9 NYCRR Part 5313 - 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 5313.1 - System of internal control

Source version current through Mar 31, 2022

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: Mar 31, 2022
Related Register notice: SGC-19-16-00014-A · Adopted rule
Related notice published: Jul 20, 2016
Related notice effective date: Jul 20, 2016

(a)Consistent with Racing, Pari-Mutuel Wagering and Breeding Law section 1334, a gaming facility licensee shall submit to the commission a written description of its initial system of administrative and accounting procedures, including its internal control systems and audit protocols, at least 60 days prior to the projected date of issuance of an operation certificate unless otherwise approved in writing by the commission. A written system of internal controls shall include, without limitation:

(1)organization charts depicting segregation of functions and responsibilities;

(2)a description of the duties and responsibilities of each position shown on the organization charts and the respective lines of authority for each;

(3)a detailed narrative description of the administrative and accounting procedures designed to satisfy the requirements of this Part;

(4)a record retention policy relating to retention, storage and destruction of books, records and documents, as required by section 5313.10 of this Part;

(5)procedures to ensure that assets are safeguarded and counted in conformance with count procedures as set forth in this Title;

(6)procedures governing the conduct of all gaming-related promotions to be offered;

(7)procedures to ensure that the gaming facility licensee's employees comply with licensing or registration requirements;

(8)other items the commission may request in writing to be included in such gaming facility’s internal controls;

(9)administrative controls that include the procedures and records that relate to the decision-making processes leading to management's authorization of transactions;

(10)accounting controls that safeguard assets and revenues and ensure the reliability of financial records. Such accounting controls must be designed to provide reasonable assurance that:

(i)transactions or financial events that occur in the operation of a slot machine or table game are executed in accordance with management's general and specific authorization;

(ii)transactions or financial events that occur in the operation of a slot machine or table game are recorded as necessary to permit preparation of financial statements in conformity with generally accepted accounting principles in the United States, article 13 of the Racing, Pari-Mutuel Wagering and Breeding Law and this Title;

(iii)transactions or financial events that occur in the operation of gaming are recorded in a manner that provides reliable records, accounts and reports, including the recording of cash and evidences of indebtedness, for use in the preparation of reports to the commission;

(iv)transactions or financial events that occur in the operation of gaming are recorded to ensure accountability for assets and to permit the proper and timely reporting of gaming revenue, fees and taxes;

(v)access to assets is permitted only in accordance with management's general and specific authorization; and

(vi)the recorded accountability for assets is compared with existing physical assets at reasonable intervals and that appropriate action is taken with respect to any discrepancies;

(11)procedures and controls for ensuring that each slot machine and electronic table game directly provides and communicates all required activities and financial details to the online monitoring and accounting system;

(12)procedures and controls for ensuring that all functions, duties and responsibilities are segregated and performed in accordance with sound financial practices by qualified personnel; and

(13)procedures and controls for ensuring, through the use of surveillance and security departments, that the gaming facility is secure during normal operations and during any emergencies due to malfunctioning equipment, loss of power, natural disaster or any other cause.

(b)An internal control systems submission shall be accompanied by an attestation by the gaming facility’s chief executive officer or other delegated person with a direct reporting relationship to the chief executive officer attesting that the signatory believes, in good faith, that the submitted internal controls:

(1)conform to the requirements of article 13 of the Racing, Pari-Mutuel Wagering and Breeding Law and this Title; and

(2)are designed to provide reasonable assurance that the financial reporting conforms to generally accepted accounting principles in the United States and complies with applicable laws and regulations, including article 13 of the Racing, Pari-Mutuel Wagering and Breeding Law and this Title.

(c)An initial internal controls submission also shall be accompanied by a report from an independent certified public accounting firm that is in good standing with the New York State board for accountancy or with the state board for accountancy where such firm is licensed. Such report should express an opinion as to the suitability of the design of the submitted system of internal controls over financial reporting in accordance with the requirements of subdivision (a) of this section.

