9 NYCRR Part 5400 - Executive Department

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Source versions current through Nov 15, 2021 - Sep 30, 2026 across sections

Sections in this Part carry different compiled dates; each section shows its own.

9 NYCRR 5400.1 - Public inspection of records.

Source version current through Sep 30, 2026

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: Sep 30, 2026
Related Register notice: SGC-15-24-00011-A · Adopted rule
Related notice published: Jul 10, 2024
Related notice effective date: Jul 10, 2024

Public inspection of records.

In accordance with article 6 of the Public Officers Law, the Freedom of Information Law, the following procedures are prescribed for making available to the public for inspection and copying all of the records and materials mandated by such law for such purposes.

(a)Application shall be made on printed forms prescribed by the commission and submitted either personally or by mail to the New York State Gaming Commission, 354 Broadway, Schenectady, NY 12305, Attention: Records Access Officer.

(b)The person to who such request shall be made and from whom such records or copies thereof may be obtained and certified shall be the individual designated by the executive director, who shall be deemed the “records access officer” of the commission. In cases where the fiscal officer is required to furnish certain records, requests shall nevertheless be made through the records access officer, who will inform the fiscal officer to make the necessary arrangements. The duties of the records access officer shall be:

(1)assist the applicant in identifying the record or records sought;

(2)determine whether the record is available for inspection;

(3)search for the identified record and, upon locating the record, take one of the following actions:

(i)review such record and delete any information that would constitute an unwarranted invasion of personal privacy and thereafter make the record promptly available for inspection or schedule an appointment for inspection; or

(ii)deny access to the record;

(4)upon request, for copies of records, make copies available upon payment of the established fees;

(5)certify, upon request, to the correctness of the copies of the records;

(6)if the record cannot be located, take one of the following actions:

(i)certify in writing that the corporation is not the legal custodian for such records; or

(ii)certify in writing that the record of which the corporation is a legal custodian cannot be found;

(7)if access is denied, advise the applicant of the right to appeal to the authorized representative of the commission; and

(8)compile and update, not less than semiannually, a reasonably detailed list, by subject matter, of any records required by the Freedom of Information Law to be made available for public inspection and copying.

(c)Applications will be entertained during the hours of 10 a.m. to 4 p.m. on each business day.

(d)The records access officer shall respond to the applicant, within five days of a request for inspection or copying of records, by:

(1)appointing a time for inspection or copying the requested records;

(2)providing a written statement of denial, which shall include notice of the right to appeal to the records access appeals officer, together with the name, title, business address and telephone number of the records access appeals officer; or

(3)informing the applicant that the applicant’s request for inspection or copying of records has been reported to the person, association, corporation or other legal entity that filed the records requested with the commission, so that such person, association, corporation or legal entity may have an opportunity to protest the inspection or copying of such records as not being available pursuant to the exception provisions of the Public Officers Law.

(e)If more than five days are required to produce records, an explanation shall be sent within five days of the request to the applicant, indicating the reason for and extent of the delay anticipated. If access to records is neither granted nor denied within 10 business days after the date of acknowledgment of receipt of request, the request may be construed as a denial of access that may be appealed.

(f)Inspection shall take place in a room designated by the commission, and in the presence of such commission representatives as may be designated.

(g)If feasible to the operations of the business of the commission, then the commission may furnish copies of such materials at a price of 25 cents per page, up to size 8½ inches by 14 inches per page. If not feasible, then the commission may arrange by private contract for such copying to be performed, the cost to be borne by the applicant.

(h)All charges for copying must be paid in advance to the commission.

(i)The records access appeals officer is the counsel or a designee of the counsel.

9 NYCRR 5400.2 - Appeals of denial of access to records

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-33-20-00006-A · Adopted rule
Related notice published: Dec 16, 2020
Related notice effective date: Dec 16, 2020

(a)Any person who has been denied access to records by the records access officer may appeal such denial to the records access appeals officer.

(b)The appeal must be made within 30 days of the denial of access, as required by Public Officers Law section 89(4)(a).

(c)The time for deciding on an appeal by the records access appeals officer shall commence upon receipt by the records access appeals officer of the written appeal, which shall identify:

(1)the date and location of requests made for records;

(2)the records to which the applicant was denied access; and

(3)the name and return address of the applicant.

(d)The records access appeals officer shall, within 10 business days of the receipt of a written appeal, review the matter and affirm, modify or reverse the denial, as required by Public Officers Law section 89(4)(a).

