Policy
Corporate Governance Framework
Our corporate governance framework sets out the necessary responsibilities and procedures that guarantee we operate properly.
13 - The Chief Executive
Responsibilities of the Gambling Commission’s Chief Executive as Accounting Officer
13.1. The Chief Executive as Accounting Officer (AO) is personally responsible for safeguarding the public funds for which they have charge; for ensuring propriety, regularity, value for money and feasibility in the handling of those public funds; and for the day-to-day operations and management of the Gambling Commission (the Commission).
In addition, they should ensure that the Commission as a whole is run on the basis of the standards, in terms of governance, decision-making and financial management, that are set out in Box 3.1 of Managing Public Money (MPM). These responsibilities include the following and those that are set in the AO appointment letter issued by the Principal Accounting Officer (PAO) of the sponsor department.
Responsibilities for accounting to Parliament and the public
13.2. Responsibilities to Parliament and the public include:
- signing the accounts and ensuring that proper records are kept relating to the accounts and that the accounts are properly prepared and presented in accordance with any directions issued by the Secretary of State
- preparing and signing a Governance Statement covering corporate governance, risk management and oversight of any local responsibilities, for inclusion in the annual report and accounts
- ensuring that effective procedures for handling complaints about the Commission in accordance with Parliamentary and Health Service Ombudsman’s Principles of Good Complaint Handling are established and made widely known within the Commission and published on the Commission’s website
- acting in accordance with the terms of MPM and other instructions and guidance issued from time to time by the department, the Treasury and the Cabinet Office
- ensuring that as part of the above compliance it is familiar with and acts in accordance with:any governing legislation, this framework document, any delegation letter issued to body as set out in paragraph (18.1) and any elements of any settlement letter issued to the sponsor department that is relevant to the operation of the Commission
- any separate settlement letter that is issued to the Commission from the sponsor department
- ensuring it has appropriate internal mechanisms for monitoring, governance and external reporting regarding non-compliance with any conditions arising from the above documents
- giving evidence, normally with the PAO, when summoned before the PAC on the Commission’s stewardship of public funds.
Responsibilities to DCMS
13.3 Responsibilities to the Department for Digital, Culture, Media and Sport (DCMS) include:
- establishing the Commission’s corporate and business plans in the light of the department’s wider strategic aims and agreed priorities
- informing the department of progress in helping to achieve the department’s policy objectives and in demonstrating how resources are being used to achieve those objectives
- ensuring that timely forecasts and monitoring information on performance and finance are provided to the department
- ensuring that the department is notified promptly if over or under-spends are likely and that corrective action is taken
- any significant problems whether financial or otherwise, and whether detected by internal audit or by other means, are notified to the department in a timely fashion.
Responsibilities to the board
13.4. The Chief Executive is responsible for:
- advising the Board on the discharge of its responsibilities as set out in this document, in the founding legislation and in any other relevant instructions and guidance that may be issued from time to time
- advising the Board on the Commission’s performance compared with its aims and objectives
- ensuring 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.
Managing conflicts
13.5. The Chief Executive should follow the advice and direction of the Board, except in very exceptional circumstances with a clear cut and transparent rationale for not doing so.
13.6. If the Board, or its chairperson, 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, is of questionable feasibility, or is unethical the Chief Executive in their role as AO should reject that course of action and ensure that the Board has a full opportunity to discuss the rationale for that rejection.
13.7. Such conflicts should be brought to the attention of the PAO and the responsible Minister as soon as possible.
13.8. Furthermore, and if agreed with the responsible Minister, the AO must write a letter of justification to the chair of the Board setting out the rationale for not following the advice and recommendation of the board and copy that letter to the Treasury Officer of Accounts.
13.9. If the responsible Minister agrees with the proposed course of action of the Board it may be appropriate for the Minister to then direct the AO in the manner as set out in MPM paragraph 3.6.6 onwards.
Last updated: 16 January 2024
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