9 NYCRR Part 5328 - Executive Department

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Source version current through Nov 15, 2021

All 8 displayed sections in this Part carry the same compiled date. Status and warnings stay on each section.

9 NYCRR 5328.1 - Definitions

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-42-16-00002-A · Adopted rule
Related notice published: Dec 28, 2016
Related notice effective date: Dec 28, 2016

Unless the context indicates otherwise, the following definitions apply throughout this Part. The definitions contained in Alcoholic Beverage Control Law, to the extent to which they are not in conflict with this Part, are fully incorporated into this Part by reference.

(a)Casino alcoholic beverage license means a license issued to a gaming facility licensee, or a licensed or registered vendor providing alcoholic beverages within a gaming facility, for the sale of alcoholic beverages at retail in accordance with Racing, Pari-Mutuel Wagering and Breeding Law section 1340 and this Part.

(b)Complimentary means without payment of money or other form of monetary-like consideration.

9 NYCRR 5328.2 - Casino alcoholic beverage license

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-42-16-00002-A · Adopted rule
Related notice published: Dec 28, 2016
Related notice effective date: Dec 28, 2016

(a)A gaming facility licensee or casino vendor licensee or registrant applying for a casino alcoholic beverage license shall establish by clear and convincing evidence its good character, honesty and integrity, and provide such other financial information as may be required by the commission. Each casino vendor licensee or registrant that intends to purchase and select alcoholic beverage product and profit from the sale of such product at a gaming facility shall not do so unless and until duly licensed pursuant to this Part.

(b)A gaming facility licensee or casino vendor licensee or registrant intending to serve alcoholic beverages within a gaming facility shall file a casino alcoholic beverage license application the commission supplies and may amend from time to time, except that the commission may instead consider an application for facilities applying for a conversion of an existing alcoholic beverage license pursuant to subdivision (g) of this section.

(c)A gaming facility licensee or casino vendor licensee or registrant intending to serve alcoholic beverages at the commencement of operations of a gaming facility shall file its application at least 30 days prior to the projected date, except for an application for conversion of an existing alcoholic beverage license pursuant to subdivision (g) of this section, which the commission may accept at any time.

(d)Each casino alcoholic beverage licensee shall submit to the commission for review and approval any amendments to its casino alcoholic beverage license at least 30 days prior to the intended implementation of such amendment. The casino alcoholic beverage licensee may implement a proposed amendment on the 30th calendar day following the filing of such amendment with the commission, unless the commission provides notice pursuant to subdivision (e) of this section objecting to such amendment.

(e)If during the 30-day review period the commission determines that any amendment is inconsistent with the intent of this Part, the commission shall, by delivering written notice to the casino alcoholic beverage licensee, object to such amendment. Such objection notice shall:

(1)specify the nature of the objection and, when possible, an acceptable alternative; and

(2)direct that such amendment not be implemented.

(f)When the commission has objected to an amendment pursuant to subdivision (e) of this section, the casino alcoholic beverage licensee may submit a revised amendment for review within seven days of delivery of the commission’s objection, pursuant to subdivision (d) of this section.

(g)A gaming facility licensee holding an active alcoholic beverage license issued by the State Liquor Authority may file a request in writing to the commission for the conversion of such license to a casino alcoholic beverage license, as set forth in Racing, Pari-Mutuel Wagering and Breeding Law section 1340(11), along with a sworn statement detailing any violations or penalties imposed by the State Liquor Authority in regard to such existing license in the five-year period preceding the request.

(h)A casino alcoholic beverage applicant or licensee shall require each employee authorized to serve or deliver alcohol to complete an alcohol training and awareness program certified by the State Liquor Authority and submit to the commission such employee’s certificate of completion.

9 NYCRR 5328.3 - License determination

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-42-16-00002-A · Adopted rule
Related notice published: Dec 28, 2016
Related notice effective date: Dec 28, 2016

(a)Upon receipt of a completed application for a casino alcoholic beverage license, the commission shall confirm that the gaming facility licensee or casino vendor licensee or registrant has met the requirements set forth in Racing, Pari-Mutuel Wagering and Breeding Law section 1340 and this Part.

(b)The commission, following consultation with the state liquor authority, or the designee of the State Liquor Authority, shall either:

(1)grant the application for a casino alcoholic beverage license, if the commission determines that doing so is in the best interests of gaming in this State; or

(2)deny the application for a casino alcoholic beverage license and notify the applicant of the reason or reasons for denial.

