[Federal Register Volume 71, Number 155 (Friday, August 11, 2006)]
[Proposed Rules]
[Pages 46336-46361]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 06-6787]



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Part IV





National Indian Gaming Commission





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25 CFR Part 547



Technical Standards for ``Electronic, Computer, or Other Technologic 
Aids'' Used in the Play of Class II Games; Proposed Rule

Federal Register / Vol. 71, No. 155 / Friday, August 11, 2006 / 
Proposed Rules

[[Page 46336]]


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NATIONAL INDIAN GAMING COMMISSION

25 CFR Part 547

RIN 3141-AA29


Technical Standards for ``Electronic, Computer, or Other 
Technologic Aids'' Used in the Play of Class II Games

AGENCY: National Indian Gaming Commission (NIGC or ``Commission'').

ACTION: Proposed rule.

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SUMMARY: The proposed rule would add a new part to the Commission's 
regulations establishing technical standards for Class II games--bingo, 
lotto, other games similar to bingo, pull tabs, or ``instant bingo''--
that are played primarily through ``electronic, computer, or other 
technologic aids.'' The proposed rule would also establish a process 
for assuring the integrity of such games and aids before their 
placement in a Class II tribal gaming operation. No such standards 
currently exist. The Commission proposes this action in order to assist 
tribal gaming regulatory authorities and operators in ensuring the 
integrity and security of Class II games and gaming revenue.

DATES: Submit comments on or before September 30, 2006.

ADDRESSES: Mail comments to ``Comments on Technical Standards,'' 
National Indian Gaming Commission, 1441 L Street, NW., Washington, DC 
20005, Attn: Michael Gross, Senior Attorney. Comments may be 
transmitted by facsimile to 202-632-0045, but the original also must be 
mailed or submitted to the above address. Comments may be sent 
electronically, instead of by mail or fax, to <a href="/cdn-cgi/l/email-protection#81f5e4e2e9f2f5e5f2c1efe8e6e2afe6eef7"><span class="__cf_email__" data-cfemail="215544424952554552614f4846420f464e57">[email protected]</span></a>. Please 
indicate ``Class II technical regulations'' in the subject line.

FOR FURTHER INFORMATION CONTACT: Michael Gross, Senior Attorney, Office 
of General Counsel, telephone: 202.632.7003. This is not a toll free 
call.

SUPPLEMENTARY INFORMATION:

Background

    The Indian Gaming Regulatory Act, 25 U.S.C. 2701-21 (``IGRA''), 
enacted by the Congress in 1988, establishes the National Indian Gaming 
Commission (``NIGC'' or ``Commission'') and sets out a comprehensive 
framework for the regulation of gaming on Indian lands. The Act 
establishes three classes of Indian gaming.
    <bullet> ``Class I gaming'' means social games played solely for 
prizes of minimal value or traditional forms of Indian gaming played in 
connection with tribal ceremonies or celebrations. 25 U.S.C. 2703(6). 
Indian tribes regulate Class I gaming exclusively.
    <bullet> ``Class II gaming'' means the game of chance commonly 
known as bingo, whether or not electronic, computer, or other 
technologic aids are used in connection therewith, including, if played 
in the same location, pull-tabs, lotto, punch boards, tip jars, instant 
bingo, and other games similar to bingo, as well as various non-house 
banked card games. 25 U.S.C. 2703(7)(A). Specifically excluded from 
Class II gaming are banking card games such as blackjack, electronic or 
electromechanical facsimiles of any game of chance, and slot machines 
of any kind. 25 U.S.C. 2703(7)(B). Indian tribes and the NIGC share 
regulatory authority over Class II gaming. Indian tribes can engage in 
Class II gaming without any state involvement.
    <bullet> ``Class III gaming'' includes all forms of gaming that are 
not Class I gaming or Class II gaming. 25 U.S.C. 2703(8). Class III 
gaming thus includes all other games of chance, including lotteries and 
most forms of casino gaming, such as slot machines, roulette, and 
banking card games like blackjack. Class III gaming may be conducted 
lawfully only if the tribe and the state in which the tribe is located 
enter into a tribal-state compact for such gaming. Alternatively, a 
tribe may operate Class III gaming under gaming procedures issued by 
the Secretary of the Interior. Because of the compact requirement, 
states, Indian tribes, and the NIGC possess regulatory authority over 
Class III gaming. In addition, the United States Department of Justice 
and United States Attorneys possess exclusive criminal, and certain 
civil, jurisdiction over Class III gaming on Indian lands.
    The Commission has determined that it is in the best interests of 
Indian gaming to adopt technical standards that govern the 
implementation of electronic, computer, and other technologic aids used 
in the play of Class II games because no such standards currently 
exist. The technical standards seek to provide a means for tribal 
gaming regulatory authorities and tribal operators to ensure that the 
integrity of Class II games played with the use of electronic, 
computer, or other technologic aids is maintained; that the games and 
aids are secure; and that the games and aids are fully auditable, i.e. 
that they provide a means for the gaming authority and gaming operation 
to account for all gaming revenue.

Development of the Proposed Rule Through Consultation With Indian 
Tribes

    In recognition of tribal sovereignty and the fundamental importance 
of standards to the operation and regulation of gaming on Indian lands 
under IGRA, the Commission developed a policy and process for 
consultation with Indian tribes that would provide opportunity for 
early and meaningful tribal input regarding formulation of these 
proposed regulations.
    In particular, while initially advising tribes of the Commission's 
intention to develop standards, the Commission also actively consulted 
with tribes regarding formulation of the Commission's first-ever 
official Government-to-Government Tribal Consultation Policy. After 
several months of consultation with tribes, the Commission's official 
Tribal Consultation Policy was adopted and published in the Federal 
Register on March 31, 2004 (69 FR 16973). The Commission purposely 
established this policy in order to have consultation policy guidelines 
in place for meaningful pre-rulemaking tribal consultation on these 
standards and other planned Commission rulemaking initiatives.
    The Commission's official Tribal Consultation Policy expressly 
calls for the Commission, to the extent practicable and permitted by 
law, to engage in regular, timely, and meaningful government-to-
government consultation with Indian Tribes when formulating proposed 
new or revised administrative regulations that may substantially affect 
the operation or regulation of gaming on Indian lands. To fulfill this 
policy commitment, the Commission devised a three-part plan to afford 
tribes a reasonable and practicable opportunity to consult with the 
Commission and to provide early input in formulation of regulations, 
before they were published as proposed new rules in the Federal 
Register and the actual rule-making process began.
    First, the Commission endeavored to consult in person at least 
twice with each gaming tribe between May 2003 and March 2006 regarding 
development of these, and other, proposed regulations. During this time 
period, the Commission sent out over 500 separate invitations to 
individual tribes to consult with the Commission and provide input. 
Many tribes accepted and participated in separate government-to-
government consultation meetings with the Commission regarding the 
proposed regulations and other matters. While some tribes declined the 
Commission's invitations, between May 2003 and

[[Page 46337]]

March 2006 the Commission conducted over 300 separate government-to-
government consultation meetings with individual tribes and their 
leaders or representatives.
    Second, the Commission established a joint Federal-Tribal Advisory 
Committee on March 31, 2004, composed of both Commission and tribal 
representatives to assist the Commission in formulating these 
regulations. In January 2004, the Commission requested all gaming 
tribes across the country to nominate tribal representatives to serve 
on this Advisory Committee. From the tribal nominations received, the 
Commission selected the following seven tribal representatives on March 
31, 2004: Norm Des Rosiers, Gaming Commissioner, Viejas Band of 
Kumeyaay Indians; Joseph Carlini, Gaming Commission Executive Director, 
Agua Caliente Band of Cahuilla Indians; Kenneth Ermatinger, Gaming 
Commission Executive Director, Sault Ste. Marie Tribe of Chippewa 
Indians of Michigan; Jamie Hummingbird, Gaming Commission Director, 
Cherokee Nation, Oklahoma; Mark Garrow, Gaming Commission Inspections 
Manager, St. Regis Mohawk Tribe; Melvin Daniels, General Manager, 
Muckleshoot Indian Bingo, Muckleshoot Indian Tribe; Charles Lombardo, 
Senior Vice-President for Gaming Operations, Seminole Tribe of Florida.
    To date, the Advisory Committee has held six (6) meetings: May 13, 
2004 in Washington, DC; August 2-3, 2004, Washington, DC; September 13-
14, 2004, Cherokee, North Carolina; December 1-3, 2004, Oklahoma City, 
Oklahoma; January 12-13, 2005, Palm Springs, California; and March 11, 
2005, Chicago, Illinois. During these committee meetings, all of which 
were open to the public, the committee discussed the various 
characteristics of Class II and Class III games of chance, their play, 
and related gaming technology and methods. In addition, the committee 
discussed, reviewed, critiqued and commented on 2 different, successive 
preliminary working drafts of the proposed Class II technical standards 
prepared by the Commission representatives on the Committee. The seven 
tribal committee representatives provided early tribal input and 
valuable insight, advice, and assistance to the Commission in 
developing each of the respective working drafts, as well as the 
current proposed regulations.
    The Commission's establishment of the joint Federal-Tribal advisory 
committee was the subject of a legal challenge while the Commission was 
preparing the proposed rule for publication. On March 10, 2005, nearly 
one year after the Commission established the committee, the 
Confederated Salish and Kootenai Tribes of the Flathead Nation and the 
Santa Rosa Rancheria Indian Community filed suit against the Commission 
alleging, among other things, that several of the committee members 
were not eligible to participate on the committee. Following a hearing 
in Federal court, at which the request for temporary restraining order 
was denied, the Commission determined that it should proceed to publish 
the proposed rule for comment while the legal standing of the committee 
was further litigated. The Commission also sought clarification from 
those tribes nominating the committee members concerning the member's 
role as an official representative of the tribe. As a result of this 
clarification, and, out of an abundance of caution, the Commission 
regretfully requested that two members of the Committee step down.
    The third component of the Commission's effort to consult with 
tribes during the pre-rulemaking formulation phase of these proposed 
regulations was to make the various preliminary working drafts of the 
proposed regulations available to all tribes and their leaders for 
review and comment, independent of the joint federal-tribal Advisory 
Committee. In particular, while these proposed regulations were being 
formulated, the first and second preliminary working drafts were mailed 
to each tribe and its leaders, inviting written comment. The drafts 
were also posted on the Commission's website for review and comment by 
all. Many tribes and members of the public submitted written comments 
on these respective working drafts. The tribal comments were shared 
with the members of the Advisory Committee for their review and 
carefully considered by the Commission in formulating these proposed 
regulations.
    In addition, the Gaming Standards Association, a casino-industry 
group comprised of game manufacturers and operators, and the National 
Indian Gaming Association, the largest Indian gaming trade group, 
assembled a meeting on December 16, 2004, in Las Vegas, Nevada, so that 
interested members of both organizations could review the technical 
standards and provide suggestions to the Commission. The Commission was 
invited, and it sent a staff member to listen to the discussion and to 
answer questions, if necessary.
    Beyond all of this, the Commission attended and addressed several 
different assemblies of tribal leaders and tribal gaming operators and 
regulators at meetings and conferences organized by state and regional 
tribal gaming associations, the National Indian Gaming Association, and 
the National Congress of American Indians between January 2003 and 
March 2005. At these meetings and conferences, the Commission advised 
tribal leaders of its intention and plan to develop these regulations 
and provided periodic updates regarding the progress and status of the 
regulations development. The Commission also made itself available at 
these meetings to answer any questions from tribal leaders regarding 
the proposed regulations or their formulation.
    Through each of these various means, the Commission actively 
endeavored to provide all tribes with a reasonable and practical 
opportunity over the past 26 months to meet and consult with the 
Commission on a government-to-government basis and provide early and 
meaningful tribal input regarding the formulation and implementation of 
these proposed regulations.

Purpose and Scope

    The proposed Part 547 applies to Class II games played primarily 
through electronic, computer, or other technologic aids, or 
modifications of such games and aids. It does not apply to live session 
bingo. Class II games played through such technologic aids are widely 
used in Indian gaming operations, yet no uniform standards exist to 
govern their implementation. The proposed rule seeks to remedy that 
absence and establish technical standards for such games and aids.
    Again, the technical standards seek to provide a means for tribal 
gaming regulatory authorities and tribal operators to ensure that the 
integrity of Class II games played with the use of electronic, 
computer, or other technologic aids, is maintained; that the games and 
aids are secure; and that the games and aids are fully auditable. In so 
doing, the technical standards are modeled, when appropriate, on 
similar standards from experienced gaming jurisdictions not only in 
North America but around the world. The requirements for game 
accounting meters, for example, are modeled on Nevada's requirements.
    There are, however, unique aspects of Class II gaming for which few 
models now exist, and none existed at the time the Commission began 
this project. Bingo, as IGRA defines it, is a multiple-player game in 
which players compete against one another to be the first to cover a 
predetermined pattern of

[[Page 46338]]

numbers or other designations. In order to meet IGRA's statutory 
requirements, electronic bingo implementations must allow multiple 
players in different locations, whether in one facility or in more than 
one, to play a common game. Manufacturers, therefore, have implemented 
bingo on client-server architectures. A common arrangement, but by no 
means the only one possible, is to have client machines on the casino 
floor as electronic player stations. These display bingo cards, allow 
the players to cover numbers when drawn, and pay any prizes won. The 
server, usually located off the floor, draws random numbers and passes 
them, along data communications lines, to the client machines for game 
play. Such client-server arrangements are not common in other gaming 
jurisdictions, and they produce regulatory challenges with which most 
other gaming jurisdictions have not fully grappled.
    Chief among these challenges is securing games from unauthorized 
changes or tampering. In a stand-alone Class III slot machine, for 
example, the game software is typically located within the game cabinet 
itself, and there are many, well-established technical means for 
securing the software. In client-server implementations, by contrast, 
game software may be downloaded from the server to clients, or game 
software may exist simultaneously on clients and servers, with the 
clients acting as terminals receiving game information transmitted 
across data communication lines from the server. In either case, the 
well-established means of securing Class III game software may not be 
adequate.
    The proposed rule therefore implements minimum standards for 
mechanisms that can be used to verify the authenticity of game 
software, whether located on servers or clients or both, as well as 
minimum standards for when verification must occur and when, and by 
whom, games may be downloaded or changed. The proposed rule also 
provides general, minimum technical standards for servers, for clients, 
and standards common to both clients and servers, and it provides 
minimum standards for software storage media, money and credit 
handling, and data communications, all of which may require different 
treatment when using clients and servers rather than stand-alone games.
    That said, the proposed rule provides only minimum standards. 
Tribes and tribal gaming regulatory authorities may add any additional 
requirements, or more stringent requirements, needed to suit their 
particular circumstances. In addition, the proposed rule makes no 
attempt to foreclose the implementation of new technologies.
    In order to ensure compliance with the technical standards, the 
proposed rule borrows again from the established practices of tribal, 
state, and provincial gaming jurisdictions across North America. The 
proposed rule establishes, as a necessary prerequisite to a game and 
aid being offered to the public for play in a Class II gaming 
operation, a process of game submission by the manufacturer; review and 
analysis by a qualified, independent testing laboratory; and approval 
by the tribal gaming regulatory authority.
    Under the proposed rule, a tribe's gaming regulatory authority will 
require all Class II games and aids, or modifications of such games and 
aids, to be submitted by the manufacturer to a testing laboratory for 
review and analysis. That submission includes a working prototype of 
the game and aid, all pertinent software, and the complete 
documentation and description of all functions and components. In turn, 
the laboratory will certify that the game or aids do or do not meet the 
requirements of the proposed rule, as well as any additional 
requirements adopted by the tribe's gaming regulatory authority. The 
laboratory will provide a written certification and report of its 
analysis and conclusions to the tribal gaming regulatory authority for 
its approval or disapproval of the game or aid. The tribal gaming 
regulatory authority will retain the certification and report as long 
as the game remains available to the public for play on the casino 
floor. This will allow the commission to perform its regulatory 
oversight role.
    Finally, the Commission is cognizant of existing standards under 
the Minimum Internal Control Standards (MICS), 25 CFR part 542, some of 
which address equipment or technical issues. The proposed rule and the 
MICS therefore have small areas of overlap. The Commission does not 
intend by the proposed rule to alter or repeal part 542, and relevant 
parts of the proposed rule so state.

Regulatory Matters

Regulatory Flexibility Act

    This proposed rule will not have a significant economic effect on a 
substantial number of small entities as defined under the Regulatory 
Flexibility Act, 5 U.S.C. 601 et seq. Indian tribes are not considered 
to be small entities for the purposes of the Regulatory Flexibility 
Act.

Small Business Regulatory Enforcement Fairness Act

    This proposed rule is not a major rule under 5 U.S.C. 804(2), the 
Small Business Regulatory Enforcement Fairness Act. This rule does not 
have an annual effect on the economy of $100 million or more. This rule 
will not cause a major increase in costs or prices for consumers, 
individual industries, Federal, state or local government agencies or 
geographic regions and does not have a significant adverse effect on 
competition, employment, investment, productivity, innovation, or the 
ability of U.S.-based enterprises to compete with foreign-based 
enterprises. The Commission believes that the requirement for 
examination and testing by an independent testing lab will add only 
limited additional expense to Indian casinos operating Class II games 
and aids. The Commission has been informed that operations already do 
this as a matter of course. Likewise, the Commission does not 
anticipate significant additional costs for redesign and repurchase of 
Class II games and aids. Many manufacturers who sell Class II games and 
equipment are already building to similar standards for the machines 
they sell in Class III and non-Indian casino markets. Moreover, 
feedback from manufacturers to date indicates industry support for 
these standards.

