AGCO Standards GCAM

_______________are the individual policies, procedures, business processes, monitoring systems, structures, accountabilities, tools and instruments, etc., that comprise the control environment management establishes to address the regulatory risks identified by the AGCO and achieve the regulatory objectives reflected in the Standards and Requirements.

_______________is an approach to granting access whereby two or more authorized individuals must operate in concert in order to authorize an individual to obtain access to a sensitive area. (1 mark)

_______________are those persons who are not prohibited from accessing gaming sites or playing lottery schemes under Standards 3.1 or 3.2.

______________means the Financial Transactions and Reports Analysis Centre of Canada.

_______________includes hardware, software, applications and all associated components of gaming supplies and the technology environment.

______________ means the Gaming Control Act, 1992

_______________ means a person who operates a gaming site, and includes OLG.

________________are assets that require strict access controls to ensure gaming integrity and protection of assets, and include at a minimum cash and cash equivalents, cash boxes, controller chips, keys that enable access to sensitive areas of a gaming machine or premises or items that affect the outcome of a game including but not limited to cards, dice, roulette and bingo balls, tiles and bingo paper.

________________is an approach to authentication that requires the use and verification of two of the following authentication factors in order for an individual to gain access to a sensitive area: something they have (e.g. a key or card); something they know (e.g. a password or combination); or something they are (e.g. fingerprint).

Select the six (6) Risk Themes in order.

Which Risk Theme does this fall under: Only eligible individuals are permitted to play a lottery scheme.

Which Risk Theme does this fall under: There shall be an independent “whistleblowing” process to allow employees to anonymously report deficiencies or gaps in the control environment as well as incidents of possible non-compliance with the controls, Standards and Requirements, or the law.

Which Risk Theme does this fall under: Organizational structures shall be designed to promote a sound control environment and proper segregation of duties to ensure that the possibility for collusion or unauthorized or illegal activities is minimized

Which Risk Theme does this fall under: OLG shall provide a common voluntary self-exclusion program.

Which Risk Theme does this fall under: Operators shall have available for review by the AGCO floor plans and documentation showing that the premises complies with all applicable laws (Ie. Zoning by-laws respecting the use of the premises, Building Code Act, 1992, Fire Protection and Prevention Act, 1997 (including emergency evacuation plans), Health Protection and Promotion Act, 1997, Liquor Licence Act)

Which Risk Theme does this fall under: All gaming activities and financial transactions shall be conducted fairly and honestly, and must be independently verifiable.

Which Risk Theme does this fall under: Players shall have the means to track the passage of time.

Which Risk Theme does this fall under: All surveillance recordings shall be retained for a minimum period as specified by the Registrar.

Which Risk Theme does this fall under: Information about the risks of gambling and where to obtain additional information or assistance shall be made readily available to all patrons.

Which Risk Theme does this fall under: Only eligible individuals are permitted access to a gaming site.

Which Risk Theme does this fall under: Reasonable accommodation may be provided to patrons and employees based on disabilities or religious beliefs and/or to address health and safety requirements, so long as these accommodations do not affect the integrity of the game or obscure independent monitoring activities.

Which Risk Theme does this fall under: Mechanisms shall be in place to allow a game to be recreated up to and including the last communicated state to the player.

Which Risk Theme does this fall under: A policy and process shall be in place to provide individuals with security escorts to and from vehicles, where it is requested.

Which Risk Theme does this fall under: Anti-money laundering policies and procedures to support obligations under the Proceeds of Crime (Money Laundering) and Terrorist Financing Act shall be implemented
and enforced.

Which Risk Theme does this fall under: There shall be site emergency procedures to protect the public from personal harm and limit the damage to or loss of gaming-related assets.

Which Risk Theme does this fall under: Operators shall have mechanisms in place to appropriately deter, prevent and detect collusion and cheating

Which Risk Theme does this fall under: Game designs and features shall be clear and shall not mislead the player.

Which Risk Theme does this fall under: Lottery schemes shall be provided only within Ontario, unless the lottery scheme is conducted in conjunction with the government of another province.

Which Risk Theme does this fall under: Areas under the control of the Operator shall be monitored for the presence of unattended children. All occurrences of unattended children shall be addressed and reported in accordance with the established notification matrix.

Which Risk Theme does this fall under: Security and surveillance shall be in place to protect the public and gaming-related assets and to record transactions.

Which Risk Theme does this fall under: All relevant activities related to the detection of collusion and cheating shall be logged.

Which Risk Theme does this fall under: Support shall be provided to persons showing signs of potentially problematic gambling behavior.

Which Risk Theme does this fall under: Mechanisms shall be in place to reasonably identify and prevent unlawful activities at the gaming site.

Which Risk Theme does this fall under: Lottery schemes must be conducted in accordance with the approved rules of play.

Compliance Officers conduct periodic inspections to assess Gaming Site compliance with AGCO Standards for Gaming for high risk areas. These inspections are structured and include formal documentation and reporting of non-compliance to management for timely remediation. High risk areas have been identified in consultation with Gaming Management using professional judgment, AGCO risk profiles, past audit findings and historical data to identify repetitive compliance incidents and resulting regulatory sanctions (e.g. fines, LOIs, warning letters, etc.). The inspections focus on responsible gambling, self-exclusion, access for prohibited individuals (minors), game integrity and slot machine activation.

Gaming activities are recorded by Surveillance on a twenty-four (24) hour basis. Where twenty-four hour (24) coverage or continuous recording is required, recording occurs in real-time. Surveillance maintains their independence by ensuring information, communication, reports, documents resulting from the duties of Surveillance Operators and Technicians are confidential and are not disclosed by Surveillance personnel.

If an individual is suspected to be intoxicated, Gaming Staff notify Security. Surveillance is notified of the intent to assess the individual. If the individual is verified to be intoxicated, they are removed from the site.

Surveillance Operators (or above) have specific viewing criteria for significant movements of cash and cash equivalents, Slot and Table drops, table fills and credits and the movement of cash between various accountability locations. Surveillance is notified of these transactions prior to their commencement.

If a self-excluded patron attempts a Loyalty Card transaction at the Winner’s Circle counter, a Patron Information Repository (PIR) alert notifies the Customer Relations Representative who, in turn, notifies a Security Officer (or above) to investigate.

Gaming sites have ongoing management supervision by Department Supervisors (or above) and surveillance monitoring to monitor compliance and identify deviations from established policies and procedures. Staff compliance is measured through Site Audit Exception Reports (AERs) and Surveillance Procedure Violation Notifications (PVNs) and through the annual Performance Management Process. Consistent Performance Guidelines (CPG) are in place for Department Supervisors (or above) to address performance issues through progressive discipline.

BONUS: How many Risk Themes has AGCO identified under Risk Based Regulation for land-based gaming operations in Ontario?

BONUS: On what date does AGCO Risk Based Standards go live?

BONUS: What information is contained in the Control Activity Matrix?

BONUS: With the implementation of AGCO Risk Based Standards, which document(s) will no longer be in effect?

BONUS: Under Risk Based Standards, who defines the Risk Themes, Standards and Controls?

SUPER BONUS: Why are we shifting to Risk Based Standards? Please select the best answer: