Section A – ADR applicant and contact person
Alternative Dispute Resolution
Application for approval
This application form is to be completed by all thoseapplying for approval to undertake dispute resolution for the gambling sector in accordance withThe Alternative Dispute Resolution for Consumer Disputes (Competent Authorities and Information) Regulations 2015, and in particular Schedules 2 and 3 of those Regulations.
The Gambling Commission has published advice about the implementation of the Regulations, including information for ADR applicants about the standards which they are required to meet, completing application forms and the timetable for application on our website in the form of an ADR mini-blog.
Applicants should consult the ADR mini-blog before completing this application form.
If you have any queries about the application form and how to complete it, please contact , quoting ADR in the subject line.
Section A / ADR applicant and contact personSection B / General information
Section C / Reasoned statement of compliance with requirements
Section D / ADR officials
Section E / Additional information about the ADR organisation
Section F / Declaration from ADR organisation
Section G / Form Enclosures
Section H[1] / Additional information relating to key ADR officials (including declaration by those individuals)
1aFull name of the person or organisation applying to become an ADR entity.
Name of ADR applicant(registered entity, individual or other)
1bFull name of the designated contact responsible for this application. All future correspondence relating to the application will be directed to this address.
TitleFirst name(s)
Surname
Property name
Street
Town/city
Postcode
Country
Daytime phone number (including area/ country code)
Mobile telephone number
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Section B – General Information
2 / Name of ADR applicant (in the format to be published on the register)2a / Website address of organisation
2b / General email contact of organisation
2c / General telephone contact or organisation
3 / Does the organisation operate under a different business name? / YesNo
(double-click the box and choose ‘checked’)
If YES, please specify the name(s).
4Has the organisation ever been known by another name (company name changes, aliases and previous names)?
YesNo
4a If YES, please provide details below:
NameDate from
Date to
If there has been more than one change of name, please repeat the information at 4a here.
5If the applicant is a registered organisation/business, complete the following:
Registration numberOrganisation registration is with
Property name
Property number
Street
Town/city
Postcode
Country
6If the applicant does not have a registered office or the head office is different
from the registered address, complete the following in respect of the head office:
Property nameProperty number
Street
Town/city
Postcode
Country
Please indicate if you do not wish information provided in 6 to be included
in the register of ADR entities
7Structure and funding of ADR organisation
Please tell us about the structure and funding of your ADR organisation.
7a. Nature of organisation:7b. Structure of organisation:
7c. Funding including details of any fees charged[2]:
7.d Other relevant information. Please provide any additional information to help us understand the general operation of your organisation.
8aPlease indicate the gambling sectors for which you are applying to be a recognised ADR provider (an ‘ADR entity’)
Adult Gaming Centre / Remote (all sectors)Betting / Remote – Casino
Bingo / Remote – Betting
Casino / Remote – Bingo
Family Entertainment Centre / Remote – other
Lotteries / Other
(please specify)
8bPlease indicate the types of dispute covered by your ADR procedure(s) and provide alongside your application a copy of your procedural rules.
Types of dispute covered by your ADR proceduresYour procedural rules should include the grounds (if any) on which you may refuse to deal with a dispute. You are also required to specify these grounds in 13 -15 in section C below. Further information is set out about the grounds on which ADR entities may refuse to deal with disputes at 13-15 in Section C below.
Q9-10are not applicable if you are a Gambling Regulator or an Ombudsman created by statute. Please proceed to Question 11.
9Is the applicant subject to any current, pending, or previous investigation in the last five years by any statutory, regulatory or government body in the United Kingdom or abroad in respect of any licence, certificate, permit or application? If YES, please provide details below (please continue on a separate sheet if necessary):
9a / DateStatutory or regulatory
body/department
Investigating officer
Investigating officer
contact number
Reference/Licence number
Country
10Has the applicant or any of its directors, partners or officers ever been found liable under the criminal laws of any jurisdiction or received a civil penalty (excluding parking penalties?) Also provide details if charged with an offence but awaiting trial, or under investigation for an offence within the last 5 years:
10a / Date of conviction or actionPlease repeat the information at 10a. here if necessary.
10b
Offence Director’s liability / Insolvency offencesCorruption / Restraint, Confiscation
Financial Services and
Market Act offences / Regulatory offences
Corporate manslaughter / Fraudulent trading
Companies Act offences / False accounting
Other
Please specify
10c
PenaltyLocation/court
Country
11Please provide details of any certificates of accreditation/licences/ permits held in United Kingdom or abroad at an entity level which you consider relevant to your application. (Please continue on a separate sheet if required)
Type of certificateIssued by
Description
Date of issue
Licence/permit number
Country
12Please indicate the way in which consumers can submit a dispute.
