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The Orders and Rules of Racing

General Manual (A)


SCHEDULES

Schedule 9 - Licensing Committees

Applications to the Authority for licences, permits and registrations

Part 1

General

1. The Authority shall decide whether or not an application for the grant or renewal of a licence, permit or registration should be granted or refused or granted subject to restrictions or conditions.

2.1 The Authority shall refer the application to its Licensing Committee for a decision on the merits, if the Authority

2.1.1 is minded to refuse the application or to attach conditions or restrictions to the licence, permit or registration on the ground that the applicant is not a suitable person,
2.1.2 is minded to refuse the application on the ground that such action is necessary in the interests of racing pending the outcome of an ongoing investigation or process (whether or not undertaken by the Authority), or
2.1.3 considers such a course to be otherwise appropriate,

in which event the relevant Paragraphs of Part 2 shall apply and the procedure for a determination by the Authority set out in Paragraph 5 shall not apply.

3. An applicant for the grant or renewal of a licence, permit or registration is required to satisfy the Authority that he meets all the criteria contained within the guidance notes which accompany the Prescribed form.

4. The applicant shall provide such information and documents and attend for interview at the Authority's offices or by telephone or at a hearing as may be required to enable the effective determination of the matters relevant to the application. Determination of the application may also require the provision of information or documents and the attendance for interview, etc by another person relevant to the application, such as the employer of an applicant for a trainer's licence. The applicant may be legally represented at a hearing and in such other circumstances as may be appropriate.

5. A decision by the Authority to grant a licence, permit or registration shall be sent to the applicant in writing. A decision to refuse the application or to grant it subject to restrictions or conditions shall be sent to the applicant accompanied by written reasons for the refusal or decision to impose conditions or restrictions.

6. An applicant who is aggrieved by a decision of the Authority made pursuant to Paragraph 5 shall, save as provided in Paragraph 7, have a right to seek a re-assessment of the application by the Licensing Committee in the manner set out in Part 2 and subject to the matters set out in that Part.

7. There shall be no right to a re-assessment of an application falling within the specific instances detailed in the criteria which accompanies the Prescribed form, save where the Authority considers it to be appropriate in the particular circumstances of an individual case. If the Authority considers such circumstances to be present, the application will proceed in accordance with Paragraph 2.1.3.

8. The grounds on which an applicant may apply for a re-assessment are not restricted to matters that were before the Authority when it made the decision in question. Any relevant matter of fact or law may be relied on to show that a different decision is appropriate in all the circumstances. The Licensing Committee may set aside, confirm or vary that decision.

Part 2

Applications to the Licensing Committee

Screening of applications for a re-assessment

9.1 An applicant seeking a re-assessment of an application must first submit their case for screening by satisfying the Licensing Committee either that the application for a re-assessment has a real prospect of success or that there is some other compelling reason why it should be heard. If either requirement is satisfied the applicant may proceed to a hearing before the Licensing Committee (subject to the provisions of Paragraph 18.1.3), and if not, the decision of the Authority will stand. The following provisions shall apply

9.1.1 The decision as to whether or not the application for a re-assessment should proceed will be made on a 'documents only' basis, save where the applicant asks for an oral hearing and the Licensing Committee considers such a hearing to be appropriate.
9.1.2 The provisions of Paragraph 10 onwards (as relevant) shall apply to timetabling and other procedural matters.

10.1 The timetable and procedure for an application for a re-assessment shall be as follows

10.1.1 The applicant shall set out in writing the grounds relied on to show that a different decision should be made, accompanied by such evidence and other relevant written material as he may wish to rely on and lodge the same with the Licensing Team within 21 days of the date of receipt of the decision and reasons in question, together with written notice to the Licensing Team as to whether or not the applicant is legally represented and if so by whom.
10.1.2 Where the applicant wishes to apply for an oral hearing, he shall make and lodge a request in writing to that effect at the same time as the grounds are lodged pursuant to Paragraph 10.1, such request for an oral hearing to be accompanied by written reasons as to why an oral hearing is appropriate at this stage.
10.1.3 Prior to the decision as to whether or not the application for a re-assessment should proceed, the Authority shall not be allowed to rely on information or argument beyond that specified in the decision and reasons provided pursuant to Paragraph 5, unless the Licensing Committee permits otherwise; in which event permission may be given subject to such terms (if any) as may be appropriate to allow the fair determination of the application.
10.1.4 The decision of the Licensing Committee as to whether or not the application should proceed shall be in writing accompanied by written reasons.

Matters applicable to 'suitable person' and other cases

11.1 Where the Authority is minded to refuse the application, or to attach conditions or restrictions to any licence, permit or registration on the ground that

11.1.1 the ground that the applicant is not a suitable person, or
11.1.2 such action is necessary in the interests of racing pending the outcome of an on-going investigation or process (whether or not undertaken by the Authority),

the applicant will be notified in writing.

