NEVADA GAMING CONTROL BOARD ASSOCIATED EQUIPMENT REVIEW CHECKLIST TABLE GAMES SYSTEMS Manufacturer: Review Date(s): System: Auditors’ Initials and Date Auditor(s): Version: Account #: Project #: Manufacturer’s Personnel Note: Position Contact Information Bolded references indicate procedures/documents that must be performed/prepared by the system. With regard to the unbolded references, if the procedures/documents are performed/prepared by the system, the system will not be approved until those features either function in compliance with Nevada’s regulatory scheme, are securely disabled in the system or are removed from the system. Underlined references indicate reports, records or source documents. The exact title for reports, records or source documents should be included in the comments column, where applicable. Pass Fail N/A Comments General Controls 1. Is the computer system, including application software, secured through the use of passwords or biometrics? Note: Other means may be approved by the Board upon submission. IT MICS #3 2. Has the manufacturer supplied system documentation, including description of both hardware and software (including version numbers), operator manuals, etc? IT MICS #6 3. Are user identification numbers/names and passwords controlled as follows unless otherwise addressed in this checklist: (a) When multiple identification numbers/names per application are used, is only one number active at a time and does the user name have a unique prefix/suffix to easily identify the users with multiple operator numbers? IT MICS #7a (b) On a quarterly basis, does the system prompt users to change passwords and then denies access if the change is not completed? Alternatively, are changes to passwords documented by the system? IT MICS #7d (c) Are passwords required to be at least four characters long? 4. Are personnel access listings created which include at a minimum: (a) Employee name and title or position? (b) Employee identification? (c) Listing of functions the employee can perform or equivalent means of identifying same? IT MICS # 9 5. If the system can be remotely accessed, do the controls only allow authorized vendor personnel access to the system? IT MICS #15c Document in the comments column what information the system records when it is remotely accessed. IT MICS #16 6. Do the created reports include on all pages: (a) Document title? (b) Row/column headings? (c) Page number? (d) Version number of the current system software? (e) The date or time period of the activity? (f) The date and time the document was generated? 02/17/06 Page 1 of 15 American LegalNet, Inc. www.USCourtForms.com NEVADA GAMING CONTROL BOARD ASSOCIATED EQUIPMENT REVIEW CHECKLIST TABLE GAMES SYSTEMS Manufacturer: Review Date(s): System: Auditors’ Initials and Date Auditor(s): Version: Account #: Project #: Pass 7. Does the system directly store documents to unalterable media? If so: (a) Does the storage medium contain an exact duplicate of the original document? IT MICS #17a (b) Are all documents stored maintained with a detailed index containing the department and date? Regulation 6.040(1) & IT MICS #17b 10. Is system exception information created (e.g. changes to system parameters, corrections, overrides, voids, etc.)? IT MICS #8 11. Are IT personnel denied access to live data files? IT MICS #11c 12. Comments Is in-house developed or purchased software programs backed-up? Backup of purchased software not required if software can be reinstalled by the vendor. IT MICS #5b 9. N/A If the system backs-up daily data files, does the backup feature function properly? IT MICS #5a 8. Fail If the system is capable of generating security logs (e.g. multiple attempts to log on, denial of access to users after three tries, changes to live data file, etc.), are the logs accessible to IT supervisors for review? IT MICS #13 Describe items that the log lists. REGULATORY COMPLIANCE (The following steps, where applicable, should be verified/tested through the system) 13. If the system processes pit customer deposit withdrawals, do procedures for pit customer deposit withdrawals (i.e., CDWs) provide the same degree of control as is provided for markers? T/G MICS “Note 4” 14. If so designed, does the system determine whether the credit limit is authorized prior to the issuance of gaming credit? T/G MICS #1a 15. If so designed, does the system prevent the issuance of a marker over the available credit limit? T/G MICS #1b 16. If so designed, does the system document the authorization of credit issues in excess of previously established limits? T/G MIC #2 17. If the system documents the amount of credit issued, is the amount communicated to the cage or another independent source? State the length of time required for this communication. T/G MICS #3 18. If