Current through Register Vol. 49, No. 2, February 2024
These regulations apply only to the Electronic Games of Skill
operations at licensed Pari-mutuel franchises, as authorized by Act 1151 of
2005. The provisions of this Act are located in the Arkansas Code and codified
as A.C.A. §
23-113-201.
They were developed by Gaming Laboratories International, Inc. with the input
of the Arkansas Racing Commission, the staff of the Department of Finance and
Administration. Comments from suppliers of electronic games of skill and the
general public were also considered in the drafting of this document. The
regulations were adopted under the provisions of A.C.A. §§
25-15-201
through
25-15-218.
Associated with, but not part of these regulations, are "appendices."
The purpose of the appendices is to provide pertinent material that is
subject to frequent change, particularly forms that are related to licensing.
Although appendices are documents that enable the enforcement of regulations,
they are located outside the body of this document. This will permit the
ability to change and update forms, procedures and processes to conform to
changes without making policy/regulatory changes. Such changes are considered
to be technical in nature and, therefore, will not necessitate invoking the
rule making process.
The appendices are designated by a "P" followed by a hyphen, and then
with a reference number of the Section number to which is refer or
supports.
Example: P 1-13-17(a) would be a "Personal History Disclosure
form.
The Games of Skill Regulations and Appendices reside on the Department
of Finance and Administration's (DFA), Racing Division's web site at
http://www.arkansas.gov/dfa/racing/rc_index.html,
and are also available in printed form upon request. Requests for printed
copies may be made in the form of an e-mail to the Manager of the Racing
Division (listed on web site) or by U.S. Mail at P.O Box 3076, Little Rock, AR
72203 or by telephone at 501-682-1467.
The Arkansas Racing Commission and the offices of the Department of
Finance and Administration adhere to the spirit and letter of the Freedom of
Information Act of 1967 as stated in ACA §
25-19-101 et
seq.
10.0
Definitions
The following words and terms, when used in these regulations, shall
have the following meanings unless the context clearly indicates
otherwise:
10.1 "Affiliate" business
companies, organizations, or individuals are Affiliates of each other if,
directly or indirectly, either one has the power to control the other, or a
third party controls or has the power to control both.
10.2 "Asset number" means a unique number
assigned to an EGS and a cash storage box for purposes of tracking that machine
and storage box while owned or leased by the Franchise Holder.
10.3 "Cash" means currency.
10.4 "Cash equivalent" means a Certified
check, Electronic Cards, chips, cashiers check, treasurer's check, recognized
travelers check or recognized money order that is made payable to the Franchise
Holder, "bearer" or "cash," is dated, but not postdated; and does not contain
any endorsement other than that of the presenting patron.
10.5 "Cash storage box" means a
tamper-resistant cash box that is contained in a Bill Acceptor which shall
securely store all deposited cash, gaming tickets and coupons.
10.6 "Cashier Booth" means a cashier booth,
to house one or more cashiers and to serve as the central location in the EGS
gaming area, or, when there are multiple cashier booths, in that portion of the
EGS gaming area.
10.7
RESERVED
10.8 "Commission" means
the Arkansas Racing Commission or its successor having jurisdiction over horse
racing and greyhound racing in this state. The Arkansas Racing Commission is
responsible for all Licensing, adjudication of fines, Certification of
Electronic Games of Skill, Appeals/Rulings and approval of all EGS
plans.
10.9 "Complimentary services
or items" mean a service or item provided directly or indirectly by a Franchise
Holder at no cost or at a reduced price.
10.10 "Coupon" means a document which is
issued in accordance with the coupon redemption and complimentary distribution
programs approved by the Commission.
10.11 "Denomination" when used in conjunction
with or in reference to an EGS, means the value or monetary amount of the
lowest Wager that can be placed on the EGS.
10.12 "Distributor" means any person that
sells, leases, or offers, or otherwise provides, distributes, or services any
EGS or associated equipment for use or play of EGS in a Franchise Holder's
facility. A Manufacturer may be a distributor.
10.13 "EGS" acronym for Electronic Game or
Games of Skill.
10.14 "EGS Section"
means the Office of Field Audit within the Revenue Division of the Commission.
The EGS Section is assigned responsibility for auditing and review of internal
controls and the day-to-day operations of the EGS. This would include full
administrative regulatory jurisdiction and exercise of the duties, powers and
responsibilities over electronic games of skill and wagering on the electronic
games of skill as authorized in Act 1151 of 2005 and Section 11.0.
10.15 "Electronic card" means a card provided
by, or purchased from the Franchise Holder for use at the Franchise Holder's
EGS as a substitute for tickets for the conduct of gaming in the EGS.
10.16 "Electronic fund transfer" means a
transfer of funds, other than a Transaction originated by check, draft, or
similar paper instrument that is initiated through an electronic terminal,
telephone, computer, or magnetic tape for the purpose of ordering, instructing,
or authorizing a financial institution to debit or credit an account. For the
purposes herein, the term does not include any Transactions exempt, by statute
or regulation, from the provisions of Title IX of the Federal Consumer
Protection Act,
15 USC §
1693.
10.17 "Electronic game(s) of skill"
(hereinafter EGS) means game(s) played through any electronic device or machine
that affords an opportunity for the exercise of skill or judgment where the
outcome is not completely controlled by chance alone. EGS do not include
pari-mutuel Wagering on horse racing and greyhound racing governed by the
Arkansas Horse Racing Law or Arkansas Greyhound Racing Law, whether pari-mutuel
Wagering on live racing, simulcast racing, or races conducted in the past and
rebroadcast by electronic means. See Arkansas Code Ann
23-113-201(d).
10.18 "Franchise Holder" means any person
holding a franchise to conduct horse racing under the Arkansas Horse Racing Law
or greyhound racing under the Arkansas Greyhound Racing Law.
10.19 "Gaming Day" means a 24-hour period of
time which represents the beginning and ending of EGS gaming activities by
which the Franchise Holder keeps its books and records for business and
accounting purposes.
10.20 "Gaming
Floor" means the designated area where EGS gaming activities occur.
10.21 "Gaming Operator" means a Franchise
Holder that is conducting the operation of EGS.
10.22 "Gross Wagering Revenues" mean the
total value of currency, coupons, gaming tickets, and electronic credits
invested by a patron to activate the play of an EGS.
10.23 "Identification Credential" means a
valid driver license, passport or other document generally accepted in business
as a form of identification and which contains, at a minimum, the person's
signature. A personal reference does not constitute an Identification
Credential.
10.24 "Incompatible
function" means a function for accounting control purposes that places any
person, employed by or department established by the Franchise Holder, in a
position to both perpetrate and conceal errors or irregularities in the normal
course of their duties. Anyone recording Transactions and having access to
assets ordinarily is in a position to perpetrate errors or irregularities.
Persons may have Incompatible Functions if such persons are members of
departments which have supervisors not independent of each other.
10.25 "Intermediary company" means a
corporation, firm, association, partnership, trust or any other form of
business organization other than a natural person which is a holding company
with respect to a corporation which holds or applied for a Gaming License; and
is a subsidiary with respect to any holding company.
10.26 "Manufacturer" means any person who
manufactures, builds, rebuilds, fabricates, assembles, produces, programs,
designs, or otherwise makes modifications to any EGS or associated equipment
for EGS gaming purposes. A Manufacturer may be a Distributor, as approved by
the Commission.
10.27
"Multi-Station game" is an EGS that incorporates more than one (1) player
station, which are controlled by a unit that contains the game's CPU and houses
the game display, which is shared among the player stations. Since certain
features are shared by the player stations the actions of one player station
must not influence the operation of the other stations and at no time should
any of the players be at a disadvantage to the next game played. In addition,
each player station must make it clear as to when the next game will begin. For
Multi-Station Games, each player station is considered an EGS and must meet the
technical standards outlined throughout these regulations.
10.28 "Net Drop" is the total amount of
credits played, minus the credits won for EGS Gaming Operations.
10.29 "Progressive system" means a
computerized system linking EGS in one or more licensed facilities approved by
the Commission and offering one or more common progressive payouts based on the
amounts Wagered.
10.30
'Surveillance System" means any facility, not controlled by the Commission
employees, that has been approved by the Commission to receive transmissions
from the surveillance department's security system including, without
limitation, system monitoring rooms, surveillance department offices, system
repair areas, and system emergency facilities.
10.31 "Transaction" a Transaction includes
deposit, withdrawal, transfer between accounts, exchange of currency, loan,
extension of credit, purchase or redemption of gaming instruments or any other
payment, transfer, or delivery to a Franchise Holder, by whatever means
affected.
10.32 "Wager" a sum of
money or thing of value bet on an EGS.
10.33 "Wire Transfer" means a transfer of
funds by means of the Federal Reserve Bank wire system in accordance with the
requirements of
12 C.F.R.
210.25 et seq. and the Commission's
regulations.
13.0
Service
Industry License & Service Industry Employee License
13.1
Restriction of Doing
Business(a) No entity shall
manufacture, sell or lease, distribute, repair or provide EGS maintenance
services of EGS equipment to the Franchise Holder's EGS operations in the State
of Arkansas unless it holds a current Service Industry License issued by the
Commission in accordance with these regulations.
13.2
Determining the Need for a Service
Industry License(a) Any entity which
satisfies one or more of the following criteria shall, unless it is otherwise
set forth in these regulations, obtain a Service Industry License to carry out
business with a Franchise Holder in the State of Arkansas.
i. The entity manufactures, sells or leases,
supplies or distributes devices, machines, equipment, accessories, objects or
articles which:
(1) Are designed specifically
for use in EGS operations of the Franchise Holder;
(2) Are needed to carry out the activities of
an authorized game;
(3) Have the
capacity to affect the result of the play of an authorized game; or
(4) Have the capacity to affect the
calculation, storage, collection or control of the gross revenues.
ii. The entity provides
maintenance services or repairs gaming equipment for the EGS of the Franchise
Holder;
iii. All other suppliers of
materials, maintenance and supplies that provide greater than $25,000 worth per
year in materials, service and supplies. This would include security systems,
gaming devices and money handling/storage devices; or
iv. The entity is conducting more than
$150,000 in business with one Franchise Holder or more than $300,000 in
business with two or more Franchise Holders during a calendar year.
13.3
General
Parameters of Granting a Service Industry License
(a) An applicant for a Service Industry
License shall submit to the Commission the information, documentation and
guarantees necessary to establish through clear and convincing evidence:
i. The stability, integrity and economic
responsibility of the applicant;
ii. The good character (if an individual),
honesty and integrity of the applicant;
iii. That the owners, administrative and
supervisory personnel, principal employees and sales representatives of the
applicant comply with the parameters provided in Section 13.10 Qualifying as a
Person Related to a Service Industry of these Regulations;
iv. The integrity of the investors, mortgage
creditors, guarantors and holders of bonds, notes and other evidences of debt
which are in any way related to the entity; and
v. The integrity of all the officers,
directors and trustees of applicant.
13.4
Initial Application for a Service
Industry License(a) The initial
application for a Service Industry License shall consist of an original and a
copy of the following documents:
i. Arkansas
Racing Commission Business Entity Disclosure Form for Service Industry
Licensee, to be completed by the applicant and by each company, individual or
entity holding an interest in applicant;
ii. Arkansas Racing Commission Personal
History Disclosure and Supplemental form of Persons Related with Service
Industries, to be completed by each natural person who must be qualified for a
license by the Commission in accordance with Section 13.10 of these
regulations; and
iii. The fees to
be paid to the Commission, as provided in section 13.7 of these
regulations.
(b) The
Commission shall not evaluate an initial Service Industry License application
unless same is accompanied by all the information required in these
regulations, including all the documents requested in paragraph (a) above;
provided that any incomplete application filed with the Commission shall be
deemed to be as if same had not been filed.
(c) Burden of proof - It shall be the
responsibility of the Service Industry applicant and its principals to provide
information and or documentation and to demonstrate their qualifications by
clear and convincing evidence relative to the character, honesty and integrity
of its directors, officers, stockholders and principal employees, to the
Commission.
(d) No person may sell
or otherwise supply electronic games of skill to a franchise holder for the
conduct of Wagering thereon as authorized in this chapter unless the person has
demonstrated to the satisfaction of the commission that the person has the
capability and qualifications necessary to reasonably furnish the equipment and
perform the services to be provided by the supplier.
13.5
Duration of Service Industry
License(a) Every Service Industry
License shall be issued by the Commission for a period of 3 years.
(b) Notwithstanding the provisions of
paragraph (a) above, the Commission may, as it may deem necessary:
i. issue any Service Industry License for a
shorter period;
ii. at anytime,
void the Service Industry License for reasonable cause.
13.6
Service Industry
License Renewal Application(a) Every
Service Industry License renewal application shall be filed no later than
ninety (90) days prior to the expiration date of said license.
(b) The Service Industry License renewal
application shall include:
i. A duly completed
original and a photocopy of:
(5) An Arkansas
Racing Commission Business Entity Disclosure form Service Industry Application,
which shall contain all the information that has changed from the date of the
application for the initial Service Industry License or of the last renewal, to
be completed by the applicant and by each holding company of
applicant;
(6) An Arkansas Racing
Commission Personal History Disclosure and Supplemental form of Persons Related
with Service Industry Licensees to be completed by each natural person who must
be licensed in accordance with Section 13.9 of these regulations, and who has
not been licensed by the Commission; and Arkansas Racing Commission Personal
History Disclosure form and Supplemental Personal History Disclosure form of
Persons Related with Service Industry Licensee-Renewal to be completed by any
natural person required to be licensed in accordance with Section 13.2 of these
Regulations and who has already been licensed by the Commission.
13.7
Service Industry License Fees(a)
The fees to be paid for the initial or renewal application for a Service
Industry License shall be determined by the Commission; provided that the
application fee shall not be more than $1,000 a year. This does not include the
actual cost of the investigation(s), which is to be billed to and paid by the
applicant to the Commission.
(b)
The fees to be paid for the initial application shall cover administrative
costs related to the processing of the application.
(c) The renewal application fee shall not be
more than $1,000, payable to the Commission and submitted with the Service
Industry License Renewal Form.
