Home » 2016 Issues » June 08, 2016 » SGC-12-16-00002-A Problem Gambling Awareness and Training and to Establish a Process for Gaming Facility Patron Self-Exclusion
SGC-12-16-00002-A Problem Gambling Awareness and Training and to Establish a Process for Gaming Facility Patron Self-Exclusion
6/8/16 N.Y. St. Reg. SGC-12-16-00002-A
NEW YORK STATE REGISTER
VOLUME XXXVIII, ISSUE 23
June 08, 2016
RULE MAKING ACTIVITIES
NEW YORK STATE GAMING COMMISSION
NOTICE OF ADOPTION
I.D No. SGC-12-16-00002-A
Filing No. 508
Filing Date. May. 24, 2016
Effective Date. Jun. 08, 2016
Problem Gambling Awareness and Training and to Establish a Process for Gaming Facility Patron Self-Exclusion
PURSUANT TO THE PROVISIONS OF THE State Administrative Procedure Act, NOTICE is hereby given of the following action:
Action taken:
Addition of Parts 5325-5326; and amendment of section 5300.1 of Title 9 NYCRR.
Statutory authority:
Racing, Pari-Mutuel Wagering and Breeding Law, sections 104(19), 1307(2)(p), 1344, 1345, 1362 and 1363
Subject:
Problem gambling awareness and training and to establish a process for gaming facility patron self-exclusion.
Purpose:
To promote best responsible gaming practices and establish a process for gaming facility patron self-exclusion.
Text of final rule:
§ 5300.1. Definitions.
Sections 5300.1(f) through (m) are redesignated as (g) through (n)
(f) Excluded person means a person who is excluded from a gaming facility pursuant to Part 5326 of this Subchapter.
Title 9 of the NYCRR would be amended to add new Parts 5325 and 5326, to read as follows:
PART 5325
Problem Gambling Prevention and Outreach
§ 5325.1. Purpose, scope and applicability.
The purpose of this Part is to establish standards, criteria and procedures by which the commission and gaming facility licensees maximize the effectiveness of a problem gambling prevention and outreach program established pursuant to section 5325.2 of this Part for individuals, families and communities, as well as promote best responsible gaming practices in all aspects of gaming facility activities and use principles of responsible gaming in introducing new and emerging technologies.
§ 5325.2. Problem gambling plan.
(a) At least 90 days prior to projected issuance of an operation certificate, a gaming facility licensee shall submit for commission review and approval a problem gambling plan.
(b) A problem gambling plan shall include the following:
(1) the goals of the plan, including procedures and timetables to implement the plan;
(2) identification of the individual who will be responsible for implementation and maintenance of the plan;
(3) policies and procedures that clearly illustrate:
(i) the commitment of the gaming facility licensee to train appropriate employees;
(ii) the duties and responsibilities of the employees designated to implement or participate in the problem gambling plan;
(iii) procedures for compliance with the self-exclusion program set forth in Part 5326 of this Subchapter;
(iv) procedures to identify patrons and employees exhibiting suspected or known problem gambling behavior;
(v) procedures to limit or prevent loyalty and other rewards and marketing programs for patrons exhibiting suspected or known problem gambling behavior;
(vi) procedures for providing information to individuals and responding to patron/employee requests for information in regard to the self-exclusion program and any community, public and private treatment services, gamblers anonymous programs and similar treatment or addiction therapy programs designed to prevent, treat or monitor problem gamblers and to counsel family members;
(vii) the provision of printed material to educate patrons and employees about problem gambling and to inform them about the self-exclusion program set forth in Part 5326 of this Subchapter and treatment services available to problem gamblers and their families. The gaming facility licensee shall provide examples of the materials to be used as part of its problem gambling plan, including brochures and other printed material and a description of how the material will be disseminated;
(viii) advertising and other marketing and outreach to educate the general public about problem gambling and the self-exclusion program set forth in Part 5326 of this Subchapter;
(ix) an employee training program as set forth in section 5325.3 of this Part, including sample training materials to be used and a plan for periodic reinforcement training and a certification process established by the gaming facility applicant to verify that each employee has completed the training required by the plan;
(x) procedures to prevent underage gambling;
(xi) procedures to prevent patrons impaired by drugs or alcohol, or both, from gambling; and
(xii) a signage plan containing information on gambling treatment and on the self-exclusion program set forth in Part 5326 of this Subchapter. The gaming facility licensee shall provide examples of the language and graphics to be used on the signs as part of the problem gambling plan. Additionally, the signage plan shall include posting of signs on appropriate languages other than English, depending upon the patron demographics in a facility.
