Guidance
Guidance to licensing authorities
The Gambling Commission's guidance for licensing authorities.
Contents
- Legislative changes and Changes to the Guidance to Licensing Authorities (GLA) - 1 April 2021
- Part 1: General guidance on the role and responsibilities of licensing authorities in gambling regulation
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- Introduction
- Partnership working between the Commission and licensing authorities – shared regulation
- Co-ordination and contact
- Primary legislation
- Statutory aim to permit gambling
- The licensing objectives
- Codes of practice
- Licensing authority discretion (s.153 of the Act)
- Local risk assessments
- Licensing authority policy statement
- Limits on licensing authority discretion
- Other powers
- Part 2: The licensing framework
- Part 3: The Gambling Commission
- Part 4: Licensing authorities
- Part 5: Principles to be applied by licensing authorities
- Part 6: Licensing authority policy statement
- Part 7: Premises licences
- Part 8: Responsible authorities and interested parties definitions
- Part 9: Premises licence conditions
- Part 10: Review of premises licence by licensing authority
- Part 11: Provisional statements
- Part 12: Rights of appeal and judicial review
- Part 13: Information exchange
- Part 14: Temporary use notices
- Part 15: Occasional use notices
- Part 16: Gaming machines
- Part 17: Casinos
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- Casino premises
- Casino games
- Protection of children and young persons
- The process for issuing casino premises licences
- Resolutions not to issue casino licences
- Converted casinos (with preserved rights under Schedule 18 of the Act)
- Casino premises licence conditions
- Mandatory conditions – small casino premises licences
- Mandatory conditions – converted casino premises licences
- Default conditions attaching to all casino premises licences
- Self-exclusion
- Part 18: Bingo
- Part 19: Betting premises
- Part 20: Tracks
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- Definition of a track
- Track premises licences – differences from other premises licences
- Betting on tracks
- Licences and other permissions for the provision of betting facilities
- Betting on event and non-event days
- Social responsibility considerations for tracks
- Gaming machines
- Self-service betting terminals (SSBTs)
- Applications
- Licence conditions and requirements
- Part 21: Adult gaming centres
- Part 22: Licensed family entertainment centres
- Part 23: Introduction to permits
- Part 24: Unlicensed family entertainment centres
- Part 25: Clubs
- Part 26: Premises licensed to sell alcohol
- Part 27: Prize gaming and prize gaming permits
- Part 28: Non-commercial and private gaming, betting and lotteries
- Part 29: Poker
- Part 30: Travelling fairs
- Part 31: Crown immunity and excluded premises
- Part 32: Territorial application of the Gambling Act 2005
- Part 33: Door supervision
- Part 34: Small society lotteries
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- Small society lotteries
- The status of lotteries under the Act
- Licensing authority guidance
- Social responsibility
- External lottery managers’ licence status
- Lottery tickets
- Prizes
- Specific offences in relation to lotteries
- Application and registration process for small society lotteries
- Administration and returns
- Part 35: Chain gift schemes
- Part 36: Compliance and enforcement matters
- Appendix A: Summary of machine provisions by premises
- Appendix B: Summary of gaming machine categories and entitlements
- Appendix C: Summary of gaming entitlements for clubs and alcohol-licensed premises
- Appendix D: Summary of offences under the Gambling Act 2005
- Appendix E: Summary of statutory application forms and notices
- Appendix F: Inspection powers
- Appendix G: Licensing authority delegations
- Appendix H: Poker games and prizes
- Appendix I: Glossary of terms
10 - External Audit
10.1. The Comptroller & Auditor General (C&AG) audits the Gambling Commission annual accounts. Ministerial approval must be given before the C&AG can sign off the accounts.
10.2. In the event that the Gambling Commission has set up and controls subsidiary companies:
- the Gambling Commission will ask (or will have asked) HM Treasury to designate the company as either profit making or non-profit making
- where HM Treasury determines that the company is non-profit making, it will be (or will have been) included in a GRAA Order, which will make (or will have made) the C&AG its statutory auditor. The company should appoint the C&AG as auditor by agreement until such time as the GRAA Order is issued
- where HM Treasury determines that the company is profit making, it should either appoint the C&AG when its audit contract next comes up for renewal or, where they are required to go out to tender for audit services, the C&AG should be invited to compete. Where the C&AG is not appointed, the company must clearly explain the reasons for selecting a different auditor to DCMS.
10.3. The C&AG:
- will consult the Department and the Gambling Commission on whom — the NAO or a commercial auditor — shall undertake the audit(s) on his behalf, though the final decision rests with the C&AG
- has a statutory right of access to relevant documents, including by virtue of section 25(8) of the Government Resources and Accounts Act 2000, held by another party in receipt of payments or grants from the Gambling Commission
- will share with DCMS information identified during the audit process and the audit report (together with any other outputs) at the end of the audit, in particular on issues impacting on the Department's responsibilities in relation to financial systems within the Gambling Commission
- will, where asked, provide departments and other relevant bodies with Regulatory Compliance Reports and other similar reports which departments may request at the commencement of the audit and which are compatible with the independent auditor's role.
10.4. The C&AG may carry out examinations into the economy, efficiency and effectiveness with which the Gambling Commission has used its resources in discharging its functions. For the purpose of these examinations the C&AG has statutory access to documents as provided for under section 8 of the National Audit Act 1983. In addition, the Gambling Commission shall provide, in conditions to grants and contracts, for the C&AG to exercise such access to documents held by grant recipients and contractors and sub-contractors as may be required for these examinations; and shall use its best endeavours to secure access for the C&AG to any other documents required by the C&AG which are held by other bodies.
Last updated: 27 February 2023
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