 
19711) P.O. Box 8629, Philadelphia, PA 19101 - www.icdel.com

IERF Credentials Evaluation Services, Inc., (P.O. Box 66940, Los Angeles, CA 90066) 3665 
Culver City, CA 90231-3665) - www.ierf.org

World Education Services, Inc., (P.O. Box 745, Old Chelsea 5087 Bowling Green Station, New 
York, NY 10011 10274-5087) - www.wes.org

Education Credential Evaluators, Inc., (P.O. Box 92970 5140740, Milwaukee, WI 53202-097053203-3470) -www.ece.org

Josef Silny & Associates, International Education Consultants, (P.O. Box 248233 Coral Gables, FL 
33124) 7107 SW 102 Ave. Miami, FL 33173) - www.jsilny.com

1.3Examination

1.3.1The cost of the examination is borne by the applicant.

1.3.2Satisfactory completion of the registration examination established by the Committee. [24 Del.C. 
§3806(a)(2)].

1.3.2.1The passing score established by the Commission on Dietetic Registration.

1.3.3Another national examination may be approved by the Committee. The Committee shall use the 
following criteria:

1.3.3.1It shall be a national validated examination, the primary objective of which is to measures 
minimum professional competency in dietetics and/or nutrition. In order to take the 
examination, the candidate is required to have a minimum of a baccalaureate degree and 
collegiate level coursework in nutrition conferred by a regionally accredited college or 
university in the U.S.

1.3.3.2The approval of the Director of Professional Regulation is also required if another 
examination is adopted.

1.3Supervised Practice









1.4 1.3.1Proof of professional completion of supervised practice experience of 900 hours [24 Del.C.
§3806(a)(3)] may be: is required and may be demonstrated by documenting completion of a 
Commission on Accreditation for Dietetic Education (CADE) program. CADE is the accrediting 
agency for the American Dietetic Association (ADA); or 

1.4Proof of professional practice experience of 900 hours [24 Del.C. §3806(a)(3)] may be:

1.4.1a program ADA-approved or ADA-accredited by the Commission on Dietetic Registration of The 
American Dietetic Association currently called

1.4.1.1an accredited dietetic internship

1.4.1.2an approved professional practice program

1.4.1.3an accredited coordinated program

OR

1.43.2At least 900 hours of supervised participation in nutrition services. The scope of activities may 
include observation, but must include direct client/patient involvement. The 900 hours must be 
concurrent to with and/or following completion of the academic requirements for certification and 
need not be a paid experience. The following will define the equivalent professional practice 
experience and verification necessary:

1.43.2.1Each supervisor shall have administrative responsibility for the area of the professional 
practice experience OR provide a letter from the area's administrator showing approval for 
him/her to officially function as a supervisor of the applicant's experience for the purposes 
of this chapter.

1.43.2.2The supervisor shall have access to relevant patient/client records in the site of the 
professional practice experience. In order to guide the applicant and to have a basis for 
evaluation, the supervisor shall review performance by periodic observation, either directly 
or by some recording of the nutrition services.

1.43.2.3If there is more than one supervisor and/or facility for different parts of the experience, 
information and verification of each part is required.

1.43.2.4The applicant shall provide to the Committee Board for each supervisor/facility

1.43.2.4.1the name and address of the facility providing the professional practice experience 
and name of the area within the facility where the professional practice experience 
occurred.

1.43.2.4.2the name, address, phone and title of the official supervisor who is supervising the 
qualifying experience for purpose of obtaining the certification. The supervisor for the 
purpose of certification may be different than the administrative supervisor of the unit 
in the facility.

1.43.2.4.3a summary of the nature of nutrition services performed, along with dates and hours 
spent performing them.

1.43.2.4.4evidence that the supervisor was either a registered dietitian, a licensed dietitian or a 
certified dietitian/nutritionist or a certified nutrition specialist in Delaware or any other 
state at the time of supervision; or the supervisor was a licensed physician health care 
professional or individual with a doctoral degree from an accredited college or 
university with expertise in human nutrition. A copy of the current license, certification, 
or registration must be provided.

1.43.2.4.5the applicant will send the description of the qualifying experience noted above to the 
professional practice experience supervisor for verification.

1.43.2.4.6Each supervisor must review the evidence provided by the applicant and verify that 
the information is true including

1.43.2.4.6.1that the applicant participated in nutrition services under his/her supervision, 
indicating the total number of hours.

1.43.2.4.6.2that the applicant performed the nutrition services at a satisfactory level and 
followed the Code of Ethics in the course of this qualifying experience.









OR

1.4.3Documented work experience: If you are applying under 24 Del.C. §3806(A)(3)b, the requirements 
for documentation are the same as Equivalent Professional Practice Experience, except that the 
number of hours is different.

1.4Examination

1.4.1The satisfactory completion of the registration examination established by the Commission on 
Dietetic Registration (CDR), the examination of the Certification Board for Nutrition Specialists 
(CBNS) or another national examination acceptable to the Board and approved by the Director of 
Professional Regulation is required. [24 Del.C. §3806(a)(4)].

1.4.1.1The passing score shall be the passing score established by the exam provider.

1.4.2The cost of the examination shall be borne by the applicant.

1.5Graduate Degrees: "Persons presenting evidence of a Master's degree or Doctorate degree" as 
specified in 24 Del.C. §3806(d) "shall provide evidence that the degree is in nutrition, nutrition 
education, nutrition science or a major closely related to human nutrition. "The major closely related to 
human nutrition" shall include either as part of the degree or in courses taken in addition to the degree 
a minimum of 3 semester credits with content in biochemistry, 3 semester credits with content in 
human physiology, and 12 semester credits of courses with major content in human nutrition and/or 
dietetics including 3 semester credits in nutrition and disease or diet therapy. All qualifying degrees 
and courses shall be from a college or university accredited through regional accrediting agency 
recognized by the U.S. Department of Education at the time the degree was earned or when courses 
were taken. Individuals seeking a waiver under the provisions of 24 Del. C. §3806(f) of the 
qualifications for licensure specified in 24 Del. C. §3806(a)(1)-(4) and 24 Del. C. §3806(b) must 
document at least 10 years or greater work experience in the field of nutrition as defined in 24 Del. C. 
§3802(3) acceptable to the Board.

2.0Reciprocity

2.1The Board may grant licensure to registered, certified or licensed dietitians/nutritionists holding a valid 
license issued by another jurisdiction whose standards of licensure are equal to or greater than those 
of 24 Del.C. Ch. 38.

2.2The applicant shall include, as part of the application, copies of state licensing and/or practice statutes 
and regulations pertaining to the practice of dietetics and nutrition for each jurisdiction through which 
he/she is seeking reciprocity.

2.3The Applicant shall include letters of good standing from all jurisdictions in which the applicant is 
licensed or registered.

2.4"Standards of licensure," as used in 24 Del.C. §3807, shall refer to the qualifications of applicants set 
forth at §3806.

23.0Continuing Professional Education

23.1"Continuing professional education" (CPE) as specified in Dietetics/Nutrition Certification the Dietician/
Nutritionist Licensure Act, 24 Del.C. §3808, must meet the content requirements of The American 
Dietetic Association for CPE credit. One hour of CPE credit shall be given for each hour of CPE 
activity.

23.1.1To renew his or her certification license a CDN LDN must obtain thirty (30) hours of CPE during 
each two year certification period.

23.1.1.1CPE requirements shall be prorated for new CDNs LDNs as follows: If the new CDN LDNhas been certified licensed less than 1 year, CPE is not required for renewal, if the new 
CDN LDN has been certified licensed for more than 1 year but less than 2 years, half of 
the 30 CPE hours (15 hours) are required. If certified licensed for 2 or more years, the full 
30 hours of CPE is required.









2.1.1.2Due to the shortened time period of the October 1, 2007 - May 31, 2009 certification 
period, only 25 CPE hours must be earned during that period to qualify for renewal on May 
31, 2009.

23.1.1.32Extensions of time: An extension of time to complete CPE requirements will be granted to 
any CDN LDN who can demonstrate to the Committee Board an acceptable cause. The 
CDN LDN must petition the Committee Board for an extension. Should the CommitteeBoard deny the request, the CDN LDN must complete the requirements to maintain 
certification licensure. Examples of circumstances for which the Committee Board may 
grant extensions of time include, but are not limited to, prolonged illness or extended 
absence from the country.

23.2Proof of continuing education is satisfied with an attestation by the certificate holder licensee that he or 
she has satisfied the requirements of Rule 23.0.

23.2.1Attestation may be completed electronically if the renewal is accomplished online. In the 
alternative, paper renewal documents that contain the attestation of completion may be submitted.

23.2.2Certificate holders Licensees selected for random audit will be required to supplement the 
attestation with attendance verification pursuant to Rule 23.3.

23.3Random audits will be performed by the Committee Board to ensure compliance with the CPE 
requirements.

23.3.1The Committee Board will notify CDNs LDNs within sixty (60) days after the certificate licenserenewal date that they have been selected for audit.

23.3.2CDNs LDNs selected for random audit shall be required to submit verification within ten (10) days 
of receipt of notification of selection for audit.

23.3.3Verification shall include such information necessary for the Committee Board to assess whether 
the course or other activity meets the CPE requirements in Rule 23.0, which may include, but is 
not limited to, the following information:

23.3.3.1Proof of attendance. While course brochures may be used to verify contact hours, they are 
not considered to be acceptable proof for use of verification of course attendance.

23.3.3.2Date of CPE course;

23.3.3.3Instructors of CPE course;

23.3.3.4Sponsor of CEU course;

23.3.3.5Title of CPE course; and

23.3.3.6Number of hours of CPE course.

23.3.4The CPE activities must be performed within the two year period prior to renewal of certificationlicensure. If an activity overlaps two renewal periods, the date of completion of the activity 
determines the date in which the activity can be reported.

23.3.5The current document published by CDR/ADA, describing CPE guidelines for registered dietitians 
shall be used as a guide to interpret requirements of CDR/ADA for CPE.

23.3.6The Committee Board will accept the decisions of CDR and CBNS for appropriateness of CPE 
activities and reserves the right to approve or disapprove any other activity deemed appropriate for 
CPE, using current CDR/ADA standards as criteria.

23.3.7The Committee Board may establish maximum hours allowed for any type of activity in the two-
year period.

23.3.7.1A maximum of 15 CPE hours shall be allowed for selfstudy programs.

23.3.7.2A maximum of 6 CPE hours shall be allowed for exhibits.

23.3.7.3A maximum of 10 CPE hours shall be allowed for poster presentations.

3.4The Board shall review all documentation requested of any licensee shown on the audit list. If the 
Board determines the licensee has met the requirements, the licensee's license shall remain in effect. 
If the Board initially determines the licensee has not met the requirements, the licensee shall be 
notified and a hearing may be held pursuant to the Administrative Procedures Act. This hearing will be 
conducted to determine if there are any extenuating circumstances justifying the apparent 









noncompliance with these requirements. Unjustified noncompliance of these regulations shall be 
considered grounds for discipline in the practice of dietetics and nutrition, pursuant to 24 Del.C. §3811. 
The minimum penalty for unjustified noncompliance shall be a letter of reprimand.

3.5Any licensee denied renewal or disciplined pursuant to these rules and regulations may contest such 
ruling by filing an appeal pursuant to the Administrative Procedures Act.

11 DE Reg. 226 (08/01/07)

3.0Renewal of Certification

Beginning on October 1, 2007, CDN certification shall expire biennially on May 31 of odd-numbered 
years.

11 DE Reg. 226 (08/01/07)

4.0Licensure-Renewal

4.1The biennial licensure period expires on May 31 of every odd-numbered year. A licensee may have 
his/her license renewed by submitting a renewal application to the Board by the renewal date and 
upon payment of the renewal fee prescribed by the Division of Professional Regulation (Division) along 
with an attestation of completion of the continuing education requirements. License renewal may be 
accomplished online at the Division's website: www.dpr.delaware.gov. 

4.2Any licensee who fails to renew his/her license by the renewal date may reactivate his/her license 
during the one (1) year period immediately following the license expiration date provided the licensee 
pays a late fee in addition to the prescribed renewal fee, submits an application on an appropriate form 
to the Board and provides proof that he/she completed the required continuing education.

4.3No LDN will be permitted to renew his/her license once the one-year period has expired but the former 
licensee may re-apply under the same conditions that govern applicants for licensure under 24 Del.C.
Ch. 38.

45.0Code of Ethics. [24 Del.C. §3811(a)(4).]

45.1The CDN LDN provides professional service with objectivity and with respect for the unique needs and 
values of individuals, avoiding discrimination on the basis of race, creed, gender, national origin, age 
or disability.

45.2The CDN LDN accurately presents professional qualifications and credentials and does not permit the 
use of these credentials by an unqualified person.

45.3The CDN LDN remains free of conflict of interest and promotes or endorses products/services in a 
manner that is neither false nor misleading.

45.4The CDN LDN assumes responsibility and accountability for personal competence in practice through 
continuing professional education and adherence to accepted standards of practice.

45.5The CDN LDN shall recognize and exercise professional judgment within the limits of his/her 
qualifications and shall not accept or perform professional responsibilities which the CDN LDN is not 
qualified to perform.

45.6The CDN LDN practices nutrition/dietetics based on scientific principles and current substantiated 
information without personal bias, enabling clients to make informed decisions.

45.7The CDN LDN maintains the confidentiality of information obtained from clients and maintains records 
relating to services provided to a client in the course of a professional relationship.

45.8The CDN LDN conducts himself/herself with honesty, integrity and fairness, advertises services in a 
factual, straightforward manner, and fulfills professional commitments in good faith.

45.9The CDN LDN shall not engage in dietetic practice while under the influence of alcohol or drugs which 
impair the provision of such practice.

45.10The CDN LDN shall be responsible for reporting alleged misrepresentation or violations of the Code of 
Ethics to the State Committee Board of Dietetics/Nutrition.









6.0Crimes Substantially Related To Provision Of Dietetic/Nutrition Services.

6.1For the purposes of this section the following definition shall apply:

6.1.1“Conviction” means a verdict of guilty by whether entered by a judge or jury, or a plea of guilty or 
a plea of nolo contendere or other similar plea such as a “Robinson” or “Alford” plea unless the 
individual has been discharged under §1024 of Title 10 (domestic violence diversion program) or 
by §4764 of Title 16 (first offenders controlled substances diversion program). Including all crimes 
prohibited by or punishable under Title 18 of the United States Code Annotated (U.S.C.A.) such 
as, but not limited to, Federal Health Care offenses.

6.2Conviction of any of the following crimes in Title 11, or of the attempt to commit or of a conspiracy to 
commit or conceal or of solicitation to commit the following crimes, is deemed to be a crime 
substantially related to the provision of Dietetics/Nutrition services as a Certified Dietitian and/or 
Nutritionist in the State of Delaware without regard to the place of conviction:

6.2.1Homicide

6.2.2Assault 

6.2.3Criminal Sexual Abuse

6.2.4Tax Evasion

6.2.5Kidnapping

6.2.6Theft and all related offenses

6.2.7Embezzlement

6.2.8Child pornography

6.2.9Forgery

6.2.10Identity theft

6.2.11Insurance fraud

6.2.12Bribery

6.2.13Perjury

6.2.14Abuse- any abuse of a person or animal

6.2.15Counterfeiting

6.2.16Tampering with consumer products

6.2.17Hate crimes

6.2.18False or fraudulent statements

6.2.19Kick Back schemes 

6.2.20Abduction or unlawful restraint

6.2.1§501 Criminal solicitation in the third degree

6.2.2§502 Criminal solicitation in the second degree

6.2.3§503 Criminal solicitation in the first degree

6.2.4§511 Conspiracy in the third degree

6.2.5§512 Conspiracy in the second degree

6.2.6§513 Conspiracy in the first degree

6.2.7§601 Offensive touching; Class A Misdemeanor 

6.2.8§602 Menacing;

6.2.9§603 Reckless endangering in the second degree;

6.2.10§604 Reckless endangering in the first degree;

6.2.11§605 Abuse of a pregnant female in the second degree;

6.2.12§606 Abuse of a pregnant female in the first degree;

6.2.13§611 Assault in the third degree;

6.2.14§612 Assault in the second degree;

6.2.15§613 Assault in the first degree;









6.2.16§615 Assault by abuse or neglect;

6.2.17§621 Terroristic threatening;

6.2.18§625 Unlawfully administering drugs;

6.2.19§626 Unlawfully administering controlled substance or counterfeit substance or narcotic drugs;

6.2.20§629 Vehicular assault in the first degree;

6.2.21§630 Vehicular homicide in the second degree;

6.2.22§630A Vehicular homicide in the first degree;

6.2.23§631 Criminally negligent homicide;

6.2.24§632 Manslaughter;

6.2.25§633 Murder by abuse or neglect in the second degree;

6.2.26§634 Murder by abuse or neglect in the first degree;

6.2.27§635 Murder in the second degree;

6.2.28§636 Murder in the first degree;

6.2.29§645 Promoting suicide.

