Guidance

Licensing decisions: Procedures and guidance for licensing hearings

Guidance to assist Directors or the Regulatory Panel to carry out their licensing functions in accordance with our policies and procedures and to comply with the law.

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Published
16 May 2022

Last updated
16 May 2022 - Changes

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Contents

• Licensing decisions: Procedures and guidance for licensing hearings

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• 1 - Introduction
• - The purpose of this guidance
• - Scheme of delegations
• - Referral of case to a licensing hearing
• - The legal framework for decision making
• - Conflicts of interest
• 2 - Preparing for the hearing
• - Introduction
• - Documentary and other evidence
• - Case management hearings
• 3 - The hearing
• 4 - The Decision making process for determining licence applications
• - Determining the facts
• - Deciding whether to grant or refuse the application (in whole or in part)

Determining the facts

The first step in the decision making process requires the Regulatory Panel or Director to determine the facts as relevant to the matter under consideration.

In considering an application, the Panel or Director will have regard to the Statement of principles for licensing and regulation and the Licensing, compliance and enforcement under the Gambling Act 2005: policy statement.

When considering the suitability of an applicant, the Panel or Director will have regard to the following elements and make findings of fact in relation to the following:

• Identity and ownership - the identity of the applicant and or person(s) relevant to the application and, in the case of an application for an operating licence, who ultimately owns a corporate applicant
• Finances - the financial and other circumstances of the applicant, past and present, and or person(s) relevant to the application. For operating licences this will include the resources likely to be available to carry out the licensed activities
• Integrity - the honesty and trustworthiness of the applicant and or persons relevant to the application
• Competence - the experience, expertise, qualifications and history of the applicant and or persons relevant to the application
• Criminality - the criminal record of the applicant and or person(s) relevant to the application.

The Panel or Director will also make a finding in relation to the suitability of the applicant’s policies for ensuring that the licensing objectives will be adhered to, the applicant’s overall understanding of the legislation and evidence that arrangements will address the social responsibility requirements.

If there is a dispute about the facts of the case, the standard of proof required at all stages of the Panel or Director’s decision-making process is the civil standard, ‘on the balance of probabilities’. The ‘balance of probabilities’ standard means that the Panel or Director is satisfied an event occurred if the Panel or Director considers that, on the evidence, the occurrence was more likely than not.

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Deciding whether to grant or refuse the application (in whole or in part)

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Last updated: 16 May 2022

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