Selecting an external independent assessor

It is up to each lottery to choose a qualified external independent assessor. Those applying for certification should consider a variety of bodies as potential assessors, based on their capabilities. You can find a list of assessors at www.digitalrg.com.

Useful tips

Potential Assessors may include:

• Established, accredited auditor certification bodies.
• Assurors of corporate responsibility, sustainability performance, or auditors of financial and/or non-financial statements.
• Non-governmental organizations in gaming or related areas.
• Governmental organizations exerting regulatory control, directly or on behalf of the regulator,
• Suitably qualified individuals or teams.
• For Level 4 submissions an internal audit team, provided the IA report is validated by an external assurance provider as per the criteria for the first four items in this list.

Assessors should:

• Be adequately experienced to assess the degree of alignment with the RG Level 4 requirements based at leaston ‘agreed upon procedures’ level of assurance.
  
• Have sufficient knowledge of audit, review and assessment methods to be able to carry out a robust investigation, and to obtain an accurate account of alignment.
  
• Conduct the assessment according to a submitted assessment plan.
  
• Be independent to be able to draw objective conclusions.
• Have a clear decision-making structure to interpret findings and ensure proper conclusions are drawn e.g. through a lead assessor, chair or team leader.
• Be in a legal position to signa formal binding confidentiality agreement, either individually or collectively.
• Maintain records of assessments securely and confidentially for at least a period of three years.

Assessors must not:

• Be linked to the lottery in a way that could affect or be perceived as affecting the impartiality of the assessment.
• Have had any significant input into the responsible gaming processes of the lottery, or have significantly participated in the design, development, implementation or maintenance of any supporting management systems that contribute to alignment.
• Sub-contract any part of the assignment, unless this is disclosed, and detailed information included in the submitted assessment plan.

Other considerations

Although it is not a requirement that assessors be formally accredited to an international or national standard, it may be beneficial if they are.

Examples of recognized certification standards include:

• ISO/IEC 17021 Conformity assessment: Requirements for bodies providing audit and certification of management systems.
• European Standard EN45012: General requirements for bodies operating assessment and certification / registration of quality systems.
• International Standard on Assurance Engagements (ISAE) 3000 Revised, Assurance Engagements Other than Audits or Reviews of Historical Financial Information.

Find out more about WLA RGF certification and details of certified WLA Lottery Members and certified WLA Associate Supplier Members.