Sexual Offenses

6.2.30§763 Sexual harassment;

6.2.31§764 Indecent exposure in the second degree;

6.2.32§765 Indecent exposure in the first degree;

6.2.33§766 Incest;

6.2.34§767 Unlawful sexual contact in the third degree;

6.2.35§768 Unlawful sexual contact in the second degree;

6.2.36§769 Unlawful sexual contact in the first degree;

6.2.37§770 Rape in the fourth degree;

6.2.38§771 Rape in the third degree;

6.2.39§772 Rape in the second degree;

6.2.40§773 Rape in the first degree;

6.2.41§776 Sexual extortion;

6.2.42§777 Bestiality;

6.2.43§778 Continuous sexual abuse of a child;

6.2.44§780 Female genital mutilation.

6.2.45§781 Unlawful imprisonment in the second degree;

6.2.46§782 Unlawful imprisonment in the first degree;

6.2.47§783 Kidnapping in the second degree;

6.2.48§783A Kidnapping in the first degree;

6.2.49§791 Acts constituting coercion;

6.3Any crime which involves dishonesty or false, fraudulent or aberrant behavior and shall include by way 
of example and not of limitation the following crimes listed in Title 11 of the Delaware Code Annotated: 

6.3.1§801 Arson in the third degree;

6.3.2§802 Arson in the second degree;

6.3.3§803 Arson in the first degree;

6.3.4§811 Criminal mischief, Felony.

6.3.5§820 Trespassing with intent to peer or peep into a window or door of another;

6.3.6§824 Burglary in the third degree;

6.3.7§825 Burglary in the second degree;

6.3.8§826 Burglary in the first degree;

6.3.9§828 Possession of burglar's tools or instruments facilitating theft;









Robbery

6.3.10§831 Robbery in the second degree;

6.3.11§832 Robbery in the first degree.

6.3.12§835 Carjacking in the second degree;

6.3.13§836 Carjacking in the first degree;

6.3.14§840 Shoplifting; Felony

6.3.15§841 Theft;

6.3.16§846 Extortion;

6.3.17§854 Identity theft;

6.3.18§860 Possession of shoplifter's tools or instruments facilitating theft;

6.3.19§861 Forgery

6.3.20§862 Possession of forgery devices;

6.3.21§871 Falsifying business records;

6.3.22§873 Tampering with public records in the second degree;

6.3.23§876 Tampering with public records in the first degree;

6.3.24§877 Offering a false instrument for filing;

6.3.25§878 Issuing a false certificate;

6.3.26§903 Unlawful use of credit card; Felony.

6.3.27§903 A Re-encoder and scanning devices;

6.3.28§906 Deceptive business practices;

6.3.29§907B Criminal impersonation of a police officer;

6.3.30§908 Unlawfully concealing a will;

6.3.31§909 Securing execution of documents by deception;

6.3.32§913 Insurance fraud;

6.3.33§913A Health care fraud;

6.4Any crime which involves misuse or abuse of children or animals and shall include by way of example 
and not of limitation the following crimes listed in Title 11 of the Delaware Code Annotated:

6.4.1§1100 Dealing in children;

6.4.2§1101 Abandonment of child;

6.4.3§1102 Endangering the welfare of a child;

6.4.4§1105 Endangering the welfare of an incompetent person;

6.4.5§1106 Unlawfully dealing with a child;

6.4.6§1107 Endangering children;

6.4.7§1108 Sexual exploitation of a child;

6.4.8§1109 Unlawfully dealing in child pornography;

6.4.9§1111 Possession of child pornography;

6.4.10§1112 Sexual offenders; prohibitions from school zones.

6.4.11§1112A Sexual solicitation of a child;

6.4.12§1113 Criminal non-support and aggravated criminal non-support.

6.4.13§1325 Cruelty to animals;

6.4.14§1326 Animals; fighting and baiting prohibited;

6.4.15§1327 Maintaining a dangerous animal, felony;

6.5Any crime which involves offenses against the public order the commission of which may tend to bring 
discredit upon the profession and which are thus substantially related to one's fitness to practice such 
profession and shall include by way of example and not of limitation the following crimes listed in Title 
11 of the Delaware Code Annotated:

6.5.1§1201 Bribery;









6.5.2§1203 Receiving a bribe;

6.5.3§1207 Improper influence;

6.5.4§1211 Official misconduct

6.5.5§1212 Profiteering

6.5.6§1221 Perjury in the third degree;

6.5.7§1222 Perjury in the second degree;

6.5.8§1223 Perjury in the first degree;

6.5.9§1233 Making a false written statement; class

6.5.10§1240 Terroristic threatening of public officials or public servants

6.5.11§1245 Falsely reporting an incident, felony;

6.5.12§1250 Offenses against law-enforcement animals;

6.5.13§1254 Assault in a detention facility;

6.5.14§1256 Promoting prison contraband, felony;

6.5.15§1257A Use of an animal to avoid capture, felony;

6.5.16§1261 Bribing a witness;

6.5.17§1262 Bribe receiving by a witness;

6.5.18§1263 Tampering with a witness;

6.5.19§1263A Interfering with child witness;

6.5.20§1264 Bribing a juror;

6.5.21§1265 Bribe receiving by a juror;

6.5.22§1266 Tampering with a juror;

6.5.23§1267 Misconduct by a juror;

6.5.24§1269 Tampering with physical evidence;

6.5.25§1273 Unlawful grand jury disclosure;

6.6Any crime which involves offenses against a public health order and decency which may tend to bring 
discredit upon the profession, specifically including the below listed crimes from Title 11 of the 
Delaware Code Annotated which evidence a lack of appropriate concern for the safety and well being 
of another person or persons in general or sufficiently flawed judgment to call into question the 
individuals ability to make health care decisions or advise upon health care related matters for other 
individuals.

6.6.1§1302 Riot;

6.6.2§1304 Hate crimes;

6.6.3§1312 Aggravated harassment;

6.6.4§1312A Stalking. felony;

6.6.5§1313 Malicious interference with emergency communications;

6.6.6§1331 Desecration;

6.6.7§1332 Abusing a corpse;

6.6.8§1333 Trading in human remains and associated funerary objects.

6.6.9§1335 Violation of privacy;

6.6.10§1338 Bombs, incendiary devices, Molotov cocktails and explosive devices;

6.6.11§1339 Adulteration;

6.6.12§1340 Desecration of burial place.

6.6.13§1341 Lewdness;

6.6.14§1351 Promoting prostitution in the third degree;

6.6.15§1352 Promoting prostitution in the second degree;

6.6.16§1353 Promoting prostitution in the first degree;

6.6.17§1355 Permitting prostitution;









6.6.18§1361 Obscenity; acts constituting;

6.6.19§1365 Obscene literature harmful to minors

6.7Any crime which involves the illegal possession or the misuse or abuse of narcotics, or other addictive 
substances and those non-addictive substances with a substantial capacity to impair reason or 
judgment and shall include by way of example and not of limitation the following crimes listed in 
Chapter 47 of Title 16 of the Delaware Code Annotated:

6.7.1§4751 Prohibited acts A;

6.7.2§4752 Prohibited acts B;

6.7.3§4752A Unlawful delivery of noncontrolled substance;

6.7.4§4753A Trafficking in marijuana, cocaine, illegal drugs, methamphetamines, L.S.D., or designer 
drugs;

6.7.5§4754A Possession and delivery of noncontrolled prescription drug (felony);

6.7.6§4755 Prohibited acts E;

6.7.7§4756 Prohibited acts;

6.7.8§4757 Hypodermic syringe or needle; delivering or possessing (felony); disposal (felony);

6.7.9§4761 Distribution to persons under 21 years of age;

6.7.10§4761A Purchase of drugs from minors;

6.7.11§4767 Distribution, delivery, or possession of controlled substance within 1,000 feet of school 
property;

6.7.12§4768 Distribution, delivery or possession of controlled substance in or within 300 feet of park, 
recreation area, church, synagogue or other place of worship;

6.7.13§4774 Drug Paraphernalia (felony).

6.8Any crime which involves the misuse or illegal possession or sale of a deadly weapon or dangerous 
instrument and shall include by way of example and not of limitation the following crimes listed in Title 
11 of the Delaware Code Annotated:

6.8.1§1442 Carrying a concealed deadly weapon;

6.8.2§1443 Carrying a concealed dangerous instrument;

6.8.3§1444 Possessing a destructive weapon; 

6.8.4§1445a Unlawfully dealing with a dangerous weapon (felony);

6.8.5§1446 Unlawfully dealing with a switchblade knife;

6.8.6§1447 Possession of a deadly weapon during commission of a felony;

6.8.7§1447A Possession of a firearm during commission of a felony;

6.8.8§1448 Possession and purchase of deadly weapons by persons prohibited;

6.8.9§1448A Criminal history record checks for sales of firearms 

6.8.10§1449 Wearing body armor during commission of felony;

6.8.11§1450 Receiving a stolen firearm;

6.8.12§1451 Theft of a firearm;

6.8.13§1452 Unlawfully dealing with knuckles-combination knife; 

6.8.14§1453 Unlawfully dealing with martial arts throwing star; 

6.8.15§1454 Giving a firearm to person prohibited;

6.8.16§1455 Engaging in a firearms transaction on behalf of another;

6.8.17§1456 Unlawfully permitting a minor access to a firearm;

6.8.18§1457 Possession of a weapon in a Safe School and Recreation Zone; 

6.8.19§1458 Removing a firearm from the possession of a law enforcement officer;

6.8.20§1459 Possession of a weapon with a removed, obliterated or altered serial number;

6.8.21§1504 Organized Crime & Racketeering;

6.8.22§3532 Acts of Intimidation;









6.8.23§3533 Aggravated act of intimidation;

6.8.24§3534 Attempt to Intimidate;

Other Crimes

6.8.25Title 16 §1136 Violations - neglect or abuse of patient or resident of nursing facilities;

6.8.26Title 23 §2302 - Operation of a vessel or boat while under the influence of intoxicating liquor or 
drugs (Felony under §2305); 

6.8.27Title 30 §571 Attempt to evade or defeat tax;

6.8.28Title 30 §572 Failure to collect or pay over tax;

6.8.29Title 30 §574 Fraud and false statements (felony);

6.8.30Title 31 §§1003,1004 and 1005 (felony under §1007);

6.8.31Title 21 §2810 Driving after judgment prohibited; 

6.8.32Title 21 §4177 Driving a vehicle while under the influence or with a prohibited alcohol content, 
(felony);

6.8.33Title 21 §4177J Drinking while driving prohibited;

6.8.34Title 21 §6704 Receiving or transferring stolen vehicle

6.8.35Title 21 §6705 Removed, falsified or unauthorized identification number on vehicle, bicycle or 
engine; removed or affixed license/registration plate with intent to misrepresent identify, (felony);

6.8.36Title 7 §1717 Unauthorized Acts against a Service Guide or Seeing Eye Dog, (class D felony);

6.8.37Title 11 §2402 Interception of Communications Generally; Divulging Contents of Communications;

6.8.38Title 11 §2403 Manufacture, Possession or Sale of Intercepting Device;

6.8.39Title 11 §2410 Breaking and Entering, Etc. to Place or Remove Equipment;

6.8.40Title 11 §2412 Obstruction, Impediment or Prevention of Interception;

6.8.41Title 11 §2421 Obtaining, Altering or Preventing Authorized Access;

6.8.42Title 11 §2422 Divulging Contents of Communications;

6.8.43Title 11 §2431 Installation and Use Generally [of pen trace and trap and trace devices];

6.8.44Title 11 §8523 Penalties [Criminal History Record Information-penalties for violation of reporting 
provision re: SBI], (felony);

6.8.45Title 11 §8562 - for failure of child-care provider to obtain information [Criminal History Record 
Information] required under §8561 or for those providing false information;

6.8.46Title 11 §8572 [Providing false information when seeking employment in a public school];

6.8.47Title 16 §914 Penalty for Violation [of reporting requirements involving abuse under §903];

6.8.48Title 16 §2513 Penalties [relating to improper health-care decisions] (falsification, destruction of a 
document to create a false impression that measures to prolong life have been authorized);

6.8.49Title 16 §7112 Penalties [for violations of chapter [Sale, Use, Etc., of Explosive Materials other 
than §7103] (felony);

6.8.50Title 23 §2303 Operation of a Vessel or Boat while under the Influence of Intoxicating Liquor and/
or Drugs (Felony);

6.8.51Title 31 §3913 Violations [knowing or reckless abuse of an infirm adult];

6.9Any crime which is a violation of Title 24, Chapter 38 (Dietetics and Nutrition Practice Act) as it may be 
amended from time to time.

6.310Crimes substantially related to the provision of services as a Certified Dietitian and/or Nutritionist LDNshall be deemed to include any crimes under any federal law, state law, or valid town, city or county 
ordinance, that are substantially similar to the crimes identified in this rule.

8 DE Reg. 1288 (03/01/05)

11 DE Reg. 226 (07/01/07)









57.0Voluntary Treatment Option for Chemically Dependent or Impaired Professionals

57.1If the report is received by the chairperson of the regulatory Board, that chairperson shall immediately 
notify the Director of Professional Regulation or his/her designate of the report. If the Director of 
Professional Regulation receives the report, he/she shall immediately notify the chairperson of the 
regulatory Board, or that chairperson's designate or designates.

57.2The chairperson of the regulatory Board or that chairperson's designate or designates shall, within 7 
days of receipt of the report, contact the individual in question and inform him/her in writing of the 
report, provide the individual written information describing the Voluntary Treatment Option, and give 
him/her the opportunity to enter the Voluntary Treatment Option.

57.3In order for the individual to participate in the Voluntary Treatment Option, he/she shall agree to submit 
to a voluntary drug and alcohol screening and evaluation at a specified laboratory or health care 
facility. This initial evaluation and screen shall take place within 30 days following notification to the 
professional by the participating Board chairperson or that chairperson's designate(s).

57.4A regulated professional with chemical dependency or impairment due to addiction to drugs or alcohol 
may enter into the Voluntary Treatment Option and continue to practice, subject to any limitations on 
practice the participating Board chairperson or that chairperson's designate or designates or the 
Director of the Division of Professional Regulation or his/her designate may, in consultation with the 
treating professional, deem necessary, only if such action will not endanger the public health, welfare 
or safety, and the regulated professional enters into an agreement with the Director of Professional 
Regulation or his/her designate and the chairperson of the participating Board or that chairperson's 
designate for a treatment plan and progresses satisfactorily in such treatment program and complies 
with all terms of that agreement. Treatment programs may be operated by professional Committees 
and Associations or other similar professional groups with the approval of the Director of Professional 
Regulation and the chairperson of the participating Board.

57.5Failure to cooperate fully with the participating Board chairperson or that chairperson's designate or 
designates or the Director of the Division of Professional Regulation or his/her designate in regard to 
the Voluntary Treatment Option or to comply with their requests for evaluations and screens may 
disqualify the regulated professional from the provisions of the Voluntary Treatment Option, and the 
participating Board chairperson or that chairperson's designate or designates shall cause to be 
activated an immediate investigation and institution of disciplinary proceedings, if appropriate, as 
outlined in subsection 5.8 of this section.

57.6The Voluntary Treatment Option may require a regulated professional to enter into an agreement 
which includes, but is not limited to, the following provisions:

57.6.1Entry of the regulated professional into a treatment program approved by the participating Board. 
Board approval shall not require that the regulated professional be identified to the Board. 
Treatment and evaluation functions must be performed by separate agencies to assure an 
unbiased assessment of the regulated professional's progress.