the system generates markers, are the marker forms in at least triplicate (triplicate form being defined as three parts performing the functions delineated in MICS #5), with a concurrently-printed marker number? T/G MICS #4 19. If the system maintains credit activity records, does the record of credit activity that is maintained detail the following T/G MICS #7: 02/17/06 Page 2 of 15 American LegalNet, Inc. www.USCourtForms.com NEVADA GAMING CONTROL BOARD ASSOCIATED EQUIPMENT REVIEW CHECKLIST TABLE GAMES SYSTEMS Manufacturer: Review Date(s): System: Auditors’ Initials and Date Auditor(s): Version: Account #: Project #: Pass Fail N/A Comments (a) The name or other identifier of the individual(s) approving the issuance of credit? (b) The legible name of the individual receiving the credit? (c) The date, time, and shift of granting the credit? (d) The table where the credit was issued? (e) The amount of credit issued? (f) The marker number? (g) The amount of available credit? (h) The amount of payment received and nature of settlement (e.g., cash, chips, etc.) or credit slip number if transferred to the cage? (i) The name or other identifier of the individual receiving payment? 20. If so designed, are the above mentioned records in MICS #7 safeguarded by system procedures that control the distribution, use and access? T/G MICS #8 21. If the system generates markers, does the original marker contain at least the following information T/G MICS #12: (a) Marker number? (b) Patron’s name? (c) A line for the patron’s signature? (d) The amount of credit issued (both alpha and numeric)? 22. If the system generates computerized markers, does the issue slip contain the following information T/G MICS #13: (a) The same marker number as the original? (b) The table number? (c) The date and time of issuance? (d) The amount of credit issued? (e) A line for the signature of the individual issuing the credit and a line for the signature or initials of the dealer at the applicable table? Note: This is not required if the information is included on another document. 23. If the system generates markers, does the payment slip include the following information whether paid in full or in partial T/G MICS #14 & #22: (a) The same marker number as the original? (b) Table number where paid? (c) Date and time of payment? (d) Nature of settlement (cash, chips, etc.)? (e) Amount of payment? (f) A line for the signature of the pit supervisor acknowledging payment and a line for the signature or initials of the dealer receiving payment? Note: This is not required if the information is included on another document. 24. If so designed, does the system prevent a marker from being voided no later than 30 minutes after the issuance unless the reason for exceeding this time period is documented? T/G MICS #16 02/17/06 Page 3 of 15 American LegalNet, Inc. www.USCourtForms.com NEVADA GAMING CONTROL BOARD ASSOCIATED EQUIPMENT REVIEW CHECKLIST TABLE GAMES SYSTEMS Manufacturer: Review Date(s): System: Auditors’ Initials and Date Auditor(s): Version: Account #: Project #: Pass 25. 26. If designed to accept partial payments in the pit, is a new marker generated that includes the unpaid balance and the marker number of the marker originally issued? T/G MICS #21 29. If so designed, when partial payments are made in the pit, does the payment slip of the marker that was originally issued indicate the new marker number? T/G MICS #22 30. If designed to accept payments in the pit, is the computer system updated when payments (full or partial) are made in the pit no later than when the patron’s play is completed or at shift end, whichever is earlier? T/G MICS #23 31. If designed to generate marker transfer documentation, do mass marker forms or marker credit slips (or similar documentation) used to transfer outstanding markers to the cage include the following information T/G MICS #26: (a) The date and time? (b) Shift? (c) Marker number(s)? (d) Table number(s)? (e) Amount of each marker? (f) The total amount transferred? (g) A line for the signature of the pit supervisor releasing instruments from the pit? (h) A line for the signature of the cashier verifying receipt of instruments at the cage? 32. Comments If the system records payments on pit markers that were transferred from the pit to the cage, are subsequent payments transacted and recorded as cage payments? T/G MICS #20 28. N/A If so designed, when a credit payment is made by a patron at a table other that the table of issuance and the payment (i.e. chips, cash) is transferred to the table of issuance or cage, does the system create a transfer document to accompany the payment to the table of issuance or cage which includes the following (The transfer document can be the marker payment slip that provides the required information) T/G MICS #19: (a) Date and time? (b) Dollar amount of payment? (c) Marker number? (d) Table number where payment was accepted? (e) Location (i.e., table number, cage window) where payment was transferred? 