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SELF-REGULATION SERVICES

SAFE AND FAIR SEALS

eCOGRA’s Safe and Fair seal is awarded to those operators which comply with eCOGRA’s Generally Accepted Practice (‘eGAP’) requirements covering player protection, fair gaming and responsible operator behaviour.

What does and eGAP Safe and Fair certification involve?

Applicants are assessed annually through comprehensive onsite compliance reviews by eCOGRA compliance specialists. On demonstrating compliance a report is submitted to eCOGRA’s Seals Compliance Committee for final approval.

The methodology for testing incorporates a combination of internal control evaluation, which involves an assessment of the effective implementation and monitoring of policies and procedures, and substantive testing, where verification is obtained through inspection of samples, relevant source documentation and visual website representation.

The eGAP requirements combine elements of corporate governance, legal compliance, financial controls, systems controls and operational controls.  The nature and size of operations covered require a risk-based approach to the review. Risk categories are assigned to the eGAP requirements and the extent of review procedures represent mitigation of the perceived and actual risk. A specific focus is placed on player payments and receipts, record retention, internal security requirements, responsible gaming, player and gaming funds and IT security over player information. High risk areas of anti-money laundering procedures, control over advertising and promotions and probity requirements are also included.

Stage 1
Planning and preparation for review
One to two months prior to the review the planning and preparation commences.

eCOGRA’s role:

Provision of a remote gap analysis workshop and provision of appropriate advice, policies and information to ensure that your operation complies with industry best practices and eGAP requirements.

Submission of proposed dates.

The eCOGRA team will be planned and relevant travel arrangements will be made.

Operator’s role:

Confirmation of proposed review dates.

Planning of operator/software provider staff prior to the review is essential to ensure the efficient and timely completion of on-site compliance work.

The updated compliance work programmes provide guidance and pre-review planning and are developed for each department and issued to the department representative well in advance of the review.

Stage 2
Conducting the onsite review
Once the planning and preparation stage has been completed, the onsite review will commence.

eCOGRA’s role:

Completion of onsite review in a timeframe of 5 days and will be based on the work programme and schedule submitted.

Informal feedback on issues identified will be provided to the operator/software provider at the end of the review period.

Operator’s role:

Provision of updated work programmes and assistance from relevant staff in completion of the review procedures.

Stage 3
Interim report for management comment
An interim investigative compliance report is submitted to management. The reports are prepared in a standard format and are sanitised to ensure confidentiality of the information. Software providers and service providers will only receive those sections relevant to their review.

eCOGRA’s role:

Completion and quality review of the interim investigative compliance report.

Formal submission, with an invoice, for management comments to the relevant operator, its software providers and service providers if appropriate.

Operator’s role:

Assistance in resolution of matters that were not resolved during the course of the review.

Stage 4
Follow up review
Matters may be identified that are not resolved during the course of the review and these matters will require follow up procedures. Initial reviews require full compliance with all eGAP requirements prior to the eCOGRA Safe and Fair seal being issued, there is no time limit on this process.

eCOGRA’s role:

Conclude follow up review requirements remotely.

The eCOGRA team will work with your management team to ensure that sufficient evidence is obtained to substantiate compliance for outstanding issues.

Operator’s role:

Assistance in resolution of follow up review requirements.

Stage 5
Submission of executive summary to eCOGRA’s Seals Compliance Committee
An executive summary reporting on the status of the operator/software provider review is submitted to the eCOGRA Seals Compliance Committee on a quarterly basis. All discussion and actions agreed at the Seals Compliance Committee meeting will be recorded in the minutes of the meeting and formal sign-off will be obtained for compliant operators/software providers.
Stage 6
Notification to operator
Notification of approval of the compliance status will be submitted to the relevant operator/software provider subsequent to the Seals Compliance Committee meeting. In addition, the formal sign-off document together with any unresolved issues will be communicated to other relevant and authorised parties where applicable.
Stage 7
Subsequent annual reviews
eCOGRA Investigative Compliance Reviews must be performed annually. To accommodate operational issues that may arise at operators/software providers, a 3 month grace period will be allowed and calculated from the date the next annual review was expected to be performed. All proposed and agreed dates should therefore fall within the allocated 15 month period (12 months + 3 months grace period). In the event that the 15 month period cannot be complied with, the eCOGRA Safe and Fair seal will be suspended until such time as the review has taken place.

 

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