+---+---------------------------------+---+---+---+-----+------------+
| * |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
| ( |                                 |   |   |   |     |            |
| a |                                 |   |   |   |     |            |
| ) |                                 |   |   |   |     |            |
| E |                                 |   |   |   |     |            |
| x |                                 |   |   |   |     |            |
| e |                                 |   |   |   |     |            |
| m |                                 |   |   |   |     |            |
| p |                                 |   |   |   |     |            |
| t |                                 |   |   |   |     |            |
| i |                                 |   |   |   |     |            |
| o |                                 |   |   |   |     |            |
| n |                                 |   |   |   |     |            |
| s |                                 |   |   |   |     |            |
| . |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 1 | Whenever the gaming operation   | \ | \ | \ | 542 |            |
| \ | houses pari-mutuel wagering     | _ | _ | _ | .11 |            |
| . | operations conducted entirely   | \ | \ | \ | (a) |            |
|   | by a state licensed simulcast   | _ | _ | _ | (1) |            |
|   | service provider pursuant to an | \ | \ | \ | (i) |            |
|   | approved tribal-state compact:  | _ | _ | _ |     |            |
|   | Are the following requirements  | \ | \ | \ |     |            |
|   | for exemption from this section | _ | _ | _ |     |            |
|   | met: (Review other-Tribal/      |   |   |   |     |            |
|   | State compact and simulcast     |   |   |   |     |            |
|   | agreement/ contract) (YES       |   |   |   |     |            |
|   | answers results in questions    |   |   |   |     |            |
|   | 6-84 as N/A)                    |   |   |   |     |            |
|   |                                 |   |   |   |     |            |
|   | Does the simulcast service      |   |   |   |     |            |
|   | provider utilize its own        |   |   |   |     |            |
|   | employees for all aspects of    |   |   |   |     |            |
|   | the pari-mutuel wagering        |   |   |   |     |            |
|   | operation? (Inquiry)            |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 2 | Whenever the gaming operation   | \ | \ | \ | 5   |            |
| \ | houses pari-mutuel wagering     | _ | _ | _ | 42. |            |
| . | operations conducted entirely   | \ | \ | \ | 11( |            |
|   | by a state licensed simulcast   | _ | _ | _ | a)( |            |
|   | service provider pursuant to an | \ | \ | \ | 1)( |            |
|   | approved tribal-state compact:  | _ | _ | _ | ii) |            |
|   | Are the following requirements  | \ | \ | \ |     |            |
|   | for exemption from this section | _ | _ | _ |     |            |
|   | met: (Review other-Tribal/      |   |   |   |     |            |
|   | State compact and simulcast     |   |   |   |     |            |
|   | agreement/ contract) (YES       |   |   |   |     |            |
|   | answers results in questions    |   |   |   |     |            |
|   | 6-84 as N/A)                    |   |   |   |     |            |
|   |                                 |   |   |   |     |            |
|   | Is signage posted in a location |   |   |   |     |            |
|   | visible to the public, that     |   |   |   |     |            |
|   | informs the public that the     |   |   |   |     |            |
|   | simulcast service provider and  |   |   |   |     |            |
|   | its employees are wholly        |   |   |   |     |            |
|   | responsible for the conduct of  |   |   |   |     |            |
|   | pari-mutuel wagering offered at |   |   |   |     |            |
|   | that location? (Observation)    |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 3 | Whenever the gaming operation   | \ | \ | \ | 54  |            |
| \ | houses pari-mutuel wagering     | _ | _ | _ | 2.1 |            |
| . | operations conducted entirely   | \ | \ | \ | 1(a |            |
|   | by a state licensed simulcast   | _ | _ | _ | )(1 |            |
|   | service provider pursuant to an | \ | \ | \ | )(i |            |
|   | approved tribal-state compact:  | _ | _ | _ | ii) |            |
|   | Are the following requirements  | \ | \ | \ |     |            |
|   | for exemption from this section | _ | _ | _ |     |            |
|   | met: (Review other-Tribal/      |   |   |   |     |            |
|   | State compact and simulcast     |   |   |   |     |            |
|   | agreement/ contract) (YES       |   |   |   |     |            |
|   | answers results in questions    |   |   |   |     |            |
|   | 6-84 as N/A)                    |   |   |   |     |            |
|   |                                 |   |   |   |     |            |
|   | Does the gaming operation       |   |   |   |     |            |
|   | receive a predetermined fee     |   |   |   |     |            |
|   | from the simulcast service      |   |   |   |     |            |
|   | provider (or race tracks)?      |   |   |   |     |            |
|   | (Review supporting              |   |   |   |     |            |
|   | documentation)                  |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 4 | Whenever the gaming operation   | \ | \ | \ | 5   |            |
| \ | houses pari-mutuel wagering     | _ | _ | _ | 42. |            |
| . | operations conducted entirely   | \ | \ | \ | 11( |            |
|   | by a state licensed simulcast   | _ | _ | _ | a)( |            |
|   | service provider pursuant to an | \ | \ | \ | 1)( |            |
|   | approved tribal-state compact:  | _ | _ | _ | iv) |            |
|   | Are the following requirements  | \ | \ | \ |     |            |
|   | for exemption from this section | _ | _ | _ |     |            |
|   | met: (Review other-Tribal/      |   |   |   |     |            |
|   | State compact and simulcast     |   |   |   |     |            |
|   | agreement/ contract) (YES       |   |   |   |     |            |
|   | answers results in questions    |   |   |   |     |            |
|   | 6-84 as N/A)                    |   |   |   |     |            |
|   |                                 |   |   |   |     |            |
|   | Has the gaming operation        |   |   |   |     |            |
|   | established and do they comply  |   |   |   |     |            |
|   | with standards that ensure that |   |   |   |     |            |
|   | the gaming operation receives   |   |   |   |     |            |
|   | its contractually guaranteed    |   |   |   |     |            |
|   | percentage of the handle from   |   |   |   |     |            |
|   | the racetrack (or service       |   |   |   |     |            |
|   | provider)? (Examination of      |   |   |   |     |            |
|   | records)                        |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 5 | Whenever the gaming operation   | \ | \ | \ | 5   |            |
| \ | houses pari-mutuel wagering     | _ | _ | _ | 42. |            |
| . | operations conducted entirely   | \ | \ | \ | 11( |            |
|   | by a state licensed simulcast   | _ | _ | _ | a)( |            |
|   | service provider pursuant to an | \ | \ | \ | 1)( |            |
|   | approved tribal-state compact:  | _ | _ | _ | iv) |            |
|   | Are the following requirements  | \ | \ | \ |     |            |
|   | for exemption from this section | _ | _ | _ |     |            |
|   | met: (Review other-Tribal/      |   |   |   |     |            |
|   | State compact and simulcast     |   |   |   |     |            |
|   | agreement/ contract) (YES       |   |   |   |     |            |
|   | answers results in questions    |   |   |   |     |            |
|   | 6-84 as N/A)                    |   |   |   |     |            |
|   |                                 |   |   |   |     |            |
|   | Has the gaming operation        |   |   |   |     |            |
|   | received approval for the       |   |   |   |     |            |
|   | procedures that ensure          |   |   |   |     |            |
|   | contractually guaranteed        |   |   |   |     |            |
|   | percentage? (Review TGRA        |   |   |   |     |            |
|   | approval)                       |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 6 | Gaming operations that contract | \ | \ | \ | 542 |            |
| \ | directly with a state regulated | _ | _ | _ | .11 |            |
| . | racetrack as a simulcast        | \ | \ | \ | (a) |            |
|   | service provider, but whose     | _ | _ | _ | (2) |            |
|   | on-site pari-mutuel operations  | \ | \ | \ | (i) |            |
|   | are conducted wholly or in part | _ | _ | _ |     |            |
|   | by tribal gaming operation      | \ | \ | \ |     |            |
|   | employees, shall not be         | _ | _ | _ |     |            |