27. Fail Is the patron’s computerized account updated to reflect voided marker transactions? T/G MICS #17 If designed to generate order for credit documentation, does the order for credit and the credit slip include the following information T/G MICS #33: (a) Patron’s name? (b) Amount of the credit instrument? (c) The date and time? (d) Shift? (e) Table number? 02/17/06 Page 4 of 15 American LegalNet, Inc. www.USCourtForms.com NEVADA GAMING CONTROL BOARD ASSOCIATED EQUIPMENT REVIEW CHECKLIST TABLE GAMES SYSTEMS Manufacturer: Review Date(s): System: Auditors’ Initials and Date Auditor(s): Version: Account #: Project #: Pass Fail N/A Comments (f) A line for the signature of the pit supervisor releasing the instrument from the pit? (g) A line for the signature of the cashier verifying receipt of the instrument at the cage? 33. If designed to accept checks in the pit, are subsequent payments transacted and recorded as cage payments once the check is transferred from the pit to the cage? T/G MICS #34 34. If designed to accept foreign currency in the pit, is the system capable of requiring foreign currency transactions to have pit supervisor authorization? T/G MICS #35 35. If designed, to generate foreign currency exchange forms in the pit, do foreign currency exchange forms contain the following information T/G MICS #36: (a) Country of origin? (b) Total face value? (c) Amount of chips/tokens extended (i.e. conversion amount)? (d) Lines for the signature of the supervisor, and the dealer completing the transactions? 36. If designed to account for rim card activity, does the system immediately update the patron’s rim card when outstanding rim credit has been transferred from table to table? T/G MICS #44d & #45a 37. If designed to account for rim card activity, is a separate rim card created for each patron’s activity at each table and for each shift? T/G MICS #46 38. If designed, to account for rim card activity, is each rim credit issuance/settlement recorded immediately on patron rim cards, or similarly used documents, that are/have T/G MICS #47: (a) Prenumbered or concurrently numbered serial numbers? (b) The date and time of issuance/settlement? (c) The dollar amount of issuance/settlement? (d) An indication of one or more of the following types of settlement methods: (1) Payment in cash? (2) Payment in chips by the patron? (3) Issuance of a marker (The marker serial number and amount must be indicated.)? (4) Transfer of rim credit balance to another table (The amount of the transfer must be documented on the rim cards at both tables with the appropriate cross-referencing of rim card numbers.)? (5) Transfer of rim credit balance to the next shift (The amount of the transfer must be documented on the rim cards with the appropriate cross-referencing of rim card numbers.)? (e) A line for the initials or signatures of a supervisor and the dealer attesting to the validity of each issuance/settlement or transfer of an outstanding rim credit balance from another table? (f) Outstanding rim credit balance? 02/17/06 Page 5 of 15 American LegalNet, Inc. www.USCourtForms.com NEVADA GAMING CONTROL BOARD ASSOCIATED EQUIPMENT REVIEW CHECKLIST TABLE GAMES SYSTEMS Manufacturer: Review Date(s): System: Auditors’ Initials and Date Auditor(s): Version: Account #: Project #: Pass 39. 40. Comments If fill and credit slips are computerized is one part of the fill/credit slip stored in the computer system in such a manner that prevents pit, cage and other unauthorized personnel from accessing and making changes to the stored information? T/G MICS #56 42. N/A If fill and credit slips are computerized, are fill/credit slips T/G MICS #54: (a) In at least triplicate form? Note: One part of the fill/credit slip must be a restricted copy stored in the computer system (see T/G MICS # 61c). (b) In a continuous numerical series? (c) Prenumbered or concurrently numbered in a manner such that each slip has a unique identification number? 41. Fail If designed to account for rim card activity, is total rim credit repaid with chips by the patron in the pit summarized by table on a daily and monthly basis? T/G MICS #53 If order for credit slips are computerized, when table credits are transacted is an order for credit created to accompany the chips, tokens or monetary equivalents (e.g., credit instruments, coin) when they are transferred from the pit to the cashier area or other secure area of accountability? T/G MICS #59 Note: If chips, tokens, and monetary equivalents are transported accompanied by a credit slip, an order for credit is not required. 