(d)
The license will not be approved until the fees, including the investigative
costs, have been paid by the applicant.
13.8
Service Industry Disqualification
Criteria(a) The Commission may deny a
Service Industry License to any applicant which, in the opinion of the
Commission:
i. Has not proved through clear
and convincing evidence that the applicant and any of the persons required to
be licensed in accordance with these Regulations are in fact duly
qualified;
ii. Has violated any of
the provisions of these regulations;
iii. The applicant has failed to provide
information or documentation requested in writing by the Commission in a timely
manner, which shall not exceed (30) business days from the date of request by
the Commission without reasonable justification and an extension granted by the
Commission;
iv. The Commission
shall deny a Service Industry License to any applicant who does not satisfy the
standards for entity licensing in this document.
13.9
Qualification
Requirements - Service Industry License
(a) The Commission shall not issue a Service
Industry License to any entity unless the applicant has established the
individual qualifications of each one of the following entities or persons if
applicable:
i. The entity;
ii. The holding company(s) of the
entity;
iii. Every owner of the
entity who has, directly or indirectly, any interest in or is the owner of more
than five percent (5%) of the entity;
iv. Every owner of a holding company of the
entity which the Commission deems necessary to promote the purposes of these
regulations;
v. Any director of the
entity, except such director who, in the opinion of the Commission, is not
significantly involved in or related with the administration of the
entity;
vi. Every officer of the
entity who is significantly involved in or who has authority over the manner in
which the business dealing with the activities of Franchise Holder and any
officer who the Commission considers necessary to protect the good character,
honesty and integrity of the entity;
vii. Any officer of the holding company of
the entity who the Commission considers necessary to protect the good
character, honesty and integrity of the entity;
viii. Any employee who supervises the
regional or local office which employs the sales representatives who shall
solicit business from or negotiate directly with a Franchise Holder;
ix. Any employee who shall function as a
sales representative or who shall be regularly dedicated to soliciting business
from any Franchise Holder in the State of Arkansas;
x. Any other person connected to an entity
who the Commission considers should be licensed.
xi. This part does not apply to an
institutional investor (as defined by the Federal Securities and Exchange Act
of 1934, as amended) that acquires or will acquire 10% or less of the equity
securities of an applicant or licensee that is a publicly traded corporation if
those holdings were purchased for investment purposes only and the
institutional investor files with the Commission a certified statement that it
has no intention of influencing or affecting directly or indirectly, the
affairs of the licensee; the investor will be permitted to vote on matters put
to the vote of the outstanding security holders.
(b) In order to establish the individual
qualifications, the persons specified in subparagraphs (a)(i) and (a)(ii) of
this section shall complete an Arkansas Racing Commission Business Entity
Disclosure.
(c) In order to
establish the individual qualifications, the persons specified in subparagraphs
(a)(iii) through (a)(x) of this section shall complete an Arkansas Racing
Commission Personal History Disclosure form of Persons Related with Service
Industry Licensee.
13.10
Qualifying as a Person Related with a Service Industry License
(a) Any natural person who is required to be
licensed, because of his/her relationship with a Service Industry License
applicant, shall provide to the Commission the information, documentation and
assurances necessary to establish through clear and convincing evidence:
i. His/her relationship with the
entity;
ii. That he/she is 21 years
of age (this only applies to those employees who service gaming machines or
work on the Gaming Floor who have access to the machines);
iii. That he/she is of good character and
reputation, in addition to being honest and having integrity; and
iv. That he/she has not been convicted
including "nolo contendere" and "withheld adjudication" by any state or federal
court in the Country for:
(1) Committing,
intending to commit or conspiring to commit a crime of moral turpitude, illegal
appropriation of funds or robbery, or any violation of a law related to games
of chance or skill, or a crime which is contrary to the declared policy of the
Arkansas Racing Commission with respect to the gaming industry; or
(2) Committing, intending to commit or
conspiring to commit a crime which is a felony in the State of Arkansas or a
misdemeanor in another jurisdiction which would be a felony if committed in the
State of Arkansas.
(b) Not satisfying with any one of the
requirements established in paragraph (a) above shall be sufficient reason for
the Commission to deny a Service Industry License.
(c) The Commission shall deny any person
required to qualify in conjunction with a Service Industry License that does
not satisfy the standards set forth within these regulations.
13.11
Investigations;
Supplementary Approval of Change(a)
The Commission or its representatives may, at its discretion, conduct any
investigation with respect to an applicant or any person related with an
applicant who it deems pertinent, either at the time of the initial application
or at any subsequent time.
(b) It
shall be the continuous duty of any applicant or holder of a Service Industry
License to fully cooperate with the Commission or its representatives during
any investigation and provide any supplementary information that the Commission
or its representatives requests.
(c) It shall be the duty of any applicant or
holder of a Service Industry License to notify the Commission within 10
business days of any proposed changes in the ownership of the applicant or
licensee. If the applicant or holder of a Service Industry License is publicly
traded company, it does not have to report changes in ownership unless the
change represents five percent (5%) or more of the total shares issued and
outstanding or ten percent (10%) or more of the total shares issued and
outstanding if the change is the result of an institutional investor. In such
cases, the licensee shall provide the Commission with copies of the most recent
notice filed with the Securities and Exchange Commission. All proposed new
owners shall submit to the Commission or its representatives an initial Service
Industry License application, which must be approved by the Commission. Any
failure to comply with this rule shall be grounds for revocation of an existing
license or denial of an application for a license.
13.12
Suspension, Denial of Renewal or
Revocation of a Service Industry License
(a) Any of the following reasons shall be
considered sufficient cause for the suspension, denial of renewal or revocation
of a Service Industry License:
i. Violation of
any provision of these regulations;
ii. Conduct which would disqualify the
applicant or any other person required to be licensed by the
Commission;
iii. Failure to comply
with any applicable law, state or federal or regulation, or county or municipal
ordinance;
iv. The material
misstatement made in the application for the Service Industry
License.
(b)
Notwithstanding the provisions of subparagraph (a) above, any other cause that
the Commission deems reasonable shall be considered sufficient cause for the
suspension, denial of renewal or revocation of a Service Industry
License.
13.13
Commercial Transaction in the Absence of a Service Industry
License(a) The Commission, at its
discretion, may permit any Service Industry license applicant to carry out a
commercial Transaction with a Franchise Holder before said Service Industry
entity has obtained the Service Industry License required as long as:
i. The applicant has filed with the
Commission a completed application for a Service Industry License;
ii. At least thirty (30) days has passed
since the filing of said completed application with the Commission;
and
iii. The Franchise Holder
submits to the Commission a petition for special authorization to carry out a
commercial Transaction in the absence of a Service Industry License which
contains:
(1) Sufficient reasons to convince
the Commission to grant the special authorization to the applicant;
and
(2) A description of the
commercial Transaction that it desires to carry out.
(b) The Commission shall evaluate
said petition for special authorization to carry out a commercial Transaction
in the absence of a Service Industry License and shall notify Franchise Holder
of its decision in writing within a reasonable period.
13.14
Exemption to Service Industry
License(a) The Commission may exempt
an entity from the requirement of obtaining a Service Industry License if the
Commission determines that said entity is not operating its business in a
regular and continuous manner as defined in (d) below.
(b) Any entity which is interested in
obtaining an exemption from the requirement of obtaining a Service Industry
License in accordance with this section shall apply in writing to the
Commission for said exemption.
(c)
The exemption application shall contain the following information:
i. Name, address and detailed description of
the service offered by the entity;
ii. Name of the owners, directors, officers
and managerial employees of the entity;
iii. Franchise Holder to whom they will
provide services and a description of the service to be provided, including the
quantity and cost of the services;
iv. Number and frequency of the
Transactions;
v. Dollar amount of
the Transactions; and
vi.
Sufficient reasons to convince the Commission as to why granting the entity a
license is not necessary to protect the public interest or advance the
Commission's policies relating to gaming.
(d) The Commission may determine that an
entity is not operating its business in a regular and continuous manner if the
applicant demonstrates, to the satisfaction of the Commission, that the goods
or services provided by the entity are in minimal or insignificant amounts, and
that granting the same a Service Industry License is not necessary to protect
the public interest or advance the policies established by the Commission
relating to gaming.
(e) In order to
determine if an entity operates or will operate in a regular or continuous
manner, the Commission may take the following factors into consideration, among
others:
i. Number of Transactions;
ii. Frequency of the Transactions;
iii. Dollar amount of Transactions;
iv. Nature of the equipment or services
rendered or business carried out;
v. Maximum period of time necessary to
provide the equipment, carry out the services or complete in its entirety the
business subject of the Transaction; and
vi. The public interest and the policy
established by the Commission relating to gaming.
(f) Any entity which has been exempt by the
Commission from the requirement of obtaining a Service Industry License in
accordance with this section shall notify the Commission before carrying out
any commercial contract or business transaction, with a Franchise
Holder.
13.15
Records Requirements for Service Industry Licensee
(a) Any Service Industry entity authorized by
the Commission shall maintain in a place secure against robbery, loss or
destruction, the records corresponding to the business operations, which shall
be available to, and be produced for the Commission in case the Commission
requests them. Said records shall include:
i.
Any correspondence with the Commission and other governmental agencies at a
local, state and federal level;
ii.
Any correspondence related to the business with a Franchise Holder, whether
proposed or existing;
iii. Copies
of any publicity and promotional materials;
iv. The personnel files for every employee of
the authorized Service Industry entity, including those for the sales
representatives;
v. The financial
records for all the Transactions related to the business with a Franchise
Holder, whether proposed or existing;
(b) The records listed in Subparagraph (a)
above shall at least be kept for a period of five (5) years.
13.16
Business Entity
Disclosure for Service Applicant Forms
(a) Arkansas Racing Commission Business
Entity Disclosure form shall be completed in the format provided by the
Commission.
13.17
Personal History Disclosure form
(a) The Commission may require an Arkansas
Racing Commission Personal History Disclosure form from all those natural
persons required under Section 13.9, to fill out the same.
13.18
Obligation for Payment of Fees;
No Refund of Fees Paid(a) Any
obligation for payment of fees arising from these regulations shall be paid in
full to the Commission, even when the entity withdraws its application for a
Service Industry License or the license is denied.
(b) No amounts paid for Service Industry
License fees shall be refundable.
(c) Any failure to pay fees when due shall
result in a late fee penalty established by the Commission, denial or
revocation of a license.
13.19
Responsibility of the Franchise
Holder(a) Any Franchise Holder that
will be receiving a service shall be responsible for confirming that the entity
with which it will carry out the business holds a Service Industry License or
has obtained a special authorization in accordance with Section 13.14 of these
regulations, or an exemption in accordance with these Regulations.
(b) Any violation of subparagraph (a) above
shall be sufficient cause for sanctions by the Commission.
13.20
Transitory provisions
(a) Any entity which manufactures, sells or
leases, distributes or repairs or provides maintenance services or any other
service to Franchise Holder with respect to EGS shall comply with the
provisions of these regulations beginning on the effective date the
same.
13.21
Vendor's List(a) The Commission
or its representatives shall also maintain a Prohibited Vendor List, which
shall include all vendors who are prohibited from conducting business with a
Franchise Holder. The Commission shall provide this list to the Franchise
Holders.
(b) Engaging in business
with a vendor on the Prohibited Vendor List by the Franchise Holder may result
in monetary fines not to exceed $5,000.
13.22
Temporary Service Industry
Licensing(a) If an applicant for a
manufacturer, distributor or entity providing services to a Franchise Holder
holds a similar license in another jurisdiction in the United States, the
applicant may submit a written request with its application for the Commission
to grant a temporary Service Industry license. The Commission may use the
temporary licensing process if:
i. The
Commission determines, after investigation, that the licensing standards in a
jurisdiction in which the applicant is licensed are similarly comprehensive,
thorough and provide equal, if not greater, safeguards as provided in Act 1151
or these regulations and that granting the request is in the public
interest;
ii. A completed
application has been filed by the applicant;
iii. The applicant has provided current,
updated information to the Commission associated with the similar license in
the other jurisdiction related to its financial viability and
suitability.
iv. The applicant has
no administrative or enforcement actions pending in another jurisdiction or the
applicant has adequately disclosed and explained the action to the satisfaction
of the Commission;
v. There are no
pending or ongoing investigations of possible material violations by the
applicant in another jurisdiction or the applicant has adequately disclosed and
explained the investigation to the satisfaction of the Commission;
vi. This section shall not be construed to
waive fees associated with obtaining a license through the application process
in this State.
14.0
Employee Licenses
14.1
Key Employee and General Employee
Licenses(a) Except in cases of
emergency and/or unavoidable temporary incidental entry, no person may work or
provide services to the EGS Operations of a Franchise Holder in the State of
Arkansas unless the person has a current Key Employee License or a General
Employee License issued by the Commission, as provided in these regulations.
The Key or General Employee License requirements apply to persons who have
direct access to the EGS gaming terminals, surveillance or computer
systems.
(b) Employees who perform
duties in the racing industry of the Franchise Holder must have a Racing
License. In the event the employee is assigned to work in both the Racing and
EGS areas, the employee must obtain both a General Employee License and a
Racing License.
(c) Key Employee
and General Employee Licenses are issued annually.
(d) Qualifications for a Key Employee or
General Employee license must meet the same qualifications as stated in section
13.10 Qualifying as a Person Related with a Service Industry License.
14.2
Initial Application for
an Employee License(a) Every initial
application for an Employee License shall include:
i. A duly completed original and a photocopy
of the Arkansas Racing Commission Personal History Disclosure form in
accordance with Section 13.17 of these regulations;
ii. The documents to identify applicant, as
provided in Section 14.15 of these regulations;
iii. A photo identification card shall be
submitted by the applicant to the Commission with the filing of the license
application, which will be stapled to the Arkansas Racing Commission Personal
History Disclosure form in addition to submission of fingerprinting of the
applicant by Commission staff or their designees, which will be submitted for
state and federal regulatory inquiry purposes for criminal and financial
background checks.
iv. The fees to
be paid as provided in Section 14.16 of these regulations including late fees
for late filings.
(b)
Each initial application shall be filed at or mailed to the Commission at the
address of the Commission as provided on the application itself.