|   | required to comply with         |   |   |   |     |            |
|   | questions 69-84. (Review        |   |   |   |     |            |
|   | other-Tribal/ State compact and |   |   |   |     |            |
|   | simulcast agreement/ contract)  |   |   |   |     |            |
|   |                                 |   |   |   |     |            |
|   | If any standard contained       |   |   |   |     |            |
|   | within this section conflicts   |   |   |   |     |            |
|   | with state law, a tribal-state  |   |   |   |     |            |
|   | compact, or a contract, does    |   |   |   |     |            |
|   | the gaming operation document   |   |   |   |     |            |
|   | the basis for non-compliance    |   |   |   |     |            |
|   | and maintain the documentation  |   |   |   |     |            |
|   | for inspection by the Tribal    |   |   |   |     |            |
|   | gaming regulatory authority and |   |   |   |     |            |
|   | the Commission (A conflict is a |   |   |   |     |            |
|   | state law, compact or contract  |   |   |   |     |            |
|   | requirement that causes         |   |   |   |     |            |
|   | non-compliance with a specific  |   |   |   |     |            |
|   | MICS)? (Inquiry and review      |   |   |   |     |            |
|   | supporting documentation)       |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 7 | Gaming operations that contract | \ | \ | \ | 5   |            |
| \ | directly with a state regulated | _ | _ | _ | 42. |            |
| . | racetrack as a simulcast        | \ | \ | \ | 11( |            |
|   | service provider, but whose     | _ | _ | _ | a)( |            |
|   | on-site pari-mutuel operations  | \ | \ | \ | 2)( |            |
|   | are conducted wholly or in part | _ | _ | _ | ii) |            |
|   | by tribal gaming operation      | \ | \ | \ |     |            |
|   | employees, shall not be         | _ | _ | _ |     |            |
|   | required to comply with         |   |   |   |     |            |
|   | questions 69-84. (Review        |   |   |   |     |            |
|   | other-Tribal/ State compact and |   |   |   |     |            |
|   | simulcast agreement/ contract)  |   |   |   |     |            |
|   |                                 |   |   |   |     |            |
|   | Has the gaming operation        |   |   |   |     |            |
|   | established and comply with     |   |   |   |     |            |
|   | standards that ensure that the  |   |   |   |     |            |
|   | gaming operation receives its   |   |   |   |     |            |
|   | contractually guaranteed        |   |   |   |     |            |
|   | percentage of the handle from   |   |   |   |     |            |
|   | the racetrack (or service       |   |   |   |     |            |
|   | provider)? (Examination of      |   |   |   |     |            |
|   | records)                        |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 8 | Gaming operations that contract | \ | \ | \ | 5   |            |
| \ | directly with a state regulated | _ | _ | _ | 42. |            |
| . | racetrack as a simulcast        | \ | \ | \ | 11( |            |
|   | service provider, but whose     | _ | _ | _ | a)( |            |
|   | on-site pari-mutuel operations  | \ | \ | \ | 2)( |            |
|   | are conducted wholly or in part | _ | _ | _ | ii) |            |
|   | by tribal gaming operation      | \ | \ | \ |     |            |
|   | employees, shall not be         | _ | _ | _ |     |            |
|   | required to comply with         |   |   |   |     |            |
|   | questions 69-84. (Review        |   |   |   |     |            |
|   | other-Tribal/ State compact and |   |   |   |     |            |
|   | simulcast agreement/ contract)  |   |   |   |     |            |
|   |                                 |   |   |   |     |            |
|   | Has the gaming operation        |   |   |   |     |            |
|   | received approval for the       |   |   |   |     |            |
|   | procedures that ensures the     |   |   |   |     |            |
|   | gaming operation receives its   |   |   |   |     |            |
|   | contractually guaranteed        |   |   |   |     |            |
|   | percentage? (Review TGRA        |   |   |   |     |            |
|   | approval)                       |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| * |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
| ( |                                 |   |   |   |     |            |
| c |                                 |   |   |   |     |            |
| ) |                                 |   |   |   |     |            |
| B |                                 |   |   |   |     |            |
| e |                                 |   |   |   |     |            |
| t |                                 |   |   |   |     |            |
| t |                                 |   |   |   |     |            |
| i |                                 |   |   |   |     |            |
| n |                                 |   |   |   |     |            |
| g |                                 |   |   |   |     |            |
| t |                                 |   |   |   |     |            |
| i |                                 |   |   |   |     |            |
| c |                                 |   |   |   |     |            |
| k |                                 |   |   |   |     |            |
| e |                                 |   |   |   |     |            |
| t |                                 |   |   |   |     |            |
| a |                                 |   |   |   |     |            |
| n |                                 |   |   |   |     |            |
| d |                                 |   |   |   |     |            |
| e |                                 |   |   |   |     |            |
| q |                                 |   |   |   |     |            |
| u |                                 |   |   |   |     |            |
| i |                                 |   |   |   |     |            |
| p |                                 |   |   |   |     |            |
| m |                                 |   |   |   |     |            |
| e |                                 |   |   |   |     |            |
| n |                                 |   |   |   |     |            |
| t |                                 |   |   |   |     |            |
| s |                                 |   |   |   |     |            |
| t |                                 |   |   |   |     |            |
| a |                                 |   |   |   |     |            |
| n |                                 |   |   |   |     |            |
| d |                                 |   |   |   |     |            |
| a |                                 |   |   |   |     |            |
| r |                                 |   |   |   |     |            |
| d |                                 |   |   |   |     |            |
| s |                                 |   |   |   |     |            |
| . |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 9 | Are all pari-mutuel wagers      | \ | \ | \ | 542 |            |
| \ | transacted through the          | _ | _ | _ | .11 |            |
| . | pari-mutuel satellite system?   | \ | \ | \ | (c) |            |
|   | (Observation and inquiry)       | _ | _ | _ | (1) |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 1 | In the case of computer failure | \ | \ | \ | 542 |            |
| 0 | between the pari-mutuel book    | _ | _ | _ | .11 |            |
| \ | and the hub, are no tickets     | \ | \ | \ | (c) |            |
| . | allowed to be manually written? | _ | _ | _ | (1) |            |
|   | (Inquiry)                       | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 1 | Whenever a betting station is   | \ | \ | \ | 542 |            |
| 1 | opened for wagering or turned   | _ | _ | _ | .11 |            |
| \ | over to a new writer/cashier,   | \ | \ | \ | (c) |            |
| . | does the writer/cashier sign on | _ | _ | _ | (2) |            |
|   | and the computer documents the  | \ | \ | \ |     |            |
|   | following: (Inquiry and review  | _ | _ | _ |     |            |
|   | supporting documentation)       | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   | Gaming operation name?          |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 1 | Whenever a betting station is   | \ | \ | \ | 542 |            |
| 2 | opened for wagering or turned   | _ | _ | _ | .11 |            |
| \ | over to a new writer/cashier,   | \ | \ | \ | (c) |            |
| . | does the writer/cashier sign on | _ | _ | _ | (2) |            |
|   | and the computer documents the  | \ | \ | \ |     |            |
|   | following: (Inquiry and review  | _ | _ | _ |     |            |
|   | supporting documentation)       | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   | Station number?                 |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 1 | Whenever a betting station is   | \ | \ | \ | 542 |            |
