9 NYCRR Part 5118 - Executive Department

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Source version current through Nov 15, 2021

All 9 displayed sections in this Part carry the same compiled date. Status and warnings stay on each section.

9 NYCRR 5118.1 - General definitions, qualifications, restrictions, validations and regulations applying to video lottery gaming

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)Within a time period specified by the commission following the issuance of a winning voucher to a player by a video lottery terminal, the player may redeem such voucher at the video lottery gaming facility where the winning voucher was issued; thereafter the winning voucher may be redeemed only at a customer service center operated by the commission.

(b)All prizes evidenced by a voucher must be claimed within one year of the issuance of a voucher.

(c)Voucher responsibility.

(1)Vouchers are bearer instruments.

(2)Neither the commission nor the video lottery gaming agent shall be liable for payment of:

(i)lost or stolen vouchers;

(ii)vouchers claimed by a player in error for a lower prize;

(iii)vouchers that are not intact;

(iv)vouchers that are mutilated, altered, reconstituted, counterfeit in whole or in part, or tampered with in any manner, or mis-cut; or

(v)vouchers that have not been issued in an authorized manner, or are mis-registered, defective, or printed or produced in error.

(d)To be valid, a voucher must pass all additional confidential and security validation tests of the commission.

(e)Any voucher that does not conform to the requirements of this section shall be considered null and void.

(f)No video lottery gaming ticket shall be sold to or purchased by, and no video lottery gaming prize shall be paid to, any of the following persons:

(1)any officer or employee of the commission; or

(2)any principal or key employee, except as may be permitted by the commission for good cause shown; or

(3)any video lottery gaming or non-gaming employee at the video lottery gaming facility that employs such person and at any other video lottery gaming facility controlled by that agent; or

(4)any licensee, registrant, contractor, subcontractor, or consultant, or officer or employee of a contractor, subcontractor, licensee, registrant or consultant, if such person is directly involved in the operation of video lottery gaming, the operation or observation of video lottery gaming or drawings, or the processing of video lottery gaming prize claims or payments; or

(4)any person subject to a contract with the commission if such contract contains a provision prohibiting such person from purchasing a video lottery gaming ticket or receiving a video lottery gaming prize; or

(6)any spouse, child, brother, sister or parent residing as a member of the same household in the principal place of abode of any of the foregoing persons at the same video lottery facility or facilities where the foregoing person is prohibited from purchasing a video lottery gaming ticket or collecting a video lottery gaming prize. This section shall not be deemed to prohibit the sale of a video lottery gaming ticket or the payment of a video lottery gaming prize to an officer or employee of the commission or a video lottery gaming agent or to a contractor, subcontractor, or consultant or to an officer or employee of a contractor, subcontractor, or consultant if such sale or prize payment is not for the individual benefit of such person and is made in connection with an official investigation, audit, or other activity authorized by the commission;

(7)the restrictions of this subdivision shall not apply to an employee of a video lottery gaming agent that is not licensed by the commission;

(8)nothing in this section shall prohibit a video lottery gaming agent from establishing a policy that is stricter than the standards described in this subdivision.

(g)The commission may at any time, in the commission’s sole discretion, announce a termination date for any game, subsequently recommence any game, or extend termination or closing dates for any game. When a game is terminated, no further video lottery gaming tickets shall be sold.

(h)In purchasing a video lottery gaming ticket, the video lottery gaming player agrees to comply with and abide by all laws, these regulations, policies and procedures, and final decisions of the commission, as well as procedures established by the commission for the conduct of any game.

(i)No video lottery gaming agent may extend credit or financial assistance to permit the purchase of video lottery gaming tickets.

9 NYCRR 5118.2 - Display of rules of play

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 terminal vendor shall be responsible for displaying the rules of play for a video lottery terminal on the face or screen of the video lottery terminal or be capable of such display at the player’s option through use of an easily-accessible “help” screen.