Unfunded Mandates Reform Act

    For these reasons as well, the Commission has determined that this 
proposed rule does not impose an unfunded mandate on state, local, or 
tribal governments or on the private sector of more than $100 million 
per year. Thus, it is not a ``significant regulatory action'' under the 
Unfunded Mandates Reform Act, 2 U.S.C. 1501 et seq. The Commission has 
determined that this proposed rule may have a unique effect on tribal 
governments, as this rule applies to tribal governments, whenever they 
undertake the ownership, operation, regulation, or licensing of gaming 
facilities on Indian lands as defined by the Indian Gaming Regulatory 
Act. Thus, in accordance with section 203 of the Unfunded Mandates 
Reform Act, the Commission implemented a small government agency plan 
that provides tribal governments with adequate notice, opportunity for 
meaningful consultation, and information, advice, and education on 
compliance.
    Again, the Commission's plan included the formation of a tribal 
advisory committee and request for input from tribal leaders through

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government-to-government consultations and through written comments to 
draft regulations that are provided to the tribes. Section 204(b) of 
the Unfunded Mandates Reform Act exempts from the Federal Advisory 
Committee Act (5 U.S.C. App.) meetings with tribal elected officials 
(or their designees) for the purpose of exchanging views, information, 
and advice concerning the implementation of intergovernmental 
responsibilities or administration. In selecting Committee members, 
consideration was placed on the applicant's experience in this area, as 
well as the size of the tribe the nominee represented, geographic 
location of the gaming operation, and the size and type of gaming 
conducted. The Commission attempted to assemble a committee that 
incorporated diversity and was representative of tribal gaming 
interests. The Commission will meet with the Advisory Committee to 
discuss the public comments that are received as a result of the 
publication of this proposed rule and make recommendations regarding 
the final rule. The Commission also plans to continue its policy of 
providing technical assistance, through its field offices, to tribes to 
assist in complying with issues raised by the proposed rule.

Takings

    In accordance with Executive Order 12630, the Commission has 
determined that this proposed rule does not have significant takings 
implications. A takings implication assessment is not required.

Civil Justice Reform

    In accordance with Executive Order 12988, the Office of General 
Counsel has determined that the proposed rule does not unduly burden 
the judicial system and meets the requirements of sections 3(a) and 
3(b)(2) of the Order.

Paperwork Reduction Act

    This proposed rule requires information collection under the 
Paperwork Reduction Act of 1995, 44 U.S.C. 3501, et seq., and is 
subject to review by the Office of Management and Budget. The title, 
description, and respondent categories are discussed below, together 
with an estimate of the annual information collection burden.
    With respect to the following collection of information, the 
Commission invites comments on: (1) Whether the proposed collection of 
information is necessary for proper performance of its functions, 
including whether the information would have practical utility; (2) the 
accuracy of the Commission's estimate of the burden of the proposed 
collection of information, including the validity of the methodology 
and assumptions used; (3) ways to enhance the quality, utility, and 
clarity of the information to be collected; and (4) ways to minimize 
the burden of the collection of information on respondents, including 
the use of automated collection techniques, when appropriate, and other 
forms of information technology.
    Title: Process for Certification of Electronic, Computer, or other 
Technologic Aids used in the play of Class II games, proposed 25 CFR 
547.4.
    Summary of information and description of need: This provision in 
the proposed rule establishes a process for assuring that electronic, 
computer, or other technologic aids used with the play of Class II 
games have been reviewed and evaluated by a qualified, independent 
testing laboratory prior to their approval by a tribal gaming 
regulatory authority and their placement on the floor in a Class II 
tribal gaming operation. The process helps to ensure the proper 
functioning of the equipment and the integrity, fairness, and 
auditability of games played.
    The process requires a tribe's gaming regulatory authority to 
require that all Class II games played primarily through electronic, 
computer, or other technologic aids, or modifications of such games and 
aids, be submitted by the manufacturer to a qualified, independent 
testing laboratory for review and analysis. That submission includes a 
working prototype of the game and aid, all pertinent software, and 
complete documentation and descriptions of all functions and 
components. In turn, the laboratory will certify that the game or aids 
do or do not meet the requirements of the proposed rule and any 
additional requirements adopted by the tribe's gaming regulatory 
authority. The laboratory will provide a written certification and 
report of its analysis and conclusions to the tribal gaming regulatory 
authority for its approval or disapproval of the game or aid.
    This process is necessary to ensure the fairness and integrity of 
Class II gaming. Technical standards such as those in the proposed rule 
are a fundamental part of Class III gaming and of non-Indian casino 
gaming throughout North America. No uniform standards exist for Class 
II gaming, however. The implementation of such standards will assist 
tribal gaming regulators in ensuring that games are implemented fairly, 
that all technologic aids are secure and function properly, and that 
the games and aids allow the tribe and the operator to properly account 
for gaming revenue.
    Respondents: The respondents are independent testing laboratories 
and developers and manufacturers of Class II games and technologic 
aids. The Commission estimates that there are 20 such manufacturers and 
5 such laboratories. The frequency of responses to the information 
collection requirement will vary.
    During the first 6 to 12 months after adoption of the proposed 
rule, all existing games or aids in Class II operations that fall 
within the rule must be submitted and reviewed if they are to continue 
in Class II operations. Following that period, the frequency of 
responses will be a function of the Class II market and the need or 
desire for new games and aids. Thus, the Commission estimates that the 
frequency of responses will range over an initial period of frequent 
submissions, settling down into infrequent and occasional submissions 
during periods when there are a few games, aids, or modifications 
brought to market, punctuated by fairly steady periods of submissions 
when new games and aids are introduced. The Commission estimates that 
submission will number approximately 150 during the first year after 
adoption and approximately 75 per year thereafter.
    Information Collection Burden: The preparation and submission of 
documentation supporting submissions by developers and manufacturers 
(as opposed to the game or aid hardware and software per se) is an 
information collection burden under the Paperwork Reduction Act, as is 
the preparation of certifications and reports of analyses by the 
laboratories. The amount of documentation or size of a laboratory 
certification and report is a function of the complexity of the game, 
equipment, or software submitted for review. Minor modifications of 
software or hardware that a manufacturer has already submitted and that 
a laboratory has previously examined is a matter of little time both 
for manufacturer and laboratory, while the submission and review of an 
entirely new game platform is time consuming.
    The practice of submission and review set out in the proposed rule, 
however, is not new. It is already part of the regulatory requirements 
in tribal, state, and provincial gaming jurisdictions throughout North 
America and the world. Manufacturers already have significant 
compliance personnel and infrastructure in place, and the very 
existence of private, independent laboratories is due to these 
requirements.

[[Page 46340]]

    Accordingly, the Commission estimates that gathering and preparing 
documentation for a single submission requires, on average, eight hours 
of an employee's time for a manufacturer. The Commission also estimates 
that following examination and analysis, writing a report and 
certification requires, on average, 12.5 hours of an employee's time 
for a laboratory. The Commission estimates that the information 
collection requirements in the proposed rule will be a 1200-hour burden 
on manufacturers during the first year after adoption and a 600-hour 
burden thereafter. The Commission estimates that the information 
collection requirements in the proposed rule will be a 1875-hour burden 
on laboratories during the first year after adoption and a 940-hour 
burden thereafter. The following table summarizes:

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                Collections,
             Provision                   Respondents       Number of   Collections,    Hours per   Total hours      year 2      Hours per       Total
                                                          respondents    1st year     collection                   forward     collection
--------------------------------------------------------------------------------------------------------------------------------------------------------
25 CFR 546.4......................  Laboratories........            5           150         12.5          1875            75          12.5         937.5
Same..............................  Manufacturers.......           20           150          8            1200            75           8           600
--------------------------------------------------------------------------------------------------------------------------------------------------------

    Comments: Pursuant to the Paperwork Reduction Act, 44 U.S.C. 
3507(d), the Commission has submitted a copy of this proposed rule to 
OMB for its review and approval of this information collection. 
Interested persons are requested to send comment regarding the burden, 
estimates, or any other aspect of the information collection, including 
suggestions for reducing the burden (1) directly to the Office of 
Information and Regulatory Affairs, OMB, Attention: Desk Officer for 
National Indian Gaming Commission, 725 17th St. NW., Washington DC, 
20503, and (2) to Michael Gross, Senior Attorney, National Indian 
Gaming Commission, 1441 L Street NW., Washington DC 20005.

National Environmental Policy Act

    The Commission has determined that this proposed rule does not 
constitute a major Federal action significantly affecting the quality 
of the human environment and that no detailed statement is required 
pursuant to the National Environmental Policy Act of 1969 (42 U.S.C. 
4321 et. seq).

List of Subjects in 25 CFR Part 547

    Gambling, Indian-lands, Indian-tribal government, Reporting and 
recordkeeping requirements.

    For the reasons set forth in the preamble, the Commission proposes 
to add new 25 CFR part 547 to read as follows:

PART 547--MINIMUM TECHNICAL STANDARDS FOR GAMING EQUIPMENT USED 
WITH THE PLAY OF CLASS II GAMES

Sec.
547.1 What is the purpose of this part?
547.2 How do these regulations affect state jurisdiction?
547.3 What are the definitions for this part?
547.4 How do I comply with this part?
547.5 What are the rules of interpretation and of general 
application for this part?
547.6 What are the minimum technical standards applicable to 
servers?
547.7 What are the minimum technical hardware standards applicable 
to client machines used as Electronic Player Stations?
547.10 What are the minimum technical software standards applicable 
to client machines used as Electronic Player Stations?
547.11 What are the technical standards applicable to critical 
memory?
547.12 What are the minimum technical standards for meters?
547.13 What are the minimum standards for Electronic Player Station 
events?
547.14 What are the minimum technical standards for last game 
recall?
547.15 What are the minimum technical standards for money and credit 
handling?
547.16 What are the minimum technical standards applicable both to 
clients and servers or to client-server implementations generally?
547.17 What are the minimum technical standards for the Formal 
Application Configuration document and verification tool?
547.18 What are the minimum technical standards for downloading 
Class II game software, paytables, peripheral software or other 
Download Packages in client--server implementations?
547.19 What are the minimum technical standards for changing 
available Class II game software or paytables in client--server 
implementations?
547.20 What are the minimum technical standards for game program 
storage media?
547.21 What are the minimum technical standards for random number 
generation?
547.22 What are the minimum technical standards for data 
communications?
547.23 What are the minimum technical standards for encryption?
547.24 What are the minimum standards for game artwork, glass, and 
rules?
547.25 What are the minimum standards for interfacing to a casino 
monitoring system?
547.26 How does a gaming operation apply for a variance from these 
standards?

    Authority: 25 U.S.C. 2706(b).


Sec.  547.1  What is the purpose of this part?

    The Indian Gaming Regulatory Act, 25 U.S.C. 2703(7)(A)(i) permits 
the use of electronic, computer, or other technologic aids in 
connection with the play of Class II games. This part establishes the 
minimum technical standards governing the use of such aids.


Sec.  547.2  How do these regulations affect state jurisdiction?

    Nothing in this part shall be construed to grant to a state 
jurisdiction in Class II gaming or to extend a state's jurisdiction in 
Class III gaming.


Sec.  547.3  What are the definitions for this part?

    For the purposes of this part, the following definitions apply:
    Application, A computer program, or group of programs, that 
operates on a computer system, including game programs that run on a 
server or client.
    Attract Mode, The period of time on an electronic player station 
between one play finishing and the next play commencing, or another 
mode being entered, and displaying features of the game or games 
available for play.
    Audit Mode, The mode where it is possible to view Electronic Player 
Station meters, statistics, etc. and perform non-player related 
functions.
    Cancel Credit, An action at an Electronic Player Station where some 
or all of the monetary entitlements of the player are removed and paid 
to a player after overt action taken by an attendant.
    Cashless Account, A file, record, or other database item maintained 
on a computer system that contains account identification information 
and a current amount held within the account.
    Cashless Transaction, A moement of money to or from a cashless 
account--often to or from an Electronic Player Station.
    Cashless Wagering System, A system that securely maintains records 
of cashless accounts and caters for a wide range of account 
transactions, including open, close, PIN registration / modification / 
resetting, account identification / verification, deposits,

[[Page 46341]]

withdrawals, and transfers to and from Electronic Player Stations.
    Cashout Request, The mode where the Electronic Player Station 
dispenses coins, tokens, bills, vouchers, or their equivalents after 
the patron has pressed collect to redeem credits under a certain value.
    CD-ROM, A compact disk which contains fixed data or programs that 
can only be read by the equipment in which it is inserted.
    Chairman, The Chairman of the National Indian Gaming Commission 
pursuant to the Indian Gaming Regulatory Act, 25 U.S.C. 2701 et seq.
    Client, An computer, often an Electronic Player Station, that is 
controlled through local or wide area network by a master computer 
known as a server.
    Coin Validator, Equipment used to validate coins or tokens placed 
in an electronic player station.
    Commission, The National Indian Gaming Commission.
    Communication Protocol, A means or methodology for passing data and 
other messages between two or more computer components. Typical 
protocols enable means for communications to continue without loss or 
corruption of data in the case of errors over the medium with which the 
data is sent.
    Coupon, A voucher or ticket which enables transfer of promotional 
credits to an Electronic Player Station, whether cashable or playable 
only.
    CPU, The central processing unit of a computer.
    Critical Memory, Memory locations storing data specified in Sec.  
547.11(a) for an Electronic Player Station.
    Critical Memory Clear, The process a service technician goes 
through to reset the memory of an Electronic Player Station, which 
configures the Electronic Player Station into the `as new' state.
    Cycling, Calling the random number generator in order to advance 
its state rather than to obtain an output.
    Data-link Layer, The lowest level of logical, as opposed to 
physical, communication between two or more computer devices.
    Disable (Client), Action taken either by the client or via 
instruction from the server or other network computer system to disable 
play and acceptance and payment of coins, tokens, cash, vouchers, or 
credits, but still permitting maintenance or auditing functions.
    Discretionary access controls, The ability to be able to restrict 
access to computing objects such as files, peripherals, programs on the 
basis of the privileges associated with a user account Disruption, Any 
form of mis-operation, component failure, or interference to the Class 
II gaming equipment.
    Download Package, Approved data sent from a Download Server to a 
client or other component of the technologic aids used in the play of 
Class II games for such purposes as changing of the device software, 
loading or selecting a new paytable, changing configuration parameters 
such as tokenization, changing peripherals software or configuration, 
or requesting specific information from the device.
    Download Server, A computer device that delivers Download Packages 
or causes Download Packages to be actuated in a secure manner to 
technologic aids used in the play of Class II games.
    Electromagnetic Interference, The physical characteristic of an 
electronic device to emit electronic noise either into free air, onto 
the mains power lines, or communication cables.
    Electrostatic Discharge, Electrostatic Discharge (see Electrostatic 
interference).
    Electrostatic Interference, The physical property of being able to 
create electronic interference to a device by either discharging static 
electricity onto the surface of the unit or via a mains power or 
communication cable.
    Enable (client), An action taken to place the client, generally an 
Electronic Player Station, in a state where it can conduct gaming and 
money movement transactions.
    Entropy source, A hardware device or software algorithm designed to 
produce outputs derived from measures of ``truly'' random events, such 
as thermal noise.
    EPROM, Electrically Programmable Read Only Memory--a storage area 
which may be filled with data and information, which once written is 
not modifiable, and which is retained even if there is no power applied 
to the machine.
    Extensible Protocol, A communications protocol which contains a 
mechanism that can be used to negotiate extensions to the protocol--
sometimes called options.
    Fault, An event that when detected by an Electronic Player Station 
causes a discontinuance of game play or other machine functions.
    Fault Mode, A mode where the Electronic Player Station has disabled 
itself, preventing game play or other functions, as a result of a fault 
condition occurring on the Electronic Player Station.
    Flash Memory, A computer chip with a read-only memory that retains 
its data when the power is turned off and that can be electronically 
erased and reprogrammed without being removed from the circuit board.
    Flash ROM, A flash memory device which contains fixed data or 
programs that can be read but not written to by the gaming equipment in 
which it is inserted.
    Game Software, The operational program(s) which control the play, 
display and results of Class II games and played on gaming equipment.
    Gaming Equipment, All electrical and mechanical physical components 
making up the equipment on which Class II games are played.
    Hardware, See Gaming Equipment
    Hopper, A device used to store and dispense coins.
    Idle Mode, The period of time after the completion of the previous 
game, or before the very first game after a memory reset, until the 
player begins to select options for the next game.
    Initial seeding, Initializing the RNG state
    Logic Area, A locked area of gaming equipment that houses 
electronic components that have the potential to significantly 
influence the operation of the Electronic Player Station
    MAC Filter, An access point that can be configured with filters 
that accept or reject data on the basis of the sender's Media Access 
Control (MAC) address. All devices that participate in 802.11a, 802.11b 
and 802.11g Wireless networks have a unique (MAC) address. The MAC 
address is present in every frame transmitted over the Wireless 
network.
    Magnetic Interference, A magnetic field which has the potential to 
affect the operation of an electronic device.
    Master Meter, A meter whose value is reset only when a memory reset 
is performed. This meter represents the total of all updates since the 
last memory reset.
    Meter, A non-volatile variable storing Electronic Player Station 
audit, accounting, and game play information.
    Modification, A new version of existing hardware or software, often 
consisting of relatively minor or discreet changes, used with the play 
of Class II games.
    Non-cashable credit, Credits given by an operator to a patron as 
part of a promotion, placed on an electronic player station through a 
voucher or electronic transfer, and capable of activating play but not 
being cashed out.
    Non-writable storage media, A storage device which contains fixed 
data or programs that can be read, but not written to, by the gaming 
equipment in which it is inserted.
    Number of RNG states, The number of settings that the RNG state can 
take on

[[Page 46342]]

before returning to the initial state. Also called RNG cycle.
    Par Sheet, An information sheet supplied by the equipment or game 
manufacturer detailing the mathematics and probabilities of a game.
    Paytable, The set of prizes available to players for achieving 
certain outcomes or patterns in the game on offer.
    Play of a game, A sequence of actions in the Electronic Player 
Station initiated by a player through a wagering of credits and 
terminated when all credits wagered have been lost or all winnings have 
been transferred to the Electronic Player Station's total wins meter 
and the player's credit meter.
    Printed Circuit Board, The piece of board used to connect together 
electronic components in a certain manner using tracks and holes to 
route the signals.
    Programmable Logic Device, An electronically configurable 
integrated circuit, usually used for hardware control purposes.
    Progressive Jackpot, An incremental prize that increases by a 
defined amount, each time a game is played on one of a group of 
interconnected electronic player stations.
    RAM, Random Access Memory.
    Random, Passing recognized statistical tests for randomness.
    Random Number Generator (RNG), A software module, hardware device 
or combination of these designed to produce outputs that are random.
    Removable/Rewritable storage media, Program or data storage devices 
that can be removed from the Class II gaming equipment and written to, 
or rewritten by the gaming equipment or by other equipment designed for 
that purpose.
    Re-seeding, Modifying the state of an RNG using external inputs
    Residual Credits, Credits remaining which are less than the value 
of one coin or token.
    RNG algorithm, The coded instructions which step an RNG's state 
through its cycle and calculate the next output.
    RNG cycle, The number of settings that the RNG state can take on 
before returning to the initial state.
    RNG state, RNGs (other than entropy sources) produce outputs by an 
algorithm which modifies one or more variables through a long sequence. 
These variables constitute the RNG state.
    ROM, Read Only Memory.
    Scaling algorithm, The coded instructions which map an random 
number generator output onto a range desired by a caller.
    Server, A master computer station which controls multiple clients 
via a local or wide area network.
    Setup Mode, The initial stage of configuration mode where a 
technician can enter Electronic Player Station related data.
    SSID, Service Set Identifier. An alphanumeric string maintained by 
the Wireless Access Point that identifies the name of the specific 
Wireless network. An end station uses the SSID to distinguish between 
multiple wireless networks and to determine what authentication method 
and credentials it should use to gain a connection.
    System Account, A user account available on the server, usually 
secured by a username and password, that provides access to the 
operating system and resident software.
    Test/Diagnostics Mode, A mode on an electronic player station that 
allows various tests to be performed on its hardware and software.
    Testing Laboratory, An organization recognized by the Commission as 
suitable for evaluation of submitted gaming equipment and software for 
compliance with this part and part 546 of this chapter.
    Touch Screen, A video monitor with a special surface that can 
activate the Electronic Player Station by the touching of the screen's 
surface.
    Voucher Payment System, A system that securely maintains records of 
payment vouchers generated by Electronic Player Stations, validates and 
records successful or failed payments of vouchers by Electronic Player 
Stations, kiosks or cashier stations, and controls the purging of 
expired vouchers.
    WEP, Wired Equivalent Privacy. An early security standard intended 
to protect wireless traffic from unauthorized access and modification. 
WEP has fundamental design flaws and will not protect a Wireless 
network. Automatic tools that compromise WEP security on a busy network 
within a few hours are available.
    Wireless Access Point, A device that sends and receives wireless 
radio signals to and from wireless devices, rebroadcasting these 
signals to and from the Local Area Network to which the Wireless Access 
Point is connected.
    Wireless communication network, A system of multiple computer 
devices which communicate with each other by broadcasting their 
messages through the air without using a physical medium such as a wire 
or cable.
    WPA, Wi-Fi Protected Access. A security standard that overcomes 
some of the known problems with WEP. WPA uses stronger encryption and 
provides for user authentication. However, like WEP, WPA will not 
protect a wireless network. Other security standards (e.g. WPA2) are 
available and under development by various standards bodies.


