9 NYCRR Part 5115 - 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 5115.1 - 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

In addition to any requirements of the act and these regulations, by reason of the substantial investment of State revenue in each video lottery gaming facility, each video lottery gaming agent agrees upon acceptance of such agent’s license and operation certificate that for so long as the video lottery gaming facility is in operation, either by such agent, the commission or the commissions’ designee, the commission shall have unfettered access to the video lottery gaming facility to assure such facilities’ uninterrupted operation.

9 NYCRR 5115.2 - Standards for issuance

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)Each video lottery gaming agent, and/or such agent’s managing agent, responsible for the operation of a video lottery gaming facility shall obtain an operation certificate from the commission prior to conducting video lottery gaming in such facility and prior to opening such video lottery gaming facility to the public. The operation certificate may be amended from time to time as required.

(b)To obtain an operation certificate, each video lottery gaming agent shall establish to the satisfaction of the commission that:

(1)the video lottery gaming facility complies in all respects with the applicable requirements of the act and these regulations;

(2)the video lottery gaming licensee has implemented necessary internal control procedures for the safe and efficient operation of the video lottery gaming facility;

(3)the video lottery gaming agent and each of such agent’s principals has complied with the licensing provisions of these regulations;

(4)the commission has been provided proof that all employees are licensed for the performance of their respective responsibilities;

(5)the video lottery gaming facility is prepared in all respects to receive and entertain the public;

(6)the facility of the video lottery gaming agent has met or exceeded State and local fire and safety standards; and

(7)the video lottery gaming agent has provided certified payroll records establishing to the satisfaction of the commission that it has complied with the requirements of the act, if applicable.

(c)Each operation certificate granted by the commission to a video lottery gaming agent shall include, at a minimum, an itemized list of the authorized video lottery terminals, by identification number, that are permitted in the video lottery gaming facility; and a list of those areas specifically designated as restricted areas.

(d)As a condition to receiving such operation certificate, each video lottery gaming agent and/or such agent’s managing agent shall enter into such agreements with the commission as the commission deems necessary to protect the uninterrupted access and operation of the video lottery gaming facility.

9 NYCRR 5115.3 - Video lottery gaming facility

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)In addition to any other requirements required by the act or these regulations, in order to receive an operation certificate from the commission, the applicant for a video lottery gaming agent license must satisfy the commission that the proposed facility will have adequate support facilities as required by these regulations, as well as superior consumer amenities and conveniences comparable to other similar facilities in the industry that will encourage repeated player attendance.

(b)All video lottery gaming facilities shall provide sufficient alternate power sources to permit continued operation of the facility in case of the failure of primary power supplies.

(c)In the event the video lottery gaming agent proposes to conduct video lottery gaming, or to house an amenity thereto, in a temporary structure, and in addition to any other requirements required by these regulations for the commission to issue an operation certificate for such structure, the video lottery gaming agent must demonstrate to the satisfaction of the commission that conducting video lottery gaming, or housing such an amenity, in the proposed temporary structure will be to the economic benefit to the video lottery gaming facility.

(d)Each video lottery gaming facility shall include separate offices of sufficient size for use by the commission and otherwise built in accordance with specifications provided by the commission.

(e)The commission shall not approve the construction or alteration of any facility or building devoted to the operation or housing of video lottery gaming until the person or entity selected to operate such video lottery gaming shall have submitted to the commission a statement of the location of the proposed facility or building, together with a plan of such racetrack, and plans of all existing buildings, seating stands and other structures on the grounds of such racetrack, in such form as the commission may prescribe, and such plans shall have been approved by the commission. The commission, at the expense of the applicant, may order such engineering examination thereof as the commission may deem necessary. Such construction or alteration may be made only with the approval of the commission and after examination and inspection of the plans thereof and the issuance of a permit therefore by the commission.

9 NYCRR 5115.4 - Parking

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

Each video lottery gaming agent shall submit to the commission for review and approval a plan for parking at the video gaming facility that provides sufficient parking, in accordance with applicable State and Federal laws, rules and regulations.