57.6.2Consent to the treating professional of the approved treatment program to report on the progress 
of the regulated professional to the chairperson of the participating Board or to that chairperson's 
designate or designates or to the Director of the Division of Professional Regulation or his/her 
designate at such intervals as required by the chairperson of the participating Board or that 
chairperson's designate or designates or the Director of the Division of Professional Regulation or 
his/her designate, and such person making such report will not be liable when such reports are 
made in good faith and without malice.

57.6.3Consent of the regulated professional, in accordance with applicable law, to the release of any 
treatment information from anyone within the approved treatment program.

57.6.4Agreement by the regulated professional to be personally responsible for all costs and charges 
associated with the Voluntary Treatment Option and treatment program(s). In addition, the 
Division of Professional Regulation may assess a fee to be paid by the regulated professional to 
cover administrative costs associated with the Voluntary Treatment Option. The amount of the fee 
imposed under this subparagraph shall approximate and reasonably reflect the costs necessary to 
defray the expenses of the participating Board, as well as the proportional expenses incurred by 









the Division of Professional Regulation in its services on behalf of the Board in addition to the 
administrative costs associated with the Voluntary Treatment Option. 

57.6.5Agreement by the regulated professional that failure to satisfactorily progress in such treatment 
program shall be reported to the participating Board's chairperson or his/her designate or 
designates or to the Director of the Division of Professional Regulation or his/ her designate by the 
treating professional who shall be immune from any liability for such reporting made in good faith 
and without malice. 

57.6.6Compliance by the regulated professional with any terms or restrictions placed on professional 
practice as outlined in the agreement under the Voluntary Treatment Option.

57.7The regulated professional's records of participation in the Voluntary Treatment Option will not reflect 
disciplinary action and shall not be considered public records open to public inspection. However, the 
participating Board may consider such records in setting a disciplinary sanction in any future matter in 
which the regulated professional's chemical dependency or impairment is an issue.

57.8The participating Board's chairperson, his/her designate or designates or the Director of the Division of 
Professional Regulation or his/her designate may, in consultation with the treating professional at any 
time during the Voluntary Treatment Option, restrict the practice of a chemically dependent or impaired 
professional if such action is deemed necessary to protect the public health, welfare or safety.

57.9If practice is restricted, the regulated professional may apply for unrestricted licensure upon 
completion of the program.

57.10Failure to enter into such agreement or to comply with the terms and make satisfactory progress in the 
treatment program shall disqualify the regulated professional from the provisions of the Voluntary 
Treatment Option, and the participating Board shall be notified and cause to be activated an immediate 
investigation and disciplinary proceedings as appropriate.

57.11Any person who reports pursuant to this section in good faith and without malice shall be immune from 
any civil, criminal or disciplinary liability arising from such reports, and shall have his/her confidentiality 
protected if the matter is handled in a nondisciplinary matter.

57.12Any regulated professional who complies with all of the terms and completes the Voluntary Treatment 
Option shall have his/her confidentiality protected unless otherwise specified in a participating Board's 
rules and regulations. In such an instance, the written agreement with the regulated professional shall 
include the potential for disclosure and specify those to whom such information may be disclosed.









DEPARTMENT OF HEALTH AND SOCIAL SERVICES
DIVISION OF MEDICAID AND MEDICAL ASSISTANCE
Statutory Authority: 31 Delaware Code, Section 512 (31 Del.C. §512)



1915(c) Home and Community-Based Services Waiver for the Elderly and Disabled





DIVISION OF SOCIAL SERVICES
Statutory Authority: 31 Delaware Code, Section 512 (31 Del.C. §512)









11003.7.8 Special Needs Children

9 DE Reg. 572 (10/01/05)

10 DE Reg. 1007 (12/01/06)











9 DE Reg. 572 (10/01/05)

10 DE Reg. 1007 (12/01/06)





DIVISION OF SOCIAL SERVICES
Statutory Authority: 31 Delaware Code, Section 512 (31 Del.C. §512)









11006.4.1 Absent Day Policy



DEPARTMENT OF INSURANCE
Statutory Authority: 18 Delaware Code, Sections 314 and 1111 (18 Del.C. §§314 and 1111)

18 DE Admin. Code 305







305 Actuarial Opinion and Memorandum Regulation
7.0Description of Actuarial Memorandum Including an Asset Adequacy Analysis and Regulatory 
Asset Adequacy Issues Summary

7.1General

7.1.1In accordance with 18 Del.C. §1111 (c), the appointed actuary shall prepare a memorandum to the 
company describing the analysis done in support of his or her opinion regarding the reserves. The 
memorandum shall be made available for examination by the Commissioner upon his or her 
request but shall be returned to the company after such examination and shall not be considered a 
record of the insurance department or subject to automatic filing with the Commissioner.

7.1.2In preparing the memorandum, the appointed actuary may rely on, and include as a part of his or 
her own memorandum, memoranda prepared and signed by other actuaries who are qualified 
within the meaning of Section 5B of this regulation, with respect to the areas covered in such 
memoranda, and so state in their memoranda.

7.1.3If the Commissioner requests a memorandum and no such memorandum exists or if the 
Commissioner finds that the analysis described in the memorandum fails to meet the standards of 
the Actuarial Standards Board or the standards and requirements of this regulation, the 
Commissioner may designate a qualified actuary to review the opinion and prepare such 
supporting memorandum as is required for review. The reasonable and necessary expense of the 
independent review shall be paid by the company but shall be directed and controlled by the 
Commissioner.

7.1.4The reviewing actuary shall have the same status as an examiner for purposes of obtaining data 
from the company and the work papers and documentation of the reviewing actuary shall be 
retained by the Commissioner; provided, however, that any information provided by the company 
to the reviewing actuary and included in the work papers shall be considered as material provided 
by the company to the Commissioner and shall be kept confidential to the same extent as is 
prescribed by law with respect to other material provided by the company to the Commissioner 
pursuant to the statute governing this regulation. The reviewing actuary shall not be an employee 
of a consulting firm involved with the preparation of any prior memorandum or opinion for the 
insurer pursuant to this regulation for any one of the current year or the preceding three (3) years.

7.1.5In accordance with 18 Del.C. §1111 (c), the appointed actuary shall prepare a regulatory asset 
adequacy issues summary, the contents of which are specified in [6.0 7.3]. The regulatory asset 









adequacy issues summary will be submitted no later than March 15 of the year following the year 
for which a statement of actuarial opinion based on asset adequacy is required. The regulatory 
asset adequacy issues summary is to be kept confidential to the same extent and under the same 
conditions as the actuarial memorandum.

7.2Details of the Memorandum Section Documenting Asset Adequacy Analysis

When an actuarial opinion is provided, the memorandum shall demonstrate that the analysis has been 
done in accordance with the standards for asset adequacy referred to in this regulation and any 
additional standards under this regulation. It shall specify:

7.2.1For reserves:

7.2.1.1Product descriptions including market description, underwriting and other aspects of a risk 
profile and the specific risks the appointed actuary deems significant;

7.2.1.2Source of liability in force;

7.2.1.3Reserve method and basis;

7.2.1.4Investment reserves;

7.2.1.5Reinsurance arrangements;

7.2.1.6Identification of any explicit or implied guarantees made by the general account in support of 
benefits provided through a separate account or under a separate account policy or 
contract and the methods used by the appointed actuary to provide for the guarantees in 
the asset adequacy analysis;

7.2.1.7Documentation of assumptions to test reserves for the following:

7.2.1.7.1Lapse rates (both base and excess);

7.2.1.7.2Interest crediting rate strategy;

7.2.1.7.3Mortality;

7.2.1.7.4Policyholder dividend strategy;

7.2.1.7.5Competitor or market interest rate;

7.2.1.7.6Annuitization rates;

7.2.1.7.7Commissions and expenses; and

7.2.1.7.8Morbidity.

The documentation of the assumptions shall be such that an actuary reviewing the 
actuarial memorandum could form a conclusion as to the reasonableness of the 
assumptions.

7.2.2For assets:

7.2.2.1Portfolio descriptions, including a risk profile disclosing the quality, distribution and types of 
assets used for each analysis basis;

7.2.2.2Investment and disinvestment assumptions;

7.2.2.3Source of asset data;

7.2.2.4Asset valuation bases; and

7.2.2.5Documentation of assumptions made for:

7.2.2.5.1Default costs;

7.2.2.5.2Bond call function;

7.2.2.5.3Mortgage prepayment function;

7.2.2.5.4Determining market value for assets sold due to disinvestment strategy; and

7.2.2.5.5Determining yield on assets acquired through the investment strategy.

The documentation of the assumptions shall be such that an actuary reviewing the 
actuarial memorandum could form a conclusion as to the reasonableness of the 
assumptions.

7.2.3For each analysis basis:

7.2.3.1Methodology;









7.2.3.2Rationale for inclusion or exclusion of different blocks of business and how pertinent risks 
were analyzed;

7.2.3.3Rationale for degree of rigor in analyzing different blocks of business (include in the rationale 
the level of "materiality" that was used in determining how rigorously to analyze different 
blocks of business);

7.2.3.4Criteria for determining asset adequacy (include in the criteria the precise basis for 
determining if assets are adequate to cover reserves under "moderately adverse 
conditions" or other conditions as specified in relevant actuarial standards of practice); 
and

7.2.3.5Whether the impact of federal income taxes was considered and the method of treating 
reinsurance in the asset adequacy analysis; and

7.2.3.6Suitability of assets used in support of the liabilities included in the analysis basis.

7.2.4Summary of material changes in methods, procedures, or assumptions from prior year's asset 
adequacy analysis;

7.2.5Summary of results; and

7.2.6Conclusions.

7.3Details of the Regulatory Asset Adequacy Issues Summary

7.3.1The regulatory asset adequacy issues summary shall include:

7.3.1.1Descriptions of the scenarios tested (including whether those scenarios are stochastic or 
deterministic) and the sensitivity testing done relative to those scenarios. If negative 
ending surplus results under certain tests in the aggregate, the actuary should describe 
those tests and the amount of additional reserve as of the valuation date which, if held, 
would eliminate the negative aggregate surplus values. Ending surplus values shall be 
determined by either extending the projection period until the in force and associated 
assets and liabilities at the end of the projection period are immaterial or by adjusting the 
surplus amount at the end of the projection period by an amount that appropriately 
estimates the value that can reasonably be expected to arise from the assets and liabilities 
remaining in force.

7.3.1.2The extent to which the appointed actuary uses assumptions in the asset adequacy analysis 
that are materially different than the assumptions used in the previous asset adequacy 
analysis;

7.3.1.3The amount of reserves and the identity of the product lines that had been subjected to asset 
adequacy analysis in the prior opinion but were not subject to analysis for the current 
opinion;

7.3.1.4Comments on any interim results that may be of significant concern to the appointed actuary; 
Under the level interest rate scenario, the appointed actuary should specify the amount of 
additional reserve as of the valuation date which, if held, would eliminate all negative 
interim surplus values.

7.3.1.5The methods used by the actuary to recognize the impact of reinsurance on the company's 
cash flows, including both assets and liabilities, under each of the scenarios tested; and

7.3.1.6Whether the actuary has been satisfied that all options whether explicit or embedded, in any 
asset or liability (including but not limited to those affecting cash flows embedded in fixed 
income securities) and equity-like features in any investments have been appropriately 
considered in the asset adequacy analysis.

7.3.2The regulatory asset adequacy issues summary shall contain the name of the company for which 
the regulatory asset adequacy issues summary is being supplied and shall be signed and dated by 
the appointed actuary rendering the actuarial opinion.

7.4Conformity to Standards of Practice. The memorandum shall include a statement:

"Actuarial methods, considerations and analyses used in the preparation of this memorandum 
conform to the appropriate Standards of Practice as promulgated by the Actuarial Standards 
Board, which standards form the basis for this memorandum."









7.5Use of Assets Supporting the Interest Maintenance Reserve and the Asset Valuation Reserve

An appropriate allocation of assets in the amount of the interest maintenance reserve (IMR), whether 
positive or negative, shall be used in any asset adequacy analysis. Analysis of risks regarding asset 
default may include an appropriate allocation of assets supporting the asset valuation reserve (AVR); 
these AVR assets may not be applied for any other risks with respect to reserve adequacy. Analysis of 
these and other risks may include assets supporting other mandatory or voluntary reserves available 
to the extent not used for risk analysis and reserve support.

The amount of the assets used for the AVR shall be disclosed in the table of reserves and liabilities of 
the opinion and in the memorandum. The method used for selecting particular assets or allocated 
portions of assets shall be disclosed in the memorandum.

7.6Required Interest Scenarios

7.6.1For the purpose of performing the asset adequacy analysis required by this regulation, the 
qualified actuary is expected to follow standards adopted by the Actuarial Standards Board; 
nevertheless, the appointed actuary must consider in the analysis the effect of at least the 
following interest rate scenarios:

7.6.1.1Level with no deviation;

7.6.1.2Uniformly increasing over ten (10) years at a half percent per year and then level;

7.6.1.3Uniformly increasing at one percent per year over five (5) years and then uniformly decreasing 
at one percent per year to the original level at the end of ten (10) years and then level;

7.6.1.4An immediate increase of three percent (3%) and then level;

7.6.1.5Uniformly decreasing over ten (10) years at a half percent per year and then level;

7.6.1.6Uniformly decreasing at one percent per year over five (5) years and then uniformly increasing 
at one percent per year to the original level at the end of ten (10) years and then level; and

7.6.1.7An immediate decrease of three percent (3%) and then level.

7.6.2For these and other scenarios which may be used, projected interest rates for a five (5) year 
Treasury Note need not be reduced beyond the point where the five (5) year Treasury Note yield 
should be at fifty percent (50%) of its initial level.

7.6.3The beginning interest rates may be based on interest rates for new investments as of the 
valuation date similar to recent investments allocated to support the product being tested or be 
based on an outside index, such as Treasury yields, of assets of the appropriate length on a date 
close to the valuation date. Whatever method is used to determine the beginning yield curve and 
associated interest rates should be specifically defined. The beginning yield curve and associated 
interest rates should be consistent for all interest rate scenarios.

7.7Documentation

7.7.1Documentation. The appointed actuary shall retain on file, for at least seven (7) years, sufficient 
documentation so that it will be possible to determine the procedures followed, the analyses 
performed, the bases for assumptions and the results obtained.

8.0Effective Date

This Regulation is effective [June July] 11, 2009.









DEPARTMENT OF STATE
Statutory Authority: 28 Delaware Code, Sections 1122 (a) (28 Del.C. §§1122 (a))

24 DE Admin. Code 401, 402, 403 and 404

401 Regulations Governing Bingo
1.0Definitions

“Bingo” A game of chance played for prizes with cards bearing numbers or other designations, five or 
more in one line, the holder covering numbers as objects similarly numbered are drawn from a 
receptacle and the game being won by the person who first covers a previously designated 
arrangement of numbers on such a-card.

“Bingo Statute” The statutory law concerning bingo, as contained in 28 Del.C., §1101 et. seq.

“Board” The Delaware Gaming Control Board.

“Color Coded” A different color for each of the five letters of the word "BINGO."

“Cookie Jar Bingo” A game of chance in which players pay a set fee into a cookie jar or other 
container and receive a number which entitles the player to entry into a later drawing for the total funds 
deposited by all other players in the cookie jar or container.

“Districts” Those districts mentioned in Article II, 917A of the Delaware Constitution.

“Equipment” The receptacle and color coded numbered objects to be drawn from it, the master board 
upon which such objects are placed as drawn, the cards or sheets bearing numbers or other 









designations to be covered and the objects used to cover them, the boards or signs, however 
operated, used to announce or display the numbers or designations as they are drawn, public address 
systems, tables, chairs, and other articles essential to the operation, conduct and playing of bingo.

“Game” The game of bingo.

“Instant Bingo” A game of chance played with sealed or covered cards which must be opened in 
some fashion by the holder such that the cards reveal instantly whether the holder has won a prize. 
This type of game includes but is not limited to games commonly known as “rip-offs” or “Nevada pull-
tabs.”

“Member in Charge” A bona fide, active member of the "Qualified Organization" in charge of, and 
primarily responsible for the conduct of the game on each occasion.

“Occasion” A single gathering or session at which a series of successive bingo games (regular, 
special, or otherwise) is played, not to exceed forty (40) in number.

