Section 69.5-01-11-13 - Totalizator system standards Facilities and equipment1.Facility requirements.a. Onsite totalizator room. An authorized pari-mutuel wagering entity may provide a totalizator room to house the main computing and communications equipment and the operator's terminal at the authorized pari-mutuel wagering entity facility. The room must include all of the following: (1) Air-conditioning with humidity control to maintain a stable environment that meets the specifications of the computer equipment manufacturer.(2) A master power switch that allows all or part of the equipment housed in the room to be turned off in an emergency.(3) A smoke and fire alarm system that sounds locally and is tied into the authorized pari-mutuel wagering entity master alarm system. (4) Fire extinguishers to address minor electrical fires. (5) An internal communications system connecting the totalizator operator with all of the following: (a) For racetracks only, the stewards and racing judges. (b) The pari-mutuel manager.(d) The commission office onsite, if any.(6) A private outside line for communication with supervisors, programmers, or totalizator personnel at other sites.(7) Fire resistant, locking storage cabinets to hold removable data storage devices and documents necessary for operating the system.b. Totalizator room at a central processing location. An authorized pari-mutuel wagering entity may contract with a totalizator that uses a central processing location off the authorized pari-mutuel wagering entity's grounds. The totalizator company shall ensure all of the following: (1) That the totalizator central processing location satisfies the requirements of subdivision a of subsection 1.(2) That the totalizator central processing location has a communications system connecting the central processing location operator with all of the following: (a) The totalizator operator at the authorized pari-mutuel wagering entity.(b) A private outside line for communication with supervisors, programmers, or totalizator personnel at other locations.2.Totalizator room security. The totalizator room housing the computer processing unit that processes wagers made at an authorized pari-mutuel wagering entity facility must be secured. Annually, on a date established by the commission, the totalizator company shall submit to the commission for approval a security plan for the totalizator room housing the computer processing unit that processes wagers made at the authorized pari-mutuel wagering entity's facility. The security plan must include all of the following:a. A security system covering the totalizator room and any other related service room, electrical room, or equipment room that consists of locking closed doors and detecting unauthorized entry.b. A system of controlled entry to the totalizator room and other related rooms using all of the following: (1) Locking devices on all doors or entry points.(2) Control over distribution of keys or codes necessary to unlock the doors.(3) A sign-in log for visitors escorted by authorized personnel.(4) A system that identifies and records each person entering and leaving the room.3.Hardware requirements.a. Cash/sell system. A totalizator company shall use a cash/sell totalizator system. The system must comply with these rules regardless of the location of the central processing unit for the system. (1) A totalizator system must be a multi-computer or multi-processor system with independence in the transaction processing and system control functions distributed among the computers as specified in the contract with the authorized pari-mutuel wagering entity. At least one computer shall be independent, sharing no loads or processing functions with the master computer The computers must be configured so that, if one computer actively tracking events fails, another computer will take over all functions of the failed computer on a timely basis.(2) The schematic chart, required pursuant to subdivision b of subsection 3, must be submitted to the commission at least two weeks before the scheduled date for system installation and testing.b. Schematic chart. The totalizator company must provide to the commission an overview of the equipment in the totalizator system. The overview must be a detailed schematic chart showing each piece of hardware and the network interconnections. The chart must indicate, where appropriate, the part of the database each terminal can access as well as the amount and degree of access each terminal has to the application and operating system programs. User assignments must be determined by access, and the schematic chart must also reflect the usual and potential user types assigned to each terminal. If the totalizator company changes any component in the hardware or the network layout, the company must revise the schematic chart and submit it to the commission within seven days.c. Peripherals. A totalizator system must include all of the following peripherals:(1) A log printer for each computer if the system is unable to reproduce the logs upon request.(2) A master control terminal that allows the operator to execute routine maintenance and operational functions based on individual operator identification and authentication.(3) User terminals that allow restricted system access for the stewards or racing judges to allow the order of finish to be input.(4) Wagering information screen displays.