(e)If the records access appeals officer determines that the denial of access was erroneous, the records access appeals officer shall instruct the records access officer to allow the prompt inspection or copying of the records as requested.

(f)If the records access appeals officer affirms or modifies the denial, the records access appeals officer shall communicate his or her reasons in writing by either first class mail or electronic mail, if the person making the appeal has provided an electronic mail address, to the person making the appeal and inform such person of such person’s right of judicial appeal.

9 NYCRR 5400.3 - Protection of records containing trade secrets, confidential commercial information and critical infrastructure

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-33-20-00006-A · Adopted rule
Related notice published: Dec 16, 2020
Related notice effective date: Dec 16, 2020

(a)The records access officer may deny access to records or portions of records that constitute trade secrets; that are maintained for the regulation of a commercial enterprise and, if disclosed, would cause substantial injury to the competitive position of the subject enterprise; or that constitute critical infrastructure information.

(1)For purposes of this section, trade secret means information of a commercial enterprise:

(i)that is not generally published or divulged;

(ii)that gives such commercial enterprise an opportunity to obtain an advantage over competitors who do not know or use it; and

(iii)the disclosure of which would:

(a)cause substantial injury to the competitive position of the commercial enterprise; or

(b)if openly disclosed, permit an unfair advantage to competitors of the subject enterprise, including any record including, without limitation: any proprietary data concerning past, present or planned future distribution, sales volumes, costs, or prices; customer or client lists; devices; processes or plans; formulas; patterns; procedures; studies; analyses, plans, and surveys; compounds; cost records; and compilations of information and other confidential or proprietary information.

(2)For purposes of this section, critical infrastructure means systems, assets, places or things, whether physical or virtual, so vital to the State that the disruption, incapacitation or destruction of such systems, assets, places or things could jeopardize the health, safety, welfare or security of the State, its residents or its economy.

(b)A person may, at the time of submission of a record to the commission, request that the commission designate all or a portion of such record as a trade secret and that the commission except such record from disclosure pursuant to Public Officers Law sections 87(2)(d) and 89(5)(a)(1). A person may, at any time, request that the commission designate all or a portion of such record as critical infrastructure information and that the commission except such record from disclosure pursuant to Public Officers Law section 87(2) and 89(5)(a)(1-a). The record for which a trade secret designation is sought shall be labeled using such words as "trade secret," "confidential," "proprietary information" or words of similar import. Such request shall be in writing, identify the record for which a designation and exception from disclosure is being requested, and state the reasons why the information should be excepted from disclosure. Requests for designation and exception from disclosure of trade secrets shall indicate, if appropriate:

(1)the specific record requested to be considered a trade secret, including, where applicable, the page, form, line, chart or table designation;

(2)the confidential nature of the record, including a description of the nature and extent of the injury to the commercial enterprise's competitive position, such as unfair economic or competitive damage, that would be caused if the record is disclosed;

(3)whether the record is treated as confidential by the commercial enterprise, including whether the record has been made available;

(4)whether any patent, copyright or similar legal protection exists for the record;

(5)whether the public disclosure of such record is otherwise restricted by law, and the specific source and contents of such restrictions;

(6)the date upon which such record will no longer need to be kept confidential, if applicable;

(7)whether the request itself constitutes a record that, if disclosed, would defeat the purpose for which trade secret status is sought;

(8)whether the record is known outside of the business of the submitting commercial enterprise and the extent to which the record is known by its employees and others involved in the business of the commercial enterprise;

(9)the value of the record to the commercial enterprise and to its competitors;

(10)the amount of effort or money expended by the commercial enterprise in developing the records;

(11)the ease or difficulty with which the record could be properly acquired or duplicated by others; and

(12)any other factors considered relevant.

(c)When a record is submitted to the commission that a commercial enterprise deems to be a trade secret or to include critical infrastructure information, the record shall be excepted from disclosure. Each of the directors of the divisions of the commission, or their designees, shall be responsible for the custody of such records. Each commission employee who has custody of records containing designated trade secrets or critical infrastructure information shall take appropriate measures to safeguard such records and to protect against unauthorized disclosure. Records containing designated trade secrets or critical infrastructure information may be copied, distributed and evaluated only as required by authorized employees involved in the proper conduct of their State duties.

(d)On the initiative of the commission at any time, or upon the written request of any person for access to a record to which trade secret or critical infrastructure information status pursuant to subdivision (b) of this section has been granted or is pending, the commission shall follow the determination procedure set forth in Public Officers Law section 89(5).

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