Policy
Corporate Governance Framework
Our corporate governance framework sets out the necessary responsibilities and procedures that guarantee we operate properly.
Appendix 12 - National Lottery Regulation Scheme of delegation
| Function | Person to whom the function or decision is delegated and conditions under which the authority is vested |
|---|---|
| Breach, formal Investigation, enforcement, revocation | |
| A decision on whether an exception or potential breach requires No Further Action or an Advice to Conduct | Senior Manager or above |
| A decision to commence a formal investigation in respect of potential breach and/or breaches of the Section 5 and Section 6 licences | Senior Manager or above |
| The decision to record breaches of the Section 5 and Section 6 licences when the imposition of financial penalties would not be appropriate | Senior Manager or above |
| Decision to propose and/or accept undertakings | Head of Function or above |
| Decision to direct the Licensee’s Internal Audit Function | Head of Function or above |
| Decision to request a Financial Distress Remediation Plan | Head of Function or above |
| Decision to request lock up restrictions | Head of Function or above |
| Decision to request an Independent Performance Review | Head of Function or above |
| Decision to impose new or amended Section 5 or Section 6 licence conditions | Senior Manager or above |
| Seeking a court injunction, interdict or court order | Director or above |
| Imposition of financial penalty and the level of such penalty | Director or above (referral to Regulatory Panel where there are representations) |
| Revocation of the Section 5 licence | Board |
| Contentious revocation of a Section 6 licence | Board, or Director and/or referral to Regulatory Panel if part of an enforcement decision |
| Approvals or consents | |
| Determination of approval or consent relating to any licence or Regulatory Handbook guidance matter | Senior Manager or above |
| Determination of changes to the Regulatory Handbook | Senior Manager or above |
| Determination of approval for the Outstanding Liability Fund (OLF) and any changes to the OLF | Head of Function or above |
| Determination of approval of Financial Distress Remediation Plan | Executive Director or above |
| Determination of approval for a Significant Business Event Remediation Plan | Director or above |
| Decision to direct the Licensee’s Internal Audit Function | Head of Function or above |
| Decision to approve lock up restrictions | Director or above |
| Decision to approve an Independent Performance Review | Director or above |
| Non-contentious revocation of a Section 6 licence | Director or above |
| Contentious revocation of a Section 6 licence | Board |
| Decision to approve any Outstanding Liability Fund documentation | Director or above |
| Licence Grant | |
| Grant of Section 5 licence | Board |
| Grant of Section 6 licence that does raise new issues of principle or contentious issues | Executive Director or above |
| Grant of variation to Section 5 and Section 6 licences that does raise new issues of principle or contentious issues | Executive Director or above |
| Grant of Section 6 licences which does not raise new issues of principle or contentious issues | Head of Function or above |
| Grant of variation of Section 5 or Section 6 where no new issues of principle or contentious issues are raised | Head of Function or above |
| Decision to extend the licence term | Board |
| Fit and Proper | |
| Fit and Proper approval for Lottery Beneficiaries, Lottery Subcontractors and Critical Function Employees (as relevant), which are not contentious | Manager or above |
| Fit and Proper decisions which conclude that a Lottery Supervisor, Lottery Beneficiary or Critical Function Employee is not a Fit and Proper person | Head of Function or above |
| Novel or contentious Fit and Proper cases | Head of Function or above |
| Fit and Proper appeals | Director or above |
| Decision determining the Licensee as not Fit and Proper | Board |
| Ancillary Activity | |
| Consent for any Ancillary Activity which raises new issues of principle or contentious issues | Director or above |
| Consent for any Ancillary Activity which does not raise new issues of principle or contentious issues | Senior Manager or above |
| Assurance activities | |
| The decision to approve any recommendations upon review of assurance artefacts, for example the Annual Assurance Statement, the Annual Resilience Assurance Statement | Director or above |
| Other | |
| Exercise the Gambling Commission’s powers acquired under licence conditions to the extent that they are not reserved elsewhere in this scheme of delegation | Senior Manager or above |
| Signing witness statements and similar legal documents on behalf of the Commission where required to do so to protect the Commission’s rights and property in proceedings undertaken by the National Lottery operator under requirements placed on it by way of licence conditions | Senior Manager or above |
| Any other decisions which are not otherwise specifically delegated under these terms of reference | Executive Director or above |
Appendix 11 – National Lottery Committee terms of reference Next section
Code of conduct for employees
Last updated: 18 September 2024
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