(d)The commission will review each initial submission made under subdivision (a) of this section and determine whether such submission conforms to the requirements of article 13 of the Racing, Pari-Mutuel Wagering and Breeding Law and this Title and provides adequate and effective controls to ensure the integrity of the operation of gaming at a gaming facility. If the commission determines that the submission is deficient in any area, the commission will provide written notice of the deficiency to the gaming facility licensee and allow the gaming facility licensee to submit a revision to such submission.

(e)A gaming facility licensee shall submit to the commission any proposed amendment to such licensee’s approved system of internal controls. Such gaming facility licensee may implement such proposed amendment on the 30th calendar day following the filing of a complete submission, unless the commission rejects such proposed amendment in writing or tolls such 30-day period pursuant of subdivision (f) of this section.

(f)If, during a 30-day review period set forth in subdivision (e) or (g) of this section, the commission preliminarily determines that a procedure or omission in a submission is likely to affect negatively the integrity of gaming operations or the control of revenue, the commission shall, by written notice to the gaming facility licensee:

(1)specify the nature of the commission’s objection and, when possible, suggest an acceptable alternative procedure; and

(2)direct that the 30-calendar-day review period set forth in subdivision (e) of this section be tolled and that any proposed internal control amendments not be implemented until approved pursuant to subdivision (g) of this section.

(g)When the commission tolls a proposed amendment pursuant to subdivision (f) of this section, the gaming facility licensee may submit a revised amendment within 30 days of receipt of the written notice from the commission. Such gaming facility licensee may implement a revised amendment upon receipt of written notice of approval from the commission or on the 30th calendar day following the filing of the revision, unless the commission rejects such proposed amendment in writing or tolls such 30-day period pursuant of subdivision (f) of this section.

(h)Each gaming facility licensee shall maintain a current version of such gaming facility licensee’s internal controls in electronic form available through secure computer access to the accounting and surveillance departments of such gaming facility licensee and to commission staff at such gaming facility. Each page of such internal controls document shall indicate the date on which the commission approved such page. Each gaming facility licensee also shall maintain, for a minimum of five years, a copy, either in paper or electronic form, of:

(1)any superseded internal control procedures; and

(2)the original, signed attestation required by subdivision (b) of this section.

9 NYCRR 5313.2 - Age for gaming participation; signage; responsibilities

Source version current through Mar 31, 2022

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: Mar 31, 2022
Related Register notice: SGC-19-16-00014-A · Adopted rule
Related notice published: Jul 20, 2016
Related notice effective date: Jul 20, 2016

(a)To effectuate compliance with Racing, Pari-Mutuel Wagering and Breeding Law section 1332(1), each gaming facility licensee shall post appropriate security personnel at any location in the facility that allows access to the gaming floor.

(b)A gaming facility licensee shall post signs that include a statement that is similar to the following: “It is unlawful for any individual under 21 years of age to enter or remain in any area where gaming is conducted. It is unlawful for any individual under 21 years of age to wager, play or attempt to play a slot machine or table game. Individuals violating this prohibition will be removed and may be subject to arrest and criminal prosecution.” Such signs shall be posted prominently at each entrance and exit of the gaming floor.

(c)A gaming facility licensee shall identify and remove any person who is under 21 years of age and not otherwise authorized by law to be on the gaming floor and immediately notify onsite commission staff when a person under 21 years of age is discovered on the gaming floor, in areas off the gaming floor where gaming activity is conducted or engaging in gaming-related activities.

(d)A gaming facility licensee shall not allow or permit any person who is under 21 years of age to:

(1)participate as a player at any game in such gaming facility;

(2)receive any complimentary services or items as a result of, or in anticipation of, such individual’s gaming activity;

(3)be present on the gaming floor without the escort of a licensed gaming facility employee and for longer than necessary to reach a destination that is not on the gaming floor; or

(4)make any wager at any such gaming facility.

