New York regulations

Title 9 Part 5320

Executive Department

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16 sections

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9 NYCRR 5320.1 - Definitions

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Unless the context indicates otherwise, the following definitions are applicable throughout this Part.

(a)Multiple-gaming-device-linked progressive means multiple gaming devices that offer a common progressive jackpot or jackpots that are linked to a progressive controller within a single gaming facility location.
(b)Multi-site progressive gaming device means a device that is interconnected in more than one gaming facility.
(c)Progressive controller means hardware and software that control communications among the devices that calculate the values of progressive jackpots and display information within a progressive gaming device link and on the associated progressive meter.
(d)Progressive gaming device means a gaming device that has an increasing jackpot, based on a pre-set rate of progression. A progressive gaming device may include games that award progressive jackpots or a pool based on criteria other than obtaining winning symbols on the machine, such as “mystery jackpot.” A progressive gaming device does not include one in which games incorporate a bonus feature as part of the game theme that offers awards that increase as the game is played and does not allow for configuration of typical progressive game parameters (e.g., seed values, contribution rates, overflow values, max pool values, etc.).
(e)Progressive jackpot means an award for a winning play of a game or, in the case of a mystery jackpot, a non-winning play of the game.
(f)Progressive meter means a progressive gaming device that is, or devices that are, linked, directly or indirectly to a mechanical, electrical or electronic device, including a video display, if applicable, that shows the payoff that increases at a pre-set rate of progression.
(g)Stand-alone progressive gaming device means a single progressive game that is not a part of a link.

9 NYCRR 5320.2 - Tournament program

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Each gaming device may be equipped with a program certified by the independent testing laboratory approved by the commission pursuant to Part 5318 of this Title that allows for tournament-mode play. Tournament-mode play shall, as a default on any gaming device equipped with such program, be disabled. Such option shall be enabled only by a control method approved by the commission, which shall require manual intervention and/or total replacement of the logic board with a tournament board certified by the independent testing laboratory approved by the commission pursuant to Part 5318 of this Title.

9 NYCRR 5320.3 - Hardware

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A tournament game shall comply with the requirements set forth in sections 5319.30 through 5319.60 of this Title, unless the commission determines in writing that a provision in such sections is inapplicable to such game.

9 NYCRR 5320.4 - Software

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(a)A gaming device enabled for tournament play shall not accept credits from any source or pay out credits in any way, but shall use credit points only. Tournament credits shall have no cash value. Tournament-enabled games shall not increment any mechanical or electromechanical meters unless such meters are designed exclusively for use with tournament software. Tournament-enabled gaming devices shall not communicate any tournament-related accounting information to the gaming facility’s slot accounting system. The percentage requirements in sections 5319.47 through 5319.50 of this Title are waived for tournament games.
(b)All gaming devices used in a single tournament shall use the same electronics and machine settings as other gaming devices involved in such tournament, including reel-speed settings.

9 NYCRR 5320.5 - Progressive component requirements; hardware and player safety

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Electrical and mechanical parts and design principals of the electronic associated progressive hardware shall not subject a player to any physical hazards.

9 NYCRR 5320.6 - Environmental effects on progressive integrity

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(a)Environmental effects.

The independent testing laboratory approved by the commission pursuant to Part 5318 of this Title shall perform tests set forth in this section to determine whether or not outside influences affect game fairness to the player or create cheating opportunities. During the course of testing, such laboratory shall inspect for marks or symbols indicating that a device has undergone product safety compliance testing. Such laboratory also shall perform, where possible, a cursory review of submissions and information contained therein related to electromagnetic interference, radio frequency interference, magnetic interference, liquid spills, power fluctuations and environmental conditions. Electrostatic discharge testing is intended only to simulate techniques observed in the field that are used to attempt to disrupt the integrity of progressive gaming devices. A progressive system shall be able to withstand the test described in subdivision (b) of this section, and resume function without operator intervention.

(b)Electrostatic interference.

Protection against static discharges requires that progressive components be grounded in such a way that static discharge energy shall not damage permanently, or inhibit permanently the normal operation of the electronics or other components within a progressive system. Progressive system components may exhibit temporary disruption when subjected to a significant electrostatic discharge greater than that produced by a human body, but such components shall exhibit a capacity to recover and complete any interrupted function without loss or corruption of any control or critical data information associated with such progressive system. Such tests shall be conducted with a severity level of a maximum of 27 kilovolts air discharge.