14.3
Persons or Entities Who
Must Obtain a Key Employee License
Except as otherwise approved by the Commission, any person or entity
who carries out or will carry out, or has or will have any of the functions
mentioned in Section 14.4 shall obtain a Key Employee License; or who carries
out functions specified in Section 14.5 shall obtain a General Employee License
before commencing work with a Franchise Holder. The lists contained in Sections
14.4 and 14.5 of these regulations are not all-inclusive but
illustrative.
14.4
Key Employee Job Functions
Any person or entity who is going to be employed by the Franchise
Holder in a position which includes any of the following responsibilities or
powers, independently of the title, shall obtain a Key Employee License:
(a) Where they have authority to develop or
administer policy or long-range plans or to make discretionary decisions
related to the operation of the Franchise Holder they shall be considered a Key
Employee Licensee and shall include, but not be limited to any person or entity
who:
i. Functions as an officer of the
Franchise Holder;
ii. Functions as
a facility manager for a Franchise Holder or director;
iii. Functions as EGS gaming department
manager;
iv. Functions as director
of surveillance;
v. Functions as
director of security;
vi. Functions
as controller;
vii. Functions as an
audit department executive;
viii.
Functions as the manager of the MIS ("Management Information Systems")
Department or of any information system of a similar nature;
ix. Manages a marketing department;
x. Functions as assistant manager;
xi. Manages the EGS gaming administrative
operations;
xii. Functions as a
general manager;
xiii. Functions as
Chief Financial Officer of the Franchise Holder; and
xiv. Any other person who has the ability to
direct, control or manage the operations or who has discretionary authority
over the Franchise Holder's decision-making. Notwithstanding the above,
individuals working exclusively for pari-mutuel operations in horse or
greyhound racing would not be covered by these regulations.
14.5
General
Employee Job Functions
Any natural person who is going to be employed by the Franchise Holder
in a position which includes any of the following responsibilities related to
the operations of the Franchise Holder, or whose responsibilities predominantly
involve the maintenance or the operation of EGS gaming activities or equipment
and assets associated with the same, or who is required to work regularly in
restricted EGS areas shall obtain a General Employee License. Said persons
shall include, but not be limited to, any person who:
(a) Conducts surveillance investigations and
operations in an EGS gaming area;
(b) Repairs and maintains EGS gaming
equipment, including, but not limited to, EGS and bill acceptors;
(c) Assists in the operation of EGS and bill
acceptors, including, but not limited to, persons who participate in the
payment of jackpots, or who supervise said persons;
(d) Processes currency, and patrons' checks
or Cash Equivalents in the EGS gaming area;
(e) Repairs or maintains the Surveillance
System equipment as an employee of the surveillance department of the Franchise
Holder;
(f) Provides physical
security in an EGS gaming area;
(g)
Controls or maintains the EGS inventory, including replacement parts, equipment
and tools used to maintain of the same;
(h) Has responsibilities associated with the
installation, maintenance or operation of computer hardware for the Franchise
Holder's computer system; and
(i)
Does not perform the job functions of a Key Employee as outlined within section
14.4.
14.6
Scope
and Applicability of Employee Licensing of Natural Persons
(a) In determining whether a natural person
who provides services to Franchise Holders is an employee of the Franchise
Holder for purposes of the rules, it shall be presumed that such person is an
employee if the services provided by that person are characterized by any of
the following factors, these being indicative that an employment relationship
exists:
i. The natural person will, for a
period of time unrelated to any specific project or for an indefinite period of
time, directly supervise one or more employees of the Franchise
Holder;
ii. The Franchise Holder
will withhold local and federal taxes or make regular deductions for social
security, or other deductions required by law from the payments made to the
natural person;
iii. The natural
person will be given the opportunity to participate in any benefit plan offered
by the Franchise Holder to its employees, including, but not limited to, health
insurance plans, life insurance plans or pension plans; or
iv. The natural person has an employee
license application pending with the Commission or will submit such an
application during the time the services are being rendered to the Franchise
Holder, and the cost of the license has been or will be paid for or reimbursed
by the Franchise Holder.
(b) The Commission may, after considering the
factors in paragraph (a) of this section and any other applicable information,
require that the natural person obtain an employee license before providing or
continuing to provide any service to Franchise Holder even if an agreement to
the contrary exists between the Franchise Holder and the natural
person.
14.7
General Criteria for Granting of a Key Employee License
(a) Each applicant for an Employee License
shall provide the Commission with the necessary information, documentation and
guarantees which establish through clear and convincing evidence that the
applicant:
i. Is older than 21 years of
age;
ii. Is a citizen of the United
States of America or is authorized in accordance with the applicable federal
laws or regulations to work in the United States of America.
iii. Possesses good character and reputation,
in addition to being honest and having integrity; and
iv. Has no physical or mental condition that
prohibits the applicant from performing the essential functions of his job for
which there is no reasonable accommodation.
(b) Failure to comply with one of the
criteria established in paragraph (a) above may be sufficient cause for the
Commission to deny an application for an Employee License.
14.8
Personal Information Required for
a Key Employee License(a) Every
applicant for a Key Employee License who will work in a managerial or
supervision position for a Franchise Holder of the type described in Section
14.4 of these regulations shall submit:
i. Any
affiliation of applicant with a Franchise Holder or with companies controlling
the Franchise Holder and the position he/her occupies with the same or his
interest in said entity;
ii. Any
affiliation of applicant with a Service Industry entity or with companies
controlling the Service Industry entity and the position that he/her occupies
with or his interest in said entity.
14.9
Processing of the initial
application for a Key Employee License
(a) The Commission shall determine if the
initial application complies with all the requirements provided in these
regulations and if any deficiency is found, it shall notify the applicant of
the deficiency(ies) within 20 days following the filing of the initial
application with the Commission. The Commission shall not evaluate an
incomplete initial application.
(b)
Once the Commission has determined that the initial application filed is
complete, the Commission shall:
i. Accept the
application and initiate the procedure for considering the same;
ii. Notify in writing the applicant or
his/her representative, if any, that the application has been accepted for
consideration. Said notice shall also include:
(1) The date of said acceptance;
(2) The file number of the application;
and
(3) A caution to the applicant
that the fact that the application has been accepted for consideration does not
mean that the applicant has complied with the requirements of the regulations
to issue the license;
iii. Analyze and evaluate the information
offered in the application and any other information necessary to determine if
the requested license should be granted;
iv. Make a decision with respect to the
requested license; and
v. Notify
the applicant of its decision. If the decision consists of a denial of the
license, the Commission shall inform the applicant the reason or reasons for
the denial and of his/her right to request a reconsideration of the decision of
the Commission following the adjudicative procedures provided in section 14.0
of these regulations. For purposes of these regulations, a denial of a license
application shall be considered a final order of the Commission, after the
adjudication process.
(c) The Commission, at any time, may request
from an applicant for an Employee License any other information it may deem
necessary in order to make a decision with respect to the
application.
14.10
Duration of the Employee License
(a) Every Employee License shall be issued by
the Commission for a period of up to 1 year.
(b) Notwithstanding the provisions of
paragraph (a) above, the Commission may, as it deems necessary:
i. issue any license for a shorter period of
time;
ii. at anytime, void an
Employee License for reasonable cause.
14.11
Date of Filing for Renewal of a
Key or General Employee License
Any holder of an Employee License shall renew his license by filing
with the Commission an application for renewal of his Employee License. The
completed renewal application shall be filed with the Commission no later than
60 days prior to expiration of the license.
14.12
Application for Renewal of a Key
or General Employee License(a) The
application for renewal of an Employee License shall include:
i. A duly completed original and a photocopy
of the Arkansas Racing Commission Personal History Disclosure form which shall
contain all the information which has changed since the date of the initial
Employee License application or of the last renewal.
ii. The documents which identify the
applicant, as provided in section 14.15 of these regulations;
iii. Photographs of the applicant taken by
the Commission or its representatives, which shall be stapled to the Arkansas
Racing Commission Personal History Disclosure form; and the submission of
fingerprints of the applicant, which shall be taken by the Commission or their
designee and submitted to state and federal authorities for relevant
checks.
iv. The fees to be paid as
provided in Section 14.16 of these regulations.
(b) Any renewal application shall be filed
with or mailed to the Commission to the address of the Commission, as provided
on the application.
(c) Any person
who fails to submit a completed renewal application in accordance with this
section or in accordance with the provisions of paragraph (a) of Section 14.13
of these regulations shall be considered as not having filed a renewal
application with the Commission and the license shall be cancelled on the
expiration date.
(d) Any person
whose current employee license is cancelled in accordance with this section
may, before the date of expiration of the current license, or at any time after
the expiration, apply for an Employee License; provided that the application,
for all purposes of these regulations, shall be considered an initial Employee
License application and shall comply with Sections 14.8 and 14.9 of these
regulations.
14.13
Processing of the Application for Renewal of Key or General Employee
License(a) The Commission shall
determine if the renewal application filed complies with all the requirements
provided in these Regulations and if any deficiency is found, it shall notify
the applicant of the deficiency(ies) within 20 days following the filing of the
renewal application with the Commission; provided that the Commission may, at
its discretion and depending on the magnitude of the deficiency(ies), grant an
opportunity for the applicant to cure any deficiency within the period and
under the conditions determined by the Commission at said time. Any application
where a deficiency has been cured in accordance with the above shall be deemed
to have been filed within the period required by these Regulations.
(b) Upon receipt of an application for
renewal of an Employee License duly completed and filed within the period
required by these regulations, the Commission or its representatives shall
carry out the investigation it deems necessary.
(c) The Commission shall make a decision with
respect to each completed license renewal application which has been
submitted.
(d) The Commission shall
notify the applicant of the decision made. If the decision consists of a denial
of the renewal of the license, the Commission shall inform the applicant the
reason or reasons for the denial and of his right to request a reconsideration
of the decision of the Commission following the adjudicative procedures
provided in section 14.9(b)(v) of these regulations. For purposes of these
regulations, a denial of a license application shall be considered a final
order of the Commission, after the adjudication process.
14.14
Responsibility for Establishing
Qualifications and to Disclose and Cooperate
(a) Each applicant shall be responsible for
providing the information, documentation and assurances required for
establishing through clear and convincing evidence that his/her qualifications
meet the requirements of these regulations.
(b) It shall be the continuing responsibility
of every applicant or holder of an Employee License to provide all the
information, documentation and assurances that may be required by the
Commission pertaining to the qualifications, and to cooperate with the
Commission. Any refusal or failure of an applicant to comply with a formal
request for information, evidence or testimony from the Commission shall be
sufficient cause for a denial or revocation of the license.
14.15
Identification of the
Applicant
Every applicant for an Employee License shall establish his/her
identity with reasonable certainty by providing the necessary Identification
Credentials.
14.16
Fees Payable
The fees payable for the initial or renewal application for Employee
Licenses shall be determined by the Commission. Applications for an initial
license and every third year after initial license will be required to pay to
the Commission a fee to cover the costs related to obtaining background
investigations and reports. Applications for an initial license and every third
year after initial license will be required to pay to the Commission a fee to
cover the costs related to obtaining background investigations and
reports.
14.17
Employees Working Without an Employee License
No employee with an expired license shall work in a position or shall
exercise functions for which such license is required, with the understanding
that if such employee is found working without a current and valid license, the
employee, as well as the Franchise Holder or person or entity employing the
employee shall be subject to sanctions as established by the Commission.
14.18
Payment of Fees,
Regulatory Sanctions; No Refunds of Payments
(a) No application shall be accepted for
filing or processed by the Commission except upon full payment of all required
fees, civil penalties or regulatory sanctions. Any portion of a fee which is
incurred or determined after the filing of the application or any civil penalty
imposed by the Commission shall be payable upon demand to the
Commission.
(b) Any payment of
monetary obligation arising from these regulations shall be paid in full even
when the person withdraws his Employee License application.
(c) No amounts required to be paid to the
Commission for licensure; civil penalties or regulatory sanctions shall be
refunded.
(d) Any fees, civil
penalties or regulatory sanctions not paid by the due date shall be subject to
penalty in an amount to be determined by the Commission.
14.19
Miscellaneous Administrative
Charges(a) Any lost Key Employee
License shall be replaced by the Commission at a cost to be determined by the
Commission.
(b) Any change to the
Employee License requested by the employee which was not caused by an omission
or negligence of the Commission shall carry a charge to be determined by the
Commission.
14.20
Change of Position or Place of Work(a)
Any natural person who carries out any of the functions described in Section
14.5, General Employee Job Functions of these regulations or one which is
similar in nature to said functions and for any reasons the person's functions
change to any of the functions which are described in Section 14.3 of these
regulations or one that is similar in nature to these shall file a new
application with the Commission in accordance with the provisions of Section
14.12, Application for Renewal of Key Employee License of these regulations
within the 20 days following the change of the person's position.
(b) A license setting forth more than one
position may be issued to any licensed employee by the Commission upon
application by the licensed employee or the Franchise Holder. Said request
would be reviewed by the Commission to ensure that their dual license status
would not be deemed an Incompatible Function. The review will be conducted in a
timely manner and the Commission's decision shall be provided to the applicant
in writing.
14.21
Carrying of Licenses and Credentials
(a) Any person to whom the Commission has
issued an Employee License must carry, on his person or wear in a visible and
conspicuous manner, the Employee License, at all times when on premises of the
franchise holder.
(b) No Franchise
Holder shall permit a person to work in its licensed premises without said
person carrying his/her Employee License as provided in paragraph (a)
above.
14.22
Authority of Commission - Licensing
(a) Nothing provided in this document shall
be interpreted as limiting authority and powers of the Commission to at any
time:
i. Investigate the qualifications of
any holder of an Employee License; and
ii. The Commission may suspend, revoke or
refuse to issue a license to any person who:
(1) Failed to disclose or misstated
information or otherwise attempted to mislead the Commission with respect to
any material fact contained in the application for license as a gaming
employee;
(2) Violated Commission
rules, or has been suspended or had a license revoked by another gaming
jurisdiction;
(3) Has been
convicted of a felony in the last ten years. Persons with felony convictions
that are more than ten years ago may be licensed at the discretion of the
Commission.