(4) a list of community, public and private treatment services, gamblers anonymous programs and similar treatment therapy programs designed to prevent, treat, or monitor problem gamblers and to counsel family members and procedures for making such list available upon request; and
(5) any other information, documents and policies and procedures as the commission may request.
(c) Each gaming facility licensee shall submit to the commission for review and approval any amendments to such gaming facility licensee’s problem gambling plan at least 30 days prior to the intended implementation of such amendment. The gaming facility 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 (d) of this section objecting to such amendment.
(d) 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 gaming facility 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.
(e) When an amendment has been objected to pursuant to subdivision (d) of this section, the gaming facility licensee may submit a revised amendment for review pursuant to subdivision (c) of this section.
§ 5325.3. Employee training program.
(a) The employee training program required pursuant to subparagraph (viii) of paragraph (3) of subdivision (b) of section 5325.2 shall include instruction in the following:
(1) characteristics and symptoms of problem gambling behavior;
(2) the relationship of problem gambling to other addictive behavior;
(3) techniques to be used when problem gambling is suspected or identified;
(4) techniques to be used to discuss problem gambling with patrons and advise patrons in regard to community, public and private treatment services;
(5) procedures designed to prevent serving alcohol to visibly intoxicated patrons;
(6) procedures designed to prevent persons from gambling after having been determined to be visibly intoxicated;
(7) procedures for the dissemination of written materials to patrons explaining the self-exclusion program as set forth in Part 5326 of this Subchapter;
(8) procedures for removing an excluded person, as defined in section 5300.1 of this Subchapter, an underage individual or a person on the self-exclusion list from a gaming facility, including, if necessary, procedures that include obtaining the assistance of appropriate law enforcement personnel;
(9) procedures to prevent an excluded person or a person on the self-exclusion list from being mailed any advertisement, promotion or other target mailing as soon as practicable after receiving notice from the commission that the person has been placed on the excluded person or self-exclusion list;
(10) procedures to prevent an individual under 21 years of age from receiving any advertisement, promotion or other target mailing;
(11) procedures to prevent an excluded person, an individual under 21 years of age or a person on the self-exclusion list from directly accessing or receiving complimentary services, or other like benefits; and
(12) procedures to prevent an excluded person, an individual under 21 years of age or a person on the self-exclusion list from cashing checks or vouchers that require ID on gaming facility premises.
(b) Training and training materials shall be reviewed annually to be updated, if applicable, to include new or revised information on responsible and problem gambling or empirical research.
(c) Training for employees shall be conducted by a person with specialized knowledge, skill, training and experience in responsible gaming training programs as part of the employee's orientation.
(d) Employees who have received training shall be acknowledged by the gaming facility licensee upon completion of training.
(e) Employees are required to receive periodic reinforcement training at no less than once every 12 months, starting with the year following the year in which the employee was hired. The gaming facility licensee shall retain a record of the date of the reinforcement trainings.
(f) Employees shall report suspected or identified problem gamblers to a designated casino key employee or other designated supervisory employee.
(g) Gaming facility licensees may collaborate with a person with specialized knowledge, skill, training and experience in responsible gaming employee training programs to develop an in-house or Internet-based employee training program to provide the training and reinforcement training required under this Part.
§ 5325.4. Reports.
