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Fourth National Lottery Licence: Regulatory Handbook

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

  1. Contents
  2. Volume four: Enforcement Policy  
  3. 29. Process to our final decision

29. Process to our final decision

29.1 In this section we set out the process to our final decision, including:

  • preliminary findings of our investigation
  • our final decision
  • appeals.

Preliminary findings of our investigation

29.2 Once we have completed our formal investigation, we will compile our preliminary findings and include these in a letter to the Licensee. The letter and any accompanying documents will contain information about the following:

  • the facts29 of the investigation
  • how the facts relate to any apparent breach of a Section 5 or 6 Licence condition or risk to the statutory objectives
  • notification of our preliminary view of the appropriate regulatory action, if any (possible regulatory actions are set out separately in section 29)
  • details of documents, and other evidence on which we rely
  • details of any documents which might be said to undermine our case or assist the Licensee’s case.

29.3 The Licensee can then make a written representation30 in response to our preliminary findings. We will normally request representation within 21 days; however, we may impose a shorter period in cases requiring further urgency.

Our final decision

29.4 We will consider the Licensee’s representation before deciding whether the Licensee has acted in breach of a Licence condition, or otherwise not acted in accordance with our statutory duties, and our associated regulatory action.

29.5. The investigation will be led by an appropriate internal governance group who will recommend a final decision. We will make our decision in accordance with our Corporate Governance Framework31. We set out our functions and delegated authority of the National Lottery Committee and employees under the Act (see appendix four of our Corporate Governance Framework).


29.6 The Licensee has the statutory right to appeal against certain sanctions, as detailed in the Act. The right of appeal against a financial penalty or revocation of a licence is to the High Court (or Court of Session in Scottish cases). In relation to a court injunction/interdict or court order made by the High Court (or the Court of Session in Scottish cases) then the right of appeal is to the Court of Appeal.

29.7 There are no other statutory routes of appeal to bodies outside of the Commission for any other decision 32.


29 If there is any dispute of fact, we will apply the civil standard of proof when making findings of fact. 30 If we intend to impose a financial penalty the Licensee can request an oral hearing for representation.
31 Corporate Governance Framework. 32 All our decisions are susceptible to judicial review in the Courts on the usual bases.

Previous section
28. Approach to formal investigations
Next section
30. Possible regulatory actions
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