Chapter Game 10

Game 10.07(12) (12) Unique ticket number. All totalizator systems shall assign a unique ticket number to each ticket issued. The unique ticket number shall be printed on the ticket at the time of issue by the ticket issuing machine and shall be recorded in the computer.

Game 10.07(13) (13) Uncashed tickets. All totalizator systems shall retain within the computer system ticket numbers of all outstanding tickets. These ticket numbers shall be retained in a computer data file protected by the security system. All access to these files outside of normal operating routines shall be password protected and a log of all such access shall be recorded and reported to the division.

Game 10.07(14) (14) Computer produced reports. All totalizator systems shall print on all computer produced reports, the association of track name, date of execution and time of day executed.

Game 10.07(15) (15) Totalizator files. All totalizator systems shall use the totalizator log files as input for the accounting reports produced.

Game 10.07(16) (16) Totalizator security sub-system. Totalizator program operation shall be under the control of a software security sub-system. This sub-system shall have the ability to validate used sign-on data entered through a ticket issuing machine and shall use table look-up techniques to determine which functions the user is permitted to perform when the totalizators are in use.

Game 10.07(17) (17) Access to sub-systems. The association and totalizator system licensee shall ensure that the operating or security sub-system or both shall be accessible from no more than 2 terminals at any one point in time. The association shall locate these terminals in the tote room and access to these sub-systems shall require password entry prior to execution.

Game 10.07(18) (18) Emergency power source. Each totalizator system licensee shall provide an emergency or alternate system of electrical supply capable of providing enough power to operate the central processing units where data which has been accepted is stored for a minimum of 60 minutes.

Game 10.07(19) (19) Power fluctuations. All totalizator systems shall provide the hardware which include voltage regulators, isolation transformers, to minimize the effects of a power fluctuation on the totalizator system. This hardware, insofar as possible, shall maintain power into the computers at a constant level within design limits and shall be selected by the totalizator company for compatibility with its system design.

Game 10.07(20) (20) Two independent sets of pool totals. All totalizator systems shall have the capability to maintain at least 2 independent sets of pool totals. If it cannot be ascertained by the totalizator system licensee which final pool is correct, the highest pool total shall be used in all calculations, including payouts and commissions. All discrepancies shall be reported in writing to the administrator within 48 hours.

Game 10.07(21) (21) Loss of communications reports. All totalizator systems shall detect lost communication with hardware peripheral devices including the disc drives, printers, consoles, ticket issuing machines, and any other devices which may be part of the system configuration. In the event of a system failure a written report with hard copy back-up shall be required in writing to the administrator within 48 hours.

Game 10.07(22) (22) Cancellations. Where totalizator systems allow issued tickets to be canceled such cancellations must occur within the provisions of s. Game 10.05 (3).

Game 10.07 Note Note: Section Game 10.05 (3) was repealed eff. 12-1-03.

Game 10.07(23) (23) Remote access.

Game 10.07(23)(a) (a) All dial up modems and other equipment allowing remote access to the totalizator system shall be turned off or disconnected when not in use. All dial up modems and remote access equipment shall be in a location visible to all totalizator system employees in the totalizator room.

Game 10.07(23)(b) (b) All individuals accessing the totalizator system from a remote location shall document their access including dates and times of access, physical location of the individual when accessing the system, and reason for requiring access. Documentation shall be filed in the totalizator room.

Game 10.07(23)(c) (c) All individuals requiring remote access to the totalizator system shall utilize a user specific username and password when accessing the totalizator system remotely.

Game 10.07(24) (24) Peripheral equipment with system connectivity. All peripheral equipment connected to a totalizator system shall be identified in writing and an updated list maintained in the totalizator room. The identification shall include a description of the location of the equipment.

Game 10.07 History History: Cr. Register, March, 1990, No. 411, eff. 4-1-90; am. (5) (a), (7) (b), (9), (14) to (16), (18), (20) and (21),Register, July, 1990, No. 415, eff. 8-1-90; correction in (4) and (22) made under s. 13.93 (2m) (b) 7., Stats., Register, March, 1995, No. 471; CR 03-070: am. (7) (a), (13), (15), (18), cr. (23) and (24) Register November 2003 No. 575, eff. 12-1-03.

Game 10.08 Game 10.08 Totalizator system: procedural requirements.