“Proceeds” The gross income received from all activities engaged in or on occasion when bingo is 
played, less only, such actual expenses incurred as are authorized in the Bingo Statute and these 
Rules and Regulations.

“Qualified Organization” A volunteer fire company, veterans organization, religious or charitable 
organization, or fraternal society that is operated in a manner so as to come within the provisions of 
Section 170 of the U.S. Secretary of the Treasury.

“Week” means a seven day period beginning on Sunday and ending on Saturday.

2 DE Reg. 1224 (01/01/99)

12 DE Reg. 357 (09/01/08)

2.0Applications For Bingo License

2.1Original applications shall be filed upon:

2.1.1 the first application of an organization for a license;

2.1.2after the first application and upon a subsequent change in the organization's charter or bylaws; or

2.1.3in the event of a subsequent application after a prior refusal, suspension, or revocation by the 
Board.

2.2Supplemental applications for bingo licenses shall be filed in all instances except those covered by the 
original application. All promotional give-away events, as defined under 28 Del.C. §1139(h)(2), must 
be listed on an applicant's application for licensure, giving the dates of the promotional give-away 
events. If the event is not listed on the application, no promotional give-away event can be conducted.

2.3All original and supplemental applications shall be filed with the Secretary of the Board at least six (6) 
weeks prior to the date of the occasion.

2.3.1An application must be submitted in advance of the proposed date of the function as to allow the 
Board to consider the application at two consecutive board meetings before deciding to approve or 
deny the application.

2.4No applications (original or supplemental) shall be accepted unless the applicant, at the time of the 
filing, attaches a check or money order for the full amount of the fees payable by law for each occasion 
requested. In the event an application is refused by the Board, the application fees shall be refunded in 
full to the applicant. There shall be a license fee of $15 for each occasion on which bingo is conducted 
under a license.

2.5No application shall be received by the Commission unless it clearly shows that the applicant is 
located in and seeks to conduct the game in a district which has approved the licensing of bingo by 
referendum, and on premises owned or regularly leased by the applicant. If the applicant desires to 
conduct games on premises specially leased for the occasion, a separate written request therefor 
(together with supporting reasons) shall accompany the application. The Board reserves the right to 
accept or reject any application for the conduct of games on specially leased premises. Organization 
conducting a Function shall prepare and have available on the premises a list of all persons taking part 
in the management or operation of the Function. Such list shall be maintained as part of the licensees, 









records of the Function and shall be made available to any member or agent of the Board or law 
enforcement officer.

2 DE Reg. 1224 (1/1/99)

8 DE Reg. 531 (10/01/04)

12 DE Reg. 357 (09/01/08)

3.0Bingo Licenses

3.1Upon receiving an application, the Board shall make an investigation of the merits of the application. 
The Board shall consider the impact of the approval of any license application on existing licensees 
within the applicant's geographical location prior to granting any new license. The Board may deny an 
application if it concludes that approval of the application would be detrimental to existing licensees.

3.2The Board may issue a license only after it determines that:

3.2.1The applicant is duly qualified to conduct games under the State Constitution, statutes, and 
regulations.

3.2.2The members of the applicant who intend to conduct the bingo games are bona fide active 
members of the applicant and are persons of good moral character and have never been 
convicted of a crime involving moral turpitude.

3.2.3The bingo games are to be conducted in accordance with the provisions of the State Constitution, 
statutes, and regulations.

3.2.4The proceeds are to be disposed of as provided in the State Constitution and statutes.

3.2.5No salary, compensation or reward whatever will be paid or given to any member under whom the 
game is conducted. If the findings and determinations of the Board are to the effect that the 
application is approved, the Secretary shall execute a license for the applicant.

3.3The license shall be issued in triplicate. The original thereof shall be transmitted to the applicant. Two 
copies shall be retained by the Commission for its files.

3.4If the findings and determinations of the Commission are to the effect that the application is denied, the 
Secretary shall so notify the applicant by certified mail of the reasons for denial, and shall refund any 
application fees submitted.

3.5In the event of a request for an amendment of a license, the request shall be promptly submitted to the 
Commission in writing, and shall contain the name of the licensee, license number, and a concise 
statement of the reasons for requested amendment. The Commission may grant or deny the request, 
in its discretion, and may require supporting proof from the licensee before making any determination. 
The Commission may require the payment of an additional license fee before granting the request. 
The licensee shall be notified of the Commission's action by appropriate communication, so that the 
licensee will not be unduly inconvenienced.

3.6No license shall be effective for a period of more t an one year from the date it was issued.

3.7No license shall be effective after the organization to which it was granted has become ineligible to 
conduct bingo under any provision of Article II, §17A of the Delaware Constitution.

3.8No license shall be effective after the voters in any District designated in Article II, §17A of the 
Constitution have decided against bingo in a referendum held pursuant to that section and subchapter 
II of the Bingo Statute.

3.9No bingo licensee licensed prior to July 14, 1998, shall conduct more than ten (10) bingo events in any 
calendar month and no bingo licensee licensed after the enactment of 71 Del. Laws 444 (July 14, 
1998) shall conduct more than one (1) bingo event per week. A bingo licensee who was licensed prior 
to July,14, 1998 whose license lapses for six (6) months or more due to non-renewal or suspension or 
any other reason shall, upon licensing thereafter, be considered a licensee licensed after the 
enactment of 71 Del. Laws 444 (July 14, 1998).

3.10The license application shall contain a full and fair description of the prize and the appraised value of 
the prize. In lieu of submitting an appraisal, the applicant or licensee may submit the full retail value of 
the prize. In cases where the applicant or licensee purchases the prize from a third party, the Board 









may require that the applicant or licensee arrange for an independent appraisal of the value of the 
prize from a person licensed to render such appraisals, or if there is no person licensed to render such 
appraisals, from a person qualified to render such appraisals.

 2 DE Reg. 1224 (1/1/99)

 3 DE Reg. 1692 (6/1/00)

 4 DE Reg. 334 (8/1/00)

4.0Conduct of Bingo

4.1The officers of a licensee shall designate a bona fide, active member to be in charge of and primarily 
responsible for the conduct of the game of chance on each occasion. The member in charge shall 
supervise all activities on the occasions for which he is in charge and shall be responsible for the 
making of the required report thereof. The member in charge shall be familiar with the provisions of the 
Bingo Statute, and these rules and regulations.

4.2The room where any game is being held, operated, or conducted, or where it is intended that any 
game shall be held, operated, or conducted, or where it is intended that any equipment be used, shall 
at all times be open to inspection by the appropriate law enforcement officers and agents of the District 
in which the premises are situated, and to the Board and its agents and employees. Bingo games shall 
not be commenced prior to 1:30 p.m. and the operation of a function shall be limited to six hours. 
Instant bingo is permitted during any event sponsored by the organization that is licensed to conduct it, 
regardless of the day or time.

4.3No person under the age of eighteen (18) shall be permitted in any bingo game, the prize for which is 
money. No person under the age of 18 shall be permitted to participate in any instant bingo game. No 
person under the age of sixteen (16) shall participate in any game of bingo nor shall such person 
conduct or assist in the conduct of the playing of any game of bingo, except that persons no younger 
than the age of fourteen (14) may act as waiters and waitresses in the handling of food or drinks at an 
occasion on which a licensee conducts bingo.

4.4No organization licensed prior to enactment of 71 Del. Law 444 (July 14, 1998), may hold, operate, or 
conduct bingo more often than ten (10) days in any calendar month. No bingo licensee licensed after 
the enactment of 71 Del. Laws 444 (July 14, 1998) shall conduct more than one bingo event per week. 
A bingo licensee licensed prior to the enactment of 71 Del. Laws 444 (July 14, 1998), whose license 
lapses for six (6) months or more due to nonrenewal or suspension or any other reason shall, upon 
licensing thereafter, be considered a licensee licensed after the enactment of 71 Del. Laws 444 (July 
14, 1998).

4.5The Board and its duly authorized agents and employees may examine the books and records of any 
licensee, so far as those books and records relate to any transaction connected with the holding, 
operating, and conducting of the game of bingo, and may examine any manager, officer, director, 
agent, member, employee, or assistant of the licensee under oath in relation to the conduct of the 
game of bingo.

4.6No prize greater in an amount or value greater than $250 shall be offered or given in any single game 
and the aggregate amount or value of all prizes offered or given in all games played on a single 
occasion shall not exceed $1,000 $1,250. All winners shall be determined and all prizes shall be 
awarded in any game played on any occasion within the same calendar day as that upon which the 
game is played. The value of any promotional giveaways, which shall be no more than $500 per 
annum to be distributed at an organizational anniversary date and no more than three (3) holiday dates 
per year, shall not be counted towards the dollar amounts described in this section. However, a 
licensee may offer inducements, including but not limited to cookie-jar bingo games that do not exceed 
$500 per game per night, free refreshments, and free transportation of players to and from bingo 
events, to attract bingo players to the bingo event, provided that the fair market value of inducements 
is limited to 15% of the total amount of all other prizes offered or given during the bingo event.

4.6.1Any amounts in any cookie-jar bingo games shall not be included in the limitations of this section 
or in any prize money limitations. A bingo licensee may not have more than two $500 cookie jar 
bingo pots at any one time which are to be awarded to players. The licensee must award the first 









cookie jar bingo pot before it may start a third cookie jar bingo pot. In the event that a licensee has 
a first cookie jar bingo pot of $500 and then accrues a second cookie jar bingo pot of $500, the 
licensee must award the first cookie jar pot to a player on the occasion at which the second cookie 
jar pot reaches the $500 limit. On such occasion, if the first cookie jar pot is not awarded by the 
end of the occasion, the licensee shall conduct a final special bingo game of "full card" or "black 
out" bingo using a separate, single card, and the first $500 cookie jar shall be won by the player or 
players who first covers all spaces on their entire card.

4.7Two or more organizations may not hold games of bingo at the same place on the same day. Unless a 
bingo licensee has been licensed prior to the enactment of 71 Del. Laws 444 (July 14, 1998), only one 
licensed organization may hold bingo games in a licensed organization's building during any given 
week.

4.8No alcoholic beverages shall be permitted in the room from the time the bingo hall opens until the 
conclusion of the last bingo game of the occasion.

4.9All games shall be conducted with equipment that is owned absolutely by the licensee or that is leased 
for fees not in excess of those allowable under the Schedule of Rental for leasing of equipment on file 
with the Board. Equipment shall include playing cards. If the licensee uses cards that are for more than 
one session of playing bingo, these cards should be identified as the property of the licensee.

4.10All winners shall be determined and all prizes shall be awarded in any game played on any occasion 
within the same calendar day as that upon which the game is played.

4.11When more than one player is found to be the winner on the call of the same number in the same 
game, the designated prize shall be divided equally as possible; and when division is not possible, 
substitute prizes, whose aggregate value shall not exceed that of the designated prize, shall be 
awarded; but such substitute prizes shall be of equal value to each other.

4.12The equipment used in the playing of bingo and the method of play shall be such that each card shall 
have an equal opportunity to be a winner. The objects drawn shall be essentially equal as to size, 
shape, weight, and balance, and as to all other characteristics that may control their selection, and all 
shall be present in the receptacle before each game is begun. All numbers shall be announced so as 
to be visible or audible to all players present.

4.13The particular arrangement of numbers required to be covered in order to win the game shall be 
clearly described and announced to the players immediately before each game is begun.

4.14No arrangement of numbers shall be required to be covered in order to win the game other than the 
following:

4.14.1one unspecified horizontal row;

4.14.2one unspecified vertical row;

4.14.3one unspecified full diagonal row;

4.14.4one unspecified row (horizontal, vertical, or diagonal);

4.14.5Two or more of the foregoing, forming a specified arrangement;

4.14.6The entire card;

4.14.7Four corners;

4.14.8Eight spaces surrounding the free space.

4.15Within the limits contained in 28 Del.C. §1132(b), alternate prizes may be offered depending upon the 
number of calls within which bingo is reached, provided the application for the bingo license and the 
license so specify.

4.16Any player shall be entitled to call for a verification of all numbers drawn at the time a winner is 
determined, and for a verification of the objects remaining in the receptacle and not yet drawn. The 
verification shall be made in the immediate presence of the member designated to be in charge on the 
occasion, but if such member is also the announcer, then in the immediate presence of an officer of the 
licensee.

4.17No licensee shall conduct more than forty (40) games on a single occasion.









4.18In the playing of bingo, no person who is not physically present in the room where the game is actually 
conducted shall be allowed to participate as a player in the game.

4.19Within the limits contained in 28 Del.C. §1132(6), the prizes offered may be varied depending upon the 
number of people who attend the occasion, provided the application for bingo license and license so 
specify. If a licensee avails itself of the provisions of this rule, it must announce at the beginning of 
each game the number of people present and the prizes to be awarded.

4.20The entire proceeds of the games of bingo must be used solely for the promotion or achievement of 
the purposes of the licensee.

4.21Any local rules adopted by the licensee that affect the conduct of the players or the awarding of prizes 
shall be prominently posted in at least four locations within the area where the bingo games are 
conducted.

4.22The licensee shall be permitted to reserve seats within the area where the bingo games are conducted 
to provide for the special needs of handicapped persons, and the licensee shall ensure that the 
remaining seats are made available to the players on an equal basis.

4.23A licensee may charge an admission fee to a game event in any room or area in which a game is to be 
conducted. The admission fee shall entitle the game player (a) to a card enabling the player to 
participate without additional charge in all regular games to be played under the license at the event, or 
(b) to free refreshments. The licensee may charge an additional fee to a game player for a single 
opportunity to participate in a special game to be played under license at the event.

4.24No person shall conduct or assist in conducting any game except an active member of the 
organization to which the license is issued.

4.25No item of expense shall be incurred or paid in connection with the conduct of the game except shall 
be incurred or paid in connection with the conduct of the game except such as are bona fide items of a 
reasonable amount for merchandise furnished or services rendered which are reasonably necessary 
for the conduct of the game.

 2 DE Reg. 1224 (1/1/99)

 2 DE Reg. 1761 (4/1/99)

12 DE Reg. 357 (09/01/08)

5.0Reports After the Function

5.1When no game is held on a date a licensee is authorized to hold such game, a report to that effect 
shall be filed with the Board.

5.2Within 15 30 days of the last day of the function, the member-in-charge shall submit a report to the 
Board that includes all information required by 28 Del.C. §1140(a).

5.3If a licensee fails to timely file a report or if a report is not properly verified, or not fully, accurately, and 
truthfully completed, no further license shall be issued to the licensee and any existing license shall be 
suspended until such time as the deficiency has been corrected.

11 DE Reg. 516 (10/01/07)

12 DE Reg. 357 (09/01/08)

6.0Suspension and Revocation of Licenses

6.1Proceedings to suspend or to revoke a license shall be brought by notifying the licensee of the ground 
thereof and the date set forth for a hearing thereon. The Commission may stop the operation of a 
game pending hearing, in which case the hearing must be held within five (5) days after such action.

6.2When suspension or revocation proceedings are begun before the Commission, it shall hear the 
matter and make written findings in support of its decision. The licensee shall be informed of the 
decision and of the effective date of the suspension or revocation.

6.3When a license is suspended or revoked, the licensee shall surrender up the license to the Board on or 
before that effective date set forth in the notice of decision. In no case shall any license be valid 
beyond the effective date of suspension or revocation, whether surrendered or not.









6.4Upon finding of the violation of these rules and regulations or the Bingo Statute, such as would warrant 
the suspension or revocation of a license, the Board may in addition to any other penalties which may 
be imposed, declare the violator ineligible to conduct a game of bingo and to apply for a license under 
said law for a period not exceeding thirty (30) months thereafter. Such declaration of the ineligibility 
may be extended to include, in addition to the violator, any of its subsidiary organizations, its parent 
organization and any other organization having a common parent organization or otherwise affiliated 
with the violator, when in the opinion of the Board, the circumstances of the violation warrant such 
action.

7.0Severability

If any provision of these Regulations or the application of such provision to any person or 
circumstances shall be held invalid, the validity of the remainder of these Regulations and the 
applicability of such provisions to other persons or circumstances shall not be affected thereby.

2 DE Reg. 1224 (1/1/99)

 2 DE Reg. 1224 (1/1/99)

1.0Definitions

“Board” The Delaware Gaming Control Board.

“Prize” Any item or items chosen by a Sponsoring Organization as the subject of a raffle, which the 
organization announces it will award to a person selected by chance from among those purchasing 
tickets to the raffle.

