Title 9 Part 5317

The approval of an online monitoring and control system (MCS) shall be certified in two phases:

This Part shall regulate only MCS and validation system requirements necessary to achieve certification when interfaced to gaming devices, for the purpose of mandatory communication of certain security events and electronic meters. All relevant monetary transactions at the gaming-device level shall be handled through:

This Part does not govern MCS requirements for any other form of monetary transaction. Such standard also does not govern advanced bi-directional communication protocols (i.e., EFT, AFT, bonusing, promotional, system-based progressives, features that use an RNG, etc.) that support credit transfer between gaming device and MCS. Such standard supports only one-way communication of events originated at the gaming-device level to the MCS, with the exception of the voucher validation system requirements that are incorporated within section 5317.39 of this Part. Such standard does not exclude gaming devices that operate with player account cashless transactions for the purpose of mandatory communication of security events and electronic meters. All relevant monetary transactions at the slot machine level are handled via electronic transfer through a secure communication protocol. These device types shall meet the applicable requirements set forth herein, specifically governing metering information and significant events in addition to other commission standards that may apply.

Each gaming device installed in a gaming facility shall have a device or interface element installed inside a secure area of such gaming device, that provides for communication between such gaming device and an external data collector.

If not directly communicating with gaming device meters, an interface element shall 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 gaming device. Such electronic meters should be capable of being reviewed on demand, at the interface-element level via an authorized access method.

An interface element shall retain the required information, for no fewer than 72 hours, after a power loss. If this data is stored in volatile RAM, a battery backup shall be installed within the interface element.

If an interface element is unable to communicate the required information to the MCS, such element shall provide a means to preserve all mandatory meter and significant-event information until such time as such information can be communicated to the MCS. Gaming device operation may continue until critical data will be overwritten and lost.

The interface element shall allow for the association of a unique identification number to be used in conjunction with a gaming device file on the MCS. Such identification number shall be used by the MCS to track all mandatory information of the associated gaming device. Additionally, the MCS should not allow for duplicate gaming device file entry of such identification number.

The interface element setup/configuration menu, or menus, shall be unavailable unless such menus are being used in an authorized access method.

A MCS may possess a front end processor (FEP) that gathers and relays all data from the connected data collectors to the associated database or databases. The data collectors, in turn, collect all data from connected gaming devices. Communication between components shall be via a method approved by the commission and at a minimum conform to the communication protocol requirements set forth in section 5317.27 of this Part. If the FEP maintains buffered/logging information, there shall be a system in place that prevents the loss of critical information contained therein.

A MCS shall consist of a server or servers, networked system or distributed systems that direct overall operation. A MCS shall possess an associated database that stores, or databases that store, all entered and collected system information.

A MCS shall maintain an internal clock that reflects the current time and date that shall be used to provide for the following:

The MCS shall be able to synchronize any clock connected to the MCS.

The MCS shall not have a built-in facility in which a gaming facility patron or employee can bypass the system auditing to modify the database directly. Gaming facilities shall maintain secure access control.

A MCS system shall have an application or facility that captures and processes every hand-pay message from each gaming device. Hand-pay messages shall be created for single wins (jackpots), progressive jackpots and accumulated credit cashouts (canceled credits), each of which results in hand-pays.

Every single-win or hand-pay message received by the MCS that is in excess of a limit that is required by Federal or State tax reporting shall advise the user of the need for a W2-G or 1042-S form to be processed, either via the MCS or manually. This option shall not be capable of being overridden. The keyed reset ability to return winnings from a taxable event to a gaming device should require user intervention to void the original jackpot slip that is generated.

The following information is required for all slips generated by the MCS (subdivisions [b] through [f], [m] and [n] apply to fill slips and subdivisions [b] through [e] and [g] through [n] apply to jackpot slips):

A MCS shall provide an interrogation program that enables online comprehensive searching of the significant event log for the current day and for the previous 14 days through archived data or restoration from backup where maintaining such data on a live database is deemed inappropriate. The interrogation program shall have the ability to perform a search based at least on the following:

A MCS shall have a master slot file that is a database of every gaming device in operation at such gaming facility, including, at minimum, the following information for each entry:

If the MCS retrieves any of such parameters directly from the gaming device, sufficient controls shall be in place to ensure accuracy of such information.

A MCS shall have an application or facility that allows controlled access to all accounting (financial) information and shall be able to create all mandatory reports in the reporting requirements under section 5317.32 of this Part and any additional reports the commission may require.

Generally, any system or component not specified in this Part that impacts revenue reporting shall be submitted for testing to the independent laboratory approved by the commission pursuant to Part 5320 of this Title. For example, a standalone player-tracking system is not required for submission unless the function of such system includes embedded features that affect revenue. Such systems may be tested for operation and version control if such features are integrated in a MCS submission.

A monitoring and control system shall support a defined communication protocol and function as indicated by the communication protocols. A MCS shall provide for the following:

The following significant events shall be conveyed to the MCS in a timely manner in cases where the game is unable to distinguish the specifics of the event:

It is permissible for each of the significant events described in subdivisions (a) through (d) of this section to be sent to the system as a generic error code.

Metering information shall be generated on a gaming device and collected by the interface element and sent to the MCS via a communication protocol. Such information may be either read directly from the gaming device or relayed using a delta function. Metering information on the MCS shall be labeled so that such information can be understood clearly in accordance with the relevant function.

While electronic accounting meters should be communicated directly from the gaming device to the MCS, it is acceptable to use secondary MCS calculations where appropriate. The metering information described in subdivisions (a) through (l) of this section shall be communicated from the gaming device and stored on the system in units equal to the denomination of the gaming device or in dollars and cents.

