New York Codes, Rules and Regulations (NYCRR)
Title 9 Part 5103
Executive Department
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9 NYCRR 5103.1 - Entities permitted to obtain a video lottery gaming agent license
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
Unless otherwise permitted by law, only racetracks authorized by article 34 of the Tax Law to operate a video lottery gaming facility may apply for and obtain a video lottery gaming agent license.
9 NYCRR 5103.2 - Video lottery gaming agent and principal application and disclosure form
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)Each owner of a video lottery gaming facility is required to be licensed by the commission as a video lottery gaming agent. A video lottery gaming agent application and disclosure form shall be filed with the commission for each of the following:
(1)the video lottery gaming agent license applicant; and
(2)each parent company or holding company of the applicant.
(b)Each person who is a principal of a video lottery gaming agent or the operator of a video lottery gaming facility on behalf of such an agent is required to be licensed by the commission. A video lottery gaming agent principal application and disclosure form shall be filed with the commission for each of the following:
(1)each person required to be licensed as a principal of the applicant; and
(2)each person required to be licensed as a principal of a parent or holding company of such agent; and
(3)where the video lottery gaming agent principal is other than a natural person, each person(s) exercising control as principals over the video lottery gaming agent principal applicant.
(c)In addition to the information submitted on or required by the application or disclosure form, any applicant for a video lottery gaming agent or principal license shall submit the following additional documents, which shall be dated, signed and notarized by either the president, chief executive officer, member(s), any general partner(s), sole proprietor(s) or other authorized person:
(1)a statement of truth;
(2)release authorizations as requested by the commission directing all courts, probation departments, selective service boards, employers, educational institutions, financial and other institutions and all governmental agencies to release any and all information pertaining to the applicant as requested by the commission; and
(3)an acknowledgment of receipt of notice regarding confidentiality, consent to search and non-refundable filing fees, with a waiver of liability as to the State and the instrumentalities and agents of the State, including the commission, for any damages resulting to the video lottery gaming agents, such agents’ principals, servants, agents and employees, from any disclosure or publication of information acquired during the license or investigation process;
(4)such other and further information and documentation as may be required by the commission to establish compliance with all relevant facilities requirements of the commission including, without limitation, the following:
(i)a certified copy of the local law authorizing the applicant’s participation in video lottery gaming, if applicable;
(ii)a certified copy of the certificate of occupancy or a certificate of compliance issued by the appropriate governmental body demonstrating that the facility to be licensed is in compliance with all State and local fire and safety codes;
(iii)certified payroll records showing that all workers engaged or to be engaged in the construction, reconstruction, development, rehabilitation or maintenance of any area utilized or to be utilized for video lottery gaming have been paid prevailing wages in accordance with articles 8 and 9 of the State Labor Law and regulations promulgated by the State Department of Labor to the extent provided in such articles;
(iv)a description of the proposed video lottery gaming facility site, including site plans, total acreage, total square footage, frontages and elevation;
(v)certificates of insurance to comply with section 5103.8 of this Part;
(vi)the construction program for the video gaming facility, including estimated construction time and anticipated date of opening; the status of all required governmental and regulatory approvals and any conditions thereto, including, but not limited to, the results of any review pursuant to the New York State Environmental Quality Review Act and all necessary demolition and construction permits; the project budget; and the architect, general contractor, construction manager and primary subcontractors, environmental consultant and interior designer and proof of insurance of all phases of the construction process;
(vii)certified copies of any agreement(s) with the organization authorized to represent its horsemen; and
(viii)any other information or documentation that the commission may deem material to the licensing of the applicant, or of any person required to be licensed pursuant to the regulations of the commission.
9 NYCRR 5103.3 - General information requirements
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)No video lottery gaming agent license shall be issued or renewed by the commission unless the applicant, and each person required to be licensed as part of the application, provides all information, documentation and assurances required to establish such applicant’s qualifications pursuant to these regulations.
(b)A video lottery gaming agent license may be issued subject to such conditions, restrictions, limitations or covenants as the commission, in the commission’s discretion, deems necessary.
(c)Each video lottery gaming agent shall prohibit the possession, use or control of gambling paraphernalia used in the conduct or operation of unlawful gambling in the video lottery gaming facility.
9 NYCRR 5103.4 - Duration of license and license conditions
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
Any video lottery gaming agent license issued by the commission, shall be valid for the effective period of the act, unless such license is suspended or revoked by the commission pursuant to these regulations or by reason of the video lottery gaming agent’s failure to continue to own and/or operate the video lottery gaming facility.
9 NYCRR 5103.5 - Bonding of video lottery gaming agents
Source version current through Nov 15, 2021
A matched Register action is not later than the compiled-text reference date.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Nov 15, 2021
- Related Register notice
- SGC-47-16-00002-A · Adopted rule
- Related notice published
- Feb 8, 2017
- Related notice effective date
- Feb 8, 2017
(a)The commission shall require each video lottery gaming agent to provide to the commission a bond or other surety agreement, including without limitation a letter of credit, issued by a surety company or banking institution authorized to transact business in the State and approved by the Department of Financial Services as to solvency and responsibility, in such amount as the commission may determine, so as to avoid monetary loss to the State because of the video lottery gaming agent’s activities or those of a third party. For each video lottery gaming agent, the commission shall set the minimum amount of such bond or other surety agreement, which amount shall be not less than the total of five days of estimated average daily net win at such video lottery gaming agent’s facility, as the commission may determine as appropriate, less an amount equal to the vendor’s fee for such video lottery gaming agent set forth in Tax Law section 1612(b)(1)(ii). The bond or other surety agreement shall name as beneficiaries the commission and the State.