(4) Has been identified
in the published reports of any federal or state legislative or executive body
as being a member or associate of organized crime, or as being of notorious and
unsavory reputation;
(5) Is on
probation, parole or remains in the constructive custody of any federal, state
or municipal law enforcement authority;
(6) Had license as a gaming employee revoked
or committed any act which is a ground for the revocation of license as a
gaming employee or would have been a ground for revoking license as a gaming
employee if the applicant had then been registered as a gaming
employee;
(7) Has been employed in
the last two years by the accounting firm that has conducted the annual
independent audit on behalf of a Franchise Holder or the EGS Section;
or
(8) Has been employed by the EGS
Section within the last two years.
14.23
Transitory Provisions
(a) Any person who on the effective date of
these regulations who in accordance with the provisions of these regulations
would need an Employee License, shall file an initial application within the
thirty (30) days following the effective date of these regulations.
(b) All persons to whom these regulations
would apply shall comply with all the provisions of these regulations from the
effective date of these regulations.
14.24
Sanctions
(a) The Commission may initiate regulatory
enforcement actions against any person licensed under these
regulations.
(b) Any person who
willfully fails to report, pay or truthfully account for and pay any license
application fee, investigative fee or any other fees imposed by these
regulations, or willfully attempts in any manner to evade or defeat any such
fee, or payment thereof shall be subject to suspension or revocation of their
license and shall be liable for the imposition of a penalty, as determined by
the Arkansas Racing Commission.
(c)
Any person who, without obtaining the requisite license as provided for by
these regulations works or is employed in a position whose duties would require
licensing under the provision of these regulations shall be liable for the
imposition of sanctions and subject to a fine of not more than $1,000,
suspension or revocation of license or both.
(d) In addition to any monetary sanction, the
Commission shall, after appropriate hearing and factual determinations, have
the authority to impose the following sanctions upon any person licensed
pursuant to these regulations:
i. Revoke the
license of any person convicted of any criminal offense for which
disqualification as set forth in Section 14.0 would result.
ii. Suspend the license of any person pending
a hearing and determination in any case in which license revocation could
result.
iii. Suspend or revoke the
license for violation of any provisions of these regulations relating to
Franchise Holders.
iv. Assess
sanctions as may be necessary to punish misconduct and to deter future
violations, which such penalties may not exceed $5,000 in the case of any
individual licensee and in the case of the Franchise Holder, the penalty may
not exceed $10,000 for each violation.
v. Issue warning letters, letters of
reprimand or censure, which letters shall be made a permanent part of the file
of each licensee so sanctioned.
(e) In considering appropriate sanctions in a
particular case the Commission shall consider:
i. The risk to the public and to the
integrity of Franchise Holders created by the conduct of the person facing
sanctions;
ii. The seriousness of
the conduct and whether the conduct was purposeful and with knowledge that it
was in contravention of these regulations;
iii. Any justification or excuse for such
conduct;
iv. The prior history of
the licensee with respect to compliance with these regulations;
v. The corrective action taken by the
licensee to prevent future misconduct of a like nature from occurring;
and
vi. In the case of a civil
penalty, the amount of the penalty in relation to the severity of the
misconduct. The Commission may impose any schedule or terms of payment of such
penalty, as it may deem appropriate.
vii. It shall be no defense to any regulatory
enforcement or disciplinary action before the Commission that the applicant or
licensee inadvertently, unintentionally, or unknowingly violated a provision of
these regulations. Such factors shall only go to the degree of the civil
penalty to be imposed by the Commission.
(f) A violation of any provision of these
regulations, which is an offense of a continuing nature, shall be deemed to be
a separate offense on each day during which it occurs. Nothing herein shall be
deemed to preclude the Commission from enforcing multiple violations within the
same day of those provisions of the regulations which establish offenses
consisting of separate and distinct acts.
24.0
EGS Technical
Specifications
24.1
Compliance
with Regulations(a) All electronic
equipment used for EGS Gaming must be scientifically tested and certified in
accordance with these regulations by an approved Independent Testing
Laboratory, which is demonstrably competent and qualified. All equipment sent
to the Test Laboratory for the purpose of testing and certifying the EGS Gaming
equipment must be in accordance with the Test Laboratory's submission
requirements.
(b) All control
chips, EPROMS, flash drives, CD-ROM, etc. containing game control information
will be shipped directly by the manufacturing to the EGS Section for testing
and verification prior to them being installed at the gaming facility. Chips,
EPROMS, flash drives, CD-Rom, etc. are to be received no less then five (5)
days before the gaming device is received at the gaming facility.
(c) All gaming devices will be shipped to the
gaming facility in an inoperable fashion and will not include game control
chips, EPROMS, flash drives, CD-ROM, etc.
24.2
Software Verification
(a) In general, all components involved in
EGS Gaming that have an effect on the integrity of the operation (hereinafter,
'Critical Files') must utilize Control Program Storage Media that can be
verified via a third-party verification procedure. This would include EGS, all
Systems addressed herein, and all associated equipment whether it is internal
to the EGS or a component of the system. The third-party verification may be
embedded within the game software provided the requirements in (iii) are met or
the component shall have an interface port for a third-party device to
authenticate the media. This integrity check will provide a means for field
testing the software to identify and validate the program. Unless otherwise
defined, Control Program Storage Media must have the ability to:
i. Authenticate all Critical Files including,
but not limited to, executables, data, operating system files and other
files;
ii. The third-party method
utilized must employ a secure hashing algorithm. (e.g. MD5 or SHA1) or
equivalent. The algorithm shall use a key or seed of sufficient length and
complexity. The Manufacturer should be prepared to demonstrate the algorithm
choice to the Test Laboratory for approval. This would include 'downloadable'
software;
iii. The third-party
verification process shall not include any process or security software
provided by the operating system Manufacturer. A secondary checking method may
use commercially available software by the operating system Manufacturer. The
third-party verification tool maybe embedded within the program provided:
(1) The Test Laboratory shall evaluate and
approve the method, as required within subsection (ii);
(2) The Test Laboratory is supplied with the
tools needed to 'extract' the program from the component to have the ability to
perform forensic examinations should the EGS or System yield an invalid
signature, at the request of the Commission or its personnel.
24.3
Physical Security and Player Safety Requirements for EGS
The EGS shall be robust enough to withstand forced illegal entry,
unless such entry causes an error condition, and which does not affect the
subsequent play or any other play, prize or aspect of the game. The following
rules shall apply to the EGS access areas:
(a) All external doors and Logic Compartment
doors shall be locked and monitored by door access sensors, which shall have
the ability to detect and immediately report the door opened event to the EGS
by way of an error;
(b) It shall
not be possible to insert a device into the EGS that will disable a door open
sensor when the machine's door is closed, without leaving evidence of
tampering; and
(c) The sensor
system shall register a door as being open when the door is moved from its
fully closed and locked position.
24.4
Player Safety
Electrical and mechanical parts and design principles of the EGS may
not subject a player to any physical hazards.
24.5
Environmental Effects on Game
Integrity
The Laboratory will perform certain tests to determine whether or not
outside influences affect EGS game fairness to the player or create cheating
opportunities. Electrical Testing shall be performed by a Test Laboratory that
specializes in that type of testing for health or safety matters. Electrical
Testing is the responsibility of the Manufacturer, purchaser, and operator of
the equipment. An EGS shall be able to withstand the following tests, resuming
game play without operator intervention:
(a) Random Number Generator. The random
number generator and random selection process shall be impervious to influences
from outside the device;
(b)
Electro-Magnetic Interference. EGS gaming devices shall not create electronic
noise that would effect the integrity or fairness of neighboring machines or
associated equipment;
(c)
Electro-Static Interference. Protection against static discharges requires that
the machine's conductive cabinets be earthed in such a way that static
discharge energy shall not damage, or inhibit the normal operation of the
electronics or other components within the EGS gaming device. EGS gaming
devices may exhibit temporary disruption when subjected to a significant
electro-static discharge greater than human body discharge, but they shall
exhibit a capacity to recover and complete any interrupted play without loss or
corruption of any control or data information associated with the gaming
device. The tests will be conducted with a severity level of a minimum of 27KV
air discharge;
(d) Radio Frequency
Interference (RFI). EGS gaming devices shall not divert from normal operation
by the application of RFI at a frequency range from twenty-seven (27) to one
thousand (1000) MHZ with a field strength of three (3) volts per
meter;
(e) Magnetic Interference.
EGS gaming devices shall not be adversely affected by magnetic
interference;
(f) Liquid Spills.
Liquid spills applied to the outside of an EGS shall not affect the normal
operation of the machine, the integrity of the material or information stored
inside the cabinet, or the safety of the players operating the equipment. If
liquids are spilled into a bill acceptor, the only degradation permitted is for
the acceptor to reject all inputs or generate an Error Condition; and
(g) Temperature and Humidity. Gaming devices
can be expected to operate in a variety of extreme environments. In the event
that the designed operational parameters of an EGS are exceeded, the machine,
if incapable of continued proper operation, shall perform an orderly shutdown
without loss of game status, accounting, and security event data. The
Manufacturer should supply any documentation if the device has had temperature
and humidity testing against any recognized standard.
24.6
EGS Identification
An EGS shall have a not easily removable, without leaving evidence of
tampering, identification badge, permanently affixed to the exterior of the
cabinet by the Manufacturer, and this badge shall include the following
information:
(a) The
Manufacturer;
(b) A unique serial
number;
(c) The EGS model number;
and
(d) The date of
manufacture.
24.7
Tower Light
The EGS must have a light located conspicuously on top of the EGS that
automatically illuminates when a player is redeeming credits that the EGS
cannot automatically pay, or an Error Condition has occurred, or a 'Call
Attendant' condition has been initiated by the player. This requirement may be
substituted for an audible alarm for 'bar-top' style games where multiple
terminals share a common Tower Light.
24.8
On/Off Switch
An on/off switch that controls the electrical current shall be located
in a place which is readily accessible within the interior of the machine so
that power cannot be disconnected from outside of the machine using the on/off
switch. The on/off positions of the switch shall be labeled.
24.9
Logic Compartment
The logic compartment is a locked cabinet area with its own locked door
that is separate from any external door lock. Logic Compartment(s) are area(s)
within an EGS that house(s) Critical Electronic Components (components that
have the potential to significantly influence the operation of the EGS), which
would include:
(a) CPUs and other
electronic components involved in the operation and calculation or display of
game play (e.g., game controller electronics and components housing the game or
system firmware program storage media); and
(b) Communication controller electronics, and
components housing the communication control program that is used for
communicating financial data, program information and security events to the
On-line Accounting and Monitoring, Ticket Validation, and any other system used
that would affect the integrity of EGS Gaming.
24.10
Currency Compartments
All currency compartments shall be locked separately from the main
cabinet area. Currency Compartments must also meet the following rules:
(a) Shall be fitted with sensors that will
allow the EGS to immediately communicate the currency door open event or when
the storage container has been removed; and
(b) Access to the currency storage area (Bill
Stacker) is to be through two (2) levels of locks (the relevant outer door plus
one other door or lock) before the receptacle or currency can be removed;
and
(c) The Bill Stacker device
shall have a 'stacker full' sensor.
24.11
Cabinet Wiring
The EGS shall be designed so that power and data cables into and out of
the EGS can be routed so that they are not accessible to the general public.
This is for game integrity reasons only, not for health and safety.
Security-related wires and cables that are routed into a Logic Compartment
shall not be able to be easily removed.
24.12
Power Surges
The EGS shall not be adversely affected, other than resets, by surges
or dips of ± 20% of the supply voltage. It is acceptable for the
equipment to reset provided no damage to the equipment or loss or corruption of
data occurs.
24.13
Microprocessor Controlled
EGS must be controlled by one (1) or more Microprocessors or the
equivalent in such a manner that the game is controlled by the
Microprocessor.
24.14
Ticket Printers
For printer games, the printer shall be located in a locked area of the
EGS (e.g., require opening of the main door to access), with the exception of a
logic area or the drop box. This requirement ensures that changing the paper
does not require access to the drop (cash) or logic areas containing Critical
Electronic Components. Ticket Printers shall be interfaced in such a way as to
allow the EGS Control program to interpret and act when the Ticket Printer is
out of paper or low on paper, there is a printer jam or failure or the printer
is disconnected.
24.15
Printed Circuit Board (PCB) Identification
Each Printed Circuit Board (PCB) shall be identifiable by some sort of
name (or number) and revision level and:
(a) The top assembly revision level of the
PCB shall be identifiable (if track cuts and/or patch wires are added to the
PCB, then a new revision number or level shall be assigned to the assembly);
and
(b) Manufacturers shall ensure
that Circuit Board assemblies, used in their EGS, conform functionally to the
documentation and the certified versions of those PCBs that were evaluated and
certified by the Test Laboratory.
24.16
Mechanical Devices Used for
Displaying Game Outcomes
If the game has mechanical or electro-mechanical devices, which are
used for displaying game outcomes, the following rules shall be
observed:
(a) Electro-mechanically
controlled display devices (e.g., reels or wheels) shall have a sufficiently
closed loop of control so as to enable the software to detect a malfunction, or
an attempt to interfere with the correct operation of that device. This
requirement is designed to ensure that if a reel or wheel is not in the
position it is supposed to be in, an error condition will be
generated;
(b) Mechanical
assemblies (e.g., reels or wheels) shall have some mechanism that ensures the
correct mounting of the assembly's artwork, if applicable;
(c) Displays shall be constructed in such a
way that winning symbol combinations match up with pay lines or other
indicators; and
(d) A mechanical
assembly shall be so designed that it is not obstructed by any other
components.
24.17
Video Monitors/Touchscreens
Games that have video monitors must meet the following rules, as
applicable:
(a) Touch screens (if
applicable) shall be accurate, and once calibrated, shall maintain that
accuracy for at least the Manufacturer's recommended maintenance
period;
(b) A touch screen (if
applicable) should be able to be re-calibrated by venue staff without access to
the EGS cabinet other than opening the main door; and
(c) There shall be no hidden or undocumented
buttons/touch points (if applicable) anywhere on the screen, except as provided
for by the game rules that affect game play.