(e)The commission shall penalize a gaming facility licensee found to have violated paragraph (d)(3) of this section as follows:

(1)for a first violation, a fine of $1,000;

(2)for a second violation within one year of a violation, a fine of $5,000;

(3)for a third violation within one year of a violation, a fine of $10,000; and

(4)for a fourth violation or subsequent violation within one year of a violation, a fine of $25,000 and such further action as the commission may deem appropriate, which may include without limitation the suspension or revocation of the occupational license of any key employee found to be responsible for the violation.

(f)The commission shall penalize a gaming facility licensee found to have violated paragraph (d)(4) of this section as follows:

(1)for a first violation, a fine of $5,000;

(2)for a second violation within one year of a violation, a fine of $20,000;

(3)for a third violation within one year of a violation, a fine of $25,000; and

(g)A gaming facility licensee shall implement procedures that ensure that persons less than 21 years of age do not receive junket solicitations, targeted mailing, telemarketing promotions, player club membership materials or other promotional materials relating to gaming activities.

9 NYCRR 5313.3 - Hours of operation

Source version current through Nov 15, 2021

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-19-16-00014-A · Adopted rule
Related notice published: Jul 20, 2016
Related notice effective date: Jul 20, 2016

(a)A change in scheduled hours of operation of a gaming facility means a change in scheduled hours effected pursuant to the requirements of Racing, Pari-Mutuel Wagering and Breeding Law section 1333(2).

(b)An alteration in scheduled hours of operation of a gaming facility means a temporary deviation from established hours of operation, as contemplated by Racing, Pari-Mutuel Wagering and Breeding Law section 1333(3). A gaming facility licensee proposing an alteration of scheduled hours of operation must do so in writing to the commission at least 30 days prior to the effective date of the proposed alteration, and no such alteration shall be permitted absent prior approval by the commission; provided, however, that the commission may shorten or waive the prior notice and prior approval requirements if extraordinary circumstances exist, in the judgment of the commission.

(c)If a gaming facility is required to close during normal business hours due to an emergency, such facility shall notify the commission as soon as practicable.

9 NYCRR 5313.4 - Facility accessibility

Source version current through Nov 15, 2021

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-19-16-00014-A · Adopted rule
Related notice published: Jul 20, 2016
Related notice effective date: Jul 20, 2016

(a)Consistent with the requirements of Title III of the Americans with Disabilities Act of 1990 (42 U.S.C. sections 12181-12189) and regulations promulgated thereunder (referred to in this section, collectively, as the ADA), each gaming facility licensee that is a public accommodation as defined in the ADA shall comply with Federal law pertaining to ensuring that individuals with disabilities are provided an equal opportunity to participate in or benefit from such licensee’s goods and services. To accomplish these objectives, such gaming facility licensee’s internal control system shall ensure ongoing ADA compliance, including, at a minimum:

(1)designation of or hiring an ADA compliance officer who, within 90 days of designation or hire, shall undergo training, at such gaming facility licensee’s expense, in regard to the requirements of title III of the ADA. The ADA compliance officer shall be responsible for handling, among other things, any disability-related complaints from patrons and guests of the gaming facility;

(2)training of all first-line supervisors and managers, within 90 days of hire, on title III of the ADA as such law applies to a gaming facility and on the obligations to ensure that all guests with disabilities are afforded an equal opportunity to participate in the services, facilities and activities offered at the gaming facility; and

(3)development of an ADA-complaint resolution policy to address ADA-related complaints by patrons and guests of such gaming facility and provide a copy of such policy to the commission for review and input. Such policy shall identify the ADA compliance officer and the process by which complaints will be investigated and resolved. Such gaming facility licensee shall implement such policy within 60 days of receiving and implementing the commission’s comments.

(b)Each gaming facility licensee shall report annually to the commission in regard to such licensee’s ADA practices, including any complaints received and their resolution, any policies adopted and any training of employees that occurred (by date and the content of training). The commission may order such corrective or remedial action as the commission may deem necessary or advisable for a gaming facility licensee to undertake.

(c)The facility licensee shall also provide to the commission annually any research, proposed practices or practices implemented with regard to accommodations for disabled persons gaming within the facility.