| 3 | opened for wagering or turned   | _ | _ | _ | .11 |            |
| \ | over to a new writer/cashier,   | \ | \ | \ | (c) |            |
| . | does the writer/cashier sign on | _ | _ | _ | (2) |            |
|   | and the computer documents the  | \ | \ | \ |     |            |
|   | following: (Inquiry and review  | _ | _ | _ |     |            |
|   | supporting documentation)       | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   | The writer/cashier identifier?  |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 1 | Whenever a betting station is   | \ | \ | \ | 542 |            |
| 4 | opened for wagering or turned   | _ | _ | _ | .11 |            |
| \ | over to a new writer/cashier,   | \ | \ | \ | (c) |            |
| . | does the writer/cashier sign on | _ | _ | _ | (2) |            |
|   | and the computer documents the  | \ | \ | \ |     |            |
|   | following: (Inquiry and review  | _ | _ | _ |     |            |
|   | supporting documentation)       | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   | The date and time?              |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 1 | Does the betting ticket consist | \ | \ | \ | 542 |            |
| 5 | of at least the following two   | _ | _ | _ | .11 |            |
| \ | parts: (Inquiry and review      | \ | \ | \ | (c) |            |
| . | supporting documentation)       | _ | _ | _ | (3) |            |
|   |                                 | \ | \ | \ | (i) |            |
|   | An original, which is           | _ | _ | _ |     |            |
|   | transacted and issued through a | \ | \ | \ |     |            |
|   | printer and given to the        | _ | _ | _ |     |            |
|   | customer?                       |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 1 | Does the betting ticket consist | \ | \ | \ | 5   |            |
| 6 | of at least the following two   | _ | _ | _ | 42. |            |
| \ | parts: (Inquiry and review      | \ | \ | \ | 11( |            |
| . | supporting documentation)       | _ | _ | _ | c)( |            |
|   |                                 | \ | \ | \ | 3)( |            |
|   | A copy, which is recorded       | _ | _ | _ | ii) |            |
|   | concurrently with the           | \ | \ | \ |     |            |
|   | generation of the original      | _ | _ | _ |     |            |
|   | ticket either on paper or other |   |   |   |     |            |
|   | storage media (e.g. tape or     |   |   |   |     |            |
|   | diskette)?                      |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 1 | Upon accepting a wager, does    | \ | \ | \ | 542 |            |
| 7 | the betting ticket which is     | _ | _ | _ | .11 |            |
| \ | created contain the following;  | \ | \ | \ | (c) |            |
| . | (Inquiry and review supporting  | _ | _ | _ | (4) |            |
|   | documentation)                  | \ | \ | \ | (i) |            |
|   |                                 | _ | _ | _ |     |            |
|   | A unique transaction            | \ | \ | \ |     |            |
|   | identifier?                     | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 1 | Upon accepting a wager, does    | \ | \ | \ | 5   |            |
| 8 | the betting ticket which is     | _ | _ | _ | 42. |            |
| \ | created contain the following;  | \ | \ | \ | 11( |            |
| . | (Inquiry and review supporting  | _ | _ | _ | c)( |            |
|   | documentation)                  | \ | \ | \ | 4)( |            |
|   |                                 | _ | _ | _ | ii) |            |
|   | Gaming operation name or        | \ | \ | \ |     |            |
|   | identification number and       | _ | _ | _ |     |            |
|   | station number?                 |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 1 | Upon accepting a wager, does    | \ | \ | \ | 54  |            |
| 9 | the betting ticket which is     | _ | _ | _ | 2.1 |            |
| \ | created contain the following;  | \ | \ | \ | 1(c |            |
| . | (Inquiry and review supporting  | _ | _ | _ | )(4 |            |
|   | documentation)                  | \ | \ | \ | )(i |            |
|   |                                 | _ | _ | _ | ii) |            |
|   | Race track, race number, horse  | \ | \ | \ |     |            |
|   | identification or event         | _ | _ | _ |     |            |
|   | identification, as applicable?  |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 2 | Upon accepting a wager, does    | \ | \ | \ | 5   |            |
| 0 | the betting ticket which is     | _ | _ | _ | 42. |            |
| \ | created contain the following;  | \ | \ | \ | 11( |            |
| . | (Inquiry and review supporting  | _ | _ | _ | c)( |            |
|   | documentation)                  | \ | \ | \ | 4)( |            |
|   |                                 | _ | _ | _ | iv) |            |
|   | Types of bet(s), each bet       | \ | \ | \ |     |            |
|   | amount, total number of bets,   | _ | _ | _ |     |            |
|   | and total take?                 |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 2 | Upon accepting a wager, does    | \ | \ | \ | 542 |            |
| 1 | the betting ticket which is     | _ | _ | _ | .11 |            |
| \ | created contain the following;  | \ | \ | \ | (c) |            |
| . | (Inquiry and review supporting  | _ | _ | _ | (4) |            |
|   | documentation)                  | \ | \ | \ | (v) |            |
|   |                                 | _ | _ | _ |     |            |
|   | Date and time?                  | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 2 | Are all tickets considered      | \ | \ | \ | 542 |            |
| 2 | final at post time? (Inquiry    | _ | _ | _ | .11 |            |
| \ | and review supporting           | \ | \ | \ | (c) |            |
| . | documentation, attempt to place | _ | _ | _ | (5) |            |
|   | a bet after post time at one    | \ | \ | \ |     |            |
|   | track)                          | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 2 | If a gaming operation voids a   | \ | \ | \ | 542 |            |
| 3 | betting tickets written prior   | _ | _ | _ | .11 |            |
| \ | to post time, is it immediately | \ | \ | \ | (c) |            |
| . | entered into the system?        | _ | _ | _ | (6) |            |
|   | (Observation and inquiry)       | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 2 | Are future wagers accepted and  | \ | \ | \ | 542 |            |
| 4 | processed in the same manner as | _ | _ | _ | .11 |            |
| \ | regular wagers? (Inquiry)       | \ | \ | \ | (c) |            |
| . |                                 | _ | _ | _ | (7) |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| * |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
| ( |                                 |   |   |   |     |            |
| d |                                 |   |   |   |     |            |
| ) |                                 |   |   |   |     |            |
| P |                                 |   |   |   |     |            |
| a |                                 |   |   |   |     |            |
| y |                                 |   |   |   |     |            |
| o |                                 |   |   |   |     |            |
| u |                                 |   |   |   |     |            |
| t |                                 |   |   |   |     |            |
| s |                                 |   |   |   |     |            |
| t |                                 |   |   |   |     |            |
| a |                                 |   |   |   |     |            |
| n |                                 |   |   |   |     |            |
| d |                                 |   |   |   |     |            |
| a |                                 |   |   |   |     |            |
| r |                                 |   |   |   |     |            |
| d |                                 |   |   |   |     |            |
| s |                                 |   |   |   |     |            |
| . |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 2 | Prior to making payment on a    | \ | \ | \ | 542 |            |
| 5 | ticket, does the writer/cashier | _ | _ | _ | .11 |            |
| \ | input the ticket for            | \ | \ | \ | (d) |            |
| . | verification and payment        | _ | _ | _ | (1) |            |
|   | authorization? (Observation and | \ | \ | \ |     |            |
|   | inquiry)                        | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 2 | Is the computer incapable of    | \ | \ | \ | 542 |            |
| 6 | authorizing payment on a ticket | _ | _ | _ | .11 |            |
| \ | which has been: (Inquiry)       | \ | \ | \ | (d) |            |
| . |                                 | _ | _ | _ | (2) |            |
|   | Previously paid?                | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 2 | Is the computer incapable of    | \ | \ | \ | 542 |            |
