Gambling Commission Business Plan 2012-13 docx

Gambling Commission Business Plan 2012-13 2 Introduction 1.1 This document sets out the Gambling Commission’s (the Commission’s) plans for the financial year 2012-13. The business plan reflects the statutory framework in which we operate, with a clear focus on the licensing objectives set out in Gambling Act 2005 (the Act). The licensing objectives The Act requires the Commission to permit gambling in so far as reasonably consistent with the following licensing objectives: to keep crime out of gambling to ensure that gambling is conducted fairly and openly to protect children and other vulnerable people from being harmed or exploited by gambling 1.2 The Commission is a Non-Departmental Public Body (NDPB), sponsored by the Department for Culture, Media and Sport (DCMS). The work of the Commission is funded through licence fees paid by gambling operators. The Commission’s approach 1.3 As a principles-based regulator, we license the gambling industry in Great Britain in partnership with local licensing authorities. We are committed to the principles of better regulation, meaning that we regulate in a transparent, accountable, proportionate, consistent and targeted manner using a risk based approach. We regulate licensed operators and individuals to ensure compliance with the Act and with the Licence Conditions and Codes of Practice (LCCP); taking enforcement action where necessary. We also combat illegal gambling activities and corrupt sports betting. We seek to provide clarity about our interpretation of the Act, where needed, and support our compliance and enforcement activity through clear, regular communications. We permit gambling and, through effective regulation and public engagement, we will seek to ensure that crime is kept out gambling; that gambling is fair and open and that children and the vulnerable are protected. By gathering information and intelligence and, with advice from the Responsible Gambling Strategy Board (RGSB) on the research, education and treatment components, we develop and maintain a robust evidence base from which we advise government. Strategic objectives 1.4 The programmes we have developed are the way in which we will deliver our strategic objectives. Each programme sits beneath one of the strategic objectives, although given that the strategic objectives are not mutually exclusive, most programmes will contribute to the delivery of more than one strategic objective. 1.5 Our strategic objectives remain: Strategic objective 1: regulating gambling in the public interest – Delivering a proportionate regulatory regime consistent with the licensing objectives which delivers best practice licensing and enforcement and ensures compliance by licensees 3 Strategic objective 2: providing authoritative advice on gambling and its regulation – Building the Commission’s knowledge base through knowledge management, intelligence and research Strategic objective 3: engaging with stakeholders – Ensuring that the Commission is accountable, properly balanced and informed in its work Strategic objective 4: developing our employees and organisation – Delivering professional, responsive, accountable and fair regulation. 1.6 This business plan sets out for each programme what we are seeking to achieve; how we plan to achieve it; and the key outputs we will deliver which will indicate that we are making appropriate progress towards the delivery of outcomes. In the business plan, we have expressed this for each programme in terms of: the objectives set for each programme. These are objectives geared towards our outcomes and so may be short, medium or longer term in nature, depending on the programme and the nature of the workstreams within it. the workstreams of the programme. Each programme is a portfolio of workstreams which we are undertaking in order to make progress towards achievement of the programme objectives. the key milestones for each programme. These are key deliverables, intermediate outcomes, progress checkpoints or key events which need to take place in order to deliver the stated outcomes. The key milestones form the basis of more detailed delivery and resourcing plans which programme managers and workstream teams develop and maintain. Managing our performance 1.7 This business plan sets out the way in which the Commission will deliver its strategic objectives. Delivery of the objectives described in the business plan is monitored by Management Board, overseen by the Board of Commissioners, with regular in depth scrutiny sessions of particular programmes in addition to formal quarterly reporting of progress overall. 1.8 To enable appropriate Board scrutiny, the quarterly report will focus on the Commission’s progress towards delivering the objectives set for each of the programmes and any risks or issues which arise and need to be managed as part of that successful delivery. 1.9 In addition, many of the Commission’s core business activities are underpinned by more detailed performance reporting, including key performance indicators which are reported to the Board on a regular basis. Our priorities 2012-13 1.10 The Board has agreed a series of priority workstreams on which the Commission will have a particular focus during 2012-13. Priorities for each strategic objective 2012-13 Strategic Objective 1 Developing our regulatory partnerships with local authorities, law enforcement bodies and others Developing our supervisory role in relation to anti money laundering Reviewing our approach to the regulation of high impact operators Contributing to a successful Olympic Games (London 2012) Strategic Objective 2 Developing the way we use our information assets; in particular developing the use of compliance and risk information to support decision making Contributing to the development of effective research, education and treatment (RET) arrangements Providing advice on the regulation of remote gambling to be ready for legislation Strategic Objectives 3 and 4 Improving our approach to stakeholder communication and engagement Improving ways of working within the Commission Ensuring robust financial management Establishing shared services with the National Lottery Commission 1.11 The following sections set out further details of the Commission’s work programmes for the coming year. Each programme comprises a portfolio of workstreams that contribute to our strategic objectives. Much of the activity relates to maintaining the essential business of the Commission, which we describe as ‘programmatic’ workstreams. Within each programme, there are also projects that are designed to improve the way the Commission works. For example, by making us more efficient, helping us to provide an improved service or otherwise improving our performance. 