N.Y. Comp. Codes R. & Regs. tit. 9 § 4300.27

Current through Register Vol. 46, No. 45, November 2, 2024

Section 4300.27 - Personnel requirements

(a) General requirements.

(1) A totalisator company must provide necessary personnel to perform the duties described in the rules. The totalisator company shall employ a sufficient number of personnel to ensure an adequate segregation of duties between the personnel performing the network manager, programmer, totalisator operator, and technician duties. The totalisator company may use job titles different from those in the rules.

(2) All totalisator personnel and personnel working for entities referenced in section 4300.7 of this Part located in or outside of New York State assigned to work on totalisator operations for a licensed pari-mutuel wagering facility in New York State must be licensed by the commission. All officers and directors of the totalisator company and entities referenced in section 4300.7 of this Part must be licensed by the commission. The fee for each license shall be $10.

(3) The totalisator company shall have procedures and documentation that show the verification of totalisator position applicants' experience and education as indicated on their job applications. The totalisator company must prescribe and maintain job descriptions containing the experience, education, and organization training requirements for each of the following totalisator positions:

(i) network manager;

(ii) programmer/software engineer;

(iii) systems analyst;

(iv) totalisator operator; and

(v) technicians.

(4) The totalisator company must certify in writing annually that its personnel are properly trained to program, manage, operate, and maintain the totalisator system. The totalisator company must provide ongoing training to its personnel and document the training.

(5) The totalisator company is responsible for the actions of its personnel relating to the operations and use of the totalisator system. The totalisator company shall designate an individual to act as a point of contact for communications between the commission and the totalisator company.

(6) With each license application, a totalisator company must include a list of all certified totalisator personnel assigned to work on totalisator operations in New York. The list must indicate the position for which each person is qualified. If a new employee is assigned to work on totalisator operations in New York, the totalisator company must update the list of certified personnel and provide it to the commission and ensure that each employee is properly licensed.

(7) A totalisator company employee may not hold a position of programmer and totalisator operator simultaneously unless approved by the commission.

(8) A totalisator company employee is prohibited from wagering while on duty.

(9) The totalisator company shall have a policy of mandatory time away from the job for each totalisator personnel within each calendar year.

(b) Network manager. A network manager shall:

(1) coordinate the totalisator company's totalisator systems operating in New York or at a specific site in New York;

(2) ensure each totalisator operator follows proper procedures when operating the totalisator system;

(3) determine the on-site and off-site storage locations for the back-up media;

(4) provide information and prepare any report requested by the authorized pari-mutuel wagering entity, the commission, or the New York State Department of Tax and Finance; and

(5) ensure a current list of personnel is maintained, all totalisator operators are qualified, and the appropriate pari-mutuel information is maintained within the operating system and application programs.

(c) Totalisator operator. A totalisator operator shall:

(1) maintain the communication links to the locations to and from which the authorized pari-mutuel wagering entity is simulcasting and ensure data is transmitted accurately;

(2) consult with the mutuel manager and the commission or duly appointed representative, if available, when a problem occurs in determining a pool or calculation and suggest alternatives for continued operation, including possible temporary restrictions on or suspension of the communication links;

(3) perform necessary daily performance testing, system initialization, monitoring of wagering operations, and system shutdown;

(4) execute established procedures to shutdown system software and hardware in emergency situations including loss of communication between computers or peripheral devices, power surges or failures, operating with a partial system, and restarting the system during a performance;

(5) perform necessary system maintenance;

(6) perform daily back-ups as outlined in section 4300.24(c) of this Part (relating to software requirements);

(7) ensure information is entered in the tote maintenance log detailing all repairs or modifications to the totalisator system;

(8) provide to the commission an incident report of the incident detailing each unusual occurrence during totalisator system operations including a description of the probable cause of the occurrence and the corrective action taken;

(9) maintain a copy of the incident report or enter information about each unusual occurrence in the system incident log; and

(10) consult with the commission or duly appointed representative regarding any other operational issues encountered.

(d) Technicians. Technicians shall:

(1) service and maintain the totalisator;

(2) perform maintenance on wagering devices and the tote commission; and

(3) record in the totalisator maintenance log all maintenance and repair activities performed.

(e) In the case of those individuals who participate at or in relation to a thoroughbred racetrack or off-track betting facility or office located in New York State, such applications shall be reviewed and licenses shall be issued in accordance with and subject to the provisions governing licenses for participants and employees in Article Two of the Racing, Pari-Mutuel Wagering and Breeding Law. In the case of those individuals who participate at or in relation to a harness or quarterhorse racetrack located in New York State, such applications shall be reviewed and licenses shall be issued in accordance with and subject to the provisions governing licenses for participants and employees in Article Three of the Racing, Pari-Mutuel Wagering and Breeding Law.

(f) National racing license. Interstate compact licenses in an applicable category shall be accepted according to the terms of article XI of the Racing, Pari-Mutuel Wagering and Breeding Law, and the state fee for the use of a compact license shall be waived where the background investigation for the issuance of that compact license was not performed by the commission.

N.Y. Comp. Codes R. & Regs. Tit. 9 § 4300.27