9 NYCRR Part 5102 - Executive Department

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Source versions current through Nov 15, 2021 - Mar 31, 2022 across sections

Sections in this Part carry different compiled dates; each section shows its own.

9 NYCRR 5102.1 - General

Source version current through Nov 15, 2021

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021

(a)Every applicant and licensee shall produce such information, documentation and assurances as may be required by the commission to establish, by clear and convincing evidence, such applicant or licensee’s suitability for licensure in accordance with these regulations. The refusal by any applicant or licensee to comply with a request by the commission for any such information, documentation or assurances shall be a basis for denial, revocation or disqualification of the applicant or licensee.

(b)Each licensee under these regulations shall have a continuing obligation, as set forth in these regulations:

(1)to ensure that such information, documentation and assurances submitted to the commission is current; and

(2)to ensure that such information, documentation and assurances, in light of the circumstances in which they were made and submitted, shall not be misleading. Each licensee shall submit such additional information, documentation and assurances as may be necessary to meet such obligations.

(c)

(1)It shall be the affirmative duty of all licensed personnel to report:

(i)violations of law and any instances of non-compliance with these regulations; or

(ii)regulatory or criminal violations by such licensees in any jurisdiction outside the state in which they are licensed, to the commission and the commission’s authorized representative. Licensed entities agree that they shall not apply any sanction, penalty, or job termination against any employee in retaliation for that employee’s reporting of violation(s) or cooperation with the commission or the commission’s authorized representative in any investigation or other proceeding.

(2)If it is determined after investigation that any licensed entity or person has violated these regulations, the commission will impose the appropriate remedy including, but not limited to, any of the following:

(i)permit the reinstatement of the employee to a former position;

(ii)suspension and/or revocation of the license of the entity or person(s).

9 NYCRR 5102.2 - Identification

Source version current through Nov 15, 2021

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021

(a)Every natural person applying for a license pursuant to these regulations shall establish such person’s identity to the satisfaction of the commission pursuant to the requirements of the license application.

(b)Any natural person may request that the commission change the name designated on such person’s application or license by establishing appropriate identity information as required by the commission including, without limitation, a certificate of marriage, a certified copy of a divorce decree or other appropriate court order.

9 NYCRR 5102.3 - Fingerprinting

Source version current through Nov 15, 2021

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021

(a)Each applicant or licensee, including each of the video lottery gaming agent, video lottery gaming agent principals, vendor and vendor principals, vendee and vendee principals, if applicable, and key and other employees, shall, at the time of application and upon renewal, be fingerprinted under the supervision of the commission or a duly authorized representative approved by the commission. The commission may, for good cause shown, permit an applicant or licensee to alternatively submit sets of classifiable fingerprints on fingerprint impression cards provided by the commission.

(b)Nothing in this section shall relieve a person who submits fingerprint sets pursuant to subdivision (a) of this section from the continuing duty to disclose any criminal arrests as required by these regulations.

(c)Each video lottery gaming agent shall remit to the commission the actual costs of reviewing and fingerprinting such agent’s principals, employees and vendors, if applicable.

9 NYCRR 5102.4 - Photographing

Source version current through Nov 15, 2021

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021

Each applicant or licensee shall submit with their license application a color photograph in the format required by the license application and that was taken within six months of the date the application is submitted to the commission.

9 NYCRR 5102.5 - Handwriting exemplars

Source version current through Nov 15, 2021

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021

Each applicant or licensee shall supply handwriting exemplar(s) in the form and manner required by the license application.

9 NYCRR 5102.6 - Minimum employee age

Source version current through Nov 15, 2021

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021

No natural person under the age of 18 years shall be eligible to receive a license from the commission as a video lottery gaming key employee, video lottery gaming employee or principal of a vendor or be authorized as a temporary service provider.

9 NYCRR 5102.7 - Eligibility to work in the United States

Source version current through Nov 15, 2021

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021

No natural person shall be employed as a video lottery gaming agent unless such person is a citizen of the United States or is otherwise eligible to work in the United States.

9 NYCRR 5102.8 - False and misleading information

Source version current through Nov 15, 2021

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021

The commission may deny a license to any applicant who:

(a)supplies information to the commission that is untrue or misleading as to a material fact; or

(b)fails to submit any statement or information that would make any statement made in the application, in light of the circumstances in which they were made, not misleading.

9 NYCRR 5102.9 - Filing

Source version current through Nov 15, 2021

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021

No application for a license shall be deemed filed with the commission under these regulations until:

(a)all papers presented conform to all requirements relating to format, signature, oath or affirmation, attorney certification (if required) and copies;

(b)all appropriate application, registration, business disclosure and personal history disclosure forms have been properly completed and presented;

(c)all required consents, waivers, fingerprint impressions, photographs and handwriting exemplars have been properly presented;

(d)all other information, documentation, assurances and other materials required or requested at that preliminary stage pertaining to qualifications have been properly presented; and

(e)all required fees have been properly paid and all required surety has been properly furnished.

