N.Y. Comp. Codes R. & Regs. tit. 9 § 4300.37

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

Section 4300.37 - Logs

(a) On-line logs. The totalisator operator shall provide a printed copy of a daily log to the commission on request. The totalisator system must produce at a minimum the following logs:

(1) Teller/machine history log showing for every wagering device operated during a performance:

(i) each time the wagering device was opened and closed;

(ii) for each wagering transaction, the wagers made, pari-mutuel tickets issued, and total value of the transaction;

(iii) for each cashing, canceling, or refunding transaction, the identification numbers of the pari-mutuel tickets processed, the wagers paid out, and the value of the wagers paid out;

(iv) for each cashing transaction, an indication as to whether the pari-mutuel ticket was cashed using a manual keycommission entry or an automatic machine read;

(v) the amount of each cash draw and return;

(vi) any special function, including Teller Balance, accessed through the wagering device;

(vii) the times of day each of the transactions listed in this subdivision were made; and

(viii) pari-mutuel tickets include all paper and paperless tickets as defined in section 4300.12 of this Part.

(2) Ticket history log showing for every pari-mutuel ticket issued:

(i) the identification number of each cashed/canceled pari-mutuel ticket;

(ii) the wagering device location and number;

(iii) the wagers and their values;

(iv) the cashing/canceling machine location and number;

(v) the amount paid out;

(vi) the time of day each transaction occurred;

(vii) a designation that each transaction was manual or automatic; and

(viii) pari-mutuel tickets include all paper and paperless tickets as defined in section 4300.12 of this Part.

(3) User terminal log showing the time of day of each entry for:

(i) each terminal other than a wagering device operating during a day:

(a) each log-on/log-off and the operator's ID code;

(b) each command or transaction entered;

(c) each stop betting, order of finish, official, and sales open command and the device that issued it;

(d) each occurrence of loss/restoration of communication between computers or sites; and

(e) each occurrence of discrepancy between computers or sites when comparing databases;

(ii) each wagering device operated during a performance:

(a) each log-on/log-off and the teller's ID code, if applicable; and

(b) each instance of loss/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 for every day the system is operated for wagering, maintenance or other purpose:

(i) system shutdown commands, the device from which they were issued, and the user ID of the individual issuing the commands;

(ii) the individual user ID used and the originating device for every attempt, successful or unsuccessful, to access the operating system;

(iii) the individual user ID used and the originating device for every attempt, successful or unsuccessful, to access the application programs;

(iv) all commands that affect the operating environments issued from the operating system command line;

(v) all commands issued from within the application program in an attempt to access the operating system; and

(vi) a listing of every operational or operating terminal during computer operation.

(6) Account history log showing for every account:

(i) the identification number of the account;

(ii) each time the account was accessed, the location and time of each access point;

(iii) for each wagering transaction, the amount, time, betting interest selected and type of wagers made, the wagering device used to make the wager, and total value of the transaction;

(iv) for each cashing, canceling, or refunding transaction, the identification numbers of the tickets processed, the wagers paid out, the location and time and the value of the wagers paid out; and

(v) for each withdraw and deposit the amount, the location and time.

(b) Off-line log. In addition to the computer generated reports and logs, the totalisator personnel must maintain at a minimum the following logs for review by the commission or duly appointed representative:

(1) The totalisator operator must maintain a system incident log and make it available on request for review by the commission. The system incident log must include a description of each incident involving the totalisator system, including system failures, their causes, and corrective actions taken.

(2) Totalisator room access log of all authorized persons entering and leaving the totalisator central computer room. This includes entries of date, time, and user ID of each person entering and leaving the room.

(3) Totalisator maintenance log of all maintenance work completed on wagering device and the main totalisator computers or printers showing:

(i) the name of person performing the work;

(ii) the date and time of day when the maintenance was performed; and

(iii) the type of maintenance job(s) performed.

N.Y. Comp. Codes R. & Regs. Tit. 9 § 4300.37