New York Codes, Rules and Regulations (NYCRR)
Title 9 Part 5101
Executive Department
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2 sections
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9 NYCRR 5101.1 - Communications; notices
Source version current through Nov 15, 2021
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Nov 15, 2021
(a)Except as otherwise provided by these regulations, all papers, process or correspondence relating to the commission should be addressed to or served upon the commission at the commission’s principal office.
(b)All such papers, process or correspondence shall be deemed to have been received or served when delivered to the principal office of the commission.
(c)Except as otherwise specifically provided by the act or these regulations, notices from the commission will be sent to an applicant or licensee by either ordinary mail or certified mail to the address shown in the most recent application or change of address notice received from such person. Notices shall be deemed to have been served upon their deposit, postage prepaid, in the United States mail, and the time specified in any such notice shall commence to run from that date.
(d)Any applicant or licensee who desires to have notices mailed to an address other than that specified in the application shall file with the commission a specific request for that purpose, and notices will, in such case, be sent to the applicant or licensee at such address.
(e)An applicant or licensee will be addressed under the name and style designated in the application, and separate notices will not be sent to individuals named in such application unless a specific request for that purpose is filed with the commission. In the absence of such a specific request, a notice addressed under the name or style designated in the application shall be deemed to be notice to all individuals named in such application. Applicants and licensees shall immediately notify the commission of any change of address, and shall expressly request that all notices be sent to the new address.
(f)Whenever possible, except as otherwise provided in these regulations, all written communication and documentation submitted to the commission shall be by electronic delivery.
9 NYCRR 5101.2 - Retention, storage and destruction of books, records and documents by video gaming agents
Source version current through Mar 31, 2022
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Mar 31, 2022
(a)All original books and records pertaining to the video lottery gaming agent’s operations shall be:
(1)prepared and maintained in a complete, accurate and legible form;
(2)retained on the site of the video lottery gaming facility or at another secure location approved in accordance with subdivision (d) of this section;
(3)retained for the time period specified in subdivision (c) of this section;
(4)held available for inspection by the commission and the commission’s designee during normal business hours;
(5)organized and indexed in such a manner so as to provide immediate accessibility to the commission.
(b)All original books, records and documents shall be retained by any video lottery gaming agent in accordance with policies issued by the commission from time to time. Notwithstanding such policies, the following original books, records and documents shall be retained indefinitely unless destruction is requested by a video lottery gaming agent and approved by the commission in writing:
(1)corporate records;
(2)records of corporate investigations and due diligence procedures;
(3)current video lottery gaming employee personnel files; and
(4)a record of any original book, record or document destroyed, identifying the particular book, record or document, the period of retention and the date of destruction.
(c)An off-site storage facility for the books, records and documents required to be retained by a video gaming agent pursuant to this part may be approved by the commission upon receipt of a written request from a video gaming agent. Such request shall include, without limitation, the following information:
(1)a detailed description of the proposed off-site facility, including security and fire safety systems; and
(2)the procedures pursuant to which the commission will be able to gain access to the original books, records and documents retained at the off-site facility.
A video lottery gaming agent may request commission approval of an electronic or other suitable media system for the copying and storage of original books, records and documents. The use of such multi-media systems by a video gaming agent shall be pursuant to policies issued by the commission from time to time.
(d)
(1)Notwithstanding any policy, statute, rule or regulation to the contrary, video lottery gaming agent shall notify the commission in writing at least 15 days prior to the scheduled destruction of any original book, record or document. Any such notice of destruction shall list each type of book, record and document scheduled for destruction, including a description sufficient to identify the books, records and documents included; the retention period; and the date of destruction.
(2)The commission may object to the destruction of any original book, record or document by notifying the video lottery gaming agent in writing within 15 days of the receipt of any notice of destruction issued by the commission by a video lottery gaming agent. Upon receipt of an objection to any notice of destruction, such original book, record or document may thereafter be destroyed by the video lottery gaming agent only upon the consent of the commission, The destruction of any book, record or document by a video gaming agent without the consent of the commission shall be a violation of these regulations and will be treated as the destruction of a public record under the Penal Law.
(3)The video lottery gaming agent may utilize the services of a commission-approved disposal company for the destruction of any books, records or documents. Any cash complimentary coupons to be destroyed by a disposal company shall first be canceled with a void stamp, hole punch or similar device, or must contain a clearly marked expiration date that has expired, prior to turning possession of such coupons over to the disposal company.
(e)Nothing herein shall be construed as relieving a video lottery gaming agent from meeting any obligation to prepare or maintain any book, record or document required by any other Federal, State or local governmental body, authority or agency.