Guidance

Regulatory returns guidance

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

Published
4 May 2021

Last updated
18 June 2021 - Changes

Regulatory returns guidance

1 - Operational information

Group	Question	Guidance
Workforce information	Total number of employees	Record the total number of employees. This is the number of individuals employed at a given time, irrespective of the hours they work. Count each person as one regardless of whether they work full time or part time. An employee is anyone that your organisation directly pays from its payroll(s), in return for carrying out a full time or part time job or being on a training scheme. This includes workers who are employed in relation to the licensed activity who are: paid directly from this business’s payroll temporarily absent but still being paid, for example on maternity leave furloughed on the Coronavirus Job Retention Scheme. Do not include: employees not employed in relation to the licensed activity former employees only receiving a pension self-employed workers working owners who are not paid via PAYE staff who are not directly employed (for example, agency staff) volunteers. If employees work across a group, you should record them on the regulatory return for the licensed activity that uses most of their time.
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 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 non-lottery services) 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 logged by the operator	Record the number of disputes that you have logged within the period covered by the regulatory return. Disputes are that subset of complaints which concern the outcome of the customer’s gambling transaction. They do not include wider concerns that may relate to the conduct of the gambling operation. As disputes are a subset of complaints, the number of disputes reported on the regulatory return will also be included in the count of complaints on the regulatory return.
Operational events	Of which, disputes referred to ADR entity	Record the number of disputes that you are aware have been referred to an ADR within the reporting period.
Operational events	Self exclusions made during this return period	Provide information regarding the number of self-exclusions made during the regulatory return reporting period. This must not include restrictions made on individual products or timeouts which must be recorded separately below. This return is just in relation to your own self-exclusion scheme. Figures for participation in multi-operator schemes will be collected from the scheme administrator.
Operational events	Known breaches of self-exclusion	Record the number of times you know a player has breached their self-exclusion agreement. A player breaches their self-exclusion when they attempt to gain access to your facilities, attempt to gamble (for example, attempt to use an internet betting account following self-exclusion), or actually gambles. It is not limited to an attempt to gamble, and includes attempts to enter premises or access online gambling facilities. This must not include restrictions made on individual products or timeouts. This should include any breaches of either your own self-exclusion scheme or a multi-operator scheme.
Operational events	Self-excluded individuals opting to return to gambling	Self-excluded customers can choose to return to gambling following the completion of their chosen length of self-exclusion. For the reporting period of the regulatory return record the number of individuals who have chosen to return to gambling once their self-exclusion period has ended. We only expect you to report individuals who return to gambling within the time period that you are required to administer a return to gambling process and a 24-hour cooling-off period. So for remote operators we expect you to report any customers that return to gambling within 7 years of the end of their self-exclusion. For non-remote operators we expect you to report customers that return to gambling within 6 months of the end of their self-exclusion. This must not include restrictions made on individual products or timeouts. This should include the number of players returning to gambling from either your own self-exclusion scheme or a multi-operator scheme^*.
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 18 (or 16 for lotteries) when challenged. For the purposes of the regulatory return, a person has gambled once they have inserted money into (or otherwise credited) a gaming machine, electronic gaming terminal or self-service betting terminal, bought in at a gaming table or completed a transaction over the counter. That transaction can include placing a bet or asking to load money on to a gaming machine. A person is unable to prove they are 18 (or 16 for lotteries) 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 18 (or 16 for lotteries).
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. A customer interaction is initiated by the operator, and is prompted by observed behaviour or activity by a customer, which may indicate problem gambling. You should only record here the number of customer interactions related to concerns that a customer’s behaviour may indicate problem gambling. You should not include general customer service communications, marketing, or requests for information for AML purposes.
Operational events	Individuals included in the customer interaction log	You may carry out more than one customer interaction with each customer. Record the number of different people (customers) included in the customer interaction log for the period relating to the regulatory return. Even if you do not know someone’s full personal details we expect that you will be able to identify them in some way.
Operational events	Customer incidents on gambling premises (directly related to gambling activity) requiring police assistance	Record details of where you have required police assistance to deal with an incident directly related to the gambling activity (including those where the police have been unable to attend).
Contributions	Are contributions made?	Select the appropriate option (yes/no).
Contributions	Contributions made via trade body	If you are a trade association/body member and your contribution was made through them please select ‘Contribution via Trade Body’. You should also record the name of the trade association/body.
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 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.
Contributions	Date of contribution	Enter the date the contribution was made.
Contributions	Details of contribution	Enter details relating to the contribution.
Premises Overview	Total number of active premises	Provide the total number of active premises (those offering a licensed activity) as at the end date of this return.
Premises Overview	Total number of inactive (but still licensed by local authority) premises	Provide the number of premises which are inactive but are still licensed by the Local Authority.
Premises Overview	Total number of acquired premises	State the number of premises acquired during the period covered by this return.
Premises Overview	Total number of disposed premises	State the number of premises disposed of during the period covered by this return.

Last updated: 18 June 2021

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Regulatory returns guidance

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1 - Operational information

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