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Policy

Fourth National Lottery Licence: Regulatory Handbook

The Commission’s regulatory handbook sets out our regulatory approach to the National Lottery.

  1. Contents
  2. Volume three: Assurance and Regulatory Reporting Requirements
  3. 22. Assurance and Regulatory Reporting Requirements context

22. Assurance and Regulatory Reporting Requirements context

22.1 During the Fourth Licence, we expect the Licensee to demonstrate that it has appropriate risk management processes in place to protect the delivery of the outcomes in the Fourth Licence. This volume provides guidance on how we expect the Licensee to demonstrate this. Our reporting requirements set out where we require timely access to key data, which we need to effectively regulate the National Lottery. We will use Licensee assurance and reporting information to monitor compliance risk. We provide an overview of how this volume interacts with the other volumes of this Regulatory Handbook and our wider Regulatory Model in section 2 of this document.

22.2 Under the Fourth Licence the Licensee must provide us with information and assurance (Condition 23). Further, there are certain conditions of the Fourth Licence which require specific reporting or assurance to be provided by the Licensee. This volume contains information on the assurance and reporting requirements that the Licensee is subject to, including in relation to:

  • our approach to Assurance Statements
  • the types of information we require from the Licensee (including, where applicable, raw data, results of data analysis or research, and other factual information about the Licensee’s operations)
  • the level of content for each of these, and
  • the frequency at which each of these is to be provided.

22.3 These requirements are intended to ensure we have timely access to information that is necessary in order to fulfil our role and duties as a regulator. In addition to these requirements, we retain the right to request additional information not set out in this volume, under Condition 23.12. We will use this right appropriately in a proportionate and risk-based manner, including in response to compliance risks or issues identified in relation to specific outcomes, plans or periods of time.

2.4 We note that toolsets supporting management information and business intelligence have evolved considerably over the last 10 years, through advances in information technology. We expect the Licensee to harness these positive developments and implement a general reporting solution (distinct from their operational systems) where it will place the Lottery Information it is required to provide and keep up to date. This solution is referred to within Condition 23.6 as the Lottery Records Database (LRD).

22.5 The LRD requires the Licensee to collect, store and make accessible records, registers, documentation and information pertaining to the operation of the National Lottery. We expect that all Lottery Information contained within the LRD will be stored in an orderly way, be full, accurate and complete, available to the Gambling Commission (the Commission) at all times and accessible in an electronic format that allows for data interoperability between the parties and meets the shared expectations for the contents, context and meaning of that data.

22.6 We expect that the Licensee will consider and provision for scenarios where additional, more frequent and or a greater granularity of data may be required and/or requested to be presented via the LRD beyond what is set out as part of the regulatory reporting requirements in this volume. Provision of, and access to such data and information may be requested by the Commission to enable it to carry out its regulatory obligations.

22.7 We can access and review information within the LRD, consistent with Condition 23.7, to carry out our regulatory role and duties, considering a range of information formats, including:

  • licensee-prepared summary reports for our review
  • raw data in tabular format which we can analyse and manipulate ourselves, and
  • registers of information and supporting documents in relation to National Lottery operations which we may want to confirm as being available to us and being up to date.

22.8 We expect the LRD to reduce the cost involved in providing information to us on an ongoing basis and significantly increase the flexibility offered.

22.9 The rest of volume three is structured as follows:

  • section 23 outlines our assurance approach, including the requirements for an Annual Assurance Statement and Ad Hoc Assurance Statements, and
  • section 24 outlines our reporting requirements, split thematically with reference to areas of the Fourth Licence. The reports vary by frequency and scope.
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23. Assurance requirements
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