Policy
Fourth National Lottery Licence: Regulatory Handbook
The Commission’s regulatory handbook sets out our regulatory approach to the National Lottery.
10. Conditions 6 and 7: Fitness and Propriety of Critical Function Employees, Lottery Beneficiaries and Lottery Supervisors
10.1 This section provides guidance on factors and types of evidence we may have regard to in the context of compliance with Conditions 6 and 7.
10.2 Specifically, this section covers:
general guidance on demonstrating compliance
examples of the types of evidence that we may consider relevant to Fit Proper Checks of Critical Function Employees, as specified in Condition 7.2; and
context with regard to the circumstances in which we may opt to carry out Fit and Proper Checks on any Lottery Supervisor of any Lottery Beneficiary.
General guidance on demonstrating compliance
10.3 At a general level, when considering compliance with Condition 7 we may have regard to the Licensee’s organisational approach to ensuring that relevant persons meet the Fit and Proper Requirements, as well as how it evaluates its approach and implementation.
10.4 We may consider if and how the Licensee's approach has developed over time, including in response to:
risks to the outcome set out in the overriding duty of Condition 7
evidence on its effectiveness; and
legal, regulatory or technological developments.
10.5 In any assessment of compliance we will have regard to evidence of best practice on recruitment practices, including from any relevant government departments and agencies, standards bodies (for example the British Standards Institution) and professional bodies associated with human resources (for example the Chartered Institute of Personnel and Development).
Fit and Proper Checks of Critical Function Employees
10.6 Further considerations in relation to evidence that we may consider relevant to Fit Proper Checks of Critical Function Employees, as specified in Condition 7.2, include how the Licensee has assured itself on that person’s identity, financial background and criminal record.
10.7 In respect of criminal convictions, we note that guidance is available from the UK Disclosure and Barring Service14.
Fit and Proper Checks of Lottery Beneficiaries and Lottery Supervisors
10.8 Condition 6.10 states that the Commission may do Fit and Proper Checks on any Lottery Supervisor of any Lottery Beneficiary whenever it wants. In addition to undertaking checks in relation to changes in circumstances the Commission may also undertake refresh checks at regular or other intervals.
References
14 Disclosure and Barring Service eligibility guidance
9. Condition 5: Fitness and Propriety of the Licensee Next section
11. Condition 8: Protecting Participants’ Interests
Last updated: 8 February 2024
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