Chapter 3772-15 | Independent Testing Laboratories

Rule 3772-15-01 | Independent testing laboratory certification.

• Effective: July 5, 2022
• Promulgated Under: 119.03

(A) An independent testing laboratory must request to be certified by the commission to scientifically test and technically evaluate electronic gaming equipment to be used in casino gaming for compliance with Chapter 3772. of the Revised Code and the rules adopted thereunder.

(B) Commission certification to scientifically test and technically evaluate machines, equipment, software, or other goods to be used in regulated industries other than casino gaming does not grant authority to test or technically evaluate electronic gaming equipment to be used in casino gaming.

(C) An independent testing laboratory requesting certification or renewal certification must pay a nonrefundable certification fee of five thousand dollars.

(D) The certification fee may be increased to the extent that the cost of the compliance investigation exceeds the certification fee set forth in paragraph (C) of this rule. The executive director must advise the independent testing laboratory 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 testing laboratory until the entirety of the certification fee is paid.

(E) 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.

(F) An independent testing laboratory 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.

(G) Independent testing laboratory certification expires five years after the date of certification.

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

Last updated July 5, 2022 at 10:41 AM

Supplemental Information

Authorized By: 3772.03, 3772.033
Amplifies: 3772.03, 3772.31
Five Year Review Date: 7/5/2027

Rule 3772-15-02 | Compliance investigation of an independent testing laboratory.

• Effective: July 5, 2022
• Promulgated Under: 119.03

An independent testing laboratory must undergo a compliance investigation at least once every five years, as determined by the executive director, to verify compliance with Chapter 3772. of the Revised Code and the rules adopted thereunder.

(A) All information, documents and materials required by the executive director, must be provided at the independent testing laboratory's sole expense and cost, and the independent testing laboratory must bear the cost of the investigation.

(B) An independent testing laboratory 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 section 3772.16 of the Revised Code.

(C) The compliance investigation may include, but is not limited to, a review of the independent testing laboratory'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 tests;

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

(5) Financial viability to conduct all required testing; and

(6) Compliance with the requirements of certification as established by Chapter 3772. of the Revised Code and the rules adopted thereunder.

Last updated July 5, 2022 at 11:51 AM

Supplemental Information

Authorized By: 3772.03, 3772.033
Amplifies: 3772.03, 3772.31
Five Year Review Date: 7/5/2027
Prior Effective Dates: 4/29/2017

Rule 3772-15-03 | Requirements of certification.

• Effective: July 5, 2022
• Promulgated Under: 119.03

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

(1) Be independent of any entity or product for which the laboratory provides testing services;

(2) Maintain "Professional Liability (Errors and Omissions) Insurance" of not less than one million dollars;

(3) Maintain accreditation from a reputable accrediting body to International Organization for Standardization (ISO) standards 17020 and 17025, and any other standards as required by the executive director;

(4) Employ a full-time quality manager who is responsible for ensuring compliance with national accreditation standards and Chapter 3772. of the Revised Code and the rules adopted thereunder;

(5) Maintain physical security at each laboratory facility, including but not limited to, surveillance systems and alarms to minimize the risk that confidential information is misappropriated;

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

(7) The laboratory must utilize verification methodologies required by the executive director. The laboratory must request approval from the executive director to use alternative verification methodologies. If approved, the laboratory must provide the verification tool utilizing the alternative verification methodologies to the commission;

(8) Ensure that testing and support procedures are performed consistently at all laboratory locations;

(9) Make available to the commission, upon request, all policies, procedures and records of the independent test laboratory;

(10) Make available to the commission, upon request, a master list of all test methods, standards, forms, and other relevant documents used in the independent test laboratory;

(11) Not subcontract any testing without the prior written approval of the executive director;

(12) Maintain all records for a minimum of five years unless otherwise specified as follows:

(a) Maintain for a minimum of five years after an associated commission approval is no longer in effect, an electronic database containing testing data, reports, and related materials and provide access to the commission. Data, reports, and related materials must be provided in a format and through a mechanism required by the commission;

(b) If not available from the manufacturer, maintain an inventory of gaming equipment and versions of software tested by the laboratory and approved by the commission for a minimum of five years after an associated commission approval is no longer in effect; and

(c) Maintain for a minimum of five years after the end of the laboratory's certification period in which the submission occurred, all software and associated documentation and source code submitted for testing, but not subsequently approved by the commission. The information must be stored in a manner which is secure and readily accessible to appropriately approved laboratory personnel.

(13) Assist the commission in investigations when requested, at the expense of the independent testing laboratory. The independent testing laboratory may seek reimbursement from the owner of the devices subject to investigation;

(14) When requested, a laboratory must assist or train commission agents in accounting, auditing, compliance, security, technology, and verification practices for any submission to that laboratory seeking approval from the commission; and

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

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

Last updated July 5, 2022 at 11:51 AM

Supplemental Information

Authorized By: 3772.03, 3772.033
Amplifies: 3772.03, 3772.31
Five Year Review Date: 7/5/2027
Prior Effective Dates: 4/29/2017

Rule 3772-15-04 | Duties of a certified independent testing laboratory.

• Effective: July 5, 2022
• Promulgated Under: 119.03

(A) A certified independent testing laboratory must provide a recommendation on whether the electronic gaming equipment complies with Chapter 3772. of the Revised Code and the rules adopted thereunder.

(B) A certified independent test laboratory must provide a report to the commission of its test results for each submission to be considered for approval by the commission. The report must be provided in a format approved by the commission. No submission will be considered approved for use in Ohio until approved by the commission.

(C) A certified independent testing laboratory must testify at any administrative hearing or court proceeding as requested by the commission.

(D) A certified independent testing laboratory must annually review each of its employees. This review must include a criminal background check and an assessment of the training, experience, performance, and competence of each employee.

(E) A certified independent testing laboratory must take corrective action whenever any nonconforming work is discovered, laboratory procedures are not followed, procedures are required to be changed or other unsatisfactory conditions exist. A report must be filed internally by the quality manager describing why the problem occurred, what was done to resolve the problem, and how the problem will be prevented in the future. Such report must be made available to the commission upon request.

(F) A certified independent testing laboratory must establish and maintain a training program for its employees to ensure the employees maintain the experience and expertise to conduct all testing required by the commission. Training records must be maintained for all employees and made available to the commission upon request.

(G) A certified independent testing laboratory must test and verify that all testing equipment and software used internally is suitable for use. The laboratory must have internal policies to verify that such equipment and software will perform as needed. The laboratory must maintain records of test cases involving the validation of equipment, software, and methods. All testing performed by the laboratory must be traceable to a test method that has been suitably validated.

Last updated July 5, 2022 at 10:42 AM

Supplemental Information

Authorized By: 3772.03, 3772.033
Amplifies: 3772.03, 3772.31
Five Year Review Date: 7/5/2027
Prior Effective Dates: 4/1/2012