| 7 | authorizing payment on a ticket | _ | _ | _ | .11 |            |
| \ | which has been: (Inquiry)       | \ | \ | \ | (d) |            |
| . |                                 | _ | _ | _ | (2) |            |
|   | A voided ticket?                | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 2 | Is the computer incapable of    | \ | \ | \ | 542 |            |
| 8 | authorizing payment on a ticket | _ | _ | _ | .11 |            |
| \ | which has been: (Inquiry)       | \ | \ | \ | (d) |            |
| . |                                 | _ | _ | _ | (2) |            |
|   | A losing ticket?                | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 2 | Is the computer incapable of    | \ | \ | \ | 542 |            |
| 9 | authorizing payment on a ticket | _ | _ | _ | .11 |            |
| \ | which has been: (Inquiry)       | \ | \ | \ | (d) |            |
| . |                                 | _ | _ | _ | (2) |            |
|   | An un-issued ticket?            | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| * |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
| ( |                                 |   |   |   |     |            |
| e |                                 |   |   |   |     |            |
| ) |                                 |   |   |   |     |            |
| C |                                 |   |   |   |     |            |
| h |                                 |   |   |   |     |            |
| e |                                 |   |   |   |     |            |
| c |                                 |   |   |   |     |            |
| k |                                 |   |   |   |     |            |
| o |                                 |   |   |   |     |            |
| u |                                 |   |   |   |     |            |
| t |                                 |   |   |   |     |            |
| s |                                 |   |   |   |     |            |
| t |                                 |   |   |   |     |            |
| a |                                 |   |   |   |     |            |
| n |                                 |   |   |   |     |            |
| d |                                 |   |   |   |     |            |
| a |                                 |   |   |   |     |            |
| r |                                 |   |   |   |     |            |
| d |                                 |   |   |   |     |            |
| s |                                 |   |   |   |     |            |
| . |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 3 | Whenever the betting station is | \ | \ | \ | 542 |            |
| 0 | closed or the writer/cashier is | _ | _ | _ | .11 |            |
| \ | replaced, does the              | \ | \ | \ | (e) |            |
| . | writer/cashier sign off and the | _ | _ | _ | (1) |            |
|   | computer documents:             | \ | \ | \ |     |            |
|   | (Examination of records)        | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   | The gaming operation name or    | _ | _ | _ |     |            |
|   | identification number?          |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 3 | Whenever the betting station is | \ | \ | \ | 542 |            |
| 1 | closed or the writer/cashier is | _ | _ | _ | .11 |            |
| \ | replaced, does the              | \ | \ | \ | (e) |            |
| . | writer/cashier sign off and the | _ | _ | _ | (1) |            |
|   | computer documents:             | \ | \ | \ |     |            |
|   | (Examination of records)        | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   | The station number?             | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 3 | Whenever the betting station is | \ | \ | \ | 542 |            |
| 2 | closed or the writer/cashier is | _ | _ | _ | .11 |            |
| \ | replaced, does the              | \ | \ | \ | (e) |            |
| . | writer/cashier sign off and the | _ | _ | _ | (1) |            |
|   | computer documents:             | \ | \ | \ |     |            |
|   | (Examination of records)        | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   | The writer/cashier identifier?  | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 3 | Whenever the betting station is | \ | \ | \ | 542 |            |
| 3 | closed or the writer/cashier is | _ | _ | _ | .11 |            |
| \ | replaced, does the              | \ | \ | \ | (e) |            |
| . | writer/cashier sign off and the | _ | _ | _ | (1) |            |
|   | computer documents:             | \ | \ | \ |     |            |
|   | (Examination of records)        | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   | The date and time?              | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 3 | Whenever the betting station is | \ | \ | \ | 542 |            |
| 4 | closed or the writer/cashier is | _ | _ | _ | .11 |            |
| \ | replaced, does the              | \ | \ | \ | (e) |            |
| . | writer/cashier sign off and the | _ | _ | _ | (1) |            |
|   | computer documents:             | \ | \ | \ |     |            |
|   | (Examination of records)        | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   | The cash balance?               | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 3 | For each writer/cashier station | \ | \ | \ | 542 |            |
| 5 | is a summary report completed   | _ | _ | _ | .11 |            |
| \ | at the conclusion of each shift | \ | \ | \ | (e) |            |
| . | including: (Examination of      | _ | _ | _ | (2) |            |
|   | records-complete OTB Summary    | \ | \ | \ | (i) |            |
|   | worksheet)                      | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   | Computation of cash turned in   | _ | _ | _ |     |            |
|   | for the shift?                  |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 3 | For each writer/cashier station | \ | \ | \ | 5   |            |
| 6 | is a summary report completed   | _ | _ | _ | 42. |            |
| \ | at the conclusion of each shift | \ | \ | \ | 11( |            |
| . | including: (Examination of      | _ | _ | _ | e)( |            |
|   | records-complete OTB Summary    | \ | \ | \ | 2)( |            |
|   | worksheet at question 35 above) | _ | _ | _ | ii) |            |
|   |                                 | \ | \ | \ |     |            |
|   | Signatures of two employees who | _ | _ | _ |     |            |
|   | have verified the cash turned   |   |   |   |     |            |
|   | in for the shift?               |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| * |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
| ( |                                 |   |   |   |     |            |
| f |                                 |   |   |   |     |            |
| ) |                                 |   |   |   |     |            |
| E |                                 |   |   |   |     |            |
| m |                                 |   |   |   |     |            |
| p |                                 |   |   |   |     |            |
| l |                                 |   |   |   |     |            |
| o |                                 |   |   |   |     |            |
| y |                                 |   |   |   |     |            |
| e |                                 |   |   |   |     |            |
| e |                                 |   |   |   |     |            |
| w |                                 |   |   |   |     |            |
| a |                                 |   |   |   |     |            |
| g |                                 |   |   |   |     |            |
| e |                                 |   |   |   |     |            |
| r |                                 |   |   |   |     |            |
| i |                                 |   |   |   |     |            |
| n |                                 |   |   |   |     |            |
| g |                                 |   |   |   |     |            |
| . |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 3 | Are pari-mutuel employees       | \ | \ | \ | 542 |            |
| 7 | prohibited from wagering on     | _ | _ | _ | .11 |            |
| \ | race/sporting events while on   | \ | \ | \ | (f) |            |
| . | duty, including during break    | _ | _ | _ |     |            |
|   | periods? (Inquiry)              | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| * |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
| ( |                                 |   |   |   |     |            |
| g |                                 |   |   |   |     |            |
| ) |                                 |   |   |   |     |            |
| C |                                 |   |   |   |     |            |
| o |                                 |   |   |   |     |            |
| m |                                 |   |   |   |     |            |
| p |                                 |   |   |   |     |            |