Sec.  547.4  How do I comply with this part?

    (a) Effective date. In order that manufacturers and operators have 
time to bring games and aids into compliance, this part shall be 
effective 6 months following publication of the final rule in the 
Federal Register. Upon application by a tribal gaming regulatory 
authority, the Chairman may extend the effective date for one or more 
additional periods of 6 months for good cause shown.
    (b) Submission, testing, and approval. Except as provided in 
paragraph (d) of this section, no tribe shall offer for play or use in 
a tribal gaming operation any gaming equipment, game software, or 
modification of gaming equipment or game software unless:
    (1) The gaming equipment, game software, or modification has been 
submitted to a testing laboratory recognized by the Commission pursuant 
to Sec.  546.9(f) of this chapter.
    (2) The submission conforms to the requirements of paragraph (c) of 
this section.
    (3) The testing laboratory tests the submission to the standards 
established by this part, and to any additional standards adopted by 
the tribal gaming regulatory authority, and provides a formal written 
report to the party making the submission, setting forth and certifying 
to its findings and conclusions. And
    (4) Following receipt of the laboratory's report, the tribal gaming 
regulatory authority makes a finding that the gaming equipment, game 
software, or modification conforms to the standards established by this 
part, and to any additional standards adopted by the tribal gaming 
regulatory authority. The tribal gaming regulatory authority shall 
retain a copy of the laboratory's report so long as the gaming 
equipment, game software, or modification that is the subject of the 
report remains available to the public for play in its gaming 
operation.
    (c) Submission requirements. Submissions to testing laboratories 
required by Sec.  547.4(b) shall include the following:
    (1) A complete, comprehensive, and technically accurate description 
and explanation in both technical and lay language of the manner in 
which equipment operates. Documentation of client--server 
implementations shall identify:
    (i) The amount of time that the storage of the game records and 
significant event required to be kept by Sec.  547.6(d)

[[Page 46343]]

through (e) may be maintained without causing a degradation in 
performance;
    (ii) The maximum number of enrollable client machines; and
    (iii) The number of client machines constituting a high or maximum 
load and whose collective operation will produce a degradation in 
system performance.
    (2) All source code:
    (i) Complete and able to be compiled, with resultant object code 
identical to that submitted for evaluation;
    (ii) If applicable, a resolution of differences in compiled 
software versions by the addition of `date' and `time' stamps or other 
such compiler variations;
    (iii) If redundant sections of code exist, documentation of the 
areas of code that are redundant; and
    (iv) If code is made redundant via a dynamically settable 
parameter, documentation of each such parameter, the means of setting 
or resetting it, and all default states.
    (3) The necessary compilers and development environment to enable 
the software to be independently compiled and tested.
    (4) A copy of all executable software, including data and graphic 
information, and a copy of all source code for programs submitted on 
electronically readable, unalterable media including, if requested, a 
method of:
    (i) Examining the source code;
    (ii) Conducting computer-aided searches within the source code;
    (iii) Comparing two different versions of the source code and 
examining the differences between the two versions; and
    (iv) Verifying that the executable software that is to be used for 
testing has been compiled from the source code versions submitted.
    (5) Prototype equipment including all hardware and software 
components, and if the submitted equipment is a client-server 
configuration:
    (i) A server fully loaded and configured (production mode) with the 
application to be used in production; and
    (ii) At least two clients or Electronic Player Stations, fully 
loaded and configured (production mode) with the application to be used 
in production;
    (iii) The communications equipment to link the server and clients; 
and
    (iv) If the equipment is to link to external systems such as a 
casino monitoring system, the hardware and software that enable the 
interface.
    (6) A Formal Application Configuration (FAC) document meeting the 
requirements of Sec.  547.17(a) and an FAC verification tool meeting 
the requirements of Sec.  547.17(b) through (g).
    (7) A par sheet or mathematical analysis of each game for each 
paytable submitted.
    (8) A copy of all graphical images displayed on the equipment or 
used in the game, including rules, instructions, and paytables. All 
artwork supplied shall be identified by a part number and the name or 
logo of the manufacturer. Successive versions of artwork shall be 
numbered sequentially.
    (9) Any other information, documentation, software, or equipment 
deemed necessary by the testing laboratory.
    (d) Emergency hardware and software changes. (1) Notwithstanding 
the requirements of paragraph (b) of this section, a tribal gaming 
regulatory authority may permit modified hardware or game software to 
be made available for play without prior laboratory review if, in its 
discretion, the modified hardware or game software is:
    (i) Necessary to correct a problem affecting the fairness, 
security, or integrity of a game; or
    (ii) Unrelated to game play.
    (2) If a tribal gaming regulatory authority authorizes modified 
game software or hardware to be made available for play or use without 
prior laboratory review, the tribal gaming regulatory authority shall 
require the hardware or software manufacturer to:
    (i) Immediately advise other users of the same hardware or software 
of the importance and availability of the update;
    (ii) Immediately submit, pursuant to the requirements of paragraph 
(c) of this section, the new hardware or software to a test laboratory 
for testing and verification;
    (iii) Provide the tribal gaming regulatory authority a temporary 
Formal Application Configuration meeting the requirements of Sec.  
547.17 for any new software.


Sec.  547.5  What are the rules of interpretation and of general 
application for this part?

    (a) Minimum standards. A tribal gaming regulatory authority may 
establish and implement additional technical standards that are as 
stringent as, or more stringent than those set out in this part.
    (b) Only applicable standards apply. Gaming equipment and software 
used with play of Class II games shall meet all applicable requirements 
of this part. For example, if an Electronic Player Station lacks a 
hopper or the ability to print or accept vouchers, then the standards 
that govern those things do not apply.
    (c) Fairness. No gaming equipment or software used with the play of 
Class II games shall cheat, mislead, or disadvantage users.
    (d) Approved equipment and software only. All gaming equipment and 
software used with the play of Class II games shall be identical in all 
respects to a prototype reviewed and tested by a recognized gaming 
laboratory and approved for use by the tribal gaming regulatory 
authority pursuant to Sec.  547.4(b) or (d). Unapproved software shall 
not be loaded onto or stored on any program storage medium used with 
the play of Class II games.
    (e) Proper functioning. All gaming equipment and software used with 
the play of Class II games shall perform according to the 
manufacturer's design and operating specifications.


Sec.  547.6  What are the minimum technical standards applicable to 
servers?

    This section provides standards applicable to all servers used with 
play of Class II games.
    (a) General requirements. (1) Servers shall authenticate all 
communications as coming from an enrolled client machine.
    (2) Servers shall only process gaming transactions from games 
approved by the tribal gaming regulatory authority.
    (3) Servers shall be able to enroll and un-enroll client machines 
for gaming.
    (4) Servers shall be able to enable and disable specific client 
machines for gaming.
    (5) Servers shall ensure that only enrolled, enabled client 
machines participate in gaming.
    (6) The default condition for new client machines shall be un-
enrolled and disabled.
    (b) Physical security. Servers shall be housed in a secure, 
dedicated room or in a secure locked cabinet. Access shall be 
restricted to persons authorized by the tribal gaming regulatory 
authority. Servers located on the casino floor shall also meet the 
applicable requirements of Sec.  547.7.
    (c) Logical/Software security. Nothing in this section shall be 
construed to alter, repeal or limit the applicability of Sec.  
542.16(a) of this chapter. Servers used in the play of Class II games 
shall also meet the following requirements:
    (1) Servers shall use operating systems that have discretionary 
access controls and shall be configured so that access controls are 
used to prevent unauthorized access to the operating system, programs, 
data, and peripherals.
    (2) Servers shall be configured so that audit trails are maintained 
for login/authentication successes and failures. The following 
information shall be recorded, if supported:
    (i) Date and time of the login attempt;

[[Page 46344]]

    (ii) Username supplied; and
    (iii) Success or failure.
    (3) Logins using system accounts (e.g. administrator, root, etc.) 
shall be restricted to the console. Notwithstanding this, logins using 
system accounts may be made away from the console for the purpose of 
remote support, provided that such remote access meets the requirements 
of paragraph (c)(9) of this section.
    (4) Generic user accounts are prohibited.
    (5) Accounts shall be restricted to authorized personnel, as 
specified by the tribal gaming regulatory authority.
    (6) Account passwords shall only be transmitted in encrypted or 
hashed form meeting the requirements of Sec.  547.23(b) through (c).
    (7) Application passwords shall be stored in an encrypted or hashed 
form meeting the requirements of Sec.  547.23(b) through (c).
    (8) Only software essential to the operation of the server shall be 
loaded onto the server.
    (9) Remote access to enable dynamic debugging may be permitted by 
the tribal gaming regulatory authority pursuant to Sec.  542.16(e) of 
this chapter. To support this facility, servers shall:
    (i) Provide a mechanism to enable and disable remote access, which 
shall be disabled by default; and
    (ii) Log all successful and unsuccessful attempts at remote access. 
Nothing in this requirement shall be construed to alter, repeal, or 
limit the applicability of Sec.  542.16(e)(1) of this chapter.
    (d) Game record information. The server shall store the following 
records for each game played:
    (1) Client ID;
    (2) Game start time and date;
    (3) Game identifier (version);
    (4) Game end time;
    (5) Total amount bet by all participants in game;
    (6) Total amount won by all participants in game; and
    (7) Final game result, including progressive prizes awarded and, 
for bingo, game number and numbers or designations drawn, in the order 
drawn.
    (e) Significant events. The server shall store the following 
significant events:
    (1) Server shutdown;
    (2) Server startup;
    (3) Gaming application startup;
    (4) Gaming application shutdown;
    (5) Client enrolled;
    (6) Client un-enrolled;
    (7) Client enabled;
    (8) Client disabled;
    (9) Client tamper detection;
    (10) Client signature check and result;
    (11) Client application restart;
    (12) Client application download;
    (13) Server parameter change;
    (14) Client parameter change;
    (15) Game created;
    (16) Game enable;
    (17) Game disable;
    (18) Game deleted;
    (19) Any instance of an aborted game.;
    (20) Large (jackpot) win;
    (21) Large win (jackpot) approved/rejected;
    (22) Progressive parameter change;
    (23) Progressive created;
    (24) Progressive enabled;
    (25) Progressive disabled;
    (26) Progressive deleted;
    (27) Progressive win;
    (28) Progressive win approved/rejected;
    (29) Client doors open;
    (30) Client doors closed;
    (31) Client hopper refill;
    (32) Client hand-pay;
    (33) Data-link level connection between client and server broken. 
This requirement does not refer to temporary perturbations of 
communications where ``temporary'' means a disruption of less than 10 
seconds; and
    (34) Data-link level connection between client and server is 
established.
    (f) Storage requirements. Game records, significant events, and 
remote access logs shall be maintained for a period of one year from 
the date the games are played.
    (g) Alternate storage requirements. Game records, significant 
events, and remote access logs may be kept in an archived manner, on 
the server or elsewhere, provided that the information reconciles 
across all forms of replicated storage and that the information can be 
produced within 24 hours upon request. In any event, game records and 
significant events for the previous 72 hours shall be immediately 
accessible.
    (h) Servers acting as progressive controllers. This paragraph (h) 
applies to progressive controllers, or servers acting as progressive 
controllers, used with the play of Class II games.
    (1) Modification of progressive jackpot parameters shall be secure. 
Such parameters include, at a minimum:
    (i) Increment value;
    (ii) Secondary pool increment(s);
    (iii) Reset amount(s);
    (iv) Maximum value(s); and
    (v) Identity of participating Electronic Player Stations.
    (2) No parameters shall be modified for an active progressive 
jackpot unless the jackpot has been won, or as otherwise authorized by 
the tribal gaming regulatory authority.
    (3) If the tribal gaming regulatory authority authorizes 
modification before a progressive jackpot is won, the server or 
controller shall:
    (i) Halt the operation of the progressive jackpot(s);
    (ii) Allow the parameter modifications; and then
    (iii) Restart the progressive jackpot(s).
    (4) No progressive jackpot shall be returned to its reset amount 
before it is won except as authorized by the tribal gaming regulatory 
authority. In any event, no progressive jackpot shall be reset before 
it is won unless the accumulated jackpot amount is transferred to 
another active progressive jackpot.
    (5) The server or other progressive controller shall provide a 
means of creating a progressive balancing report for each progressive 
it controls. At a minimum, that report shall provide balancing of the 
changes in coin-in meters for all participating Electronic Player 
Stations versus current progressive jackpot amount(s), plus progressive 
jackpots won. In addition, the report shall account for, and not be 
made inaccurate by, unusual events such as:
    (i) Electronic Player Station critical memory clears;
    (ii) Modification, alteration, or deletion of progressive jackpots.
    (iii) Offline equipment; or
    (iv) Multiple site jackpots.


Sec.  547.7  What are the minimum technical hardware standards 
applicable to client machines used as Electronic Player Stations?

    This section provides minimum hardware standards for all client 
machines or servers located on the casino floor and used as Electronic 
Player Stations for the play of Class II games.
    (a) FCC certification. Electronic Player Stations shall have 
obtained the relevant FCC certification(s), or the USA equivalent, 
required for equipment of its type prior to approval by the tribal 
gaming regulatory authority.
    (b) UL certification. Electronic Player Stations shall have 
obtained the relevant UL certification(s), or the USA equivalent, 
required for equipment of its type prior to approval by the tribal 
gaming regulatory authority.
    (c) Power interconnections. There shall be no mains ground 
interconnections via data cabling between devices powered from 
different wall outlets. RS-422, which is designed to operate with a 
floating ground, may be used provided that any shield or signal grounds 
are not connected to the mains ground.
    (d) Power supplies. (1) Electronic Player Stations shall employ 
power

