Chapter 3775-14 | Independent Integrity Monitor Certification

Rule 3775-14-01 | Independent integrity monitor certification.

• Effective: August 15, 2022
• Promulgated Under: 119.03

(A) An independent integrity monitor must request to be certified by the commission to monitor sports gaming activity for compliance with Chapter 3775. of the Revised Code and the rules adopted thereunder.

(B) An independent integrity monitor requesting certification or renewal certification must pay a nonrefundable certification fee of five thousand dollars.

(C) The certification fee may be increased to the extent that the cost of the compliance investigation exceeds the certification fee set forth in paragraph (B) of this rule. The executive director must advise the independent integrity monitor in writing that an additional certification fee is required and the amount and purpose of the additional fee. The commission will not certify an independent integrity monitor until the entirety of the certification fee is paid.

(D) Unless otherwise approved by the executive director, all fees must be submitted by electronic funds transfer payable to the treasurer of the state of Ohio.

(E) An independent integrity monitor requesting certification or requesting renewal certification must undergo a compliance investigation. Results from a compliance investigation completed within the year prior to a renewal certification request may be applied to the renewal certification request at the executive director's discretion.

(F) Independent integrity monitor certification expires five years after the date of certification.

(G) A certified independent integrity monitor may request renewal of the certification by submitting an intent to renew not less than ninety days before the expiration of the certification.

(H) The request to be certified as an independent integrity monitor and the granting of the certification by the commission, and subject to any other requirements imposed by Chapter 3775. of the Revised Code and the rules adopted thereunder, constitutes the contract required by section 3775.02 of the Revised Code.

Last updated August 15, 2022 at 8:42 AM

Supplemental Information

Authorized By: 3775.02
Amplifies: 3775.02, 3775.10
Five Year Review Date: 8/15/2027

Rule 3775-14-02 | Compliance investigation of an independent integrity monitor.

• Effective: August 15, 2022
• Promulgated Under: 119.03

(A) An independent integrity monitor must undergo a compliance investigation at least once every five years, as determined by the executive director, to verify compliance with Chapter 3775. of the Revised Code and the rules adopted thereunder. All information, documents and materials required by the executive director, must be provided at the independent integrity monitor's sole expense and cost, and the independent integrity monitor must bear the cost of the investigation.

(B) An independent integrity monitor should clearly identify those portions of the information submitted that it deems to be confidential, proprietary commercial information or trade secrets. Information provided as part of the certification process are open to public inspection to the extent permitted by Ohio's Public Records Act and Chapter 3775. of the Revised Code.

(C) The compliance investigation may include, but is not limited to, a review of the independent integrity monitor's:

(1) Business structure including, but not limited to, its ownership and controlling interests;

(2) Policies and procedures to determine if they prevent conflicts of interest, provide for segregation of duties, detect and prevent fraud, and ensure impartiality;

(3) Staff experience and expertise to conduct all required analysis and monitoring;

(4) Staff and equipment to determine if they are sufficient to conduct all required analysis and monitoring;

(5) Financial viability to conduct all required analysis and monitoring; and

(6) Compliance with the requirements of certification as established by Chapter 3775. of the Revised Code and the rules adopted thereunder.

Last updated August 15, 2022 at 8:42 AM

Supplemental Information

Authorized By: 3775.02
Amplifies: 3775.02, 3775.10
Five Year Review Date: 8/15/2027

Rule 3775-14-03 | Requirements of certification.

• Effective: August 15, 2022
• Promulgated Under: 119.03

(A) To be certified and maintain certification, the independent integrity monitor must meet the following requirements:

(1) Be independent of any entity, event, or product being monitored;

(2) Maintain IT security necessary to minimize the risk that confidential information is misappropriated;

(3) Make available to the commission, upon request, all policies, procedures and records of the independent integrity monitor;

(4) Make available to the commission, upon request, all analysis and monitoring methods, equipment, standards, forms, and other relevant items used by the independent integrity monitor provider;

(5) Any additional condition imposed by the commission at a meeting held under section 3772.02 of the Revised Code.

(B) The independent integrity monitor provider must notify the executive director immediately if it fails to maintain compliance with any of these requirements.

Last updated August 15, 2022 at 8:42 AM

Supplemental Information

Authorized By: 3775.02
Amplifies: 3775.02, 3775.10
Five Year Review Date: 8/15/2027

Rule 3775-14-04 | Duties of a certified independent integrity monitor.

• Effective: October 26, 2024
• Promulgated Under: 119.03

(A) Each certified independent integrity monitor must collect and analyze information to identify integrity concerns in a format approved by the executive director.

(B) Each certified independent integrity monitor must share reports of unusual sports gaming activity with other certified independent integrity monitors as required by the executive director. A certified independent integrity monitor may share information related to these reports with its contracted sports gaming proprietors to the extent necessary to determine if the unusual sports gaming activity is suspicious as required by the executive director.

(C) A certified independent integrity monitor must provide a report to the commission, its contracted sports gaming proprietors, all certified independent integrity monitors, or appropriate sports governing bodies as required by the executive director. The report must be provided upon identification, in a format approved by the executive director. Any certified independent integrity monitor receiving a report under this paragraph must promptly provide the report to its contracted sports gaming proprietors.

(D) A certified independent integrity monitor must take corrective action whenever any nonconforming work is discovered, procedures are not followed, procedures are required to be changed, or other unsatisfactory conditions exist. The commission must be notified of the unsatisfactory condition and the corrective action being taken as soon as practically possible.

(E) A certified independent integrity monitor must establish and maintain a training program for its employees to ensure the employees maintain the experience and expertise to conduct all analysis and monitoring required by the commission. Training records must be maintained for all employees for at least three years and made available to the commission upon request.

(F) A certified independent integrity monitor must maintain records of all integrity monitoring services and activities relating directly or indirectly to Ohio sports gaming for a minimum of five years and must provide the commission with access to these records in a manner approved by the executive director.

(G) All integrity monitoring information and reports are not public records and can only be shared or used to the extent allowed under Chapter 3775. of the Revised Code and the rules adopted thereunder.

Last updated October 29, 2024 at 8:19 AM

Supplemental Information

Authorized By: R.C. 3775.02
Amplifies: R.C. 3775.02, 3775.10
Five Year Review Date: 8/15/2027
Prior Effective Dates: 8/15/2022