Game 10.08(1) (1) General procedural requirements. Every totalizator system licensee must satisfy the procedural requirements set forth in subs. (2) through (11).

Game 10.08(2) (2) Pre-race meeting tests. All totalizator equipment to be used for a race meet shall, before the beginning of said race meet, be tested by the totalizator licensee in the presence and supervision of a division representative. This test shall include those procedures set forth in sub. (3).

Game 10.08(3) (3) Pre-program tests. All totalizator equipment in use for a program shall, before the start of each program, be tested by the totalizator personnel and all necessary repairs and adjustments made to ensure proper operation of ticket issuing machines and totalizator computers and recording of wagers in accordance with these rules. These tests shall be:

Game 10.08(3)(a) (a) Conducted at a time that does not conflict with the time established by the association for opening the pari-mutuel windows for sales; and

Game 10.08(3)(b) (b) Conducted with data supplied by the division auditor when so requested by the administrator.

Game 10.08(4) (4) Totalizator programs.

Game 10.08(4)(a) (a) All copies of programs at a pari-mutuel facility shall be on electronic media and be stored in a secured cabinet under the control of a totalizator licensee.

Game 10.08(4)(b) (b) After the program has been loaded into the computer the electronic media shall be re-secured.

Game 10.08(5) (5) Duplicate copy of totalizator programs. All totalizator system licensees shall maintain a duplicate copy of all totalizator programs to be used during the race meet. The duplicate copy shall be in absolute program files and be placed on electronic media for storage. The electronic media shall be placed under seal by the totalizator system licensee for the division and retained for future comparison with totalizator programs actually in use during the meet. The electronic media shall be kept under the control of the totalizator system licensee and shall be retained on the premises of the association.

Game 10.08(6) (6) Notice of software modifications. All totalizator system licensees shall inform the administrator of planned totalizator program modifications by sending written notice to the division at least one week in advance of performing a software modification. In situations where programs are modified in response to operational problems requiring immediate attention, the totalizator system licensee shall inform the administrator of the change immediately after the modification has been made. A narrative log explaining all software modifications shall be kept by the totalizator system licensee in the tote room.

Game 10.08(7) (7) Testing of software modifications. Totalizator system licensees shall establish written procedures to test software modifications, and documentation of testing procedures and results shall be made available to the administrator upon request. Totalizator operators shall use either a hardware or software transaction generator to provide entry data for use in simulation of a complete program including production of all reports. The administrator shall review such test procedures and results prior to installation of a new version of a totalizator system within the state.

Game 10.08(8) (8) Controlling system utilities. All totalizator system licensees shall adhere to formal written procedures for controlling system utilities and furnish the administrator with a copy of these procedures. These procedures shall include but not be limited to such matters as control over duplication of program tapes, control over use of any system utility programs or any application programs used to modify master files, and control over utility programs or other procedures used to change system passwords.

Game 10.08(9) (9) Access to tote room. The totalizator system licensee shall provide the division with a list of its representatives authorized to have access to the tote room, paper stock, or equipment for each meet.

Game 10.08(10) (10) Control log. Each totalizator system licensee shall maintain, in conjunction with the association, a control log of keys or other security entry devices used to access the totalizator room and a log indicating to whom each is assigned. When the employment of a person possessing a key or security entry device to the totalizator room is terminated, the key or security entry device shall be collected.

Game 10.08(11) (11) Back-up procedures. Totalizator operators shall include back-up procedures to reconstruct all computer programs and data files. The division reserves the right to review and approve back-up procedures based upon and including, but not limited to, the ability to recover lost data.

Game 10.08(12) (12) Shut-down procedures. Each totalizator system licensee shall as part of its normal daily shut-down procedures:

Game 10.08(12)(a) (a) Remove all console logs from the hardware with each entry on the console log preceded by the date and time of the entry;

Game 10.08(12)(b) (b) Clear all C.P.U. memory or magnetic core program date; and

Game 10.08(12)(c) (c) Secure the tote room to prohibit unauthorized entry.

Game 10.08 History History: Cr. Register, March, 1990, No. 411, eff. 4-1-90; am. (5), Register, July, 1990, No. 415, eff. 8-1-90; CR 03-070: am. (2), (4) (a), (b), (5) and (9) Register November 2003 No. 575, eff. 12-1-03.

Game 10.09 Game 10.09 Totalizator system licensees.

