Connecticut Administrative Code
Title 12 - Taxation
865 - Online Casino Gaming, Retail and Online Sports Wagering, Fantasy Contests, Keno and Online Sale of Lottery Tickets
Section 12-865-13 - Electronic Wagering Platform Requirements
Universal Citation: CT Reg of State Agencies 12-865-13
Current through September 9, 2024
(a) The provisions of this section apply to all electronic wagering platforms used by an online gaming operator to offer any of the following, directly or through a sports wagering retailer:
(1) Interactive
online games;
(2) Retail sports
wagering:
(3) Online keno;
and
(4) Online lottery.
(b) All equipment for an electronic wagering platform under this section, except equipment used exclusively for fantasy contests, shall be located as follows:
(1) Hardware shall be located in a facility
owned or leased by the online gaming operator that is secure, inaccessible to
the public, and specifically designed to house that equipment, and where the
equipment shall be under the control of the online gaming operator, within the
state or located as permitted under subsection (bb) of this section;
and
(2) Hardware and any backup
hardware for an electronic wagering platform used solely to operate fantasy
contests is not required to be located within the State of
Connecticut.
(c) Online gaming operators shall take commercially reasonable steps to ensure that redundancy protocols are adopted in the event electronic wagering platform outages occur. Such steps shall include that the backup hardware is located in a secure facility, inaccessible to the public and located in the state. The Department may permit backup hardware for the operation of online lottery and online keno to be located outside of the state if an appropriate location is approved by the department in writing, which approval shall be at the commissioner's discretion and not subject to administrative appeal. The online gaming operator shall ensure the department has access to the physical location where the server is housed within six hours of a request by the department, which access shall be reflected in the agreement between the online gaming operator and the cloud-based server host.
(d) The online gaming operator shall provide access to electronic wagering platform related data considered necessary by the department and in a manner approved by the department. For electronic wagering systems operating online lottery and keno, the online gaming operator shall give the department the ability to independently monitor the electronic wagering platform transactions and reporting related to online lottery and keno.
(e) An electronic wagering platform used for operating online keno and online lottery shall also comply with the provisions set forth in sections 12-865-17 and 12-865-21 of the Regulations of Connecticut State Agencies.
(f) Electronic wagering platforms shall require a patron after fifteen minutes of user inactivity, as measured by the electronic wagering platform, to re-enter his or her username and password manually or through biometric authentication, including fingerprint, facial or voice recognition, or any other method approved by the department.
(g) Each online gaming operator offering internet gaming shall comply with the data privacy provisions of section 12-865-32 and the cybersecurity provisions of section 12-865-33 of the Regulations of Connecticut State Agencies and shall perform an annual system integrity and security assessment conducted by an independent security professional selected by the licensee and licensed by the department as an online gaming service provider. The independent professional's report on the assessment shall be submitted to the department annually within thirty days of submission of the report to the licensee and shall include:
(1) Scope of review;
(2) Name and company affiliation of the
individual or individuals who conducted the assessment;
(3) Date of the assessment;
(4) Findings;
(5) Recommended corrective action, if
applicable; and
(6) Licensee's
response to the findings and recommended corrective action.
(h) An electronic wagering platform shall utilize sufficient security to ensure patron access is appropriately limited to the account holder. Unless otherwise authorized by the department, security measures shall include at a minimum:
(1) A username;
(2) Compliance with NIST Special Publication
800-63-3 "Digital Identity Guidelines" for password and access security
including requiring two of the three multi-factor identification methods, which
include a (i) strong alphanumerical password; (ii) fingerprint or other
biometric data; and (iii) cryptographic key by SMS or electronic mail
verification, or other requirements set forth by the department under section
12-865-3(n) of the Regulations of Connecticut State Agencies; and
(3) Electronic notification to the patron's
registered electronic mailing address, cellular phone or other device each time
an internet gaming account is accessed, except that a patron may opt out of
such notification.
(i) An electronic wagering platform shall be designed to detect and report:
(1) Suspicious behavior, such as cheating,
theft, embezzlement, collusion, money laundering, or any other illegal
activities; and
(2) The creation of
an account by an excluded person or any individual who is prohibited from any
form of internet gaming.
(j) Internet gaming account access information shall not be permanently stored on a patron device that is provided for patron use at a sport wagering retailer facility. Such information shall be masked after entry, encrypted immediately after entry is complete, and may be temporarily stored or buffered during patron entry provided that the buffer is automatically cleared as follows:
(1) After
the patron confirms that the account access entry is complete; or
(2) If the patron fails to complete the
account access entry within one minute.
(k) Unless otherwise approved by the department, an electronic wagering platform shall associate a patron's account with a single patron device during each patron session.
(l) Each patron session shall have a unique identifier assigned by the electronic wagering platform.
