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Enforcement policy in relation to the National Lottery

Policy detailing our approach to enforcing the National Lottery and how we will use our powers in an appropriate and proportionate manner.

Stage one of reaching decisions

The decision maker should consider all of the circumstances of the case in determining what regulatory action (if any) should be taken, including but not limited to the factors set out as follows:

Outcomes for the National Lottery

  • the extent to which the statutory objectives under section 4 of the Act have been compromised or placed at risk
  • the extent to which the National Lottery reputation is affected or potentially affected
  • the duration of the circumstances giving rise to the investigation and whether these continued after the operator became aware of the matter
  • the effectiveness and timeliness of any corrective action taken by the operator
  • the speed with which the operator brings the issue to our attention
  • any compensatory measures taken or proposed to reduce the loss in sums paid to good causes
  • the level of public interest shown or anticipated in the case.

Outcomes for players involved

  • the extent to which any players involved were disadvantaged, misled, and/or treated unfairly
  • the operator’s pro-active role in making players aware of their complaints procedure and that players may refer issues to us if they remain dissatisfied
  • the restorative measures taken or proposed for players who have been disadvantaged.

Outcomes for good causes

  • extent to which proceeds to good causes were impacted upon
  • any compensatory measures taken or proposed to reduce the loss in sums paid to good causes.

Operator’s financial gain from non-compliance

  • the operator’s financial gain or the potential for financial gain from non-compliance with licence conditions.

Operator’s governance and controls

  • the adequacy of steps taken to prevent recurrence
  • whether the matters would have been apparent to a diligent operator
  • whether the matters were the result or reckless or negligent actions
  • whether the matters were the result of deliberate actions
  • the extent of similar matters or root cause problems in the past
  • the operator’s effectiveness in managing licensee staff, contractors and retailers
  • the actions taken in bringing the case to our attention and the degree of cooperation with us
  • the extent to which the operator attempted to conceal matters from us
  • the prior involvement of senior management or lack of action on the part of senior management.

Additional factors specific to circumstances

  • the impact on any sanction or other action on the commercial viability of the licensee.
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How will decisions be reached?
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Stage two of reaching decisions
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