[[Page 46345]]

supply filtering sufficient to permit continued operation at voltages 
<plus-minus>10% of 110v.
    (2) Electronic Player Stations shall employ power supply filter 
sufficient to ensure that none of the following damage or inhibit their 
operation or affect the outcome or integrity of any game, progressive 
award, or voucher, coupon, or cashless trans
    (i) Surges or dips of <plus-minus>20% of 110v of the supply 
voltage;
    (ii) Repeated switching on and off of the AC power supply; or
    (iii) Jiggling the AC cord at the wall outlet.
    (3) Electronic Player Stations may handle the power variations 
listed in paragraph (d)(2)(i) through (iii) of this section by 
intentionally shutting down or going into sleep mode.
    (4) All ratings of fuses, if any, shall be clearly stated on or in 
close proximity to the fuse holder, and switches on the power supply 
shall show On/Off positions.
    (e) Printed Circuit Boards. (1) Printed circuit boards that are 
specially manufactured or proprietary and not off-the-shelf shall 
display a unique identifier such as a serial number and revision 
number, which shall be updated to reflect new revisions or 
modifications of the board.
    (2) Switches or jumpers on all circuit boards that have the 
potential to affect the outcome or integrity of any game, progressive 
award, or voucher, coupon, or cashless transaction shall be capable of 
being sealed.
    (f) Labeling. External key-switches, locks (other than for doors), 
switches, and buttons shall be securely labeled, using stickers or 
otherwise, according to their function or the series of events they 
initiate.
    (g) Electrostatic Discharge. (1) Electronic Player Stations shall 
be constructed so that static discharges of <plus-minus>15-25 kV for 
air discharges and of <plus-minus>7.5-10 kV for contact discharges may 
cause a temporary disruption but shall not otherwise damage or inhibit 
operation or affect the outcome or integrity of any game, progressive 
award, or voucher, coupon, or cashless transaction.
    (2) Electronic Player Stations accessible to the public shall be 
constructed so that they exhibit total immunity to human body 
electrostatic discharges on all areas exposed to contact, i.e., static 
discharges of <plus-minus>15 kV for air discharges and <plus-minus>7.5 
kV for contact discharges shall not damage or inhibit operation or 
affect the outcome or integrity of any game, progressive award, or 
voucher, coupon, or cashless transaction.
    (h) Radio Frequency Interference. Electronic Player Stations shall 
be constructed so that commonly used electromagnetic emitting devices 
such as mobile phones or walkie talkies, even if such devices are 
placed upon, or immediately outside of, the cabinet, shall not damage 
or inhibit operation or affect the outcome or integrity of any game, 
progressive award, or voucher, coupon, or cashless transaction.
    (i) Magnetic Interference. Electronic Player Stations shall be 
constructed so that the application of magnetic interference of up to 
10 Gauss at a distance of 5 cm from any surface shall not damage or 
inhibit operation or affect the outcome or integrity of any game, 
progressive award, or voucher, coupon, or cashless transaction.
    (j) Cabinet and housing construction and security, generally. (1) 
Cabinets and housings shall be of a robust construction designed to 
resist determined illegal entry and to protect internal components.
    (2) Cabinets and housings shall be reasonably resistant to the 
extremes of the casino operating environment, such as liquid spills, 
smoke, and heat, such that these conditions are not capable of 
affecting the outcome or integrity of any game, progressive award, or 
voucher, coupon, or cashless transaction.
    (3) All doors, hinges, locks, seals and holes, gaps, or slots in 
the cabinet or housing exterior shall be of a robust construction 
designed to resist determined illegal entry and to protect internal 
components.
    (4) All protuberances and attachments such as buttons, 
identification plates, and labels shall be sufficiently robust to avoid 
unauthorized removal.
    (k) Construction and security of locked areas within cabinets, 
logic areas. (1) All components other than those with which the player 
interacts directly, such as buttons and entry slots for bills, 
vouchers, and coins, shall be located within the cabinet, which shall 
be locked, or in a separate locked area within the cabinet. Bill and 
coin validators shall be located within the cabinet.
    (2) Except for logic areas and locked areas that only provide 
access to lighting, locked areas within a cabinet shall be equipped 
with door access detection devices that meet the requirements of 
paragraph (m) of this section.
    (3) Locked areas within a cabinet shall be of a robust construction 
designed to resist determined illegal entry and to protect internal 
components.
    (l) Security of locked areas within cabinets. (1) The following 
components shall be housed in a separate, independently locked area 
within the cabinet:
    (i) CPU's and any other electronic components involved in the 
operation, calculation, or determination of game play and game results, 
voucher or coupon issuance or redemption, progressive parameters, or 
cashless transactions;
    (ii) All electronics involved in the calculation of game display 
and components housing display program storage media;
    (iii) All program media involved in the operation, calculation, or 
determination of game play and game results, voucher or coupon issuance 
or redemption, progressive parameters, or cashless transactions;
    (iv) Communication controller electronics and components housing 
the communication program storage media;
    (v) Interfaces and drivers for metering systems; and
    (vi) Interfaces to peripherals with money-handling or credit 
transfer capabilities.
    (2) When there are multiple locked areas within a cabinet, access 
to one shall not be possible from another except by use of a key.
    (m) Door access detection. All locked areas, including the main 
cabinet door but excluding logic areas, shall be equipped with a sensor 
or other means to detect an open door. In addition:
    (1) The door open sensor, and its components or cables, shall be 
secure against attempts to disable them or interfere with their normal 
mode of operation.
    (2) It shall not be possible to disable a door open sensor, or 
access components within, without first properly opening the door.
    (3) A door open sensor that is disconnected, tampered with, or 
fails shall be interpreted as an open door.
    (n) Touch screens. Shall be:
    (1) Resistant to scratching;
    (2) Accurate, and, once calibrated, shall maintain that accuracy 
for the manufacturer's recommended maintenance period;
    (3) Capable of re-calibration without access to the machine cabinet 
other than through the main door.
    (o) Tower lights. Electronic Player Stations shall have a light or 
lights mounted on the top of its cabinet that automatically illuminates 
when various conditions occur such as errors, alerts, hand-pay 
jackpots, and call attendant requests from players. Required tower 
light states are left to the discretion of the tribal gaming regulatory 
authority.
    (p) Audible alarms. An audible alarm is not required if a tower 
light is available to signal errors, alerts, hand-pay jackpots etc.

[[Page 46346]]

    (q) Bill validators. Nothing in this subsection is intended to 
alter, repeal, or limit the applicability of Sec. Sec.  542.7(g)(1)(i), 
542.21(e), 542.31(e), or 542.41(e) of this chapter.
    (1) Bill validators shall be of a robust construction designed to 
resist determined illegal entry, vandalism, and fraud and to be 
reasonably resistant to the extremes of the casino operating 
environments, such as liquid spills, smoke, and heat. In any event, 
bill validators shall be constructed so that physical tampering with 
the validator leaves evidence of such tampering.
    (2) Bill validators shall be able to detect the entry of valid 
bills, vouchers, coupons, or other equivalents and to provide a method 
to enable the client software to interpret and act upon valid or 
invalid input.
    (3) In so doing, bill acceptors shall:
    (i) Be electronically based and incorporate multiple, sophisticated 
detection methods to validate bills;
    (ii) Accept only valid bills, vouchers, coupons or equivalents;
    (iii) Reject and return all invalid bills, vouchers, and coupons or 
equivalents to the player; and
    (iv) Register the proper number of credits on the credit meter.
    (4) All accepted bills shall be deposited into a secure container 
or stacker that:
    (i) Sits within its own locked area within the main cabinet; and
    (ii) Is itself locked with a key that opens no other lock.
    (5) Bill validators or clients have sensors to indicate stacker 
full, stacker door open/closed, stacker removed, or bill jam.
    (6) Bill validators shall provide a means through which the client 
may detect potential cheating such as counterfeit bills or bill yo yos.
    (7) Bill validators shall employ a reliable means of transmitting 
credit values to the client. Pulse stream interface or serial 
communication without error detection and correction are not reliable 
communication methods.
    (8) Ball validators shall be disabled when the cable connecting it 
to the client machine is disabled.
    (9) A bill validator's tolerance level for accepting bills of 
varying quality and the alteration of a bill validator's checking 
procedures shall not occur without access to the Electronic Player 
Station and under conditions specified by the tribal gaming regulatory 
authority. In any event, it shall not be possible to disable validation 
features.
    (10) Access to bill validators shall only occur under conditions 
specified by the tribal gaming regulatory authority and shall cause the 
Electronic Player Station to enter disabled mode. In any event, access 
in the field shall be limited to:
    (i) Access required to clear a bill jam, which shall not provide 
access to the bill stacker unless that is the location of the jam;
    (ii) Selection of bill, coupons, vouchers, or their equivalents, 
and their limits;
    (iii) Changing approved EPROMs or downloading approved software;
    (iv) Maintenance, adjustment, and repair per approved factory 
procedures; or
    (v) Options that set the direction or orientation of acceptance.
    (11) Bill validators shall be designed to minimize the possibility 
of a loss of credits if a power outage occurs during acceptance. In no 
event shall there be during acceptance a window of time longer than one 
second in which a power outage causes a loss of credits.
    (12) Bill validators shall have a means of self verification, which 
it shall perform at each power up.
    (13) If a bill validator only accepts bills fed in a certain 
direction or orientation, this shall be clearly indicated by sufficient 
instruction such as a label with a graphical picture.
    (14) Bill validators shall not accept bills, vouchers, or their 
equivalents if any part of the validator is missing, including the 
stacker.
    (r) Coin slots, validators. (1) Coin slots and coin validators 
shall be of a robust construction designed to resist determined illegal 
entry, vandalism, and fraud and to be reasonably resistant to the 
extremes of the casino operating environment such as liquid spills, 
smoke, and heat. In any event, coin slots and coin validators shall be 
constructed so that physical tampering leaves evidence of such 
tampering.
    (2) Coin validators shall be able to detect the insertion of valid 
coins and tokens and to provide a method to enable the client to 
interpret and act upon valid or invalid input.
    (3) In so doing, coin acceptors shall be electronically based and 
incorporate sophisticated detection methods, accepting only valid coins 
and tokens and rejecting and returning all others to the player.
    (4) Coin validators shall provide a means through which client may 
detect potential cheating such as counterfeits or coin yo yos.
    (5) Access to coin validators that use flash memory or are 
otherwise reprogrammable in the field shall be permitted only under 
conditions specified by the tribal gaming regulatory authority.
    (s) Coin diverter chutes. (1) Coin chutes and diverter mechanisms 
shall be constructed to ensure that coins inserted into the client 
machine are deposited into the hopper, the cash box or the coin tray 
without jams or spillage onto the internal floor of the machine. Coin 
chutes and diverters shall be constructed so that physical tampering 
leaves evidence of such tampering.
    (2) Means shall be provided to enable the client to determine a 
coin's direction of travel so as to detect yo-yo-ing.
    (3) There shall be sufficient closed loop control to enable client 
to determine:
    (i) If a coin is traveling to a cash box or to a hopper;
    (ii) If a coin diverter has failed; and
    (iii) If an internal coin jam has occurred.
    (t) Hoppers. (1) Coin hoppers shall be located behind the locked 
main door or within another locked area.
    (2) Coin hoppers shall have or provide a means to enable the client 
to identify and act upon the following conditions:
    (i) Hopper full;
    (ii) Hopper empty;
    (iii) Hopper jam;
    (iv) Extra coin(s) paid/runaway hopper.
    (u) Printers. (1) Printers shall be located within the main cabinet 
but not in the logic area or the cash box area.
    (2) Printers shall have mechanisms to allow software to interpret 
and act upon the following conditions:
    (i) Out of paper/paper low;
    (ii) Printer jam/failure; and
    (iii) Disconnected.
    (v) External mechanisms affecting play. There shall be no external 
mechanisms such as DIP switches or jumpers that can affect the outcome 
of a play unless capable of being sealed by the tribal gaming 
regulatory authority.


Sec.  547.10  What are the minimum technical software standards 
applicable to client machines used as Electronic Player Stations?

    This section provides general software standards for clients used 
as Electronic Player Stations for the play of Class II games.
    (a) Door monitoring. Electronic Player Station shall be able to 
detect access to the following:
    (1) The main cabinet door;
    (2) Belly door(s), if different than the main cabinet door;
    (3) Drop box door(s);
    (4) Bill acceptor doors; and
    (5) Communication boards, if accessible without opening a door.
    (b) Hopper monitoring. The Electronic Player Station software shall 
be able to identify the following events, at a minimum:

[[Page 46347]]

    (1) Hopper full;
    (2) Hopper empty;
    (3) Hopper jam; and
    (4) Extra coin(s) paid/runaway hopper.
    (c) Information displays. (1) During the play of any game, the 
Electronic Player Station shall display all game results so that the 
player may see and comprehend them. This display shall also include:
    (i) The amount wagered; and
    (ii) The credit meter balance.
    (2) Between plays of any game and the start of the next play, or 
the player selects a new game option such as wager amount or card 
selection, whichever is earlier, and when there are credits on the 
credit meter, the Electronic Player Station shall display:
    (i) The total credits wagered and all prizes and total credits won 
for the last play;
    (ii) The final results for the last game played, including 
alternate displays of results, if any; and
    (iii) The default number of credits that will be wagered on the 
next play.
    (3) Prior to the play of any game, when the player has selected or 
changed game options such as wager amount or bingo card, the Electronic 
Player Station shall remove the results of the previous game or 
otherwise distinguish them from the new selections.
    (4) Following cash out payable from the hopper and until the start 
of the next play, the Electronic Player Station shall display the 
metered value of coins or tokens paid in dollars and cents or in 
credits, if the coin denomination is an exact multiple of the credit 
tokenization value.
    (5) Following cash out payable as a cancel credit and until the 
start of the next play, the Electronic Player Station shall display the 
metered value of the credits cancelled in dollars and cents or in 
credits, if the amount of the cancel credit is an exact multiple of the 
credit tokenization value.
    (6) Attract modes may be displayed if there are credits on the 
credit meter, provided that there is a means for the player to 
interrupt and return to the previous display.
    (7) Help screens may be displayed during game play provided that 
there is a means for the player to interrupt and return to the previous 
display.
    (d) Touch screen calibration and implementation. (1) The Electronic 
Player Station shall have software re-calibrating capability unless the 
touch screen is designed never to require re-calibrating.
    (2) If opening the main Electronic Player Station door affects 
touch screen calibration, there shall be a means to determine the 
accuracy of calibration when the door is closed again.
    (3) Touch screen button icons shall be sufficiently separated to 
reduce chances of selection errors due to calibration or parallax 
errors.
    (4) There shall be no hidden or undocumented buttons or touch 
points anywhere on the screen except as provided for in the game rules.
    (e) Game initiation and play. (1) Every game played on an 
Electronic Player Station shall follow and not deviate from a constant 
set of rules. Any change in rules constitutes a different game. 
Allowing variations in the size of a wager is not a change in rules.
    (2) No game shall commence, and no money or credit shall be 
accepted, on an Electronic Player Station in the presence of any fault 
condition or open door, or while the Electronic Player Station is in 
test, audit, or lock-up mode.
    (3) Credits wagered shall only come from the credit meter, which 
shall be decremented at the start of play.
    (4) The player shall initiate play of a game on an Electronic 
Player Station by pressing a button or similar input device. No 
Electronic Player Station shall automatically initiate game play.
    (5) The value of prizes awarded as a result of any game shall be 
paid in full and not truncated or rounded.
    (f) Audit mode. (1) Each Electronic Player Station shall have an 
audit mode, which shall provide access to the following information, at 
a minimum:
    (i) All meters required by Sec.  547.12;
    (ii) Last game recall information required by Sec.  547.14;
    (iii) Terminal identification;
    (iv) Software version or game identification; and
    (v) Any other game statistics maintained solely by the Electronic 
Player Station and not transferred to and maintained by the server or 
casino monitoring system.
    (2) Audit mode shall be accessible by a secure method, such as a 
key-switch, entry of a card into a card reader and verification by PIN, 
or from within the interior of the Electronic Player Station cabinet.
    (3) Meters shall be accessible by an authorized person at any time, 
except during a payout from a hopper, during a cancel credit, or during 
play (except where play is interrupted by a fault condition).
    (4) The Electronic Player Station shall disable all credit 
acceptance while in audit mode, except during coin, bill, or other 
credit acceptance testing.
    (g) Test or diagnostic mode. (1) Test mode on an Electronic Player 
Station may be entered via an appropriate instruction during Audit Mode 
or automatically upon opening the main cabinet door.
    (2) The Electronic Player Station shall clearly indicate when it is 
in test mode.
    (3) Test games run in test mode, if implemented, shall:
    (i) Not increment any meters other than a temporary on-screen 
credit meter;
    (ii) Only be available after entering a specific test game mode 
within door open mode; and
    (iii) Be clearly indicated as such and not as normal game play.
    (4) The Electronic Player Station shall disable all credit 
acceptance while in test mode, except during coin, bill, or other 
credit acceptance testing.
    (5) Exiting test mode shall terminate all tests, unless further 
input is required, which shall be clearly indicated by Electronic 
Player Station software.
    (h) Multi-game machines. Electronic Player Stations that offer 
multiple games for play shall:
    (1) Present a game selection screen that displays:
    (i) The available games;
    (ii) The means of selecting among them; and
    (iii) The full amount of the player's credit balance;
    (2) Identify the game selected or being played;
    (3) Not compel the play of a game after its selection; and
    (4) Not start a new game before the current play is complete and 
all relevant meters have been updated.
    (i) Separate storage, machine specific information. Electronic 
Player Station software shall be designed so that machine specific 
information such machine address or other configurable parameters is 
stored within in a separate device (EPROM, Flash or file for disk 
machines) as game and system software.
     (j) Program interruption and resumption. (1) Electronic Player 
Station software shall be designed so that upon any loss of power it is 
able to return to the state it was in prior to the interruption.
    (i) If in a test mode at interruption, the Electronic Player 
Station shall, on power up, complete any test that incorporates credits 
entering or leaving the machine (e.g. a hopper test) prior to 
resumption of normal operation.
    (ii) If in a fault condition at interruption, the Electronic Player 
Station shall, on power up, display the applicable fault message and 
remain locked-up, unless:
    (A) The power down is part of an error reset procedure; or
    (B) The Electronic Player Station checks for the fault condition on 
power up and detects no fault.

[[Page 46348]]

    (2) Electronic Player Station software shall be designed so that 
upon any loss of power, it shall, at a minimum:
    (i) Turn off and brake the hopper;
    (ii) Maintain the integrity of data stored in critical memory; and
    (iii) Complete its power-down routine.
    (3) Electronic Player Station software shall be designed so that 
upon program resumption after a loss of power, it:
    (i) Successfully completes any program resumption routine, 
including self tests, before beginning any communications to an 
external device;
    (ii) Tests itself for possible corruption due to failure of the 
program storage media using a minimum 16-bit Cyclic Redundancy Check 
(CRC) check;
    (iii) Checks the integrity of critical memory;
    (iv) Tests any power down routine for correct completion and 
displays an appropriate message if incorrect completion detected; and
    (v) Detects any change in the software since loss of power. If a 
change has been detected, the Electronic Player Station shall lock-up 
and display an appropriate message until it is reset by an authorized 
person.
    (4) Electronic Player Station software shall be designed so that 
when disabled in a non-fault condition during play, for example by the 
server, but without loss of power, it finishes the current play and 
allows the player to cash out.
    (k) Simultaneous inputs. The simultaneous or sequential activation 
of various inputs (such as buttons on the button panel), whether or not 
intentional, shall not adversely affect the integrity of any game.


Sec.  547.11  What are the technical standards applicable to critical 
memory?