9 NYCRR 5320.7 - Progressive meter/display requirements

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(a)Progressive displays.

A progressive meter shall be visible to all players who are playing a device that potentially might win the progressive amount if the progressive jackpot combination appears, except for mystery jackpots. A player shall know that he or she is playing a progressive game and not have to play the maximum bet amount to find out. The following applies to all progressive meter displays:

(1)the progressive meter shall display the current total of the progressive jackpot in the monetary value or credits (the monetary value may vary for multi-site progressive displays). Because the polling cycle does cause a delay, the jackpot meter need not show precisely the actual monies in the progressive pool at each instance. This paragraph does not apply to mystery jackpots;
(2)if the progressive award will not doubled or tripled when won during a feature, such feature shall be indicated clearly on the display.
(b)Types of updating displays.

The use of odometer and other paced updating displays are permitted. The progressive meter shall display the winning value within 30 seconds of the jackpot being recognized by the central system. In the case of the use of paced updating displays, the system jackpot meter shall display the winning value after the jackpot broadcast is received from the central system.

(c)Progressive display digital limitations.

If a progressive meter progresses to such meter’s maximum display amount, such meter shall freeze and remain at the maximum value until awarded to a player.

(d)Alternating displays.

When applicable, it is sufficient to have progressive information displayed in an alternating fashion.

9 NYCRR 5320.8 - Progressive controller requirements

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A progressive system shall meet the standards for gaming devices set forth in Part 5319 of this Title. The requirements of this Part apply equally to one progressive gaming device linked to a progressive controller or is internally controlled, as well as several progressive gaming devices linked to one progressive controller within one gaming facility or multiple gaming facilities.

(a)Progressive controller description.

A progressive controller shall calculate the values of the progressives and display the information within a progressive gaming device link and the associated progressive meter (if applicable, progressive controllers may be internally controlled by the games control program). A progressive controller may consist of more than one discrete component and include, without limitation, PC-based computers, wiring, interface boards and collection nodes, etc.

(b)Setting jackpot amounts.

The entry or modification of system jackpot parameter values shall be secure. Any change to the jackpot amount shall conform to the gaming facility’s approved system of internal controls. All progressive gaming devices or any progressive system component approved by the commission shall be able to display, the following information for each progressive prize offered (if applicable):

(1)current value, which is the current prize amount;
(2)overflow, which is the amount exceeding limit to be counted as gross gaming revenue;
(3)hits, which is the number of times the progressive jackpot was won;
(4)wins, which is the total value of wins for the progressive jackpot or a history of the last 25 progressive hits;
(5)base, which is the starting value;
(6)limit, which is the jackpot limit value (if the jackpot is capped at a maximum limit, this subdivision does not require to add the overflow amounts to the next starting value and shall be determined on a case-by-case basis);
(7)increment, which is the percentage increment rate;
(8)secondary increment, which is the percentage increment rate after limit is reached;
(9)hidden increment, which is the percentage increment rate for the reserve pool;
(10)reset value, which is the amount the progressive resets to after the progressive jackpot is won; and
(11)the participating gaming devices.
(c)Progressive controller program interruption.

After a program interruption (e.g., power down), software shall be able to recover to the state such software was in immediately prior to the interruption occurring.

(d)Internal link progressive controller.

For link progressives where the progressive controller is part of the game software (internal link), all games on such link shall conform to the following criteria:

(1)require a secure method for configuring each game on the link;
(2)changes to progressive settings shall not be made, unless a change involves a secure method;
(3)each game on the link shall be identified uniquely;
(4)only one game on the link shall function as the master progressive controller;
(5)if the game configured as the master controller becomes inoperative, all games on the link must tilt;
(6)if any game on the link loses communication with the master controller, that game must tilt; and
(7)the progressive link shall be capable of displaying all progressive parameters (i.e., contribution, reset amount, levels, etc.).
(e)Progressive resumption.