24.18
Bill Acceptors
All acceptance devices shall be able to detect the entry of valid
bills, coupons, Ticket Vouchers, or other approved notes, and provide a method,
utilizing a bidirectional communication protocol, to enable the EGS software to
interpret and act appropriately upon a valid or invalid input. The acceptance
device(s) shall be electronically-based and in a highly accurate manner, ensure
that only valid bills of legal tender are accepted. The bill input system shall
be constructed in a manner that protects against vandalism, abuse, or
fraudulent activity. In addition, bill acceptance device(s) shall only register
credits when:
(a) The bill or other
note has passed the point where it is accepted and stacked; and
(b) The bill or other note is "irrevocably
stacked."
24.19
Factory Set Bill Acceptors
If Bill Acceptors are designed to be factory set only, it shall not be
possible to access or conduct maintenance or adjustments to those Bill
Acceptors in the field, other than:
(a) The selection of bills, coupons, Ticket
Vouchers, or other approved notes and their limits;
(b) Changing of the certified Control
Program;
(c) Adjustment of the
tolerance level for accepting bills or notes of varying quality should not be
allowed externally to the machine. Adjustments of the tolerance level should
only be allowed with adequate levels of security in place. This can be
accomplished through lock and key, physical switch settings, or other accepted
methods approved on a case-by-case basis;
(d) Maintenance, adjustment, and repair per
approved factory procedures; or
(e)
Options that set the direction or orientation of acceptance.
24.20
Payglass/Video
Display
Payglasses or video displays shall be clearly identified and shall
accurately state the rules of the game and the award that will be paid to the
player when the player obtains a specific win. The payglasses or video displays
shall clearly indicate whether awards are designated in credits, currency, or
some other unit. The Denomination being played shall be clearly displayed. The
EGS gaming device shall reflect any change in award value, which may occur in
the course of play. This may be accomplished with a digital display in a
conspicuous location of the EGS gaming device, and the game must clearly
indicate as such. All paytable information should be able to be accessed by a
player, prior to them committing to a bet. Pay glasses or video displays shall
not be certified if the information is inaccurate or may cause confusion. The
"reasonable player" standard shall be used for evaluation:
(a) Upcoming wins. The game shall not
advertise 'upcoming wins,' for example three (3) times pay coming
soon;
(b) Extended Feature
Information. Each game which offers an extended feature (i.e., Free Games,
Re-Spins, Bonus Paytable during the next 'x' games, etc.) must display the
number of feature games that are remaining, during each game; and
(c) Multiple Decks of Cards. Any games which
utilize multiple decks of cards should alert the player as to the number of
card decks in play.
24.21
Information to be
Displayed
An EGS shall display, or shall have displayed on the glass, the
following information to the player at all times the machine is available for
player input:
(a) The player's current
credit balance;
(b) The current bet
amount. This is only during the base game or if the player can add to the bet
during the game;
(c) All possible
winning outcomes, or be available as a menu item or on the help menu;
(d) Win amounts for each possible winning
outcome, or be available as a menu or help screen item;
(e) The amount won for the last completed
game (until the next game starts or betting options are modified);
and
(f) The player options selected
(e.g., bet amount, lines played) for the last completed game (until the next
game starts or a new selection is made).
24.22
Games with Multiple Win
Lines
Each individual line to be played shall be clearly indicated by the EGS
so that the player is in no doubt as to which lines are being bet on. In
addition, the winning playline(s) shall be clearly discernable to the player
(e.g., on a video game it may be accomplished by drawing a line over the
symbols on the playline(s) and/or the flashing of winning symbols and line
selection box. Where there are wins on multiple lines, each winning playline
may be indicated in turn. This would not apply to games that use mechanical
reels).
24.23
Multiple Games offered for Play at one EGS
The following rules apply to EGS that offer more than one (1) game to
be played:
(a) The methodology
employed by a player to select and discard a particular game for play on a
multi-game EGS shall be clearly explained to the player on the EGS, and be
easily followed.
(b) The EGS shall
be able to clearly inform the player of all games, their rules and/or the
paytables before the player must commit to playing them.
(c) The player shall at all times be made
aware of which game has been selected for play and is being played, as
applicable.
(d) The player shall
not be forced to play a game just by selecting that game. The player shall be
able to return to the main menu.
(e) It should not be possible to start a new
game before the current play is completed and all relevant meters have been
updated (including bonus features, double up and other options of the game)
unless the action to start a new game terminates the current play in an orderly
manner.
(f) The set of games
offered to the player for selection, or the paytable, can be changed only by a
secure certified method which includes turning on and off games available for
play through a video screen interface. The rules outlined in 'Configuration
Setting' of this document shall govern the RAM Clear control requirements for
these types of selections. However, for games that keep the previous paytable's
(the paytable just turned off) data in memory, a RAM clear is not
required.
(g) No changes to the set
of games offered to the player for selection (or to the paytable) are permitted
while there are credits on the player's credit meter or while a game is in
progress.
24.24
Merchandise Prizes in Lieu of Cash Awards
Games offering merchandise prizes shall display the amount of
merchandise prize clearly to the player on the EGS that is offering the
prize.
24.25
Percentage Payout(a) Each EGS
shall pay out a minimum of 83% during the expected lifetime of the game as
required by Arkansas Code Ann
23-113-201(f).
24.26
Odds
The highest single advertised payout on each gaming device shall occur,
statistically, at least once in 100,000,000 games. This does not apply to
multiple awards won together on the same game play where the aggregate prize is
not advertised. This odds rule shall not apply to games which make it possible
for a player to win the highest win multiple times through the use of free
games. This rule does apply to each Wager that wins the maximum award.
24.27
Credit
Redemption
Available credits may be collected from the EGS by the player pressing
the 'COLLECT' button at any time other than during:
(a) A game being played;
(b) Audit mode;
(c) Any door open;
(d) Test mode;
(e) A Credit Meter or Win Meter
incrementation, unless the entire amount is placed on the meters when the
collect button is pressed; or
(f) A
payout or Memory Error Condition.
24.28
Credit Meter
The credit meter shall be maintained in credits or cash value. In
addition, it must meet the following, where applicable:
(a) Progressives may be added to the credit
meter if either:
i. The credit meter is
maintained in the local currency amount; or
ii. The progressive meter is incremented to
whole credit amounts; or
iii. The
prize in the local currency amount is converted to credits on transfer to the
player's credit meter in a manner that does not mislead the player (i.e., make
unqualified statement "wins meter amount" and then rounds down on conversion)
or cause accounting imbalances.
24.29
Cancel Credit
If credits are collected, and the total credit value is greater than or
equal to a specific limit (e.g., Printer Limit for printer games, etc.), the
game shall lock up until the credits have been paid, and the handpay is cleared
by an Attendant.
24.30
Taxation Reporting Limits
The game shall be capable of entering a lock-up condition if the sum of
awards from a single game is equal to the 'Taxation Limit' and which requires
an Attendant to clear.
24.31
Game Cycle
A game is considered completed when the final transfer to the player's
credit meter takes place (in case of a win), or when all credits Wagered or won
that have not been transferred to the credit meter, are lost. The following are
all considered to be part of a single game:
(a) Games that trigger a free game feature
and any subsequent free games;
(b)
"Second screen" bonus feature(s);
(c) Games with player choice (e.g., Draw
Poker or Blackjack);
(d) Games
where the rules permit Wagering of additional credits (e.g., Black back
insurance; and
(e) Double-up
features.
24.32
Player Assistance or Auto Hold Features
An Electronic Game of Skill may have player assistance or 'Auto Hold'
features provided that the features may be disabled using a secure
method.
24.33
Ticket
Issuance
Cash Tickets can be generated at an EGS through an internal document
printer. Additionally, cashier/change booth issuance is permitted, if supported
by the validation system. Payment by ticket printer as a method of credit
redemption is only permissible when the EGS gaming device is linked to a
computerized 'Ticket Validation System', which allows validation of the printed
ticket. Validation approval or information shall come from the Ticket
Validation System in order to validate tickets. Tickets may be validated at any
location, as long as it meets the standards in this section. Provisions must be
made if communication is lost, and validation information cannot be sent to the
central system, thereby requiring the Manufacturer to have an alternate method
of payment. The validation system must be able to identify duplicate tickets to
prevent fraud by reprinting and redeeming a ticket that was previously issued
by the EGS gaming device. A ticket shall contain the following printed
information at a minimum, some of which may also be part of the validation
number or barcode:
(a) Franchise
holder Name/Site Identifier;
(b)
Machine Number (or Cashier/Change Booth location number, if ticket creation,
outside the EGS is supported);
(c)
Date and Time (24hr format);
(d)
Alpha and numeric dollar amount of the ticket;
(e) Ticket sequence number;
(f) Validation number;
(g) Bar code or any machine readable code
representing the Validation number;
(h) Type of Transaction or other method or
differentiating ticket types; (assuming multiple ticket types are available)
and
(i) Indication of an expiration
period from date of issue, or date and time the ticket will expire (24hr format
which is understood by the local date/time format).
24.34
Online Ticket Redemption
Tickets may be inserted in any EGS gaming device participating in the
validation system providing that no credits are issued to the EGS gaming device
prior to confirmation of ticket validity. The patron may also redeem a ticket
at a cashier/change booth or other approved validation terminal.
24.35
Randomness
Requirements
Where the authorized game or system uses a Random Number Generator
(RNG) to make selections, such RNG and the selections shall:
(a) Be statistically independent;
(b) Conform to the desired random
distribution;
(c) Pass various
recognized statistical tests;
(d)
Be unpredictable;
(e) Be cycled
continuously in the background between games and during game play at a speed
that cannot be timed by the player. It is understood that at some time during
the game, the RNG may not be cycled when interrupts may be suspended however,
this exception shall be kept to a minimum;
(f) Randomly determine the first seed by an
uncontrolled event. After every game there shall be a random change in the RNG
process (new seed, random timer, delay, etc.). This will verify the RNG does
not start at the same value, every time. It is permissible not to use a random
seed; however, the Manufacturer must ensure that games will not
synchronize;
(g) If a random number
with a range shorter than that provided by the RNG is required for some purpose
within the EGS , the method of re-scaling, (i.e., converting the number to the
lower range), is to be designed in such a way that all numbers within the lower
range are equally probable;
(h) If
a particular random number selected is outside the range of equal distribution
of re-scaling values, it is permissible to discard that random number and
select the next in sequence, or some other acceptable method, for the purpose
of re-scaling.
(i) Unless otherwise
denoted on the payglass, where the EGS plays a game that is recognizable such
as Poker, Blackjack, etc., the same probabilities associated with the live game
shall be evident in the simulated game. For example, the odds of drawing a
specific card or cards in Poker shall be the same in the live game as if a
physical deck of cards were being used. Card games also must meet the
following:
i. Cards once removed from the deck
shall not be returned to the deck except as provided by the rules of the game
depicted; and
ii. As cards are
removed from the deck they shall be immediately used as directed by the Rules
of the Game (i.e., the cards are not to be discarded due to adaptive behavior
by the EGS );
(j) Where
used, games that use the laws of physics to generate the outcome of the game
(mechanical-based RNG games) must meet the Randomness requirements of this
document with the exception of the regulations stated above that are applicable
only to electronic RNGs. Mechanical-based RNG games must be constructed of
materials to prevent decomposition of any component over time (e.g., a ball
shall not disintegrate.) The laboratory reserves the right to require
replacement parts after a pre-determined amount of time for the game to comply
with this rule and the device(s) may require periodic inspections to ensure the
integrity of the components of the device. The properties of physical items
used to chose the selection shall not be altered; and the player shall not have
the ability to physically interact or come into physical contact or manipulate
the machine physically with the mechanical portion of the game;
(k) Each possible permutation or combination
of game elements that produces winning or losing game outcomes shall be
available for random selection at the initiation of each play, unless otherwise
denoted by the game;
(l) An EGS
shall use appropriate Communication Protocols to protect the RNG and random
selection process from influence by associated equipment, which may be
communicating with the EGS ;
(m)
All Combinations and Outcomes Shall Be Available. Each possible permutation or
combination of game elements that produces winning or losing game outcomes
shall be available for random selection at the initiation of each play, unless
otherwise denoted by the game rules;
(n) No Near Miss. After selection of the game
outcome, the EGS gaming device shall not make a variable secondary decision,
which affects the result shown to the player or gives the impression that the
player is getting close to a win, or in any way gives a false impression that
the chance to win is improved by another play.
(o) For instance, the random number generator
chooses an outcome that the game will be a loser. The game shall not substitute
a particular type of loser to show to the player;
(p) No Corruption from Associated Equipment.
An EGS shall use appropriate communication protocols to protect the random
number generator and random selection process from influence by associated
equipment, which may be communicating with the gaming device.
24.36
Financial, Security
and Game Play Auditing
The Financial, Security and Game Auditing information that is
maintained by the EGS memory must only be available to authorized
personnel.
24.37
Electronic Accounting and Occurrence Meters
Electronic accounting meters shall be at least seven (7) digits in
length. If the meter is being used in dollars and cents, at least nine (9)
digits must be used for the dollar amount. The meter must roll over to zero
upon the next occurrence any time the meter is seven (7) digits or higher and
after 9,999,999 has been reached (or any other value that is logical).
Occurrence meters shall be at least three (3) digits in length and roll over to
zero upon the next occurrence any time the meter is higher than the maximum
number of digits for that meter. The required electronic meters are as follows
(accounting meters are designated with an asterisk '*'):
(a) The Amounts
Wagered* (OR cash in) meter shall cumulatively count the total
amounts Wagered during game play, except credits that are won during the game
that are subsequently risked in a double-up mode.
(b) The Amounts Won*
(OR credit out) meter shall cumulatively count all amounts won by the player at
the end of the game that were not paid by an Attendant, including amounts paid
by a ticket printer. This meter must not increment for bills inserted and
cashed out (used as a change machine).
(c) The drop* meter
shall maintain a cumulative credit value of all bills and tickets/coupons
inserted into the Bill Acceptor for play.
(d) The handpays*
meter shall reflect the cumulative amounts paid by an Attendant for progressive
and non-progressive wins.