“Qualified Member” For the purposes of eligibility to participate in managing or otherwise assisting in 
the operation of raffle, a person is a bona fide member of the licensed organization only when he or 
she:

Has become a member prior to the commencement of the function and such membership was not 
dependent upon, or in any way related to the payment or consideration to participate in, any gambling 
activity; and

Has held full and regular membership status in the licensed organization for a period of not less than 
three (3) consecutive months prior to the subject function; and

Has paid any reasonable initiation or admission fees for membership, and/or any dues, consistent with 
the nature and purpose of the licensed organization and with the type of membership obtained and is 
not in arrears in payment of any such fees or dues; and

Has met all other conditions required by the licensed organization for membership and is in all 
respects a member in good standing at the time of the subject function; and 

Is a bona fide member of a bona fide charitable or bona fide nonprofit organization affiliated with or 
auxiliary to his or her sponsoring organization, or to which his or her own organization is auxiliary, 
when he or she meets all of the standards set out above respecting his or her own organization.

“Raffle” A form of lottery in which a number of persons buy one or more chances attempting to win the 
same prize. Any game such as so called "Nevada cards" or "pull cards" where the amount of the prize 
is determined by the contents of the ticket purchased are not raffles.

“Related Party” Includes:









An officer, director, or trustee (or an individual having powers or responsibilities similar to those of 
officers, directors, or trustees) of the organization.

A spouse other than a spouse who is legally separated from the individual under a decree of divorce or 
separate maintenance; a child including legally adopted children; grandchildren; parents; and 
grandparents of parties described in (a) above.

A corporation, trust, estate or partnership more than 35% of which is owned or held by any of the 
preceding.

“Sponsoring Organization” Any veterans, religious, or charitable organization, volunteer fire 
company or fraternal society as defined in Article II, §17A or §17B of the State Constitution.

2.0Disclosure

2.1In any raffle conducted pursuant to 28 Del.C. §1130, the sponsoring organization must disclose the 
following information on the raffle ticket itself:

2.1.1A full and fair description of the prize;

2.1.2The appraised value of the prize;

2.1.3If there is a minimum number of tickets to be sold, what the minimum is and the procedure to be 
employed to secure a refund in the event the minimum is not reached;

2.1.4The drawing date for the raffle;

2.1.5The exact nature of the charitable purpose for which the proceeds will be used.

3.0Obligations of the Sponsoring Organization

3.1If for any reason the raffle is not completed and a prize is not awarded on the scheduled drawing date, 
the sponsoring organization must take all steps necessary to notify ticket purchasers of that fact and 
return all money received from ticket purchasers within thirty days.

3.2No member or employee, or immediate family member of a member or employee, of a sponsoring 
organization who has been directly involved in the promotion or operation of a raffle shall be permitted 
to purchase tickets to the raffle or win the prize. The sale of tickets alone shall not constitute the 
promotion and operation of a raffle for purposes of this section. Nothing in this section prohibits the 
award of a prize to a person for selling a winning ticket. 

3.3The sponsoring organization shall take such steps as are necessary under the circumstances to insure 
that each ticket purchaser has a chance to be selected as the prize winner and that prize winner is 
selected in an entirely random manner.

3.4In cases where the sponsoring organization purchases the prize from a third party, the Board may 
require that the sponsoring organization arrange for an independent appraisal of the value of the prize 
from a person licensed to render such appraisals, or if there is no applicable licensing requirement, 
from a person qualified to render such appraisals.

3.5If the sponsoring organization purchases a prize from a related party, the price to be paid must be at 
cost or substantially less than the appraised value of the prize.

3.6No sponsoring organization or its employees, members, agents or servants, shall give away tickets to 
a raffle without receiving the full established price for them unless all members of the public have an 
equal chance to receive bonus chances or books of chances when buying a certain number of 
chances or books of chances.

3.7The sponsoring organization shall structure the raffle in such a way that it may reasonably he 
anticipated that the sponsoring organization will retain a percentage of the gross proceeds which is 
reasonable under the circumstances and shall retain all of the net proceeds (gross proceeds minus the 
direct expenses of the raffle) for the purpose specified in their application under 28 Del.C. §1130.

4.0Record Keeping, Financial Control

4.1A record keeper shall be designated from among the members of the organization as defined in 1.0 
“Qualified Member” and shall have been a member for a minimum of two (2) years prior to the 









commencement of the raffle. The record keeper or his designee shall be responsible for the keeping 
and distribution of raffle tickets to be sold, the safekeeping of paid-for and completed ticket stubs, and 
the maintenance of the records prescribed by this section during and after the completion or 
suspension of the raffle for a period of at least two years.

4.2The raffle ticket shall have at least two parts, one of which is to be retained by the purchaser, and the 
other to be retained by the record keeper. The record keeper's part must at a minimum contain the 
purchaser's name, address, and telephone number. All such parts shall be imprinted with sequential 
serial numbers commencing with the numeral "1" through the maximum number of tickets to be sold.

4.3The record keeper shall maintain and periodically update as the need arises, the following types of 
records: 

4.3.1all documents, bills of sale, agreements, appraisals or other documents concerning the purchase 
of the article or articles to be raffled;

4.3.2all permits, licenses, and any other documents prescribed or required by law as necessary for the 
lawful conduct of a raffle;

4.3.3a list or access to a list of all persons authorized to sell raffle tickets or participating in any way in 
the promotion or operation of the raffle. If raffle tickets are given to one person to sell and this 
person recruits other persons to help sell raffle tickets, the record keeper need only keep a list of 
those persons to whom the record keeper has directly distributed raffle tickets.

4.3.4a ledger book or other suitable record keeping device listing the number of tickets distributed, and 
the number of tickets returned as sold.

4.3.5the ticket stubs used to conduct the drawing for a period of not less than six months.

4.4Financial records shall be maintained by the record keeper sufficient to show:

4.4.1the current amount of proceeds received on account of the raffle;

4.4.2all expenses related to the conduct of the raffle including printing costs, advertising costs, lawyers 
fees, appraisal costs, insurance premiums, and any other costs reasonably attributable to the 
raffle.

5.0Violations of Regulations

Failure to comply with any of the Regulations shall subject the violator to suspension or revocation of 
any valid license issued under 28 Del.C. §1130 and criminal prosecution.

6.0Application

6.1All applications for a license to conduct a raffle shall be submitted on Form BCC-2 at least six (6) 
weeks prior to the date of the function. The information supplied must include the name, address, and 
phone number of the sponsoring organization, the prize to be awarded, the value of the prize, the 
maximum number of tickets to be sold, the cost of each raffle ticket, the date the prize will be awarded, 
the exact nature of the charitable purpose for which the proceeds will be used, and the name, address 
and phone number of the person in charge of the organization, and the person designated to be the 
record keeper for the raffle.

6.1.1An application must be submitted sufficiently in advance of the proposed date of the function as to 
allow the Board to consider the application at two consecutive board meetings before deciding to 
approve or deny the application.

6.2There shall be a license fee of $15 for each raffle application submitted to the Board for approval.

6.3The Board shall make an investigation of the qualifications of each applicant and the merits of each 
application. The Board shall consider the impact, if any, of the approval of a new raffle license 
application on existing licensees within the applicant's geographical location prior to granting the 
approval, and may deny the application if it concludes that approval of the application would be 
detrimental to existing licensees.

6.4The Board may issue a license only after it determines that:









6.4.1The applicant is duly qualified to conduct raffles under the State Constitution, statutes, and rules 
and regulations governing raffles; and

6.4.2The member or members of the applicant who intend to conduct the games are bona fide active 
members of the applicant and are persons of good moral character and have never been 
convicted of crimes involving moral turpitude; and

6.4.3The proceeds are to be disposed of as provided in the State Constitution and statutes; and

6.4.4No salary, compensation or reward whatever will be paid or given to any member under whom the 
game is conducted.

6.5No raffle license application shall be effective for a period of more than one year from the date it was 
issued.

6.6No raffle license shall be effective after the organization to which it was granted has become ineligible 
to conduct the game under any provision of Article II, §17A or §17B of the State Constitution.

2 DE Reg. 1224 (1/1/99)

12 DE Reg. 357 (09/01/08)

7.0Reports After the Drawing

Within fifteen (15) thirty (30) days of the date for awarding the prize as specified in the license 
application, the record keeper shall furnish in writing to the Board, the name and address of each 
person to whom a prize was awarded, the gross receipts derived from the selling of raffle tickets, and 
the total expenses incurred for the raffle.

8.0Suspension & Revocation of Licenses

8.1Proceedings to suspend or to revoke a license shall be brought by notifying the licensee of the ground 
thereof and the date set forth for hearing thereon. The Board may stop the operation of a raffle pending 
a hearing, in which case the hearing must be held within five (5) days after such action. 

8.2The Board shall cause the notice of hearing to be served personally on an officer of the licensee or the 
member in charge of the conduct of the raffle or to be sent by registered or certified mail to the licensee 
at the address shown in the license. All hearing procedures shall be subject to the requirements of the 
Administrative Procedures Act, 29 Del.C. §10131.

8.3When suspension or revocation proceedings are begun before the Board, it shall hear the matter and 
make written findings in support of its decision. The licensee shall be informed of the decision, and of 
the effective date of the suspension or revocation.

8.4When a license is suspended or revoked, the licensee shall surrender up the license to the Board on or 
before that effective date set forth in the notice of the decision. In no case shall any license be valid 
beyond the effective date of suspension or revocation, whether surrendered or not.

8.5Upon finding of the violation of these rules and regulations or the Delaware statutes, such as would 
warrant the suspension or revocation of a license, the Board may in addition to any other penalties 
imposed, declare the violator ineligible to conduct a raffle and to apply for a license under said law for 
a period not exceeding thirty (30) months thereafter. Such declaration of the ineligibility may be 
extended to include, in addition to the violator, any of its subsidiary organizations, its parent 
organization and any other organization having a common parent organization or otherwise affiliated 
with the violator, when in the opinion of the Board, the circumstances of the violation warrant such 
action.

 2 DE Reg. 1224 (1/1/99)

9.0Severability

If any provision of these Regulations or the application of such provision to any person or 
circumstances shall be held invalid, the validity of the remainder of these Regulations and the 
applicability of such provision to other persons or circumstances shall not be affected thereby.









1.0Definitions

“Board” The Delaware Gaming Control Board.

“Charitable Gambling” Any game or scheme operated by an organization which has been in 
existence for two (2) years or longer in which chance is the dominant factor in determining the 
allocation of a prize, excluding slot machines, roulette, craps, baccarat games, or raffles as defined in 
the Board's Regulations for Raffles.

“Function” is a licensed event of Charitable Gambling maintained and conducted by a Sponsoring 
Organization for the disposal of awards of merchandise, cash, or its equivalent by means of “Game”
as defined in this section. This includes without limitation thereto, so-called Las Vegas, Casino, or 
Monte Carlo Nights.

“Game” shall include without limitation card games such as draw poker, stud poker, or blackjack, 
devices such as big six wheels or similar devices, dice games other than craps, horse racing games, 
Nevada cards or pull tabs or any other activity similar to these mentioned games approved by the 
Board.

“Gross Receipts” means the total amount of money or other consideration received as admission 
fees, income from gambling and except for a bazaar, carnival, festival, or similar affair, from the sale of 
food and beverages from any one event.

“Instant Bingo” shall mean any game of chance played with sealed or covered cards which must be 
opened in some fashion by the holder, such that the cards reveal instantly whether the holder has won 
a prize. This game includes, but is not limited to games commonly known as “rip-offs” and “Nevada 
pull-tabs.”

“Net Proceeds” is Gross Receipts less license fee, prizes and reasonable and necessary expenses 
ordinarily incidental to the conduct of a function.

“Sponsoring Organization” Any veterans, religious, or charitable organization, volunteer fire 
company or fraternal society as defined in Article II, §17A or §17B of the State Constitution.

2 DE Reg. 1224 (01/01/99)

2.0Licensing List Required To Be Kept: Membership List

2.1Each licensed organization must maintain a list of its current membership by name, address, and a 
description of the type of membership in the organization which shall he kept available for inspection at 
all reasonable times.

3.0Conduct of Games

3.1Workers.

3.1.1Member in Charge. Every Licensed Organization shall designate a bona fide, active member of 
the licensee to be in charge of and primarily responsible for each Function. The member-in-charge 
shall have been a member in good standing of the Sponsoring Organization for at least two (2) 
years. The member-in-charge shall supervise all activities and be responsible for the conduct of all 
games during the Function of which he is in charge, including the preparation of any financial 
reports required by law or these regulations. The member-in-charge or his qualified designee shall 
be present on the premises continually during the Function and shall be familiar with the provisions 
of these Regulations, and the terms of the license.

3.1.2List of Workers. A Sponsoring Organization conducting a Function shall prepare and have 
available on the premises a list of all persons taking part in the management or operation of the 
Function. Such list shall be maintained as part of the licensees records of the Function and shall 
be made available to any member or agent of the Board or law enforcement officer.









3.1.3Participation of Worker Restricted. No person shall assist in the conduct of a Function except a 
bona fide member of the Sponsoring organization whose name appears on the lists required by 
§3.03(l)(b) of these Regulations.

3.1.43Bona Fide Member. For the purposes of eligibility to participate in managing or otherwise assisting 
in the operation of a Function, a person is a bona fide member of the Sponsoring Organization 
only when he or she:

3.1.43.1Has become a member prior to the commencement of the Function and such membership 
was not dependent upon, or in any way related to the payment of consideration to 
participate in, any gambling activity; and,

3.1.43.2Has held full and regular membership status in the Sponsoring Organization for a period of 
not less than three (3) consecutive months prior to the subject Function; and,

3.1.43.3Has paid any reasonable initiation or admission fees for membership, and/or any dues, 
consistent with the nature and purpose of the Sponsoring Organization and with the type 
of membership obtained and is not in arrears in payment of any such fees or dues; and,

3.1.43.4Has met all other conditions required by the Sponsoring Organization for membership and 
in all respects is a member in good standing at the time of the subject Function; and,

3.1.43.5Has met all of the standards set out above respecting his or her own organization, and he 
or she is a bona fide member of a bona fide charitable or bona fide nonprofit organization 
affiliated with or auxiliary to his or her Sponsoring Organization, or to which his or her own 
Sponsoring Organization is auxiliary; and,

3.1.43.6Has met all of the standards set out above respecting his or her own organization, and this 
organization has prior to July 6, 1984, assisted the Sponsoring Organization to conduct 
charitable gambling; and,

3.1.43.7Has met all of the standards set out above respecting his or her own Sponsoring 
Organization, and this organization is assisting another similar Sponsoring Organization 
(i.e. fire company assisting another fire company; fraternal society assisting another 
fraternal society; charitable, religious or veterans organization assisting another 
charitable, religious, or veterans organization) to conduct charitable gambling.

3.1.54Identification Required. The member-in-charge and those assisting him in any capacity shall 
possess and display identification.

3.1.65Officer Responsible for Gross Receipts. The Sponsoring Organization shall duly designate an 
officer of said organization to be in full charge and primarily responsible for the proper accounting, 
use and disposition of all Gross Receipts. Such officer's name shall appear on the list required 
under §3.03(1)(b) and such officer shall be a person other than the person designated member-in-
charge pursuant to §3.03(l)(a).

3.1.76Payment of Workers Prohibited. No unreasonable commission, salary, compensation, reward, 
recompense, reimbursement of expenses or gift or other consideration shall be paid directly or 
indirectly, to any person for conducting or assisting in the conduct of any Function. No tip, gratuity 
or gift or other consideration shall be given or accepted by any person conducting or assisting in 
the conduct of a Function either directly or indirectly, and one or more signs prohibiting tipping 
shall be or more signs prohibiting tipping shall be prominently displayed in each playing area. No 
person shall solicit or receive any gift or donation or other consideration directly or indirectly on the 
premises during the conduct of a Function. Nothing in this subsection prohibits any person from 
sharing food and beverages made available at the functions, or the collection of bar tips for the 
benefit of the Sponsoring Organization.

