9 NYCRR Part 5314 - 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 5314.1 - Surveillance plan of operation; approval; plan amendment

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-19-16-00013-A · Adopted rule
Related notice published: Jul 20, 2016
Related notice effective date: Jul 20, 2016

(a)A gaming facility licensee shall not be permitted to commence operations until the commission has approved in writing such licensee’s surveillance plan of operation. Such plan shall be submitted for commission review no later than 60 days prior to the expected date of issuance of such gaming facility’s operation certificate.

(b)A surveillance plan of operation shall detail the:

(1)surveillance system and equipment used;

(2)placement of all surveillance equipment in the gaming facility; and

(3)staffing necessary to provide for the continuous monitoring of activities inside and outside the licensed facility taking into account the size and layout of the facility as well as the number and location of gaming devices on the gaming floor.

Such plan also shall address any planned shutdown of the surveillance system and any equipment failure that affects the surveillance room or any other equipment that may hinder the appropriate execution of surveillance functions and provide for an emergency contact listing with telephone numbers for persons required to be notified of any such event.

(c)The commission shall review a gaming facility’s surveillance plan of operation and approve such plan if such plan is consistent with this Title.

(d)A gaming facility licensee shall not alter or amend its surveillance plan of operation unless the commission has first approved in writing such alteration or amendment. A gaming facility licensee seeking to alter or amend its surveillance plan shall submit proposed alterations or amendments to such surveillance plan to the commission not less than seven days before the desired alteration or amendment would take effect. All requests for a plan alteration or amendment shall include:

(1)details of the change, including the floor plan;

(2)reason for the change; and

(3)expected results of the change.

(e)In the event of an emergency, a gaming facility licensee may deviate from such licensee’s approved surveillance plan of operation. In such instance, such gaming facility licensee shall notify the commission promptly that an emergency exists before deviation from the surveillance plan, then shall, as soon as practicable, submit a written description to the commission of the emergency and the circumstances necessitating the emergency deviation. As soon as the circumstances necessitating the emergency deviation abate, the gaming facility licensee shall resume compliance with the approved surveillance plan of operation. If the emergency does not abate, the gaming facility licensee shall seek, as soon as practicable, an amendment to its surveillance plan of operation.

(f)The commission shall have full access to, but not be capable of overriding, a gaming facility licensee’s surveillance system and the transmissions therein. Each member of a gaming facility’s surveillance department shall comply with any commission request to:

(1)use, as necessary, any surveillance monitoring room in the gaming facility;

(2)display on the monitors in the monitoring room any event capable of being monitored by the surveillance system; and

(3)make a video and, if applicable, audio recording of, and take a still photograph of, any event capable of being monitored by the surveillance system.

9 NYCRR 5314.2 - Surveillance department establishment; independence; physical characteristics; employee restrictions; training

Source version current through Nov 15, 2021

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

Top

Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021
Related Register notice: SGC-19-16-00013-A · Adopted rule
Related notice published: Jul 20, 2016
Related notice effective date: Jul 20, 2016

(a)Each gaming facility licensee shall establish and maintain a surveillance department, independent of all other departments at such gaming facility, which shall be responsible for the clandestine monitoring and recording of certain activities inside and outside the gaming facility.

(b)A surveillance monitoring room, or rooms, shall be located within a gaming facility. Such room or rooms shall be staffed continuously by employees who shall at all times monitor activities inside and outside the gaming facility, including those enumerated in section 5314.5 of this Part.

(c)A surveillance monitoring room shall:

(1)contain such equipment and supplies as necessary to undertake the required surveillance activities, taking into consideration current developments in electronic and computer technology, for the effective performance of the activities to be conducted therein including, without limitation:

(i)a communication system capable of monitoring all gaming facility security department activities; and

(ii)a view-only terminal allowing access to the computerized monitoring systems used by the gaming facility licensee in monitoring and management of its gaming operations;

(2)be connected to all gaming facility alarm systems, which may provide a visible, audible or combination signal; provided, however, that any robbery or other emergency-type alarm shall be perceptually distinguishable from all non-emergency alarm types in a manner approved by the commission;

(3)contain a library consisting of photographs that:

(i)are no more than four years old, of all current employees of the licensee; and

(ii)represent patrons on any self-exclusion or excluded persons list;

(4)contain and have readily accessible to all surveillance room employees an updated operational blueprint depicting all areas of the gaming facility and elsewhere in the gaming facility where surveillance coverage is available.