(e) The
games-played meter shall display the cumulative number
of games played since the last RAM clear.
(f) A cabinet door
meter shall display the number of times the front cabinet door was opened since
the last RAM clear.
(g) The
drop door meter shall display the number of times the
drop door and the Bill Acceptor door was opened since the last RAM
clear.
(h) The
cancelled credit* meter shall reflect the cumulative
amounts paid by an Attendant that are in excess of the credit limit and
residual credits that are collected.
(i) NOTE: printer games do not require a
cancelled credit meter unless a 'printer limit' option exists on the
game.
(j) The
progressive occurrence meter shall count the number of
times each progressive meter is activated.
24.38
Multi-Game Game Specific
Meters
In addition to the Electronic Accounting Meters required above, each
individual game available for play shall have at least "Amount Bet" and "Amount
Won" meters in either credits or dollars. Even if a double-up game is lost, the
initial win amount/credits bet amount shall be recorded in the game specific
meters. Alternatively, there can be separate meters that account for the
double-up information. Either way, the method of metering must be understood on
the screen.
24.39
Double-Up Meters
For each type of Double-up offered, there shall be two meters to
indicate the amount doubled and the amount won, which should increment every
time a Double-up occurs. If the EGS does not supply accounting for the
Double-Up information, the feature must not be enabled for use.
24.40
Cashless Transaction
Log
All EGS must have the capacity to display a complete Transaction
history for the most recent Transaction with a cashless Wagering system (this
would include Tickets, Coupons, electronically transferred Promotional and/or
Bonusing credits, etc.), and the previous thirty-four Transactions prior to the
most recent Transaction that incremented any of the Accounting Meters.
24.41
Accountability of
Bills/Tickets or Other Items Accepted
An EGS, which contains a Bill Acceptor device, shall maintain
sufficient electronic metering to be able to report the following:
(a) Total monetary value of all items
accepted;
(b) Total number of all
items accepted; and
(c) A breakdown
of the bills accepted:
i. For bills, the game
shall report the number of bills accepted for each bill denomination;
ii. For all other notes, the game shall have
a separate meter that reports the number of notes accepted, not including
bills.
24.42
Bill Acceptor Recall
An EGS that uses a Bill Acceptor shall retain in its memory and display
the denomination of the last five (5) items accepted by the Bill Acceptor
(including U.S. currency, Ticket Vouchers, Coupons, etc.)
24.43
Number of Last Plays
Required
Information on at least the last ten (10) games is to always be
retrievable on the operation of a suitable external key-switch, or another
secure method that is not available to the player. Last play information shall
provide all information required to fully reconstruct the last ten (10) plays.
All values shall be displayed, including the initial credits, credits bet,
credits won, and credits paid. If a progressive was awarded, it is sufficient
to indicate the progressive was awarded and not display the value. This
information should include the final game outcome, including all player choices
and bonus features. The results of Double-up (if applicable) should also be
included. The Last Game Recall shall reflect bonus rounds in their entirety. If
a bonus round lasts 'x number of events,' each with separate outcomes, each of
the 'x events' shall be displayed with its corresponding outcome if the outcome
results in an award. The recall shall also reflect position-dependent events if
the outcome results in an award. For games that may have infinite free games,
there shall be a minimum of fifty (50) games recallable.
24.44
Control Program Storage
Media
All Program Storage Media (Writable/Non-Writable), including EPROMs,
DVD, CD-ROM, Compact Flash and any other type of Program Storage Devices shall
be clearly marked with sufficient information to identify the software and
revision level of the information stored in the devices and shall only be
accessible with access to the locked logic compartment, where applicable. In
addition, if the program is copied to and executed from RAM, the game shall
have a method to display the Program Storage Media identification information,
on demand.
24.45
Write Once (Non-Writable) Program Storage
For Program Storage Media that are written to once (i.e., EPROM, CD),
the following rules shall be met:
(a)
CD-ROM-based Program Storage shall:
i. Not be
a re-writeable disk; and
ii. The
"Session" shall be closed to prevent any further
writing.
(b) Non-EPROM
specific (including CD-ROM) Program Storage shall meet the following rules:
i. The Control Program shall authenticate all
Critical Files by employing a Hashing Algorithm which produces a 'Message
Digest' output of at least 128 bits at minimum, as certified by the Test
Laboratory and agreed upon by the Commission. The Message Digest(s) shall be
stored on a memory device (ROM-based or other medium) within the EGS. Message
Digests which reside on any other medium shall be encrypted, using a
public/private key Algorithm with a minimum of a 512 bit key. However, a 768
bit key is recommended, or an equivalent encryption Algorithm with similar
security certified by the Test Laboratory and agreed upon by the
Commission.
ii. The EGS shall
authenticate all Critical Files against the stored Message Digest(s), as
required in (i), above. In the event of a failed authentication after the game
has been powered up, the EGS should immediately enter an error condition with
the appropriate tower light signal and record the details including time and
date of the error in a log. This error shall require operator intervention to
clear. The game shall display specific error information and shall not clear
until either the file authenticates properly, following the operator
intervention or the medium is replaced or corrected, and the device's memory is
cleared, the game is restarted, and all files authenticate correctly.
The values in (i) and (ii), above will constantly be
re-evaluated based on technology advancements and new security methods
available.
24.46
Writable Program Storage
This section does not apply to EGS that function as part of a Game
Download System, as defined within section 30.0. This section applies to EGS
where the control program is capable of being erased and re-programmed without
being removed from the EGS, Bill Acceptor or other equipment or related device,
and such control program shall meet the following requirements:
(a) Critical data, files and programs may
only be re-programmed provided that:
i. A log
of all information that is added, deleted, and modified be stored on the
media;
ii. Verifies the validity of
all data, files, and programs which reside on the media using the methods
listed in the Non-EPROM Specific requirements;
iii. Contains appropriate security to prevent
unauthorized modifications;
iv.
Does not allow execution of the updated program while the game is in
play.
24.47
Integrity of Control Programs
The control program shall ensure the integrity of all critical program
components that operate the EGS. The integrity checks must at a minimum occur
during the execution of said components and the first time the files are loaded
for use (even if only partially loaded), where applicable.
RAM and PSD (Program Storage Device) space that is not critical to
machine security (e.g., video or sound ROM) are not required to be validated,
although the Test Laboratory recommends a method be in place for the files to
be tested for corruption. If any of the video or sound files contain payout
amounts or other information needed by the player, the files or program storage
must have a secure method of verification.
24.48
Critical Memory Defined
Critical memory storage shall be maintained by a methodology that
enables errors to be identified and corrected in most circumstances. This
methodology may involve signatures, Checksums, partial Checksums, multiple
copies, timestamps and/or effective use of validity codes. Critical memory is
used to store all data that is considered vital to the continued operation of
the EGS. This includes, but is not limited to:
(a) All electronic meters required in
'Electronic Metering within the EGS ,' including last bill data and power up
and door open metering;
(b) Current
credits;
(c) EGS/game configuration
data;
(d) Information pertaining to
the last ten (10) plays with the RNG outcome (including the current game, if
incomplete); and
(e) Software state
(the last normal state the EGS software was in before interruption).
24.49
Critical Memory
Integrity
Comprehensive checks of Critical Memory shall be made during each EGS
restart (e.g., power-up cycle). The EGS Control Program shall test for possible
corruption of Critical Memory. Test methodology shall detect 99.99 percent of
all possible failures. In addition, all Critical Memory (Non-Volatile)
shall:
(a) Have the ability to retain
data for a minimum of thirty (30) days after power is discontinued from the
machine. If the method used is an 'off chip' battery source, it shall re-charge
itself to its full potential in a maximum of twenty-four (24) hours. The shelf
life shall be at least five (5) years. Random access memory that uses an
off-chip back-up power source to retain its contents when the main's power is
switched off shall have a detection system which will provide a method for
software to interpret and Act upon a low battery condition;
(b) Only be cleared by accessing the locked
logic area in which it's housed;
(c) Result in a RAM Error if the Control
Program detects an unrecoverable memory error; and
(d) The RAM should not be cleared
automatically, but shall require a full RAM clear (RAM Reset) performed by an
authorized person.
24.50
RAM Clear
Following the initiation of a RAM Clear procedure (utilizing a
certified RAM Clear method), the Game Program (EGS Control Program) shall
execute a routine, which initializes each and every bit in RAM to the default
state. For games that allow for partial RAM clears, the methodology in doing so
must be accurate and the game must validate the un-cleared portions of RAM. The
default reel position or game display after a RAM reset shall not be the top
award on any selectable line. The default game display, upon entering game play
mode, shall also not be the top award. This applies to the base game only and
not any secondary bonus devices.
24.51
Error Conditions
EGSs shall be capable of detecting and displaying the following error
conditions and illuminate the tower light for each or sound an audible alarm,
unless otherwise noted. They shall be cleared either by an Attendant (denoted
by '*' - in these cases the EGS must cease play) or upon initiation of a new
play sequence and be communicated to an on-line monitoring system:
(a) Loss of Communication with the central
monitoring system;
(b) RAM
error*;
(c) Low RAM battery, for
batteries external to the RAM itself or low power source;
(d) Currency-in jam*;
(e) Program error or authentication
mismatch*;
(f) Door open (including
Bill Acceptor)*;
(g) Reel spin
errors (if applicable), including a mis-index condition for rotating reels,
that affects the outcome of the game*:
i. The
specific reel number shall be identified in the error code;
ii. In the final positioning of the reel, if
the position error exceeds one-half of the width of the smallest symbol
excluding blanks on the reel strip; and iii. Microprocessor-controlled reels
shall be monitored to detect malfunctions such as a reel which is jammed, or is
not spinning freely, or any attempt to manipulate their final resting
position.
(h) Power
reset;
(i) 'Out-Of-Paper*' or
'Paper Low;'
(j) Printer
Jam*;
(k) Printer
Failure*'
(l) Printer Disconnected*
(it is permissible for the EGS to detect this error condition when the game
tries to print.)
For games that use error codes, a description of EGS error codes and
their meanings shall be affixed inside the EGS. This does not apply to
video-based games; however, video-based games shall display meaningful text as
to the error conditions.
24.52
Game Interruption and
Resumption
After a program interruption (e.g., power down), the software shall be
able to recover to the state it was in immediately prior to the interruption
occurring and:
(a) If an EGS is
powered down while in an error condition, then upon restoring power, the error
message shall be displayed and the EGS shall remain locked-up. This is unless
power-down is used as part of the error reset procedure, or if on power-up or
door closure, the EGS checks for the error condition and detects that the error
is no longer in existence.
(b) Upon
program resumption, the following procedures shall be performed as a minimum
requirement:
i. Any Communications to an
external device shall not begin until the program resumption routine, including
self-tests, is completed successfully;
ii. EGS control programs shall test
themselves for possible corruption due to failure of the program storage media.
The authentication may use the Checksum; however, it is preferred that the
Cyclic Redundancy Check (CRC) calculations are used as a minimum (at least 16
bit). Other test methodologies shall be of a certified type;
iii. The integrity of all critical memory
shall be checked; and
iv. Games
utilizing Microprocessor-controlled mechanical displays (e.g., reels or
wheels), shall re-spin automatically to display the last valid game's result
when the play mode is re-entered, and the reel positions have been
altered.
24.53
Door Open Events
When the EGS main door is opened, the game shall cease play, enter an
error condition, display an appropriate error message, disable bill acceptance,
and either sound an alarm or illuminate the tower light or both. When the EGS
main door is closed, the game shall return to its original state and display an
appropriate error message, until the next game has ended. The software shall be
able to detect any meter access to the following doors or secure areas:
(a) All external doors;
(b) Drop box door;
(c) Bill Acceptor door.
24.54
Bill Acceptor Error
Conditions
Each EGS and/or Bill Acceptor shall have the capability of detecting
and displaying an Error Condition, for the conditions below. It is acceptable
for the Bill Acceptor to disable or flash a light or lights to indicate the
error has occurred, provided the information is communicated to the EGS and the
Bill Acceptor disables:
(a) Bill
Stacker Full;
(b) Bill
Jams;
(c) Bill Acceptor Door Open -
where a Bill Acceptor door is the belly glass door, a door open signal is
sufficient; and
(d) Bill Stacker
Door Open or Bill Stacker Removed.
24.55
Unable to Upload Credits onto
Cashless System
Any credits on the EGS that are attempted to be transferred to the host
system that is unsuccessful must provide for an alternate payment method or
must require the EGS to enter an Error Condition that requires a HandPay by an
Attendant.
24.56
Communication Protocol
All EGS must accurately implement a 'general accepted' communication
protocol that must be compatible with the systems used. EGS must, at a minimum,
communicate with the facilities Central Monitoring System.
24.57
EGS Significant Events
The following are the events that EGS must immediately report to the
Central Monitoring System, in real-time. All Accounting and Occurrence meters
and Error Conditions as defined within these regulations that are not listed
below must also be communicated to the Central Monitoring System although, not
in real-time unless requested by the system itself:
(a) Power Resets or power failure;
(b) Handpay Conditions (amount needs to be
sent to the system):
i. EGS Jackpot (An award
in excess of the single win limit of the EGS);
ii. Cancelled Credit Handpay; and
iii. Progressive Jackpot (As per EGS Jackpot,
above.)
(c) Door
Openings (any external door that accesses a critical area, on the EGS). Door
switches (discrete inputs to the Interface Element) are acceptable if their
operation does not result in redundant or confusing messaging.
(d) Bill Acceptor Errors ('i' and 'ii' should
each be sent as a unique message, if supported by the Communication Protocol):
i. Stacker Full (if supported); and
ii. Bill (Item) jam.
(e) EGS Low RAM Battery Error;
(f) Reel Spin Errors (if applicable with
individual reel number identified);
(g) Printer Errors (if printer supported):
i. Printer Empty/Paper Low; and
ii. Printer Disconnect/Failure.
(h) The following priority events
must be conveyed to the On-Line Monitoring System where a mechanism must exist
for timely notification:
i. Loss of
Communication with Interface Element;
ii. Loss of Communication with EGS
;
iii. Memory corruption of the
Interface Element, if storing critical information; and
iv. RAM corruption of the EGS.