On program resumption, the following procedures, at a minimum, shall be performed:

(1)any communications to an external device shall not begin until the program resumption routine, including self-tests, is completed successfully;
(2)a progressive system control program shall test itself for possible corruption due to failure of the program storage media. The authentication may use the checksum. It is preferred, however, that the cyclic redundancy check calculations are used at a minimum (at least 16 bit). Other test methodologies shall be acceptable if at a comparable level of integrity; and
(3)the integrity of all critical memory shall be checked.
(f)Communications for jackpot signaling.

There shall be a secure, two-way communication protocol between the main game processor board and the progressive system. In addition, the progressive system shall be able to:

(1)send to the electronic gaming device the amount that was won, for metering purposes; and
(2)update constantly the progressive display as play on the link is continued.
(g)Monitoring of credits bet.

During the normal mode of progressive gaming devices, the progressive controller shall monitor continuously each device on the link for the pre-set rate of progression and shall multiply the same by the rate of progression and denomination in order to determine the correct amounts to apply to the progressive jackpot. Such monitoring shall be 99.99 percent accurate.

(h)Access to the progressive controller.

Each progressive controller used with a progressive gaming device shall be housed in a secure environment that allows access only by authorized personnel. Access to the controller shall conform to the gaming facility’s approved system of internal controls.

(i)Progressive controller required meters.

The progressive controller or other approved progressive system component shall keep the information described in paragraphs (1) through (5) of this subdivision in non-volatile memory, which shall be displayed on demand. Such meters shall be 99.99 percent accurate.

(1)The number of progressive jackpots won on each progressive level if the progressive display has more than one winning amount.
(2)The cumulative amounts paid on each progressive level if the progressive display has more than one winning amount.
(3)The maximum amount of the progressive payout for each level displayed.
(4)The minimum amount of the progressive payout for each level displayed.
(5)The rate of progression for each level displayed.
(j)Controller and display functions during progressive jackpot win.

When a progressive jackpot is recorded on an electronic gaming device that is attached to the progressive controller, the progressive controller shall allow for the following to occur on the device and/or progressive display:

(1)display the winning amount;
(2)display the electronic gaming device identification that caused the progressive meter to activate if more than one electronic gaming device is attached to the controller;
(3)automatically reset to the reset amount and continue normal play; and
(4)display the new progressive values that are current on the link.
(k)Base progressive jackpot amount.

The initial amount of a progressive jackpot shall begin at or above an award for that particular gaming device that makes the entire meter payout greater than the minimum percentage requirement.

(l)Progressive controller error conditions.

When a controller error occurs the gaming device shall alternate displays between the current amount and an appropriate error message that is visible to all players or that can alert the gaming facility to such error condition. The progressive controller shall convey the appropriate signal to disable the games using the progressive, and an error shall be displayed on the progressive meter, or its equivalent, if any of the following events occurs:

(1)during a communication failure between the game and the controller or anywhere within the progressive controller system;
(2)when there have been multiple communication errors;
(3)when a controller checksum or signature has failure;
(4)when a controller’s RAM or program storage device mismatch or failure occurs;
(5)when the jackpot configuration is lost or is not set;
(6)if there has been an unreasonable amount of credits bet (an unreasonable amount of credits bet is defined by the progressive setup that is based on the number of bets and number of gaming devices); or
(7)if the game meters are validated against the controller's meters (via communications between the game board and controller) and such meters do not reconcile.
(m)Transferring of progressive jackpot.

The progressive controller shall have a secure means of transferring a progressive jackpot and/or prizes to another progressive controller or other commission-approved progressive system component. Transferring of progressive jackpots shall meet the gaming facility’s approved system of internal controls.

(n)Jackpot limits.

The controller may be configured with a limit on the jackpot of a progressive gaming device, if the limit imposed is greater than the jackpot payout on the gaming device at the time the limit is imposed. This limit shall be posted on or near the device or devices to which the limit applies.

(o)Time limits.

The progressive controller may have the ability to set time limits that limit the time the progressive is available.

9 NYCRR 5320.9 - Progressive jackpots

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(a)Games excluded.

A bonus game where certain circumstances are required to be satisfied, prior to awarding a fixed bonus prize, is not a progressive game and is not subject to this section.

(b)Swapping progressive levels.