9 NYCRR 5313.5 - Access badges and temporary access credentials

Source version current through Nov 15, 2021

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-19-16-00014-A · Adopted rule
Related notice published: Jul 20, 2016
Related notice effective date: Jul 20, 2016

(a)A gaming facility licensee shall develop an access control matrix indicating the restricted areas in a licensed facility to which each employee, and each employee of a vendor or any other authorized person has access in accordance with such person’s job description. Access to restricted areas by a gaming facility employee or vendor employee shall be limited to the restricted areas to which such employee needs access in the course of the performance of such employee's normal duties listed in such employee's job description.

(b)A gaming facility licensee shall adopt an access badge system consisting of a badge that contains an employee's name, picture and identifying code that indicates such employee’s title and/or job function.

(c)A gaming facility licensee shall prepare and maintain internal control procedures for:

(1)issuance of access badges for employees, vendor employees and other non-employees permitted to have access to one or more restricted areas and issuance of replacement access badges when a badge is misplaced, stolen, forgotten, damaged, not functioning or obsolete;

(2)issuance of temporary identification credentials to employees, vendor employees and other non-employees; and

(3)collection of such access badges or credentials when an employee, vendor employee or other non-employee has been suspended or discharged or when an employee’s employment has been terminated.

(d)Each gaming facility employee shall be required to wear an access badge in a location visible to guests, surveillance cameras and security personnel at all times while working in a gaming facility.

(e)A complete listing of badge records, including without limitation the name of each badge recipient, employment position, badge number and assigned employment and access level shall be provided to the commission or the commission’s designees prior to the issuance of a gaming facility’s operation certificate. All additions, deletions and changes to such initial listing shall be provided to the commission or the commission’s designees at a frequency that the commission may direct.

(f)Commission employees or designees shall have immediate, unfettered access to restricted areas during the performance of their respective duties and responsibilities.

9 NYCRR 5313.6 - Licensee leases and contracts

Source version current through Nov 15, 2021

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-19-16-00014-A · Adopted rule
Related notice published: Jul 20, 2016
Related notice effective date: Jul 20, 2016

(a)Consistent with Racing, Pari-Mutuel Wagering and Breeding Law section 1341, each gaming facility applicant or licensee shall maintain a record of each written or unwritten agreement in regard to the realty, construction, maintenance or business of a proposed or existing gaming facility or related facility, without regard to whether such gaming facility applicant or licensee is a party to such agreement.

(b)The commission may review any agreement described in subdivision (a) of this section on the basis of the reasonableness of its terms, including the terms of compensation, and of the qualifications of the owners, officers, employees and directors of any enterprise involved in the agreement.

(c)If the commission disapproves of such an agreement or of the owners, officers, employees or directors of any enterprise involved in such agreement, the commission may require termination of such agreement.

9 NYCRR 5313.7 - Emergency procedures

Source version current through Nov 15, 2021

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-19-16-00014-A · Adopted rule
Related notice published: Jul 20, 2016
Related notice effective date: Jul 20, 2016

(a)A gaming facility licensee shall submit to the commission, the New York State police, local police department and the local fire department, no less than 90 days before the issuance of an operation certificate, an emergency action plan for the response to, and management of, fire, medical emergencies, loss of power, critical system and/or equipment failures, including without limitation surveillance and accounting, and natural disasters in all areas of the gaming facility and ancillary developments.

(b)Such plan shall include procedures for notification of the New York State Police, local police department, the local fire department or emergency medical personnel, and procedures for expedited and unimpeded access of the personnel into all areas of the gaming facility or ancillary developments in the event of a fire, medical or other emergency.

(c)Such plan shall also include a proposed inspection schedule allowing the New York State Police, local police department and local fire department personnel to inspect all areas of the gaming facility and ancillary developments for compliance with applicable fire and emergency laws, codes and ordinances.

9 NYCRR 5313.8 - Operation certificate

Source version current through Mar 31, 2022

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: Mar 31, 2022
Related Register notice: SGC-19-16-00014-A · Adopted rule
Related notice published: Jul 20, 2016
Related notice effective date: Jul 20, 2016

(a)A gaming facility licensee may not open a gaming facility for business or begin gaming operations until the commission has issued a valid operation certificate in accordance with the requirements of Racing, Pari-Mutuel Wagering and Breeding Law section 1331.