43. If fill and credit slips are computerized is the part of the fill/credit that is placed in the table game drop box a different color for fills than for credits, unless the type of transaction is clearly distinguishable in another manner? Note: The checking of a box on the form is not a clearly distinguishable indicator. T/G MICS #62 44. If fill and credit slips are computerized is the following information recorded on all three copies of the fill/credit slip T/G MICS #63: (a) The table number? (b) The shift? (c) Amount of fill/credit by denomination and in total? (d) Date and time? 45. If the system generates a computerized table inventory form, does the system record each table’s chip, token, coin, marker and outstanding rim credit on the form? T/G MICS #71a 46. “If so designed” and if final fills are not made, are beginning and ending inventories recorded on the master gaming sheet for shift win calculation purposes? T/G MICS #72 47. If table inventory and soft count is computerized, can the system access be secured so that the individual entering the table inventory amount into the system is independent of the table inventory count? IT MICS #4 & T/G MICS #75 02/17/06 Page 6 of 15 American LegalNet, Inc. www.USCourtForms.com NEVADA GAMING CONTROL BOARD ASSOCIATED EQUIPMENT REVIEW CHECKLIST TABLE GAMES SYSTEMS Manufacturer: Review Date(s): System: Auditors’ Initials and Date Auditor(s): Version: Account #: Project #: Pass 48. 49. If so designed, indicate how the currency drop figures are transferred (direct line or computer storage media). T/G MICS #95 52. If so designed, are fills and credits correctly recorded on the master games summary? T/G MICS #101 53. If so designed, are pit marker issue and payment slips removed from the table games drop boxes correctly recorded on the master games summary? T/G MICS #102a 54. If so designed, does the system create a detailed record of all markers, IOU’s, returned checks, hold checks or other similar credit instruments? Regulation 6.040(2)(b) 55. If so designed, does the system correctly record the opening/closing table and marker inventory on the master games summary? T/G MICS #104a 56. If a currency counter interface is used are corrections to count data made using one of the following methods: (a) Crossing out the error on the document, entering the correct figure, and then obtaining the initials of at least two count team members who verified the change? If this procedure is used, is system access restricted so that an employee independent of the pit department and count team must enter the correct figure into the computer system prior to the generation of related master games summary? T/G MICS #105a (b) During the count process, correcting the error in the computer system and entering the passwords of at least two count team members? If this procedure is used, is an exception report generated by the system that identifies the table number, error, the correction and the count team members attesting to the propriety of the correction? T/G MICS #105b 57. If the system generates a currency count transfer document and if transfers are allowed out of the count room during the table games soft count process, can each transfer be recorded on a separate multi-part form used solely for currency count transfers? T/G MICS #106 58. Comments If the master games summary is a computerized document, is the contents of each table games drop box (cash, chips, vouchers, traveler’s checks, foreign chips, coupons or other promotional items included in reported gross revenue) recorded permanently on the master games summary? T/G MICS #95 51. N/A If designed to interface with a currency counter, is the interface restricted (passwords, keys, etc.) to prevent unauthorized access? T/G MICS #92 50. Fail If the table inventory is computerized, can the system access be secured so that individuals who perform the table inventory count cannot add, change, or delete table inventory amounts? IT MICS #4 & T/G MICS #76 If the salon gaming report is computerized, is a salon gaming report (independent from the report required 02/17/06 Page 7 of 15 American LegalNet, Inc. www.USCourtForms.com NEVADA GAMING CONTROL BOARD ASSOCIATED EQUIPMENT REVIEW CHECKLIST TABLE GAMES SYSTEMS Manufacturer: Review Date(s): System: Auditors’ Initials and Date Auditor(s): Version: Account #: Project #: Pass Fail N/A Comments in T/G MICS #148) produced at least monthly showing the following T/G MICS #125: (a) Statistical drop? (b) Statistical win? (c) Statistical win to statistical drop hold percentage by table and type of game? 59. If the salon gaming report is computerized, is the salon gaming report maintained by T/G MICS #125: (a) Shift? (b) Day? (c) Cumulative month-to-date? (d) Cumulative year-to-date? 60. If the salon gaming report and