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Appraisal Methodology and Selection Policy

The Appraisal Methodology and Selection Policy for the Gambling Commission.

Published: 5 March 2026

Last updated: 5 March 2026

This version was printed or saved on: 26 March 2026

Online version: https://www.gamblingcommission.gov.uk/policy/appraisal-methodology-and-selection-policy

Introduction

    1.0
    1. This policy is about how the Gambling Commission will meet its statutory obligation as a public record body to appraise and select records for permanent preservation under the Public Records Act 1958 (PRA). Selection will happen by the appraisal process and methodology in this policy.

    2. Requirements of public record bodies under the Public Records Act:
      • appraise and select records for permanent preservation, guided and supervised by the Keeper of Public Records
      • ensure the safekeeping of records in all formats and systems
      • carry out sensitivity review of the contents of selected public records in line with the Freedom of Information Act 2000 and information rights legislation and, where needed, submit formal applications for retention and/or closure of the records via The National Archives
      • prepare selected public records (and metadata) for transfer to The National Archives or an approved place of deposit by the time they are 20 years old. This applies unless they need to be retained. In this case, the approval of the Secretary of State for Digital, Culture, Media and Sport must be obtained via The Advisory Council on National Records and Archives
      • dispose of records not selected for preservation by destruction or presentation to another institution.

History of the Gambling Commission

    2.0
    1. The Gambling Commission is an executive non-departmental public body (NDPB) which was established under the Gambling Act 2005. As such, it is legally obliged under the Public Records Act 1958 to transfer selected records to an appropriate place of deposit.

    2. The Commission was established under the Gambling Act 2005 to regulate the Gambling industry. The Commission is responsible for issuing personal gambling licences for individuals and gambling operating licences for businesses, conducting compliance assessments to ensure ongoing compliance with the regulatory requirements, and enforcement activities where providers are found to be non-compliant. Its predecessor was the Gaming Board for Great Britain, which ceased to exist in 2007 following a transition period to the Commission. There are no inherited records from the Gaming Board.

    3. The Commission’s core functions are:
      • Licensing
      • Compliance
      • Enforcement
      • Intelligence
      • Communications
      • Policy
      • Governance.

    4. The Commission’s statutory functions, as determined by the Gambling Act 2005, are to:
      • license operators and key individuals who provide gambling in Great Britain
      • set requirements through licence conditions and codes of practice on how gambling is provided
      • assess the compliance of licence holders
      • enforce regulatory requirements and prosecute Gambling Act offences
      • publish a Statement of principles
      • advise the Secretary of State on gambling and gambling regulation
      • issue guidance to Licensing Authorities.

    5. The parent department for the Commission is the Department for Culture, Media and Sport (DCMS). As an NDPB, the Commission is responsible for the appraisal, selection and transfer of its own records.

    6. The Commission merged in 2014 with the National Lottery Commission. The 2 bodies retained separate identities and budgets until they became fully combined in 2023. To maintain the integrity of the administrative history for each body, records dating prior to 2023 will be treated separately for the purpose of records transfer.

Selection decisions

    3.0
    1. The Gambling Commission appraises and selects records for permanent preservation in line with the National Archives Records Collection Policy (opens in new tab) (PDF).

    2. Records selected are those that have long term historical value and show the significance of the functions and activities of the Commission.

Records selected for permanent preservation

    4.0
    1. Selected records, organised by function.

      Corporate governance

      The records selected for preservation are:

      • records of decision-making at a senior level, including minutes and papers of Board, Committee and Executive Group meetings, as well as Regulatory Panel papers and decision notices. These records will include budget-setting, records of significant or unusual expenditure, and risk management oversight
      • records of changes to the leadership or functional structure of the Commission
      • corporate plans, policies, processes and strategies
      • advice provided by Expert Groups
      • records relating to social responsibility funds.

      Communications

      The records selected for preservation are:

      • external communications, including press releases, public statements, external guidance and published advice (including advice to Government), correspondence with Government and Parliamentary Questions
      • official correspondence.

      Policy

      The records selected for preservation are:

      • records relating to international partnership working
      • research, statistics and data records, including statistical information and research papers
      • records relating to significant or noteworthy project work (including work on the Gambling Act Review).

      The Commission’s definition of significant or noteworthy can be found at point 4.2.

      Regulatory functions (Licensing, Compliance, Enforcement and Intelligence)

      The records selected for preservation are:

      • Licences and the Licence Conditions and Codes of Practice (LCCP)
      • casework records and supporting evidence, where these relate to precedent-setting or otherwise significant or notable cases. The Commission’s definition of precedent-setting can be found at point 4.3, and its definition of significant or notable can be found at point 4.2.
      • litigation casework records, where these relate to precedent-setting or otherwise significant or notable cases
      • regulatory settlement records.
    2. The Commission defines significant, noteworthy, or notable as an event or situation which has an impact on the Commission, the gambling industry, or the wider social or political environment. Where these events or situations are known publicly, there is likely to be associated interest or coverage from the media.

    3. The Commission defines precedent-setting as decision or action which has an impact on the Commission's policies, practices or approach to carrying out its functions. This impact could be in the form of reinforcing or changing existing policies, practices and approach, or in necessitating the creation or implementation of new policies, practices or approaches.

    4. The Commission’s Information Asset Owners are responsible for identifying and selecting records which meet the above criteria, with support from the Records Manager.

    5. The Gambling Commission’s website and social media channels are captured by the National Archives as part of the UK Government Web Archive (opens in new tab).

Records not selected for permanent preservation

    5.0
    1. Records relating to purely internal functions will not be selected, including Information Management, Facilities, transactional Finance records, Staff Management, IT, Risk Management and Business Continuity. This also includes internal staff communications, training and administrative records.

    2. Other licensing, compliance, enforcement and intelligence records where these do not relate to precedent-setting or otherwise significant or notable cases. Our Statement of Principles for licensing and regulation states that the Commission will normally publish details of all formal regulatory action taken under section 117 of the Act, which may include reference to conclusions reached during the course of an investigation in the form of a public statement. Publications will also normally accompany a regulatory settlement. These published statements will be captured in the Government Web Archive. For minor or routine enforcement or compliance work, the historical value of the detailed records and supporting evidence is not deemed to be of enough significance to merit permanent preservation.

    3. Consumer contact and complaints records. The Commission is not an ombudsman and is unable to take action on individual consumer complaints. For this reason, these records do not form part of the Commission’s records of its regulatory activities.

    4. Project management and internal business planning which does not relate to significant improvement or changes.

Policy review

    6.0
    1. To be reviewed annually, or sooner in the case of any Machinery of Government changes.

    2. The policy must be approved by the Commission’s Executive Team.

    3. Next review due January 2027.

    4. The Gambling Commission’s Policy Retirement Process will be followed when this policy is no longer required, has been superseded or has been integrated into another policy.

Policy exception

    7.0
    1. Any exceptions to this policy must be agreed by the Head of Information Compliance and approved by the National Archives and the Advisory Council on National Records and Archives.

Associated policies

    8.0
    1. The Gambling Commission's Records Management Policy.

Version history

Version history record:

Version history record
Version Author and/or reviewed by Date Description of change
1.0 Records manager 7 March 2025 Creation of new policy