(b)The commission may seek additional bond, surety or other guarantee of financial security consistent with the purposes of these regulations or video lottery gaming law, as the commission may deem appropriate.
(c)The failure of the video lottery gaming agent to post such bond or surety agreement in the amount required by the commission shall be a violation of the requirements of such video gaming agent’s license.
9 NYCRR 5103.6 - Indemnification and hold harmless
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
As a condition to the issuance and acceptance of any video gaming agent license, each video lottery gaming agent shall agree, by separate agreement or otherwise, to:
(a)indemnify and hold harmless the State, the commission and any of the employees of the State or the commission from any and all damages, claims for damages or suits that may arise or occur directly or indirectly as a result of any operation carried on, under and pursuant to said video lottery gaming agent license;
(b)release the State, the commission and any of the employees of the State or the commission from any and all claims, damages and/or rights of action that shall accrue to the video lottery gaming agent or any of such agent’s employees that may arise or occur directly or indirectly as a result of any operation carried on, under or pursuant to said license; and
(c)defend, at such agent’s own expense, any and all suits against the State that may be brought by third parties as a result of any operation carried on pursuant to or in accordance with the terms of such license.
9 NYCRR 5103.7 - Relationship
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
Every employee of a video lottery gaming agent shall be employees of such video lottery gaming agent and not of the commission or the State.
9 NYCRR 5103.8 - Gaming facility insurance requirements.
Source version current through Sep 30, 2026
A matched Register action is not later than the compiled-text reference date.
Dates and status
- NYCRR title agency
- Executive Department
- Section status
- Section source receipt
- Source version current through
- Sep 30, 2026
- Related Register notice
- SGC-29-21-00010-A · Adopted rule
- Related notice published
- Nov 24, 2021
- Related notice effective date
- Nov 24, 2021
Gaming facility insurance requirements.
(a)Prior to the commencement of video gaming operations, the video gaming agent shall file with the commission certificates of insurance evidencing compliance with all requirements contained in these regulations. Such certificates shall be of form and substance acceptable to the commission.
(b)Acceptance and/or approval by the commission does not and shall not be construed to relieve the video gaming agent of any obligations, responsibilities or liabilities under these regulations.
(c)All insurance required by these regulations shall be obtained at the sole cost and expense of the video gaming agent with insurance carriers acceptable to the commission; shall be primary and non-contributing to any insurance or self-insurance maintained by the commission; shall be endorsed to provide written notice be given to the commission at least 30 days prior to the cancellation, non-renewal, or material alteration of such policies, and shall name. The people of the State of New York, its officers, agents, and employees as additional insured. The additional insured requirement does not apply to workers’ compensation or disability coverage.
(d)The video gaming agent shall be solely responsible for the payment of all deductibles and self-insured retentions to which such policies are subject. Deductibles and self-insured retentions must be approved by the commission. Such approval shall not be unreasonably withheld.
(e)Each insurance carrier must be rated at least “A-” Class “VII” in the most recently published Best’s Insurance Report. If, during the term of the policy, a carrier’s rating falls below “A-” Class “VII”, the insurance must be replaced no later than the renewal date of the policy with an insurer acceptable to the commission and rated at least “A-” Class “VII” in the most recently published Best’s Insurance Report.
(f)The video gaming agent shall cause all insurance to be in full force and effect as of the commencement date of video gaming operations and to remain in full force and effect throughout the license term. The video gaming agent shall not take any action, or omit to take any action that would suspend or invalidate any of the required coverages during the period of time such coverages are required to be in effect.
(g)Not less than 30 days prior to the expiration date or renewal date, the video gaming agent shall supply the commission updated replacement certificates of insurance, and amendatory endorsements.
(h)Limits. The video gaming agent shall obtain and maintain in full force and effect, the following insurance with limits not less than those described below, or as required by law, whichever is greater (limits may be provided through a combination of primary and umbrella/excess policies):
(1)Commercial general liability insurance with a limit of not less than $5,000,000 each occurrence. Such insurance shall cover liability arising from premises operations, independent contractors, broad form property damage, personal and advertising injury, cross liability coverage, liability assumed in a contract (including the tort liability of another assumed in a contract) and explosion, collapse and underground coverage. If such insurance contains an aggregate limit, it shall apply separately on a per location basis.
(2)Workers’ compensation, employers liability, and disability benefits as required by New York State.
(3)Commercial business automobile liability insurance with a limit of not less than $1,000,000 each accident. Such insurance shall cover liability arising out of any automobile accident including owned and leased automobiles.
(i)The video gaming agent shall cause to be included in each of such agent’s policies insuring against loss, damage or destruction by fire or other insured casualty, a waiver of the insurer’s right of subrogation against the commission, or, if such waiver is unobtainable,
(1)an express agreement that such policy shall not be invalidated if the video gaming agent waives or has waived before the casualty, the right of recovery against the commission or
(2)any other form of permission for the release of the commission.