(m) The electronic wagering platform shall immediately terminate a patron session whenever:
(1) Required by the department or
licensee;
(2) The patron ends a
session;
(3) The patron logs onto
the system from another patron device;
(4) The patron fails more than once any
authentication during a game or patron session; or
(5) A system error impacts game
play.
(n) Electronic wagering platforms shall employ a mechanism that can detect and prevent any patron initiated wagering or withdrawal activity that would result in a negative balance of an internet gaming account.
(o) Electronic wagering platforms shall disable a patron's account after three failed log in attempts and require strong authentication to recover or reset a password or username.
(p) An electronic wagering platform shall allow a patron to establish responsible gaming limits. Any change making the limits more restrictive shall be effective no later than the patron's next log in.
Any change making the limits less restrictive shall become effective only after the time limit previously established by the patron has expired and the patron reaffirms the requested change.
Responsible gaming limit options offered to patrons shall include, but are not limited to, the following:
(1) A deposit limit shall be offered on a
daily, weekly, and monthly basis and shall specify the maximum amount of money
a patron may deposit into his or her internet gaming account during a
particular period of time.
(2) A
spend limit shall be offered on a daily, weekly, and monthly basis and shall
specify the maximum amount of patron deposits that may be put at risk during a
particular period of time.
(3) A
time-based limit shall be offered on a daily basis and shall specify the
maximum amount of time, measured hourly from the patron's log in to log off, a
patron may spend playing on an electronic wagering platform, provided, however,
that if the time-based limit is reached a patron will be permitted to complete
any round of play.
(q) An electronic wagering platform shall implement automated procedures to identify and prevent the following individuals from placing a wager:
(1) Individuals under the minimum legal
age;
(2) Individuals outside of
Connecticut;
(3) Individuals on the
self-exclusion list;
(4) Patrons
who have had their account closed;
(5) Patrons who have had their account
suspended;
(6) Patrons who have
exceeded their spend or time-based limit; and
(7) Patrons prohibited from placing a wager
pursuant to the act, but only with regard to the categories of games that such
patrons are prohibited from participating in.
(r) An electronic wagering platform shall provide a patron with the ability to view the outcome and subsequent account balance changes for the previous game, including a game completed subsequent to an outage (for example, network disconnection or patron device malfunction).
(s) Unless otherwise approved by the department, a record of all complimentaries redeemed in the state shall be maintained in an electronic file that is readily available to the department. The master wagering licensee and online gaming operator shall only deduct complimentaries redeemed in the state from gross gaming revenue. All complimentaries shall be stated in clear and unambiguous terms and shall be readily accessible by the patron. Offer terms and the record of all offers for complimentaries shall include at a minimum:
(1) The date and time presented;
(2) The date and time the offer is active and
expires; and
(3) Patron eligibility
and redemption requirements.
(t) Manual adjustments by a licensee to internet gaming data shall only be made by a software application approved by the department.
(u) When a patron's lifetime deposits exceed $2,500, the electronic wagering platform shall prevent any wagering until the patron acknowledges the following:
(1) The patron has met the department's
lifetime gaming deposit threshold of $2,500;
(2) The patron has the capability to
establish responsible gaming limits or close the patron's account;
(3) The message "If you or someone you know
has a gambling problem and wants help, call (888) 789-7777 or visit
ccpg.org/chat," or the equivalent of such message in a language other than
English. The department may update the phone number or web address to be
displayed by providing ten days' notice to each licensee, after which time the
licensee shall display the new number and address. The department shall consult
with the Department of Mental Health and Addiction Services prior to revising
the required problem gambling message and shall provide ten days' notice to
each licensee, after which time the licensee shall display the new message;
and
(4) The acknowledgements
prescribed in subdivisions (2) and (3) of this subsection shall be required
every six months after the patron has met the department's lifetime gaming
deposit threshold of $2,500.
(v) Gaming entity licensees may utilize celebrity or other players to participate in peer-to-peer gaming for advertising or publicity purposes. Such players may have their accounts funded in whole or in part or may be paid a fee by a gaming entity licensee. If a celebrity player is utilized and the celebrity player generates winnings or prizes that the gaming entity licensee does not permit the celebrity player to retain, such winnings or prizes shall be included as internet gaming gross revenue in a manner approved by the department.
(w) The system requirements in this section apply to all of the following components of an electronic wagering platform:
(1) Electronic wagering platform components
which record, store, process, share, transmit or retrieve confidential
information;
(2) Electronic
wagering platform components which generate, transmit or process random numbers
used to determine the outcome of games or virtual events;
(3) Electronic wagering platform components
which store results or the current state of the patron's wager;
(4) Points of entry and exit from the systems
described in subdivisions (1) to (3), inclusive, of this subsection or other
systems which are able to communicate directly with core critical systems;
and
(5) Communication networks
which transmit patron information.