5 Strategic objective 1: Regulating gambling in the public interest Licensing and Compliance Programme Programme objectives To assess and act to mitigate the risks to the licensing objectives created by the activities of licensed and unlicensed individuals and operators by providing guidance and advice and delivering effective licensing, compliance and enforcement processes. To develop risk assessment mechanisms to focus activity to mitigate risk to the licensing objectives. Programmatic workstreams Licensing: assessment of individual and operator suitability to be licensed for the provision of gambling facilities and, where appropriate, to grant or refuse licences to manage risks to the licensing objectives. Compliance: o undertaking appropriate compliance assessments of licensed operators to determine the need for action by licensees and/or the Commission in order to identify and mitigate risks o development and implementation of plans in order to mitigate identified risks o undertaking activity to ensure compliance with licence requirements eg to submit accurate regulatory returns Enforcement: o undertaking, where necessary, regulatory enforcement activity to mitigate the risks to the licensing objectives created by the actions of licensed individuals and/or operators o undertaking, where necessary, criminal enforcement activity, including application of the Commission’s powers under the Proceeds of Crime Act 2002 (POCA) to mitigate the risks to the licensing objectives created by the actions of licensed and unlicensed individuals and/or operators. 6 Managing enquiries: handling enquiries relating to the activities of licensed and unlicensed individuals and/or operators and providing information as requested relating to regulatory requirements Scrutiny / reporting on programmatic workstreams Monthly reports of progress against key performance indicators Review of progress, plans and resource requirements in April 2012, October 2012 and April 2013 Board scrutiny sessions, examining programme delivery as a whole Projects Personal licences maintenance project: ensuring the continued suitability of personal licence holders High impact operator assessments: delivering an improved approach to the regulation of high impact operators Quality project: delivering key improvements in licensing, compliance and regulatory enforcement workstreams Anti money laundering: developing the Commission’s approach to identifying and managing risks related to money laundering in gambling Key milestones for projects Personal licence maintenance project completed by May 2012 High impact operator assessments project pilot evaluated by July 2012 Quality project: review of assessment finalisation process by August 2012 Anti money laundering: development of Commission’s framework for managing risk of money laundering and gambling by April 2013 7 Strategic objective 1: Regulating gambling in the public interest Betting Integrity Programme Programme objectives In collaboration with partners, to develop a shared understanding of the threat posed to the integrity of sports betting and further build on the Commission’s capacity to advise on this threat and ways of tackling it To reduce the risk to the licensing objectives by supporting sports governing bodies and betting operators in their efforts to deter and disrupt attempt to corrupt sports betting To reduce risk to the licensing objectives by identifying and investigating criminal threats to sports betting integrity, where necessary, in collaboration with others To strengthen public confidence in the integrity of sports betting in Great Britain To establish with the International Olympics Committee (IOC) and other partners the capability to identify and manage any sports betting integrity risk to the 2012 Olympic Games Programmatic workstreams Developing and maintaining strategic collaborations with key stakeholders by: o Developing effective intelligence and information exchange arrangements in UK and abroad with key partners o Engagement with the Sports Betting Group in support of their efforts to address sports betting integrity issues o Develop effective operational coordination with collaborating bodies/agencies Managing investigations by maintaining the capability (capacity and competence) to undertake/support criminal investigations into betting integrity matters Scrutiny / reporting on programmatic workstreams Monthly reports of progress against key performance indicators 8 Board scrutiny sessions, examining programme delivery as a whole Stocktake of SBIU progress, plans and resource requirements by November 2012 Projects Develop with partners a capability to identify and mitigate potential threats posed to the 2012 Olympic Games by sports betting integrity issues Key milestones for projects Complete Olympics threat assessment by May 2012 9 Strategic objective 1: Regulating gambling in the public interest Industry sectors and themes programme Programme objectives To ensure that the Commission undertakes its statutory functions effectively and acts on the basis of a sound understanding of the industry and in accordance with its legal powers and duties. To embed the Commission’s approach to better regulation. To improve delivery co-ordination between the Commission and its partners in the regulatory system and through that to improve the efficiency and effectiveness of the regulatory arrangements. Programmatic workstreams Gathering information to enhance our understanding of industry sectors and key themes Ensuring that the regulatory framework remains fit for purpose and in particular, keeping under review the Licence Conditions and Codes of Practice (LCCP) Influencing international