4.0Limitation of Participation of Certain Persons

No person directly or indirectly connected with the manufacture, sale, lease or distribution of gaming 
equipment or supplies, or the premises where the function is held if the premises are not owned by a 
Sponsoring Organization, or the agents, servants or employees of such person, shall conduct, 









participate, advise or assist in the conduct of a Function or render any service to anyone conducting, 
participating or assisting in the conduct of a Function including preparation of any form relating thereto.

5.0Equipment and Premises

5.1Ownership of Equipment. The licensed organization shall conduct games only with equipment owned 
by it, borrowed from another qualified Sponsoring Organization or which a lessor undertakes to provide 
by the terms of a written lease. The rental fee contained in such a lease shall be a sum certain and 
shall be commercially reasonable.

5.2Equipment. Equipment used in the conduct of a bazaar must be maintained in good repair and sound 
working condition. Equipment shall be used and operated so that each player is given an equal 
opportunity to win.

5.3The function shall be held on premises owned or regularly leased by the applicant. If the applicant 
desires to hold the function at other premises, a separate written request therefor (together with 
supporting reasons), shall accompany the application. The Board reserves the right to accept or reject 
any application for the conduct of a Function on specially leased or donated premises.

6.0Operation of Games

6.1The maximum initial wager permitted on any game at any function (with the exception of No Limit 
Texas Hold’em played under the provisions of 28 Del.C. §1801 et seq.) is one dollar, except that a 
wager of up to five dollars is permitted in blackjack, with doubling allowed. In other card game, the 
maximum ante is one dollar, and the maximum wager on any card for any draw is up to five dollars with 
three raises allowed.

6.21House Rules. Prior to conducting a Function, each Licensed Organization shall develop a set of house 
rules which will govern the type, scope and manner of all games to be conducted. Among other 
information, these rules shall establish the maximum amount of wagers consistent with these 
regulations which may be placed by persons participating in games. In addition, the rules shall prohibit 
the giving of anything of value to any person involved in the management or operation of the Function 
and prohibit anyone involved in the management or operation of the Function from accepting anything 
of value. A copy of the rules shall be posted conspicuously on the premises where the Function is 
being conducted at all times during the occasion, and a copy thereof shall be made available upon 
request, to any law enforcement officer or agent of the Board. The maximum wager and a no tipping 
sign shall be displayed at the location of each game, so as to be conspicuous to those persons 
participating in said games. The rules for the individual games should be available on the premises for 
review upon request.

6.32Monitoring of Poker Tables. An association which has obtained the proper license or permit to conduct 
poker shall assign one monitor during the playing of poker.

11 DE Reg. 516 (10/01/07)

12 DE Reg. 357 (09/01/08)

7.0Prohibited Acts

7.1Wagering Among Participants Not Permitted. No Sponsoring organization shall permit, as part of a 
Function, a gambling activity which involves a wagering or other items of value by one participant 
directly against another participant, if the activity does not provide for some portion of the proceeds to 
go to the Sponsoring Organization. This rule shall not be construed to prohibit games wholly 
administered by the Sponsoring organization wherein the licensee collects wagers from among the 
participants and determines the winners and amount of prizes on a parimutuel basis.

7.2Credit and Checks. No Sponsoring Organization may extend credit to any patron at a Function. No 
checks may be cashed for more than $20 or received by the Sponsoring organization except for the 
receipt of checks in the exact amount for any admission charge.

7.3Persons Under Age Eighteen. No person under eighteen years of age shall be permitted on that 
portion of the premises used for a Function.









7.4Transaction of Certain Business Prohibited. No person who is directly or indirectly connected with the 
manufacture, sale or distribution of gaming equipment or supplies or his agents, servants or 
employees may be present during a Function for the transaction of business.

7.5Workers Prohibited From Participating. Workers are prohibited from participating in games at any 
Function during which they participate as workers except that they may participate during their breaks 
if they continue to display their identification, except that if a Function is scheduled for more than one 
day, a worker may participate in games on any day on which he does not participate as a worker.

8.0Limitation of Functions

8.1No Sponsoring Organization shall conduct more than one Function in any single calendar month. 
Charitable games shall not commence prior to 1:30 p.m. The operation of a Function shall be limited to 
six (6) consecutive hours except as permitted by §3.08(2). Instant bingo is permitted during any event 
sponsored by the organization that is licensed to conduct it, regardless of the time or time.

8.2When a Function is conducted in conjunction with a bazaar, carnival, festival or similar affair scheduled 
for more than one day but less than ten consecutive days, the Function shall be considered one 
licensed event. The games may be operated during the hours when other activities of the bazaar, 
carnival, festival or similar affair are available to the public.

 2 DE Reg. 1224 (1/1/99)

9.0Record Keeping

9.1Record Keeping. Accurate records and books shall be kept by each Sponsoring Organization including 
but not limited to detailed financial reports of the amount and source of proceeds, the members 
participating in the promotion and/or operation of the Function, all expenses and disbursements.

9.2Access to Records. Board personnel shall at all times have access to all books and records of any 
Sponsoring organization required by subsection (a).

9.3Period for Retention of Records. All records, books of account, bank statements and all other papers 
incidental to the operation of events by the Sponsoring Organization shall be retained and available for 
inspection by Board personnel for a period of two years from the close of the calendar year to which 
the records apply.

9.4Expenses. Each Sponsoring Organization should incur only those expenses which are reasonable and 
necessary for the promotion and/or operation of a Function.

10.0Violations of Regulations

10.1Failure to comply with any of the Regulations shall be deemed a violation of 28 Del.C. Ch. 11.

11.0Application

11.1All applications for a license to conduct a Function shall be submitted on Form BCC-3. The information 
supplied must include the name, address, and phone number of the Sponsoring organization, a list of 
the games to be conducted, the wagering limit on each game, the date and time that the function will 
be held, the premises where the Function will be held, the owner of the premises, the name, address, 
and phone number of the designated member in charge and the person responsible for the proper 
accounting and the exact nature of the charitable purpose for which the proceeds will be used.

11.1.1An application must be submitted sufficiently in advance of the proposed date of the function as to 
allow the Board to consider the application at two consecutive board meetings before deciding 
whether to approve or deny the application.

11.2There shall be a license fee of $15 for each occasion upon which the organization wishes to conduct 
charitable gambling under a license.

11.3There shall be an annual license fee of $300 for each organization sponsoring instant bingo games.

11.45The Board shall make an investigation of the qualifications of each applicant and the merits of each 
application. The Board shall consider the impact, if any, of the approval of a new charitable gambling 









or any organization having a common parent or otherwise affiliated with the violator, when in the 
opinion of the Board, the circumstances of the violation warrant such action.

2 DE Reg. 1224 (1/1/99)

12 DE Reg. 357 (09/01/08)

14.0Severability

If any provision of these Regulations or the application of such provision to any person or circumstances shall 
be held invalid, the validity of the remainder of these Regulations and the applicability of such provision 
to other persons or circumstances shall not be affected thereby.

1.0Reports After the Function

1.1Within 30 days of the last day of the function, the member-in-charge shall submit a report to the Board 
that includes all information required by 28 Del.C. §1140(a).

1.2When no function is held on a date a licensee is authorized to hold such a function, a report to that 
effect shall be filed with the Board.

1.3If a licensee fails to timely file a report or if a report is not properly verified, no further license shall be 
issued to the licensee and any existing license shall be suspended until such time as the deficiency 
has been corrected.

2.0Limitation of Texas Hold’em Tournaments

2.1The Board interprets the phrase “with each tournament by the sponsoring organization to be held at 
least 75 70 days apart” in 28 Del.C. §1827 to mean that no sponsoring organization may conduct a 
subsequent tournament less than 75 70 days from the date of their immediately prior tournament.

12 DE Reg. 357 (9/01/08)

3.0Re-buys

3.1The statutory provisions of 28 Del.C. §1825 and 28 Del.C. §1826(2) do not harmonize. Consequently, 
the Board has determined that re-buys are optional.

11 DE Reg. 516 (10/01/07)

4.0Application

4.1An application must be submitted sufficiently in advance of the proposed date of the function as to 
allow the Board to consider the application at two consecutive board meetings before deciding whether 
to approve or deny the application.

12 DE Reg. 357 (9/01/08)









DIVISION OF PROFESSIONAL REGULATION
Statutory Authority: 24 Delaware Code, Section 4006(a)(1) (24 Del.C. §4006(a)(1))





2930 Council on Real Estate Appraisers







DIVISION OF PROFESSIONAL REGULATION
Statutory Authority: 24 Delaware Code, Section 3506(a)(1) (24 Del.C. § 3506(a)(1))

24 DE Admin. Code 3500











STATE EMPLOYEE BENEFITS COMMITTEE
Statutory Authority: 29 Delaware Code, Sections 5210(4) and 9602(b)(4)

(29 Del.C. §§5210(4) and 9602(b)(4))

19 DE Admin. Code 2001

2001 Group Health Care Insurance Eligibility and Coverage Rules
1.0Authority

Pursuant to the authority vested in the State Employee Benefits Committee (SEBC) by 29 Del.C. §§ 
5210(4), 9602(b)(4), the SEBC adopts these eligibility and coverage rules for the State of Delaware 
Group Health Insurance Program (“State Plan”). In the event of a conflict between these rules and the 
Delaware Code, the Delaware Code takes precedence over these rules.

1.1An Employee or pensioner must meet one of the following definitions to be eligible for coverage under 
the State's plan:

1.1.1a permanent full-time employee (regularly scheduled 30 or more hours per week or 130 or more 
hours per month);

1.1.2an elected or appointed official as defined by 29 Del.C. §5201;

1.1.3a permanent part-time employee (regularly scheduled to work less than 130 hours per month);

1.1.4a limited term employee (as defined by Merit Rule 10.1);

1.1.5a pensioner receiving or eligible to receive a pension from the State;

1.1.6a per diem or contractual employee of the Delaware General Assembly who has been 
continuously employed for 5 years.

1.1.7a temporary employee (regularly scheduled 30 or more hours per week or 130 or more hours per 
month) as defined by 29 Del.C. §5207.

1.2Those employees who meet the definition outlined in rule 1.1.1, 1.1.2, 1.1.4 and 1.1.5 are considered 
"regular officers and employees”, or “eligible pensioners" as provided by 29 Del.C. §5202 and are to 
receive State Share contributions.

1.3Short term disability beneficiaries receiving benefits under 29 Del.C. §5253(b) will be treated as 
"regular officers and employees" under these regulations. Long term disability beneficiaries receiving 
benefits under 29 Del.C. §5253(c) will be treated as "eligible pensioners" under these regulations.

1.4Casual and seasonal and substitutes are not eligible for the State Plan.









1.5Newly employed school teachers become eligible employees when they start employment not when 
they sign their contract. (Review the Eligibility Table, see Appendix "A", for coverage start date 
dependent upon the September hire date). Temporary teachers who are re hired in September are 
eligible to elect coverage when re hired. Temporary teachers who are re hired in the next contract year 
are eligible to elect coverage when re hired without fulfilling another 3 month waiting period.

1.6Employees or pensioners who are enrolled in Medicare Part D may not have prescription coverage in 
the State Plan.

 6 DE Reg. 690 (11/1/02)

12 DE Reg. 986 (01/01/09)

2.0Dependents Eligible to Participate

2.1Dependents must meet one of the following definitions to be eligible for enrollment in the State plan:

2.1.1A regular officer’s or employee's or eligible pensioner’s:

2.1.1.1legal spouse (Delaware law does not recognize common law or same sex marriage). Ex 
spouses may not be enrolled in the State's group health insurance program - even if a 
divorce decree, settlement agreement or other document requires an employee to provide 
coverage for an ex spouse

IMPORTANT NOTE: Spousal Coordination of Benefits Policy has been in effect since 1/1/
93. The policy applies to a spouse who is eligible for health coverage through his/ her own 
employer. Spouses who work full time and are eligible for health coverage through their 
employer, but do not enroll under their employer's health plan, will have a reduction in 
benefits under the State Plan. A new Spousal Coordination of Benefits form must be 
completed each year during Open Enrollment or anytime throughout the year if the 
spouse's employment or insurance status changes. Employees should refer to the 
Statewide Benefits Office's website at http://ben.omb.delaware.gov/documents/cob/
index.shtm or individual benefit booklets for each plan for more detailed information.

2.1.1.2unmarried child/ren under age 21 (age 24 if a full time student), born to or legally adopted 
or placed for adoption by a regular officer, or employee or eligible pensioner or a regular 
officer or employee's or pensioner's legal spouse, as defined in 29 Del.C. §5201(a);

2.1.1.3unmarried dependent child/ren under age 21 (age 24 if a full time student), not born to or 
legally adopted, but residing with a regular officer or employee or eligible pensioner in a 
regular parent child relationship, and who is dependent upon the regular officer or 
employee or eligible pensioner for at least fifty (50) percent support. A statement of 
support form must be completed by the regular officer or employee or eligible pensioner 
and forwarded to the employee's Benefit Representative or Human Resources Office with 
the request for coverage together with a copy of the legal guardianship, permanent 
guardianship or custody order for the dependent child. If a natural parent resides in the 
same household as the insured regular officer or employee or eligible pensioner, it will be 
deemed that a regular parent-child relationship does not exist unless the regular officer or 
employee or eligible pensioner has legal guardianship documents or has legally adopted 
the dependent child.

2.1.1.4unmarried dependent child/ren who meet the criteria of sections 2.1.1.2 or 2.1.1.3 above, 
but who is over age 21 and incapable of self-support because of a mental or physical 
disability which existed before the child reached age 21. The child/ren must have been 
covered under employee's contract immediately preceding age 21, or age 24 if a full time 
student.

IMPORTANT NOTE: Dependent Coordination of Benefits (child/ren) form must be 
completed for each enrolled dependent upon enrollment, any time coverage changes, or 
upon request by the Statewide Benefits Office. 

2.2Eligible dependent child/ren covered under the health insurance plans of both parents will be primary 
to the parent's plan whose birthday is the first to occur during the calendar year. In the event the birth 









dates are the same, the dependent child will be primary to the parent with the longest employment 
service. In the event birth dates and length of service are the same, the dependent child will be primary 
to the male parent's plan.

2.3Adult Dependent Program - Provides a period of health care coverage up to age 24, if an adult 
dependent's coverage was terminated or will terminate due to his/her age; i.e., dependent was 
terminated from coverage effective December 31 in the year he/she turned 21 and is not a full-time 
student, or the end of the month in which he/she graduated from college and is not yet 24.

2.3.1Eligibility Requirements. An Adult Dependent eligible to be covered under this program is a 
covered person's (employee's or pensioner's) child by blood or by law who meets all of the 
following:

2.3.1.1Is less than 24 years of age;

2.3.1.2Is unmarried;

2.3.1.3Has no dependents of his/her own;

2.3.1.4Is either a resident of the State of Delaware or is enrolled as a full-time student at an 
accredited institution of higher learning; and

2.3.1.5Is not actually provided coverage as a named subscriber, insured, enrollee, or covered 
person under any other group or individual health benefits plan, group health plan, or 
church plan, or entitled to benefits under a state's Medical Assistance program.

2.3.2If an Adult Dependent is no longer eligible to be covered under the health plan of the parent or 
legal guardian (referred to as covered person) because of his/her age, he/she is eligible to enroll in 
this program provided the covered person continues to have health care coverage through the 
State of Delaware. The Adult Dependent must contact the health care carrier within 30 days of 
their loss of coverage to enroll or may enroll during an Open Enrollment period. If an Adult 
Dependent is between the ages of 21 and 24 and is enrolled as a full-time student at an accredited 
institution of higher learning he/she is eligible to be covered under the health care coverage of the 
covered person and does not need to enroll in this program. 

2.3.3Program Requirements

2.3.3.1Employee or pensioner must remain actively enrolled in a State of Delaware Group Health 
Insurance plan provided by one of the State designated health care providers. 

2.3.3.2Adult Dependent must enroll in the same health care plan, which provides coverage to 
their parent or legal guardian who is an employee or pensioner with Group Health 
Insurance through the State of Delaware.

2.3.3.3Health care premiums must be paid directly to one of the State designated health care 
providers.

2.3.3.4Payroll deductions from the paycheck of the parent or legal guardian with group health 
insurance through the State are not an option.