other table games reports are computerized, is the games performance data related to the international gaming salon reflected in both the table games reports for the casino as a whole and in a separate salon gaming report? T/G MICS #125 61. If so designed, is a report maintained showing life-todate information on each primary and secondary patron wagering in a gaming salon that has been issued a credit limit of $500,000? T/G MICS #126 62. If so designed, does the report mentioned in T/G MICS #126 reflect all activity since inception of the gaming salon and include, at a minimum, the following, by game type T/G MICS #126: (a) Estimated statistical drop and statistical win? (b) Statistical win to statistical drop percentage? (c) Total credit issuances? (d) Total pit credit redemptions? (e) Total number of trips to date? 63. If so designed, does the report maintained for MICS #126 meet the following requirement? “The data for items a – d above applicable to other secondary patrons having no credit limit or a credit limit of less than $500,000 may be identified as being attributable to the primary patron’s group (group to be identified by the primary patron’s name). The reports should reflect activity for the primary patron, any secondary patron(s) having credit limits of $500,000 or more (shown individually), the remaining secondary patrons associated with the primary group, and an overall total from the primary patron and his secondary patrons” T/G MICS #126 ‘Note 1’ 64. If designed to record computerized promotional payouts, are promotional payouts greater than or equal to $100 documented to include the following T/G MICS #133: (a) Date and time? (b) Dollar amount of payout or description of personal property (e.g., car)? (c) Reason for payout (e.g., promotion name)? (d) Signature lines for the two employees verifying, authorizing, and completing the promotional payout? 65. If so designed, is documentation created to support bank accountability from which the payout was made, if a promotional cash payout is less than $100? T/G 02/17/06 Page 8 of 15 American LegalNet, Inc. www.USCourtForms.com NEVADA GAMING CONTROL BOARD ASSOCIATED EQUIPMENT REVIEW CHECKLIST TABLE GAMES SYSTEMS Manufacturer: Review Date(s): System: Auditors’ Initials and Date Auditor(s): Version: Account #: Project #: Pass Fail N/A Comments MICS #134 Note: Compliance with MICS #135 - #140 is only required for computerized player tracking systems that accumulate points that are subsequently redeemed by the patron for cash, merchandise, etc. The following seven questions do not apply to player rating only systems. 66. If the player tracking system is computerized, can the system access be secured so as to prevent unauthorized access to the player tracking system (e.g., passwords are changed at least quarterly and physical access to computer hardware)? T/G MICS #135 67. If the player tracking system is computerized, is the addition/deletion of points to player tracking accounts other than through actual game play sufficiently documented (including substantiation of reasons for increases)? T/G MICS #136 68. If the player tracking system is computerized, can the system access be secured so that authorizations are performed by supervisory personnel of the player tracking, promotions, or pit department? IT MICS #4 & T/G MICS #136 69. If the player tracking system is computerized, is the addition/deletion of points to player tracking accounts authorized by supervisory personnel documented? T/G MICS #136 Note: T/G MICS #136 does not apply to the deletion of points related to inactive or closed accounts through an automated process. 70. If the player tracking system is computerized, does the system prevent employees, who redeem points for members, from having access to inactive or closed accounts without supervisory personnel authorization? IT MICS #4 & T/G MICS #137 71. If the player tracking system is computerized is one of the following design standards met: (a) Can the system access be secured so that changes to the player tracking system parameters, such as point structures and employee access, must be performed by supervisory employees independent of the pit department? IT MICS #4 & T/G MICS #139 (b) If pit supervisory employees are allowed access to the system to make changes to player tracking system parameters is there sufficient documentation generated to support the propriety of such changes? T/G MICS #139 72. If the player tracking system is computerized, are all other changes to the player tracking system appropriately documented? T/G MICS #140 73. If so designed, does the system correctly summarize all contest/tournament entry fees and prize payouts (including mail transactions) on an accountability document on a daily basis? T/G MICS #141 74. If so designed, does the system correctly record 02/17/06 Page 9 of 15 American LegalNet, Inc. www.USCourtForms.com NEVADA GAMING CONTROL BOARD ASSOCIATED EQUIPMENT REVIEW CHECKLIST TABLE GAMES SYSTEMS Manufacturer: Review Date(s): System: Auditors’ Initials and Date Auditor(s): Version: Account #: Project #: Pass Fail N/A Comments contest/tournament entry fees and payouts on a document which contains T/G MICS #142: (a) Patron’s name? (b) Date of entry/payout? (c) Dollar amount of entry fee/payout (both alpha and numeric)? (d) A line for the signature or initials of individual completing transaction? (e) Name of contest/tournament? 