(5)be equipped with telephones connected to the gaming facility licensee’s general telephone system and at least one direct outside line independent of the general telephone system; and

(6)be equipped with radio communication connectivity with the security department.

(d)A gaming facility licensee shall require surveillance and security employees to undergo annual incident management training administered by a certified trainer in cooperation with law enforcement and the local fire department. Such training shall be geared to prepare surveillance and security employees on proper procedures to follow in the event of a fire, robbery attempt, bomb threat, terrorist activity, medical emergency or other major occurrence. Such training shall be geared to instruct gaming facility employees in all of the following:

(1)incident management procedures;

(2)incident management notifications and communications to, for example, police, fire, ambulance and hospitals;

(3)securing facility records;

(4)securing the facility;

(5)evacuation; and

(6)fire and medical emergencies.

(e)No former gaming facility licensee surveillance department employee shall accept employment:

(1)in another capacity within the same gaming facility; or

(2)within any other gaming facility whose surveillance department is under the operational control of the same person who controlled the surveillance department in which such employee had been employed previously, unless one year has passed since such former employee worked in such surveillance department.

(f)A current or former surveillance department employee may petition the commission for a waiver of a restriction set forth in subdivision (e) of this section and permission to be employed in a particular position. The commission may grant or deny the waiver upon consideration of factors including, but not limited to:

(1)whether the former surveillance department employee will be employed in a department or area of operation that the surveillance department monitors;

(2)whether the surveillance and security systems of the licensee will be jeopardized or compromised by the employment of the former surveillance department employee in the particular position; and

(3)whether the former surveillance department employee's knowledge of the procedures of the surveillance department would facilitate the commission by any individual of irregularities or illegal acts or the concealment of any actions, errors or omissions.

9 NYCRR 5314.3 - Surveillance room access, required logs

Source version current through Mar 31, 2022

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

Top

Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Mar 31, 2022
Related Register notice: SGC-19-16-00013-A · Adopted rule
Related notice published: Jul 20, 2016
Related notice effective date: Jul 20, 2016

(a)Entrances to the monitoring room or rooms shall not be visible from the gaming area. Access by gaming facility licensee employees to a monitoring room or any other designated area capable of receiving a surveillance transmission shall be prescribed by the gaming facility’s system of internal controls, as approved by the commission.

(b)Any person, other than a commission representative, who enters any monitoring room or designated area related to surveillance and is not a surveillance department employee shall sign a monitoring room entry log upon entering the restricted area. The monitoring room entry log shall be kept in the monitoring room and maintained in a book with bound numbered pages that cannot be removed readily.

(c)The entry log book shall include, at a minimum, the:

(1)date and time of entering into the monitoring room or designated area;

(2)entering person’s name and his or her department or affiliation;

(3)reason for entering the monitoring room or designated area;

(4)name of the surveillance department employee authorizing the person’s entry into the monitoring room or designated area; and

(5)date and time of exiting the monitoring room or designated area.

(d)Each gaming facility licensee shall maintain a daily surveillance log in an electronic format that has an audit function that prevents modification of information after the information has been entered into the system. Such daily surveillance log shall:

(1)be maintained continuously by surveillance employees;

(2)be changed with each shift change of employees;

(3)be chronological; and

(4)contain, at a minimum, all of the following information:

(i)the date and time of each log entry;

(ii)the identity of the employee making the log entry;

(iii)a summary of the activity recorded;

(iv)whether the activity was monitored; and

(v)disposition of the recording, if any.