(a) Each gaming facility licensee shall submit to the commission quarterly updates and an annual summary of its problem gambling plan and goals.
(b) The quarterly updates and annual summary must contain, at a minimum, detailed information in regard to:
(1) employee training, including the dates of live or Internet-based new-hire and annual reinforcement problem gambling training, the individual or group who conducted the training, the number of employees who completed the new hire problem gambling training and the number of employees who completed the annual reinforcement problem gambling training;
(2) an estimated amount of printed materials provided to patrons in regard to problem gambling, the self-exclusion program, responsible gambling and available treatment services;
(3) the annual dollar amount spent on the problem gambling plan for employee training, printed materials and outreach including information on sponsorships, memberships and other problem-gambling-related expenditures; and
(4) additional information including:
(i) the number of underage individuals who were denied access to the gaming floor;
(ii) the number of self-excluded individuals who were discovered on the gaming floor at the gaming facility;
(iii) the number of signs within the gaming facility that contain the approved problem gambling statement and helpline number; and
(iv) a summary of any additional employee training, problem gambling related conferences or problem gambling awareness events conducted by the gaming facility licensee or in which employees of the gaming facility licensee participated.
§ 5325.5. Signage.
Each gaming facility licensee shall post signs in a size as approved in writing by the commission that include the problem gambling assistance message as set forth in section § 5325.6 of this Part at each of the following locations:
(a) within 50 feet of each entrance and exit of the gaming facility or at a distance otherwise approved in writing by the commission;
(b) above or below the cash-dispensing opening on all automated teller machines, automated gaming voucher and coupon redemption machines and other machines that dispense cash to patrons at the gaming facility;
(c) on all gaming devices;
(d) in all gaming facility employee break areas;
(e) in the player club location or locations;
(f) in or near cage areas; and
(g) in any other location, as the commission may require.
§ 5325.6. Advertising.
(a) Advertisements used by a gaming facility licensee shall comply with Racing, Pari-Mutuel Wagering and Breeding Law section 1363 and with advertising guidelines issued by the National Council on Problem Gambling.
(b) Advertisements shall contain a problem gambling assistance message comparable to one of the following:
(1) If you or someone you know has a gambling problem, help is available. Call (877-8-HOPENY) or text HOPENY (46769);
(2) Gambling Problem? Call (877-8-HOPENY) or text HOPENY (46769); or
(3) any other message approved in writing by the commission.
(c) Unless otherwise approved in writing by the commission, the problem gambling assistance message shall meet the following requirements:
(1) for signs, direct mail marketing materials, posters and other print advertisements, the height of the font used for the problem gambling assistance message must be the greater of:
(i) the same size as the majority of the text used in the sign, direct mail marketing material, poster or other print advertisement; and
(ii) two percent of the height or width, whichever is greater, of the sign, direct mail marketing material, poster or other print advertisement;
(2) for billboards, the height of the font used for the problem gambling assistance message must be at least five percent of the height or width, whichever is greater, of the face of the billboard;
(3) for video and television, the problem gambling assistance message must be visible for either:
(i) the entire time the video or television advertisement is displayed, in which case the height of the font used for the problem gambling assistance message must be at least two percent of the height or width, whichever is greater, of the image that will be displayed; or
(ii) from the first time a table game, table game device, slot machine, associated equipment or gaming facility name is displayed or orally referenced, and on a dedicated screenshot visible for at least the last three seconds of the video or television advertisement. If the gaming facility licensee elects to use this option, the height of the font used for the problem gambling assistance message displayed:
(a) during the advertisement must be at least two percent of the height or width, whichever is greater, of the image that will be displayed; and
(b) on the dedicated screen shot must be at least eight percent of the height or width, whichever is greater, of the image that will be displayed;
(4) for websites, including social media sites and mobile phone applications:
(i) the problem gambling assistance message must be posted on each webpage or profile page and on any gaming-related advertisement posted on the webpage or profile page;
(ii) the height of the font used for the problem gambling assistance message must be at least the same size as the majority of the text used in the webpage or profile page; and
(iii) for advertisements posted on the webpage or profile page, the height of the font used for the problem gambling assistance message must comply with subparagraph (ii) of this paragraph.