2.3.4End of Coverage. Coverage of an eligible Adult Dependent who enrolls in this Adult Dependent 
Program is provided until the earlier of the following:

2.3.4.1Adult Dependent child no longer meets the definition of an Adult Dependent because he/
she:

2.3.4.1.1Reaches 24 years of age;

2.3.4.1.2Marries;

2.3.4.1.3Has his/her own dependents;

2.3.4.1.4Is not a resident of the State of Delaware or is not enrolled as a full-time student at an 
accredited institution of higher learning; or

2.3.4.1.5Has his/her own coverage as a named subscriber, insured, enrollee, or covered 
person under another group or individual health benefits plan, group health plan, or 
church plan, or entitled to benefits under a state's Medical Assistance plan;









2.3.4.2Date on which coverage ceases under the contract by reason of failure to make a timely 
payment of premium required under the contract. Payment of any premium is considered 
to be timely if made within 30 days after the due date; or

2.3.4.3Date upon which coverage under the State Plan is terminated for the covered person 
(parent or legal guardian) of the eligible Adult Dependent.

 6 DE Reg. 690 (11/1/02)

12 DE Reg. 986 (01/01/09)

3.0Coverage

3.1Coverage of an eligible regular officer or employee and his/her eligible dependents will become 
effective on the first of the month following date of hire provided the employee submits a signed 
application within 30 days of the employee's date of hire or within 30 days of the employee becoming 
eligible for the State Share. Refer to Eligibility Table for specific coverage date options for employees 
who elect coverage when eligible for State Share.

3.1.1Coverage may become effective on date of hire provided the employee submits a signed 
application within 30 days of the employee's date of hire. Premiums are not pro-rated.

IMPORTANT NOTE: Spousal Coordination of Benefits Policy became effective 1/1/93 for a spouse 
who is eligible for health coverage through his or her own employer. Spouses who work full time and 
are eligible for health coverage through their employer, but do not enroll under their employer's health 
plan, will have a reduction in benefits under the State Plan. Employees should refer to the individual 
benefit booklets for each plan for more detailed information or see http://ben.omb.delaware.gov/
documents/cob/index.shtml. 

3.2Employees of the State of Delaware who are enrolled in a health insurance benefit plan must re-enroll 
in a plan of their choice during the Open Enrollment period as determined by the SEBC. Should such 
employee(s) neglect to re-enroll in the allotted time, said employee/s and any spouse or dependents 
shall be automatically re-enrolled in their previous plan as long as verification of employment is 
provided by the employee and the Statewide Benefits Office.

3.3Employees or pensioners who cover their spouse on the State Plan must complete a Spousal 
Coordination of Benefits Policy Form during each annual Open Enrollment period as well as anytime 
there is a change in the spouse's employment or an insurance status change. Failure to supply the 
Spousal Coordination of Benefits form shall result in the spouse's medical claims being reduced to 20 
percent and inability to have prescriptions filled. 

IMPORTANT NOTE: Dependent Coordination of Benefits (child/ren) form must be completed for each 
enrolled dependent upon enrollment, any time coverage changes, or upon request by the Statewide 
Benefits Office. 

3.4If an employee elects not to enroll in the State Plan, the employee must complete and sign an 
application/enrollment form acknowledging the desire not to enroll by noting "waive" on the appropriate 
form.

3.5Eligible employees who fail to submit a completed and signed application/enrollment form within 30 
days of their date of hire or their date of eligibility for State Share may not join the State Plan until the 
next open enrollment period (usually May), unless the employee meets the requirements of Eligibility 
and Enrollment Rule 3.6.

3.6Pursuant to a federal law, Health Insurance Portability and Accountability Act (HIPAA), if an employee 
declines enrollment for him or herself or their dependent/s (including the spouse) because of other 
health insurance coverage and later involuntarily loses the coverage, the State employee and/or 
spouse may be eligible to join the State Plan, without waiting for the next Open Enrollment period, as 
long as the request to enroll is made within 30 days of the loss of coverage. Necessary forms must be 
completed within 30 days of the request to enroll. If such a change is not made in the time period 
specified, the eligible employee/and or spouse must wait until the next Open Enrollment period.

3.6.1The following list includes examples of loss of coverage or loss of eligibility for coverage rules 
under which an employee may request enrollment for him/her-self and for dependent/s:









3.6.2An increase in employee contribution, change of benefits or change of carrier of the spouse's plan 
shall not constitute loss of coverage, except where the other plan terminates employer 
contributions. Employees should contact their Benefit Representative or Human Resources Office 
and pensioners should contact Pension Office to ask specific questions about eligibility.

3.7If an employee declines enrollment for him/her-self or his/her dependents (including the spouse) and 
later has a new dependent as a result of marriage, birth, adoption, or placement for adoption, the 
employee may be able to enroll him/her-self and his/her dependents provided that he/she request 
enrollment within 30 days after the marriage, birth, adoption, or placement for adoption. Necessary 
forms must be completed within 30 days of the request to enroll.

3.8The eligible employee who is currently enrolled in a group health plan, may change his/her benefit plan 
upon the dependent's involuntary loss of coverage, pursuant to Eligibility and Enrollment Rule 3.06, 
and addition to the State's Plan, provided the request for enrollment is made within 30 days of the loss 
of dependent's coverage and necessary form must be completed within 30 days of the request. In 
addition, if the employee has a new dependent as a result of marriage, birth, adoption, or placement 
for adoption, the employee may change his/her benefit plan upon the addition of the dependent to the 
State Plan provided the request for enrollment is made within 30 days after the marriage, birth, 
adoption, or placement for adoption and the necessary paperwork is completed within 30 days of the 
request.

3.9When husband and wife are eligible State employees, the two employees, or each eligible pensioner, 
and all eligible dependents may elect to enroll under one family contract. When the employees are 
both active, and an employee and spouse or family contract is chosen, the spouse whose birthday 
occurs earlier in the calendar year shall sign an application for coverage form requesting coverage. A 
change of agency is considered re-enrollment. (In the event the birth dates are the same, length of 
service and/or gender will be applied as described in Eligibility and Enrollment Rule 2.2.) Beginning 
with the effective date of these rules, State Share contributions for all new enrollments will be charged 
to the agency or organization whose employee enrolls for employee, employee and spouse, employee 
and child/ren or family coverage. Enrollments prior to February 1990 shall continue to be charged to 
the agency or organization as was previously determined.

3.9.1Each regular officer or employee or each eligible pensioner may elect to enroll under a separate 
contract. Eligible dependent/s may be enrolled under either contract, but no dependent shall be 
enrolled more than once under the State Plan.

3.9.2The increment of cost of the options selected by the two regular officers or employees or eligible 
pensioners, which exceeds the cost of two First State Basic family plans, shall be deducted by the 
Director of the Office of Management and Budget (OMB) from salary, pension or disability 
payments or checks.

3.10When the spouse of an eligible regular officer or employee is a retired State of Delaware employee 
receiving a pension, and enrolled under separate individual contracts, the employing agency and the 









Pension Office will carry the coverage for their respective employee/pensioner. If an Employee & 
Spouse, or a Family contract is chosen, the coverage will continue to be carried through the active 
employee's agency until such time that the Pensioner turns 65. The over age 65 spouse may continue 
to have the State Plan as primary payor of benefits with the contract to continue under the active 
employee's agency, or the spouse may choose Medicare as the primary payor through the Pension 
Office. Also see Eligibility and Enrollment Rules 4.8 and 4.12.

6 DE Reg. 690 (11/1/02)

12 DE Reg. 986 (01/01/09)

4.0Changes In Coverage

4.1An eligible employee who elects to be covered on his/her EMPLOYMENT COVERAGE DATE may 
change coverage when the employee first becomes eligible for the State Share payment. (Examples: 
(1) An employee who at hire enrolls in the "First State Basic" plan may change to "Comprehensive 
PPO" (or another optional coverage) when beginning State Share contribution, without waiting for the 
next open enrollment period. (2) An employee who at hire enrolls for "Employee" coverage may 
change to "Employee and Child/ren", "Employee and Spouse", or "Family" coverage when he/she 
begins to receive State Share, without waiting for the next open enrollment period.

4.2When a covered regular officer or employee or eligible pensioner marries, coverage for the spouse will 
become effective on the date of marriage, or first of the month following the date of marriage provided 
the regular officer or employee or eligible pensioner requests enrollment of the new spouse within 30 
days of the date of the marriage and provides the necessary paperwork within 30 days of the request 
to enroll. A copy of valid marriage license must be provided. (Delaware law does not recognize 
common law or same sex marriage). Premiums are paid on a monthly basis and not pro rated; 
therefore, if a regular officer or employee or eligible pensioner adds the new spouse effective the date 
of the marriage, the regular officer or employee or eligible pensioner must remit the difference in 
employee contribution for the entire month. The regular officer or employee or eligible pensioner may 
submit a signed application within thirty (30) days prior to the date of marriage. If a request to enroll is 
not made within 30 days after the marriage, a covered regular officer or employee or eligible pensioner 
must wait until the next open enrollment period to add the spouse. A Spousal Coordination of Benefits 
Policy form must be completed when adding spouse to coverage.

4.3Coverage for a child/ren born to a regular officer or employee or eligible pensioner or legal spouse who 
is covered under the State Plan will begin on the date of birth provided a request to enroll the child is 
made within 30 days of the date of birth and provided the necessary paperwork is received within 30 
days of the request to enroll. A copy of a valid birth certificate must be provided. Premiums are paid on 
a monthly basis and not pro rated. If such a change is not made in the time period specified, a covered 
employee must wait until the next Open Enrollment period to add the child/ren. For an employee who 
has an existing Employee and Child, or Family type contract, the 30 day time period does not apply. 
However, the application to add the newborn child/ren must be made within a reasonable time period 
and copy of valid birth certificate provided.

IMPORTANT NOTE: Dependent Coordination of Benefits (child/ren) form must be completed for each 
enrolled dependent upon enrollment, any time coverage changes, or upon request by the Statewide 
Benefits Office. 

4.4Coverage for a child/ren legally adopted or placed for adoption with a regular officer or employee or 
eligible pensioner or legal spouse who is covered under the State Plan will begin on the date of 
adoption or placement for adoption provided a request to enroll for the child/ren is made within 30 days 
of the date of adoption or placement for adoption and provides the necessary paperwork within 30 
days of the request to enroll.

4.4.1A copy of a valid legal document attesting to the adoption or placement for adoption must be 
provided. Premiums are paid on a monthly basis and not pro rated. If such a change is not made in 
the time period specified, a covered employee must wait until the next Open Enrollment period to 
add the child. For an employee who has an existing Employee and Child/ren, or Family type 
contract, the 30 day time period does not apply. However, the application to add the newly 
adopted child must be made within a reasonable time period.









4.5Coverage for an eligible dependent, other than a newborn child/ren, who becomes an eligible 
dependent after the employee has been enrolled, becomes covered on the first day of the month 
following eligibility provided the regular officer or employee or eligible pensioner requests enrollment 
within 30 days of eligible status. The necessary paperwork must be completed within 30 days of the 
request for enrollment. A copy of valid documentation of dependent status must be provided, i.e. legal 
guardianship, permanent guardianship, custody order. Applicable premiums must be paid.

4.6An employee who transfers to another agency or school district may change his/her plan and coverage 
without waiting until the next Open Enrollment period if the transfer impacts the employee contribution 
to health benefits provided the employee makes the required change within 30 days of the transfer.

4.7Changes in coverage can only be made at the annual Open Enrollment period, except:

4.7.1A regular officer or employee or eligible pensioner is making a change due a qualifying event or 
Special Enrollment Right as previously outlined in Eligibility and Enrollment Rules 3.6 through 3.8;

4.7.2In the case of divorce, if there is a "qualifying event" under Eligibility and Enrollment Rules 3.6 
through 3.8, the regular officer or employee or eligible pensioner's coverage status may change, 
but the plan cannot unless Double State Share (DSS) is applicable;

4.7.3The spouse of a regular officer or employee or eligible pensioner has become a State of Delaware 
employee entitled to State Share in which case the plan may be changed if an Employee and 
Spouse or Family contract is chosen;

4.7.4A regular officer or employee or eligible pensioner may change coverage and/or plan if no longer 
entitled to DSS, provided application is made within 30 calendar days of the qualifying event; or

4.7.5A regular officer or employee or eligible pensioner electing to drop health coverage or drop one or 
more dependents (including the spouse of such regular officer, employee, or eligible pensioner) 
from health coverage may drop coverage of dependents, under the following limited 
circumstances as per Section 125 of the Internal Revenue Service Code:









4.8An eligible regular officer or employee or a legal spouse (eligible to receive State Share) who reaches 
age 65 and becomes eligible for Medicare shall continue to be covered under the State Plan as the 
primary payor of benefits. 

4.8.1Regular officers or employees or eligible pensioners and dependents eligible for Medicare, by 
reason of age or disability, must apply for Medicare Part A when first eligible regardless of their 
coverage under the State Plan. Also see Eligibility and Enrollment Rule 3.10.

4.8.2If an employee or dependent covered under the State Plan becomes eligible for Medicare Parts A 
and B due to End Stage Renal Disease (ESRD), the covered individual must enroll in Medicare 
Parts A and B and these plans will be primary to the State Plan for the period of time as outlined in 
the Medicare guidelines. Employees with ESRD should contact their State Plan insurance carrier 
to discuss coverage options.

4.9An employee who becomes eligible for pension or Long-Term Disability (LTD) may change their plan at 
the onset of receiving pension or LTD.

4.10A regular officer or employee or eligible pensioner who is required by Court or Administrative Order to 
provide health insurance coverage for a child/ren shall be permitted to enroll under family or employee 
and child/ren coverage, any child/ren who is eligible for such coverage (without regard to any Open 
Enrollment restriction). If the employee is enrolled, but fails to make application to obtain coverage of 
the child/ren, the child/ren shall be enrolled under such family or employee and child/ren coverage 
upon application by the child/ren's other parent, the Division of Child Support Enforcement or Division 
of Social Services. The employee shall not disenroll (or eliminate coverage of) any child/ren unless the 
employer is provided satisfactory written evidence that:

4.10.1The Court or Administrative Order is no longer in effect, or

4.10.2The child/ren is or will be enrolled in comparable health coverage, which will take effect no later 
than the effective date of such disenrollment.

4.11When a covered regular officer or employee or eligible pensioner divorces, coverage for the ex spouse 
will terminate on the day following the date of divorce. Premiums are paid on a monthly basis and not 
prorated. The regular officer or employee or eligible pensioner must remit the employee contribution 
for the plan, which included the spouse for the entire month. The regular officer or employee or eligible 
pensioner must submit a signed application within 30 days prior to or 30 days following the date of 
divorce. If DSS terminates as a result of the divorce, the regular officer or employee or eligible 
pensioner must pay the employee contribution for the entire month that the divorce occurred.

4.12Pensioners and dependents eligible for Medicare, by reason of age or disability, must also enroll in 
Medicare Part A and B when first eligible for these plans and may enroll in the Medicare Supplement 
plan provided by the State Group Health Plan through the Pension Office. Also see Eligibility and 
Enrollment Rule 3.10.

 6 DE Reg. 690 (11/1/02)

12 DE Reg. 986 (01/01/09)

5.0Cost Of Coverage









(Used to determine the amount of State Share contributed toward an employee's coverage and the 
amount of employee contributions required, if any.)

5.1"Regular officers and employees" begin earning State Share contributions on the first of the month 
following three full months of employment. See Eligibility Table for specific information regarding State 
Share payments and employee payroll deductions for employees who elect coverage when eligible for 
State Share. 

5.2Permanent part-time, temporary per diem and contractual employees of the General Assembly as 
described in Eligibility and Enrollment Rule 1.01 are eligible to participate in the State Plan, but are not 
eligible for State Share. Therefore, any such employee joining the State Plan must pay the full cost of 
the health plan selected. Payment must be collected by the organization and forwarded to the 
Statewide Benefits Office by the first day of the month for which the employee's coverage becomes 
effective. 

5.2.1If an existing full time state employee takes a limited term position, State Share shall continue. 

5.2.2Casual and seasonal employees and substitutes are not eligible to participate in the State Plan, 
nor are they eligible for State Share.

5.3When a husband and wife are both permanent full time active employees, they shall earn State Share 
contributions in accordance with the following:

5.3.1If they elect to enroll in two individual contracts, the increment of cost of the options selected by 
the two employees which exceeds the cost of two First State Basic family plans, shall be deducted 
by OMB from salary, pension or disability payments.