9 NYCRR 5115.5 - Video lottery gaming floor and any restricted areas

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)Prior to the issuance of or an amendment to an operation certificate and the commencement of video lottery gaming, each video lottery gaming agent shall obtain commission approval for the physical floor plans of such agent’s video lottery gaming floor including any restricted areas, which floor plans shall be consistent with standards established by the commission. Without limitation, such floor plans shall illustrate proper surveillance coverage of all the mandatory activities. Any deficiency in surveillance coverage shall be rectified by the video lottery gaming agent prior to issuance of a certificate.

(b)Each physical video lottery gaming facility floor plan shall be drawn to one-eighth inch scale or such other scale approved in writing by the commission, shall be certified by an architect or other suitable professional licensed to practice in New York and shall depict, at a minimum, the location of the following:

(1)vault and main bank;

(2)cashiers’ cage and the component offices and areas of the cashiers’ cage;

(3)window at the cashiers’ cage, noting such window’s number;

(4)count room(s);

(5)delivery station;

(6)video lottery gaming self-redemption kiosk(s);

(7)coin redemption kiosk(s);

(8)automated teller machine(s);

(9)bill breakers;

(10)allocated space for the sale of other commission products;

(11)the precise space allotted for each video lottery terminal, site controller and associated equipment. The initial floor plan shall contain, at the minimum, the following information for each terminal:

(i)type of video lottery terminal, e.g., upright or slant top

(ii)the location of a player stool, if any;

(12)each satellite cage and the component offices and areas of each satellite cage;

(13)each other room or area that is accessible directly from the video lottery gaming floor;

(14)each other area or room as designated by the commission; and

(15)points of access to the horse racing track portion of the racing facility.

(c)The commission shall determine placement of video lottery terminal manufacturers, games, and game denominations within the physical floor plan provided by the video lottery gaming agent and shall manage subsequent revisions, in conjunction with the video lottery gaming agent, to the placement of video lottery terminal manufacturers, games and game denominations.

(d)The commission reserves the right to continually manage, revise, modify and upgrade the product mix plan, games, themes, play styles, denominations, and other related aspects of the video lottery terminals in order to optimize the overall marketability and terminal performance of video lottery gaming.

9 NYCRR 5115.6 - Movement of video lottery gaming terminals

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)Whenever a video lottery gaming agent proposes that video lottery terminals be moved within a video lottery gaming facility, the video lottery gaming agent shall first:

(1)obtain any amendment to such agent’s operation certificate required by the commission; and

(2)provide the commission and the appropriate video lottery gaming vendor with written notice at least five days prior to the scheduled movement. Under no circumstances shall terminals be moved until the commission has approved the relocation plans.

(b)Each written request submitted to the commission pursuant to this Part shall be authored by the video lottery gaming agent’s employee directly responsible for video lottery terminal(s) or such person’s designee and shall include:

(1)A computer-generated inventory listing each video lottery terminal, the present location of each video lottery terminal and the proposed location of each video lottery terminal.

(2)The date of request.

(3)The proposed date of relocation or removal.

(4)A written certification that all State safety and egress codes are adhered to.

(5)A written certification from the surveillance director or his/her designee that adequate closed circuit television coverage of each video lottery terminal is present.

(c)The number of each type of authorized game included in the video lottery gaming agent’s operation certificate or any approved amendments thereto shall be amended, upon the filing of an updated video lottery terminal master list, to conform to the correct number of each type of authorized game that is specified in the applicable list.

9 NYCRR 5115.7 - Removal of video lottery gaming equipment

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)When a video lottery terminal is temporarily removed from the video lottery gaming floor, video lottery terminal drop contents shall be protected in accordance with the approved internal control system to preclude the misappropriation of stored funds.

(b)When a video lottery terminal is permanently removed from the video lottery gaming floor, the video lottery terminal drop contents shall be counted and recorded by at least two employees, one of whom shall be a video lottery gaming count room employee, with appropriate documentation being routed to the accounting department for proper recording and accounting.