| u |                                 |   |   |   |     |            |
| t |                                 |   |   |   |     |            |
| e |                                 |   |   |   |     |            |
| r |                                 |   |   |   |     |            |
| r |                                 |   |   |   |     |            |
| e |                                 |   |   |   |     |            |
| p |                                 |   |   |   |     |            |
| o |                                 |   |   |   |     |            |
| r |                                 |   |   |   |     |            |
| t |                                 |   |   |   |     |            |
| s |                                 |   |   |   |     |            |
| s |                                 |   |   |   |     |            |
| t |                                 |   |   |   |     |            |
| a |                                 |   |   |   |     |            |
| n |                                 |   |   |   |     |            |
| d |                                 |   |   |   |     |            |
| a |                                 |   |   |   |     |            |
| r |                                 |   |   |   |     |            |
| d |                                 |   |   |   |     |            |
| s |                                 |   |   |   |     |            |
| . |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 3 | Is adequate documentation of    | \ | \ | \ | 542 |            |
| 8 | all pertinent pari-mutuel       | _ | _ | _ | .11 |            |
| \ | information generated by the    | \ | \ | \ | (g) |            |
| . | computer system? (Inquiry)      | _ | _ | _ | (1) |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 3 | Is this documentation           | \ | \ | \ | 542 |            |
| 9 | restricted to authorized        | _ | _ | _ | .11 |            |
| \ | personnel? (Inquiry)            | \ | \ | \ | (g) |            |
| . |                                 | _ | _ | _ | (2) |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 4 | Is the documentation created    | \ | \ | \ | 542 |            |
| 0 | daily and does it include, at a | _ | _ | _ | .11 |            |
| \ | minimum the following:          | \ | \ | \ | (g) |            |
| . | (Examination of records)        | _ | _ | _ | (3) |            |
|   |                                 | \ | \ | \ | (i) |            |
|   | Unique transaction identifier?  | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 4 | Is the documentation created    | \ | \ | \ | 5   |            |
| 1 | daily and does it include, at a | _ | _ | _ | 42. |            |
| \ | minimum the following:          | \ | \ | \ | 11( |            |
| . | (Examination of records)        | _ | _ | _ | g)( |            |
|   |                                 | \ | \ | \ | 3)( |            |
|   | Date and time of transaction?   | _ | _ | _ | ii) |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 4 | Is the documentation created    | \ | \ | \ | 54  |            |
| 2 | daily and does it include, at a | _ | _ | _ | 2.1 |            |
| \ | minimum the following:          | \ | \ | \ | 1(g |            |
| . | (Examination of records)        | _ | _ | _ | )(3 |            |
|   |                                 | \ | \ | \ | )(i |            |
|   | Type of wager?                  | _ | _ | _ | ii) |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 4 | Is the documentation created    | \ | \ | \ | 5   |            |
| 3 | daily and does it include, at a | _ | _ | _ | 42. |            |
| \ | minimum the following:          | \ | \ | \ | 11( |            |
| . | (Examination of records)        | _ | _ | _ | g)( |            |
|   |                                 | \ | \ | \ | 3)( |            |
|   | Animal identification or event  | _ | _ | _ | iv) |            |
|   | identification?                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 4 | Is the documentation created    | \ | \ | \ | 542 |            |
| 4 | daily and does it include, at a | _ | _ | _ | .11 |            |
| \ | minimum the following:          | \ | \ | \ | (g) |            |
| . | (Examination of records)        | _ | _ | _ | (3) |            |
|   |                                 | \ | \ | \ | (v) |            |
|   | Amount of wagers (by ticket,    | _ | _ | _ |     |            |
|   | writer/SAM, track/event and     | \ | \ | \ |     |            |
|   | total)?                         | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 4 | Is the documentation created    | \ | \ | \ | 5   |            |
| 5 | daily and does it include, at a | _ | _ | _ | 42. |            |
| \ | minimum the following:          | \ | \ | \ | 11( |            |
| . | (Examination of records)        | _ | _ | _ | g)( |            |
|   |                                 | \ | \ | \ | 3)( |            |
|   | Amount of payouts (by ticket,   | _ | _ | _ | vi) |            |
|   | writer/SAM, track/event, and    | \ | \ | \ |     |            |
|   | total)?                         | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 4 | Is the documentation created    | \ | \ | \ | 54  |            |
| 6 | daily and does it include, at a | _ | _ | _ | 2.1 |            |
| \ | minimum the following:          | \ | \ | \ | 1(g |            |
| . | (Examination of records)        | _ | _ | _ | )(3 |            |
|   |                                 | \ | \ | \ | )(v |            |
|   | Tickets refunded (by ticket,    | _ | _ | _ | ii) |            |
|   | writer, track/event and total)? | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 4 | Is the documentation created    | \ | \ | \ | 542 |            |
| 7 | daily and does it include, at a | _ | _ | _ | .11 |            |
| \ | minimum the following:          | \ | \ | \ | (g) |            |
| . | (Examination of records)        | _ | _ | _ | (3) |            |
|   |                                 | \ | \ | \ | (vi |            |
|   | Unpaid winners/vouchers         | _ | _ | _ | ii) |            |
|   | (\"outs\") (by ticket/voucher,  | \ | \ | \ |     |            |
|   | track/event, and total)?        | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 4 | Is the documentation created    | \ | \ | \ | 5   |            |
| 8 | daily and does it include, at a | _ | _ | _ | 42. |            |
| \ | minimum the following:          | \ | \ | \ | 11( |            |
| . | (Examination of records)        | _ | _ | _ | g)( |            |
|   |                                 | \ | \ | \ | 3)( |            |
|   | Voucher sales/payments (by      | _ | _ | _ | ix) |            |
|   | ticket, writer/SAM, and         | \ | \ | \ |     |            |
|   | track/event)?                   | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 4 | Is the documentation created    | \ | \ | \ | 542 |            |
| 9 | daily and does it include, at a | _ | _ | _ | .11 |            |
| \ | minimum the following:          | \ | \ | \ | (g) |            |
| . | (Examination of records)        | _ | _ | _ | (3) |            |
|   |                                 | \ | \ | \ | (x) |            |
|   | Voids (by ticket, writer, and   | _ | _ | _ |     |            |
|   | total)?                         | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 5 | Is the documentation created    | \ | \ | \ | 5   |            |
| 0 | daily and does it include, at a | _ | _ | _ | 42. |            |
| \ | minimum the following:          | \ | \ | \ | 11( |            |
| . | (Examination of records)        | _ | _ | _ | g)( |            |
|   |                                 | \ | \ | \ | 3)( |            |
|   | Future wagers (by ticket, date  | _ | _ | _ | xi) |            |
|   | of event, total by day and      | \ | \ | \ |     |            |
|   | total at the time of revenue    | _ | _ | _ |     |            |
|   | recognition)?                   |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 5 | Is the documentation created    | \ | \ | \ | 54  |            |
| 1 | daily and does it include, at a | _ | _ | _ | 2.1 |            |
| \ | minimum the following:          | \ | \ | \ | 1(g |            |
| . | (Examination of records)        | _ | _ | _ | )(3 |            |
|   |                                 | \ | \ | \ | )(x |            |
|   | Results (winners and payout     | _ | _ | _ | ii) |            |
|   | data)?                          | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 5 | Is the documentation created    | \ | \ | \ | 542 |            |
| 2 | daily and does it include, at a | _ | _ | _ | .11 |            |
| \ | minimum the following:          | \ | \ | \ | (g) |            |
| . | (Examination of records)        | _ | _ | _ | (3) |            |
|   |                                 | \ | \ | \ | (xi |            |
|   | Breakage data (by race and      | _ | _ | _ | ii) |            |
|   | track/event)?                   | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 5 | Is the documentation created    | \ | \ | \ | 54  |            |