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

(1)gaming facility complies in all respects with the applicable requirements of article 13 of the Racing, Pari-Mutuel Wagering and Breeding Law and this Title;

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

(3)gaming facility has complied with the licensing provisions of this Title;

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

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

(6)gaming facility meets or exceeds State and local fire and safety standards; and

(7)gaming facility has provided payroll records that establish to the satisfaction of the commission that it has complied with the requirements of article 13 of the Racing, Pari-Mutuel Wagering and Breeding Law, if applicable. Such payroll records shall be accompanied by an attestation by the gaming facility’s chief executive officer or other delegated person as to their accuracy.

(c)Subject to the commission’s authority to revoke, suspend, limit or otherwise alter an operation certificate, each such certificate, once issued, shall remain in full force and effect for so long as the licensee holding such certificate remains licensed, under such terms and conditions as the commission may impose. Such operation certificate shall not be altered, modified or amended except in accordance with article 13 of the Racing, Pari-Mutuel Wagering and Breeding Law and this Title.

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

(e)Each gaming facility licensee to which an operation certificate is issued shall operate such licensee’s gaming facility strictly in accordance with the terms of such licensee’s original operation certificate and the approved gaming floor layout submitted in support thereof, and shall not change any of the items to which the operation certificate applies, except in accordance with article 13 of the Racing, Pari-Mutuel Wagering and Breeding Law and this Title and after obtaining any required amendments to such operation certificate. Nothing in this subdivision shall prevent a gaming facility licensee from moving or reconfiguring gaming devices within the approved gaming floor layout provided the commission is notified of such change in writing at least five business days in advance of implementation and that such change is in compliance with State building code and this Title.

(f)Whenever a gaming facility licensee proposes a physical change to such licensee’s gaming facility or to a restricted area that requires commission approval in order for such licensee’s original operation certificate, or any approved amendments to such operation certificate, to continue in force and effect, such gaming facility licensee must submit an application for amended operation certificate, the form of which the commission shall provide to the applicant upon request. Such application shall include, without limitation, the following:

(1)a revised gaming floor layout reflecting the proposed change, in which the revised plan shall be submitted in a format approved in writing by the commission and filed with such application; and

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

(g)The commission shall review any proposed change for compliance with article 13 of the Racing, Pari-Mutuel Wagering and Breeding Law and this Title and shall issue a determination and, if approved, notice to proceed, within a reasonable time after receipt of the application for amended operation certificate.

(h)Upon receipt of the notice to proceed, the gaming facility licensee shall complete the changes outlined in the application for amended operation certificate and notify the commission in writing within five days of final completion of any proposed change. A gaming floor layout that depicts the actual changes made shall accompany the notice of final completion and be filed with the commission. Each such gaming floor layout shall depict the change and shall include updates, based on the actual changes made, for each item required to be included in the application for amended operation certificate pursuant to subdivision (f) of this section and described in the notice to proceed; provided, however, that a floor plan of the entire gaming facility that depicts all changes proposed in the application for amended operation certificate and any amendment thereto shall accompany the notice of final completion.

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

(1)the gaming facility licensee, in the event any change is rejected, shall either:

(i)correct any rejected change to conform with the floor plan accompanying the notice of final completion 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 (f) of this section, a new application for amended operation certificate; or

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

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

(j)An operation certificate shall be revoked, suspended or limited by the commission if the commission initiates disciplinary action against the gaming facility licensee and determines that the gaming facility licensee is in violation of article 13 of the Racing, Pari-Mutuel Wagering and Breeding Law or this Title or that the commission’s action is in the best interests of the State and reasonably necessary and appropriate to protect and enhance the credibility and integrity of commercial gaming operations in this State.