    This section provides specific standards for the contents and 
maintenance of critical memory, which stores data essential for the 
play of Class II games.
    (a) Critical memory, location and contents. Critical memory may be 
stored on a server or on a client used as an Electronic Player Station 
and shall maintain all of the following data:
    (1) Auditing meters;
    (2) Current credits;
    (3) Electronic Player Station and game configuration data;
    (4) Last game recall information required by Sec.  547.14;
    (5) Game recall information for the current game, if incomplete;
    (6) Software state (the last normal state the Electronic Player 
Station software was in before interruption);
    (7) RNG seed(s);
    (8) Encryption keys;
    (9) Progressive jackpot parameters and current values, if 
maintained within the client or server;
    (10) The five most recent cashless transactions; and
    (11) The five last ticket transactions (redeem or print).
    (b) Maintenance. (1) Critical memory shall be implemented with a 
level of redundancy such that failure of a single component will not 
mean the loss of any data.
    (2) In the event of a disruption during updates, there shall be a 
means of defining which of the multiple available copies of data in 
critical memory is correct.
    (3) Software shall ensure that updates to meters in critical memory 
are successful and that any error(s) in one logical copy of the meters 
is not propagated through to other copies.
    (4) Critical memory shall be maintained using a methodology that 
enables errors to be identified and acted upon.
    (c) Validity checks, detection of corrupt memory. (1) The validity 
of critical memory in an Electronic Player Station shall be checked 
after:
    (i) Every restart;
    (ii) Each of the following transactions:
    (A) Bill input;
    (B) Jackpot win;
    (C) Progressive jackpot win;
    (D) Door closed; and
    (E) Any reconfiguration, download, or change of game paytable or 
denomination requiring operator intervention or action;
    (iii) Every cashless transfer;
    (iv) Every voucher print/redeem; and
    (v) Before and after a game play.
    (2) Notwithstanding the requirements of paragraph (c)(1) of this 
section, critical memory may be partitioned, and each partition may be 
verified independently when relevant data is to be changed.
    (3) Following any restart, the Electronic Player Station shall 
check the validity of critical memory and then perform a comparison 
check of all logical copies of critical memory.
    (d) Recoverable critical memory failures. (1) If upon any validity 
check failure at least one logical copy of critical memory is good, the 
software may recover critical memory data and continue game play 
provided:
    (i) All logical copies of critical memory are recreated using the 
good logical copy as a source; and
    (ii) The Electronic Player Station software verifies that the 
recreation of critical memory was successful.
    (2) If verification of recreated critical memory identifies a 
permanent physical memory failure, the error shall be handled as an 
unrecoverable critical memory failure pursuant to paragraph (e) of this 
section.
    (e) Unrecoverable critical memory failures. (1) If upon any 
validity check all logical copies of critical memory are corrupt, or if 
any verification identifies a permanent physical memory failure, the 
software shall flag a critical memory storage error.
    (2) Critical memory storage errors shall not be cleared 
automatically and shall require a full critical memory storage clear.
    (3) If the Electronic Player Station is so designed that after an 
unrecoverable memory failure it is possible to view all logical copies 
of meters, including the customer's credit meter, the Electronic Player 
Station shall highlight which are expected to be valid and which 
corrupt.
    (4) A processor installed from another Electronic Player Station, 
or a processor that has never been used, shall be considered an 
unrecoverable critical memory failure.
    (f) Critical memory resets or clears. (1) All methods of clearing 
meters or other critical memory data shall:
    (i) Require access to the logic area of the Electronic Player 
Station or other secure means authorized by the tribal gaming 
regulatory authority; and
    (ii) Initialize all bits in critical memory to their default 
states.
    (2) The default display after a critical memory reset, or upon 
entering game play mode, shall not be a winning pattern or game.
    (3) Any configuration setting entered during setup mode immediately 
following a critical memory reset shall not be able to be changed after 
the machine leaves setup mode.
    (g) Non-critical memory. Electronic Player Stations shall check 
non-critical memory upon power up.


Sec.  547.12  What are the minimum technical standards for meters?

    This section provides standards for meters on Electronic Player 
Stations used in the play of Class II games. Nothing in this section 
requires the use of electromechanical meters. Nothing prohibits the use 
of electromechanical meters, provided that they meet the requirements 
of this section.
    (a) Meter width. (1) Accounting meters shall be at least eight 
decimal digits or 32 bits wide.
    (2) Count meters shall be at least six decimal digits or 24 bits 
wide.
    (3) Credit meters shall have sufficient digits or bits to display 
the maximum prize attainable for the game, including cashless transfers 
or other external payments to the credit meter, but not hand-pay 
jackpots.

[[Page 46349]]

    (b) Rollover. Meter rollover to zero shall not corrupt data.
    (c) Meters displayed on the game screen. (1) Meters displayed on 
the game screen shall be displayed in a format which is clearly visible 
to the player and easily distinguished from the rest of the game.
    (2) A display may alternate between dollars and cents and credits, 
provided that both values are clearly visible and easily distinguished 
from one another. Such a display shall not alternate during play or 
during the incrementation of the win meter or credit meter following a 
win.
    (d) Credit meter display and function. (1) The credit meter shall 
be prominently displayed at all times in all modes except:
    (i) Audit, configuration, and test modes; and
    (ii) Temporarily, during alternate displays of game results.
    (2) When wagered, credits shall be immediately deducted from the 
credit meter.
    (3) Every prize won shall be added to the player's credit meter, 
except for hand-pays, cancel credits, progressives, or non-cash prizes. 
Progressives may be added to the credit meter if:
    (i) The credit meter is maintained in dollars and cents, or
    (ii) The progressive meter is incremented in number of credits, or
    (iii) The prize in dollars and cents is converted to credits on 
transfer to the player's credit meter in a manner that does not mislead 
the player or cause accounting imbalances; and
    (iv) The Electronic Player Station can accommodate payments that 
are not direct multiples of the game's denomination, pursuant to Sec.  
547.15(j); and
    (v) The progressive prize is less than $1,200, or other amount 
specified by the tribal gaming regulatory authority.
    (4) If the credit meter displays credits while maintaining a 
balance that includes odd cents, then the credit meter shall display 
the remaining odd cents when the balance drops below one credit.
    (5) Meters displayed to the player may be incremented or 
decremented using visual effects, but the internal storage of these 
meters shall be immediately updated in full.
    (e) Required meters. (1) The following meters shall be implemented 
in Electronic Player Stations, as applicable:

------------------------------------------------------------------------
             Title                    Description             Type
------------------------------------------------------------------------
(i) Coin In...................  The total value of all  Accounting.
                                 wagers, whether from
                                 the insertion of coin
                                 or tokens, currency,
                                 deduction from a
                                 credit meter or any
                                 other means.
(ii) Coin Out.................  The total value of all  Accounting.
                                 amounts directly paid
                                 by the machine as a
                                 result of winning
                                 wagers, whether made
                                 from the hopper, to a
                                 credit meter, or any
                                 other means.
(iii) Coins Dropped...........  The total value of      Accounting.
                                 coins or tokens
                                 diverted to the drop.
(iv) Jackpot..................  The total value of      Accounting.
                                 jackpots paid by an
                                 attendant and not
                                 capable of being paid
                                 by the machine
                                 itself. This does not
                                 include progressive
                                 amounts. This meter
                                 is only to include
                                 awards resulting from
                                 a specifically
                                 identified amount
                                 listed in the
                                 manufacturer's par
                                 sheet.
(v) Canceled Credits..........  The total value paid    Accounting.
                                 by an attendant
                                 resulting from a
                                 player initiated cash-
                                 out that exceeds the
                                 physical or
                                 configured capability
                                 of the machine to
                                 make the proper
                                 payout amount.
(vi) Physical Coin In.........  The total value of      Accounting.
                                 coins or tokens
                                 inserted into the
                                 Electronic Player
                                 Station.
(vii) Physical Coin Out.......  The total value of      Accounting.
                                 coins or tokens paid
                                 out by the hopper.
(viii) Bill In................  The total value of the  Accounting.
                                 currency accepted.
(ix) Bill Out.................  The total value of      Accounting.
                                 currency dispensed,
                                 if the Electronic
                                 Player Station has a
                                 currency dispenser.
(x) Bill in Count.............  The total number of     Count/
                                 each bill               Accounting.
                                 denomination accepted.
(xi) Voucher In...............  The total value of all  Accounting.
                                 wagering vouchers and
                                 payout receipts
                                 accepted by the
                                 machine.
(xii) Voucher Out.............  The total value of all  Accounting.
                                 wagering vouchers and
                                 payout receipts
                                 issued by the machine.
(xiii) Cashless In............  The total value of      Accounting.
                                 cashable credits
                                 electronically
                                 transferred to the
                                 Electronic Player
                                 Station from a
                                 cashless wagering
                                 system.
(xiv) Cashless Out............  The total value of      Accounting.
                                 cashable credits
                                 electronically
                                 transferred from the
                                 Electronic Player
                                 Station to a cashless
                                 wagering system.
(xv) Games Played.............  The cumulative number   Count.
                                 of games played since
                                 the last critical
                                 memory clear.
(xvi) Cabinet Door Open.......  The number of times     Count.
                                 the front cabinet
                                 door has been opened.
(xvii) Drop Door Open.........  The number of times     Count.
                                 the drop door or the
                                 bill acceptor door
                                 has been opened.
(xviii) Attendant Paid          The total value of      Accounting.
 Progressive Payout.             credits paid by an
                                 attendant as a result
                                 of progressive awards
                                 that are not capable
                                 of being paid by the
                                 machine itself.
(xix) Machine Paid Progressive  The total value of      Accounting.
 Payout.                         credits paid as a
                                 result of progressive
                                 awards paid directly
                                 by the machine.
(xx) Games Won................  The cumulative number   Count.
                                 of all games won.
(xxi) Games Lost..............  The cumulative number   Count.
                                 of all games lost.
------------------------------------------------------------------------

    (2) When an Electronic Player Station offers multiple paytables for 
play, the following meters shall be implemented, for each paytable, and 
the meter information shall be available both at the Electronic Player 
Station and the server:

------------------------------------------------------------------------
             Title                    Description             Type
------------------------------------------------------------------------
(i) Coin In...................  The total value of all  Accounting.
                                 wagers for this
                                 paytable.
(ii) Machine Paid Paytable....  The total value of all  Accounting.
                                 amounts for this
                                 paytable directly
                                 paid by the machine
                                 as a result of
                                 paytable winning
                                 wagers.
(iii) Machine Paid Progressive  The total value of      Accounting.
                                 credits for this
                                 paytable paid
                                 directly to the
                                 machine as a result
                                 of progressive awards.
(iv) Attendant Paid Paytable..  The total value of all  Accounting.
                                 amounts for this
                                 paytable paid by an
                                 attendant as a result
                                 of paytable winning
                                 wagers.

[[Page 46350]]

 
(v) Attendant Paid Progressive  The total value of      Accounting.
                                 credits for this
                                 paytable paid by an
                                 attendant as a result
                                 of progressive awards.
(vi) Games Won................  The cumulative number   Count.
                                 of games won for this
                                 paytable.
(vii) Games Lost..............  The cumulative number   Count.
                                 of games lost for
                                 this paytable.
------------------------------------------------------------------------

    (3) If an Electronic Player Station supports promotional coupons or 
non-cashable credits, the following meters shall be implemented:

------------------------------------------------------------------------
             Title                    Description             Type
------------------------------------------------------------------------
(i) Non-Cashable Promotion In.  The total value of non- Accounting.
                                 cashable credits
                                 placed on the
                                 Electronic Player
                                 Station by insertion
                                 of a promotional
                                 coupon or
                                 electronically
                                 transferred to the
                                 Electronic Player
                                 Station from a
                                 promotional account
                                 by means of an
                                 external connection
                                 between the machine
                                 and a cashless
                                 wagering system.
(ii) Cashable Promotion In....  The total value of      Accounting.
                                 cashable credits
                                 placed on the
                                 Electronic Player
                                 Station by insertion
                                 of a promotional
                                 coupon or
                                 electronically
                                 transferred to the
                                 electronic player
                                 station from a
                                 promotional account
                                 by means of an
                                 external connection
                                 between the machine
                                 and a cashless
                                 wagering system.
(iii) Non-Cashable Promotion    The total value of non- Accounting.
 Out.                            cashable credits
                                 redeemed by an
                                 Electronic Player
                                 Station issuing a
                                 promotional coupon or
                                 electronically
                                 transferred from the
                                 electronic player
                                 station to a
                                 promotional account
                                 by means of an
                                 external connection
                                 between the machine
                                 and a cashless
                                 wagering system.
(iv) Cashable Promotion Out...  The total value of      Accounting.
                                 cashable credits
                                 redeemed by an
                                 Electronic Player
                                 Station issuing a
                                 promotional coupon or
                                 electronically
                                 transferred from the
                                 electronic player
                                 station to a
                                 promotional account
                                 by means of an
                                 external connection
                                 between the machine
                                 and a cashless
                                 wagering system.
------------------------------------------------------------------------

    (f) Meter updates. (1) Meters shall be updated upon the occurrence 
of the metered event.
    (2) Updating multiple meters shall occur before display on the 
Electronic Player Station or response to a meters request from a casino 
monitoring system.


Sec.  547.13  What are the minimum standards for Electronic Player 
Station events?

    This section provides standards for events such as faults, 
deactivation, door open or other changes of states, and lockup on 
Electronic Player Stations used in the play of Class II games.
    (a) Faults, generally.
    (1) The following faults are to be treated as events:

------------------------------------------------------------------------
               Fault                  Definition and action to be taken
------------------------------------------------------------------------
(i) Coin Yo-Yo....................  Inserted coin detected moving in the
                                     incorrect direction.
                                    (A) A single coin yo-yo may be
                                     treated as an information only
                                     event.
                                    (B) Consecutive coin yo-yos are to
                                     lead to an Electronic Player
                                     Station fault condition.
(ii) Coin-in Jam..................  Coin detected not moving--e.g.
                                     sensors are continually blocked.
(iii) Coin to Cashbox or Diverter   Multiple coins detected going to the
 Fault.                              cashbox instead of the hopper, or
                                     vice-versa.
(iv) Hopper Empty.................  Coins not passing a hopper output
                                     sensor within a specified time.
(v) Hopper Jam....................  The hopper output sensor(s) are
                                     blocked.
(vi) Extra Coin Paid..............  Single coin passed hopper sensor
                                     after hopper payout completed.
(vii) Hopper Run-away.............  Multiple coins passing hopper
                                     sensor.
(viii) External Peripheral          Any peripheral controller fault or
 Controller Fault/Disconnect.        communications failure.
(ix) Printer Paper Low............  The printer paper will soon be
                                     exhausted.
                                    (A) Lock up the Electronic Player
                                     Station upon completion of a
                                     predetermined number of tickets
                                     calculated to ensure ``Paper Out''
                                     is not possible. If a paper-out
                                     sensor is also provided then
                                     ``Paper Low'' results only in a
                                     message.
                                    (B) Note that if an Electronic
                                     Player Station has a printer it
                                     shall have a Paper Low or Paper Out
                                     sensor, or both.
(x) Printer Paper Out.............  The printer paper has been
                                     exhausted. The Electronic Player
                                     Station shall lock-up until the
                                     paper out state is cleared.
(xi) Printer Jammed...............  The printer paper is not feeding
                                     correctly.
(xii) Low CMOS RAM Back-up Battery  Back-up RAM Battery has reached a
                                     voltage where back-up will become
                                     unreliable soon.
                                    (A) A message stating that the
                                     repairer shall be called shall be
                                     displayed.
                                    (B) The Electronic Player Station
                                     shall lock-up.
(xiii) Critical RAM Errors,         Some critical RAM error has
 Mismatch.                           occurred: When a non-correctable
                                     RAM error has occurred, the data on
                                     the Electronic Player Station can
                                     no longer be considered reliable.
                                     Accordingly, any communication to
                                     external devices shall cease
                                     immediately, and an appropriate
                                     message shall be displayed.
(xiv) EEPROM Error................  An EEPROM error has occurred.
                                    --As for Critical RAM errors--
(xv) Program storage medium fault.  The software has failed its own
                                     internal security check.
                                    Any communication to external
                                     devices shall cease immediately.
                                    An appropriate message shall be
                                     displayed, if possible.

[[Page 46351]]

 
                                    No modifications to critical meters
                                     in RAM shall be possible.
                                    The Electronic Player Station shall
                                     lock-up until corrected.
(xvi) Progressive communications    Communications with the device or
 lost.                               system that is controlling the
                                     progressive(s) has failed.
(xvii) Progressive levels mismatch  An Electronic Player Station or
                                     server has a different number of
                                     progressive levels configured than
                                     the device or systems that is
                                     controlling the progressive(s).
(xviii) Game meter/progressive      There is a difference in progressive
 meter mismatch.                     amount between an in-machine game
                                     meter and the progressive
                                     controller.
------------------------------------------------------------------------

    (2) Upon the occurrence of any fault identified in paragraph (a)(1) 
of this section, the Electronic Player Station shall, unless otherwise 
specified in paragraph (a)(1) of this section:
    (i) Display a message that the event has occurred;
    (ii) Disable all player inputs, including coin and bill input, 
except the service call button, if any;
    (iii) Sound an identifiable alarm for at least 1.5 seconds or 
illuminate the tower light;
    (iv) Save any incomplete game play in its current condition; and
    (v) If in hopper payout, the turn off and brake the hopper.
    (3) Upon clearing any fault identified in paragraph (a)(1) of this 
section, the Electronic Player Station shall:
    (i) Remove the event message;
    (ii) Enable all player inputs;
    (iii) Turn off the alarm or tower light; and
    (iv) Recommence game play from the beginning of the play, or from 
the point at which interruption occurred, using saved data, and 
conclude normally.
    (b) Door open/close events. (1) The following door open or close 
conditions are to be treated as events:

------------------------------------------------------------------------
               Event                             Definition
------------------------------------------------------------------------
(i) Electronic Player Station Door  The main cabinet door is open.
 Open.
(ii) Cash box Door Open...........  The cash box door is open.
(iii) Other Secure Area Accessed..  Any other secure area has been
                                     accessed.
(iv) Electronic Player Station      The main cabinet door has closed.
 Door Closed.
(v) Cash box Door Closed..........  The cash box door has closed.
(vi) Other Secure Area Secured....  Previously accessed secure area has
                                     been secured.
------------------------------------------------------------------------

    (2) The Electronic Player Station shall perform the following on 
any door open event:
    (i) Save any software state prior to door opening;
    (ii) Save any game play in its current incomplete condition;
    (iii) Indicate that a door is open;
    (iv) Disable all credit input, but credit input may be enabled for 
the duration of any credit input test or hopper test;
    (v) Disable all game play;
    (vi) Disable and brake hopper if the hopper is running, but the 
hopper may be enabled for the duration of a hopper test;
    (vii) Disable all player inputs, but player inputs may be enabled 
in door open/test mode;
    (viii) Disable cash out; and
    (ix) Sound an identifiable alarm for at least 1.5 seconds or 
illuminate the tower light.
    (3) The Electronic Player Station shall perform the following when 
all doors are closed:
    (i) Return to the software state saved upon door open;
    (ii) Indicate, for 10 seconds or until the next game play, that the 
doors are closed;
    (iii) Enable player inputs;
    (iv) Turn off alarm or tower light; and
    (v) Recommence game play from the beginning of the play, or from 
the point at which interruption occurred, using saved data, and 
conclude normally.
    (c) Bill validator events. (1) The following bill validator events 
shall be treated as faults:
    (i) Bill door open open/closed
    (ii) Bill container or stacker removed
    (iii) Fault
    (iv) Bill jam
    (v) Bill Yo-Yo
    (vi) Bill container or stacker full
    (vii) Bill validator cable disconnected
    (viii) Bill validator self-check failure
    (2)(i) Upon the occurrence of any fault identified in paragraph 
(c)(1) of this section, the Electronic Player Station shall:
    (A) Display a message or other indication that the event has 
occurred;
    (B) Sound an identifiable alarm for at least 1.5 seconds or 
illuminate the tower light; and
    (C) Disable bill input.
    (ii) Game play may continue, except upon the occurrence of a bill 
jam or door open, container or stacker removed, or cable disconnected 
event, in which case the Electronic Player Station shall disable all 
player inputs and the ability to cash out.
    (3) Bill validator faults may not be automatically cleared but 
shall require operator intervention.
    (4) Upon clearing any fault identified in paragraph (a)(1) of this 
section, the Electronic Player Station shall, as appropriate:
    (i) Remove the event message;
    (ii) Turn off the alarm or tower light; and
    (iii) Enable bill input, all player inputs, and cash out.
    (d) Non-fault events. For the following non-fault events, the 
Electronic Player Station shall take the following actions:

------------------------------------------------------------------------
               Event                               Action
------------------------------------------------------------------------
(1) Electronic Player Station       (i) Game play shall be saved in its
 Power Off During Play.              current incomplete condition (wins
                                     shall only be paid on subsequent
                                     power up).
(2) Power Off During Play.........  (ii) If in hopper payout, disable
                                     and brake hopper.