9 NYCRR 5102.10 - Processing

Source version current through Nov 15, 2021

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021

The commission will process only complete applications. The commission will notify the video lottery gaming agent’s human resource department when an application has been accepted as complete. The processing of any application shall not constitute the commission’s concurrence that the requirements of the act and these regulations have been satisfied.

9 NYCRR 5102.11 - Amendment

Source version current through Nov 15, 2021

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021

It shall be the continuing duty of each applicant or licensee to promptly file with the commission a written amendment to the application explaining any new or changed facts or circumstances whenever any material or significant new or changed facts or circumstances occur with respect to any matter set forth in the application or other papers relating thereto. Any applicant or licensee may be permitted by the commission to file any other amendment to such applicant or licensee’s application at any time prior to final action thereon by the commission. The failure of an applicant or licensee to comply with this section shall be grounds for rejection of the application or for suspension or revocation of a license.

9 NYCRR 5102.12 - Issuance of a license

Source version current through Nov 15, 2021

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021

(a)The commission shall notify the applicant or the human resource department of the video lottery gaming agent in writing when a license is granted.

(b)No applicant shall commence a licensed activity prior to the issuance of a license.

(c)The commission may issue a temporary license to an applicant pending completion of an initial application review process. Any such temporary license may be issued only if the applicant:

(1)has filed a complete application with the commission;

(2)the completed application, on the face of such application, discloses no grounds from which it may be immediately ascertained by the commission that there are reasonable grounds to deny the application; and

(3)the commission receives and reviews an acceptable fingerprint report from the New York State Division of Criminal Justice Services and Federal Bureau of Investigation.

9 NYCRR 5102.13 - Withdrawal

Source version current through Nov 15, 2021

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021

(a)Prior to a final action by the commission on an application, regardless of whether a temporary license has been issued, any applicant may withdraw an application filed with the commission by filing a written notice of such withdrawal. Upon the receipt of such notice, the commission will cease processing such application, but shall retain such application and materials in accordance with applicable law.

(b)The commission may refrain from processing any application submitted by any applicant that has previously withdrawn an application for a period of one year from the date of such withdrawal.

(c)No fee or other payment relating to any application shall become refundable by reason of withdrawal of the application unless otherwise determined by the commission for good cause shown.

9 NYCRR 5102.14 - Denial of a video lottery gaming license

Source version current through Nov 15, 2021

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021

(a)To the extent permitted by law, the commission may deny a video lottery gaming license to an applicant who has been convicted of:

(1)a felony offense, as defined in Penal Law section 10.00(5), or an equivalent offense committed in another jurisdiction;

(2)a misdemeanor related to gambling, gaming, bribery, fraud, or any other offense prejudicial to public confidence in the State lottery.

(b)The commission may deny a video lottery gaming license to an applicant who has otherwise been determined to be a person whose prior activities, criminal record, if any, or reputation, habits and associations pose a threat to the effective regulation of video lottery gaming in this State; or if the granting of such license to the applicant would create, or enhance, the chances of unfair or illegal practices, methods, and activities in the conduct of the video lottery gaming under the act; or if such applicant has failed to provide any information reasonably required by the commission to investigate the applicant for a license or to reveal any fact material to such application, or has furnished any information that is untrue or misleading in connection with such application, or fails to submit such information that, if submitted, would make the statements in any application, in light of the circumstances in which they were made, not misleading.

(c)The commission may deny a video lottery gaming license to an applicant who fails to provide such information, documentation and assurances required by the act or these regulations, or as requested by the commission, or who fails to reveal any fact material to suitability, or who supplies information that is untrue or misleading as to a material fact pertaining to licensing suitability criteria.

(d)The commission may deny a video lottery gaming license to an applicant who fails after due inquiry to demonstrate financial stability or who is obligated for past due support that is owed to persons or entities entitled to enforce an order of support with respect to persons receiving services pursuant to title 6-A of article 3 of the State Social Services Law or any final order, decree or judgment in a matrimonial action or family court proceeding, or any foreign support order, decree or judgment that is registered pursuant to section 37-A of the Domestic Relations Law, which requires the payment of alimony, maintenance, support or child support.

(e)The commission may deny a video lottery gaming license to an applicant upon determination that the applicant has engaged in fraud, deceit, misrepresentation or conduct prejudicial to public confidence in the State lottery.