(e)All daily surveillance log entries shall contain the following information, unless otherwise directed in writing by the commission:

(1)the identity of any surveillance room employee each time any such person enters or exits the surveillance room and the reason for such entry or departure;

(2)the notification of any maintenance or repair of any gaming device or money-handling equipment;

(3)live table drop box exchanges;

(4)electronic gaming device drop bucket exchanges;

(5)transfers of cash, chips, tokens, cards or dice;

(6)any detention or questioning of patrons or employees by the security department, including the identity of the patrons or employees and the security department employees involved;

(7)the beginning, end and any interruptions of the soft count;

(8)an observed violation of article 13 of the Racing, Pari-Mutuel Wagering and Breeding Law or this Title or of the gaming facility licensee's internal control procedures;

(9)suspected criminal activity;

(10)malfunction or repair of surveillance equipment;

(11)an emergency activity;

(12)surveillance conducted on anyone or any activity that appears unusual, irregular or illegal or appears to violate article 13 of the Racing, Pari-Mutuel Wagering and Breeding Law or this Title;

(13)surveillance conducted at the request of the gaming facility licensee, an employee of the gaming facility licensee, a commission representative or the New York State Police;

(14)other notations deemed necessary by surveillance room employees or the commission to ensure compliance with article 13 of the Racing, Pari-Mutuel Wagering and Breeding Law and this Title.

9 NYCRR 5314.4 - Required equipment; capabilities

Source version current through Nov 15, 2021

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

Top

Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021
Related Register notice: SGC-19-16-00013-A · Adopted rule
Related notice published: Jul 20, 2016
Related notice effective date: Jul 20, 2016

The surveillance system shall include, at a minimum, the following:

(a)A surveillance system shall include light-sensitive cameras with lenses of sufficient magnification to allow the reading of information on, at a minimum, gaming chips, plaques, playing cards, dice, tiles, slot machine reel symbols, slot machine credit meters and employee credentials. Such cameras shall have 360-degree-pan, tilt and zoom capabilities, without camera stops, that allow effective and clandestine monitoring in detail and from various vantage points. A gaming facility licensee may use either an analog or digital video recording format, so long as the format selected incorporates current technology with regard to secure system access, video cameras, monitors, recorders, video printers, switches, selectors and other ancillary equipment and provides for surveillance of activities inside and outside the gaming facility.

(b)A surveillance system shall include video recording equipment that, at a minimum, shall:

(1)permit the preservation and viewing of a clear copy of the transmission produced by any camera connected to the surveillance system;

(2)be capable of superimposing the time and date of the transmission on each recording made by the video recording equipment; and

(3)enable the operator to identify and locate, through the use of a meter, counter or other device or method, a particular event that was recorded.

(c)A surveillance system shall be capable of recording media, which shall be replaced immediately upon the manifestation of any significant degradation in the quality of the images or sound, if applicable, recorded thereon.

(d)A surveillance system shall have audio capability in the soft-count room.

(e)A surveillance system shall have an emergency power system that can be used to operate the surveillance system in the event of a power failure, such power system to be tested at least annually, or more frequently if a test is failed.

(f)A gaming facility shall implement a preventive maintenance program, executed by technicians subject to the direction and control of the director of surveillance, that ensures that the entire surveillance system is maintained in proper working order and that transparent covers over surveillance system cameras are cleaned in accordance with a routine maintenance schedule. In the event that preventive maintenance to be performed by a technician assigned to another department is required on an emergency basis, the surveillance department shall have priority with respect to staffing resources of such other department to ensure the efficacy of the surveillance system.

(g)Routine maintenance of surveillance equipment must be completed in one of the following ways:

(1)without compromising any of the surveillance coverage provided by the surveillance system; or

(2)according to a plan subject to the review and approval of the commission.