75. If so designed, does the system summarize contest/tournament fees and payouts on a monthly document? T/G MICS #143 76. If so designed, does the system record the results of each contest/tournament for participant’s review which includes the following T/G MICS #145: (a) Name of the event? (b) Date(s) of the event? (c) Total number of entries? (d) Dollar amount of entry fees? (e) Total prize pool? (f) The dollar amount paid for each winning category? 77. If so designed, does the system record and maintain the names of each contest/tournament winner and can the names of the winners be suppressed unless authorized by management personnel)? T/G MICS #145 78. If so designed, does the system maintain records by day and shift indicating any single-deck blackjack games that were dealt for an entire shift? T/G MICS #147 79. Does the system have a computerized statistical analysis report? If so, does the system maintain a report reflecting the following (See MICS #163 for the definition of terms used in this standard) T/G MIC #148 & Regulation 6.040(2)(c): (a) Statistical drop? Statistical drop = Drop (per Regulation 1.095) (+) pit credit issues (-) pit credit payments in cash in the pit. (b) Statistical win? Statistical win = table games gross revenue [per Regulation 6.110(1)] (+) marker credits. (c) Statistical win to statistical drop hold percentage by table, type of game, shift, day, cumulative monthto-date and cumulative year-to-date? 80. Are the components of the above statistical win and statistical drop in compliance with the definitions at NRS 463.0161, NRS 463.3715(1), (2) & (5) and Regulations 1.095(1), 1.162, 1.180, 6.010(11) & (12), 6.110(1) & (8) and 6.120(1)? 81. If so designed, does the system prepare a table games statistical analysis report with base level statistical performance for comparison of statistical results? T/G MICS #149b Note: The base level is defined as either the statistical win to statistical drop percentage for the most recent calendar or fiscal year, or a rolling average statistical 02/17/06 Page 10 of 15 American LegalNet, Inc. www.USCourtForms.com NEVADA GAMING CONTROL BOARD ASSOCIATED EQUIPMENT REVIEW CHECKLIST TABLE GAMES SYSTEMS Manufacturer: Review Date(s): System: Auditors’ Initials and Date Auditor(s): Version: Account #: Project #: Pass Fail N/A Comments win to drop percentage for the immediately preceding 12 months. 82. If so designed, does the system produce a daily table games recap report for the day and month-to-date which includes the following T/G MICS #163: (a) Pit credit issues – For NGC-1 reporting purposes, “pit credit issues” include all of the following: (Pit credit issues do not include replacement markers issued as a result of a partial payment or a consolidation of markers into one new marker): (1) Markers issued in exchange for chips? (2) Markers issued in settlement of rim credit or call bets? (3) Rim credit repaid by a patron in the pit with chips? (4) Credit slips for personal and payroll checks? (5) Customer deposit withdrawals against front money (CDWs)? (b) Pit credit payments by a patron in chips in the pit (This amount also includes rim credit repaid in the pit by a patron with chips)? (c) Pit credit payments in cash in the pit (This amount does not include rim credit repaid in the pit with cash)? (d) Drop (per Regulation 1.095)? (e) Statistical win – Table games gross revenue [per Regulation 6.110(1)] (+) marker credits? Note: “Marker credits” is the amount of outstanding markers transferred from the pit to the cage. (f) Gross Revenue [per Regulation 6.110(1)] 83. Are the components of the above daily table games recap report (MICS #163) in compliance with the definitions at NRS 463.0161, NRS 463.3715(1), (2) & (5) and Regulations 1.095(1), 1.162, 1.180, 6.010(11) & (12), 6.110(1) & (8) and 6.120(1)? 