Appraisal Methodology and Selection Policy for National Lottery Commission records

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 from the Office of the National Lottery (OFLOT) and the National Lottery Commission (NLC) 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 National Lottery Commission

2.0
1. The Gambling Commission is an executive non-departmental public body 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 Office of the National Lottery (OFLOT) was established under the National Lottery etc Act 1993 to regulate the National Lottery. OFLOT underwent a change of name in 1999 to become the National Lottery Commission (NLC). The NLC is responsible for awarding the licence to run the National Lottery and for regulating the National Lottery, including the company which runs the National Lottery.


3. The NLC merged with the Commission in 2014. 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.


4. The NLC’s core functions are licensing and regulation.


5. The NLC’s statutory functions, as determined by the National Lottery etc Act 1993, are:
   • ensuring the Lottery is run with due propriety
   • ensuring that the interests of all players are protected
   • that returns to Good Causes are maximised.
   
   
6. The parent department for the Commission and the NLC is the Department for Culture, Media and Sport (DCMS).

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.
   
   

   Licensing

   The records selected for preservation are:

   • records relating to licence competitions, including invitations to apply, applications and information received from applicants (successful and unsuccessful), evaluation records, legal advice and media coverage
   • licences to run the National Lottery under Section 5 of the National Lottery etc Act 1993, including licence variations, extensions, pre-licence agreements and memoranda of understanding
   • records relating to preparation for licence competitions and lessons learnt.

   In 2005, the decision was taken not to select any more individual game licences under Section 6 of the National Lottery etc Act 1993 for permanent preservation, as they are not covered by The National Archives selection criteria.

   Regulation

   The records selected for preservation are:

   • proposals for new games and initiatives (including millennium, Olympic and Golden Jubilee draws), including applications for Section 6 licences.
   • trust deeds, security documents, bank agreements and amendments
   • management of intellectual property, trademarks, logo use, brand guidelines, and ancillary activities
   • compliance reports (including draw reports for the first draws only, management information reporting, licence reviews and performance reviews)
   • regulatory processes, procedures and strategies (including game rules, codes of practice, performance indicators and reporting requirements)
   • changes to licence conditions
   • licence breaches, draw incidents and disputed claims
   • broadcast rights and agreements
   • records relating to transitions between Section 5 Licences
   • meetings with licence holder
   • legal matters (not related to Licence Competitions)
   • records relating to returns to Good Causes and the National Lottery Distribution Fund (NLDF)
   • records relating to National Lottery retailers
   • complaints against the Lottery.

   National Lottery Commission administration

   The records selected for preservation are:

   • records relating to the National Lottery Bill 1993 and the formation of Office of the National Lottery (OFLOT), including directions from the Act and delegations of authority
   • administrative processes and procedures, including business planning and strategy
   • Commission meeting minutes and papers, including terms of reference
   • official correspondence, including correspondence with other regulators, government departments and international partners
   • records relating to external audits and inquiries (not related to Licence Competitions)
   • records relating to the transition from OFLOT to NLC
   • annual reports and accounts
   • media coverage (not related to Licence Competitions)
   • complaints against the Commission
   • research, reports, analysis and consultations.
2. The National Lottery Committee’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 and IT.


2. Draw reports, except for the first draws and where draw-related issues or incidents were identified. This is because the information contained in these records is brief, mainly consisting of checklists, so the historical value of the records is negligible and is not deemed to be of enough significance to merit permanent preservation. The format will be preserved by using the early draw reports as an illustrative sample.

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 Gambling 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