PART 5326
Self-Exclusion
§ 5326.1. Request for self-exclusion.
As set forth in Racing, Pari-Mutuel Wagering and Breeding Law section 1344, the commission shall provide for the establishment of a list of persons who have chosen voluntarily to be excluded from participation in all gaming activities and to be prohibited from collecting any winnings or recovering any losses at gaming facilities. For purposes of this Part, the term “gaming facility” shall mean any room, premises or designated gaming area where gaming is conducted.
(a) A person requesting placement on the self-exclusion list shall submit to the commission a request for self-exclusion from gaming activities. The submission may be made by appearing at the commission’s Schenectady office during regular business hours or at designated commission offices. Persons who are unable to travel to a commission office due to employment, financial or medical reasons may request, in writing, a reasonable accommodation in a manner or at a site and time designated at the sole discretion of the commission secretary. Nothing in this section shall require that an accommodation be granted.
(b) A request for self-exclusion from gaming activities shall include the following identifying information:
(1) name, including any aliases or nicknames;
(2) date of birth;
(3) address of current residence;
(4) telephone number;
(5) social security number, when voluntarily provided in accordance with section seven of the Privacy Act of 1974 (5 U.S.C. § 552a) or Article 6-A of the N.Y. Public Officers Law (Personal Privacy Protection Law);
(6) height, weight, gender, hair color, eye color and any other physical characteristic that may assist in the identification of the person; and
(7) a copy of a current government-issued photo identification such as a driver’s license or passport.
(c) Any person requesting self-exclusion pursuant to this Part shall be required to have his or her photograph taken by the commission upon submission of the request.
(d) A self-excluded person shall update any of the information provided in subdivision (b) of this section within 30 days of any change.
(e) The length of self-exclusion requested by a person shall be one of the following:
(1) one year;
(2) five years; or
(3) lifetime.
(f) Each person requesting self-exclusion shall provide:
(1) a waiver and release that shall release and forever discharge the State of New York, the commission and its employees and agents and all gaming facility licensees and their employees and agents, from any liability to the person requesting self-exclusion and his or her heirs, administrators, executors and assigns for any harm, monetary or otherwise, that may arise out of or by reason of any act or omission relating to the request for self-exclusion or request for removal from the self-exclusion list, including:
(i) the processing or enforcement of the self-exclusion request;
(ii) the failure of a gaming facility licensee to withhold gaming privileges from, or restore gaming privileges to, a self-excluded person;
(iii) permitting a self-excluded person to engage in gaming activity in a gaming facility while on the list of self-excluded persons; and
(iv) disclosure of the information contained in the self-exclusion request or list, except for a willfully unlawful disclosure of such information; and
(2) the signature of the person submitting the request for self-exclusion, indicating acknowledgment of the following statement:
“I voluntarily request exclusion from all casino gaming activities at all licensed New York gaming facilities. I certify that the information that I have provided above is true and accurate, and that I have read and understand and agree to the waiver and release included with this request for self-exclusion. I am aware that my signature below authorizes the Commission to direct all New York gaming facility licensees to restrict my gaming activities in accordance with this request and, unless I have requested to be excluded for life, until such time as the Commission removes my name from the self-exclusion list. I am aware and agree that during any period of self-exclusion, I shall not collect any winnings or recover any losses resulting from any gaming activity at all licensed gaming facilities, and that any money or thing of value obtained by me from, or owed to me by, a gaming facility licensee as a result of wagers made by me while on the self-exclusion list shall be subject to forfeiture.”;
(g) The commission shall document a description of the type of identification credentials examined containing the signature of a person requesting self-exclusion, and whether said credentials included a photograph or general physical description of the person.