developments in gambling and related regulation, to enhance the scope for information sharing arrangements between the Commission and overseas regulators of UK facing remote gambling operators Early identification and assessment of technological and business model developments in the industry, particularly within machines and remote sectors Leading the continuous improvement of the Commission’s approach to better regulation, and liaising with Department for Business Innovation and Skills (BIS)/Better Regulation Executive (BRE) to keep abreast of better regulation developments 10 Scrutiny / reporting on programmatic workstreams Review of comprehensive sector assessments and strategic assessment in July 2012 and January 2013 Board scrutiny sessions, examining programme delivery as a whole Report to the Board on annual review of progress on the implementation of the Hampton recommendations by November 2012 Projects Shared regulation with local authorities and other partners in the regulatory system: development of the Local Authority Liaison Unit (LALU) Review the Commission’s current approach to multiple society lotteries under a single brand Review and reissue of the Guidance to Licensing Authorities Key milestones for projects Local Authority Liaison Unit (LALU) established by May 2012 Deliver findings from review of approach to multiple society lotteries by July 2012 Publish revised Guidance to Licensing Authorities by April 2013 Thematic workstreams Primary gambling activity (betting and bingo): managing the risk of operators not providing gambling facilities in accordance with their primary licence Proliferation of channels and devices through which gambling can be offered: assessing the implications for the licensing objectives of the provision of gambling products via social media and mobile devices. Underage gambling: developing the Commission’s understanding of this risk and how it can be managed effectively [...]... objective 4: Developing the organisation and its employees Planning and performance programme Programme objectives To develop and manage effectively the Commission s business plan, and supporting infrastructure, including secretariat services for the Commission Programmatic workstreams Ensuring that the Commission has in place robust business plans which are focused on its Strategic Objectives and priorities... priorities agreed by the Board Coordinating activity across the Commission Providing project management support and secretariat services to the Commission Improving the Commission s approach to decision making Reporting/scrutiny on programmatic workstreams Provide reports against the business plan on a monthly basis Publish Commission business plan for 2013-14 by April 2013 Board scrutiny sessions, examining... Stocktake of Commission s approach to primary gambling activity in betting by June 2012 and in bingo by July 2012 Report on implications for the licensing objectives of the provision of gambling products via social media and mobile devices by September 2012 Stocktake of Commission s approach to underage gambling by September 2012 11 Strategic objective 2: Providing authoritative advice on gambling and... fair and safe for all For further information or to register your interest in the Commission please visit our website at: www.gamblingcommission.gov.uk Gambling Commission Victoria Square House Victoria Square Birmingham B2 4BP T 0121 230 6666 F 0121 230 6720 E info@gamblingcommission.gov.uk INFO 12/10 23 ... including through the management of the Commission s Risk Management Committee, which oversees the development, implementation and maintenance of risk management across the Commission To deliver high quality management information which informs key strategic decisions Programmatic workstreams Managing and collecting all income due to the Commission, keeping under review the Commission s fee structure in advance... challenges To ensure that the Commission s reward and performance management systems are well suited to secure the Commission s objectives To embed Commission values and develop more effective ways of working Programmatic workstreams Providing practical support to managers through the provision of specialist advice and guidance on people management, recruitment, HR issues, Commission policies, employment... Projects Assess and manage the implications for the organisation of potential longer term changes to the Commission' s role and remit, including the provision of shared common services to the National Lottery Commission (NLC) in advance of full merger Develop a skills database for the Commission Refresh the Commission s value and behaviours Build on the existing induction programme to ensure it covers the... enhance the Commission s ability to gather, create, organise and access reliable information and research needed to inform the Commission s risk- based approach to regulation, its duty to advise the Secretary of State and to help improve the service we provide to stakeholders To support the activities of the Responsible Gambling Strategy Board (RGSB), ensuring a source of robust advice to the Commission. .. online gambling operators that target customers in Britain Key milestones for projects Publish response to RGSB Strategy by December 2012 Complete the fieldwork for the new method of data collection for gambling and problem gambling prevalence by January 2013 13 Strategic objective 3: Engaging with stakeholders Stakeholder Engagement Programme Programme objectives To improve stakeholder and Commission. .. the Commission s role and risk-based approach To deliver key publications to stakeholders Programmatic workstreams Publishing a suite of key publications including the Commission s annual report and industry statistics Developing and implementing effective external communications including the Commission s websites, media and public affairs strategy, and ensuring continuous improvement of the Commission s . Gambling Commission Business Plan 2012-13 2 Introduction 1.1 This document sets out the Gambling Commission s (the Commission s) plans. year 2012-13. The business plan reflects the statutory framework in which we operate, with a clear focus on the licensing objectives set out in Gambling