9 NYCRR 5313.9 - Firearms

Source version current through Nov 15, 2021

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-19-16-00014-A · Adopted rule
Related notice published: Jul 20, 2016
Related notice effective date: Jul 20, 2016

(a)No person shall possess, or be permitted to possess, any firearm within a gaming facility without the prior express written consent of the commission, except any on-duty officer or agent of any local, State or Federal law enforcement agency, when such officer or agent is acting in an official capacity.

(b)The gaming facility licensee shall post in a conspicuous location at every entrance to the gaming facility a sign stating: “No Person Shall Possess Any Firearm Within This Facility.”

9 NYCRR 5313.10 - Retention, storage and destruction of books, records and documents

Source version current through Nov 15, 2021

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-19-16-00014-A · Adopted rule
Related notice published: Jul 20, 2016
Related notice effective date: Jul 20, 2016

(a)For the purposes of this section, books, records and documents means any book, record or document pertaining to, prepared in or generated by the operation of a gaming facility licensee, including all forms, reports, accounting records, ledgers, subsidiary records, computer-generated data, internal audit records, correspondence and personnel records required to be generated and maintained (excluding physical tickets generated by slot machines as long as an electronic record of each ticket printed is maintained within the slot management system). This definition applies without regard to the medium through which the record is generated or maintained (e.g., paper, magnetic media or encoded disk.

(b)Original books, records and documents pertaining to the operation of a gaming facility licensee shall be:

(1)prepared and maintained in a complete, accurate and legible form. Electronic data shall be stored in a format that ensures readability, without regard to whether the technology or software that created or maintained such data has become obsolete;

(2)retained in a secure location in the gaming facility that is equipped with a fire suppression system or at another location approved pursuant to subdivision (d) of this section;

(3)made available for inspection by the commission and the commission’s designees during all hours of operation;

(4)organized and indexed in a manner to provide immediate accessibility to the commission and the commission’s designees; and

(5)destroyed only after expiration of the minimum retention period specified in subdivision (c) of this section, except that the commission may, upon the written request of a gaming facility licensee and for good cause shown, permit destruction at an earlier date.

(c)Unless otherwise authorized by article 13 of the Racing, Pari-Mutuel Wagering and Breeding Law or this Title, all original books, records and documents shall be retained in accordance with a retention schedule annually issued by the commission. Nothing herein shall be construed as relieving a gaming facility licensee from meeting any obligation to maintain any book, record, or document required by any other Federal, State or local; governmental body authority, or agency.

(d)The commission may approve, upon the written request of a gaming facility licensee, a location outside the gaming facility to store original books, records and documents. Such request shall include the following:

(1)a detailed description of the proposed location, including security and fire suppression systems; and

(2)the procedures under which the commission and the commission’s designees will be able to gain access to the retained original books, records and documents.

(e)The commission may approve, upon the written request of a gaming facility licensee a microfilm, microfiche or other suitable media system for the copying and storage of original books, records and documents. Such request shall include representations in regard to the:

(1)processing, preservation and maintenance methods that will be employed to ensure that the books, records and documents are available in a format that makes such material readily available for review and copying;

(2)inspection and quality control methods that will be employed to ensure that microfilm, microfiche or other media, when displayed on a reader or viewer or reproduced on paper, exhibits a high degree of legibility and readability;

(3)availability of a reader or printer for use by the commission and the commission’s designee at such licensed facility or other location approved by the commission and the readiness with which the books, records or documents being stored on microfilm, microfiche or other media can be located, read and reproduced; and

(4)availability of a detailed index of all microforms or other stored data maintained and arranged in a manner to permit the immediate location of any particular book, record or document.

9 NYCRR 5313.11 - Key control

Source version current through Nov 15, 2021

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-19-16-00014-A · Adopted rule
Related notice published: Jul 20, 2016
Related notice effective date: Jul 20, 2016

(a)Any key that is considered sensitive and is required to be controlled and maintained and any corresponding locking device shall be approved by the commission. Such keys shall be legally duplicated only by the manufacturer, or the manufacturer’s designee, and shall be capable of unlocking the locking device on no more than one type of secure box, compartment or location used or maintained within the gaming facility. Nothing in this subdivision shall preclude the commission from exempting a type of secure box, compartment or location from the requirements of this subdivision upon a determination that the security of such box, compartment or location would not otherwise be compromised.