[[Page 46352]]

 
(3) Electronic Player Station       (i) Enable player inputs.
 Power On.
                                    (ii) Recommence game play from the
                                     beginning of the play, or from the
                                     point at which interruption
                                     occurred, using saved data, and
                                     conclude normally.
(4) Linked Progressive Award......  (i) Display appropriate message.
                                    (ii) Unless the prize is transferred
                                     to the player's credit meter, lock-
                                     up until the award paid by
                                     attendant.
(5) Jackpot Win...................  For any prize equaling or exceeding
                                     an amount set by the tribal gaming
                                     regulatory authority, lock-up until
                                     the award paid by attendant.
(6) Maximum Hopper Pay out          Lock up until cancel credit and full
 Exceeded.                           amount paid manually.
------------------------------------------------------------------------

Sec.  547.14  What are the minimum technical standards for last game 
recall?

    This section provides standards for last game recall information on 
Electronic Player Stations used in the play of Class II games.
    (a) Game recall, generally. (1) The Electronic Player Station shall 
make game recall information retrievable at all times upon the 
operation of an external key-switch, entry of an audit card, or other 
similar method.
    (2) The Electronic Player Station shall be able to show the player 
the results of recalled games as the player originally saw them and 
enable the tribal gaming regulatory authority or operator to clearly 
identify the game sequences and results that occurred.
    (3) The Electronic Player Station shall, upon return to normal game 
play mode, restore the display to the positions, forms and values 
displayed before access to the game recall information.
    (b) Game recall information. Electronic Player Stations shall be 
able to display the following information for the last five games 
played and shall display all values, even if zero:
    (1) The total number of credits at the start of play, less credits 
bet;
    (2) The total number of credits bet;
    (3) The total number of credits at the end of play;
    (4) The total number of credits won as a result of the game 
recalled, and the value in dollars and cents for progressive prizes, if 
different;
    (5) The total number of credits added, separated by coins or 
tokens, bills, vouchers and cashless transfer, since the end of the 
previous play and through to the end of the last play;
    (6) The total number of credits redeemed, separated by coins or 
tokens, vouchers, and cashless transfer, since the end of the previous 
play and through to the end of the last play;
    (7) The total value of cancelled credits, in dollars and cents, 
since the end of the previous play and through to the end of the last 
play;
    (8) The value of all accounting meters as at the end of the last 
play;
    (9) For bingo games and games similar to bingo only:
    (i) The card(s) used by each player;
    (ii) The number of the bingo game played;
    (iii) The numbers drawn, in the order that they were drawn;
    (iv) The numbers and prize patterns covered on each card;
    (v) The patterns slept during the game;
    (vi) All prizes won and winning patterns; and
    (vii) The number of the card on which prizes were won;
    (10) For pull-tabs games only:
    (i) The result(s) of each pull-tab, displayed in the same pattern 
as on the tangible pull-tab; and
    (ii) All prizes won.
    (11) Any other information necessary to fully reconstruct the last 
five plays.
    (c) Voucher and credit transfer recall. Notwithstanding the 
requirements of any other section in this part, an Electronic Player 
Station shall have the capacity to:
    (1) Display the information specified in Sec.  547.15(h)(3)(ii) 
through (vi) for the last five vouchers printed and the last five 
vouchers accepted; and
    (2) Display a complete transaction history for the last five 
cashless transfers made and the last five cashless transfers accepted.


Sec.  547.15  What are the minimum technical standards for money and 
credit handling?

    This section provides standards for money and credit handling by 
Electronic Player Stations used in the play of Class II games.
    (a) Credit acceptance, generally. (1) The Electronic Player Station 
shall disable all credit acceptance in the presence of any fault or 
while in audit or test mode, except for coin, bill, or other credit 
acceptance testing.
    (2) The Electronic Player Station shall register the correct number 
of credits on the credit meter upon any credit acceptance.
    (b) Credit acceptance, coins and tokens. (1) The Electronic Player 
Station shall register the actual value or number of credits on the 
credit meter upon insertion of a valid coin or token.
    (2) The Electronic Player Station shall accurately count each valid 
coin token at the highest speed in which the coins or tokens may be fed 
into the Electronic Player Station.
    (3) The Electronic Player Station shall reject coins or tokens 
deemed invalid by the validator.
    (4) If a hopper is present, the Electronic Player Station shall:
    (i) Cause the diverter to direct coins to the cash box when the 
hopper is full; and
    (ii) Continually monitor the hopper full detector to determine 
whether a change in diverter status is required. If the state of the 
detector changes, the diverter shall operate as soon as possible after 
the state change without causing a disruption of coin flow or creating 
a coin jam.
    (c) Credit acceptance, bills. (1) The Electronic Player Station 
shall always register bills, coupons, vouchers, or their equivalents on 
the credit meter if they are input during game play.
    (2) The Electronic Player Station shall not register credits on the 
credit meter until:
    (i) The bill, coupon, voucher or other equivalent has passed the 
point where it is accepted and stacked; and
    (ii) It has received a ``stacked'' message from the bill acceptor.
    (3) The Electronic Player Station shall have a means of handling 
simultaneous insertion of bills (and vouchers and their equivalents) 
into the bill acceptor and coins (or tokens) into the coin slot, such 
that the proper number of credits is always registered. In complying 
with this requirement, the Electronic Player Station may reject and 
return either the bill or coin or both.
    (d) Credit acceptance, vouchers. Nothing in this paragraph (d) is 
intended to alter, repeal, or limit the applicability of Sec. Sec.  
542.13(n), 542.21(f), 542.31(f), or 542.41(f) of this chapter.
    (1) The Electronic Player Station shall be able to detect the entry 
of a valid voucher.
    (i) If valid, the voucher serial number is transmitted to the 
voucher validation system.

[[Page 46353]]

    (ii) If not valid, the voucher shall be rejected and returned to 
the player.
    (2) The voucher payment system shall verify the authenticity of the 
voucher and ensure that payment is pending. If the voucher is valid:
    (i) The voucher payment system will communicate a success message, 
including the amount to be paid, back to the Electronic Player Station.
    (ii) The Electronic Player Station will determine if it can accept 
or handle the amount transferred.
    (A) If it cannot, the Electronic Player Station shall send a reject 
message to the voucher payment system and return the ticket to the 
player.
    (B) If it can accept or handle the amount transferred, the 
Electronic Player Station shall register credits on the credit meter, 
stack the voucher, and handle odd cents pursuant to paragraph (j) of 
this section.
    (e) Credit redemption generally. Electronic Player Stations shall 
allow players to cash out or redeem credits at any time other than:
    (1) During the play of a game;
    (2) While the Electronic Player Station is in audit mode or any 
test mode;
    (3) While any door open condition exists;
    (4) While the credit meter or total wins meter is incrementing;
    (5) While the Electronic Player Station is disabled; and
    (6) While any fault condition exists, excluding:
    (i) Ticket printer failure or printer paper error;
    (ii) Progressive controller failure;
    (iii) Bill acceptor full.
    (f) Credit redemption, cancel credit / hand-pay jackpots. (1) A 
cancel credit / hand-pay shall occur:
    (i) In the absence of a voucher printer and upon the occurrence of 
a jackpot larger than the maximum jackpot payable from the hopper, as 
determined by the tribal gaming regulatory authority;
    (ii) In the absence of a voucher printer and upon the occurrence of 
a cash out request when the credits registered on the credit meter 
exceed the maximum amount payable from the hopper, as determined by the 
tribal gaming regulatory authority;
    (iii) In the absence of a functioning voucher printer and hopper, 
upon the occurrence of any cash out request;
    (iv) Upon a manual override to force a cancel credit or hand-pay 
when a voucher is not wanted; and
    (v) When the amount on the credit meter is not a direct multiple of 
the coin value contained within the hopper--in this case, the 
Electronic Player Station may dispense all possible coins from the 
hopper and leave only the final odd cents or residual credit;
    (vi) Upon the occurrence of a jackpot, or combination of prizes 
awarded in a single game, of $1,200 or more; or
    (vii) Upon the any other circumstance required by the tribal gaming 
regulatory authority.
    (2) Upon the occurrence of a cancel credit or hand-pay jackpot, the 
Electronic Player Station shall:
    (i) Automatically lock-up and display a ``call attendant'' or other 
message describing the condition;
    (ii) Remain in the lock-up state until the credits have been 
cancelled by manual intervention or the player exits from the cancel 
credit state and resumes play, except that the player shall not be able 
to exit upon the occurrence of a jackpot, or combination of prizes 
awarded in a single game, of $1,200 or more and requiring the issuance 
of a W-2G;
    (iii) Display the cancel credit hand-pay amount in dollars and 
cents; and
    (iv) When cancel credit or hand-pay has been completed, the credit 
meter shall be set to zero, the lock-up state exited, and the cancel 
credit meter incremented by the amount cancelled or paid.
    (g) Credit redemption, coins or tokens from the hopper. (1) Once 
initiated, the player shall not be able to cancel, pause, or otherwise 
control payment from the hopper.
    (2) Each coin paid from the hopper shall be registered on the 
physical coin out meter and be decremented from the player's credit 
meter.
    (h) Credit redemption, vouchers. Nothing in this paragraph (h) 
shall alter, repeal, or limit the applicability of Sec.  542.13(n) of 
this chapter. In addition, credit redemption by ticket voucher shall 
conform to the following:
    (1) An Electronic Player Station may redeem credits by printed 
voucher when it communicates with a voucher payment system that 
validates the voucher.
    (2) An Electronic Player Station that redeems credits with printed 
vouchers shall either:
    (i) Maintain an electronic record of all information required by 
Sec.  547.15(h)(3)(ii) through (vi); or
    (ii) Generate two identical copies of each voucher printed, one to 
be provided to the player and the other to be retained within the 
machine for audit purposes.
    (3) Valid vouchers shall contain the following:
    (i) Gaming operation name, city and state, reservation, or 
territory;
    (ii) Electronic player station number or printer station number, as 
applicable;
    (iii) Date and time of issuance;
    (iv) Alpha and numeric dollar amount;
    (v) A sequence number;
    (vi) A validation number, although
    (A) No ticket validation number shall be repeated, even upon a 
total replacement of the electronic player station, and
    (B) Ticket validation numbers shall have some form of checkcode or 
other form of information redundancy to prevent prediction of 
subsequent validation numbers without knowledge of the checkcode 
algorithm and parameters;
    (vii) A second printing of validation number on the leading edge of 
the voucher or coupon; (viii) A bar code or other form of machine 
readable markings, which shall have enough redundancy and error 
checking to ensure that 99.9% of all misreads are flagged as errors;
    (ix) Transaction type or other method of differentiating ticket 
types; and
    (x) Expiration period or date when voucher or coupon will expire.
    (i) Cashless credit transfers. (1) Transfers from a cashless 
account may not exceed the balance of that account.
    (2) The Electronic Player Station software shall be designed to 
have a secure method of identifying a cashless account in order to 
redeem credits and transfer them to that account, even in the event a 
player's account card has been abnormally removed or there is a loss of 
power.
    (j) Credit transfers not multiples of game denomination. For games 
not metered in dollars and cents, the Electronic Player Station shall 
handle credit transfers from voucher systems or cashless systems that 
are not multiples of the game denomination in one of the following 
ways:
    (1) Reject the transfer and any voucher input.
    (2) Redeem the odd cents by printing a voucher by cashless transfer 
back to the cashless system. The Electronic Player Station may redeem 
the odd cents immediately or after the player finishes playing, 
provided in the latter case that the odd cents are displayed to the 
player in accordance with Sec.  547.12(d)(4).
    (k) Cards used as account identifiers. Nothing in this paragraph 
(k) is intended to alter, repeal, or limit the applicability of Sec.  
542.13(o) of this chapter.
    (1) Multiple-use Simple Magnetic Stripe Cards. If the card media is 
a simple magnetic stripe card designed for repeated, rather than 
single, use in the manner of a voucher, additional security protection 
to that of reading the

[[Page 46354]]

magnetic stripe is required. At a minimum, the entry of a PIN, 
selectable by the patron, is required when an amount of money can be 
withdrawn from an account.
    (2) Card Locking Mechanisms. Except if an amount debited from a 
card or account is placed directly on the credit meter and no further 
transactions are required from the card or account, the Electronic 
Player Station shall activate a locking mechanism to retain a card 
within the reading device, and lock a card into the unit once inserted, 
until one of the following conditions is met:
    (i) The player has requested a collect of remaining credits and all 
updating of meters and account records has been successfully completed.
    (ii) The player has a zero credit balance and updating of all 
meters and account records has been completed successfully.
    (iii) An invalid card condition has been cleared by an approved 
method.
    (iv) A power or communications failure of the Electronic Player 
Station. In this instance, the meter and accounting information shall 
be updated by the cashless system before logically releasing the card.


Sec.  547.16  What are the minimum technical standards applicable both 
to clients and servers or to client-server implementations generally?

    This section provides minimum software standards common both to 
servers and clients, wherever located, and used in the play of Class II 
games. It also provides minimum standards for client-server 
implementations used in the play of Class II games.
    (a) Client enable / disable requirements. (1) Electronic Player 
Stations shall be in a disabled state following:
    (i) An application start or restart;
    (ii) A system start; and
    (iii) A system start from a standby, sleep, or hibernating mode.
    (2) Electronic Player Stations shall remain in the disabled state 
until they receive an ``enable'' command from the server.
    (3) Electronic Player Stations shall not immediately enable on 
receipt of a server ``enable'' command if a door open or other disabled 
state is still present when the enable instruction is received from the 
server, but may enable itself after all alarms are cleared.
    (b) Automatic operation of programs. Software used with play of 
Class II games shall automatically restart, without the need for 
operator intervention, when the computer on which they operate starts 
or restarts.
    (c) Load requirements. (1) Under high or maximum loads:
    (i) The server or client shall not provide misleading information 
to players.
    (ii) Information stored in the client or server shall not become 
corrupted.
    (iii) Random number generators shall continue to perform correctly.
    (iv) Game outcome decisions shall not be affected except for speed 
degradation.
    (2) The client-server system shall function correctly after it has 
recovered from an excessive load.
    (3) Recovery from excessive load may involve a system restart.
    (d) Memory requirements. (1) Servers and clients may implement 
memory in any form, including random access memory of any kind, 
writeable flash, memory sticks, PCMCIA memory, and writable disks.
    (2) Memory data storage shall be capable of preserving its contents 
for at least 90 days with power removed.
    (3) Memory backup power sources, which may be rechargeable or non-
rechargeable, shall meet the following conditions:
    (i) Shall have the ability to fully recharge within 24 hours, if 
rechargeable; and
    (ii) Shall have a life span of at least five years.
    (4) Random access memory that uses an off-chip battery backup shall 
provide a method for the Electronic Player Station software to:
    (i) Check for battery low/battery fail conditions on every power up 
and, at a minimum, every 24 hours; and
    (ii) Interpret and act upon a battery low/battery fail condition.
    (e) Network requirements. (1) Network infrastructure shall ensure 
that only gaming-related equipment can make a data-link layer 
connection to server or clients. For the purposes of this subsection, 
``gaming-related equipment'' means:
    (i) Casino monitoring systems;
    (ii) Cashless gaming systems;
    (iii) Voucher payment systems;
    (iv) Player tracking systems;
    (v) Progressive jackpot systems or controllers; or
    (vi) Any other gaming-related equipment approved by the tribal 
gaming regulatory authority.
    (2) If servers or clients are also connected to non-gaming 
computers, data may only transfer from the servers and clients to the 
non-gaming equipment. This shall be implemented through:
    (i) Internal controls approved by the tribal gaming regulatory 
authority; and
    (ii) Configuration of firewall devices so that only the servers and 
clients can establish the connection to be used for the data transfer.
    (3) The network infrastructure shall report an event each time a 
data-link level connection is established or broken to a client or 
server. These events may be raised at the server, casino monitoring 
system or network control terminal.
    (f) Communications protocol requirements. The following 
requirements apply to the communications within the client-server 
domain:
    (1) Extensible protocols are permitted provided that any recipient 
shall explicitly reject options, commands, and responses that it does 
not support.
    (2) The communications protocol shall be designed to support 
delivery of all data, including after a restart of a system component. 
The protocol is not required to support delivery in the case of a total 
failure of a system before all data is sent.
    (3) The protocol shall ensure the correct delivery of data to the 
application in the order that the data was sent and without loss or 
duplication.
    (4) The communications protocol shall be designed and implemented 
so there is no noticeable degradation of data integrity at bit error 
rates of 1 in 10\6\.
    (g) Failure/recovery requirements. (1) Client-server domains used 
in the play of Class II games shall provide a level of redundancy and a 
means of recovery such that the occurrence of any of the following will 
not lead to the loss of, or prevent recovery of, data stored in 
critical memory, including credit balance:
    (i) Catastrophic client failure or failure of primary client 
components such as hard disks or other primary storage devices;
    (ii) Catastrophic server failure, including replacement of server 
hardware or primary components; and
    (iii) Total power failure, unless duplicated uninterruptible power 
supplies (UPSs) of requisite capacity are part of the domain 
specifications.


Sec.  547.17  What are the minimum technical standards for the Formal 
Application Configuration document and verification tool?