84. If so designed, does the system produce records to reconcile the dollar amount of the currency drop to the actual drop by shift, if a table game is capable of determining drop? T/G MICS #164 85. If so designed, does the system generate a record of waived baccarat commissions using preprinted and prenumbered forms to include Regulation 6.115(2): (a) Date, shift and time the licensee determined to not collect the baccarat commission? (b) The amount of the baccarat commission not collected? (c) The baccarat table number? (d) Patron name, if known? (e) A line for the dealer’s signature? (f) A line for a baccarat supervisor’s signature? Note: The operating licensee must obtain approval pursuant to Regulation 6.115(2) to utilize such forms. 86. If the system records, increments and pays out inhouse progressive jackpots Regulation 5.110(2) & (3): (a) Is a log created which records the base amount and the amount of the jackpot at least once a day? (b) Are changes to the rate of progression noted in the system records? 02/17/06 Page 11 of 15 American LegalNet, Inc. www.USCourtForms.com NEVADA GAMING CONTROL BOARD ASSOCIATED EQUIPMENT REVIEW CHECKLIST TABLE GAMES SYSTEMS Manufacturer: Review Date(s): System: Auditors’ Initials and Date Auditor(s): Version: Account #: Project #: Pass 87. 88. N/A Comments If the linked system records, increments and pays out inter-casino progressive jackpots Regulation 5.112(3) & (4): (a) “If so designed” does a log record the base amount and the amount of the jackpot at least once a day? (b) If so designed, are changes to the rate of progression noted in the system records? 89. Fail If the system has an inter-casino linked system component, does it: (a) In the case of a progressive payoff schedule that increases as the inter-casino linked system is played, have a minimum rate of progression for the primary jackpot meter of not less than .4 of one percent of amounts wagered? Regulation 14.045(1) (b) In the case of an inter-casino linked system featuring a progressive payoff schedule that increases over time, have a minimum rate of progression for the primary jackpot meter of not less than one hundred dollars per day? Regulation 14.045(1) (c) Allow the progressive payoff schedule to be limited as allowed by Regulation 5.112(5)? (d) Have a method to secure data transmissions between the games and devices and the main computer of the operator? Note: The method will be considered for Board approval as part of this review. Regulation 14.045(2) If so designed, does the system accurately create the following regarding an inter-casino linked system Regulation 5.180(2)(h): (a) Progressive payoff schedule payout verification documents? (b) Exception reports? (c) End-of-day reports? (d) Progressive payoff schedule reports? (e) Game performance reports? (f) Weekly reconciliation reports? (g) Contribution to progressive payoff schedule reports? (h) Tax sharing methodology? (i) Others? TEST OF TRANSACTIONS Setup should include 2 pits of 6 tables each. Each pit should have 2 black jack, 2 roulette and 2 craps tables (or other table types). A cage window and a main banker window should also be setup. Terminals which would represent the cage and the pit should be setup separately to readily identify the area in which the transactions are being generated. Access levels should be appropriately set to verify transactions which may need overrides. Transactions should take place over a minimum period of 3 days and should include at least 2 shifts per day. Several patron accounts with front money and credit lines should be set up also. Prior to testing beginning reports should be generated. Pit Transactions Transactions should be rotated among the different tables, shifts and days. Void transactions should either be kept to a minimum or not performed at all on the first day. 02/17/06 Page 12 of 15 American LegalNet, Inc. www.USCourtForms.com NEVADA GAMING CONTROL BOARD ASSOCIATED EQUIPMENT REVIEW CHECKLIST TABLE GAMES SYSTEMS Manufacturer: Review Date(s): System: Auditors’ Initials and Date Auditor(s): Version: Account #: Project #: Pass 90. Void fills and credits. 93. Issue markers using front money players and credit players. 94. Issue a marker for a patron without enough credit. 95. Issue a marker for a patron without enough front money. 96. Void markers. 97. Make partial payments on markers and issue replacement markers. 98. Make a partial payment and then void the payment. 99. Make marker payments using various types of payment types. a. Front money (CDW’s) b. Cash c. Chips 100. Comments Issue credits. 92. N/A Issue fills. 91. Fail Apply one payment to several markers for the same patron. Note: Not all systems are capable of doing this. 101. Make marker payments using various types of payment types and then void the payment. a. Front money (CDW’s) b. Cash c. Chips Does the patron’s available line of credit decrease and then increase? 102. Attempt to void a marker currently located in the pit from the cage. Does the system prevent this? 103. Attempt to void a marker issued in the pit from a previous day that is now in cage accountability. Does the system prevent this? 104. Attempt to make full and partial payments on a marker issued in the pit from a previous day that are now in cage accountability. Does the system prevent this? 105. Make a payment on a replacement marker. 