61D-7.021. Mutuels Tickets, Cashing, Records, and Totalisator Security Requirements

(1) Each window, patron operated terminal, or portable terminal shall be numbered and the number shall be visible to the public and shall correspond to the internal numbering on all applicable totalisator reports.

(2) Every ticket issued shall have printed on it:

(a)1. The name of the pari-mutuel permitholder or facility where the ticket was purchased and, if applicable, the intertrack host or interstate host;

2. If an intertrack guest is wagering into the pools of an out of state host via a Florida primary guest, both the intertrack guest and the out of state host shall appear on the ticket.

(b) The number of the contest;

(c) The unique totalisator generated ticket identification number;

(d) The date the ticket was issued, the performance number for which issued, and/or the date for which issued;

(e) The designation of either matinee (by “mat”) or evening (by “eve”), where applicable;

(f) The identification number of the terminal which issued the ticket;

(g) The total dollar amount of bets on the ticket; and

(h) Data on each bet as follows:

1. The type of pool;

2. The denomination of the bet;

3. Each wager as indicated by contestant numbers, except for combination bets such as wheels or boxes which must be indicated as such;

4. The total dollar amount of each wager, and;

(i) Redundant machine readable symbols, such as bar codes which correspond to the unique ticket identification numbers.

(3) All ticket issuing devices shall comply with the provisions of above paragraphs (2)(a) through (2)(i). The division shall not approve the use of any ticket issuing device which does not comply with such provisions.

(4) A legend of all the symbols and marks printed on the ticket, shall be made available to the bettors through the official program or prominently displayed on each level of the facility. The legend shall include an explanation of how to identify intertrack and interstate tickets and how to identify the host.

(5)(a) All tickets must be marked or coded when cashed or cancelled, or a tote produced report of cashed and cancelled tickets shall be generated. The coding shall include the cashing window number, date of payment and amount paid. The report shall include the ticket identification number, cashing window number, date of payment and amount paid.

(b) For totalisator systems which do not have the capability to mark tickets, a hard copy payment receipt shall be issued by the terminal. The payment receipt shall contain, as a minimum, the cashing or canceling window number, the date of payment, the ticket identification number and the amount paid for the ticket. The receipt shall be filed with the cashed or canceled ticket.

(c) For walk-around ticket issuing machines which can neither brand nor issue vouchers as herein described, a tote produced list of tickets cashed and canceled through such terminals shall be generated. Such list shall contain, as a minimum, the same information required on a payment voucher.

(d) The totalisator system shall have the capability to produce a teller history/log tape report of the ticket sales, cashes, and cancels by a teller, sorted by the site where the ticket was sold, time of transaction, pool, and ticket identification number. The totalisator must be capable of limiting the data to specific time ranges and pools.

(e) Permitholders whose outs escheat to the state or a breeders’ association, shall provide cashed or canceled tickets to the division upon request.

(f) For tickets cashed more than 30 days after the purchase date of the ticket, the ticket may not be cashed at any type of patron-operated machine or terminal. The totalisator system must be configured to instruct patrons on how to cash the ticket.

(g) The totalisator system must have the ability to identify such tickets and indicate to a teller that the ticket falls within this category.

(6) No tickets shall be redeemed or claim for payment honored unless presented for payment within 1 year from the date of the performance for which the ticket was issued. The totalisator shall have programmed controls to preclude cashing of outs past the 1 year (365 days) limit. In the event a permitholder honors a ticket or claim presented after the ticket’s expiration date, the disbursement shall not be deductible from funds due the division or breeders’ association. Such disbursements shall be considered an expense to the permitholder and no deductions will be made from the end of meet outs balance.

(7) The permitholder shall inform the patrons of the ticket canceling policy and any restrictions thereon, in the official program or posted prominently on each level of the facility.

(8) Wagers may be canceled by a totalisator operator in the event of a paper jam or terminal malfunction which resulted in mutilation of a ticket or in a ticket not being issued. Jammed or mutilated tickets removed by a tote employee must be logged and filed as per the tote purchase provisions of paragraph (10)(b).

(9) The teller shall retain and account for all cashed and canceled tickets except for those cashed and canceled by totalisator personnel under provisions of paragraph (9)(d). Where outs escheat to the State or breeders’ association, cashed and/or canceled tickets, as well as records for all cancellations performed by totalisator operators, shall be retained by the permitholder for a minimum period of 2 years and 60 days from the end of the meet, and be available for examination by the division. Where the outs do not escheat to the State or breeders’ association these records shall be retained by the permitholder for a minimum period of 1 year from the last date of the meet. Notwithstanding the minimum retention periods stated herein once an audit or investigation is initiated these records shall be maintained until disposal is authorized by the division.

(a) In the event a cashed, canceled or refunded ticket other than a ticket exempted from this requirement by paragraphs (9)(b), (c), and (d) of this rule cannot be provided by the permitholder prior to the date when disposal of the ticket is allowed, then the permitholder shall pay to the division or breeders’ association, as applicable, upon audit, the value of the ticket.

(b) A permitholder is not required to pay the division the monies required by paragraph (a), above, for missing tickets cashed through a scanner for which a teller history is available unless the division uncovers evidence of neglect or fraud associated with the missing tickets.

(c) Permitholders allowed to retain the value of their uncashed tickets pursuant to Chapter 550, Florida Statutes, are not required to pay the division for missing tickets.

(d) A permitholder is not required to pay the division the monies required by paragraph (a), above, for missing tickets which were canceled by a totalisator operator provided that a daily terminal malfunction log is maintained by the tote operator and a list of totalisator canceled tickets is provided to the division upon request.

(e) Except as provided for in paragraph (d), a cashed or canceled ticket which has been removed from the totalisator system by a keyboard entry will not be accepted for credit unless the actual ticket is presented during the audit.

(10) In the event a terminal issues a mutilated ticket or fails to issue a ticket and it is not canceled by the teller or totalisator operator prior to the stop betting command and the beginning of the contest, the following provisions shall apply:

(a)1. The totalisator licensee is responsible for the value of the wagers for which tickets are not issued due to terminal or system malfunctions. The totalisator licensee may recoup from resulting winnings from such tickets not to exceed the aggregate purchase price of such tickets. The totalisator licensee must maintain a list of such purchased tickets. The list must be made available to the division throughout the meet, upon request. Unrecovered totalisator purchases shall not be carried forward to a subsequent meet and any intertrack tote purchases shall not be recouped from live winnings or live outs.

2. Any tote purchased winning ticket which is not supported by the log of terminal malfunctions required by paragraph (9)(d) shall be disallowed and winnings shall not be collected by the tote licensee.

(b) Cashing of winning wagers purchased by totalisator personnel may take place under one of the following two options under the direction of the Mutuels Manager:

Option 1. On the last day of the meet upon conclusion of the final performance. The tote shall produce a listing of all such tickets. Each ticket shall be identified by its unique ticket number, attendant wagering data and live site or host, or;

Option 2. Upon printing of the meet’s outsbook. This shall be a manual (off line) process. Each ticket listed in the outsbook which the totalisator is cashing shall be highlighted as such. The amount paid shall be deducted from the grand total and the adjusted total shall be shown on the last page of the outsbook.

(c) The Mutuels Manager shall add to the outsbook any winnings deducted which are in excess of the allowable recoupment.

(d) For tickets which values would escheat to the state or breeders’ association, the transactions for the list provided per paragraphs (10)(a) and (b) shall be recorded on Form DBPR PMW-3630, Tickets Purchased and Cashed by the Totalisator Company, adopted and incorporated by Rule 61D-10.001, Florida Administrative Code. The form shall be attested to by signature by the totalisator manager and Mutuels Manager, and is subject to audit. A copy of this report, along with any tote produced cashing reports, shall be submitted to the division within 30 days of the end of each live meet period. The following criteria shall be applicable as part of the audit criteria:

1. Deductions for tote cashes are valid only when made from the related outs account balance. Intertrack tickets shall not be deducted from or against the value of the live outs balance.

2. The list provided pursuant to paragraph (10)(a) shall identify which tickets purchased were derived from sales on the live races or games and which tickets were derived from sales on intertrack and interstate wagering.

(e) If accounting problems are recurrent in escheat audits of the same permitholder, tote company or tote operator the division shall require the totalisator licensee to perform tote cashes only upon printing of the outsbook.

(11) For all permitholders where tickets values escheat to the state or breeders’ association, security requirements for cashed tickets and related mutuels records will include, as a minimum, the following:

(a) Cashed tickets and reports which identify the cashed tickets shall be kept in a locked storage facility separate from all other hard copy totalisator reports for one year from the date of filing the Report of Escheated Outs with the division or until audit tests have been completed by the division. Totalisator employees shall be prohibited access to this area.