If the application is for conversion of an existing alcoholic beverage license and there are no State Liquor Authority violations or penalties in regard to the existing license, the commission shall grant the request for conversion of the license. If there are one or more State Liquor Authority violations or penalties in regard to the existing license, the commission shall consider whether granting the request for conversion of the license is in the best interests of gaming in this State. The commission may impose such conditions, restrictions, limitation or covenants upon a casino alcoholic beverage license, whether from a request for conversion of an existing license or otherwise, as the commission may deem appropriate in its discretion to mitigate risk of violations, protect the public health safety or welfare, or serve the best interests of gaming in this State.

9 NYCRR 5328.4 - Review of license determination

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-42-16-00002-A · Adopted rule
Related notice published: Dec 28, 2016
Related notice effective date: Dec 28, 2016

Within 30 days of the denial of a casino alcoholic beverage license, the applicant may submit a written request to the commission for a review of such determination. The commission or its designee shall confirm the denial or grant the application within 30 days of the request for review.

9 NYCRR 5328.5 - Form and posting of license

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-42-16-00002-A · Adopted rule
Related notice published: Dec 28, 2016
Related notice effective date: Dec 28, 2016

(a)Following the grant of a casino alcoholic beverage license, the commission shall issue a license document that contains at a minimum:

(1)a complete identification of the applicant’s identity and address;

(2)any conditions; and

(3)the signature of the secretary of the commission.

(b)Each casino alcoholic beverage license shall at all times be displayed in a conspicuous place in the gaming facility where alcoholic beverages are sold or distributed so that all patrons visiting such licensed area may readily see such license.

(c)Each point of sale location approved under the casino alcoholic beverage license shall display a certificate issued by the commission for that point of sale location.

9 NYCRR 5328.6 - Duration

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-42-16-00002-A · Adopted rule
Related notice published: Dec 28, 2016
Related notice effective date: Dec 28, 2016

A casino alcoholic beverage license shall expire two years from the date of issuance and shall be renewable thereafter for a period of no less than three years. An application to renew a casino alcoholic beverage license shall be submitted to the commission at least 30 days prior to the expiration of the license.

9 NYCRR 5328.7 - Restrictions and limitations

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-42-16-00002-A · Adopted rule
Related notice published: Dec 28, 2016
Related notice effective date: Dec 28, 2016

(a)Any violation of the Alcoholic Beverage Control Law, the regulations and rulings promulgated by the State Liquor Authority, Racing, Pari-Mutuel Wagering and Breeding Law section 1340 or this Part by a casino alcoholic beverage license or its agents or employees shall be grounds for suspension or revocation of a casino alcoholic beverage license or other disciplinary action, including, without limitation, monetary penalties following notice and an opportunity for a hearing.

(b)Pursuant to Racing, Pari-Mutuel Wagering and Breeding Law section 1340(5), the commission may from time to time by means of bulletins, special rulings or findings notify casino alcoholic beverage licensees of provisions of the Alcoholic Beverage Control Law and rules, regulations, bulletins, orders, and advisories promulgated by the State Liquor Authority that are inapplicable to gaming facilities or portions of gaming facilities.

(c)Pursuant to Racing, Pari-Mutuel Wagering and Breeding Law section 1340(8), a gaming facility licensee holding a casino alcoholic beverage license may provide complimentary alcoholic beverages to a patron under the following conditions:

(1)there shall be no delivery of more than two drinks to one patron at a time, except that a bottle of wine may be served to one or more patrons;

(2)there shall be no sale or delivery to any patron an unlimited number of drinks during any set period of time for a fixed price (i.e., open bar), except at invitation-only private functions not open to the public;

(3)there shall be no game or contest that involves drinking alcoholic beverages or the awarding of alcoholic beverages as prizes; and

(4)there shall be no service of any alcoholic beverage to minors.

9 NYCRR 5328.8 - Special events

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-42-16-00002-A · Adopted rule
Related notice published: Dec 28, 2016
Related notice effective date: Dec 28, 2016

A gaming facility licensee seeking to serve alcoholic beverages in an unlicensed area of the facility shall submit a Special Event Casino Alcoholic Beverage permit application, on a form the commission prescribes. The commission shall approve the application and issue the permit if the commission determines that the application contains all required information and issuance would not compromise the integrity of gaming or the public health, welfare or safety. The application shall be submitted to the commission at least 30 days prior to the proposed event and contain, at a minimum:

(a)name and description of the event;

(b)a description of the mapped location of the event;

(c)date, time and duration of the event;

(d)a copy of the advertisement, program and promotional material for the event;

(e)number of persons anticipated to attend the event;

(f)admission price to the event;

(g)type of alcoholic beverages to be served;

(h)security and staffing arrangements;

(i)the identity of any jointly responsible person, persons, sponsor or sponsors, including the contact information and casino vendor enterprise license or registration number or numbers issued in accordance with Part 5307 of this Title; and

(j)the identities of the licensed employees for the special event area, including the license or registration numbers of such employees issued in accordance with Parts 5304 through 5306 of this Title.

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