(x) An online gaming operator shall not engage in any public facing gaming activity unless its electronic wagering platform has been tested and certified by a licensed independent laboratory as set forth in 12-865-19 of the Regulations of Connecticut State Agencies. Online gaming operators shall comply with the following to obtain authorization from the department to use an electronic wagering platform in the state:
(1) Prior to engaging in any public facing
gaming activity, the online gaming operator shall submit an application to the
department in the manner and form prescribed by the department and provide the
documentation required under subsection (y) of this section to request
authorization for the use of its electronic wagering platform. The department
will review the application and make a suitability determination as set forth
in section 12-865-19 of the Regulations of Connecticut State
Agencies.
(2) The department may
require that an electronic wagering platform be re-certified by a licensed
independent testing laboratory and the new certification submitted to the
department in the event that the department suspects that the integrity of the
electronic wagering platform may be vulnerable or compromised.
(3) The online gaming operator is responsible
for all costs associated with testing and obtaining certifications or
re-certification.
(y) The online gaming operator shall provide all of the following information and any additional information that the department may request:
(1) A complete, comprehensive, and
technically accurate description and explanation of the electronic wagering
platform and its intended use in both technical and lay language.
(2) Detailed operating procedures or service
manuals, or both, of the electronic wagering platform.
(3) A summary description of internet game
play, system features, and fault conditions.
(4) Details of all tests performed on the
electronic wagering platform, the conditions and standards under which the
tests were performed, the test results, and the identity of the individual who
conducted each test.
(5) A
description of all hardware devices.
(6) A description of all software including
software version.
(7) A description
of all wagering communications.
(8)
A description of all third-party integrated systems.
(9) Any equipment that is required to perform
testing.
(10) A description of the
risk management framework including, but not limited to:
(A) User access controls for all electronic
wagering personnel;
(B) Information
regarding segregation of duties;
(C) Information regarding automated risk
management procedures;
(D)
Information regarding fraud detection;
(E) Controls for ensuring regulatory
compliance; and
(F) Anti-money
laundering compliance standards.
(z) Electronic wagering platform and internet games technical standards.
(1) Any electronic
wagering platform or internet game shall meet or exceed the specifications set
forth in sections 12-865-1 to 12-865-34, inclusive, of the Regulations of
Connecticut State Agencies and other technical standards established pursuant
to section 12-865-3(n) of the Regulations of Connecticut State Agencies.
Failure to comply with the approved specifications, internal controls, or
technical standards may result in disciplinary action by the
department.
(2) Online gaming
operators shall meet or exceed the specifications set forth in sections
12-865-1 to 12-865-34, inclusive, of the Regulations of Connecticut State
Agencies and any other technical standards established pursuant to section
12-865-3(n) of the Regulations of Connecticut State Agencies.
(3) If the electronic wagering platform meets
or exceeds the technical standards adopted in subdivision (1) of this
subsection, the independent testing laboratory shall certify the electronic
wagering platform. Online gaming operators are prohibited from offering gaming
in the state without such certification and written approval by the department.
The online gaming operator is responsible for all costs associated with testing
and obtaining such certifications.
(4) All internet games offered by the online
gaming operator shall meet or exceed the technical standards adopted in
sections 12-865-15 and 12-865-18 of the Regulations of Connecticut State
Agencies and any technical standards established pursuant to section
12-865-3(n) of the Regulations of Connecticut State Agencies. Online gaming
operators are prohibited from offering any internet game without written
approval by the department. The online gaming operator is responsible for all
costs associated with testing and obtaining such approvals.
(aa) Additional electronic wagering platform and internet game technical standards.
(1) Software utilized for gaming shall
either:
(A) Continuously display the current
time in the state of Connecticut and the time elapsed that a patron has been in
the current patron session, or
(B)
Cause a pop-up notification, at least every thirty minutes, to be prominently
displayed on the remote patron device advising the patron of the current time
and the amount of time elapsed since the patron's log on.
(2) An electronic wagering platform shall not
induce a patron to continue placing wagers when play is in session, when the
patron attempts to stop wagering, when the patron closes the app or program, or
when the patron wins or loses a wager.
(3) No auto play feature will be permitted in
an electronic wagering platform, unless otherwise provided in subdivision
(kk)(6) of this section.
(4) All
internet games shall operate in accordance with the game rules and internet
gaming account terms and conditions approved by the department.
(bb) Location of servers, security, and cloud storage.
(1) A master
wagering licensee and online gaming operator shall place servers or other
equipment for the receipt or acceptance of patron wagers and simulcasting live
online casino games in secure locations within the state. Equipment not
associated with the receipt or acceptance of patron wagers, or simulcasting
live online casino games, including remote game servers that are used to
determine winners, may be located outside of the state, provided that the
location of such equipment complies with all applicable laws, and provided
further, that any data located on such equipment shall be available for audit
by the department. The location selected shall have adequate security,
protections, and controls over the servers or other equipment that is capable
of receiving wagers, including those adopted in section 12-865-3(h) of the
Regulations of Connecticut State Agencies. The master wagering licensee and
online gaming operator shall provide the department with information on the
location of all servers and other equipment used in internet gaming under the
act, and the department shall have unfettered access to these locations and the
data located there with all travel expenses related to inspection of such
servers paid for by the master wagering licensee.
