Report and Log Requirements
REPORT AND LOG REQUIREMENTS
Every pari-mutuel computer system must produce hard copy reports and logs necessary to audit pari-mutuel activity and to recreate any given day of a racemeet in its entirety at a future date. Reports are summaries of betting activity and are printed out prior to any betting, and regularly during a race day. Logs are itemized listings of every command, inquiry, or transaction given to a computer during operation, retained on storage devices and printed out as required.
On a daily basis, the totalisator must produce various reports and logs. The information needed for these reports and logs must be retained on storage devices for a period of 365 days after the end of the racemeet, or until otherwise released by the Commission, to be printed out and delivered to a Commission Representative when requested.
Every report printed out must have consecutively numbered pages. Each page must be headed with the name of the race track, the date and time (in hours, minutes and seconds) the report was produced, the performance number and wagering site to which the report refers, and the version of software in use.
XXV. Pre-Race Reports
Prior to the commencement of wagering, at a minimum the system must print out the following reports and have them available for review by a Commission Representative:
A. System Initialization Report showing:
1. The date and time the system was initialized.
2. The software version in use.
3. A listing of changes made to that software version, when requested.
4. The operator initializing the system.B. Configuration Parameter Report showing:
1. Pools that may be offered and that are currently operational in the system.
2. The display cycle frequency, pools, any minimum pool required, minimum wagers ($1, $2, other price), and means of display of any approximate odds or will-pays produced.
3. The minimum and maximum value of wagers for every pool that a TIM may accept.
4. Which teller- or patron-activated TIMs are activated.
5. Which remote betting sites are to be accepted into the system.
6. The split percentages and payout parameters for any multi-leg pool offered.
7. Any operational locking devices.
8. Any delay between locking switch activation and actual stop betting.
9. The canceling parameters for regular and supervisory TIMs (e.g. only the last four tickets produced or unlimited).
10. Configurations placed on a TIM.
11. Method of breakage and rounding used in calculating
12. A listing of all terminals to be operational that day.
13. Takeout percentages for association, state, and other statutorily mandated takeouts used in price calculations.
14. Federal and state tax withholding rates and parameters.C. Race Information Report showing for every race to be offered on that card and, if applicable, for every program offered on that card:
1. The pools to be opened, indicating totals starting at zero and totals starting with money from advance wagering.
2. Pool summaries of all advance wagering.
3. Money added due to overages.
4. Underpayments or money added due to carry-overs.
5. The runners in each race, showing entries, live and scratched runners.D. Odds Report showing the opening line of odds for the Win pool due to advance wagering on any race.
E. TIM Report listing, by either machine number or teller's name:
1. Teller's name and location.
2. Each TIM to be opened that day and teller assigned to it.
XXVI. Race-by-Race Reports
For every race offered, at a minimum the system must print the following reports from each computer operated and have them available for review by a Commission Representative:
A. Scratch Report showing the time each late scratch was entered into the system and the amount of money to be refunded in each pool.
B. Betting Report, to be produced immediately upon activation of the stop betting command and final merge of wagering information from all sites showing:
1. The amount wagered and to be refunded for each betting interest or combination in each pool operated, with the total for each pool to be used for calculating the pool
2. The final dollar odds for the Win pool.C. Calculating/Price Report, to be provided before the race is declared official, showing for each pool:
1. The total amount wagered.
2. The total amount refunded.
3. The amount added to the pool.
4. The actual pool total.
5. The winning betting interests or combinations.
6. The winning monies.
7. The $2, or other minimum dollar, payout prices.
8. The state and association takeout in total dollars.
9. The breakage.
10. The amount paid to the public.D. Probable Payout Report showing the payouts for the Daily Double, subject to scratches, cancellations and dead heats.
E. Scan Report for multi-leg pools of three or more legs, showing:
1. The total bet in the pool.
2. The amount of any carry over.
3. The winners of completed legs.
4. The amount of possible winning monies, (based on paying the winner of completed legs combined with every betting interest entered in subsequent legs).