| 3 | daily and does it include, at a | _ | _ | _ | 2.1 |            |
| \ | minimum the following:          | \ | \ | \ | 1(g |            |
| . | (Examination of records)        | _ | _ | _ | )(3 |            |
|   |                                 | \ | \ | \ | )(x |            |
|   | Commission data (by race and    | _ | _ | _ | iv) |            |
|   | track/event)?                   | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 5 | Is the documentation created    | \ | \ | \ | 5   |            |
| 4 | daily and does it include, at a | _ | _ | _ | 42. |            |
| \ | minimum the following:          | \ | \ | \ | 11( |            |
| . | (Examination of records)        | _ | _ | _ | g)( |            |
|   |                                 | \ | \ | \ | 3)( |            |
|   | Purged data (by ticket and      | _ | _ | _ | xv) |            |
|   | total)?                         | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 5 | Does the system generate the    | \ | \ | \ | 542 |            |
| 5 | following reports (on a daily   | _ | _ | _ | .11 |            |
| \ | basis): (Examination of records | \ | \ | \ | (g) |            |
| . | and inquiry)                    | _ | _ | _ | (4) |            |
|   |                                 | \ | \ | \ | (i) |            |
|   | A reconciliation report that    | _ | _ | _ |     |            |
|   | summarizes totals by            | \ | \ | \ |     |            |
|   | track/event and includes the    | _ | _ | _ |     |            |
|   | following:                      |   |   |   |     |            |
|   |                                 |   |   |   |     |            |
|   | Write?                          |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 5 | Does the system generate the    | \ | \ | \ | 542 |            |
| 6 | following reports (on a daily   | _ | _ | _ | .11 |            |
| \ | basis): (Examination of records | \ | \ | \ | (g) |            |
| . | and inquiry)                    | _ | _ | _ | (4) |            |
|   |                                 | \ | \ | \ | (i) |            |
|   | A reconciliation report that    | _ | _ | _ |     |            |
|   | summarizes totals by track      | \ | \ | \ |     |            |
|   | event and includes the          | _ | _ | _ |     |            |
|   | following:                      |   |   |   |     |            |
|   |                                 |   |   |   |     |            |
|   | The day\'s winning ticket       |   |   |   |     |            |
|   | total?                          |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 5 | Does the system generate the    | \ | \ | \ | 542 |            |
| 7 | following reports (on a daily   | _ | _ | _ | .11 |            |
| \ | basis): (Examination of records | \ | \ | \ | (g) |            |
| . | and inquiry)                    | _ | _ | _ | (4) |            |
|   |                                 | \ | \ | \ | (i) |            |
|   | A reconciliation report that    | _ | _ | _ |     |            |
|   | summarizes totals by track      | \ | \ | \ |     |            |
|   | event and includes the          | _ | _ | _ |     |            |
|   | following:                      |   |   |   |     |            |
|   |                                 |   |   |   |     |            |
|   | Total commission and breakage   |   |   |   |     |            |
|   | due the gaming operation?       |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 5 | Does the system generate the    | \ | \ | \ | 542 |            |
| 8 | following reports (on a daily   | _ | _ | _ | .11 |            |
| \ | basis): (Examination of records | \ | \ | \ | (g) |            |
| . | and inquiry)                    | _ | _ | _ | (4) |            |
|   |                                 | \ | \ | \ | (i) |            |
|   | A reconciliation report that    | _ | _ | _ |     |            |
|   | summarizes totals by track      | \ | \ | \ |     |            |
|   | event and includes the          | _ | _ | _ |     |            |
|   | following:                      |   |   |   |     |            |
|   |                                 |   |   |   |     |            |
|   | Net funds transferred to or     |   |   |   |     |            |
|   | from the gaming operation\'s    |   |   |   |     |            |
|   | bank account?                   |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 5 | Does the system generate the    | \ | \ | \ | 5   |            |
| 9 | following reports (on a daily   | _ | _ | _ | 42. |            |
| \ | basis): (Examination of records | \ | \ | \ | 11( |            |
| . | and inquiry)                    | _ | _ | _ | g)( |            |
|   |                                 | \ | \ | \ | 4)( |            |
|   | An exception report that        | _ | _ | _ | ii) |            |
|   | contains a listing of all       | \ | \ | \ |     |            |
|   | system functions and overrides  | _ | _ | _ |     |            |
|   | not involved in the actual      |   |   |   |     |            |
|   | writing or cashing of tickets   |   |   |   |     |            |
|   | including the following:        |   |   |   |     |            |
|   |                                 |   |   |   |     |            |
|   | Sign-on/offs?                   |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 6 | Does the system generate the    | \ | \ | \ | 5   |            |
| 0 | following reports (on a daily   | _ | _ | _ | 42. |            |
| \ | basis): (Examination of         | \ | \ | \ | 11( |            |
| . | records)                        | _ | _ | _ | g)( |            |
|   |                                 | \ | \ | \ | 4)( |            |
|   | An exception report that        | _ | _ | _ | ii) |            |
|   | contains a listing of all       | \ | \ | \ |     |            |
|   | system functions and overrides  | _ | _ | _ |     |            |
|   | not involved in the actual      |   |   |   |     |            |
|   | writing or cashing of tickets   |   |   |   |     |            |
|   | including the following:        |   |   |   |     |            |
|   |                                 |   |   |   |     |            |
|   | Voids?                          |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 6 | Does the system generate the    | \ | \ | \ | 5   |            |
| 1 | following reports (on a daily   | _ | _ | _ | 42. |            |
| \ | basis): (Examination of records | \ | \ | \ | 11( |            |
| . | and inquiry)                    | _ | _ | _ | g)( |            |
|   |                                 | \ | \ | \ | 4)( |            |
|   | An exception report that        | _ | _ | _ | ii) |            |
|   | contains a listing of all       | \ | \ | \ |     |            |
|   | system functions and overrides  | _ | _ | _ |     |            |
|   | not involved in the actual      |   |   |   |     |            |
|   | writing or cashing of tickets   |   |   |   |     |            |
|   | including the following:        |   |   |   |     |            |
|   |                                 |   |   |   |     |            |
|   | Manually input paid tickets?    |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 6 | Does the system generate the    | \ | \ | \ | 54  |            |
| 2 | following reports (on a daily   | _ | _ | _ | 2.1 |            |
| \ | basis): (Examination of records | \ | \ | \ | 1(g |            |
| . | and inquiry)                    | _ | _ | _ | )(4 |            |
|   |                                 | \ | \ | \ | )(i |            |
|   | A purged ticket report that     | _ | _ | _ | ii) |            |
|   | contains the following:         | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   | A listing of the unique         |   |   |   |     |            |
|   | transaction identifiers?        |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 6 | Does the system generate the    | \ | \ | \ | 54  |            |
| 3 | following reports (on a daily   | _ | _ | _ | 2.1 |            |
| \ | basis): (Examination of records | \ | \ | \ | 1(g |            |
| . | and inquiry)                    | _ | _ | _ | )(4 |            |
|   |                                 | \ | \ | \ | )(i |            |
|   | A purged ticket report that     | _ | _ | _ | ii) |            |
|   | contains the following:         | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   | A description?                  |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 6 | Does the system generate the    | \ | \ | \ | 54  |            |
| 4 | following reports (on a daily   | _ | _ | _ | 2.1 |            |
| \ | basis): (Examination of records | \ | \ | \ | 1(g |            |
| . | and inquiry)                    | _ | _ | _ | )(4 |            |
|   |                                 | \ | \ | \ | )(i |            |
|   | A purged ticket report that     | _ | _ | _ | ii) |            |
|   | contains the following:         | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   | The ticket cost and value?      |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 6 | Does the system generate the    | \ | \ | \ | 54  |            |
