Totalizator system standards - Reporting and log requirements

1. General requirements. a. A totalizator system must be able to produce reports and logs necessary to audit pari-mutuel activity and to recreate any given day of wagering in its entirety in a format prescribed by the commission. b. A totalizator company shall retain the information needed to produce these reports and logs on storage devices for at least three years after the end of the calendar year during which the reports and logs were created, unless otherwise released by the commission. c. A totalizator company shall provide a report or log requested by the commission within forty-eight hours, unless required otherwise, after the totalizator company receives the request. A printed report must have consecutively numbered pages. Each page of the report must be headed with all of the following: (1) The name of the race track. (2) The date and time, in hours, minutes, and seconds, the report was produced. (3) The performance number, if applicable. (4) The wagering sites to which the report refers. (5) The version of software in use. 2. Pre-race reports. If requested by the commission, before starting wagering each day, the totalizator operator shall print all of the following reports: a. System initialization report showing all of the following: (1) The date and time the system was initialized. (2) The identity of the totalizator operator initializing the system. (3) The software version in use. b. Configuration parameter report showing all of the following: (1) The pools that may be offered as well as those that are currently operational in the totalizator system. (2) The display cycle frequency, pools, any minimum pool required, minimum wagers, and means of display of any approximate odds or will-pays produced. (3) The minimum and maximum value of wagers for every pool that a wagering device may accept. (4) Which wagering devices are activated, including a listing of all terminals operational that session or day. (5) Which remote sites may input into the totalizator system. (6) The split percentages and payout parameters for each multi-leg pool offered. (7) Verification of all operational locking devices. (8) The amount of delay between locking switch activation and actual stop betting or canceling. (9) The canceling parameters for regular and supervisory wagering devices. (10) Configurations placed on each wagering device. (11) The method of breakage and rounding used in calculating the payout. (12) Takeout percentages for each host site and for the live races, including takeout percentages for each association, state, and other statutory takeouts used in price calculations, including net pool pricing calculations. (13) Federal tax withholding rates and parameters. (14) Required currency conversion tables. c. Race information report showing, for each race to be offered, all of the following: (1) The pools to be opened, indicating totals starting at zero and totals starting with money from advance wagering. (2) Pool summaries of all advance wagering. (3) Money added due to overages. (4) Underpayments or money added due to carryovers, miss pools, or any other reasons. (5) The betting interest for each race, showing entries and scratches. d. Odd report showing the opening line of odds for the win pool. e. Wagering device report listing the teller's identity assigned to each wagering device for that session or day, if applicable. 3. Race-by-race reports. For each race offered, the totalizator system must be capable of printing all of the following reports and have them available to review by the pari-mutuel manager and as requested by the commission: a. Scratch report showing the time each late scratch was entered into the totalizator system and the amount of money to be refunded in each pool. b. Betting report produced immediately on activation of the stop betting command and final merge of wagering information from all sites showing all of the following: (1) The amount wagered and to be refunded for each betting interest or combination in each pool offered and the net amount for each pool to be used for calculating the payout. (2) The final dollar odds for the win pool. (3) Time of stop betting and time of each pool transmission. c. Calculating price report, produced before each race is declared official, showing all of the following for each pool: (1) The winning betting interests or combinations. (2) The winning moneys in total and for imported hubs. (3) The minimum payout prices. (4) The breakage. (5) The amount payable to the public. (6) The total amount wagered. (7) The total amount refunded. (8) The amount added to the pool. (9) The actual pool total. (10) The takeout in total dollars. d. Probable payout report showing the payouts for multiple and exotic pools, subject to scratches, cancellations, and dead heats. e. Scan report for multi-leg pools of four or more legs, showing all of the following: (1) The total wagered in the pool. (2) The amounts of any carryover. (3) The winners of completed legs. (4) The amount of possible winning, based on paying the winner of completed legs combined with every betting interest entered in subsequent legs. (5) Late scratches in each leg. f. Race summary report, produced before and after the race results are official, showing, as the sum for all pools paid out in that race, all of the following: (1) The amount wagered. (2) The amount refunded. (3) The net amount to be used for calculating the payout. (4) Any money added to the pool. (5) The actual pool total. (6) The total commission. (7) The breakage. (8) The amount paid to the public. (9) The carryover balances. (10) The liabilities (due to/due from). (11) The daily summary report showing the cumulative totals, for each pool and for all pools combined, of the items listed under the race summary report. 4. End-of-day reports. For each race offered, the totalizator system must be capable of producing all of the following reports, and have them available for review by the pari-mutuel manager and as requested by the commission: a. Balance report showing for every wagering device operated on that day, including all of the following: (1) The teller's name or identification number, if applicable. (2) The total value and number of tickets sold, canceled, and cashed, separating the outs from the current day's tickets. (3) The total amount of money drawn from the money room, including the beginning draws. (4) The total amount of money returned to the money room. (5) A listing of adjustments made to each wagering device balance after each wagering device has been individually balanced. b. Wagering summary report showing all of the following: (1) By wagering site, the amount wagered, refunded, and added for every pool and for each race. (2) The time of day each race's pools closed. (3) The commissions deducted, breakage calculated, and amount paid out for every pool in each race. (4) The total value of outstanding tickets before the pools were opened for the performance, the value of tickets cashed during the performance, the value of tickets to be added to the outstanding ticket total, and the new outstanding ticket total. (5) The total value of outstanding vouchers before the pools were opened for the performance, the value of vouchers cashed during the performance, the value of vouchers to be added to the outstanding voucher total, and the new outstanding voucher total. c. System balance report comparing the pool and paid-out totals obtained by processing the transaction files with the pool and paid-out totals obtained from the actual calculations. d. Money room balance report showing cash added and subtracted from the beginning day's balance resulting from the day's wagering and cashing transactions. Money room balance report showing cash added and subtracted from the beginning day's balance resulting from the day's wagering and cashing transactions. Money room balance report showing cash added and subtracted from the beginning day's balance resulting from the day's wagering and cashing transactions.Money room balance report showing cash added and subtracted from the beginning day's balance resulting from the day's wagering and cashing transactions. Money room balance report showing cash added and subtracted from the beginning day's balance resulting from the day's wagering and cashing transactions. e. Internal revenue service report showing the winnner's social security number, the ticket number, amount won, and taxes withheld for each transaction requiring a form W2-G. 5. Other standard and special reports. a. A totalizator company shall produce any of the following standard reports requested by the commission no later than seventy-two hours, unless otherwise directed, after receiving the request: (1) Odds progression report showing each successive line of odds for the win pool and the time it was displayed to the public. (2) Ticket and transaction history report showing the appropriate portion of the ticket history log for the requested ticket identification numbers. (3) Terminal history report showing the portion of the terminal log requested. (4) Outstanding ticket report showing all the following information for uncashed winning tickets retained in the totalizator system: (a) The ticket identification number. (b) The wagers on the ticket. (c) The date and performance for which the ticket is outstanding. (d) The value of the winning wagers. (e) The wagering device location and number. (5) Outstanding tickets cashed report for a performance, race, or pool, showing each outstanding ticket cashed that day, in the form of the outstanding ticket report, including the identity of the wagering device that cashed the ticket and an indication as to whether the ticket was cashed using a manual keyboard entry or an automatic machine read. (6) Manually cashed tickets report for a performance, race, or pool, showing every ticket cashed that day in the form of the ticket history report, the identity of the wagering device that cashed the ticket, and an indication as to whether the ticket was cashed using a manual keyboard entry or an automatic machine read as well as a subtotal for each wagering device. (7) Canceled tickets report for a performance or race, showing each ticket canceled that day in the form of the ticket history report, the identity of the wagering device that cashed the ticket, and an indication as to whether the ticket was cashed using a manual keyboard entry or an automatic machine read as well as a subtotal for each wagering device. (8) Network balance report summarizing the activity and liabilities for each site within a tote-to-tote network. (9) Teller inquiry report showing the time of each cash balance inquiry made by each teller. (10) Wagering report required for multi-leg pools, four legs or more, showing the amount bet on every combination of the pool and total amount bet. (11) Account history report showing all activity for each account. (12) Inter-track wagering report for a card showing the separate or consolidated report for wagers made at participating tracks, including all money wagered on each runner or combination of runners in each pool for each race. Separate or consolidated reports for the host track and each satellite track and the combined totals are required and any additional reports, as determined by the commission. (13) Ticket history report and terminal history report in the case of a wagering device to totalizator network failure for specific locations and time periods in order to determine what wagers have been recorded in the totalizator from the remote site, including any advance bets. (14) Pool transmission report listing time of each pool transmission. b. The totalizator system must be able to produce a special report that filters data by all of the following: (1) Performance. (2) Race. (3) Pool. (4) Betting interest. (5) Wagering device. (6) Sites. (7) Any combination of paragraphs 1 through 6. 6. Logs. a. Online logs. The totalizator operator shall produce a daily log to the commission on request. The totalizator system must produce all the following logs in a format prescribed by the commission: (1) Teller or machine history log showing for every wagering device operated during a performance all of the following: (a) Each time the wagering device was opened and closed. (b) For each wagering transaction, the wagers made, tickets issued, and total value of the transaction. (c) For each cashing, canceling, or refunding transaction, the identification numbers of the tickets processed, the wagers paid out, and the value of the wagers paid out. (d) For each cashing transaction, an indication as to whether the ticket was cashed using a manual keyboard entry or an automatic machine read. (e) The amount of each cash draw and return. (f) Any special function, including teller balance, accessed through the wagering device. (g) The times of day each of the transactions listed were made. (2) Ticket history log showing all of the following for every ticket issued: (a) The identification number of each cashed or canceled ticket. (b) The wagering device location and number. (c) The wagers and their values. (d) The cashing or canceling machine location and number. (e) The amount paid out. (f) The time of day each transaction occurred. (g) An indication as to whether each transaction was manual or automatic. (3) User terminal log showing the time of day of each entry for all of the following: (a) Each terminal other than a wagering device operating during a day, including all of the following: [1] Each logon or logoff and the operator's identification code. [2] Each command or transaction entered. [3] Each stop-betting, order of finish, official, and sales open command and the device that issued it. [4] Each occurrence of loss or restoration of communication between computers or sites. [5] Each occurrence of discrepancy between computers or sites when comparing databases. (b) Each wagering device operated during a performance, including all of the following: [1] Each logon or logoff and the teller's identification code, if applicable. [2] Each instance of loss or restoration of communication and the wagering device. (4) System error log showing the date and time of each error. (5) System journal log, including date and time of each entry, including remote access, showing all of the following for every day the system is operated for wagering, maintenance, or other purpose: (a) System shutdown commands, the device from which they were issued, and the user identification of the individual issuing the commands. (b) The individual user identification used and the originating device for every attempt, successful or unsuccessful, to access the operating system. (c) The individual user identification used and the originating device for every attempt, successful or unsuccessful, to access the application programs. (d) All commands that affect the operating environments issued from the operating system command line. (e) All commands issued from within the application program in an attempt to access the operating system. (f) A listing of every operational or operating terminal during computer operation. (6) Account history log showing all of the following for every account: (a) The identification number of the account. (b) Each time the account was accessed, the location and time of each access point. (c) For each wagering transaction, the amount, time, betting interest selected, type of wagers made, the wagering device used to make the wager, and total value of the transaction. (d) For each cashing, canceling, or refunding transaction, the identification numbers of the tickets processed, the wagers paid out, and the location, time, and value of the wagers paid out. (e) For each withdrawal and deposit the amount, location, and time. b. Offline log. In addition to the computer-generated reports and logs, the totalizator personnel must maintain all of the following logs for review by the commission or duly appointed representative: (1) System incident log showing a description of each incident involving the totalizator system, including system failures, their causes, and corrective actions taken. (2) Totalizator room access log of all authorized persons entering and leaving the totalizator central computer room. This includes entries of date, time, and user identification of each person entering and leaving the room. (3) Totalizator maintenance log of all maintenance work completed on wagering devices and the main totalizator computers or printers showing all of the following: (a) The name of the person performing the work. (b) The date and time of day when the maintenance was performed. (c) The type of maintenance job performed.