Enforcement policy in relation to the National Lottery
How will an investigation be conducted?
The information received is initially reviewed and then submitted to the Issues Management Group, who decide how to progress the matter. It may be that we gather more information regarding the matter initially. If a decision is made to commence a formal investigation then a ‘Notice of Investigation’ will be sent in writing to the operator.
This policy sets a broad framework of the procedure that will usually be adopted, however we retain a discretion to conduct investigations in a manner we consider appropriate and proportionate.
We may, either when considering whether to commence an investigation, or after notifying the operator that we propose to commence an investigation, hold an initial meeting with the operator to clarify and narrow the issues and to establish exactly what information will be sought during the investigation. However, in many cases, such an initial meeting will be unnecessary because the issues will be sufficiently clear.
In addition to requesting specified information, we may wish to interview persons who we consider can supply relevant information in connection with the investigation. Such interviews may be recorded on tape. If an interview is recorded on tape we will inform the operator of this in advance. We reserve the right to use the contents of the interview as evidence.
Requests for information and/or documents
A request for the production of information will be made either orally or in writing, dependent upon the individual circumstances of each case. Wherever possible, the operator or third party will be given a reasonable period of time to comply with the request. We will only ask the operator or third party to produce documents or records which we believe are necessary. Under condition 10 of the licence the operator shall in the manner prescribed provide the requested information to allow us to carry out our duties and exercise our powers under the Act.
We are of the view that the operator/ third parties will not breach the requirements of the Data Protection Act (DPA) if they supply information that we have requested even if this relates to personal information that they hold. We have the power to request this information under DPA.
Preliminary findings following an investigation
At the conclusion of the investigation we will send a preliminary findings letter to the operator. The letter and documents which accompany it will normally contain details of the following:
- the facts found during the investigation
- how those facts relate to any apparent breach of a licence condition or risk to the statutory objectives
- notification of the recommendation as to what (if any) regulatory action should follow the investigation
- details of the documents, and other evidence on which we rely
- details of any documents which might be said to undermine our case or assist the operator’s case.
The operator will then be offered the opportunity to make written representations in response to our preliminary findings. The operator will normally be given 21 days to make such representations, however a shorter period may be imposed in cases where there is a need for urgency.
Whilst we recognise that there are likely to be many cases in which there will be no dispute of fact, if there is a dispute of fact, we will apply the civil standard of proof when making findings of fact.Previous section
What will trigger an investigation?
Last updated: 6 May 2022
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