5. Late scratches in any leg.F. Race Summary Report, which is produced after the race results are official, showing as the sum from all pools paid out in that race:
1. The amount bet.
2. The amount refunded.
3. The actual pool.
4. State, association, and other takeouts (commissions) in total dollars.
5. The breakage.
6. The amount paid to the public.
7. The monies added to pools.G. Daily Summary Report, which is produced with the Race Summary Report, showing the cumulative totals (from each pool and from all pools combined), of the items listed under the Race Summary Report.
XXVII. End-of-Day Reports
After wagering has ceased on all cards during a race day, at a minimum the system must print the following reports, and totalisator personnel must provide them, as requested, to a Commission Representative:
A. Teller Balance Report showing for every TIM operated on that card:
1. The teller's name or identification number, or a patron activated designation.
2. The total value and number of tickets sold, canceled, and cashed (outs separated from current day's).
3. The total amount of money drawn from the money room, including the beginning draw.
4. The total amount of money returned to the money room.
5. A listing of adjustments made to each terminal/teller balance after each teller or machine has been individually balanced.B. Wagering Summary Report. This is a re-computation of the card's wagering activity from the transaction files. This report shows:
1. The amount wagered, refunded and added for every pool and for each race.
2. The amount wagered, refunded and added at each site for every pool and for each race.
3. The time of day each race's pools closed.
4. The commissions deducted, breakage calculated, and amount paid out for every pool in each race.
5. The total value of outstanding tickets prior to the pools being opened for the card, the value of those tickets cashed during the card, the value of tickets from the card to be added to the outstanding total, and the new outstanding ticket total.
6. The total value of outstanding vouchers prior to the pools being opened for the card, the value of those vouchers cashed during the card, the value of vouchers from the card to be added to the outstanding total, and the new outstanding voucher total.C. System Balance Report giving a comparison of the pools and paid-out totals obtained through processing the transaction files, with the pool and paid-out totals obtained from the actual calculations made. This includes a Money Room Balance Report showing the cash reconciliation at the site and at each site in a Tote-to-Tote network.
D. Teller Inquiry Report showing the time of each cash balance inquiry made by each teller.
E. Money Room Balance Report showing cash added and subtracted from the beginning day's balance as resulted from the day's wagering and cashing transactions.
F. IRS Report showing the winner's social security number, the ticket number, amount won, and taxes withheld for each transaction requiring a Form W2-G.
XXVIII. Ad Hoc Reports
When requested by a Commission Representative, the totalisator system must print out and totalisator personnel must submit the following reports:
A. Odds Report showing each successive line of odds for the Win pool, and the time it was displayed to the public.
B. Ticket History Report showing the appropriate portion of the ticket history log for the requested ticket identification numbers.
C. Terminal History Report showing the portion of the terminal log requested.
D. Wagering Report required for multi-leg pools over six legs, showing the amount bet on every combination of the pool and total amount bet.
E. Outstanding Ticket Report showing the following information for uncashed winning tickets retained in the totalisator system:
1. The ticket identification number.
2. The wagers on the ticket.
3. The date and card for which the ticket is outstanding.
4. The value of the winning wagers.
5. The issuing machine location and number.F. Outstanding Tickets Cashed Report, for a card, race or pool requested, showing every outstanding ticket cashed that day listed in the form of the Outstanding Ticket Report. The cashing machine number and a manual keyboard entry or automatic machine read entry must be included.
G. Manually Cashed Tickets Report, for a card, race, or pool requested, showing every ticket cashed that day listed in the form of the Ticket History Report. The cashing machine number and a manual keyboard entry must be indicated as well as a subtotal for each terminal.
H. Canceled Tickets Report, for a card or race requested, showing every ticket canceled that day listed in the form of the Ticket History Report. The cashing machine number and a manual keyboard entry or automatic machine read must be indicated as well as a subtotal for each terminal.