(b)As approved by the commission, sensitive keys shall include, without limitation, the following:

(1)table drop box contents keys;

(2)table drop box release keys;

(3)table drop box trolley keys;

(4)slot machine keys;

(5)count room entrance keys;

(6)locations housing a computer that controls a progressive payout wager system for table games offering a progressive payout wager;

(7)storage cabinets or trolleys for unattached table drop boxes;

(8)float keys; and

(9)pit podium keys.

(c)A gaming facility licensee shall establish key control procedures for any sensitive key as approved by the commission. Such procedures shall provide for, at a minimum, the following:

(1)the maintenance of perpetual inventory records and the physical inventory of all sensitive keys by an independent department;

(2)the requisitioning of keys and locking devices from vendors; and

(3)the security and restrictions that control access to keys, whether manually or through an electronic system, and records and reports generated or prepared.

9 NYCRR 5313.12 - Facial recognition

Source version current through Nov 15, 2021

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-19-16-00014-A · Adopted rule
Related notice published: Jul 20, 2016
Related notice effective date: Jul 20, 2016

The commission may require a gaming facility licensee to install security and surveillance equipment where any chips, tokens, tickets, electronic cards or similar objects can be redeemed for cash, whether by a gaming employee or by electronic means, that must capture, for law enforcement purposes, facial feature pattern characteristics, including a computerized facial image. Such system must be able to compare a photograph or image of one or more persons to live or recorded video in order to determine if such person is or has been in the facility.

9 NYCRR 5313.13 - License plate recognition

Source version current through Nov 15, 2021

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-19-16-00014-A · Adopted rule
Related notice published: Jul 20, 2016
Related notice effective date: Jul 20, 2016

The commission may require a gaming facility licensee to install security and surveillance equipment in garages and parking lots to capture a vehicle license plate. Such system must be able to include the time, color image and the vehicle’s license plate number.

9 NYCRR 5313.14 - Limitation on certain financial access

Source version current through Nov 15, 2021

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-19-16-00014-A · Adopted rule
Related notice published: Jul 20, 2016
Related notice effective date: Jul 20, 2016

(a)Automated teller machines shall be prohibited from accepting electronic benefit cards, debit cards or similar negotiable instruments issued by the State or political subdivisions of the State for the purpose of accessing temporary public assistance, as required by Racing, Pari-Mutuel Wagering and Breeding Law section 1338(2).

(b)An automated teller machine shall have a label on the top and front that displays a unique identification number. Each such label shall have a color combination approved by the commission that is easily visible to the gaming facility’s surveillance department and that may not be easily removed. The label on the top of each automated teller machine shall be at least 1½ inches by 5½ inches and the label on the front of each automated teller machine shall be at least 1 inch by 2½ inches.

(c)A gaming facility may use an automated teller machine that also contains an automated gaming voucher redemption machine, an automated coupon redemption machine or bill breaker, provided that such machine complies with the requirements in regard to such gaming facility’s automated gaming voucher and coupon redemption machine accounting controls.

(d)The use of credit cards, debit cards, similar devices and instruments described in subdivision (a) of this section are prohibited in slot machines or at table games, as required by Racing, Pari-Mutuel Wagering and Breeding Law section 1338(3).

(e)The proximity of an automated teller machine to a slot machine or table game that is on a gaming floor is subject to the following limitations:

(1)no automated teller machine may be placed closer than five feet to a slot machine or table game; and

(2)there may be no more than one automated teller machine for every 100 slot machines and table game seats.

(f)Exclusive of transaction fees or surcharges, the maximum amount that a player may withdraw from an account by using an automated teller machine located on a gaming floor shall be no more than $3,500 per calendar day.

(g)No gaming facility is permitted to cash a paycheck from a patron, as required by Racing, Pari-Mutuel Wagering and Breeding Law section 1338(4).

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