| 5 | following reports (on a daily   | _ | _ | _ | 2.1 |            |
| \ | basis): (Examination of records | \ | \ | \ | 1(g |            |
| . | and inquiry)                    | _ | _ | _ | )(4 |            |
|   |                                 | \ | \ | \ | )(i |            |
|   | A purged ticket report that     | _ | _ | _ | ii) |            |
|   | contains the following:         | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   | The date purged?                |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| * |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
| ( |                                 |   |   |   |     |            |
| h |                                 |   |   |   |     |            |
| ) |                                 |   |   |   |     |            |
| A |                                 |   |   |   |     |            |
| c |                                 |   |   |   |     |            |
| c |                                 |   |   |   |     |            |
| o |                                 |   |   |   |     |            |
| u |                                 |   |   |   |     |            |
| n |                                 |   |   |   |     |            |
| t |                                 |   |   |   |     |            |
| i |                                 |   |   |   |     |            |
| n |                                 |   |   |   |     |            |
| g |                                 |   |   |   |     |            |
| a |                                 |   |   |   |     |            |
| n |                                 |   |   |   |     |            |
| d |                                 |   |   |   |     |            |
| a |                                 |   |   |   |     |            |
| u |                                 |   |   |   |     |            |
| d |                                 |   |   |   |     |            |
| i |                                 |   |   |   |     |            |
| t |                                 |   |   |   |     |            |
| i |                                 |   |   |   |     |            |
| n |                                 |   |   |   |     |            |
| g |                                 |   |   |   |     |            |
| f |                                 |   |   |   |     |            |
| u |                                 |   |   |   |     |            |
| n |                                 |   |   |   |     |            |
| c |                                 |   |   |   |     |            |
| t |                                 |   |   |   |     |            |
| i |                                 |   |   |   |     |            |
| o |                                 |   |   |   |     |            |
| n |                                 |   |   |   |     |            |
| s |                                 |   |   |   |     |            |
| . |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 6 | Is the pari-mutuel audit        | \ | \ | \ | 542 |            |
| 6 | conducted by personnel          | _ | _ | _ | .11 |            |
| \ | independent of the pari-mutuel  | \ | \ | \ | (h) |            |
| . | operation? (Inquiry)            | _ | _ | _ | (1) |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 6 | Is documentation maintained     | \ | \ | \ | 542 |            |
| 7 | evidencing the performance of   | _ | _ | _ | .11 |            |
| \ | all pari-mutuel accounting and  | \ | \ | \ | (h) |            |
| . | auditing procedures?            | _ | _ | _ | (2) |            |
|   | (Examination of records)        | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 6 | Does an accounting employee     | \ | \ | \ | 542 |            |
| 8 | examine the daily               | _ | _ | _ | .11 |            |
| \ | reconciliation report, compare  | \ | \ | \ | (h) |            |
| . | it to the revenue summary       | _ | _ | _ | (3) |            |
|   | produced by the system, and     | \ | \ | \ |     |            |
|   | recalculate the net amount due  | _ | _ | _ |     |            |
|   | to or from the systems operator | \ | \ | \ |     |            |
|   | on a weekly basis? (Examination | _ | _ | _ |     |            |
|   | of records)                     |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 6 | Does the accounting employee    | \ | \ | \ | 542 |            |
| 9 | verify actual cash/cash         | _ | _ | _ | .11 |            |
| \ | equivalents turned in to the    | \ | \ | \ | (h) |            |
| . | system\'s summary report for    | _ | _ | _ | (4) |            |
|   | each cashier\'s drawer          | \ | \ | \ |     |            |
|   | (Beginning balance, (+) fills   | _ | _ | _ |     |            |
|   | (draws), (+) net write (sold    | \ | \ | \ |     |            |
|   | less voids), (-) payouts (net   | _ | _ | _ |     |            |
|   | of IRS withholding), (-) cash   |   |   |   |     |            |
|   | backs (paid\'s), (=) cash       |   |   |   |     |            |
|   | turn-in)? (Examination of       |   |   |   |     |            |
|   | records)                        |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 7 | Does an accounting employee     | \ | \ | \ | 542 |            |
| 0 | produce a gross revenue recap   | _ | _ | _ | .11 |            |
| \ | report to calculate gross       | \ | \ | \ | (h) |            |
| . | revenue for each day\'s play    | _ | _ | _ | (5) |            |
|   | and month-to-date basis,        | \ | \ | \ | (i) |            |
|   | including the following totals: | _ | _ | _ |     |            |
|   | (Examination of records)        | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   | Commission?                     |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 7 | Does an accounting employee     | \ | \ | \ | 5   |            |
| 1 | produce a gross revenue recap   | _ | _ | _ | 42. |            |
| \ | report to calculate gross       | \ | \ | \ | 11( |            |
| . | revenue for each day\'s play    | _ | _ | _ | h)( |            |
|   | and month-to-date basis,        | \ | \ | \ | 5)( |            |
|   | including the following totals: | _ | _ | _ | ii) |            |
|   | (Examination of records)        | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   | Positive breakage?              |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 7 | Does an accounting employee     | \ | \ | \ | 54  |            |
| 2 | produce a gross revenue recap   | _ | _ | _ | 2.1 |            |
| \ | report to calculate gross       | \ | \ | \ | 1(h |            |
| . | revenue for each day\'s play    | _ | _ | _ | )(5 |            |
|   | and month-to-date basis,        | \ | \ | \ | )(i |            |
|   | including the following totals: | _ | _ | _ | ii) |            |
|   | (Examination of records)        | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   | Negative breakage?              |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 7 | Does an accounting employee     | \ | \ | \ | 5   |            |
| 3 | produce a gross revenue recap   | _ | _ | _ | 42. |            |
| \ | report to calculate gross       | \ | \ | \ | 11( |            |
| . | revenue for each day\'s play    | _ | _ | _ | h)( |            |
|   | and month-to-date basis,        | \ | \ | \ | 5)( |            |
|   | including the following totals: | _ | _ | _ | iv) |            |
|   | (Examination of records)        | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   | Track/event fees?               |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 7 | Does an accounting employee     | \ | \ | \ | 542 |            |
| 4 | produce a gross revenue recap   | _ | _ | _ | .11 |            |
| \ | report to calculate gross       | \ | \ | \ | (h) |            |
| . | revenue for each day\'s play    | _ | _ | _ | (5) |            |
|   | and month-to-date basis,        | \ | \ | \ | (v) |            |
|   | including the following totals: | _ | _ | _ |     |            |
|   | (Examination of records)        | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   | Track/event fee rebates?        |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 7 | Does an accounting employee     | \ | \ | \ | 5   |            |
| 5 | produce a gross revenue recap   | _ | _ | _ | 42. |            |
| \ | report to calculate gross       | \ | \ | \ | 11( |            |
| . | revenue for each day\'s play    | _ | _ | _ | h)( |            |
|   | and month-to-date basis,        | \ | \ | \ | 5)( |            |
|   | including the following totals: | _ | _ | _ | vi) |            |
|   | (Examination of records)        | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   | Purged tickets?                 |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 7 | Are all winning tickets and     | \ | \ | \ | 542 |            |
| 6 | vouchers removed from the       | _ | _ | _ | .11 |            |
| \ | SAM\'s for each day\'s play?    | \ | \ | \ | (h) |            |