I. Inter-Track Wagering Report for a card showing the separate or consolidated report for wagers made at participating tracks, including all money wagered on each runner or combination of runners in each pool for each race. Separate or consolidated reports for the host track and each satellite track and the combined totals are required and any additional reports, as determined by the Commission.
J. Ticket History Report and Terminal History Report, in the case of a TIM to totalisator network failure, for specific location(s) and time period(s) in order to determine what wagers have been recorded in the totalisator from the remote site, including any advance bets.
K. Network Balance Report summarizing each site's activity and liabilities owed by the network host and/or the site(s) for the race card for each system within a Tote-to-Tote network.
L. Other reports as needed which would require the totalisator system to filter data by card, race, pool, betting interest, TIMs, sites, or any combination(s) of the aforementioned indices.
M. Any requested report involving processing time not available during wagering must be printed out and given to a Commission Representative within 24 hours after wagering has closed on the race or card, unless otherwise directed by the Commission.
XXIX. Logs
On a daily basis, the totalisator must produce various logs. These logs must be printed out and delivered to a Commission Representative when requested. At a minimum, the logs include:
A. Teller/Machine History Log showing for every teller/machine operated during a card:
1. Each opening and closing of the machine.
2. For each wagering transaction, the bets made, tickets issued and total value of the transaction.
3. For each cashing, canceling or refunding transaction, the identification numbers of the tickets processed, the bets being paid out, and the value of the bets paid out.
4. An indication as to whether the paying transaction was a manual keyboard entry or an automatic machine read entry.
5. The value of each draw and return.
6. Any special function, including Teller Balance, accessed through the machine.
7. The time of day each of the above entries were made.B. Ticket History Log showing for every ticket issued:
1. The identification number of cashed/canceled tickets.
2. The issuing machine location and number.
3. The wagers and their values.
4. The cashing/canceling machine location and number.
5. The value paid out.
6. The time of day the selling and paying occurred.
7. An indication as to whether each transaction was manual or automatic.
C. User Terminal Log showing the time of day of each entry for:
1. Every terminal other than a TIM operating during a card:
a. Every log-on/log-off and the operator's ID code.
b. Every command or transaction entered.
c. Every Stop Betting, Order of Finish, Official, and Sales Open command and the device that issued it.
d. Every occurrence of loss/restoration of communication between computers or wagering sites.
e. Every occurrence of disagreement between computers or wagering sites when comparing data bases.2. Every TIM operated during a card:
a. Every log-on/log-off and the teller's ID code, if applicable.
b. Every instance of loss/restoration of communication and the TIM involved.D. System Journal Log, including date and time of each entry, showing for every day the system is operated for wagering, maintenance or other purpose:
1. System shutdown commands, the device from which they were issued, and the user ID of the individual issuing the commands;
2. The individual user ID used and the originating device for every attempt, successful or unsuccessful, to access the operating system;
3. The individual user ID used and the originating device for every attempt, successful or unsuccessful, to access the application programs;
4. All commands that affect the operating environments issued from the operating system command line;
5. All commands issued from within the application program in an attempt to access the operating system;
6. A listing of every operational or operating terminal during computer operation.In addition to the computer generated reports and logs, the totalisator personnel must maintain the following logs for review by a Commission Representative:
* E. Totalisator Room Access Log of all authorized persons entering and leaving the totalisator central computer room whether in the State of Colorado or handling wagering data from out-of-state, if the association does not provide a locking entry system that uniquely identifies the person entering the room, and of all visitors to the room. This includes entries of date, time, and user ID of each person entering and leaving the room.
F. Totalisator Maintenance Log of all maintenance work completed on TIMs and the main totalisator computers or printers showing:
1. The name of person performing the work.
2. The date and time of day when the maintenance was performed.
3. The type of maintenance job(s) performed.G. System Incident Log of all incidents, including system failures, their causes, and corrective actions taken.