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Guidance

Regulatory returns guidance

Guidance for information collected in the Regulatory Returns service by licensing sector.

Published
4 May 2021

Last updated
30 September 2024 - Changes

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Contents

Operational information

Group Question Guidance
Operational events Complaints logged by the operator Record the number of complaints that you have logged within the period covered by the regulatory return.
Our codes of practice require operators to log complaints made about any aspect of the conduct of the licensed activities, other than those that are resolved at the first stage of the operator’s complaints resolution procedure. This means that those complaints that are resolved very readily need not be recorded for the Gambling Commission. The number of complaints logged within the reporting period needs to be recorded irrespective of the outcome.
A complaint is an expression of dissatisfaction made to the licensee about any aspect of the conduct of licensed activities. This means that complaints relating purely to commercial issues (such as the provision of charitable services not connected with the lottery) would not need to be logged, as they would not indicate a possible threat to the licensing objectives. Complaints logged may be directly about the outcome of the customer’s gambling or involve wider concerns about the way in which gambling is conducted by the operator.
Complaints can be expressed orally or in writing and may occur in person, over the telephone, by letter, by email, or via online support.
Operational events Of which, disputes referred to Alternative Dispute Resolution (ADR) entity Disputes are complaints made about the customer’s gambling transaction and have not been resolved at the first stage of the operator’s complaints procedure.
Record the number of complaints that you are aware of that have not been resolved and have been referred to an ADR within the reporting period.
Operational events Self exclusions made during this return period Record the number of self-exclusions made during the regulatory return reporting period. This return is just in relation to your own self-exclusion scheme. Figures for participation in multi-operator schemes (where applicable) will be collected from the scheme administrator.
Operational events People who have gambled were unable to verify their age For the period relating to the regulatory return, you should record the number of people who, having gambled, were unable to prove they were 16 when challenged.
For the purposes of the regulatory return, a person has gambled once they have purchased a lottery ticket including a scratchcard either in a shop or from a stand, on the doorstop, sending money by post, inserted money into (or otherwise credited) a lottery ticket vending machine, or from a website or by telephone. That transaction can include responding to a text message and purchasing a ticket via a mobile phone contract or via a mobile app. A person is unable to prove they are 16 if they either provide identification which shows them to be underage, or do not provide any when challenged.
You should not include incidents where a customer is challenged before they have been able to gamble, and is refused service because they are unable to prove they are 16.
Operational events Incidents logged in customer interaction log Record the total number of incidents on the customer interaction log for the period relating to the regulatory return. Licensees must interact with customers in a way which minimises the risk of customers experiencing harms associated with gambling. This must include identifying and interacting with customers who may be at risk of or experiencing harms associated with gambling. A customer interaction is initiated by the operator, and is prompted by indicators of gambling harm risks. You should keep records of all customer interactions.
You must set an upper limit on the value of lottery tickets which may be sold to a person, whether as part of a single transaction or over a period of time, without customer interaction. You must maintain records of all customer interaction pursuant to this limit.
You should only record here the number of customer interactions related to concerns that a customer’s behaviour may indicate gambling harm. You should not include general customer service communications, marketing, or requests for information for AML purposes.
If you offer instant win or high frequency lotteries, please read the Commission's Customer Interaction guidance for remote operators.
Please refer to the LCCP code Customer interaction – society lottery requirements around customer interaction.
Contributions Are contributions made? Licensees must make an annual financial contribution to one or more organisation(s) which are approved by the Commission, and which between them deliver or support research into the prevention and treatment of gambling-related harms, harm prevention approaches and treatment for those harmed by gambling (LCCP Code 3.1.1).
Select the appropriate option (Yes or No) to whether or not you have made a contribution during the period relating to this regulatory return.
Contributions Contributions made via trade body If you are a trade association or body member and your contribution was made through them, please select ‘Yes’. If you are not a member of a trade association or body member, or you are but that body does not make a contribution then select ‘No’.
Contributions Trade body Please state the name of the trade body that made the contribution on your behalf.
Contributions Value of contribution Record the value of your contribution. If you have apportioned your contribution across a number of sectors you should record the amount relevant to the licensed activity covered by the regulatory return. That is, if your business completes more than one regulatory return, your Research, Education Treatment (RET) contribution should be divided between the different sectors and recorded in the relevant returns.
Do not record the company’s total contribution in full on each regulatory return – only complete this section in the period that you make the contribution. In all other quarters this section should be marked as ‘No’.
Contributions Date of contribution Enter the date the contribution was made.
Contributions Details of contribution Enter the details relating to the contribution.
Lotteries managed Do you currently manage lotteries on behalf of any societies? An External Lottery Manager (ELM) is someone that makes arrangements for a lottery on behalf of a society or local authority but is not a member, officer or employee. A person promotes a lottery in particular if they:
  • make arrangements for printing of tickets
  • make arrangements for the printing, publication and distribution of promotional material (which includes documentation that advertises, invites participation, contains information about how to participate, or lists winners, in a particular lottery)
  • make arrangements to advertise a lottery
  • invite an individual to participate in a lottery
  • sell or supply tickets
  • offer to sell or supply tickets
  • use premises for the purpose of allocating prizes or for any other purpose connected with the administration of a lottery.

    • Select the appropriate option (Yes or No).
Lotteries managed Name of lottery List the societies and local authorities that you have managed lotteries for during the period applying to this regulatory return. If you operate one or more branded lottery schemes (defined as a scheme whereby multiple societies promote lotteries under a common brand name or image, either on rotation with other societies or as a regular occurrence for that single society) record the names of all of the societies in those schemes.
Lotteries managed Organisation the society is registered with State the organisation the society is registered with. Note this should in most cases be the Commission. If you manage lotteries for societies that are registered with a local authority, state the name of that authority.
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Financial information
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