9 NYCRR 5314.5 - Required surveillance

Source version current through Nov 15, 2021

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

Top

Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021
Related Register notice: SGC-19-16-00013-A · Adopted rule
Related notice published: Jul 20, 2016
Related notice effective date: Jul 20, 2016

(a)Each gaming facility licensee shall provide surveillance of the following locations and activities:

(1)gaming conducted at each table game and the activities in the gaming pits;

(2)gaming conducted at the slot machines;

(3)operations conducted at and in the cashiers' cage, any satellite cage and each office ancillary thereto;

(4)operations conducted at and in the slot booths;

(5)operations conducted at automated coupon-redemption machines;

(6)count processes conducted in the count rooms;

(7)movement and storage of cash, gaming chips and plaques, drop boxes, bill validator boxes, slot cash storage boxes, slot drop boxes and slot drop buckets;

(8)entrances and exits to the gaming facility, count rooms and any other location required by the commission;

(9)equipment designated by the commission in conjunction with the operation of an electronic-transfer credit system, a gaming-voucher system and a slot-monitoring system approved to conduct manual slot payouts;

(10)operation of automated jackpot-payout machines, gaming-voucher-redemption machines, gaming-voucher systems and electronic-transfer credit systems;

(11)all table games;

(12)gaming facility licensee’s parking garages, driveways and valet parking areas; and

(13)all other areas as that the commission may designate.

(b)Whenever a gaming facility licensee replaces or modifies a gaming device on the gaming floor or other restricted areas, the surveillance department shall conduct an inspection as to the sufficiency of surveillance coverage. For those replacements or modifications that impact surveillance coverage, the director of the surveillance department shall prepare and submit to the commission prior to implementation a written certification attesting that the inspection was conducted and the surveillance coverage is sufficient.

9 NYCRR 5314.6 - Required recording

Source version current through Nov 15, 2021

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

Top

Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021
Related Register notice: SGC-19-16-00013-A · Adopted rule
Related notice published: Jul 20, 2016
Related notice effective date: Jul 20, 2016

A surveillance system shall be required to record, during the times and in the manner indicated below, all transmissions from cameras used to observe the following locations, persons or transactions:

(a)all table games, whether active or inactive;

(b)all activities conducted inside the cage, count room and satellites;

(c)each simulcast and keno window that is open for business;

(d)such main bank areas where gross revenue functions are performed;

(e)the collection of drop boxes, slot drop boxes and slot cash storage boxes and the count of the contents therein;

(f)any armored car collection or delivery of cash for which security escort or surveillance coverage is required;

(g)the inspection and distribution of gaming equipment to gaming pits;

(h)the retrieval of gaming equipment from gaming pits at the end of the gaming day and their delivery to the location designated and approved for inspection, cancellation, destruction or, if applicable, reuse;

(i)each transaction conducted at a kiosk, automated bill breaker, voucher/coupon redemption and jackpot payout machine, as well as each replenishment or other servicing of any such machines; and

(j)the entrances and exits to the gaming facility, count rooms and all other locations as the commission may require in writing.

9 NYCRR 5314.7 - Surveillance records retention

Source version current through Nov 15, 2021

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

Top

Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021
Related Register notice: SGC-19-16-00013-A · Adopted rule
Related notice published: Jul 20, 2016
Related notice effective date: Jul 20, 2016

(a)A recording of routine activity shall contain a date-and-time reading and shall be retained for not less than 14 days. All activity in the cage and count rooms shall be retained for not less than 21 days. The commission may, in its discretion, order a longer retention period for a particularly identified recording.

(b)A visual or audio recording of detention or questioning of a detained patron or employee shall be provided immediately to the commission upon request. Such recording shall contain a date-and-time reading and shall be labelled with all of the following:

(1)the date and time the recording was made;

(2)the identities of the surveillance department employee or employees responsible for the monitoring; and

(3)the identity of the surveillance department employee who provides such recording media and the time and date of delivery to the commission. Such recording shall be retained for not less than 14 days after the original recording is provided to the commission.

(c)An original recording of a violation of internal controls or criminal activity shall be provided immediately to the commission. A copy of such recording shall be retained for not less than 90 days after the original is provided to the commission. Such recording shall contain a date-and-time reading and be marked with all of the following:

(1)the date and time the recording was made;

(2)the identity of the surveillance department employee or employees responsible for the monitoring; and

(3)the identity of the surveillance department employee who provided to the commission the media from the recorder.

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