(b) Outsbooks or any other totalisator produced reports which may be used to identify specific outstanding tickets shall be kept in a safe or in a secured storage area. Only the Mutuels Manager or designee shall have access to such secured storage area. Totalisator employees shall be prohibited access to the storage area.

(c) Storage facilities for records in paragraphs (a) and (b) above, where tickets values escheat to the state, shall have a minimum fire resistance of 2 hours.

(d) Hard copy reports other than those described in paragraphs (a) and (b) above may be excluded from the requirement in paragraph (c) above, but be kept in a separate storage facility.

(e) Totalisator computers shall be backed-up daily and the backup shall be sufficient to reconstruct the entire performance or days activity. The backup media shall be stored off-site or secured on-site for a minimum of 120 days in an industry standard 2 hour fire resistant storage device.

(f) Totalisator personnel shall not access any file for the purpose of creating a report or list of current outstanding bets without prior notification to the division. The totalisator shall keep a log of any such access. Any unauthorized access to these files must be reported to the division within 24 hours along with any associated logs. Accessing the outs file for the purpose of changing or deleting outs values, creating or cashing fraudulent tickets, or identifying tickets in an effort to commit fraud, is prohibited.

(12) Each totalisator site manager or permitholder as applicable under the provisions of paragraphs (a), (b) and (c), shall provide 24 hour security controls for the totalisator computers. These controls shall be capable of detecting unauthorized entry. Unauthorized entry means any individual who enters the area where the totalisator computers are located and who is not on the authorization list or guest list required under the provisions of subsections (13) and (14) of this section and any individual who violates the security controls and procedures established by the totalisator site. The division shall be notified of any unauthorized entry within 24 hours of discovery. Each totalisator site manager and permitholder shall submit to the division a description of such security controls and procedures. The security description shall be provided to the division annually by the applicable totalisator manager and by the permitholder not later than 10 days prior to the beginning of the meet. The division shall review the security description using the Department of Business and Professional Regulation, Division of Pari-Mutuel Wagering’s Security Plan Guidelines, Hubs, Totalisator Systems and Totalisator Sites, herein incorporated by reference. A copy of these guidelines may be obtained by contacting the Division of Pari-Mutuel Wagering at 1940 North Monroe Street, Tallahassee, Florida 32399-1035. The effective date of the guidelines is October 20, 1996.

(a) The totalisator company shall be responsible for the security controls at the remote totalisator servers. Where the remote totalisator is at a pari-mutuel facility, arrangements can be made with the permitholder to provide such security. This does not relieve the totalisator company of its responsibility.

(b) Each pari-mutuel wagering facility being served by a remote totalisator server shall be responsible for providing security controls and procedures for the equipment at the facility that may be used to access the remote totalisator.

(c) Those permitholders who have a totalisator on-site for the exclusive use of that facility, shall be solely responsible for the security controls.

(13) The permitholder may authorize specific individuals and visitors to have access to the room or facility housing totalisator computers. A list of currently licensed individuals authorized to have access to the totalisator room shall be posted at all tote room entrances and submitted annually to the division along with Form DBPR PMW-3520, Notification of Pari-Mutuel Operations, adopted and incorporated by Rule 61D-10.001, Florida Administrative Code. Any additions or deletions to the list shall be posted to reflect any employee who is authorized to enter the totalisator room. The division must be notified of any additions or deletions to the list within 10 days.

(a) Licensed individuals shall not bet or pass along privileged information regarding pari-mutuel activities at the locations where they are authorized to enter totalisator facilities. Totalisator employees shall not wager on contests conducted by Florida pari-mutuel facilities being served by the totalisator system for which they are employed.

(b) A totalisator company employee may not hold a position of programmer and totalisator operator simultaneously.

(14) The permitholder may provide temporary supervised totalisator room access to non-licensed guests. These individuals shall sign a guest log maintained by the permitholder available to the division upon request.

(15) To allow for possible testing by division personnel, the totalisator company shall notify the division in advance of any upgrades, significant changes to, or planned implementation of, totalisator system configurations, peripherals, central or remote totalisators and other related technologies and a description or explanation of such. This shall include program or software changes which affect the frequency, timing or content of mutuel accounting reports.

Specific Authority 550.0251(3), (7), 550.155(1), 550.495(4), (5) FS. Law Implemented 550.0251, 550.155, 550.2633, 550.3551, 550.495 FS. History–New 10-20-96, Amended 12-15-97, 9-19-04, 3-20-05, 4-12-06.