(5) Data storage devices to record necessary system data. (6) Backup devices capable of recording complete system information on removable media for storage and restoration.d. Stop wagering devices. The totalizator company shall install two separate devices that activate the stop wagering function of the totalizator system in a manner consistent with stop wagering procedures approved by the commission. The primary device must be located in or near the stewards or racing judges, in a location approved by the commission, to issue the stop wagering command during normal operations and activate the "off bell". The secondary "backup" device must be installed in the totalizator room to allow the totalizator operator to issue the stop wagering command if a totalizator malfunction or human error prevents the totalizator system from activating the stop wagering function at the appropriate time. The totalizator company shall ensure that stop wagering occurs. The totalizator company, for good reason, may request from the commission additional or alternative stop wagering devices.e. Tote board. Unless otherwise approved by the commission, the tote board must do all of the following: (1) Update the odds on each betting interest in the win pool at intervals of not more than sixty seconds, or at more frequent intervals expressly directed by the commission.(2) Allow the stewards or racing judges or designee of the stewards or racing judges to post the times, running order, order of finish, the official sign, inquiry sign, objection sign, or dead heat sign.f. Uninterruptible power supply. The computer system must be supported by an uninterruptible power supply to allow for system shutdown if a power failure occurs. In a system shutdown, all wagering data in the computer at the time of the failure must remain intact and all race and end-of-day reports must be produced. The uninterruptible power supply must be able to supply even power to the totalizator system, for a minimum of fifteen minutes, when a power surge or drop occurs. An alarm associated with the uninterruptible power supply must be readily recognizable by the totalizator operator from inside the totalizator room.g. Wagering devices. Wagering devices (cash/sell terminals) in a network are not required to be intelligent but must have identities. A program related to the production or verification of the wager identification number printed on a mutuel ticket or assigned by the main computer may not reside in a wagering device. A wagering device may not access the wagering database except to conduct the wagering or cashing functions necessary for a teller to serve the public. Wagering shall not occur in the totalizator room. h. Maintenance. A totalizator company shall provide preventative maintenance to a totalizator system to ensure the system hardware will provide a high degree of reliability. Maintenance must include physical cleaning of system components and peripherals and testing the uninterruptible power supply for batter life and power stability.i. Common pooling.(1) A totalizator company shall use a totalizator system that operates in either a tote-to-tote network or a wagering device to tote network. The totalizator system must, without regard to the location of the central processing unit, use all of the following: (a) The current version of inter-tote systems protocol recognized by the standard prescribed by the commission.(b) The standard track codes recognized by the association of racing commissioners international.(2) A totalizator company may common pool if all equipment used is of an approved type and in an approved location.(3) The pari-mutuel pool host must provide a totalizator system that meets all of the following requirements:(a) It directs each totalizator system involved with the common pool regarding the pools offered, live and scratched betting interest, common pool totals, network and guest authorized pari-mutuel wagering entity specific odds and probable payouts, start and stop wagering commands, official orders of finish, and deduction and payout calculations.(b) It produces reports showing the amount wagered on each betting interest and pool from each site, in accordance with the current inter-tote systems protocol or other inter-tote communication standard prescribed by the commission.(4) An authorized pari-mutuel wagering entity and the totalizator company must file with the commission, at the time of license application, a disaster recovery plan that will ensure that the authorized pari-mutuel wagering entity may continue to conduct pari-mutuel wagering within a reasonable period of time.(5) The totalizator company utilizing inter-tote systems protocol shall follow a method of progressive scanning for those wagers including pick (n) with four or more legs and superfecta or other method approved by the commission.j. Emergency procedures. (1) The totalizator system must be supported by an uninterruptible power supply as described in subdivision f.(2) A totalizator company must have emergency procedures to address a totalizator system failure. The procedures will apply whether the system is operating as a stand-alone wagering site for separate pool wagering or as a satellite in a common pool network.(3) If a hardware problem, excluding routine repair of wagering terminals, occurs, the totalizator company may make an emergency fix to the totalizator system. No later than twenty-four hours after the fix has been made to the totalizator system, the totalizator company shall file a written report with the commission stating the situation that caused the need for the fix and the corrective changes made.k. Remote access. The totalizator company shall use a monitoring server that records keystrokes for all users accessing the tote system. I. Independent monitoring system. The totalizator system shall transmit data in real-time to an independent real-time monitoring system approved by the commission. This system is to provide information in a read only format. The system must meet all of the following requirements:(1) The system shall verify all transactions performed by the totalizator.(2) Access to the independent monitoring system shall be provided to the commission and the authorized pari-mutuel wagering entity for monitoring activity.