(2) The department may approve of the use of
cloud storage for duplicate data upon written request of an online gaming
operator. All cloud storage shall meet the requirements of subsection
12-865-3(h) of the Regulations of Connecticut State Agencies.
(cc) Communication standards.
(1) All electronic wagering platforms shall
be designed to ensure the integrity and confidentiality of all individual and
patron communications and ensure the proper identification of the sender and
receiver of all communications.
(2)
If communications are performed across a public or third-party network, the
electronic wagering platform shall either encrypt the data packets or utilize a
secure communications protocol to ensure the integrity and confidentiality of
the transmission.
(3) Online gaming
operators shall meet or exceed the following communication standards:
(A) Wireless communications between a patron
device and an electronic wagering platform that is controlled by the online
gaming operator shall be secured using robust wireless security and encryption
protocols.
(B) An online gaming
operator shall mask the service set identification (SSID) of the electronic
wagering platform network to ensure that it is unavailable to the general
public.
(C) All communications that
contain confidential information, patron data, wagers or results, or patron
transaction information shall utilize a secure method of transfer such as:
(i) 256-bit key or higher encryption;
or
(ii) any other method approved by
the department.
(D) Only
devices authorized by the department are permitted to establish communications
between a patron device and an electronic wagering platform.
(E) An electronic wagering platform shall
maintain an internal clock that reflects the current date and time that shall
be used to synchronize the time and date among all components that comprise the
electronic wagering platform. The electronic wagering platform date and time
shall be visible to a patron when logged on.
(4) All data transfers, including for file
integrity check sum verification, shall utilize a minimum of a 256-bit key or
higher encryption level.
(5)
Notwithstanding the minimum standards established in this section, an online
gaming operator shall employ reasonable efforts to ensure it meets or exceeds
current industry recognized communication standards, which may include, without
limitation, timely replacement or upgrading of obsolete
technology.
(dd) Gaming data logging standards.
(1) All electronic
wagering platforms shall employ a mechanism capable of maintaining a separate
copy of all information the department requires to be logged on a separate and
independent logging device capable of being administered by an employee with no
incompatible function. For the purposes of this subdivision, "incompatible
function " means a function or duties that place any person or department in a
position to perpetuate and conceal errors, fraudulent or otherwise. If the
electronic wagering platform can be configured such that any logged data is
contained in a secure transaction file, a separate logging device is not
required.
(2) Online gaming
operators shall meet or exceed all gaming data logging standards prescribed by
the department and shall address all gaming data logging requirements in the
internal controls submitted to the department for approval.
(3) The electronic wagering platform shall
provide a mechanism for the department to query and export, in a read-only
format required by the department, all electronic wagering platform data
related to internet gaming and retail sport wagering. Data logging standards
prescribed by the department are as follows:
(A) Account Creation Log: Electronic wagering
platforms shall log the date and time that any account is created or terminated
in a secure electronic log.
(B)
Internet Gaming Activity Log: Electronic wagering platforms shall maintain all
information necessary to recreate a patron's wagering and account activity
during each patron session, including any identity or location verifications,
for a period of no less than five years in a secure electronic log.
(C) Retail Sports Wagering Activity Log:
Electronic wagering platforms shall maintain all information of retail sports
wagering conducted at retail sports wagering facilities, for a period of no
less than five years in a secure electronic log.
(D) Software Installation and Removal Log:
Unless otherwise authorized by the department, when software is installed on or
removed from an electronic wagering platform, such action shall be recorded in
a secure electronic log. This log shall minimally include the following:
(i) The date and time of the
action;
(ii) The identification of
the software; and
(iii)The full
identity and user ID of the individual performing the action.
(E) Game Availability Log for
Internet Casino Gaming: Unless otherwise authorized by the department, when a
change in the availability of online casino game software is made on an
electronic wagering platform, the change shall be recorded in a secure
electronic log including no less than the following:
(i) The date and time of the
change;
(ii) The identification of
the software; and
(iii) The full
identity and user ID of the individual performing the change.
(F) Promotions Log: Unless
exempted by the department, an electronic wagering platform shall record all
complimentaries and promotions issued and redeemed through the electronic
wagering platform in a secure electronic log. This log shall provide the
information necessary to audit compliance regarding the terms and conditions of
current and previous complimentaries and promotions.
(G) Authentication Log: Results of all
authentication attempts shall be retained in a secure electronic log and
accessible for no less than a period of ninety days.
(H) Adjustments Log: All adjustments to an
electronic wagering platform's data made using stored procedures shall be
recorded in a secure electronic log. This log shall contain no less than the
following:
(i) The date and time of the
adjustment;
(ii) the full identity
and user ID of the individual performing the action;
(iii) a description of the event or action
taken; and
(iv) the initial and
ending values of any data altered as a part of the event or action performed.