Game 10.09(1) (1) Criteria for eligibility. An application for a totalizator system license shall:

Game 10.09(1)(a) (a) Have a contract to provide a totalizator system with an association; and

Game 10.09(1)(b) (b) Provide the division evidence that the applicant has the experience and expertise to operate a totalizator system at the race meeting at which the applicant proposes to participate in Wisconsin racing. Such evidence shall include but not be limited to a demonstration that the applicant can comply with ch. Game 10.

Game 10.09(2) (2) License application.

Game 10.09(2)(a) (a) An initial application and subsequent renewal applications for a license to operate as a totalizator system licensee in the state of Wisconsin shall be made on forms furnished by the division.

Game 10.09(2)(b) (b) One original and 7 copies of the application shall be filed at the division’s central office.

Game 10.09(2)(c) (c) Each license issued pursuant to s. Game 10.09 expires on December 31st of the year it was issued.

Game 10.09(2)(d) (d) An initial background investigation fee of $5,000 is payable to the division at the time of filing the application. Each subsequent application for a license shall not require a background investigation fee unless substantial change of ownership consisting of a transfer or sale of 5% or more of an ownership interest of the applicant has occurred.

Game 10.09(2)(e) (e) An annual license fee is payable to the division as follows:

Game 10.09(2)(e)1. 1. In the first calendar year that a racetrack is operating, the applicant shall pay a license fee in the amount of $5,000 for each race track located in Wisconsin at which the licensee intends to operate a totalizator system.

Game 10.09(2)(e)2. 2. In the case of renewals of license, the applicant shall file a written acceptance with the division and make payment of the required license fee. The amount of the license fee is based upon the number of performances scheduled to be held at each racetrack at which the applicant has been approved to operate a totalizator system. The fee of $15.00 will be applied to each performance that the racetrack is granted.

Game 10.09(2)(e)3. 3. License fees required by this paragraph are payable within 10 days after licensure.

Game 10.09(2)(f) (f) If circumstances change or events occur after the filing of an application the applicant shall submit an amendment to the division. Examples of such changes include, but are not limited to, a change of corporate officers, and the signing of additional contracts with associations.

Game 10.09 Note Note: These forms may be obtained at the division’s office at 2005 West Beltline Highway, Suite 201, Madison, Wisconsin 53708.

Game 10.09(3) (3) Time of filing an application.

Game 10.09(3)(a) (a) Applications for a totalizator system license shall be filed 60 days prior to the opening of the racing meet at which the applicant seeks to participate.

Game 10.09(3)(b) (b) The division may, in its discretion upon good cause shown, receive applications for a totalizator system license to operate fewer than 60 days prior to the opening of a meet. Good cause means a change in ownership of totalizator licensee; upgrading a totalizator; changes in the financial position of a totalizator system licensee, such as but not limited to the dissolution or bankruptcy of the totalizator system licensee; or the impossibility of a licensee to furnish equipment for an upcoming race meet.

Game 10.09(4) (4) Grounds for denial of an application. All licensure standards contained in subch. II of ch. Game 13 shall apply to totalizator licenses.

Game 10.09(5) (5) Change of officers or directors. Within 15 days after election, appointment or resignation of an officer or director of a licensed totalizator system, the totalizator system licensee shall notify the division in writing of the identity of each new or resigned officer or director and shall file an amended application for each person.

Game 10.09(6) (6) License deemed personal. Licenses to operate totalizator systems are deemed personal in nature and non-transferable and shall terminate upon a substantial change of ownership of the totalizator company unless the division grants approval of the substantial change of ownership. The sale or transfer of 5% or more of any ownership interest of a totalizator company shall be considered a substantial change of ownership. In acting upon a request for approval of a substantial change in ownership, the division shall consider the same factors as it considers in the initial grant of a totalizator system license to an applicant for a totalizator system license.

Game 10.09 History History: Cr. Register, March, 1990, No. 411, eff. 4-1-90; am. (2) (a), (d) to (f), Register, July, 1990, No. 415, eff. 8-1-90; correction in (1) (b), (2) (c) and (4) made under s. 13.93 (2m) (b) 7., Stats., Register, March, 1995, No. 471; emerg. am. (2) (e) 2., eff. 11-1-94; am. (2) (e) 2., Register, May, 1995, No. 473, eff. 6-1-95; CR 03-070: am. (2) (b) Register November 2003 No. 575, eff. 12-1-03.