(b)The rules of play for a particular video lottery terminal game shall be evaluated and approved by the commission. The commission may reject the rules if it is determined that the rules are incomplete, conflicting, confusing, or misleading.

(c)The rules of play for a particular video lottery terminal game shall not be altered without prior approval of the commission.

(d)Stickers or other removable devices shall not be placed on the face of the video lottery terminal unless their placement is approved in writing or required by the commission.

9 NYCRR 5118.3 - Credit redemption

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)Available credits may be collected through the printing of a voucher from the video lottery terminal by the player pressing the appropriate button at any time other than when:

(1)a game is being played;

(2)the terminal is in audit mode;

(3)any door is open;

(4)the terminal is in test mode;

(5)a meter incrementation is in progress, unless the entire amount is recorded on the meters when the collect button is pressed; or

(6)there is an error condition.

(b)When any prize won at a video lottery terminal exceeds the threshold for reportable lottery winnings established by the Internal Revenue Service, the video lottery terminal shall print a voucher that shall only be redeemable at an attended validation terminal. The attendant at such validation terminal shall obtain personal identifying information from the prize winner for tax reporting purposes.

(c)When any prize won at a video lottery terminal exceeds $2,000, or such other amount determined and published by the commission, the video lottery terminal shall enter a lock up state and an attendant shall be called to verify, initiate and witness the printing of the voucher and shall document same.

9 NYCRR 5118.4 - Validation of vouchers

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

Validation and payment by voucher as a method of credit redemption shall be permissible only by a commission approved device that is linked to the central system that permits validation of such voucher. Validation approval or related information shall be generated by the central system in order to validate tickets. Vouchers may be validated only at locations approved in writing by the commission.

(a)A prize form shall be filed in the name of a single legal entity as claimant, either one individual or one organization. Multiple payees are not permitted, except as may be authorized pursuant to subdivision (c) of this section.

(b)If a claim is erroneously entered with multiple claimants, the claimants shall designate one of them as the individual recipient of the prize, or, if such claimants fail to designate an individual recipient, the commission may designate any one of the claimants as the sole recipient. In either case, the claim shall then be considered as if such claim were originally entered in the name of the designated individual and payment of any prizes won shall be made to that single individual.

(c)Under exceptional circumstances, payment may be made to multiple payees at the discretion of the commission.

9 NYCRR 5118.5 - Discharge of State liability upon payment

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

The State and the State’s agents, officers, employees, the commission and the commission’s agents, officers and employees and video lottery gaming agents and their agents, officers, employees shall all be discharged of any and all liability upon payment of a prize.

9 NYCRR 5118.6 - Testing and certification of video lottery gaming systems

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021
Related Register notice: SGC-23-16-00014-A · Adopted rule
Related notice published: Aug 10, 2016
Related notice effective date: Aug 10, 2016

The central system, video lottery terminals and associated equipment used in the conduct of video lottery gaming, or a prototype thereof, shall be tested and approved in a manner consistent with Part 5318 of this Chapter as if a video lottery gaming agent were a gaming facility licensee and as if a vendor were a licensed casino vendor enterprise.

9 NYCRR 5118.7 - Maintenance, repair and servicing of video lottery terminals

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)The video lottery gaming vendor shall not alter the operation of any approved video lottery terminal or associated equipment and shall ensure that each video lottery terminal and associated equipment is maintained in proper working condition.

(b)Only the following persons may service or repair a video lottery terminal or associated equipment:

(1)a duly licensed video lottery gaming vendor;

(2)a licensed employee of a video lottery gaming vendor;

(3)a licensed technician certified by a video lottery gaming vendor; or

(4)a licensed employee of a video lottery gaming agent who may be assigned to clean the exterior of the video lottery terminal, to reload printer paper and ink, and to clear bill acceptor jams.

(c)It shall be the ongoing duty of each video lottery gaming vendor to maintain and provide an inventory of spare parts to assure the timely repair and continued, approved operation and play of video lottery terminals. Each video lottery gaming vendor shall provide to the commission, if requested, appropriate technical assistance and training in the service and repair of such vendor’s video lottery terminals and associated equipment so as to ensure the continued, approved operation and play of those video lottery terminals.