(I) If a date and time
is required in any log, the following format shall be used:
(i) Date: mm/dd/yyyy; and
(ii) Time: hh:mm:ss.
(ee) Self-monitoring of electronic wagering platform critical components. An electronic wagering platform shall, at least once every twenty-four hours, perform a self-authentication process on all software used to offer, record, and process electronic wagers that is a critical component to ensure there have been no unauthorized modifications. If there is an authentication failure, the electronic wagering platform shall immediately notify the master wagering licensee, the online gaming operator and the department. The results of all self-authentication attempts shall be retained by the electronic wagering platform for not less than ninety days.
(ff) Change approval.
(1) All new core functions shall be tested
and certified by a licensed independent testing lab in accordance with this
section prior to installation on an electronic wagering platform.
(2) An online gaming operator shall notify
the department prior to the installation of any substantial change to a core
function on an electronic wagering platform. The notification shall include a
clear identification of the core function that is affected, an explanation of
the reason for the change, and an identification of any critical files
affected.
(3) The department may
order that the substantial change to a core function be tested and certified in
accordance with this section prior to installation on an electronic wagering
platform. If the department does not order testing and certification within
seven days after the notification, the online gaming operator may install the
substantial change on the electronic wagering platform.
(4) The online gaming operator is not
required to notify the department of changes to non-core functions, except when
any such change is related to or impacts a core function.
(5) When an unanticipated incident occurs, or
is reasonably suspected to have occurred, that causes a disruption in the
operation, security, accuracy, integrity, or availability of the electronic
wagering system, the online gaming operator shall, upon discovery, notify the
department in writing. The online gaming operator may then implement
substantial changes to core functions of the electronic wagering platform
without prior notification to the department. The online gaming operator a
shall submit to the department in writing an incident report that details the
incident and the corrections made within twelve hours of such corrective
actions. The department may require the online gaming operator to submit the
electronic wagering platform to an independent outside lab for recertification
and provide the department with the new certification for the electronic
wagering platform.
(6) Changes
based on subdivision (5) of this subsection shall be documented in the change
log and the online gaming operator shall notify the master wagering licensee
upon implementation of such changes.
(7) The online gaming operator shall submit
change control processes that detail evaluation procedures for all updates and
changes to equipment and the electronic wagering platform to the department for
approval. These processes shall include details for identifying the criticality
of updates and determining the updates that shall be submitted to a licensed
independent testing laboratory for review and certification.
(gg) Electronic wagering platform assessment.
(1) Each online gaming operator
shall, within ninety days after commencing operations, and annually thereafter,
obtain an electronic wagering platform integrity and security assessment
conducted by a licensed independent professional selected by the online gaming
operator. The scope of the electronic wagering platform integrity and security
assessment is subject to approval of the department and shall include, at a
minimum, all of the following:
(A) A
vulnerability assessment of internal, external, and wireless networks with the
intent of identifying vulnerabilities of all devices, the electronic wagering
platform, and applications connected to or present on the networks.
(B) A penetration test of all internal,
external, and wireless networks to confirm if identified vulnerabilities of all
devices, the electronic wagering platform, and applications are susceptible to
compromise.
(C) A policy and
procedures review against the current NIST 800 standard or other requirements
set forth by the department under section 12-865-3(n) of the Regulations of
Connecticut State Agencies.
(D) Any
other specific criteria or standards for the electronic wagering platform
integrity and security assessment as prescribed by the department.
(2) The independent professional's
entire report on the assessment shall be submitted to the department and shall
include all the following:
(A) Scope of
review;
(B) Name and company
affiliation of the individual or individuals who conducted the
assessment;
(C) Date of
assessment;
(D) Findings;
(E) Recommended corrective action, if
applicable; and
(F) Master wagering
licensee and online gaming operator's response to the findings and recommended
corrective action.
(hh) Online gaming operator's T&S controls.
(1) An online gaming operator shall
adopt, implement, and maintain controls that meet or exceed those specified in
subdivision (2) of this subsection. The T&S controls shall apply, at a
minimum, to all the following critical components of the electronic wagering
platform:
(A) Components that record, store,
process, share, transmit, or retrieve sensitive information, including, but not
limited to, validation numbers, personal identification numbers, and individual
and patron data.
(B) Components
that generate, transmit, or process random numbers used to determine the
outcome of games or virtual events.
(C) Components that store results or the
current state of a patron's electronic wager.
(D) Points of entry to and exit from the
components provided for in subparagraphs (A) to (C), inclusive, of this
subdivision and other systems that are able to communicate directly with core
critical electronic wagering platform components.
(E) Communication networks that transmit
sensitive information involving internet gaming under the act.