5.3.2If they elect to enroll in one employee and spouse or family contract, the increment of cost of the 
option selected by the employee that exceeds the cost of two First State Basic family plans, shall 
be deducted by OMB from salary, pension or disability payments.

5.4When the spouse of an eligible employee is a retired State of Delaware employee receiving a monthly 
pension or a Disability Insurance Program (DIP) LTD beneficiary receiving an LTD check, each may 
enroll as two individual contracts, employee and spouse contract or a family contract. The increment of 
cost of the option selected by the employee that exceeds the cost of two First State Basic family plans, 
shall be deducted by OMB from salary, pension or disability payments. (A notation should be made in 
the employee's file that the spouse is a State of Delaware Pensioner or DIP LTD beneficiary). The 
Pension Office should be notified when the active employee terminates State Service.

5.5An eligible employee who elects to be covered prior to becoming eligible for State Share must pay the 
full cost of coverage, State Share and employee share, until State Share begins.

5.6If a regular officer, employee, eligible pensioner, or beneficiary selects coverage under any plan other 
than the First State Basic Plan, the employee is responsible for paying the additional cost, if any, over 
and above the cost of the same coverage class (individual, employee & child, employee & spouse, or 
family) under the First State Basic plan.

5.7A regular officer or employee or eligible pensioner who is eligible for the State Share contribution may 
not receive the cash equivalent in lieu of the coverage itself.

5.8Health coverage premiums are collected on a lag basis. (Example: January coverage is paid by 
deduction in the second pay of January plus deduction in the first pay of February). Each agency/
school district/sub group is responsible for reconciling premiums to ensure that proper payment has 
been remitted. Payments, other than those made through OMB's automated payroll system, and all 
adjustments must be submitted in a timely manner to the Statewide Benefits Office. The State Plan will 
not be responsible for payment of premiums and/or claims if a signed enrollment form/confirmation 
statement/waiver is not in the employee file.

5.9An eligible employee who returns from an authorized unpaid leave of absence is entitled to State 
Share payments upon return without fulfilling another three month waiting period. The employee must 
request enrollment by contacting their Human Resources Office within 30 days of return from leave of 
absence. State Share and coverage (if it has lapsed) begin on the date of return from leave of 
absence.









5.10Any regular officer or employee or eligible pensioner who fails to make payment for his/her share of the 
cost of health coverage when he/she is eligible to continue coverage and does not have sufficient 
salary from which payment can be deducted will have coverage canceled on the first day of the month 
following any month that a regular officer or employee or eligible pensioner fails to pay the required 
share for the coverage selected.

5.10.1Family and Medical Leave Act (FMLA) regulations provide that employees have a 30 day grace 
period for late premium payments. The employer's obligation to maintain health coverage ceases 
if an employee's premium payment is more than 30 days late. Benefit Representative or Human 
Resources Offices should continue the employee's health coverage for the 30 day period provided 
under FMLA. The Benefit Representative or Human Resources Offices can then do a retroactive 
cancellation if the required employee contribution was not paid by the end of the 30 day grace 
period.

5.11An employee who has a break in active employment due to authorized leave of absence, suspension, 
termination or unauthorized leave of absence without pay for a full calendar month, shall not be eligible 
for State Share for that calendar month and any subsequent calendar month that the employee is in a 
non pay status for the entire calendar month. In the case of an authorized leave of absence, an 
intermittent return to work or use of paid leave of less than five full days in one month, the employee 
shall not be entitled to State Share contributions. Full payment must be made for the month in order to 
retain coverage. Upon return, the employee is eligible for State Share without fulfilling another three 
month waiting period, provided the break was the result of any of the following:

5.11.1an authorized leave of absence;

5.11.2a suspension without pay;

5.11.3termination or unauthorized leave of absence for a period less than 30 calendar days.

Coverage begins on the date of employee's return to work.

5.12State Share will be paid for employees drawing Workers' Compensation, provided the employee is not 
eligible for coverage from a subsequent employer. Such an employee must submit payment for the 
share of the coverage that would normally be deducted from his/her salary.

5.13State Share will be paid for employees who are approved for Short Term and/or Long Term Disability 
through the State's DIP.

5.13.1Employee's share of premium shall be deducted by OMB from employee's salary or DIP LTD 
check.

5.13.2Employees whose STD claims are in a pending status are entitled to receive State Share.

5.13.3.Employees who are appealing a STD termination and/or benefit denial are eligible to receive State 
Share. If the appeal results in a denial, the employee is responsible for the State Share paid on 
his/her behalf while the claim was in a pending appeal status. 

5.14Any refund of State Share or employee share is subject to the following requirements:

5.14.1An employee who has paid the State Share in order to insure continuation of health coverage and 
then later is found to have been eligible for receipt of State Share, is to be refunded the amount 
that was not paid by the State. The employee must make application for the refund within one 
calendar year of the date the employee paid the State Share to be refunded;

5.14.2An employee who has paid the employee share then later is found to have been eligible for receipt 
of DSS is to be refunded the amount paid for employee share for a period not to exceed one 
calendar year. The employee seeking a refund must make application for the refund within one 
year of the date the employee paid the employee share to be refunded;

5.14.3An employee who has paid the employee share for an ineligible dependent (for example following 
a divorce, death or exceeding the dependent age limits) is to be refunded the amount paid for 
employee share for a period not to exceed 60 days, provided that the employee seeking a refund 
must make application for the refund within 60 days of the date the employee paid the employee 
share to be refunded and further that the employee shall be liable for any amounts paid by the 
State Plan on behalf of the ineligible dependent until the employee provides notice to the 
Statewide Benefits Office of the dependent's ineligibility;









5.14.4If an employee is terminated from employment and does not pay the employee share for the 
second half of the month in which terminated, coverage under the Plan is terminated as of the first 
of the month, any claims paid for that month will be reversed and a refund will be given, if 
employee makes request for refund within 60 days.

5.14.45In any event, refunds of less than $1.00 will not be made.

5.15Teachers who are granted a sabbatical leave of absence are eligible for State Share while they are on 
such leave. Also see Eligibility and Enrollment Rule 6.3.

5.16All employees whose positions are involuntarily terminated after they have been employed for a full 
calendar year who return to full time State employment within 24 months of their termination will be 
eligible for State Share without fulfilling another three month qualification period.

5.17A temporary, casual, seasonal employee, or substitute who becomes a "Regular Officer or Employee" 
shall have his/her unbroken temporary, casual, seasonal, or limited term, provisional or permanent part 
time "Aggregate State Service" applied toward the three month qualification period for State Share 
contributions. The "Aggregate State Service" must immediately precede becoming a "Regular Officer 
or Employee". The temporary, casual, seasonal employee, or substitute must have worked each pay 
cycle for the three months prior to hire eligibility for state share - or last three full months of the school 
year prior to September hire.

5.18State Share shall continue for a "Regular Officer or Employee" who is temporarily appointed to a 
position that results in a dual incumbency.

5.19Any active employee who is also receiving a survivor's pension through the State of Delaware shall 
receive DSS. The increment of cost, which exceeds the cost of two First State Basic family plans, shall 
be deducted from employee's salary.

5.20A regular officer or employee called to active duty with the National Guard or Reserve for other than 
training purposes shall continue to receive state share toward health insurance coverage for a period 
of up to two years. Employee's share must be remitted to Benefit Representative or Human Resources 
Office for further processing.

 6 DE Reg. 690 (11/1/02)

12 DE Reg. 986 (01/01/09)

6.0Continuation Of Coverage

6.1To continue coverage other than the First State Basic Plan, a covered employee must pay the 
difference between the State Share contribution and the cost of the coverage selected. Coverage will 
be terminated on the first day of the month employee did not make required payment.

6.2An employee granted an unpaid authorized leave of absence can maintain membership in the group 
health plan by paying the full cost of coverage (State Share plus employee share) during the period of 
the leave as long as that leave of absence does not exceed two years. An employee who returns from 
an authorized leave of absence, whether he/she maintains coverage or not while on leave of absence, 
is authorized to receive State Share immediately upon return. (Eligibility for State Share begins upon 
return without fulfilling another three month qualification period). An employee on FMLA leave is 
entitled to have pre existing health insurance benefits (including the State Share) maintained while on 
an FMLA leave. If an employee was paying State Share and/or employee share of the premium 
payments prior to leave, the employee would continue to pay the same share during the leave period. 
Failure to make such payment within 30 days of the due date will result in termination of coverage.

6.3Coverage other than the First State Basic Plan continues for teachers who are granted sabbatical 
leave provided they make the required payments for their share of the cost of their coverage; 
otherwise, their coverage reverts to the First State Basic Plan. (State Share continues while employee 
is on sabbatical leave.) Also see Eligibility and Enrollment Rule 5.15.

6.4Employees leaving State employment, except for termination due to gross misconduct or whose 
application for LTD benefits under the DIP has been approved, are eligible for continuation under 
COBRA. Employees should contact their Benefits Representative or Human Resources Office for 
details of this continuation option.









6.5An eligible employee or eligible dependent that loses coverage under the State Plan may continue 
coverage under COBRA. If a COBRA qualifying event occurs, the employee or the employee's 
dependent(s) must notify the employee's Benefit Representative or Human Resources Office or the 
State's COBRA Administrator to provide notice of the qualifying event within 60 days of its occurrence.

6.6Upon expiration of the covered individual's COBRA eligibility, the individual may apply directly to the 
insurance company for a direct billed health insurance contract.

12 DE Reg. 986 (01/01/09)

7.0Termination Of Coverage

7.1Coverage ends on the last day of the month in which the employee terminates employment. A public 
school or higher education employee (less than 12 month employee) whose employment during a 
school year continues through the last scheduled work day of that school year shall retain coverage 
through August 31 of the same year so long as the required employee share has been paid. In the 
event an employee fails to make the required payment for any optional coverage selected, coverage 
will be terminated. If an employee works one day in the month in which he/she terminates, he/she shall 
earn State Share for the entire month. Coverage will be terminated on the first day of the month 
employee did not make required payment.

7.2Coverage (and dependent coverage, if applicable) ends as of the end of the month in which the 
employee ceases to be an eligible employee for coverage (due to some change such as a reduction in 
the number of hours the employee works). 

7.3Coverage of dependents, except for dependents of pensioners and dependents eligible for a survivor's 
pension, ends as of the last day of the month of the employee's death. Dependents who lose coverage 
as a result of the employee's death are eligible for continuation under COBRA. Contact the State's 
COBRA administrator for details of this continuation option.

7.4Ex spouses not employed by the State of Delaware are not eligible for coverage under the State Plan - 
even if a divorce decree, settlement agreement or other document requires an employee to provide 
coverage for an ex spouse. Coverage for the ex spouse will terminate on the day after the date of 
divorce. Premiums are paid on a monthly basis and not prorated. The regular officer or employee or 
eligible pensioner must remit the employee share for the plan which included the spouse for the entire 
month. The regular officer or employee or eligible pensioner must submit a signed application within 
30 days prior to or 30 days following the date of divorce. If DSS terminates as a result of the divorce, 
each regular officer, employee or eligible pensioner must pay the employee contribution for the entire 
month that the divorce occurred. The State Plan will not be responsible for payment of claims when a 
dependent is no longer eligible for coverage.

7.5Coverage for a dependent child/ren will end the earlier of the following:

7.5.1December 31st of the year in which he/she reaches age 21. If a full time student, coverage will end 
on the earlier of the following: (1) the end of the month in which the dependent child is no longer a 
full time student, or (2) the end of the month in which the dependent child/ren attains age 24. 
Student certification must be updated each year between ages 21 and 24.

7.5.2The last day of the month in which the child/ren marries;

7.5.3The date the child/ren ceases to be dependent on you or your spouse for at least 50% support per 
Sections 2.1.1.3 and 2.1.1.4.

7.5.4 Adult Dependent Program coverage is as provided in Section 2.3.

 6 DE Reg. 690 (11/1/02)

 6 DE Reg. 1515 (5/1/03)

12 DE Reg. 986 (01/01/09)

8.0Reinstatement of Coverage

8.1Once a regular officer or employee or eligible pensioner has requested that his/ her coverage be 
canceled, he/she cannot rejoin the State Plan until the next annual Open Enrollment period unless 
such regular officer or employee or eligible pensioner qualifies for re-enrollment under the applicable 
exceptions to these Eligibility and Enrollment Rules. 









8.2An employee who returns from an authorized leave of absence not exceeding 24 months in duration 
who does not maintain coverage while on leave of absence, is permitted to enroll immediately upon 
return without waiting for the next Open Enrollment period, provided the employee requests enrollment 
within 30 days of return and completes the necessary paperwork required to enroll within 30 days of 
the request. Coverage will begin as of the date the employee returns from leave following completion 
of the necessary paperwork and payment of any required employee share. Premiums are paid on a 
monthly basis and are not prorated.

8.3Employees whose positions are involuntarily terminated after they have been employed for a full year 
(or full school year) will be eligible for State Share immediately if they return to full time State 
employment within 24 months of termination. 

6 DE Reg. 690 (11/1/02)

12 DE Reg. 986 (01/01/09)

9.0Miscellaneous

9.1It is the responsibility of the regular officer, employee or eligible pensioner to keep his/her Benefit 
Representative or Human Resources Office informed of any change of address or change in status 
which results in the adding or dropping of dependent/s (marriage, divorce, birth, death, adoption, etc.) 
that affects his/her health care coverage. In turn, it is the responsibility of the Benefit Representative or 
Human Resources Office to make the make the necessary changes in the appropriate payroll system, 
or to notify the Statewide Benefits Office of these changes. Failure to do so may affect eligibility of 
coverage or extent of coverage for any participant and could impose an extreme hardship on a regular 
officer or employee or eligible pensioner. The State Plan will not be responsible for payment of 
premiums and/or claims in the event of ineligibility and/or the absence of a signed enrollment form/
confirmation statement in the regular officer or employee or eligible pensioner's file.

9.2If any provision of these Rules and Regulations or the application thereof to any person or 
circumstance is held invalid, such invalidity shall not affect other provisions or application of the Rules 
and Regulations which can be given effect without the invalid provision or application, to that end the 
provisions of these Rules and Regulations are declared to be severable

6 DE Reg. 690 (11/1/02)

12 DE Reg. 986 (01/01/09)

10.0Dental Plan

10.1Employees electing to pay for and receive coverage under one of the Dental Plans should be aware of 
the following terms:

10.1.1Dental is not affected by Double State Share (DSS) and dental insurance plans cannot be 
changed upon eligibility for DSS;

10.1.2Employees may enroll in a dental plan during the first of month after being hired, becoming 
eligible, or 90 days after the first of the following month after being hired; 

10.1.3The Dental Plan's effective date is always the first of the month and not on event date as for the 
health plan;

10.1.4Dental Plan refund rules are limited to 60 days or less because the Dental Plan is fully insured; 

10.1.5Dental Plan term dates are limited to 60 days or less;

10.1.6Dental Plan will be terminated in the event that employee is 60 days delinquent in payment of 
Dental Plan premium and any paid claims in the same period will be reversed; 

10.1.7If an employee is terminated from employment and does not pay the Dental Plan premium for the 
second half of the month in which terminated, coverage under the Dental Plan is terminated as of 
the first of the month, any claims paid for that month will be reversed and a refund will be given, if 
employee makes request for refund within 60 days;

10.1.8School district employees (except those of Delaware Technical and Community College) who are 
offered school district dental coverage are not eligible for coverage under the State Dental Plans;









10.1.9.Terminations in dental coverage can only be made during the annual Open Enrollment period, 
except that a regular officer or employee or eligible pensioner may elect to drop dental coverage 
for one or more dependents within the plan year due to same circumstances as noted in Section 
4.75. 

10.1.10The employee's election of a dental insurance plan is binding for the plan year.

10.1.11An employee on approved leave of absence without pay may waive participation in Dental Plan. 
Employee must notify his/her Benefit Representative or Human Resources Office of request as 
waive must be designated in the appropriate enrollment system. When employee returns to work, 
participation must be reinstated in the appropriate enrollment system to be effective the first of the 
month following employee's return to work.

10.1.12An employee on approved leave of absence without pay may continue to participate in Dental Plan 
by making full payment of premium by end of each month or coverage will be terminated. 
Employee must make payment to Benefit Representative or Human Resources Office for further 
processing.

12 DE Reg. 986 (01/01/09)