(h) The commission shall document the signature of the commission employee authorized to accept a self-exclusion request, indicating that the signature of the person on the request for self-exclusion appears to agree with that contained on the requester’s identification credentials and that any photograph or physical description of the person appears to agree with the requester’s actual appearance.
(i) Each self-excluded person shall acknowledge that no gaming facility shall allow such person to redeem any points or complimentaries earned by such person as of the time such person completes the request for placement on the self-exclusion list. Points or complimentaries refer to credits earned by a person under the terms of a licensee’s marketing program and shall include, without limitation, food vouchers or coupons, chip or free play vouchers or coupons, hotel complimentaries or any other such noncash benefit owing to such person. The terms and conditions of the player club shall remain in effect during the period of self-exclusion.
(j) Each person requesting self-exclusion for one or five years shall be advised that if such person is found violating the rules set forth in this Part, in addition to any other penalty that may otherwise be imposed, the commission shall revise the start date of such person’s self-exclusion period to correspond with the date such violation occurred.
§ 5326.2. Self-exclusion list.
(a) The commission shall maintain the official self-exclusion list and notify each gaming facility licensee of additions to or deletions from the list within five business days of the verification of the information received pursuant to section 5326.1 of this Part.
(b) The notice that the commission provides to gaming facility licensees shall include the information provided pursuant to subdivision (b) of section 5326.1 of this Part and a copy of the photograph taken by the commission pursuant to subdivision (c) of section 5326.1 of this Part.
(c) A gaming facility licensee shall maintain a current copy of the self-exclusion list and ensure that all appropriate employees and agents of the gaming facility licensee are promptly notified of any addition to or deletion from the list within three business days after the day notice is provided to each gaming facility licensee.
(d) Gaming facility licensees, employees or agents thereof may not disclose the name of, or any information about, a person who has requested self-exclusion to anyone other than employees and agents of the gaming facility licensee whose duties and functions require access to the information. Notwithstanding anything to the contrary in this subdivision, a gaming facility licensee may disclose the identity of a self-excluded person to appropriate employees of other gaming facility licensees in the State of New York or affiliated gaming entities in other jurisdictions for the limited purpose of assisting in the proper administration of responsible gaming programs.
(e) A self-excluded person shall not collect in any manner any winnings or recover any losses arising as a result of any gaming activity for the period of time that such person is on the commission's self-exclusion list, as required by Racing, Pari-Mutuel Wagering and Breeding Law section 1345(1).
(f) Winnings of a self-excluded person shall be subject to forfeiture and deposited into the commercial gaming revenue fund, subject to the requirements of Racing, Pari-Mutuel Wagering and Breeding Law 1345(3).
(g) For the purposes of this section, winnings issued to, found on or about, or redeemed by, a self-excluded person shall be presumed to constitute winnings subject to remittance to the commission.
§ 5326.3. Duties of gaming facility licensees.
(a) A gaming facility licensee shall train its employees and establish procedures to:
(1) identify a self-excluded person when present on the gaming floor, in areas off the gaming floor where gaming activity is conducted or engaging in gaming-related activities and, upon identification, immediately notify, unless section 5326.5 of this Part applies, the following persons:
(i) employees of the gaming facility licensee whose duties include the removal of self-excluded persons;
(ii) the commission’s designated staff at the licensed facility; and
(iii) if the gaming facility licensee deems appropriate, a law enforcement agency;
(2) refuse wagers from and deny gaming privileges to a self-excluded person;
(3) deny gaming-related activities including casino credit, check-cashing privileges, player club membership, complimentary goods and services, redemption of any previously earned complimentary goods and services, gaming junket participation and other similar privileges and benefits to a self-excluded person;
(4) ensure that self-excluded persons do not receive, either from the gaming facility licensee or any agent thereof, gaming junket solicitations, targeted mailings, telemarketing promotions, player club materials or other promotional materials relating to gaming activities at its licensed facility;
(5) comply with section 5326.2 of this Part; and
(6) make available to patrons written materials explaining the self-exclusion program and resources for treatment and assistance.