24.58
Ticketing
Requirements
EGS containing Ticket Printers must be communicating to a Ticket
Validation System, which records the ticket information. Validation approval or
information shall come from the Ticket Validation System in order to validate
tickets. Provisions must be made if Communication is lost, and validation
information cannot be sent to the Ticket Validation System, thereby requiring
the EGS or the Franchise Holder's operations to have an alternate method of
payment. The Ticket Printer shall print on a ticket and must provide the ticket
data to a Ticket Validation System that records the following information
regarding each payout ticket printed:
(a) Value of credits in local monetary units
in numerical form;
(b) Time of day
the ticket was printed in twenty-four (24) hour format showing hours and
minutes - printing of this information is not required, provided that storage
of this information is in the Database;
(c) Date, in any recognized format,
indicating the day, month, and year;
(d) EGS number or machine number;
and
(e) Unique validation number or
barcode.
24.59
Machine Diagnostics
It shall not be possible to change a Configuration setting that causes
an obstruction to the electronic accounting meters, affect the integrity of the
EGS or communications with any of the associated systems, without a RAM Clear.
Notwithstanding, any such change must be done by a secure means, which includes
access to the locked logic area.
24.60
Test Mode
If in a test mode the game shall clearly indicate that it is in a test
mode, not normal play, and:
(a) Any
test that incorporates credits entering or leaving the EGS shall be completed
on resumption of normal operation;
(b) There shall not be any test mode that
increments any of the electronic meters (test meters are permissible provided
the meter indicates as such);
(c)
Any credits on the EGS that were accrued during the test mode shall be cleared
before the test mode is exited;
(d)
The main cabinet door of the EGS may automatically place the EGS in a service
or test-mode or may also be entered, via an appropriate instruction, from an
Attendant during an audit mode access; and
(e) When exiting from test mode, the game
shall return to the original state it was in when the test mode was
entered.
25.0
General System Requirements
EGS Gaming at Pari-Mutuel Wagering Facilities must at a minimum utilize
an On-Line Monitoring System that maintains all financial and security data.
The rules outlined within this section apply to all Critical Systems (systems
that have an effect on the integrity of EGS Gaming.)
25.1
Phases of System Testing
All Critical Systems must endure the following phases of tests:
(a) Phase I - Within the laboratory setting;
and
(b) Phase II - On-site
following the initial install of the system to ensure proper configuration of
the equipment and installation of the security applications.
25.2
Interface
Elements
An Interface Element, where applicable, is any component within a
system that is external to the operations of the EGS that assists in the
collection and processing of data that is sent to a system. All critical
Interface Elements shall:
(a) Be
installed in a secure area (which may be inside an EGS).
(b) The Interface Element setup/Configuration
menu(s) must not be available unless using an authorized access
method.
(c) When not directly
communicating with EGS meters, the Interface Element must maintain separate
electronic meters, of sufficient length, to preclude the loss of information
from meter rollovers, or a means to identify multiple rollovers, as provided
for in the connected EGS. These electronic meters should be capable of being
reviewed on demand at the Interface Element level via an authorized access
method.
(d) The Interface Element
must retain the required information after a power loss for a minimum of 30
days. If this data is stored in volatile RAM, a Battery Backup must be
installed within the Interface Element.
(e) If unable to communicate the required
information to the On-Line Monitoring System, the Interface Element must
provide a means to preserve all mandatory meter and Significant Event
information until at such time as it can be communicated to the OnLine
Monitoring System. EGS operation may continue until critical data is
overwritten and lost. There must be a method to check for corruption of the
above data storage locations.
(f)
The Interface Element must allow for the association of a unique identification
number to be used in conjunction with an EGS file on the On-Line Monitoring
System. This identification number will be used by the On-Line Monitoring
System to track all mandatory information of the associated EGS. Additionally,
the On-Line Monitoring System should not allow for a duplicate EGS file entry
of this identification number.
(g)
An On-Line Monitoring System may possess a Front End Processor (FEP) that
gathers and relays all data from the connected Data Collectors to the
associated database(s). The Data Collectors, in turn, collect all data from,
connected EGS. Communication between components must be a defined Communication
Protocol(s) and function as indicated by the Communication Protocol(s). An
On-Line Monitoring System must provide for the following:
i All critical data Communication shall be Protocol based and/or
incorporate an error detection and correction scheme to ensure an accuracy of
ninety-nine percent (99%) or better of messages received; and
ii All critical data Communication that may affect revenue and is
unsecured either in transmission or implementation shall employ encryption. The
encryption Algorithm shall employ variable keys or similar methodology to
preserve secure Communication.
25.3
System Server(s)
System Server(s), networked system(s) or distributed system(s) that
directs the overall operation and an associated Database(s) that stores all
entered and collected system information, is considered the 'Server'. In
addition, the Server shall:
(a)
Maintain an internal clock that reflects the current time in 24-hr format and
data that shall be used to provide for the following:
i. Time stamping of Significant Events,
Section 24.57;
ii. Reference clock
for reporting; and
iii. Time
stamping of Configuration changes.
iv. If multiple clocks are supported, the
On-Line Monitoring System shall have a facility whereby it is able to update
those clocks in On-Line Monitoring System components where conflicting
information could occur.
25.4
Remote Access Requirements
If supported, System(s) may utilize password controlled remote access,
provided the following requirements are met:
(a) A 'Remote Access User Activity' log is
maintained depicting logon name, time/date, duration, activity while logged
in;
(b) No unauthorized remote user
administration functionality (adding users, changing permissions,
etc.);
(c) No unauthorized access
to Database other than information retrieval using existing
functions;
(d) No unauthorized
access to operating system; and
(e)
If remote access is to be continuous basis then a Network filter (firewall)
should be installed to protect access.
25.5
Security Access Control
The On-Line Monitoring System must support either a hierarchical role
structure whereby user and password define program or individual menu item
access or logon program/device security based strictly on user and password or
PIN. In addition, the On-Line Monitoring System shall not permit the alteration
of any significant log information communicated from the EGS. Additionally,
there should be a provision for system administrator notification and user
lockout or audit trail entry, after a set number of unsuccessful login
attempts.
25.6
Data
Alteration
The On-Line Monitoring System shall not permit the alteration of any
accounting or significant event log information that was properly communicated
from the EGS without supervised access controls. In the event financial data is
changed, an audit log must be capable of being produced to document:
(a) Data element altered;
(b) Data element value prior to
alteration;
(c) Data element value
after alteration;
(d) Time and Date
of alteration; and
(e) Personnel
that performed alteration (user login).
25.7
System Back-Up
The System(s) shall have sufficient redundancy and modularity so that
if any single component or part of a component fails, gaming can continue.
There shall be redundant copies of each log file or system Database or both,
with open support for Backups and restoration.
25.8
Recovery Requirements
In the event of a catastrophic failure when the System(s) cannot be
restarted in any other way, it shall be possible to reload the system from the
last viable Backup point and fully recover the contents of that Backup,
recommended to consist of at least the following information:
(a) Significant Events, Section
24.57;
(b) Accounting
information;
(c) Auditing
information; and
(d) Specific site
information such as device file, employee file, progressive set-up,
etc.
25.9
Downloading of Interface Element Control Programs
If supported, a System may utilize writable program storage technology
to update
Interface Element software if all of the following requirements are
met:
(a) Writable program storage
functionality must be, at a minimum, password-protected, and should be at a
supervisor level. The System can continue to locate and verify versions
currently running but it cannot load code that is not currently running on the
system without user intervention;
(b) A non-alterable audit log must record the
time/date of a writable program storage download and some provision must be
made to associate this log with which version(s) of code was downloaded, and
the user who initiated the download. A separate Download Audit Log Report would
be ideal; and
(c) All modifications
to the download executable or other file(s) must be submitted to the Test
Laboratory for approval. The laboratory will assign signatures to any relevant
executable code and file(s) that should be verified by a regulator in the
field. Additionally, all downloadable files must be available to a regulator to
verify the signature.
(d) The
system must have the ability to verify the program on demand for regulatory
audit purposes.
The above refers to loading of new system executable code only. Other
program parameters may be updated as long as the process is securely controlled
and subject to audit. The parameters will have to be reviewed on an individual
basis.
25.10
Self Monitoring of Gaming System Servers
The Systems must implement self monitoring of all critical Interface
Elements (e.g. Central hosts, network devices, firewalls, links to third
parties, etc.) and shall have the ability to effectively notify the system
administrator of the condition, provided the condition is not
catastrophic.
29.0
Progressive System Requirements
A Progressive System is a computerized system linking EGS in one or
more licensed facilities within the State of Arkansas and offering one or more
common progressive payouts based on the amounts Wagered.
29.1
Progressive Meter/Display
A progressive meter/display can be one or more progressive EGS (s) that
are linked, directly or indirectly, to a display (e.g., mechanical, electrical,
or electronic device, including the video display, if applicable) that shows
the payoff which increments at a set rate of progression as credits are
Wagered. For games that have progressives such as 'Mystery Jackpot', the payoff
does not have to be displayed to the player, although there should be an
indication as to this type of feature on the game. The following rules apply to
all Progressive Meter displays:
(a) A
Progressive Meter shall be visible to all players who are playing a device,
which may potentially win the progressive amount if the progressive jackpot
combination appears, except for 'mystery jackpots.'
(b) A player shall know that he/her is
playing a progressive game and not have to play the max bet amount to find out.
The above are parameters that are verified on-site prior to
implementation.
(c) The progressive
meter shall display the current total of the progressive jackpot in the
monetary value or credits (the monetary value may vary for Multi-Site
Progressive Displays.) Because the polling cycle does cause a delay, the
jackpot meter need not precisely show the actual monies in the progressive pool
at each instance;
(d) The use of
odometer and other "paced" updating displays are allowed. The progressive meter
shall display the winning value within 30 seconds of the jackpot being
recognized by the central system. In the case of the use of paced updating
displays, the system jackpot meter shall display the winning value after the
jackpot broadcast is received from the central system.
(e) If the progressive meter(s) progresses to
its maximum display amount, the meter shall freeze and remain at the maximum
value until awarded to a player. This can be avoided by setting the jackpot
limit in accordance with the digital limitations of the sign.
(f) If this rule prescribes multiple items of
information to be displayed on an EGS or progressive meter, it is sufficient to
have the information displayed in an alternating fashion.
(g) When a progressive jackpot is recorded on
an electronic EGS which is attached to the Progressive Controller, the
Progressive Controller shall allow for the following to occur on the device
and/or progressive display:
i. Display of the
winning amount;
ii. Display of the
electronic EGS identification that caused the progressive meter to activate if
more than one (1) electronic EGS is attached to the controller;
iii. The Progressive Controller shall
automatically reset to the reset amount and continue normal play; and
iv. The new progressive values that are
current on the link.
Any device that has a feature that doubles or triples, etc. any win
shall have a sign that states the progressive award will not be doubled or
tripled if won during the feature, if this is the intention.
(h) For progressives offering
multiple levels of awards, the player must always be paid the higher
progressive amount if a particular combination is won that should trigger the
higher paying award. This may occur when a winning combination may be evaluated
as more than one of the available paytable combinations (i.e., a Straight Flush
is a form of a Flush and a Royal Flush is a form of a Straight Flush).
Therefore, there may be situations where the progressive levels shall be
swapped to ensure the player is being awarded the highest possible progressive
value based on all combinations the outcome may be defined as.
29.2
Progressive
Controllers
The requirements of this Section are intended to apply equally to one
progressive EGS linked to a Progressive Controller or is internally controlled,
as well as several progressive EGS linked to one Progressive Controller within
one track or multiple tracks. A Progressive Controller is all of the hardware
and software that controls all Communications among the devices that calculates
the values of the progressives and displays the information within a
progressive EGS link (if applicable, progressive EGS (s) may be internally
controlled) and the associated progressive meter. This equipment includes but
is not limited to PC-based computers, wiring, and collection Nodes, etc. The
method by which system jackpot parameter values are modified or entered is to
be secure. Progressive Controllers shall:
(a) During the 'Normal Mode' of progressive
EGS , the Progressive Controller shall continuously monitor each device on the
link for credits bet and shall multiply the same by the rate of progression and
Denomination in order to determine the correct amounts to apply to the
progressive jackpot. This shall be at lease 99.99% accurate.
(b) The Progressive Controller or other
approved Progressive System component shall keep the following information in
non-volatile memory, which shall be displayed on demand. Additionally, meters
shall be 99.99% accurate:
i. The number of
progressive jackpots won on each progressive level if the progressive display
has more than one (1) winning amount;
ii. The cumulative amounts paid on each
progressive level if the progressive display has more than one (1) winning
amount;
iii. The maximum amount of
the progressive payout for each level displayed;
iv. The minimum amount of the progressive
payout for each level displayed;
v.
The rate of progression for each level displayed.
(c) When a controller error occurs, it is
preferred that it alternates the displays, or equivalent, between the current
amount and an appropriate error message that is visible to all players, or can
alert the Franchise Holder to the error condition. If the following events
occur, the game that is using the progressive is to be disabled, and an error
shall be displayed on the progressive meter, other approved Progressive System
component or EGS :
i. During a Communication
Failure;
ii. When there have been
multiple Communication errors;
iii.
When a controller Checksum or signature has failure;
iv. When a controller's RAM or PSD (program
storage device) mismatch or failure occurs;
v. When the jackpot configuration is lost or
is not set;
(d) The
Progressive Controller shall have a secure means of transferring a progressive
jackpot and/or prizes to another Progressive Controller or other approved
Progressive System component. Transferring of progressive jackpots must meet
the local Internal Control procedures.
(e) There shall be a secure, two-way
Communication Protocol between the main game processor board and progressive.
In addition, the Progressive System shall be able to:
i. Send to the electronic EGS the amount that
was won for metering purposes; and
ii. Constantly update the progressive display
as play on the link is continued.
(f) Each external Progressive Controller used
with a progressive EGS shall be housed in a secure environment allowing only
authorized accessibility. Access to the controller must conform to the local
Internal Control procedures.