(f)Notwithstanding the provisions of this section, an applicant who has been convicted of any criminal offense may receive a video lottery gaming license at the discretion of the commission. In determining whether the applicant may receive such license, the commission shall consider the following factors:

(1)the nature and duties of the position or type of license for which the applicant has applied;

(2)the nature and seriousness of the offense or conduct;

(3)the circumstances under which the offense or conduct occurred;

(4)the date of the offense or conduct;

(5)the age of the applicant when the offense or conduct was committed;

(6)whether the offense or conduct was an isolated or repeated incident;

(7)any evidence of rehabilitation, including good conduct in prison or in the community, counseling or psychiatric treatment received, acquisition of additional academic or vocational schooling, successful participation in correctional work-release programs, or the recommendation of persons who have or have had the applicant under their supervision.

9 NYCRR 5102.15 - Application and employment after denial or revocation

Source version current through Mar 31, 2022

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022

(a)Any natural person whose application for a license is denied, or whose license is suspended or revoked by reason of a failure to satisfy the affirmative qualification criteria required by these regulations, or due to a finding by the commission that such person is disqualified, or both, may re-apply for such license at any time.

(b)Any natural person whose license application was denied, or whose license was suspended or revoked by the commission on the basis of any of the statutory or regulatory provisions in paragraphs (1) through (4) of this subdivision, may reapply for a license upon satisfaction of the relevant requirements specified below. If the denial, suspension or revocation is based upon two or more of such regulatory provisions, the commission shall permit reapplication only upon compliance with the requirements of this subdivision as to each such provision. Any person seeking to reapply pursuant to this subdivision shall file a certified petition stating with particularity how the specified requirements have been satisfied.

(1)Failure to demonstrate financial stability. Reapplication is permitted upon achieving financial stability.

(2)Failure to satisfy the age requirement. Reapplication is permitted upon attaining the requisite age or upon a commission finding that such age will be attained before the processing and approval of said reapplication has been completed.

(3)Pending disposition of a charge of a criminal offense if the lottery has determined to deny a license application or suspend or revoke a license while such charge is pending. Reapplication is permitted upon disposition of the pending charge.

(4)Any statutory or regulatory provision that is subsequently repealed or modified. Reapplication is permitted upon a showing that the subsequent repeal or modification of the statutory or regulatory provision obviates the grounds for denial or revocation and justifies the conclusion that the prior determination should not be a basis for denying a license application.

(c)Except as otherwise set forth in these regulations, any person whose application has been denied or whose license has been revoked may reapply upon submission of sufficient evidence demonstrating that the factual circumstances upon which the denial was based have been cured to the satisfaction of the commission.

(d)Any person whose license has been revoked may reapply upon submission of sufficient evidence demonstrating that the factual circumstances upon which the denial was based have been cured.

9 NYCRR 5102.16 - Assignability

Source version current through Nov 15, 2021

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021

No license issued pursuant to these regulations is assignable by the licensee to any other person.

9 NYCRR 5102.17 - Temporary service providers; badges

Source version current through Nov 15, 2021

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021

(a)The video lottery gaming agent may issue temporary badges to any natural person performing temporary services at a video lottery gaming facility.

(b)Temporary badges shall:

(1)remain the property of the video lottery gaming agent;

(2)be distributed to the temporary service provider upon daily arrival at the video lottery gaming facility; and

(3)be returned daily by such temporary service provider to such agent at the close of the temporary service provider’s work shift.

(c)Any licensed entity needing to contract for or employ temporary personnel shall provide to the commission a completed temporary service provider identification number request form, no later than 24 hours prior to arrival of the temporary service provider at the facility. The failure to file such request form shall be a violation of the entity’s license, the act and these regulations.

(d)The video lottery gaming agent may issue visitor badges to persons performing services for a period not greater than one business day provided that such visitor is escorted by a licensed employee at all times. If such visitor requires access to restricted areas, the visitor must be accompanied by a licensed key employee, unless otherwise approved by the commission.

9 NYCRR 5102.18 - Application to change video lottery gaming license

Source version current through Nov 15, 2021

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021

A video lottery gaming licensee may apply to change the status of such licensee’s current license by filing an application in a form prescribed by the commission.

9 NYCRR 5102.19 - Restriction on employment of a former surveillance department employee

Source version current through Nov 15, 2021

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021

No former video lottery gaming agent surveillance department employee shall accept employment in another capacity for the video lottery gaming agent within the same video lottery gaming facility in which such surveillance department employee was previously employed or within any other video lottery gaming facility whose surveillance department is under the operational control of the same person who controlled the surveillance department in which the surveillance department employee had been previously employed, unless one year has passed since the former surveillance department employee worked in the surveillance department.

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