Annex A guide
An Annex A is required to be submitted instead of a Personal Management Licence (PML) by the following people:
- those in a management position in a Small Scale Operator (Schedule X)
- a representative of an operator taking bets on their behalf at tracks (Schedule Y)
- individuals who are, or are expected to become, a holder of 10 percent or more shares in a licensed operator.
You can submit an Annex A online using the Apply for a personal licence service.
New operating licence applicants
When you apply for a new operating licence, you must tell us about people who will be in qualifying management positions. We will check if you qualify as an SSO in your application. If you do not qualify you will be prompted to change the people to require PMLs.
Existing operating licence holders
If you hold an operating licence and qualify as an SSO and need to add additional people in a qualifying management position, and you remain below the three or fewer threshold, the additional people will need to apply for an Annex A.
You will need to start a licence variation application to do this. There are different options for doing this, depending on whether other changes are being made to your licence activities.
Adding or removing people
If you are only adding or removing people, you will need to complete the variation application form and pay the variation fee.
You cannot do this online. You'll need to submit an application using the variation application form.
Adding or removing people and changing what you are licensed for
You can submit your licence variation online using eServices.
If you go over three people in qualifying positions
If you have more than three people in qualifying management positions, each person must then apply for a PML and pay a fee.
PML applications can be submitted by using the Apply for a personal licence service.
Criminal record checks
As part of the application process we'll need to ask if you've received any criminal convictions, warnings or reprimands.
It is important that you declare any offences. We undertake checks, including Disclosure and Barring Service (DBS) checks, to confirm the accuracy of your declarations.
Why we do criminality checks
We do this to assess if a person is suitable to hold a personal licence or Annex A. We are also required to carry out these checks by law, under Part 5 of the Gambling Act 2005 (opens in new tab).
Not all convictions will prevent you from getting a licence or Annex A. When considering the suitability of someone to hold a personal licence or Annex A, we review details of the offence on a case by case basis.
Relevant offences which may result in a licence application being refused, or a licence to be revoked, are listed under Schedule 7 of the Gambling Act (opens in new tab).
Do not send us any documents unless we ask for them
You may have a certificate from a previous DBS or Disclosure Scotland by an employer. Do not send us these certificates, even if the check was done recently. We will always request new checks as part of the application process.
Types of criminality checks
During the application process, we will let you know what checks will be completed and if we need anything further from you.
If you lived or worked in England or Wales
We will carry out a Basic Disclosure and Barring Service (DBS) check (opens in new tab), which is done electronically. We will ask you some questions in the application to enable us to carry out this check.
If you declare any criminal history in your application, we reserve the right to carry out a Standard DBS check, instead of a Basic DBS check. You will be notified if we intend to do this. We cannot do this Standard check electronically, instead, we'll send you a form which you'll need to complete, sign, and return to us.
Electronic checks can take 1 to 7 days to complete. Standard checks can take up to 3 weeks.
DBS will issue a certificate which details any relevant convictions, warnings or offences against you.
Once you get your certificate, we may ask you to send this to us. Do not send us your certificate unless we ask for it. We will tell you how and where to send it.
Electronic Disclosure and Barring Service (eDBS) checks
To carry out electronic DBS (eDBS) checks, we must have your consent.
If consent is given to share the result of the eDBS check
If you consent to sharing the result of the eDBS, you can progress the application online and when submitted, the application will be processed in the via the automated service.
If you do not give consent to share the result of the eDBS check
If you do not consent to sharing the eDBS result with us, we cannot progress the application using the automated service.
Instead, you must:
- Use our online form to contact us about your application for a licence. Select the ‘I want to discuss other ways to submit my application for a licence’ option. A member of our Licensing team will contact you with an application form for you to complete.
- If you are applying for a personal licence, you must pay for your application using GOV.UK Pay. The Licensing team will send you a payment link.
- Pay for your own basic DBS check (opens in new tab).
- Send us your DBS certificate, completed application form and any other supporting evidence required for the application. Submit these by email to Licensing@gamblingcommission.gov.uk.
Any information provided via the online services will be deleted in line with the Commission’s Privacy policy.
Once we receive all of your documentation and payment, your application will be processed manually by a Licensing caseworker. The caseworker will provide an estimate on how long the application is likely to take to be determined.
When the application has been processed and determined, you will receive an email notification from us as confirmation.
As part of our compliance processes, the Commission will be asked to provide evidence that the required consent has been freely obtained.
Further information is available in the DBS Consent policy (opens in new tab).
If you were born or have lived in Scotland
We will request a Disclosure Scotland check (opens in new tab)
We will send you a form which you need to complete, sign and return to us.
Disclosure Scotland checks can take up to 3 weeks.
Disclosure Scotland will issue a certificate which details any relevant convictions, warning or offences against you.
Once you get your certificate, we require you to send this to us and we will tell you how and where to send it.
If you were born outside of England, Wales or Scotland or lived overseas in the last 5 years
We will ask you to obtain certified copies of your overseas police report from your local police force translated into English. (This is not required if you left your country of birth as a child.)
This is at your own cost and is not covered by the application fee. We will not pay any fees for obtaining or translating these documents.
These documents need to be uploaded as part of your application. We may refuse your application if they are not provided, as your application is incomplete.
You can find more information about certifying a document on GOV.UK (opens in new tab).
Files
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Last updated: 26 April 2023
Show updates to this content
25 April 2023 - Added eDBS consent information.
11 January 2023 - Following user feedback and an audit, we have edited this page for consistency. No substantive changes to requirements have been made.