(b) A gaming facility licensee shall submit amendments to the procedures and training materials required under subdivision (a) of this section to the commission for review and approval at least 30 days prior to the intended implementation date of such amendments. Such gaming facility licensee may implement the amendments on the 30th calendar day following the submission of such amendments unless such gaming facility licensee receives a notice under subdivision (d) of this section objecting to such amendments.
(c) If during the 30-day review period the commission determines that an amendment is inconsistent with the intent of this Part, the commission shall, by written notice to the gaming facility licensee, object to such amendment. The objection shall:
(1) specify the nature of the objection and, when possible, an acceptable alternative; and
(2) direct that the amendments not be implemented until approved by the commission.
(d) When amendments to procedures and training materials have been objected to pursuant to subdivision (c) of this section, a gaming facility licensee may submit revised amendments in accordance with subdivision (b) of this section.
(e) Each gaming facility licensee shall post signs within 50 feet of each entrance and exit of the gaming facility or at a distance otherwise approved in writing by the commission indicating that a person who is on the self-exclusion list will be subject to arrest for trespassing pursuant to Penal Law sections 140.10, 140.15 and 140.17 if such person is on the gaming floor, in areas off the gaming floor where gaming activity is conducted or engaging in gaming-related activities in the gaming facility. The text and font size of such signs shall be submitted to the commission for review and approval.
§ 5326.4. Removal from self-exclusion list.
For a person who is self-excluded for one year or five years, upon the conclusion of such period of self-exclusion, such person shall be removed from the self-exclusion list unless such person requests in writing, no later than 30 days prior to the expiration of such self-exclusion period, that the commission extend the term of such self-exclusion.
§ 5326.5. Exceptions for individuals on the self-exclusion list.
The prohibition against allowing self-excluded persons to be on the gaming floor or in areas off the gaming floor where gaming activity is conducted shall not apply to a person who is on the self-exclusion list, if all of the following apply:
(a) the individual is carrying out the duties of employment or incidental activities related to employment;
(b) the gaming facility licensee's security department has received prior notice, unless it was impracticable to have done so;
(c) access to the gaming floor or areas off the gaming floor where gaming activity is conducted is limited to the time necessary to complete the individual's assigned duties; and
(d) the individual does not otherwise engage in gaming activities.
§ 5326.6. Disclosure of information related to persons on the self-exclusion list.
(a) Information furnished to or obtained by the commission pursuant to this Part shall be deemed confidential and not be disclosed as disclosure would constitute an unwarranted invasion of personal privacy under the provisions of the Public Officers Law section 89(2);
(b) The commission may periodically release to the public demographics and general information in regard to the self-exclusion list, such as the total number of persons on the list, gender breakdown and age range.
(c) The commission may make selected data available, upon request, for the limited purpose of assisting in the proper administration of responsible gaming programs.
Final rule as compared with last published rule:
Nonsubstantive changes were made in Parts 5323 and 5324.
Text of rule and any required statements and analyses may be obtained from:
Kristen Buckley, Acting Secretary, New York State Gaming Commission, One Broadway Center, Schenectady, NY 12305, (518) 388-3407, email: gamingrules@gaming.ny.gov
Revised Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural Area Flexibility Analysis and Job Impact Statement
The Commission has renumbered the following regulations proposed in the March 23, 2016 State Register: Part 5323 Problem Gambling, Prevention and Outreach to Part 5325 and Part 5324 Self-Exclusion to Part 5326. The renumbering is not a substantive amendment to the proposed regulations and, therefore, does not necessitate a revision to the previously published RIS and consolidated RFA, RAFA and JIS statement.
Initial Review of Rule
As a rule that does not require a RFA, RAFA or JIS, this rule will be initially reviewed in the calendar year 2021, which is no later than the 5th year after the year in which this rule is being adopted