(3) If the system detects a discrepancy in the totalizator operation or with the independent monitoring system, the system shall automatically notify the authorized pari-mutuel wagering entity's pari-mutuel manager or duly appointed representative. The pari-mutuel manager shall determine the cause of the error and require any necessary repairs or adjustments to be made pursuant to the rules.(4) Notification of discrepancies shall be made to the commission no later than twenty-four hours after each occurrence.4.Software requirements.a. General requirements. (1) The totalizator system program must be able to do all of the following:(a) Sell, calculate, cash, and refund according to the pool profile, current rules, and number of races.(b) Produce the required reports and logs and other reports and logs the commission may prescribe.(c) Network with the remote wagering sites.(d) Offer simultaneous wagering cards.(e) Allow access to program functions and identification of each user based on the user identifications and passwords provided from the operating system or program login, in the case of administrative terminals, or by physical connection to the computer system, in the case of wagering devices. (f) Automatically maintain all carryover data required for the next performance on a rotating basis, including system date and time, without operator intervention.(g) Be subject to modification only by authorized individuals holding specific user identifications that allow gateways to the operating system.(h) Document changes to programs, including who made the change and when the change was made. This log is to be made available to the commission upon request.(i) Provide software or hardware restrictions that eliminate the capability of printing duplicate tickets.(j) Provide software or hardware restrictions that prevent invalid claims on unclaimed funds.(k) Be able to detect abnormal system operation and the cause, such as a validation problem, communication difficulty, and computer downtime, and immediately notify the totalizator operator (I) Generate, within the approved timeframe, data usable across two major revisions, and within all minor revisions, or retrieve archived data reports as requested by the commission.(m) Contain a utility program that backs up the totalizator system and schedules these backups at regular intervals.(n) Provide a utility or application that writes requested pah-mutuel wagering data on media readable by the commission. The totalizator company must also provide documentation about the structure of the data. (o) Have the ability to close remote sites before the post time if the commission requires.(2) The operating system must be separated from the application program. The operating system must maintain auditable records of transactions.(3) The totalizator company must upon request make available to the commission an inventory of all totalizator system programs included in the system.(4) A totalizator system must be able to produce a copy of all historical data necessary to recreate the wagering activity of any race performance within a three year period that the commission requests.b. Documentation. Software documentation, using computer software industry accepted methods, must be available to the commission upon request and must provide all of the following:(1) Documentation of modules or sections within the source code, detailing the function of the module or section, the definition of all variables used within the module or section, the source of all variables passed to the module, and the method of passing variables, for example, passed by reference or by value.(2) Complete documentation of all program functions as seen by the end user of the program.(3) Complete inventory of all programs contained on the system, their purpose, the date and time of their last modification, and the size, in bytes, of each file.(4) Clarification of differences between major and minor revisions of the totalizator software. This clarification must include a complete history of all revisions, the intended reasons for and differences between major and minor revisions, the date of implementation, and a listing of the current revision number.(5) Any change in software requiring the assignment of either a new major or minor revision number.c. Backup. Before beginning operations, the totalizator company shall submit a backup procedure plan to the commission for approval and should include all of the following: (1) Full system backups made at weekly intervals. Full system backups must include all data files contained on the totalizator system. (2) Incremental system backups made at daily intervals. Incremental system backups must include all data files that were changed since either the last full system or incremental backup.(3) Backups stored at an offsite storage area in a disaster-resistant environment.d. Change to totalizator software.(1) All changes to the software on the central site computers, peripherals, or firmware changes downloaded to terminals may be subject to the approval of the commission.(2) The totalizator company is responsible to notify the commission at least thirty days prior to any major revisions.(3) A major revision to the software may not be initialized or operated during wagering until tested and approved by the commission. The daily computer log must show all of the following:(a) When a change was loaded into the totalizator system. (b) The time the work commenced and the time the work was completed.(c) When the old software was removed from the system. (4) If a software problem occurs, the programmers may make an emergency fix to the totalizator software. No later than twenty-four hours after the fix has been made to the software, the totalizator company shall file a written report with the commission that stating the situation that caused the need for the fix, the corrective changes the programmers made, and the new revision number.N.D. Admin Code 69.5-01-11-13
General Authority: NDCC 53-06.2-05
Law Implemented: NDCC 53-06.2-04, 53-06.2-05, 53-06.2-08, 53-06.2-10.1, 53-06.2-14