(g)
All progressive EGS (internal to the game) or any approved Progressive System
component (external to the game(s)) shall display, upon request, the following
information for each progressive prize offered (if applicable):
i. CURRENT VALUE: current prize
amount;
ii. OVERFLOW: amount
exceeding limit;
iii. HITS: number
of times this progressive was won;
iv. WINS: total value of wins for this
progressive or a history of the last 25 progressive hits;
v. BASE: starting value (the initial amount
of a progressive jackpot shall begin at or above an award for that particular
EGS that makes the entire meter payout greater than the minimum percentage
requirement, if one is set);
vi.
LIMIT: jackpot limit value (if the Jackpot is capped at a maximum limit, this
standard does not require to add the overflow amounts to the next starting
value and will be determined on a Franchise Holder basis);
vii. INCREMENT: percentage increment
rate;
viii. SECONDARY INCREMENT:
percentage increment rate after limit is reached;
ix. HIDDEN INCREMENT: percentage increment
rate for the reserve pool (the next base amount shall be computed or posted to
advise the player of this contribution);
x. RESET VALUE: the amount the progressive
resets to after the progressive is won; and
xi. The participating EGS.
Any change to the jackpot amount must conform to the local Internal
Control procedures.
29.3
Linked EGS Odds
Each device on the link shall have the same probability of winning the
progressive, adjusted for the Denomination played. For instance, the
probability shall remain the same for multiple Denomination games, based on the
monetary value of the Wager (e.g., A two (2) credit $1 game has the probability
of one (1) in 10,000 and a two (2) credit, $2 game on the same link has the
probability one (1) in 5,000.)
29.4
Multi-Site Progressives
Multi-site progressive EGS are interconnected in more than one
Franchise Holder in Arkansas. The purpose of a Multi-site Progressive System is
to offer a common progressive jackpot (system jackpot) at all participating
locations. Multi-Site Progressive Systems shall meet the following regulations:
(a) Be certified in two phases:
i. Initial laboratory testing, where the
laboratory will test the integrity of the EGS in conjunction with a Progressive
System in the laboratory setting with the equipment assembled; and
ii. On-site certification, where the
progressive Communications and set up are tested on the EGS Gaming Floor prior
to implementation.
(b)
It is recommended that the method of Communication be a non-shared, dedicated
line or equivalent. Dial-tone systems may be used as long as devices at the
local site would not be able to be disabled from another outside line or
manipulated by any other means. When the method of Communication is a shared
line, appropriate encryption and security must be in place to avoid corruption
or compromise of data.
(c)
Multi-Site systems shall ensure that security information and the amounts
Wagered information is communicated, at least once every 60 seconds for
terrestrial lines (dedicated phone lines), and a reasonable amount of time for
Radio Frequency, from each participating device to the central monitoring
system.
(d) All Multi-Site property
systems shall utilize an encryption method that has been approved by the
Laboratory. Such encryption method shall include the use of different
encryption "keys" or "seeds" so that encryption can be changed in a realtime
fashion.
(e) The on-line provision
is to be able to monitor the meter readings and error events of each device
regardless of any outside monitoring system. Therefore, the on-line security
system requirement when EGS are in play is not altered in any way.
(f) The Multi-Site central server shall be
equipped with non-interruptible power supply that will allow the server to
conduct an orderly shutdown if the power is lost. Should the system utilize
hard disk peripherals, the server shall be capable of on-line data
redundancy.
(g) An EGS shall
immediately disable itself and suspend play if Communication is lost to the
local collection unit and security hub. The EGS may resume play only when
Communication to the local hub is restored. If the Communication is lost
between the local hub and the server, the EGS may continue to play. However,
once Communications are re-established, the system-wide totals are to be
updated; not withstanding this rule, if the Communication is lost for more than
24 hours the Multi-Site EGS must be shut down.
(h) Any "Multi-Site" system shall supply, as
requested, the following reports:
i.
PROGRESSIVE SUMMARY: A report indicating the amount of, and basis for, the
current jackpot amount (the amount currently in play);
ii. AGGREGATE REPORT: A report indicating the
balancing of the system with regard to system wide totals; and
iii. PAYOFF REPORT: A report that will
clearly demonstrate the method of arriving at the payoff amount. This will
include the credits contributed beginning at the polling cycle, immediately
following the previous jackpot and will include all credits contributed up to
and including the polling cycle which includes the jackpot signal.
NOTE: Credits contributed to the system after the
jackpot occurs in real-time, but during the same polling cycle, shall be deemed
to have been contributed to the progressive amount prior to the jackpot.
Credits contributed to the system subsequent to the jackpot message being
received, as well as credits contributed to the system before the jackpot
message is received by the system, but registered after the jackpot message is
received at the system, will be deemed to have been contributed to the
progressive amount of the next jackpot, if applicable.
(i) All meter reading data shall be obtained
in Real Time in an on-line, automated fashion. For Progressive Amount
reconciliation purposes, the Progressive System shall return the 'Credits Bet'
meter readings on all EGS attached to the system. The meter readings shall be
identical to the meter information retained in the EGS (s) accounting
meters.
(j) The Multi-Site
Progressive System shall have the ability to monitor entry into the front door
of the EGS and report it to the central system IMMEDIATELY.
(k) If a jackpot is recognized in the middle
of a System-Wide Poll Cycle, the overhead display may contain a value less than
the aggregated jackpot amount calculated by the central system. The credit
values from the remaining portion of the poll cycle will be received by the
central system but not the local site, in which case the jackpot amount paid
will always be the higher of the two reporting amounts.
(l) Procedures shall be developed,
implemented and documented for the following. These reports shall adequately
document the procedures, be generated and retained:
i. Reconciliation of meters and jackpot
payouts;
ii. Collection drop of EGS
funds;
iii. Jackpot verification
and payment procedures that include a Commission Agent be present for
independent prize verification and payment.
iv. System maintenance;
v. System accuracy;
vi. System security;
vii. System failures including:
(1) The local hub;
(2) The central site;
(3) Failures in Communications; and
(4) Backup and recovery.
(m) Internal controls that address
the following occurrences are to be submitted by the vendor and approved by the
Commission:
i. When multiple jackpots occur,
where there is no definitive way of knowing which jackpot occurred first, they
will be deemed to have occurred simultaneously; and
ii. if there is a Communication failure, and
a player wins the jackpot at a non-updated site.
30.0
Game Download System Requirements
A Server-Based Game Download System (SBGDS) is the combination of an
on-site Central Server, EGS and all Interface Elements that function
collectively for the purpose of downloading EGS Game Content from the system's
Central Server to the EGS, which may include:
(a) The EGS Control Program; and/or
(b) Randomly Generated Numbers;
and/or
(c) Other Game Content that
is generated by the Central Server and downloaded to the EGS for the operation
of the game.
The 'host' computer or Central Server is the primary source of the
system controls and information. The control program is the software that
operates the EGS functions, including the paytable(s) for the game. The Control
Program can run independently of the SBGDS or may require information generated
by the system to perform the EGS functions.
30.1
Communication Protocol
Each component of a SBGDS must function as indicated by the
communication protocol implemented. All protocols must use communication
techniques that have proper error detection and/or recovery mechanisms which
are designed to prevent unauthorized access or tampering, employing Data
Encryption Standards (DES) or equivalent encryption with secure seeds or
algorithms. Any alternative measures will be reviewed on a case-by-case basis,
with regulator approval.
30.2
System Security
In the event the Central Server is utilized in conjunction with other
systems (i.e. On-Line Monitoring and Control Systems, Ticket Validation
Systems, Progressive Systems, etc.), all communications, including Remote
Access, must pass through at least one approved application-level firewall and
must not have a facility that allows for an alternate network path.
Each SBGDS as submitted to the Test Laboratory will be examined
thoroughly to ensure that the proposed field configuration is secure. The Test
Laboratory will provide additional security recommendations within the final
certification and on-site training to the regulators, if requested.
30.3
Firewall Audit
Logs
The firewall application (Firewall Network security barrier. A firewall
is a device that guards the entrance to a private network and keeps out
unauthorized or unwanted traffic) must maintain an audit log of the following
information and must disable all communications and generate an error event if
the audit log becomes full:
(a) all
changes to configuration of the firewall;
(b) all successful and unsuccessful
connection attempts through the firewall; and
(c) the source and destination IP Addresses,
Port Numbers and MAC Addresses.
30.4
Remote Access
Remote Access, where permitted, shall authenticate all computer systems
based on the authorized settings of the SBGDS or firewall application that
establishes a connection with the SBGDS. The security of Remote Access will be
reviewed on a case-by-case basis, in conjunction with the current technology
and:
(a) No unauthorized remote user
administration functionality (adding users, changing permissions,
etc.);
(b) No unauthorized access
to any database other than information retrieval using existing functions;
and
(c) No unauthorized access to
the operating system.
It is acknowledged that the system Manufacturer may, as needed,
remotely access the SBGDS and its associated components for the purpose of
product and user support, if permitted.
30.5
Remote Access Auditing
The Central Server must maintain an activity log depicting all Remote
Access information that is to include the:
(a) Log on Name;
(b) Time and date the connection was
made;
(c) Duration of connection;
and
(d) Activity while logged in,
including the specific areas accessed and changes that were made.
30.6
Central Server
Requirements
This Section describes the SBGDS requirements pertaining to the Central
Server where the Central Servers may be used locally and applies only to the
download of EGS Game Contents (The downloading of any data, with the exception
of the Game Program or Random Values (where a Random Number Generator is stored
on the Central Server, and communicates random numbers to the EGS that are
required for the EGS to function, where the EGS Control Program is not
independent of the Central Server)) from the Central Server to the EGS . In the
case where the SBGDS Central Server also performs tasks as required by other
systems, (i.e. On-Line Monitoring and Control System, Ticket Validation System,
etc) those portions do not apply to the these Technical Standards and would
have to be evaluated against the appropriate standard.
30.7
Game Program Library
Where applicable, the Game Program Library shall only be written to,
with secure access that is controlled by the Commission or its designee, in
which case the Manufacturer and/or operator will be able to access the Game
Program Library, provided that this access does not permit adding or deleting
Game Programs; or the Game Program Library shall only be written to using the
method that is acceptable by the Test Laboratory and Commission.
30.8
Audit Log
Any changes that are made to the Game Program Library, including the
addition, changing or deletion of Game Programs, must be stored in an
un-alterable audit log, which shall include:
(a) Time and Date of the access and/or
event;
(b) Log In Name;
(c) Game Program ID Numbers added, changed,
or deleted;
(d) The EGS which the
Game Program was downloaded to and the program it replaced; and
(e) Changes to the EGS configuration settings
and what the changes were.
30.9
Control Program
(a) This section will detail the minimum
technical standards that shall be met when downloading the EGS Control Program
from the Central Server to the EGS , which may occur at any time, provided the
process does not adversely affect the game operation:
i. The EGS must have a method to monitor and
report to the Central Monitoring System all external door access during the
program download process. If the SBGDS does not have the ability to monitor the
door access during the program download, the Test Laboratory's report shall
indicate as such so that Internal Controls can be developed to ensure the
security of the EGS security, primarily with regard to the cash compartments,
where applicable.
ii. Below are the
methods to store the current Game Data (The data stored within non-volatile
memory that reflects the accounting and security events that is specific to the
individual EGS, which includes Error Logs, all Drop Meters, Last Game Recall
(this should be maintained within the game history in the event there is a
player dispute where the suggested problem took place earlier and was not
reported until after the update of the new game), Bill Recall, Cashless
Transaction Logs, and Audit Logs for the EGS Game Program Transactions) that is
pertinent to the individual EGS when updating the Control Program:
(b) The Game Data is uploaded and
security stored on the Central Server and is maintained for a minimum of
24-hours; or is maintained in log or script file. If this method is used, the
process in downloading the new Control Program to the EGS must ensure that all
critical areas of memory are overwritten by a default value; or
(c) The Game Data is maintained by the EGS,
is stored in non-volatile memory and is available upon successful download of
the new Control Program. If this method is used, the process of downloading the
new program must ensure that all critical areas of memory are overwritten by a
default value with the exception of the stored Game Data; or
(d) If the SBGDS is not capable of meeting
either of the above two regulations, Regulatory Control (A method used by and
is only accessible to the EGS Section to ensure the security of the SBGDS) may
be required from the Central Server for new EGS Control Program downloads. In
addition, the alternate methods used will be reviewed by the Test Laboratory
and the EGS Section on a case-by-case basis.
i. Prior to execution of updated software,
the EGS must be in an Idle State (The EGS is in an Idle State, including while
the game is disabled, when there is no activity on the device, no credits, no
player's card, and no Error Conditions) and the software is successfully
authenticated.
30.10
Control of EGS
Configurations
EGS used in a SBGDS environment that have alterable configurations that
require Regulatory Control, as outlined within the EGS Requirements may be
waived provided that the rules within this section are met.
30.11
Paytable/Denomination
Configuration Changes
EGS Control Programs that offer multiple paytables and/or Denominations
that can be configured via the Central Server will not require Regulatory
Control to change the paytable selected, provided:
(a) All paytables that are available meet the
local theoretical payback percentage and odds requirements, where
applicable;
(b) The player terminal
maintains the Amounts Bet and Amounts Won meters within Critical Memory for
each of the paytables that are available;
(c) The EGS maintains the Master Accounting
meters in dollars and cents or the lowest Denomination available for the local
currency;
(d) The game is in an
Idle State when the update occurs; and
(e) The change will not cause inaccurate
crediting or payment.
30.12
EGS RAM Clear
The process of clearing RAM on the EGS via the SBGDS must utilize a
secure method that would require Regulatory Control. For systems that do not
comply with this rule, the method used must be approved by the
Commission.
30.13
Download of Random Values
The Central Server generation of Random Values does not include the
generation of game outcomes.
30.14
Random Number Generator
In the event the SBGDS has the ability to download Random Values to the
EGS where Elements of a SBGDS that may be utilized for the generation of Random
Values, which are subsequently communicated to the EGS Control Program that is
required for the determination of game outcomes, the Random Number Generator
shall function in accordance with the 99% confidence levels, as outlined within
the Randomness Requirements of these Standards.