Current formats / Futureformats / If format to be available in the future, please specify the date at which the format will be available
Postal form
Website/ webform
Telephone/ Oral
Advocate/ representative
13Please provide details of the languages through which your ADR procedure can be accessed?
Language- current / Language
- future / Types of dispute covered in this language
14If you already operate as a dispute resolution body, what is the average length of time taken to resolve a dispute under your procedure?
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Section C – Reasoned statement of compliance with requirements
15. In this section, you will provide us with a reasoned statement which sets out how you meet the requirements of Schedule 3 of The Alternative Dispute Resolution for Consumer Disputes (Competent Authorities and Information) Regulations 2015.
The Gambling Commission (as the competent authority for the gambling sector) is required to assess you against these requirements and be satisfied that you meet them in order to grant approval.
Please provide your reasoned statement in the format specified below - these sections correspond to the structure of Schedule 3 of the Regulations.
The Commission can grant approval if it is satisfied that you can meet the requirements within a specified timeframe. If there are aspects of the requirements with which you do not yet comply, please specify the timeframe within which you will become compliant. In particular, please note whether you can become compliant before the implementation date of 9 July 2015 and if not, your reasons. If you are not compliant with the requirements within the timeframe specified by the Gambling Commission in its approval, the Commission may remove your approval. Therefore, please be as accurate as possible about the timeframes for compliance.
1.Alternative dispute resolution services offered by the bodyPlease provide details of how you meet each of the following requirements:
a.The body must deal with domestic and cross-border disputes brought by consumers against a trader
b.The ADR body must not be formed in order to deal only with one particular dispute
c.The body must not offer ADR where the official is employed or remunerated directly by a trader who is party to the dispute
2.Access to the ADR entity
Please provide details of how you meet each of the following requirements:
a.The body maintains an up-to-date website which provides information regarding the ADR procedure operated by the body
b.The body provides procedure information on paper, by email or by a durable medium on request
c.The body ensures that consumers can use its website to file complaints and upload supporting documents
d.The body permits the customer to file by post
e.The body enables to exchange of information via electronic means or, if a party wishes, by post
f.The body accepts both domestic and cross-border disputes including disputes referred via the new online dispute resolution platform
3.Expertise, independence and impartiality
Please provide details of how you meet each of the following requirements:
a.That you ensure each ‘ADR official’ possesses a general understanding of the law and the necessary knowledge and skills in the field of out of court or judicial resolution of consumer disputes, to be able to carry out their function competently
b.That ADR officials are appointed for sufficient duration to ensure the independence of their actions and that they cannot be relieved of their duties without just cause.
c.That ADR officials discharge their duties in a way that is not biased to either party of the dispute or their representatives
d.ADR officials are remunerated in a manner which is not linked to the outcome of ADR procedures
e.ADR officials disclose circumstances that may or may be seen to affect their independence/ impartiality or give rise to a conflict of interest
f.The duty to report conflicts of interest is a continuing obligation
g.Where ADR officials are employed or remunerated exclusively by a professional organisation or business association, a ring-fenced budget is available
h.If the procedure is to have representatives of both professional organisations or business associations and consumer organisations, that you engage equal numbers of consumer and trader representatives
4.Conflicts of interests procedure
Please provide details of how you meet each of the following requirements:
a.Where a conflict of interest arises, the ADR official is replaced with another official if possible
b.If the ADR official cannot be replaced by another official, that the body proposes to the parties that the dispute is submitted to another ADR entity
c.If the dispute cannot be transferred to another ADR entity, the parties are informed of the circumstances of the conflict of interest and the ADR procedure continues only if no party to the dispute objects.
5.Transparency
The ADR entity must provide the following information on its website in a clear and easily understandable manner. It should also be made available in paper form, by email or in other durable medium, on request. Please tick to indicate whether this requirement is currently met or met in the future. If it will be met in the future, please specify the date.
Currently met / Will be met in future / Date and/or further details
a.its contact details, including postal address and email address
b.a statement that it has been approved as an ADR entity by the Gambling Commission (only when in receipt of written notification from the Commission that approval has been given)
c.details of its ADR officials, how they were appointed and the duration of their appointment
d.the name of any network of bodies of which it is a member, that facilitates cross-border ADR
e.the types of dispute it is competent to deal with, including any financial thresholds
f.the procedural rules it operates and the grounds on which it can refuse to deal with a dispute
g.and h.the languages in which disputes can be submitted and conducted
i.the principles it applies in resolving a dispute
j.any preliminary requirements the parties have to meet before the procedure can begin
k.whether or not a party can withdraw from the procedure
l.the costs to the parties, including any rules on awarding costs at the end of the ADR procedure
m.the average length of each ADR procedure carried out by it
n.the legal effect of the outcome of the ADR procedure (ie: is it binding on the parties or is it a suggested outcome),and any penalty for non-compliance
o.whether the procedure can be conducted by oral or written means, or both.