For progressives offering multiple levels of awards, a player shall always be paid the higher progressive amount, if a particular combination is won that should trigger the higher-paying award. Such circumstance may occur when a winning combination may be evaluated as more than one of the available pay table combinations (e.g., a flush is a form of a straight flush and a straight flush is a form of a royal flush).

(c)Gaming device requirements when any progressive is awarded.

When a progressive prize has been awarded, a gaming device or other commission-approved progressive component shall perform the following:

(1)display a message indicating the progressive award;
(2)lock-up software until the award has been paid by the attendant, unless the prize is transferred to the player’s credit meter;
(3)update all progressive-related meters; and
(4)alert a player upon winning any jackpot in a manner designed to minimize the possibility of such player from abandoning an award.
(d)Progressive gaming device metering requirements.

An electronic gaming device is required to update the electronic meters in such device to reflect the winning progressive jackpot amount consistent with this Part and the electronic accounting meter requirements in Part 5319 of this Title. Progressives meeting or exceeding income tax reporting limits shall require payment by an authorized gaming facility employee. Progressive wins may be added to the credit meter if either:

(1)the credit meter is maintained in monetary value or credits;
(2)the progressive meter is incremented to whole credit amounts; or
(3)the prize, in monetary value, is converted to credits on transfer to the player’s credit meter in a manner that does not mislead the player. The conversion from monetary value to credits must always round up.

9 NYCRR 5320.10 - Progressive awards paid by over time

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(a)Any gaming facility or group of gaming facilities that offers a progressive award paid over time shall notify players with an appropriate display or sign on the gaming device, except that such display or sign need not include the cash equivalent value. In addition, the following shall be provided to all players:
(1)the displayed jackpot will be paid over time and not in one lump sum; and
(2)the period of time covering the payments.

9 NYCRR 5320.11 - Progressive percentage requirements and odds

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TAF-46-21-00009-P · Proposed rule · Nov 17, 2021
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Each device on a link shall have the same probability of winning the progressive, adjusted for the denomination played. For example, the probability shall remain the same for multiple-denomination games based on the monetary value of the wager (e.g., a two-coin $1 game has the probability of 1:10,000 and a two-coin $2 game on the same link has the probability 1:5,000).

9 NYCRR 5320.12 - Independent control program verification

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The controller software and any associated critical software used within the progressive system shall have the ability to allow for an independent integrity check of the device’s software from an outside source and is required for all control programs that may affect the integrity of the game. Such check shall be accomplished through authentication by a third-party device. This integrity check shall provide a means for field verification of the software to identify and validate the program. The independent testing laboratory approved by the commission pursuant to Part 5318 of this Title, prior to device approval, shall approve the integrity-check method. If the authentication program is continued within the control program, the manufacturer shall receive written approval from such laboratory prior to submission.

9 NYCRR 5320.13 - Multi-site progressive requirements; phases of approval

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The independent testing laboratory approved by the commission shall certify a multi-site system by:

(a)testing the integrity of the gaming device or devices in conjunction with a progressive system in the laboratory setting with the equipment assembled, noting on the initial certification report items to be tested in accordance with subdivision (b) of this section that have the potential to operate out of compliance if installed or configured incorrectly; and
(b)onsite verification where the progressive communications and setup are tested on the gaming floor prior to implementation.

9 NYCRR 5320.14 - Multi-site central computer requirements

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(a)Approvals.

A gaming facility that offers multi-site progressive games shall submit for commission approval a system of accounting and internal controls.

(b)Location of central monitoring system.

The central computer shall be in a secure location with controlled and limited access.

(c)Method of communication for multi-site gaming devices.

The method of communication may be a non-shared, dedicated line or equivalent. Dial-tone systems may be used so long as devices at the local site are not able to be disabled from another outside line or manipulated by any other means. When the method of communication is a shared line, appropriate encryption and security shall be in place to avoid corruption or compromise of data.

(d)Data collection requirement.

Multi-site systems shall ensure that security information and the amounts-wagered information is communicated at least once every 60 seconds for terrestrial lines (dedicated phone lines) and in a reasonable amount of time for radio frequency, from each participating gaming device to the central computer system.

(e)Multi-site encryption method.