(2) The following T&S controls
are the minimum standards an online gaming operator shall incorporate into its
internal controls:
(A) T&S controls
addressing electronic wagering platform operations and security include, but
are not limited to all of the following:
(i)
Electronic Wagering Platform Operations and Security. The online gaming
operator shall adopt, implement, and maintain procedures for, at a minimum, the
following:
(I) Monitoring the critical
components and the transmission of data of the entire electronic wagering
platform.
(II) Maintenance of all
aspects of security of the electronic wagering platform to ensure secure and
reliable communications.
(III)
Defining, monitoring, documenting, reporting, investigating, responding to, and
resolving security incidents.
(IV)
Monitoring and adjusting resource consumption and maintaining a log of the
electronic wagering platform performance.
(V) Investigating, documenting, and resolving
malfunctions.
(ii)
Physical Location of Servers and Security. The electronic wagering platform
shall be housed in secure locations. Online gaming operators shall provide the
department with information on the location of all electronic wagering platform
servers. The secure locations shall have sufficient protection from
unauthorized access and physical and environmental hazards and be equipped with
surveillance and security systems that meet or exceed industry
standards.
(iii) Electronic
Wagering Platform Logical Access Controls. The electronic wagering platform
shall be logically secured against unauthorized access.
(iv) Electronic Wagering Platform User
Authorization. The electronic wagering platform shall be subject to user
authorization requirements as required by the department.
(v) Server Programming. The electronic
wagering platform shall be sufficiently secure to prevent any user-initiated
programming capabilities on the server that may result in unauthorized
modifications to the database.
(vi)
Verification Procedures. Procedures shall be in place for verifying on demand
that the critical control program components of the electronic wagering
platform in the production environment are identical to those approved by the
department.
(vii) Electronic
Document Retention System. The online gaming operator shall establish
procedures that ensure that all reports required under the act and sections
12-865-1 to 12-865-34, inclusive, of the Regulations of Connecticut State
Agencies are stored in an electronic document retention system.
(viii) Asset Management. All assets that
house, process, or communicate sensitive information, including those
comprising the operating environment of the electronic wagering platform or its
components, or both, shall be accounted for and have a key employee that is
responsible for each asset.
(B) T&S controls addressing data security
and backup recovery include, but are not limited to, all of the following:
(i) Data Security. The electronic wagering
platform shall provide a logical means for securing individual and patron data
and wagering data, including accounting, reporting, significant event, or other
sensitive information, against alteration, tampering, or unauthorized
access.
(ii) Data Alteration. The
alteration of any accounting, reporting, or significant event data relating to
electronic wagering under the act is not permitted without supervised access
controls. If any data is changed, all information required by the department
shall be documented or logged.
(iii) Backup Frequency. Backup scheme
implementation relating to information involving electronic wagering under the
act shall occur at least once every day or as otherwise specified by the
department.
(iv) Storage Medium
Backup. Audit logs, electronic wagering platform databases, and any other
pertinent patron data and wagering data shall be stored using reasonable
protection methods. The electronic wagering platform shall be designed to
protect the integrity of this data if there is a failure. Redundant copies of
this data shall be kept on the electronic wagering platform with open support
for backups and restoration, so that no single failure of any portion of the
electronic wagering platform would cause the loss or corruption of the
data.
(v) Electronic Wagering
Platform Failure. The electronic wagering platform shall have sufficient
redundancy and modularity so that if any single component or part of a
component fails, the functions of the electronic wagering platform and the
process of auditing those functions can continue with no critical data loss. If
two or more components are linked, the process of all electronic wagering
operations between the components shall not be adversely affected by restart or
recovery of either component and upon restart or recovery, the components shall
immediately synchronize the status of all transactions, data, and
configurations with one another.
(vi) Accounting and Master Resets. The online
gaming operator shall be able to identify and properly handle the situation
where a master reset has occurred on any component that affects gaming under
the act.
(vii) Recovery
Requirements. If there is a catastrophic failure which results in the
electronic wagering platform being unable to be restarted in any other way, the
electronic wagering platform shall be restored from the last backup point and
fully recovered. The contents of that backup shall contain all critical
information to fully restore the electronic wagering platform as required by
the department.
(viii)
Uninterrupted Power Supply (UPS) Support. All electronic wagering platform
components shall be provided with adequate primary power. If the server is a
stand-alone application, it shall have a UPS connected and shall have
sufficient capacity to permit a methodical shut-down that retains all
individual and patron data and wagering data during a power loss. It is
acceptable that the electronic wagering platform may be a component of a
network that is supported by a network-wide UPS if the server is included as a
device protected by the UPS. There shall be a surge protection system in use if
not incorporated into the UPS itself.
(ix) Business Continuity and Disaster
Recovery Plan. A business continuity and disaster recovery plan shall be in
place to recover gaming and wagering operations if the electronic wagering
platform's production environment is rendered inoperable.
(C) T&S controls addressing
communications include, but are not limited to, all of the following:
(i) Connectivity. Only authorized devices are
permitted to establish communications between any electronic wagering platform
components.
