Corporate Governance Framework
The Chief Executive
2.13. The Chief Executive of the Commission is designated as the Commission’s Accounting Officer by the DCMS (opens in new tab) Accounting Officer.
2.14. As the Commission’s Accounting Officer, the Chief Executive is personally responsible for safeguarding public funds, for propriety and regularity in the handling of those public funds and for the day-to-day operations and management of the Commission.
2.15. The Chief Executive should act in accordance with the terms of the Management Agreement with DCMS and with the instructions and guidance in Government Accounting and other instructions and guidance issued from time to time by DCMS, the Treasury and the Cabinet Office. In particular, on the basis of the standards, in terms of governance, decision-making and financial management that are set out in Box 3.1 to the Treasury document ‘Managing Public Money’ (PDF) (opens in new tab) which the Chief Executive receives on appointment as Accounting Officer.
2.16. As the Commission’s Accounting Officer the Chief Executive will, in particular:
- sign the accounts and ensure that proper records are kept relating to the accounts and that the accounts are properly prepared and presented in accordance with Treasury guidance and with any directions issued by the Secretary of State
- sign a Statement of Accounting Officer’s responsibilities, for inclusion in the annual report and accounts
- sign a Governance Statement concerning the organisation’s management and control of resources during the year and setting out how risk has been managed, for inclusion in the annual report and accounts
- ensure that effective procedures for handling complaints about the Gambling Commission and public interest disclosures are established and made widely known within the body
- act in accordance with the terms of this document, Managing Public Money and other instructions and guidance issued from time to time by DCMS, the Treasury and the Cabinet Office
- give evidence, normally with the Accounting Officer of the sponsor Department, when summoned before the Public Accounts Committee on the Gambling Commission’s stewardship of public funds
- ensure that there is no cross subsidy between funding for National Lottery regulation and gambling regulation: the Accounting Officer is responsible for ensuring that reports and accounts are able to clearly demonstrate that this is the case
- inform DCMS of regulatory activity undertaken to ensure that the statutory duties are maintained and explaining how resources are being used to do so
- ensure that timely forecasts and monitoring information on performance and finance are provided to DCMS; that DCMS is notified promptly if over or under spends are likely and that corrective action is taken; and that any significant problems whether financial or otherwise, and whether detected by internal audit or by other means, are notified to DCMS in a timely fashion
- to work collectively with DCMS and other members of the DCMS ‘family’ of arm’s length bodies in support of each other and the group as a whole
- advise the Board on the discharge of its responsibilities as set out under the founding legislation, in this document, and in any other relevant instructions and guidance that may be issued from time to time
- advise the Board on the Gambling Commission’s performance compared with its aim(s) and objectives
- ensure that financial considerations are taken fully into account by the Board at all stages in reaching and executing its decisions, and that financial appraisal techniques are followed
- take action as set out in paragraphs 3.8.5-3.8.6 of Managing Public Money if the Board, or its Chair, is contemplating a course of action involving a transaction which the Chief Executive considers would infringe the requirements of propriety or regularity or does not represent prudent or economical administration, efficiency or effectiveness, questionable feasibility or is unethical.
2.17. The Chief Executive may delegate the day-to-day administration of the Accounting Officer responsibilities to appropriately qualified employees of the Commission. However, the Chief Executive shall not assign absolutely to any other person any of the responsibilities set out in this document and remains accountable in respect of any delegated responsibilities.
2.18. The Chief Executive is the Principal Officer for the purpose of the handling of cases involving the Parliamentary Commissioner for Administration. The Principal Officer is responsible for informing the Permanent Secretary at DCMS about any complaints accepted by the Parliamentary and Health Service Ombudsman (opens in new tab) for investigation and about the Commission’s proposed response to any subsequent recommendations from the Parliamentary and Health Service Ombudsman.
Last updated: 27 February 2023
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