An interface element shall not have a mechanism whereby an unauthorized user can cause the loss of stored accounting meter information. See also section 5317.10 of this Part.

Significant event and metering information shall be stored on the MCS in a database and accounting reports are generated subsequently by querying the stored information. Reports shall be generated on a schedule determined by the commission, which typically consists of daily, monthly and yearly periods and life-to-date reports generated from stored database information. Such reports at minimum shall consist of the following:

The MCS shall 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 personal identification number. In addition, the MCS shall not permit the alteration of any significant log information communicated from the gaming device. Additionally, there shall be a provision for system administrator notification and user lockout or audit trail entry, after a set number of unsuccessful login attempts.

The MCS shall not permit the alteration of any accounting or significant-event-log information that was properly communicated from the gaming device without supervised access controls. In the event that financial data is changed, an automated audit log shall be capable of being produced to document:

If supported, a MCS may provide redundant functionality to check gaming device game software. The following information shall be reviewed for validity prior to implementation:

Verification may be user-initiated or triggered by a specific significant event or events on the gaming device. To ensure complete coverage, verification should be performed after each of the following events:

If supported, a MCS may use flash technology to update interface element software if all of the following requirements are met:

Subdivisions (a) through (c) of this section refer to loading of new system-executable code only. Other program parameters may be updated so long as the process is controlled securely and subject to audit.

If supported, a MCS may use password-controlled remote access to a MCS so long as the following requirements are met:

System software components and modules shall be verifiable by a secure means at the system level, denoting program identification and version. The system shall have the ability to allow for an independent integrity check of the components and modules from an outside source. Such ability is required for all control programs that may affect the integrity of the system. Such ability shall be capable of being authenticated by a third-party device, which may be embedded within the system software or having an interface port for a third-party device to authenticate the media. Such integrity check shall provide a means for field verification of the system components and modules to identify and validate the programs and files. The licensed independent testing laboratory, prior to system approval, shall approve the integrity check method. If the authentication program is contained within the system software, the manufacturer shall receive written approval from the licensed independent testing laboratory prior to submission.

The MCS 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, on the MCS, with open support for backups and restoration.

In the event of a catastrophic failure when the MCS cannot be restarted in any other way, the system shall have the capability of being reloaded from the last viable backup point and fully recovering the contents of such backup, which should consist of at least the following information:

A voucher validation system may be integrated entirely into a MCS or exist as an entirely separate system.

Payment by voucher printer as a method of credit redemption on a gaming device is permissible only when the gaming device is linked to an approved validation system or MCS that allows validation of the printed voucher. Validation information shall come from the validation system or MCS using a secure communication protocol. For support of offline voucher issuance, the gaming device shall be linked to an approved validation system or MCS that allows validation of the printed voucher, but does not have to be in constant communication for the issuance of voucher to be permissible.

The voucher validation system shall be able to communicate the following voucher data to the gaming device to print on the voucher:

If supported, the offline authentication identifier shall be of a unique value that is derived by a hash, or other secure encryption method of at least 128 bits, that uniquely will identify the wager instrument, verify that the redeeming system was also the issuing system and validate the amount of the voucher. The following minimum set of input shall be used to create the authentication identifier:

Offline ticketing shall:

For validation systems that communicate to a gaming device through an interface board (also called a system machine interface board), if any links between the interface board and the MCS database go down, the interface board shall:

A maximum of two vouchers directly after loss of communication is acceptable, in cases where the interface element already has been seeded by the system, so long as the voucher issuance information is sent immediately, when communication is reestablished.

Vouchers can be redeemed at a gaming device, cashier or change booths or other approved validation terminals (kiosks), so long as such locations are enrolled for voucher validation with a validation system.

If supported, offline vouchers can be redeemed at a cashier or change booth, so long as such locations are enrolled for voucher validation with a validation system.

All validation terminals shall be user-controlled and password-controlled. When a voucher is presented for redemption, a cashier:

Any validation receipt, at a minimum, shall contain the following printed information:

The validation system or MCS shall have the ability to identify the following occurrences and notify the cashier that one of the following conditions exists:

If the online data system temporarily goes down and validation information cannot be sent to the validation system or MCS, an alternate method of payment shall be provided either by the validation system possessing unique features (e.g., validity checking of voucher information in conjunction with local database storage), to identify duplicate vouchers and prevent fraud by reprinting and redeeming a voucher that was previously issued by the gaming device; or use of an approved alternative method as designated by the commission that will accomplish the same. A maximum of two vouchers directly after loss of communication is acceptable, in cases where the interface element has already been seeded by the system, so long as the voucher issuance information is sent immediately, when communication is reestablished. This subdivision does not apply to systems employing an approved offline voucher routine.

Refer to Part 5316 of this Title for technical standards for redemption terminals.

The following reports shall be generated at a minimum and reconciled with all validated/redeemed vouchers:

The requirements set forth in paragraphs (2) and (4) of this subdivision shall not apply where two-part vouchers exist for the gaming device wherein the first part is dispensed as an original voucher to the patron and the second part remains attached to the printer mechanism as a copy (on a continuous roll) in such gaming device.

Once validation information is stored in the database, such data shall not be altered in any way. The validation system database shall be encrypted or password-protected and shall possess a non-alterable user audit trail to prevent unauthorized access. The normal operation of any device that holds voucher information shall not have any options or method that may compromise voucher information. Any device that holds voucher information in its memory shall not allow removing of the information unless it has first transferred that information to the database or other secured component, or components, of the validation system.

Electrical and mechanical parts and design principles of the electronic associated hardware shall not subject a player to any physical hazards.

A licensed independent testing laboratory shall perform certain tests to determine whether or not outside influences affect game fairness to the player or create cheating opportunities. An online system shall be able to withstand the following tests, resuming game play without operator intervention: