Sec. 36.04.01.03. Submission of Equipment, a System, or Software for Testing and Certification

A. A manufacturer seeking Commission approval for equipment, a system, or software other than a video lottery terminal shall submit the equipment, system, or software to an independent certified testing laboratory.

B. The submission required by §A of this regulation shall include the following:

(1) A request for testing and certification under Regulation .02F of this chapter;

(2) A prototype of the equipment, system, or software identical in all mechanical, electrical, electronic, and other respects to that for which Commission approval is sought;

(3) Technical and operator manuals;

(4) A description of all security methodologies incorporated into the design of the equipment, system, or software including, if applicable:

(a) Password protection;

(b) Encryption methodology for all alterable media;

(c) Auto-authentication of software;

(d) Network redundancy; and

(e) Back-up and recovery procedures;

(5) A schematic or network diagram of the major components of the equipment, system, or software with a:

(a) Description of each component's functionality; and

(b) Software object report;

(6) A description of the data flow, in narrative and in schematic form, including:

(a) Data cabling; and

(b) If applicable, communications methodology for multi-site applications;

(7) A list of:

(a) Computer operating systems;

(b) Third-party software; and

(c) Available system reports;

(8) System software and hardware installation procedures;

(9) A description of the method used to authenticate software;

(10) All source code;

(11) If applicable, a description of the features offered by the equipment, system, or software with regard to:

(a) Player and employee card functions; and

(b) Reconciliation procedures;

(12) If applicable, a description of any interoperability testing conducted by the manufacturer, including test results identified by manufacturer, model, and software identification and version number, for the submitted equipment, system, or software's connection to any of the following:

(a) Video lottery terminal;

(b) Video lottery terminal data system;

(c) Casino management system;

(d) Gaming ticket system;

(e) Promotional play system;

(f) Player tracking system;

(g) Ticket redemption unit;

(h) Automated jackpot payout machine;

(i) External bonusing system;

(j) Cashless funds transfer system; and

(k) Progressive controller;

(13) If applicable, a description, accompanied by diagrams, schematics, and specifications, of the creation of a:

(a) Gaming ticket and the redemption options available; and

(b) Promotional play instrument and the redemption options available; and

(14) If requested by the Commission or an independent certified testing laboratory:

(a) Any specialized hardware, software, or other equipment, inclusive of technical support and maintenance, required to conduct the testing and certification process; and

(b) Additional documentation pertaining to the equipment, system, or software being tested.

C. A manufacturer seeking Commission approval for a modification to a Commission-approved version of equipment, a system, or software other than a video lottery terminal shall submit the proposed modification to an independent certified testing laboratory.

D. An independent certified testing laboratory selected by a manufacturer or the Commission to test a modification may be, but need not be, the testing laboratory that performed the initial prototype testing.

E. The submission required by §C of this regulation shall include the following:

(1) A request for testing and certification under Regulation .02F of this chapter;

(2) The equipment, system, or software proposed for modification;

(3) A description of the proposed modification, accompanied by applicable diagrams, schematics, and specifications;

(4) A narrative disclosing the purpose for the modification;

(5) If requested by the Commission or an independent certified testing laboratory:

(a) Any specialized hardware, software, or other equipment, inclusive of technical support and maintenance, required to conduct the testing and certification process; and

(b) Additional documentation pertaining to the testing of the proposed modification.

F. At the conclusion of testing of a prototype or modification of equipment, a system, or software other than a video lottery terminal, an independent certified testing laboratory shall issue to the Commission a certification report in an:

(1) Electronic form; and

(2) Format acceptable to the Commission.

G. Upon receipt of a certification report from an independent certified testing laboratory, but prior to a decision to approve a prototype or modification of equipment, a system, or software other than a video lottery terminal, the Commission may require a trial period, as follows:

(1) A trial period shall be of a scope and duration the Commission deems appropriate to assess the operation of the prototype or modification in a live gaming environment;

(2) A trial period shall be subject to compliance by the manufacturer and the facility operator with specific terms and conditions required by the Commission, which may include:

(a) Development and implementation of product specific accounting and internal controls; and

(b) Periodic data reporting to the Commission;

(3) The Commission may authorize the receipt of compensation by a manufacturer during a trial period; and

(4) The Commission may order termination of a trial period at any time upon a determination by the Commission that:

(a) A manufacturer or facility operator has not complied with the terms and conditions required by the Commission; or

(b) Equipment, a system, or software is not performing as expected.

H. Upon receipt of a certification report from an independent certified testing laboratory, the Commission may:

(1) Approve the prototype or modification, with or without specific conditions;

(2) Reject the prototype or modification;

(3) Require additional testing; or

(4) Require a trial period under §G of this regulation.

I. Commission approval of a prototype or modification does not constitute a guarantee of its safety or reliability.