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Corporate Governance Framework

Our corporate governance framework sets out the necessary responsibilities and procedures that guarantee we operate properly.

Published
29 October 2021

Last updated
27 February 2023 - Changes

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  1. Contents
  2. Appendix 12 – National Lottery Committee terms of reference
  3. Delegation of functions under the National Lottery etc Act 1993 (as amended)

Delegation of functions under the National Lottery etc Act 1993 (as amended)

1 Decisions which must be taken by the Board of Commissioners

1.1. Licensing

  • grant of Section 5 licence issued under the 1993 Act.

1.2. Enforcement

  • revocation of the Section 5 licence.

1.3. Cases referred to the Board

  • any other decisions that may fall under paragraph 8 in the Committee Terms of Reference.

2 Decisions which are delegated to the National Lottery Committee

2.1. Licensing

  • grant of Section 6 licence that does raise new issues of principle or contentious issues
  • grant of variation to the Section 5 and 6 licences that does raise new issues of principle or contentious issues.

2.2. Vetting

  • novel or contentious vetting cases
  • vetting cases where officials have indicated that they are minded to refuse and the person concerned wants the view of officials to be reviewed.

2.3. Enforcement

  • proposing a financial penalty
  • imposition of financial penalty and the level of such penalty
  • seeking a declaration from the High Court
  • revocation of a licence issued under Section 6 of the 1993 Act.

2.4. Ancillary Activity

  • consent for any Ancillary Activity which raises new issues of principle or contentious issues, determine any conditions attached to such Ancillary Activity and the amount of any payment to the good causes, under Condition 6.

2.5. Fit and proper appeals

  • considering appeals against decisions to find an individual or company not fit and proper.

2.6. Other

  • invoking the power to seek an independent review under licence condition 17 of the Section 5 licence
  • decisions in respect of Licensee investment proposals that either:
    • raise contentious issues or new issues of principle
    • contain matters Commission officials believe would be of particular interest to the Committee
    • relate to any other matters as requested by the Committee of its own initiative.
  • any other decisions that may fall under paragraph 8 in the Committee Terms of Reference.

3 Decisions which are delegated to a Senior Manager or equivalent (or above)

3.1. Licensing

  • grant of variation to the Section 5 licence when no new issues of principle or contentious issues are raised
  • approve applications for Section 6 licences which do not raise new issues of principle or contentious issues
  • grant of variation to Section 6 licences (including class licences) which do not raise new issues of principle or contentious issues.

3.2. Approvals

  • approve changes to scratch card game rules, game specific rules, game procedures and to the template for scratch card game procedures agreed under the class licence
  • approve changes to the terms and conditions and rules and procedures for draw-based games under Condition 7.16 of the Section 5 licence
  • approve the Under 16s notice required under Condition 7.28 of the Section 5 licence
  • approve ‘Codes of Practice’, ‘Guides’ and ‘Strategies’ as defined by schedule 7 of the Section 5 licence
  • grant licensee consent under Condition 21.17 of the Section 5 licence to use, copy, publish or register any item of Lottery Intellectual Property.

3.3. Enforcement

  • the decision to commence enforcement procedures in respect of potential breaches of the Section 5 and Section 6 licences
  • the decision to record breaches of the Section 5 and Section 6 licences when the imposition of financial penalties would not be appropriate.

3.4. Ancillary Activity -to give consent for any Ancillary Activity which does not raise new issues of principle or contentious issues, determine any conditions attached to such Ancillary Activity and the amount of any payment to the good causes, under Condition 6

3.5. Other

  • 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
  • decisions in respect of Licensee investment proposals that do not (a) raise contentious issues or new issues of principle, or (b) relate to any other matters which the Committee may have a particular interest in
  • exercise the Commission’s powers acquired under licence conditions to the extent that they are not reserved elsewhere in this scheme of delegation.

4 Decisions which are delegated to a Senior Account Manager or equivalent (or above)

Vetting decisions other than those specified at 2.2 above which are:

  • grant of approval for Key Licensee Subcontractors
  • grant of approval for Category A.

5 Decisions which are delegated to an Account Manager or equivalent (or above)

Vetting decisions other than those specified at 2.2 above which are:

  • grant of approval for Category C.
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