(c)Prior to the removal of a video lottery terminal from the video lottery gaming facility, prior written approval shall be obtained from the commission. Documentation providing the following shall be included for each removed video lottery terminal:

(1)manufacturer;

(2)serial number of video lottery terminal;

(3)video lottery terminal identification number.

9 NYCRR 5115.8 - Operation certificate; effective date; duration

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)Upon satisfaction of the requirements set forth in this Part, the commission shall establish the effective date of each operation certificate and authorize the video lottery gaming agent to commence operation of the video lottery gaming facility.

(b)Subject to the commission’s authority to revoke, suspend, limit or otherwise alter an operation certificate in accordance with the terms of the act and these regulations, each such certificate, once issued, shall remain in full force and effect indefinitely under such terms and conditions as the commission may impose, and shall not be altered, modified or amended except in accordance with the act and these regulations.

(c)The continued effectiveness of each operation certificate shall be a prerequisite for the video lottery gaming facility to which it applies to remain open to the public for the operation of video lottery gaming.

(d)Each video lottery gaming agent to which an operation certificate is issued shall operate such agent’s video lottery gaming facility strictly in accordance with the terms of such agent’s original operation certificate and the approved floor plans submitted in support thereof, and shall not change any of the items to which the operation certificate applies except in accordance with the act and these regulations and after obtaining any required amendments to such agent’s operation certificate.

9 NYCRR 5115.9 - Operation certificate; amendment to conform to approved changes

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)Each video lottery gaming agent shall serve on the commission, in a manner and in a format prescribed by the commission, an application to amend such agent’s operation certificate whenever the video lottery gaming agent proposes a physical change to the video lottery gaming facility or a restricted area that requires commission approval in order for such agent’s original operation certificate or any approved amendments thereto to continue in force and effect. The application for an amended certificate shall include, without limitation, the following:

(1)a revised video lottery gaming facility floor plan or restricted area reflecting the proposed change, which revised floor plan shall be submitted in a format approved in writing by the commission and filed therewith; and

(2)a statement from an architect or other suitable professional licensed to practice in New York certifying that the proposed change as presented will be in compliance with State building code and these regulations.

(b)The commission shall review the proposed change set forth in the application for an amended certificate or any amendments thereto for compliance with the act and these regulations and shall issue a determination and, if approved, notice to proceed, within a reasonable time after receipt of the application to amend.

(c)The video lottery gaming agent submitting an application to amend such agent’s operation certificate pursuant to subdivision (a) of this section shall notify the commission in writing within five days of final completion of any proposed change. A floor plan that depicts the actual changes made shall accompany the notice and be filed with the commission. Each such floor plan shall depict the change and shall include updates, based on the actual changes made, for each item required to be included in the application pursuant to subdivision (a) of this section and described in the notice; provided, however, that a floor plan of the entire video lottery gaming facility that depicts all changes proposed in the application and any amendment thereto shall accompany the notice of final completion.

(d)Promptly after the filing of a notice pursuant to subdivision (c) of this section, the commission shall inspect the physical changes actually made to the video lottery gaming facility to ensure that those changes conform to the floor plan accompanying the notice and the description previously submitted to the commission, as modified by any properly filed amendments thereto. Following such inspection, the commission shall notify the video lottery gaming agent in writing as to which physical change is approved and which is rejected, whereupon:

(1)The video lottery gaming agent, in the event any change is rejected, shall either:

(i)correct any rejected change to conform with the floor plan accompanying the notice and the description previously submitted to the commission, as modified by any properly filed amendments thereto, which correction shall be completed and inspected pursuant to this section;

(ii)submit for approval, pursuant to subdivision (a) of this section, a new application for the proposed change; or

(iii)take such other action as the commission may direct to ensure that the currently approved floor plan accurately depicts the physical layout of the video lottery gaming facility, including any restricted areas.

(2)The operation certificate shall be amended to conform to each inspected and approved physical change.

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