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Guidance

Guidance to licensing authorities

The Gambling Commission's guidance for licensing authorities.

Published
1 April 2021

Last updated
27 July 2023 - Changes

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Contents

2 - Performance Measures

2.1. As an outcomes based regulator, the Commission monitors its performance using an outcome based performance framework built around the following Strategic Outcomes (SO):

  • SO1.1: Reasonable precautions taken to identify vulnerable individuals if they attempt to gamble
  • SO1.2: Reasonable precautions taken to prevent self-excluded individuals from gambling, if they attempt to do so
  • SO1.3: Consumers have a positive perception of gambling as fair and trusted
  • SO1.4: Consumers are better able to make informed decisions
  • S02.1: Reduced levels of children and young people gaining access to age-restricted gambling products
  • S02.2: An industry that puts the licensing objectives at the heart of everything it does
  • S03.1: Stakeholders are confident in the way gambling is regulated
  • S04.1: A National Lottery operated in a fair way
  • S04.2: Maximised National Lottery returns to good causes
  • S05.1: Gambling Commission has an efficient and engaged workforce
  • S05.2: A fair and proportionate fee structure
  • S05.3: Gambling Commission is considered internationally as an example of regulatory excellence
  • S05.4: A regulatory framework that allows for innovation and growth

2.2. Performance against these outcomes is monitored by the Board of Commissioners on a quarterly basis, with a summary of performance reported through the Commission's annual report.

2.3. Each outcome measure is comprised of one or more performance indicators which are signed off by the Commission's leadership team following publication of the business plan. These performance indicators are continually evolving to reflect changes in business priorities. Where changes have been made, the Commission will advise DCMS (opens in new tab) promptly to enable updating of the Management Agreement as in Part C, paragraph 1.2. The indicators for 2016 to 2017 are set out. The current intention is that these will continue into 2017 to 2018.

Measuring strategic outcomes

Strategic outcomes measurement
Indicator name Indicator reference Key performance question Formula/scale/assessment/indicators
Vulnerable consumers identified SO1.1 Have reasonable precautions been taken to identify vulnerable individuals if they attempt to gamble?
  • proactive compliance (risk matrix)
  • regulatory returns (customer interactions)
  • issue Referral Form (IRF) subject matter
  • workstream scoping and baselining exercise
  • industry evaluation of player awareness system
  • remote algorithm working group evaluation
Self-exclusion is effective SO1.2 Have reasonable precautions been taken to prevent self-excluded individuals from gambling, if they attempt to do so?
  • regulatory returns - industry performance (number of breaches)
  • proactive compliance (risk matrix) - industry performance against LCCP
  • consumer complaints
  • MOSES
Gambling is fair and trusted SO1.3 Do consumers have a positive perception of gambling as being fair and trustworthy?
  • public perception survey
  • press/communications/complaints on public's views
Consumers make informed decisions SO1.4 Are consumers better able to make informed decisions?
  • proactive compliance (risk matrix)
  • consumer complaints
  • take-up of gambling management tools
  • evaluation of industry work in this area
Reduced levels of children and young people gaining access to age-restricted gambling products SO2.1 Has there been a reduction in the level of children and young people gaining access to age restricted gambling products?
  • test Purchase results
  • regulatory return (young people gambling and challenged)
  • IRFs
  • consumer complaints
  • key events
  • IPSOS MORI survey (annual report)
  • Operation Child (NL)
Licensing objectives at the heart of industry SO2.2 Does the industry put the licensing objectives at the heart of everything it does?
  • proactive compliance (risk matrix)†
  • corporate evaluations
  • annual assurance statements
  • contact centre enquiries and complaints†
  • subject and quantity of issues managed at Case Management Group (CMG)
Confident stakeholders SO3.1 Are stakeholders confident in the way gambling is regulated?
  • external stakeholder survey
  • proportion of workstream survey respondents that consider that the industry statistics publication is informative
National Lottery operated fairly SO4.1 Is the National Lottery operated in a fair way? National Lottery performance framework
National Lottery returns maximised SO4.2 Does the National Lottery operator maximise the return to good causes? National Lottery performance framework
Efficient/engaged workforce SO5.1 Is the Commissions workforce efficient and engaged? ENGAGED
  • employee engagement score
  • balanced business scorecard
  • feedback from PCS
  • exit interview feedback
  • benchmark data (supplementary to that of the BBS)
  • HR temperature check
EFFICIENT
  • balanced scorecard
  • progress of the business plan
  • recruitment business case outcomes
  • change programme output
Fair fee structure SO5.2 Is the Commissions fee structure fair and proportionate?
  • fees framework points of criticism
  • feedback from stakeholders regarding our plans to address these points of criticism
  • consultation feedback
  • perceptions of our transparency
  • analysis of complaints during licence fee periods
Excellent regulatory reputation SO5.3 Are we considered an example of regulatory excellence?
  • stakeholder feedback (for example DCMS, local authorities etc)
  • tone of media coverage
We support innovation/growth SO5.4 Does the regulatory framework allow for innovation and growth?
  • industry growth
  • licence numbers
  • regulatory costs
  • initiatives (for example, multi-jurisdictional framework)
  • shared regulation
  • business impact targets

2.4. A key indicator for both the Gambling Commission and DCMS is the prevalence of problem gambling (as set out in DCMS's Strategic Plan). This data will be tracked through the Gambling Commission's survey and cover adults in Great Britain.

References

† E&A to provide supporting analysis

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