| . | (Inquiry)                       | _ | _ | _ | (6) |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 7 | In the event that a SAM does    | \ | \ | \ | 542 |            |
| 7 | not balance for a day\'s play,  | _ | _ | _ | .11 |            |
| \ | does the auditor perform the    | \ | \ | \ | (h) |            |
| . | following procedures: (Inquiry  | _ | _ | _ | (7) |            |
|   | and review supporting           | \ | \ | \ | (i) |            |
|   | documentation)                  | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   | Foot the winning tickets and    | _ | _ | _ |     |            |
|   | vouchers deposited and trace to |   |   |   |     |            |
|   | the totals of SAM activity      |   |   |   |     |            |
|   | produced by the system?         |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 7 | In the event that a SAM does    | \ | \ | \ | 5   |            |
| 8 | not balance for a day\'s play,  | _ | _ | _ | 42. |            |
| \ | does the auditor perform the    | \ | \ | \ | 11( |            |
| . | following procedures: (Inquiry  | _ | _ | _ | h)( |            |
|   | and review supporting           | \ | \ | \ | 7)( |            |
|   | documentation)                  | _ | _ | _ | ii) |            |
|   |                                 | \ | \ | \ |     |            |
|   | Foot the listing of cashed      | _ | _ | _ |     |            |
|   | vouchers and trace to the       |   |   |   |     |            |
|   | totals produced by the system?  |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 7 | In the event that a SAM does    | \ | \ | \ | 54  |            |
| 9 | not balance for a day\'s play,  | _ | _ | _ | 2.1 |            |
| \ | does the auditor perform the    | \ | \ | \ | 1(h |            |
| . | following procedures: (Inquiry  | _ | _ | _ | )(7 |            |
|   | and review supporting           | \ | \ | \ | )(i |            |
|   | documentation)                  | _ | _ | _ | ii) |            |
|   |                                 | \ | \ | \ |     |            |
|   | Review all exceptions for       | _ | _ | _ |     |            |
|   | propriety of transactions and   |   |   |   |     |            |
|   | unusual occurrences?            |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 8 | In the event that a SAM does    | \ | \ | \ | 5   |            |
| 0 | not balance for a day\'s play,  | _ | _ | _ | 42. |            |
| \ | does the auditor perform the    | \ | \ | \ | 11( |            |
| . | following procedures: (Inquiry  | _ | _ | _ | h)( |            |
|   | and review supporting           | \ | \ | \ | 7)( |            |
|   | documentation)                  | _ | _ | _ | iv) |            |
|   |                                 | \ | \ | \ |     |            |
|   | Review all voids for propriety? | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 8 | In the event that a SAM does    | \ | \ | \ | 542 |            |
| 1 | not balance for a day\'s play,  | _ | _ | _ | .11 |            |
| \ | does the auditor perform the    | \ | \ | \ | (h) |            |
| . | following procedures: (Inquiry  | _ | _ | _ | (7) |            |
|   | and review supporting           | \ | \ | \ | (v) |            |
|   | documentation)                  | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   | Verify the results as produced  | _ | _ | _ |     |            |
|   | by the system to the results    |   |   |   |     |            |
|   | provided by an independent      |   |   |   |     |            |
|   | source (identify independent    |   |   |   |     |            |
|   | source)?                        |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 8 | In the event that a SAM does    | \ | \ | \ | 5   |            |
| 2 | not balance for a day\'s play,  | _ | _ | _ | 42. |            |
| \ | does the auditor perform the    | \ | \ | \ | 11( |            |
| . | following procedures: (Inquiry  | _ | _ | _ | h)( |            |
|   | and review supporting           | \ | \ | \ | 7)( |            |
|   | documentation)                  | _ | _ | _ | vi) |            |
|   |                                 | \ | \ | \ |     |            |
|   | Regrade 1% of paid (cashed)     | _ | _ | _ |     |            |
|   | tickets to ensure accuracy and  |   |   |   |     |            |
|   | propriety?                      |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 8 | In the event that a SAM does    | \ | \ | \ | 54  |            |
| 3 | not balance for a day\'s play,  | _ | _ | _ | 2.1 |            |
| \ | does the auditor perform the    | \ | \ | \ | 1(h |            |
| . | following procedures: (Inquiry  | _ | _ | _ | )(7 |            |
|   | and review supporting           | \ | \ | \ | )(v |            |
|   | documentation)                  | _ | _ | _ | ii) |            |
|   |                                 | \ | \ | \ |     |            |
|   | When applicable, reconcile the  | _ | _ | _ |     |            |
|   | daily totals of future tickets  |   |   |   |     |            |
|   | written to the totals produced  |   |   |   |     |            |
|   | by the system for both unearned |   |   |   |     |            |
|   | and earned take, and review the |   |   |   |     |            |
|   | reports to ascertain that       |   |   |   |     |            |
|   | future wagers are properly      |   |   |   |     |            |
|   | included on the day of the      |   |   |   |     |            |
|   | event?                          |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 8 | At least annually does the      | \ | \ | \ | 542 |            |
| 4 | auditor foot the wagers for one | _ | _ | _ | .11 |            |
| \ | day and trace to the total      | \ | \ | \ | (h) |            |
| . | produced by the system? (Review | _ | _ | _ | (8) |            |
|   | supporting documentation)       | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 8 | At least one day per quarter,   | \ | \ | \ | 542 |            |
| 5 | does the auditor recalculate    | _ | _ | _ | .11 |            |
| \ | and verify the change in the    | \ | \ | \ | (h) |            |
| . | unpaid winners to the total     | _ | _ | _ | (9) |            |
|   | purged tickets? (Review         | \ | \ | \ |     |            |
|   | supporting documentation)       | _ | _ | _ |     |            |
|   |                                 | \ | \ | \ |     |            |
|   |                                 | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| * |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
| ( |                                 |   |   |   |     |            |
| b |                                 |   |   |   |     |            |
| ) |                                 |   |   |   |     |            |
| C |                                 |   |   |   |     |            |
| o |                                 |   |   |   |     |            |
| m |                                 |   |   |   |     |            |
| p |                                 |   |   |   |     |            |
| u |                                 |   |   |   |     |            |
| t |                                 |   |   |   |     |            |
| e |                                 |   |   |   |     |            |
| r |                                 |   |   |   |     |            |
| a |                                 |   |   |   |     |            |
| p |                                 |   |   |   |     |            |
| p |                                 |   |   |   |     |            |
| l |                                 |   |   |   |     |            |
| i |                                 |   |   |   |     |            |
| c |                                 |   |   |   |     |            |
| a |                                 |   |   |   |     |            |
| t |                                 |   |   |   |     |            |
| i |                                 |   |   |   |     |            |
| o |                                 |   |   |   |     |            |
| n |                                 |   |   |   |     |            |
| s |                                 |   |   |   |     |            |
| . |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
| * |                                 |   |   |   |     |            |
+---+---------------------------------+---+---+---+-----+------------+
| 8 | If the gaming operation is      | \ | \ | \ | 542 |            |
| 6 | utilizing any computer          | _ | _ | _ | .11 |            |
| \ | applications with alternative   | \ | \ | \ | (b) |            |
| . | documentation and/or            | _ | _ | _ |     |            |
|   | procedures, did the gaming      | \ | \ | \ |     |            |
|   | operation receive approval for  | _ | _ | _ |     |            |
|   | such procedures? (Review TGRA   | \ | \ | \ |     |            |
|   | approval)                       | _ | _ | _ |     |            |
+---+---------------------------------+---+---+---+-----+------------+