    This section provides minimum standards for the Formal Application 
Configuration (FAC) document and verification tool required for 
submission of equipment, software, or modifications of equipment or 
software used with the play of Class II games to a test laboratory and 
to a tribal gaming regulatory authority pursuant to Sec.  547.4(b)(2)-
(4); for verification of game software on clients and servers pursuant 
to

[[Page 46355]]

Sec.  547.18(a)(6) and Sec.  547.19(b)(3); and EPROM control standards 
pursuant to Sec.  542.13(g) of this chapter.
    (a) Contents of the FAC document. (1) The Formal Application 
Configuration (FAC) document shall include a detailed file and 
directory listing of all of the following software, as applicable:
    (i) .EXE, .DLL, .JAR and other executable files and their necessary 
components;
    (ii) Scripts;
    (iii) Stored database procedures;
    (iv) Fixed parameter files affecting any game outcome, game 
mathematics, game denomination, or available prizes (excluding 
parameters expected to periodically change);
    (v) Batch files;
    (vi) Fixed data and graphic information;
    (vii) Reports used to verify the correct working of the game 
software;
    (viii) Compressed files expanded to be any of these; and
    (ix) Any other software required by the tribal gaming regulatory 
authority.
    (2) For all software listed in paragraph (a)(1) of this section, 
the FAC document shall include a signature or hash value calculated 
using an algorithm that meets the requirements of Sec.  547.23(c). If 
the algorithm uses signature seeds (algorithm coefficients), each FAC 
record shall contain the signature result for each seed maintained by 
the verifying tool. Alternatively, the FAC document may contain a list 
of controlled directories and a signature value for each such directory 
as calculated by the verification tool.
    (3) The FAC document shall identify all files that, if discovered 
to be altered or missing by the verification tool, require a shutdown 
of the server or client.
    (4) The FAC document shall be labeled with a unique identifier 
indicating the software with which it is associated.
    (5) The FAC document shall describe in detail the verification tool 
associated with it.
    (b) FAC verification tool, generally. No particular implementation 
is required, unless required by the tribal gaming regulatory authority. 
Verification tools may include third-party program storage (ROM) 
verification devices; commonly available third-party signature 
algorithms; hashing formulas such as SHA-1, provided that they use a 
seed of not less than four digits as a part of the calculation; or any 
other implementation that meets the requirements of this section and 
contains or is able to access the listing of game software files, 
directories, and signatures presented in the FAC document for the 
purposes of comparison and verification.
    (c) FAC verification tool, general methodology. The FAC 
verification tool shall be capable of:
    (1) Searching through the directory structure of the game program 
storage media;
    (2) Performing and reporting signature checks on files individually 
or on entire directories in the game software using an algorithm that:
    (i) Meets the hashing requirements specified Sec.  547.23(c);
    (ii) Processes individual software components, fixed data 
components, and entire software suites; and
    (iii) Is capable of using a seeding methodology that will allow for 
a random or manually selected seed as part of the signature 
calculation--if the algorithm requires signature seeds, these shall be 
manually entered or selected from an external device or randomly 
selected from a pool of seeds and checksums;
    (3) Comparing files and directories in the game software, or their 
signatures, with the files and directories, or their signatures, in the 
FAC listing provided in the FAC document.
    (4) Reporting file names, time and date stamps, and size for all 
files and directories;
    (5) Reporting the following error conditions, which shall be logged 
and reported to the tribal gaming regulatory authority:
    (i) Mismatching or modified files and directories;
    (ii) Files or directories present in the game software but not in 
the FAC listing; and
    (iii) Files or directories present in the FAC listing but not the 
game software;
    (6) And any other requirements specified by the tribal gaming 
regulatory authority.
    (d) FAC verification tool, specific requirements. Notwithstanding 
the requirements of paragraphs (b) through (c) of this section, the 
implementation of the verification tool shall meet the following 
requirements:
    (1) The verification tool shall not be spoofed by a program or 
thread operating on the hardware and software under test; and
    (2) The FAC listing in, or available to, the verification tool 
shall be encrypted using a methodology that satisfies the requirements 
of Sec.  547.23(b).
    (e) FAC verification tool, external locations. (1) The verification 
tool may reside on a medium external to the Class II client-server 
implementation.
    (2) [Reserved]
    (f) FAC verification tool located on a server. The verification 
tool may reside on a server. In such a case:
    (1) The server shall contain the FAC listings for each client.
    (2) The server shall initiate verification of the client by passing 
the FAC without signatures to the client.
    (3) The client shall pass the signature results to the server for 
verification.
    (4) Errors and warnings identified during the test shall be logged 
on the server or an external monitoring system and reported to the 
screen of the server. Failure or error on critical software files does 
not require that the device be immediately disabled unless the check 
failure occurs immediately after the software download verification 
required by Sec.  547.18(a)(6).
    (g) FAC self-verification. A server or client may self verify, i.e. 
use a verification located on that server or client for the purpose of 
checking the software it contains, provided that:
    (1) One or more base devices at the beginning of a chain of 
security verify peer devices, and the base device(s) are themselves 
verified by some external means. An example of such a technique is when 
the Boot ROM for a PC is modified to check running versions of software 
before enabling this software to run; the Boot ROM could be in a 
removable EPROM which could be verified by an external EPROM verifier.
    (2) The verification tool is itself verified by the gaming 
laboratory and the tribal gaming regulatory authority as secure from 
tampering or compromise.
    (3) Self-verification is implemented only in addition to, not in 
lieu of, other verification tool options allowed by paragraphs (e) and 
(f) of this section.
    (h) Running the FAC verification tool. The FAC verification tool 
shall be run to verify the authenticity of Class II game software and 
paytables:
    (1) Following the addition, removal, or change of game software or 
paytables pursuant to Sec.  547.19;
    (2) Following the download of game software or paytables pursuant 
to Sec.  547.18;
    (3) Pursuant to EPROM control standards adopted by the tribal 
gaming regulatory authority in accordance with Sec.  542.13(g) of this 
chapter;
    (4) After recovery from any power failure or upon power up; and
    (5) At any other time required by the tribal gaming regulatory 
authority.
    (i) Verification of non-interrogatable devices. Program devices 
that cannot be interrogated, such as Smart cards, may be used provided 
they are able to be verified by the following FAC methodology:
    (1) A challenge is sent by the peer device, such as a hashing seed, 
to which

[[Page 46356]]

the device must respond with a checksum of its entire program space 
using the challenge value.
    (2) The challenge mechanism and means of loading the software into 
the device is verified by the independent testing laboratory and 
approved by the tribal gaming regulatory authority.


Sec.  547.18  What are the minimum technical standards for downloading 
Class II game software, paytables, peripheral software or other 
Download Packages in client-server implementations?

    This section provides standards for the downloading of Class II 
games or paytables to clients or servers on the casino floor for patron 
play.
    (a) Downloads. (1) Downloads of games, paytables, peripheral 
software or other download packages shall be conducted only as 
authorized by the tribal gaming regulatory authority.
    (2) Downloads of download packages shall be conducted only from an 
approved Download Server. The Download Server may be the main game 
server or a separate computer device, in which case that device must 
meet the server standards of section Sec.  547.6 and be separately 
approved by the tribal gaming regulatory authority.
    (3) Downloads conducted during operational periods shall be 
performed in a manner which will not affect play on Electronic Player 
Stations that are not the subject of the download.
    (4) Downloaded games shall not be played in more than one 
configuration on any given Electronic Player Station during any one 
gaming day, unless separate metering for each configuration can be 
maintained.
    (5) Downloads shall use a secure protocol that will deliver the 
download data without alteration or modification, even if errors occur 
during communication.
    (6) The software, paytables, peripheral software or other download 
packages shall be verified following download using a FAC verification 
tool and new Formal Application Configuration conforming to Sec.  
547.17.
    (7) The integrity of the master meter set and critical memory shall 
be maintained after a download.
    (8) Power loss or communications loss during a download shall 
result either in recommencement or continuation of download and not 
require operator intervention.
    (9) The server shall log each download of any Download Package.
    (10) Each log record shall contain as a minimum:
    (i) The time and date of the initiation of the download;
    (ii) The time and date of the completion of the download;
    (iii) The client player station(s) to which software was 
downloaded;
    (iv) The version(s) of download package and any embedded software 
downloaded. Logging of the unique FAC identifier will satisfy this 
requirement;
    (v) The user who initiated the download;
    (vi) The outcome of the FAC verification following the download 
(success or failure).
    (11) Download logs shall be retained for a period of one year from 
the date of the download. These logs may be kept in an archived manner, 
on the server or elsewhere, provided that the information reconciles 
across replicated storage and that the information can be produced 
within 24 hours upon request. In any event, download logs for the 
previous 72 hours shall be immediately accessible.
    (b) Interim Storage or actuation of Download Packages. If Download 
packages are loaded to interim storage and not to the Electronic Player 
Station or peripheral for immediate activation, then the interim 
storage shall be:
    (1) A component within the logic area of the client device; or
    (2) A separate device, such as a processor board, that resides 
within a logic area of the client device and meets the requirements of:
    (i) Section 547.5;
    (ii) Section 547.10(a), if residing in a separate cabinet;
    (iii) Section 547.11;
    (iv) Section 547.1(d);
    (v) Section 547.16(g); and
    (vi) Section 547.17.
    (c) Actuation of Download Packages. (1) Actuation of Download 
Packages shall be conducted only as authorized by the tribal gaming 
regulatory authority.
    (2) Actuation of Download Package shall not be permitted if an 
error or tilt condition exists on the destination device or Electronic 
Player Station.
    (3) If the actuation process involves transfer of data from interim 
storage to the Electronic Player Station, the communications method 
must meet the requirements of paragraph (a)(5) of this section, and 
cryptographic protection is not necessary if the data transfer is 
contained within one logic area.
    (4) The server shall permanently log each instance of package 
actuation as required by paragraphs (a)(9) and (10) of this section.
    (d) Download of peripheral software. Peripherals, such as bill 
acceptors, may have their software, firmware or configuration updated 
by the client device provided:
    (1) The Download Package containing the peripheral software has 
been previously approved by the tribal gaming regulatory authority.
    (2) The process of transfer the peripheral software is secure and 
meets the specification of the communication protocol to the 
peripheral.


Sec.  547.19  What are the minimum technical standards for changing 
available Class II game software or paytables in client-server 
implementations?

    This section provides standards for adding, removing, or swapping 
to different Class II games and paytables on client-server 
implementations by a method other than the download of software. 
Downloadable software is the subject of Sec.  547.18. The actions 
described in this section may be initiated by command at the client 
station, external command initiated by the server, or actuation of a 
Download Package previously downloaded that performs approved 
reconfiguration commands or other methods approved by the tribal gaming 
authority.
    (a) Adding or changing games or paytables, authorization. Game 
software and paytables shall be added to, or changed on, a client-
server implementation and made available to patrons for play only as 
authorized by the tribal gaming regulatory authority.
    (b) Adding or changing games or paytables, process. (1) All 
Electronic Player Stations that are to have game software or paytables 
added or changed shall be disabled for play before the addition or 
change occurs.
    (2) An updated Formal Application Configuration meeting the 
requirements of Sec.  547.17 shall be installed or otherwise made 
available for use by the FAC verification tool to verify the changed 
game software or paytables.
    (3) The added or changed game software or paytables shall be 
verified on the server or Electronic Player Station, as applicable, 
using a FAC verification tool and new Formal Application Configuration 
that conforms with Sec.  547.17 prior to re-enabling the Electronic 
Player Stations or clients for play.
    (c) Display following change. Immediately following reenabling, the 
Electronic Player Station shall;
    (1) Reset the win meter to zero;
    (2) Reset any player options selected (e.g. bet amount, lines 
played, etc.) to the minimum available value and apply this value or 
values to appropriate on-screen displays; and
    (3) Change, if necessary, the display of the game screen to a non-
winning result or combination.
    (d) Deleting paytables, authorization. (1) Paytables shall only be 
deleted from a client--server implementation as

[[Page 46357]]

authorized by the tribal gaming regulatory authority.
    (2) The remaining game software and paytables shall be verified on 
the server, Electronic Player Stations, or clients, as applicable, 
using a FAC verification tool and new Formal Application Configuration 
that conforms with Sec.  547.17.
    (e) Deleting games, authorization and requirements. (1) Games shall 
be deleted from a client--server implementation only as authorized by 
the tribal gaming regulatory authority.
    (2) In any event, games shall be deleted only if:
    (i) There are no incomplete instances of the game outstanding; and
    (ii) All Electronic Player Stations that are to have game software 
or paytables deleted shall be disabled for play before the deletion 
occurs.
    (3) The remaining game software and paytables shall be verified on 
the server, Electronic Player Stations, or clients, as applicable, 
using a FAC verification tool and new Formal Application Configuration 
that conforms with Sec.  547.17.
    (f) Audit trail. An automatic audit trail of all game software and 
pay table changes shall be maintained and shall include, at a minimum:
    (1) The identity of the person making the change(s), if the client-
server implementation requires identification or log-in for the 
person(s) making changes;
    (2) The time and date of the change(s);
    (3) The type of change(s), (e.g. addition, change, or deletion of 
game / pay table); and
    (4) Application parameters or variables.


Sec.  547.20  What are the minimum technical standards for game program 
storage media?

    This section provides minimum standards for removable, (re-
)writable, and non-writable storage for programs used with the play of 
Class II game software.
    (a) Removable program storage media. (1) All removable program 
storage media such as ROMs, EPROMs, Flash ROMs, CD-ROMs, DVDs etc. 
shall be clearly marked with sufficient information to identify the 
software and version or revision level contained.
    (2) All removable program storage media shall maintain an internal 
checksum or signature of its contents. Verification of this checksum or 
signature is to be performed after every restart and, if the 
verification fails, the Electronic Player Station shall enter a fatal 
error state.
    (b) Non-writeable program storage media. (1) All EPROMs and 
Programmable Logic Devices (PLDs) that have erasure windows shall be 
fitted with covers over their erasure windows.
    (2) All unused areas of EPROMs shall be written with the inverse of 
the erased state, e.g., zero bits (00 hex) for most EPROMs, random 
data, or repeats of the program data.
    (3) Flash memory storage devices intended to have the same logical 
function as ROM, i.e. not to be dynamically written, shall be write 
protected or otherwise protected from unauthorized modification.
    (4) Re-writeable CD-ROMs shall not be used.
    (5) The write cycle shall be closed or finished for all CD-ROMs 
such that it is not possible to write any further data to the CD.
    (6) Write protected hard disks are permitted if the means of 
enabling the write protect is easily viewable and can be sealed in 
place.
    (c) (Re-)Writeable program storage media. (1) (Re-)writable program 
storage, such as hard disks, Flash memory, writable CD-ROMs, and 
writable DVDs, may be used provided that the verification requirements 
of Sec.  547.19(b) and Sec.  547.18(a)(6) are met.
    (2) Program storage is structured so there is an obvious separation 
of fixed data (e.g. program, fixed parameters, DLLs) and variable data.
    (d) Identification of program storage media. All discrete program 
storage media (e.g. EPROM, CD-ROM) shall be uniquely identified, 
displaying:
    (1) Manufacturer;
    (2) Game name;
    (3) Game development number or variation;
    (4) Version number;
    (5) Jurisdiction;
    (6) Type and size of media; and
    (7) Location in Electronic Player Station, if critical (e.g. socket 
position 3 on PCB).


Sec.  547.21  What are the minimum technical standards for random 
number generation?

    This section provides minimum standards for random number 
generators (RNGs) used with the play of Class II games and for 
cryptography.
    (a) Properties. All RNGs shall produce output having the following 
cryptographic properties:
    (1) Statistical randomness;
    (2) Unpredictability; and
    (3) Non-repeatability.
    (b) Statistical Randomness. (1) Numbers produced by an RNG shall be 
statistically random individually and in the permutations and 
combination used in the application under the rules of the game. For 
example, if a Bingo game with 75 balls has a progressive winning 
pattern of the five numbers on the bottom of the card and the winning 
of this prize is defined to be the five numbers are matched in the 
first five balls drawn, the likelihood of each of the 75C5 combinations 
are to be verified to be statistically equal.
    (2) Numbers produced by an RNG shall pass the statistical tests for 
randomness to a 99% confidence level, which may include:
    (i) Chi-square test;
    (ii) Equi-distribution (frequency) test;
    (iii) Gap test;
    (iv) Poker test;
    (v) Coupon collector's test;
    (vi) Permutation test;
    (vii) Run test (patterns of occurrences shall not be recurrent); 
(viii) Spectral test;
    (ix) Serial correlation test potency and degree of serial 
correlation (outcomes shall be independent from the previous game); and
    (x) Test on subsequences.
    (c) Unpredictability. (1) It shall not be feasible to predict 
future outputs of an RNG, even if the algorithm and the past sequence 
of outputs are known.
    (2) Unpredictability shall be ensured by re-seeding or by 
continuously cycling the RNG, and by providing a sufficient number of 
RNG states for the applications supported.
    (i) Re-seeding may be used where the re-seeding input is at least 
as statistically random as, and independent of, the output of the RNG 
being re-seeded.
    (ii) The number of RNG states shall be larger than the number of 
possible outcomes in the application for which the RNG is used by at 
least a factor of 10<SUP>8.</SUP>
    (d) Non-repeatability. The RNG shall not reproduce the same output 
stream that it has produced before, nor shall any two instances of an 
RNG produce the same stream as each other. This property shall be 
ensured by initial seeding that comes from:
    (1) A source of ``true'' randomness, such as a hardware random 
noise generator; or
    (2) A combination of timestamps, parameters unique to a server or 
Electronic Player Station, previous RNG outputs, etc.
    (e) General requirements. (1) Game software that calls an RNG to 
simulate an event of chance shall immediately use the output returned 
in accordance with the game rules.
    (2) RNG outputs shall not be arbitrarily discarded or selected.
    (3) Where a sequence of outputs is required, the whole of the 
sequence shall be used in accordance with the game rules.

[[Page 46358]]

    (f) Scaling algorithms and scaled numbers. An RNG that provides 
output scaled to given ranges shall:
    (1) Meet the requirements of paragraphs (a) through (d) of this 
section and be independent and uniform over the range;
    (2) Provide numbers scaled to the ranges required by game rules, 
and notwithstanding the requirements of paragraph (e)(2) of this 
section, may discard numbers that do not map uniformly onto the 
required range but shall use the first number in sequence which does 
map correctly to the range;
    (3) Be capable of producing every possible outcome of a game 
according to its rules; and
    (4) Use an unbiased algorithm. A scaling algorithm is considered to 
unbiased if the measured bias is no greater than 1 in 100 million.
    (g) RNGs used for cryptography. (1) RNGs used for cryptography 
shall:
    (i) Be separate from RNGs used for other purposes;
    (ii) Be accessible only by the components that implement the 
security functionality;
    (iii) Not weaken security by providing a point of attack on the 
security protocols that it supports;
    (iv) Have a number of states at least as great as the encryption 
strength--for example, an RNG using 128 bit encryption shall have at 
least 2<SUP>128</SUP> states;
    (v) Make use of an entropy source in its initial and ongoing 
seeding, unless a security protocol requires that a recipient's 
(pseudo) RNG supplied with correct key information reproduces the same 
sequence as the sender's RNG; and
    (vi) Be re-seeded at a rate that makes cryptoanalytic attack 
impractical.
    (2) RNG components used for cryptography shall notify callers in 
the event of a malfunction.
    (3) Security system components reliant on RNG outputs shall cease 
to operate when a fault is detected in the operation of the RNG and 
security can no longer be assured.