(d)Each video lottery gaming vendor shall immediately notify the commission of any recurring video lottery terminal malfunction or other problem experienced with approved video lottery terminals.

(e)Each video lottery gaming vendor must maintain a certification program for the purpose of training and certifying technicians to service and repair video lottery terminals manufactured by such vendor. Upon request, such vendor shall provide evidence of such program to the commission, including a full description of the program, models of video lottery terminals for which training is provided, criteria for certification, information concerning instructor qualifications, and copies of training materials and tests. Any program deemed insufficient by the commission shall be modified upon request.

(f)Each video lottery gaming vendor shall ensure that such vendor’s technicians have received sufficient and appropriate training in the service and repair of each of such vendor’s approved video lottery terminal models before any video lottery terminal may be placed in operation in the video lottery gaming facility.

(g)Each video lottery gaming vendor that certifies other persons as technicians shall ensure that such technicians have received sufficient and appropriate training in the service and repair of the approved video lottery terminals to be operated by the video lottery gaming agents, or to be distributed by a licensed video lottery gaming vendor employing the technician. Such training shall meet the requirements of subdivision (e) of this section.

(h)Upon request of the commission, a certified technician, or a video lottery gaming vendor employing the technician, shall provide proof satisfactory to the commission of the technician’s certification, in accordance with subdivision (e) of this section.

(i)The video lottery gaming vendor shall ensure that all service and repairs on such vendor’s video lottery terminals, including the installation or repair of component parts such as bill acceptors, monitoring systems, or other parts that may alter the current or subsequent operation of a video lottery terminal, are made correctly and in compliance with these standards and any additional commission requirements.

(j)Except for certified technicians, as defined herein, no employee of the video lottery gaming agent or any other person may perform service on or repair any video lottery terminal or associated equipment other than incidental maintenance repairs that cannot affect any of the video lottery terminals’ major systems or require that the person performing the service or making the repair access any internal space within a video lottery terminal or any of such terminal’s associated equipment.

(k)The exterior door keys shall be issued, on a per shift basis, only to personnel qualified under subdivision (b) of this section to maintain the terminals. When exterior door keys are not in use, they shall be maintained in a locked box designed for the purpose of securing the keys, access to which shall be controlled and maintained by the department identified in the approved internal control system.

(l)Each video lottery gaming vendor shall maintain a written maintenance log inside the main cabinet access area of each video lottery terminal. Every person who gains entry into any internal space of a video lottery terminal for performing physical maintenance or repair must sign the maintenance log, record their employee license, indicate the date and time of entry and list all areas inspected, repaired or serviced. Such vendor(s) shall retain the maintenance log for a period of five years and shall make the maintenance log immediately available to the commission upon request.

9 NYCRR 5118.8 - Inventory storage

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 allow each video lottery gaming vendor access to a secure area for the inventory storage of terminal parts. Inventory and replacement parts may be maintained off premises within the State at an approved location. The location of this secured area is subject to the approval of the commission.

9 NYCRR 5118.9 - Hours of operation

A matched Register action is not later than the compiled-text reference date.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021
Related Register notice: SGC-29-21-00010-A · Adopted rule
Related notice published: Nov 24, 2021
Related notice effective date: Nov 24, 2021

The hours of operation of video lottery gaming at all licensed video lottery gaming facility locations shall be 20 consecutive hours per day, unless otherwise approved by the commission in writing after a video gaming agent applies for an exception at least 60 days in advance of a proposed change. In no event shall video lottery gaming be conducted past the time set forth in Tax Law section 1617-a(e). Public access to the video lottery gaming floor must be restricted at all times video lottery gaming is not in operation. The failure of the video lottery gaming agent to comply with the hours of operation set forth in this section shall be a violation of these regulations.

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