(ii) Communication
Protocol. Each component of the electronic wagering platform shall function as
indicated by a documented secure communication protocol.
(iii) Communication Over Electronic and
Public Networks. Communications between electronic wagering platform components
shall be secure. Patron data, confidential information, wagers, results,
financial information, and patron transaction information related to gaming
shall always be encrypted and protected from incomplete transmissions,
misrouting, unauthorized message modification, disclosure, duplication, or
replay.
(iv) Wireless Local Area
Network Communications. The use of wireless local area network communications
shall adhere to applicable requirements specified for wireless devices and is
subject to approval by the department.
(v) Network Security Management. Networks
shall be logically separated to ensure that there is no network traffic on a
network link that cannot be serviced by hosts on that link.
(vi) Mobile Computing and Communications.
Formal policies shall be in place, and appropriate security measures shall be
adopted to protect against the risk of using mobile computing and communication
facilities. Telecommuting shall not be permitted except under circumstances
where the security of the endpoint can be guaranteed.
(D) T&S controls addressing third party
service providers include, but are not limited to, communications between the
electronic wagering platform and third-party service providers. Where
communications related to internet gaming are implemented with third-party
service providers, the electronic wagering platform shall securely communicate
with all third-party service providers utilizing encryption and strong
authentication, ensure that all login events are recorded to an audit file, and
ensure that all communications do not interfere or degrade normal electronic
wagering platform functions.
(E)
T&S controls addressing information security, include but are not limited
to, all of the following:
(i) Domain Name
Service Requirements. The online gaming operator shall establish requirements
that apply to servers used to resolve domain name service queries used in
association with the electronic wagering platform.
(ii) Cryptographic Controls. The online
gaming operator shall establish and implement a policy for the use of
cryptographic controls that ensures the protection of information. (iii)
Encryption Key Management. The management of encryption keys shall follow
defined processes established by the online gaming operator.
(F) The T&S controls
addressing remote access and firewalls include, but are not limited to, all of
the following:
(i) Remote Access Security.
Remote access, if approved by the department, shall be performed via a secured
method, shall have the option to be disabled, may accept only the remote
connections permissible by the firewall application and electronic wagering
platform settings, and shall be limited to only the application functions
necessary for users to perform their job duties.
(ii) Remote Access and Test Account
Procedures. Remote access and test account procedures shall be established that
ensure that remote access is strictly controlled.
(iii) Remote Access Activity Log. The remote
access application shall maintain an activity log that updates automatically
and records and maintains all remote access information.
(iv) Firewalls. All communications, including
remote access, shall pass through at least one approved application-level
firewall. This includes connections to and from any non-electronic wagering
platform hosts used by the online gaming operator.
(v) Firewall Audit Logs. The firewall
application shall maintain an audit log and shall disable all communications
and generate an error if the audit log becomes full. The audit log shall
contain, at a minimum, all the following information:
(I) All changes to configuration of the
firewall.
(II) All successful and
unsuccessful connection attempts through the firewall.
(III) The source and destination IP
addresses, port numbers, protocols, and, where possible, MAC
addresses.
(vi) Firewall
Rules Review. The firewall rules shall be reviewed no less than twice each
calendar year by the master wagering licensee and online gaming operator to
verify the operating condition of the firewall and the effectiveness of its
security configuration and rule sets. The review shall be performed on all the
perimeter firewalls and the internal firewalls.
(G) T&S controls addressing change
management include, but are not limited to, all of the following:
(i) Program Change Control Procedures.
Program change control procedures shall ensure that only authorized versions of
programs are implemented on the production environment.
(ii) Software Development Life Cycle. The
acquisition and development of new software shall follow defined processes
established by the master wagering licensee, online gaming operator or online
gaming service provider and subject to review by the department.
(iii) Patches. All patches should be tested,
as applicable, in a development and test environment configured to match the
target production environment before being deployed into production. Permitted
exceptions and related procedures and controls shall be fully
addressed.
(H) T&S
controls addressing periodic security testing include, but are not limited to,
all of the following:
(i) Technical Security
Testing. Periodic technical security tests on the production environment shall
be performed quarterly or as required by the department to guarantee that no
vulnerabilities putting at risk the security and operation of the electronic
wagering platform exist.
(ii)
Vulnerability Assessment. The online gaming operator shall conduct
vulnerability assessments. The purpose of the vulnerability assessment is to
identify vulnerabilities, which could be later exploited during penetration
testing by making basic queries relating to services running on the electronic
wagering platform concerned.
(iii)
Penetration Testing. The online gaming operator shall conduct penetration
testing. The purpose of the penetration testing is to exploit any weaknesses
uncovered during the vulnerability assessment on any publicly exposed
applications or electronic wagering platform hosting applications processing,
transmitting, or storing sensitive information.