Sec.  547.22  What are the minimum technical standards for data 
communications?

    This section provides minimum standards for data communications 
with gaming equipment, or components, used with the play of Class II 
games. This section also provides minimum standards for communications 
between the Class II gaming equipment and any equipment external to it.
    (a) Electrical requirements. (1) Communication interfaces on 
Electronic Player Stations shall have at least 3 Kv of line isolation 
to achieve mains power static discharge immunity from lightning and 
other static discharges.
    (2) When subjected to electrostatic discharges, Electronic Player 
Stations shall not interfere with the operation of any other attached 
equipment via local data communications cabling.
    (3) When subject to disruption of the mains power, Electronic 
Player Stations shall not interfere with the operation of any other 
attached gaming device via local data communications cabling.
    (4) Electronic Player Stations and successive devices in any 
communications chain shall be powered from different sources.
    (5) There shall be no mains ground interconnections via data 
cabling between Electronic Player Stations powered from different 
supply circuits unless adequate line isolation is in place. Note that 
RS-232-C may be used only if the two communicating devices are powered 
from the same supply circuit and the cable length between the two 
devices is less than 15 feet.
    (b) Functional requirements, generally. (1) Data communications 
shall be designed to allow transfer of game play financial information 
and event data to a casino operating system on a regulator schedule or 
on demand.
    (2) After gaming equipment has been de-activated, activating the 
gaming equipment requires manual intervention by the gaming operator, 
except that:
    (i) An Electronic Player Station may automatically re-activate upon 
restoration of communications following a communications failure, 
unless it determines that lock-up state should apply due to some other 
cause; and
    (ii) If gaming equipment is automatically de-activated at the end 
of the venue's current session (e.g., an automatic deactivation date/
time calendar exists), it is permissible for the casino monitoring 
system to automatically re-activate the gaming equipment when the next 
permitted session commences.
    (3) When more than one Electronic Player Station or client 
communicates using the same transmission medium, the communications 
port shall operate at a communication speed within a 1% tolerance of 
the required communications speed, unless the specific communications 
protocol allows a greater tolerance.
    (c) Protocol requirements. (1) All communications shall be made via 
a protocol-based communications scheme unless otherwise authorized by 
the tribal gaming regulatory authority.
    (2) Communications protocols shall include:
    (i) Error control;
    (ii) Flow control; and
    (iii) Link control (remote connection).
    (3) For serial communication links, data communications shall make 
use of suitable error detection algorithms. At a minimum, Cyclic 
Redundancy Checks (CRCs) shall be used for this purpose. The use of 
only parity or simple checksum byte is not acceptable.
    (4) Data communications shall be able to withstand varying error 
rates.
    (d) Communications failures and recovery. (1) During any 
communications failure and recovery, no data shall be lost, duplicated, 
modified or re-ordered.
    (2) Failures and re-establishment of communications shall be logged 
as events by the Electronic Player Station or server.
    (3) On program resumption, e.g., after a power restart of the 
equipment, any communications to an external device shall not begin 
until the program resumption routine, including self-tests, is 
completed successfully.
    (4) When a non-correctable critical storage error has occurred, the 
data on the Electronic Player Station can no longer be considered 
reliable. Accordingly, any communication to external devices shall 
cease immediately and an appropriate message shall be displayed.
    (e) Wireless communications. Wireless communications may be used 
within and to Class II gaming equipment provided the following 
requirements are met:
    (1) Wireless access points must be installed so the general public 
cannot physically access them.
    (2) External switches that reset device configuration to a default 
state must be disabled unless that default state meets the requirements 
of this paragraph (e).
    (3) Open or unencrypted Wi-Fi communications are prohibited.
    (4) 802.11i in combination with 802.1X and Radius authentication 
servers is an acceptable method for securing wireless communications. 
The device/user authentication mechanism must employ digital 
certificates, two-factor methods or similarly strong techniques. Use of 
simple passwords is not acceptable.
    (5) WPA and WEP are not acceptable methods for securing wireless 
communications.
    (6) VPNs shall be used for end-to-end communication, and any 
wireless portion of the connection must meet the requirements of this 
paragraph (e).
    (7) The portions of the network that contain wireless access points 
must be separated from the rest of the network by firewalls.
    (8) Wireless access points must have MAC filtering capabilities. 
MAC filters on Wireless Access Points must be

[[Page 46359]]

enabled (only devices using registered MAC addresses can connect).
    (9) The SSID in 802.11 networks must be changed to be different to 
the default factory setting.
    (10) The SSID in 802.11 networks must not be broadcast in response 
to broadcast probe requests.
    (11) Peer-to-peer networking (a.k.a. ad-hoc mode) shall be disabled 
on all wireless devices, except for the purpose of communicating with 
peripheral devices in a small-radius personal area network.
    (12) The Beacon Interval in 802.11 networks must be increased to 
the maximum value of 67 seconds.
    (13) Access through SNMP must be restricted:
    (i) SNMP must be disabled unless it is in active use through a 
network management system.
    (ii) SNMP and SNMP v2 are not acceptable.
    (iii) If SNMP v3 is proposed, the configuration must change read 
and write community strings away from default values (typically 
``public'' and ``private'' respectively).
    (14) DHCP must be disabled, which means statically configuring IP 
addresses into end devices.
    (15) Username and passwords must be changed from factory default.
    (16) Insecure usernames and passwords (e.g. anonymous/anonymous) 
must be deleted from any Wireless Access Point.
    (17) Wireless communications may not be used to circumvent 
restrictions limiting gambling to the casino floor or other designated 
areas. Implementation, therefore, of wireless communications may 
require the tribal gaming regulatory authority to implement 
requirements for blocking capabilities in various locations.


Sec.  547.23  What are the minimum technical standards for encryption?

    This section provides minimum standards for encryption and hashing 
in client-server implementations used with the play of Class II games.
    (a) Encryption generally. (1) Communications across public areas 
shall be encrypted.
    (2) Communications across publicly accessible networks shall be 
encrypted. These include Ethernet networks or any networks that use 
routers, all wireless communications, communications across wide area 
networks.
    (3) Proprietary or closed loop networks need not be encrypted but 
shall be physically secure such that intrusion is detectable.
    (4) Notwithstanding paragraphs (a)(1) through (3) of this section, 
communications containing any of the following need not be encrypted 
but must be protected against illicit alteration, unless contained 
within a single logic area:
    (i) Software uploads and downloads;
    (ii) Game outcome information; and
    (iii) Progressive jackpot meters, parameters, configuration, and 
win messages.
    Note that message authentication codes based upon hashing 
algorithms that meet the requirements of paragraph (c) of this section 
are sufficient to meet this requirement.
    (5) Notwithstanding paragraphs (a)(1) through (3) of this section, 
communications containing any of the following shall be protected from 
eavesdropping i.e. encrypted, and from illicit alteration unless the 
communication is contained within a single logic area:
    (i) RNG seeds and outcomes;
    (ii) Encryption keys, where the implementation chosen requires 
transmission of keys;
    (iii) PINs;
    (iv) Passwords;
    (v) Ticket voucher transactions;
    (vi) Transfers of money to/from player accounts, pursuant to Sec.  
542.13(o)(3)(iii) of this chapter;
    (vii) Transfer of money between gaming equipment, pursuant to Sec.  
542.13(o)(3)(iii) of this chapter;
    (viii) Player tracking information;
    (6) If key data files containing pull tabs game results are 
maintained on a disk on the server and/or clients, the files shall be 
encrypted.
    (b) Encryption algorithm. Any encryption required by this part 
shall use an algorithm that meets the following requirements:
    (1) Encryption algorithms are to be demonstrably secure against 
cryptanalytic attacks. Encryption algorithms that media reports have 
demonstrated to be broken are not demonstrably secure. The following 
algorithms are demonstrably secure:
    (i) SSL/TLS (Using a Public Key algorithm);
    (ii) IPSec--(Potentially a ``Hardware'' solution);
    (iii) Triple DES (Symmetric algorithm using a 112 bit key);
    (iv) IDEA (Symmetric algorithm using a 128 bit key);
    (v) Blowfish (Symmetric algorithm using a 448 bit key);
    (vi) Twofish (Symmetric algorithm using a 128-bit, 192-bit or 256-
bit key); and
    (vii) AES (Symmetric algorithm using a 128-bit, 192-bit or 256-bit 
key).
    (2) The minimum width (size) for encryption keys is 112 bits for 
symmetric algorithms and 1024 bits for public key algorithms.
    (3) If a symmetric algorithm is chosen, a key rotation methodology 
ensuring encryption keys are changed no less than every 30 days shall 
be adopted. The key rotation process shall be automated.
    (4) There shall be a secure method implemented for changing the 
current encryption key set. An example of an acceptable method of 
exchanging keys is the use of public key encryption techniques to 
transfer new key sets.
    (5) Other proprietary encryption and authentication methods, 
including the use of a Virtual Private Network (VPN), are permissible 
provided they provide protection against eavesdropping and illicit 
modification equivalent to the methods described paragraphs (a) and (b) 
of this section.
    (c) Hashing algorithms. Any hashing required by this part shall use 
an algorithm having the following characteristics:
    (1) The hashing algorithm shall combine the entire contents of the 
files or data being processed.
    (2) The hashing algorithm shall combine the bits in a complicated 
and cross-interactive manner.
    (3) The hashing algorithm shall detect at least 99.998% of all 
possible altered files or data.
    (4) The hashing algorithm shall be cryptographically strong, i.e. 
by looking at the hash result there is no practical way, in a given 
period of time, to derive any part of the original data.
    (5) If the hashing algorithm uses seeds (algorithm coefficients), 
the ``seed'' information shall influence the behavior of the algorithm 
in a non-trivial way.


Sec.  547.24  What are the minimum standards for game artwork, glass, 
and rules?

    This section provides standards for the display of game artwork, 
the displays on belly or top glass, and the display and disclosure of 
game rules, whether in physical or electronic form.
    (a) Rules, instructions, and pay tables, generally. The Electronic 
Player Station shall at all times display, or make readily available to 
the player upon request, the following:
    (1) Game name, rules, and options such as number of coins wagered 
stated clearly and unambiguously, without the capability to mislead. 
all prizes advertised shall be available to win;
    (2) Denomination;
    (3) Instructions for play on, and use of, the Electronic Player 
Station, including the functions of all buttons;
    (4) A paytable or other explanation, sufficient to allow a player 
to determine the correctness of all prizes awarded, including.

[[Page 46360]]

    (i) The range and values obtainable for any variable prize;
    (ii) Whether the value of a prize depends on credits wagered;
    (iii) The means of division of any pari-mutuel prizes; and
    (iv) The paytable or other explanation need not, however, that 
subsets of winning patterns are not awarded additional pays (e.g. five 
in a row does not also pay three in a row or four in a row) unless 
there are exceptions, which shall be clearly stated.
    (b) Disclaimers. The Electronic Player Station shall at all times 
display:
    (1) ``Malfunctions void all pays and plays''
    (2) ``Actual Win Determined by Bingo [or other applicable Class II 
game] Play. Pay Table Lines and Reels for Entertainment Only.''
    (c) Stickers. Stickers may be used on Electronic Player Stations 
provided that they:
    (1) Do not shrink or peel with time or heat;
    (2) Are not easily removed;
    (3) Meet applicable part number requirements, which may be affixed 
to the sticker backing or surroundings when size limitations occur.


Sec.  547.25  What are the minimum standards for interfacing to a 
casino monitoring system?

    The section provides general standards for a client-server 
implementation used with the play of Class II games to interface with a 
casino monitoring or accounting system. This section also provides 
general standards for servers acting as monitoring or accounting 
systems.
    (a) Monitoring or accounting system interface, generally. (1) 
Client-sever implementations used with the play of Class II games shall 
be interfaced to an on-line monitoring system that processes security, 
maintenance and financial data and provides accounting data to the 
operator. An on-line monitoring system is required in all cases where 
remote monitoring is allowed.
    (2) Data communications with the casino monitoring system shall 
meet the requirements of Sec.  547.22.
    (3) An on-line monitoring system may be located locally within a 
facility or remotely outside of the facility.
    (4) The on-line monitoring at the minimum shall provide a 
statistical analysis for verification of correct performance/return to 
player for each Electronic Player Station.
    (b) Servers acting as monitoring or accounting systems. The 
components or functions of an on-line monitoring system may be embedded 
within the game server. If so, the following requirements apply:
    (1) The server shall not permit the alteration of any information.
    (2) The server shall have a backup and archive utility to allow the 
operator to save data in critical memory in the event of a system 
failure. In the event of a catastrophe that results in a failure 
whereby the servers cannot be restarted, it shall be possible to reload 
the system to a backup point and to fully recover the contents of that 
backup.


Sec.  547.26  How does a gaming operation apply for a variance from 
these standards?

    (a) Tribal gaming regulatory authority approval. (1) A tribal 
gaming regulatory authority may approve a variance from the 
requirements of this part for a gaming operation if it has determined 
that the variance will achieve a level of security and game integrity 
sufficient to accomplish the purpose of the standard it is to replace.
    (2) For each enumerated standard for which the tribal gaming 
regulatory authority approves a variance, it shall submit to the 
Commission Chairman, within 30 days, a detailed report, which shall 
include the following:
    (i) A detailed description of the variance;
    (ii) An explanation of how the variance achieves a level of 
security sufficient to accomplish the purpose of the standard it is to 
replace and of any equipment or software to be implemented with the 
variance;
    (iii) An evaluation of the variance from an independent testing 
laboratory recognized by the Commission pursuant to Sec.  546.9(f) of 
this chapter; and
    (iv) Evidence that the tribal gaming regulatory authority has 
approved the variance.
    (3) In the event that the tribal gaming regulatory authority or the 
tribe chooses to submit a variance request directly to the Chairman, it 
may do so without the approval requirement set forth in paragraph 
(a)(2)(iv) of this section.
    (b) Review by the Chairman. (1) Following receipt of the variance 
approval, the Chairman or his designee shall have 60 days to concur 
with or object to the approval of the variance.
    (2) Any objection raised by the Chairman shall be in the form of a 
written explanation and be based upon the following criteria:
    (i) There is no valid explanation of why the gaming operation 
should have received a variance approval from the tribal gaming 
regulatory authority on the enumerated standard; or
    (ii) The variance as approved by the tribal gaming regulatory 
authority does not provide a level of security or game integrity 
sufficient to accomplish the purpose of the standard it is to replace.
    (3) If the Chairman fails to object in writing within 60 days after 
the date of receipt of a complete submission, the variance shall be 
considered concurred with by the Chairman.
    (4) The 60-day deadline may be extended, provided such extension is 
mutually agreed upon by the tribal gaming regulatory authority and the 
Chairman.
    (c) Curing Chairman's objections. (1) Following an objection by the 
Chairman to the issuance of a variance, the tribal gaming regulatory 
authority shall have the opportunity to cure any objections noted by 
the Chairman.
    (2) A tribal gaming regulatory authority may cure the objections 
raised by the Chairman by:
    (i) Rescinding its initial approval of the variance; or
    (ii) Rescinding its initial approval, revising the variance, 
approving it, and resubmitting it to the Chairman.
    (3) Upon any re-submission of a variance approval, the Chairman 
shall have 30 days to concur with or object to the re-submitted 
variance.
    (4) If the Commission fails to object in writing within 30 days 
after the date of receipt of the re-submitted variance, the re-
submitted variance shall be considered concurred with by the Chairman.
    (d) Appeals. (1) Upon receipt of objections to a re-submission of a 
variance, the tribal gaming regulatory authority shall be entitled to 
an appeal to the full Commission in accordance with the following 
process:
    (i) Within 30 days of receiving an objection to a re-submission, 
the tribal gaming regulatory authority shall file its notice of appeal.
    (ii) Failure to file an appeal within the time provided by this 
section shall result in a waiver of the opportunity for an appeal.
    (iii) An appeal under this section shall specify the reasons why 
the tribal gaming regulatory authority believes the Chairman's 
objections should be reviewed, and shall include supporting 
documentation, if any.
    (iv) The tribal gaming regulatory authority shall be provided with 
any comments offered by the Chairman to the Commission on the substance 
of the appeal, and the tribal gaming regulatory authority shall have 
the opportunity to respond to any such comments.
    (v) Within 30 days after receipt of the appeal, the Commission 
shall render a decision based upon the criteria contained within 
paragraph (b)(2) of this section unless the tribal gaming regulatory 
authority elects to wave the

[[Page 46361]]

30-day requirement and to provide the Commission with additional time, 
not to exceed an additional 30 days, to render a decision.
    (vi) In the absence of a decision within the time provided, the 
tribal gaming regulatory authority's resubmission shall be considered 
concurred with and become effective.
    (2) The tribal gaming regulatory authority may, without 
resubmitting the variance, appeal the Chairman's objection to the 
approval of a variance to the full Commission by filing a notice of 
appeal within 30 days of the Chairman's objection and complying with 
the procedures set out in paragraph (d)(1) of this section.
    (e) Effective Date of variance. The gaming operation shall comply 
with standards that achieve a level of security or game integrity 
sufficient to accomplish the purpose of the standard it is to replace 
until such time as the Chairman objects to the Tribal gaming regulatory 
authority's approval of a variance as provided in paragraph (b) of this 
section.
    (f) Discretion. Concurrence in a variance by the Chairman or by the 
Commission is discretionary and variances will not be granted 
routinely. The gaming operation shall comply with standards at least as 
stringent as those set forth in this part until such time as the 
Chairman or the Commission concurs with the tribal gaming regulatory 
authority's approval of the variance.

    Dated: August 1, 2006.
Philip N. Hogen,
Chairman.
Cloyce V. Choney,
Associate Commissioner.
[FR Doc. 06-6787 Filed 8-10-06; 8:45 am]
BILLING CODE 7565-01-P


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