All multi-site property systems shall use an encryption method that has been approved by the laboratory approved by the commission pursuant to Part 5318 of this Title. Such encryption method shall include the use of different encryption keys or seeds so that encryption can be changed in a real-time fashion.

(f)Multi-site monitoring and other online system requirements.

The online system shall monitor the meter readings and error events of each gaming device regardless of any outside monitoring system.

(g)Central monitoring system power supply.

The central computer site shall be equipped with uninterruptible power supply that shall allow the central computer to conduct an orderly shutdown if power is lost. Should the central monitoring system use hard-disk peripherals, the central computer shall be capable of online data redundancy.

(h)Communication failure.

A gaming device shall disable itself immediately and suspend play if communication is lost to the local collection unit hub. The gaming device may resume play only when communication to such local hub is restored. If communication is lost between the local hub and the central computer, a gaming device may continue to play, so long as the progressive information from all games connected to the local hub is buffered. Once the local hub’s buffer is full, the hub shall disable games that are connected to such hub. Upon reestablishing communication with the central computer, such hub shall relay accurately all buffered progressive information to the central system and the system-wide totals are to be updated.

(i)Central monitoring system required reports.

Credits contributed to the system after a jackpot occurs in real-time, but during the same polling cycle, shall be deemed to have been contributed to the progressive amount prior to such jackpot. Credits contributed to the system subsequent to the jackpot message being received, as well as credits contributed to the system before the jackpot message is received by the system, but registered after the jackpot message is received at the system, will be deemed to have been contributed to the progressive amount of the next jackpot. Any multi-site system shall supply, as requested, the following reports:

(1)progressive summary. A report indicating the amount of, and basis for, the current jackpot amount (the amount currently in play);
(2)aggregate report. A report indicating the balancing of the system with regard to system wide totals;
(3)payoff report. A report that clearly demonstrates the method of arriving at the payoff amount. Such report shall include the credits contributed, beginning at the polling cycle immediately following the previous jackpot, and shall include all credits contributed up to and including the polling cycle that includes the jackpot signal.
(j)Multi-site system meter readings.

All meter reading data shall be obtained in real time in an on-line, automated fashion. When requested to do so, the system shall return meter readings on all gaming devices attached to the system. The meter readings shall be identical to the meter information retained in the gaming device accounting meter (or gaming devices accounting meters). Manual reading of meter values is not permitted to be substituted for the requirements of this subdivision. The meter, in either credit or monetary value, shall account for all amounts wagered. The purpose of the credits-bet meter reading is to verify and compare the progressive amount, or amounts, in conjunction with the rate of progression.

(k)Multi-site system door monitoring.

A multi-site progressive system shall have the ability to monitor entry into the front door of a gaming device and report any such entry to the central system immediately.

(l)Jackpot wins during poll cycle.

If a jackpot is recognized in the middle of a system-side poll cycle, the overhead display may contain a value less than the aggregated jackpot amount calculated by the central system. The credit values from the remaining portion of such poll cycle shall be received by the central system but not the local site, in which case the jackpot amount paid always shall be the higher of the two reporting amounts.

9 NYCRR 5320.15 - Multi-site progressive procedures

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TAF-46-21-00009-P · Proposed rule · Nov 17, 2021
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A gaming facility shall develop, implement and document procedures for the generation and retention of reports that include the following:

(a)reconciliation of meters and jackpot payouts;
(b)collection drop of gaming device funds;
(c)jackpot verification and payment procedures that include an inspector be present for independent prize verification and payment;
(d)system maintenance;
(e)system accuracy;
(f)system security; and
(g)system failures including:
(1)the local hub;
(2)the central site;
(3)failures in communications; and
(4)backup and recovery.

9 NYCRR 5320.16 - Multi-site jackpots

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TAF-46-21-00009-P · Proposed rule · Nov 17, 2021
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When multiple jackpots occur and there is no definitive way of knowing which jackpot occurred first, such jackpots shall be deemed to have occurred simultaneously. A gaming facility shall submit procedures for payment of such jackpot occurrences in its system of internal controls, which shall be subject to review and approval by the commission. If there is a communication failure described in section 5320.14(h) of this Part, a winning player wagering at a non-updated site may also be eligible to win a jackpot amount.

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