(iv) Information Security Management System
(ISMS) Audit. An audit of the ISMS will be periodically conducted, including
all the locations where sensitive information is accessed, processed,
transmitted, or stored. The ISMS will be reviewed against common information
security principles in relation to confidentiality, integrity, and availability
such as NIST 800 or other requirements set forth by the department under
Section 12-865-3(n) of the Regulations of Connecticut State Agencies.
(v) Cloud Service Audit. An online gaming
operator that utilizes a cloud service provider (CSP), if approved by the
department, to store, transmit, or process sensitive information shall undergo
a specific audit as required by the department. The CSP shall be reviewed
against common information security principles in relation to the provision and
use of cloud services, such as NIST 800, or other requirements set forth by the
department under section 12-865-3(n) of the Regulations of Connecticut State
Agencies.
(3)
The online gaming operator shall include the T&S controls in the operator's
internal controls and electronic wagering platform submitted to the department
for approval.
(4) The T&S
controls shall:
(A) Have a provision
requiring review when changes occur to the electronic wagering
platform;
(B) Be approved by the
online gaming operator's senior management;
(C) Be communicated to all affected employees
and relevant external parties;
(D)
Undergo review at planned intervals; and
(E) Delineate the responsibilities of the
master wagering licensee's staff, the online gaming operator's staff, and the
staff of any third parties for the operation, service, and maintenance of the
electronic wagering platform or its components, or both.
(ii) An online gaming operator or online gaming service provider may establish test accounts to be used to test the various components and operation of an electronic wagering platform pursuant to internal controls adopted by the online gaming operator, which, at a minimum, shall address all of the following:
(1) The procedures for issuing funds used for
testing, including the identification of who may issue the funds and the
maximum amount of funds that may be issued.
(2) The procedures for assigning each test
account for use by only one individual. However, an online gaming operator may
establish a specific scenario or instance of a test account that may be shared
by multiple users if each user's activities are separately logged.
(3) The maintenance of a record for all test
accounts, to include when the test account is active, to whom the test account
is issued, and the employer of the individual to whom the test account is
issued.
(4) The procedures for
auditing testing activity by the online gaming operator or online gaming
service provider to ensure the accountability of funds used for testing and
proper adjustments to gross gaming revenue from internet games and retail
sports wagering.
(5) The procedures
for authorizing and auditing out-of-state test activity.
(jj) The online gaming operator shall put in place procedures to permit the department to establish test accounts on the electronic wagering platform.
(kk) Electronic wagering platforms shall include the following patron protections:
(1) The electronic wagering platform shall
not force game play as follows:
(A) The patron
may not be forced to play an internet game just by selecting that
game.
(B) It shall not be possible
to start a new internet game in the same patron user session before all
relevant account balances have been updated on the electronic wagering
platform.
(2) Bots are
only permitted when employed by the electronic wagering platform in free play
or training mode, or if use of the bot satisfies all of the following:
(A) The use of artificial intelligence
software is clearly explained in the help menus and game rules; and
(B) All bots engaging in internet gaming
shall be clearly marked so that patrons are aware of which players are not
human.
(3) Patrons shall
be prohibited from utilizing bots, automated computerized software or other
equivalent mechanism to engage in play.
(4) No patron shall occupy more than one
position at an online casino game at any given time, unless such conduct is
authorized in advance by the department for a specific casino game.
(5) A game is incomplete when the internet
game outcome remains unresolved or the outcome cannot be properly seen by the
patron.
(A) The online gaming operator may
provide a mechanism for a patron to complete an incomplete internet
game.
(B) Incomplete internet games
shall be resolved before a patron is permitted to participate in another
instance of the same game.
(C)
Wagers associated with an incomplete game shall be voided, and recorded in the
change log required pursuant to section 12-865-34 of the Regulations of
Connecticut State Agencies, and the wagers can be forfeited or returned to the
patron provided that:
(i) The terms and
conditions or the game rules, or both, shall clearly define how wagers will be
handled when they remain undecided beyond the specified time period and the
electronic wagering platform shall be capable of returning or forfeiting the
wagers, as appropriate.
(ii) In the
event that a game cannot be continued due to an electronic wagering platform
action, all wagers shall be returned to the patrons playing that game, except
that if a patron's participation in the game prior to its discontinuance was
such that the patron would have received winnings greater than the wager, the
patron shall be provided the amount of winnings earned prior to discontinuance
in addition to the return of the wager.
(6) Auto play of internet games shall be
prohibited. Internet game play shall be initiated only after a patron has
affirmatively placed a wager and activated play. An auto play feature is not
permitted in interactive online game software unless the department determines
that the auto play feature will not cause substantial financial harm to
patrons, nor a security or gaming integrity concern for the department, and the
department provides written approval of such feature. If an auto play feature
is authorized by the department, it shall be possible for a patron to turn auto
play off at any time during game play.
Disclaimer: These regulations may not be the most recent version. Connecticut may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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