N.Y. Comp. Codes R. & Regs. tit. 9 § 4300.25

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

Section 4300.25 - Software requirements

(a) General requirements.

(1) The totalisator system program must be able to:

(i) sell, calculate, and cash according to the pool profile, current rules, and number of races;

(ii) produce the required reports and logs and other reports and logs the commission may prescribe;

(iii) accept and store advanced wagers;

(iv) network with the remote wagering sites;

(v) offer simultaneous wagering cards;

(vi) allow access to program functions and identification of each user based on the user IDs/passwords provided from the operating system or program login, in the case of administrative terminals, or by physical connection to the computer system, in the case of wagering devices;

(vii) automatically maintain all carry-over data required for the next performance on a rotating basis, including system date and time, without operator intervention;

(viii) be subject to modification only by authorized individuals holding specific user ID's that allow gateways to the operating system;

(ix) document changes to programs, including who made the change and when the change was made (this log is to be made available to the commission upon request);

(x) provide software or hardware restrictions that eliminate the capability of printing duplicate tickets;

(xi) provide software or hardware restrictions that prevent invalid claims on unclaimed funds;

(xii) be able to detect abnormal system operation and the cause, such as a validation problem, communication difficulty, and computer downtime, and immediately notify the totalisator operator;

(xiii) generate within 24 hours data usable across two major revisions, and within all minor revisions or retrieve archived data reports as requested by the commission;

(xiv) contain a utility program that backs up the totalisator system and schedules these backups at regular intervals;

(xv) provide a utility/application that writes requested pari-mutuel wagering data on media readable by the commission. The totalisator company must also provide documentation about the structure of the data; and

(xvi) have the ability to close remote sites before post-time if the commission so determines.

(2) The operating system must be separated from the application program. The operating system must be based on identified individual users and maintain auditable records of those users.

(3) The totalisator company must upon request make available to the commission an inventory of all programs included in the system.

(4) A totalisator system must be able to produce a copy of all data necessary to recreate the wagering activity of any race performance that the commission requests.

(5) The totalisator company shall utilize a system that maintains an audio recording of all telephone wagering transactions and an independent record of all other paperless transactions for a period of at least 120 days.

(b) Documentation. Software documentation, using computer software industry accepted methods, must be available to the commission upon request and must provide at a minimum:

(1) documentation of modules/sections within the source code, detailing the function of the module/section, the definition of all variables used within the module/section, the source of all variables passed to the module, and the method of passing variables (i.e., passed by reference or by value);

(2) complete documentation of all program functions as seen by the end user of the program;

(3) complete inventory of all programs contained on the system, their purpose, the date and time of their last modification, and the size, in bytes, of each file;

(4) clarification of differences between major and minor revisions of the totalisator software. This clarification must include a complete history of all revisions, the intended reasons for and differences between major and minor revisions, the date of implementation, and a listing of the current revision number; and

(5) any change in software requiring the assignment of either a new major or minor revision number.

(c) Backup. The totalisator system must be backed-up to removable media. Before beginning operations in this State, the totalisator company shall submit a backup procedure plan to the commission for approval and should include at a minimum:

(1) Full system backups made at weekly intervals. Full system backups must include all files contained on the totalisator system.

(2) Incremental system backups made at daily intervals. Incremental system backups must include all files that were changed since either the last full system or incremental backup.

(3) Backups stored at an off-site storage area in a disaster-resistant environment.

(d) Changes to totalisator software.

(1) All changes to the software on the central site computers, peripherals, or firmware changes downloaded to terminals may be subject to the approval of the commission and the New York State Department of Tax and Finance.

(2) The totalisator company is responsible to notify the commission and the New York State Department of Tax and Finance at least 30 days prior to any major revisions except as provided under paragraph (4) of this subdivision.

(3) A major revision to the software may not be initialized or operated during wagering until tested and approved by the commission and the New York State Department of Tax and Finance. The daily computer log must show:

(i) when a change was loaded into the totalisator system;

(ii) the time the work commenced and the time the work was completed; and

(iii) when the old software was removed from the system.

(4) If a software problem occurs, the programmers may make an emergency fix to the totalisator software. Immediately after the fix has been made to the software, the totalisator company shall file a written report with the commission that states:

(i) the situation that caused the need for the fix;

(ii) the corrective changes the programmers made; and

(iii) the new revision number.

N.Y. Comp. Codes R. & Regs. Tit. 9 § 4300.25