p.The ADR entity must also publish its annual activity report (as required by the Regulations) on its website. / N/A
6.Effectiveness
a.Ensures thatits ADR procedure is available to both parties irrespective of where they are located, both by electronic means and non-electronic means
b.The parties must have access to the ADR procedure without being obliged to obtain independent advice or be represented or assisted by a third party, although they may choose to do so.
c.The parties to the dispute must be notified as soon as you have received all the documents containing the information relevant to the dispute, constituting a ‘complete complaint file’
d.The outcome of the procedure must be notified to the parties, within a period of 90 days from the date on which you receive ‘the complete complaint file’. In the case of highly complex disputes, the 90 days limit may be extended, so long as the parties are informed of the extension and the expected length of the extension
7. 8. 9. and 10. Fairness
a.Ensure the parties can express their points of view regarding the dispute, within a reasonable time frame
b.Provide a party, on request with the arguments, evidence, documents and facts put forward by the other party to the dispute. This includes any statements made and opinions given by experts
c.Ensures that parties can comment on this information and evidence
d.Inform the parties to the dispute that they are not obliged to retain a legal adviser but that they may seek independent advice or be represented by a third party at any stage of the ADR procedure.
e.Notify the parties of the outcome of dispute resolution procedure on a durable medium and give the parties a statement of the grounds on which the outcome is based
f.Where the ADR procedure seeks to resolve a dispute by proposing a solution, offer consumers the ability of withdrawing from the ADR procedure at any stage if they are dissatisfied with it. Consumers should be informed at the outset of this right, that they have a choice whether to agree the proposed solution, that their participation in ADR does not preclude their seeking redress through court proceedings and of the legal effect of agreeing to the proposed solution, and be given a reasonable time to reflect before they do so
11. and 12. Legality[3]
Ensure that if the ADR procedure aims to impose a solution on the consumer, the solution imposed does not deprive the consumer of the protection of certain entrenched consumer protection laws[4](If there is a conflict of laws, the relevant laws are those of the European country in which the consumer is ‘habitually resident’.
13. 14. and 15. Grounds to refuse to deal with a dispute
Schedule 3 sets out the circumstances in which an ADR entity can refuse to deal with a dispute. It may only do so on one of the following grounds. Please indicate which of the following grounds for refusal (if any) you wish to have available to you; and provide further information about each of the chosen grounds for refusal.
Further information on grounds for refusal
- the consumer has not attempted to contact the gambling operator and resolve the matter directly with them, prior to submitting their complaint to the ADR entity
- the dispute is frivolous or vexatious
- the dispute is being, or has previously been considered by another ADR entity or by a court
- the value of the claim falls below or above the monetary threshold set by the ADR entity
- the consumer has not submitted the complaint to the ADR entity within the time period specified by it, provided that such time period is not less than 12 months from the date upon which the gambling operator has given notice to the consumer that it is unable to resolve the complaint with the consumer
- dealing with such a type of dispute would seriously impair the effective operation of the ADR entity
Do you apply financial thresholds as criteria in accepting disputes for resolution?
YesNo
If yes, please provide details of the financial thresholds that you apply and explain how these thresholds do not significantly impair consumers’ access to ADR procedures.
If an ADR entity refuses to deal with a dispute, it must provide both parties with a reasoned explanation as to the grounds for declining the dispute, within three weeks of receiving the complaint file. Please provide details of how you would comply with this requirement.
16Please provide evidence documenting the financial independence of your ADR functions (this is for applicants that are owned by another entity/trade association or where the associated costs of an ADR official are remunerated by another entity)
17Please provide details of the arrangements you have in place to ensure the impartiality and integrity ADR officialshandling or ruling on disputes in cases where they are employed or remunerated by another body or by a trade association
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Section 7 – Other Information
18 Please list details of the individuals who will be ADR officials – ie: be involved in the provision of ADR services.
This may include those having an administrative or management function (such as website management) and those handling, investigating or ruling on a dispute.
You should complete the additional information in Section H about each of the ADR officials who are directly involved in the handling, investigation of or ruling on a dispute. Additional copies of Section H for completion can be downloaded from our website.
Name of ADR official / Position held within organisation / Basis of remuneration – ie salary, standard fee per dispute, reimbursement of costs etc. / Employer (who employs the individual for the resolution of disputes) / Term of office / Please tick if this role includes the handling, investigating or ruling of a dispute / Additional information submitted in Section HPage 1 of 22
Section 7 – Other Information
19Is there any other information, which you believe the Commission would reasonably expect notice of or you would like the Commission to take into account when considering this application?
YesNo
19aIf YES, please provide details below or attach any relevant documents to the application: