Guidance

Regulatory decisions: Procedures and guidance for regulatory hearings

Guidance to assist Directors or the Regulatory Panel to carry out their regulatory 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

• Regulatory decisions: Procedures and guidance for regulatory hearings

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• 1 - Introduction
• - The purpose of this guidance
• - Scheme of delegations
• - Referral of case to a regulatory 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 regulatory decisions
• - Determining the facts
• - Deciding what should be done in the light of the facts found

Determining the facts

In reaching a decision on the case, the Regulatory Panel or Director must firstly determine the facts as relevant to the matter under consideration. 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 what should be done in the light of the facts found

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Last updated: 16 May 2022

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