9 NYCRR Part 5401 - 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 5401.1 - Access to personal information.

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

Access to personal information.

In accordance with article 6-A of the Public Officers Law, the Personal Privacy Protection Law, the following procedures are prescribed by which members of the public may assert rights granted by the Personal Privacy Protection Law:

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

(b)The person to whom such requests shall be made, and from whom such records or copies thereof may be obtained and certified, shall be the individual(s) designated by the executive director as the commission’s Privacy Compliance Officer(s). The duties of the Privacy Compliance Officer shall be:

(1)assisting data subject in identifying and requesting personal information, if necessary;

(2)describing the contents of systems records orally or in writing in order to enable a data subject to learn if a system of records includes a record or personal information identifiable to a data subject requesting such record or personal information;

(3)taking one of the following actions upon locating the record sought:

(i)make the record available for inspection, in a printed form without codes or symbols, unless an accompanying document explaining such codes or symbols is also provided;

(ii)deny access to the record in whole or in part and explain in writing the reasons therefor;

(iii)make a copy available, upon request, upon payment of established fees, if any, or permitting the data subject to copy the records; and

(4)(i) upon request, certifying that copy of the record is a true copy; or

(ii)certifying, upon request, that:

(a)the commission does not have possession of the record sought;

(b)the commission cannot locate the record sought after having made a diligent search; or

(c)the information sought cannot be retrieved by use of the description thereof, or by use of the name or other identifier of the data subject without extraordinary search methods being employed by the commission.

(c)Records shall be made available at the main office of the commission, which is located at 354 Broadway, Schenectady, NY 12305.

(d)The commission shall accept requests for records and produce records during the hours of 10 a.m. to 4 p.m. on each business day.

(e)Proof of identity.

(1)When a request is made in person, or when records are made available in person following a request made by mail, the commission may require appropriate identification, such as driver's license, an identifier assigned to the data subject by the commission, a photograph or similar information that confirms that the record sought pertains to the data subject.

(2)When a request is made by mail, the commission may require verification of a signature or inclusion of an identifier generally known only by a data subject, or similar appropriate identification.

(3)Proof of identity shall not be required regarding a request for a record accessible to the public pursuant to article 6 of the Public Officers Law.

9 NYCRR 5401.2 - Request for records

Source version current through Nov 15, 2021

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021

(a)All requests shall be made in writing, except that the commission may make records available upon an oral request made in person after the applicant has demonstrated proof of identity.

(b)A request shall reasonably describe the record sought. Whenever possible, the data subject should supply identifying information that assists the commission in locating the records sought.

(c)Within five business days of the receipt of a request, the commission shall provide access to the record, deny access in writing, explaining the reasons therefor, or acknowledge the receipt of the request in writing, stating the approximate date when the request will be granted or denied, which date shall not exceed 30 days from the date of the acknowledgment.

9 NYCRR 5401.3 - Amendment 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

Amendment of records.

(a)Within 30 business days of a request from a data subject for correction or amendment of a record or personal information that is reasonably described and that pertains to the data subject, the commission shall:

(1)make the amendment or correction in whole or in part and inform the data subject that, on request, such correction or amendment will be provided to any person or governmental unit to which the record or personal information has been or is disclosed pursuant to paragraph (d), (i) or (l) of subdivision 1 of section 96 of the Public Officers Law; or

(2)inform the data subject in writing of its refusal to correct or amend the record, including the reasons therefor.

(b)Denial of a request for records or amendment or correction of a record or personal information:

(1)shall be in writing, explaining the reasons therefor; and

(2)identifying the person to whom an appeal may be directed.

(c)A failure to grant or deny access to records within five business days of the receipt of a request, or within 30 days of an acknowledgment of the receipt of a request, or a failure to respond to a request for amendment or correction of a record within 30 business days of receipt of such a request, shall be construed as a denial that may be appealed.

(d)Any such denial may be appealed to: Privacy Compliance Law Appeals Officer c/o Counsel New York State Gaming Commission 354 Broadway Schenectady, NY 12305

9 NYCRR 5401.4 - Appeal

Source version current through Nov 15, 2021

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021

(a)Any person denied access to a record or denied a request to amend or correct a record or personal information pursuant to section 5401.3 of this Part may, within 30 days of such denial, appeal to the commission’s Personal Privacy Compliance Appeals Officer, who is the counsel or a designee of the counsel.

(b)The time for deciding an appeal shall commence upon receipt of an appeal that identifies:

(1)the date and location of a request for a record or amendment or correction of a record or personal information;

(2)the record that is the subject of the appeal; and

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

(c)Within seven business days of an appeal of a denial of access, or within 30 days of an appeal concerning a denial of a request for correction or amendment, the person determining such appeals shall:

(1)provide access to or correct or amend the records or personal information; or

(2)fully explain in writing the factual and statutory reasons for further denial, and inform the data subject of the right to seek judicial review of such determination.

(d)If, on appeal, a record of personal information is corrected or amended, the data subject shall be informed that, on request, the correction or amendment will be provided to any person or governmental unit to which the record or personal information has been or is disclosed pursuant to paragraph (d), (i) or (l) of subdivision 1 of section 96 of the Public Officers Law.

(e)The commission shall forward to the Committee on Open Government a copy of any appeal made pursuant to this Part upon receipt, the determination thereof and the reasons therefor at the time of such determination.

9 NYCRR 5401.5 - Statement of disagreement by data subject

Source version current through Nov 15, 2021

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021

(a)If correction or amendment of a record or personal information is denied in whole or in part upon appeal, the determination rendered pursuant to the appeal shall inform the data subject of the right to:

(1)file with the commission a statement of reasonable length setting forth the data subject's reasons for disagreement with the determination;

(2)request that such a statement of disagreement be provided to any person or governmental unit to which the record has been or is disclosed pursuant to paragraph (d), (i) or (l) of subdivision 1 of section 96 of the Public Officers Law.

(b)Upon receipt of a statement of disagreement by a data subject, the commission shall:

(1)clearly note any portions of the record that are disputed; and

(2)attach the data subject's statement as part of the record.

(c)When providing a data subject's statement of disagreement to a person or governmental unit in conjunction with a disclosure made pursuant to paragraph (d), (i) or (l) of subdivision 1 of section 96 of the Public Officers Law, the commission may also include a concise statement of its reasons for not making the requested amendment or correction.

9 NYCRR 5401.6 - Fees

Source version current through Nov 15, 2021

Later State Register activity may affect this section.

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Nov 15, 2021

(a)Unless otherwise prescribed by statute, there shall be no fee charged for:

(1)inspection of records;

(2)search for records; or

(3)any certification pursuant to this Part.

(b)Unless otherwise prescribed by statute, copies of records shall be provided:

(1)at a rate of 25 cents per photocopy up to 9 by 14 inches; or

(2)upon payment of the actual cost of reproduction, if the record or personal information cannot be photocopied.

(c)The actual cost of reproduction shall be based upon the average unit cost for copying a record, excluding fixed costs of the commission, such as operator salaries and overhead.

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