Changes to information requirements in the LCCP, regulatory returns, official statistics, and related matters
- Changes to information requirements in the LCCP, regulatory returns, official statistics, and related matters
- Executive Summary
- Part 1: Summary of responses - Changes to information requirements for licensees: Consultation Response
- Part 2: Summary of responses - Changes to information requirements for licensees: Consultation Response
- Annex - Summary of changes to licence conditions and codes of practice
Proposal 15: Changes to social responsibility code provision 6.1.1 (complaints and disputes)
We proposed to amend social responsibility code provision 6.1.1 to remove the requirement for routine reporting of the outcomes of disputes referred to Alternative Dispute Resolution (ADR) and court proceedings that are adverse to the licensee. This revision is consistent with our proposal to remove event reporting for these matters, currently contained within licence condition 15.2.2 (1) (a) and (b). We may still require licensees to provide this information on request, but we will not require it to be routinely reported to us.
We also proposed to make the wording of the code provision consistent with other sections of the Licence Conditions and Codes of Practice (LCCP) and specify that licensees keep records of consumer complaints in a form that we may from time to time specify.
Question 1.15. Do you agree with the proposed changes to the code provision?
Some respondents welcomed the adoption of standardised reporting for complaints and disputes and the simplification of our requirements. Some expressed concern that changes would weaken our oversight of complaints and disputes, which could flag when an operator is facing financial difficulties. Others requested that the standardised record keeping be proportionate and reasonable. One respondent asked for clarification on whether data on customer complaints that are refused or discontinued by an Alternative Dispute Resolution (ADR) entity as invalid needed to be reported to us.
A few respondents queried whether it was our intention to specify the way licensees should maintain records of complaints and disputes. Another respondent requested clarification on how long licensees should be expected to store complaints and disputes data.
This proposal, to amend the social responsibility code provision relating to complaints and disputes record keeping and reporting, was intended to align the text used in the provision with other parts of the Licence Conditions and Codes of Practice (LCCP) (such as adopting the phrase 'form or manner'). Also, to remove the prescriptive elements of the complaints and disputes information we may require licensees to report to us (such as specifying the outcomes of disputes referred to an Alternative Dispute Resolution (ADR) entity, and court proceedings adverse to the licensee).
It is not our intention to introduce an industry standard for complaints and disputes record-keeping. To clarify this matter, we intend to change the wording of the proposed changes to social responsibility code provision 6.1.1 (7) to: 'Licensees should keep records of customer complaints and disputes and make them available to the Commission on request.'
Additionally, we made a proposal on the reporting of complaints and disputes. The intention of this change was to remove the prescriptive elements of the complaints and disputes information we may require licensees to report to us. We have reviewed our original proposal in response to the comments received, and now intend to remove the entire second sentence of social responsibility code provision 6.1.1 (7). We consider that information reporting requirements are better captured within the LCCP in Section 15 - Information Requirements.
We currently collect complaints and disputes data from licensees through regulatory returns and intend to continue to do so. In Part II of this consultation we have proposed changes to the complaints and disputes data fields we collect within regulatory returns. We also receive and review regular reporting from ADR entities on customer disputes escalated to them, including the numbers of disputes they refuse or discontinue. Additionally, licensees are required to inform us of the commencement and outcome of any material litigation against them (licence condition 15.2.1 (23)).
Our Complaints and disputes: procedural, information provision and reporting requirements document (opens in new tab) provides guidance on the procedures to be followed, information provision and reporting requirements relating to complaints and disputes. We will publish an updated version of this guidance after the LCCP changes resulting from this consultation come into effect.
We will not be stating a minimum period for the retention of complaints and disputes records, as these matters are covered by legislation, such as the Data Protection Act 2018.
The following changes will take effect from 31 October 2020.
Final wording of amended social responsibility code provision 6.1.1 (complaints and disputes)
Social responsibility code provision 6.1.1
Complaints and disputes
All licences (including ancillary remote licensees) except gaming machine technical and gambling software licences
1 - 6 [No change]
7 Licensees should keep records of customer complaints and disputes and make them available to the Commission on request.
Proposal 14: Changes to code 3.2.1, 3.2.3, 3.2.5 and 3.2.7 (access to gambling by children and young persons) Next section
Proposal 16: Changes to ordinary code provision 4.2.8 (betting integrity)
Last updated: 16 March 2023
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