106. Void a partial payment and the replacement marker. 107. Individually transfer a marker to the cage. 108. Initiate a mass marker transfer, void the transfer and then make a payment on one of the markers. 109. Perform a mass marker transfer. 110. If the system has a currency counter interface perform 02/17/06 Page 13 of 15 American LegalNet, Inc. www.USCourtForms.com NEVADA GAMING CONTROL BOARD ASSOCIATED EQUIPMENT REVIEW CHECKLIST TABLE GAMES SYSTEMS Manufacturer: Review Date(s): System: Auditors’ Initials and Date Auditor(s): Version: Account #: Project #: Pass Fail N/A Comments the drop as follows: a. Using pre-counted money, run money through the counter for each table. b. Verify that the number of bills and denominations are accurately reflected on the counter tape or report by table and in total. c. Trace the drop totals by table and in total to the daily table games recap report. 111. If there is not a currency counter interface perform a manual drop. Verify the drop entered by table and in total trace to the daily table games recap report and the master gaming report. 112. Trace all source documents (fills, credits, markers, payments, etc.) generated to the master gaming report and other applicable reports. 113. Foot and cross-foot all reports generated. Back Office Accounting 114. Void the following documents from accounting: a. Fills b. Credits c. Markers 115. Add the following manual documents: a. Fills b. Credits c. Markers 116. Void one of each type of manual document. 117. Adjust the drop and the closing table bankroll. 118. Make adjustments to fills, credit, and markers in soft count. 119. Make adjustments to fills, credits, and markers in accounting. 120. Try to add a manual marker for an amount greater than the patron’s credit line. 121. Can the following types of changes be made past the posting of the period: a. Fills/credits b. Marker issues/payments c. Table games drop d. Opening/closing table bankroll 122. Verify all adjustments and voids are accurately stated by tracing into all applicable reports. 123. Foot and cross-foot all reports affected by any adjustment or void to verify the accuracy of the totals. 124. Do exception reports document all adjustments and voided activity? Returned Items and Write-Offs (if applicable) Complete the following steps over a 3 day period. 02/17/06 Page 14 of 15 American LegalNet, Inc. www.USCourtForms.com NEVADA GAMING CONTROL BOARD ASSOCIATED EQUIPMENT REVIEW CHECKLIST TABLE GAMES SYSTEMS Manufacturer: Review Date(s): System: Auditors’ Initials and Date Auditor(s): Version: Account #: Project #: Pass Fail N/A Comments Use an established base of issued markers and cashed checks from which to perform transactions. If transactions need a day to lapse prior to performing additional transactions a 4th day may be required to establish a base of returned markers and checks. Prior to completing the following transactions generate all reports (i.e. marker aging reports, marker deposit reports, returned item aging reports, write-off aging report.) While performing the following steps it may be helpful to generate before and after reports to track the transactions. 125. Deposit 30 or more markers and checks. Note: On the first day of testing 50 markers and checks should be deposited since these will be used to generate future return transactions. 126. Using the deposit information return 20 markers and checks. 127. Post partial payments and full payments to returned items (including checks). 128. Post additional partial payments to return items that had payments posted on a previous day. 129. On the second day redeposit an item that was previously returned. 130. Void a partial and a full payment on returned items. 131. Write-off several of the following items: a) Returned marker with no payments posted. b) Returned marker with a partial payment posted. c) Returned check with no payments posted. d) Returned check with a partial payment posted. 132. Post full and partial payments to written-off items. Be sure to post payments to items written off on previous days. 133. Early clear a deposit. 134. Void a marker in deposit status. 135. Reverse an item (change the status) of an item that was written off. 136. Verify all return and write-off activity is presented accurately by following the transactions through the various reports. This step is best accomplished when reports are generated before and after the transaction. 137. Foot and cross-foot all return and write-off reports to verify the accuracy of the totals. 02/17/06 Page 15 of 15 American LegalNet, Inc. www.USCourtForms.com