12.1 A notification given under Paragraph 11 will include,

12.1.1 the facts as they appear to the Authority in such a way as to enable the applicant to deal with its concerns but consistent with the proper protection of confidential sources of information, where relevant,
12.1.2 the reasons why it appears to the Authority that there are grounds for it to recommend to the Licensing Committee that it refuse a licence or permit or grant the same subject to restrictions or conditions, and
12.1.3 an invitation to attend a hearing, the date and time of the hearing and the possible consequences of non-attendance, being those specified in Paragraph 18.

13.1 Within 21 days of receipt of the letter specified in Paragraph 12, the applicant will be expected to confirm in writing to the Licensing Team

13.1.1 whether he will attend the hearing,
13.1.2 whether he will be legally represented and if so by whom, and

at the same time provide to the Licensing Team copies of all documents, statements and argument he wishes to rely on in answer to the objections of the Authority.

Matters applicable to hearings before the Licensing Committee

14.1 The provisions set out in Paragraphs 15-28 shall apply to the determination of

14.1.1 applications for a re-assessment where the Licensing Committee has decided that an application should proceed,
14.1.2 applications referred to the Licensing Committee which the Authority is minded to refuse because the applicant is not a suitable person.

15.1 The Authority may by written notice given to the applicant state that it wishes to be represented at the hearing and (whether or not the Authority wishes to be so represented) may serve on the applicant any further information, documents or argument which it may wish to rely on within 14 days of the date of

15.1.1 the decision of the Licensing Committee made pursuant to Paragraph 10.1.4 allowing an application to proceed, or
15.1.2 the expiry of the period specified in Paragraph 13

as the case may be.

16. The applicant shall have a period of 14 days from the date of receipt of any information, documents or argument provided by the Authority pursuant to Paragraph 15.1 in which to lodge with the Licensing Team any material in reply.

17. The Licensing Committee may invite such person as it considers necessary to provide information or relevant opinion and to produce such documents as may be appropriate.

18.1 The applicant shall attend the hearing. If an applicant fails to attend a hearing or if his representative, or one or more of his witnesses or other persons invited to attend the hearing, do not attend the hearing, the Licensing Committee may (at its absolute discretion)

18.1.1 adjourn the hearing to a specified date or a date to be fixed,
18.1.2 proceed with the hearing in the absence of the applicant or in the absence of a witness or other person, or
18.1.3 dismiss the application for a re-assessment, in which case the original decision of the Authority will stand.

19.1 In conducting the hearing the Licensing Committee will give the applicant an appropriate opportunity to

19.1.1 make representations and call witnesses on any matter relevant to the hearing,
19.1.2 provide further information with respect to any matter on which the Licensing Committee has sought clarification,
19.1.3 question any other person appearing before the Licensing Committee on an issue relevant to the matters before it, and
19.1.4 address the Licensing Committee on any relevant matter.

20. The hearing will take the form of a discussion led by the Licensing Committee which will not engage in or permit cross-examination, unless it considers that such is required to enable the fair disposal of the matters before it.

21. All questions concerning the admissibility of evidence shall be for determination by the Licensing Committee in its absolute discretion and for the avoidance of doubt the Licensing Committee shall not be bound by any enactment or rule of law relating to the admissibility of evidence before a court of law or statutory tribunal.

22. Where any fact or matter has to be established to the satisfaction of the Licensing Committee, the standard of proof shall be the standard applied in the civil courts in England in a dispute between private persons concerning a matter of comparable seriousness to the subject matter in question, i.e. on the balance of probabilities.

23. The Licensing Committee shall reach decisions by a simple majority. Decisions so reached shall be announced as decisions of the Licensing Committee. Reasons given for decisions shall not include references to any minority opinion or dissenting view.

24. The decision of the Licensing Committee shall be final subject to relevant rights of appeal. The Licensing Committee will give written reasons for its decision and save for in exceptional circumstances shall provide such written reasons within 20 working days of the hearing.

Composition of the Licensing Committee

25.1 The members of any Licensing Committee will be selected by the Judicial Panel Chairman from the Disciplinary and Licensing Panel Pool in accordance with the Terms of Reference for the Licensing Committee. The Licensing Committee shall consist of a minimum of three persons, save that it may act by a single person in the following cases, namely

25.1.1 all aspects of screening an application for a re-assessment as set out in Paragraphs 9 and 10, including deciding whether or not the application should proceed,
25.1.2 the giving of directions (whether or not at a directions hearing) for the expeditious and just determination of an application, and
25.1.3 deciding an application referred to the Licensing Committee referred by Paragraph 2.1.2.

Where the Licensing Committee consists of three or more persons one of them shall, unless the Judicial Panel Chairman so directs or all parties agree otherwise, be a legally qualified person of a sufficient qualification and experience who shall chair the hearing. Where the Licensing Committee acts by a single member, such person shall, unless the Judicial Panel Chairman so directs or all the parties agree otherwise, be a legally qualified person of sufficient qualification and experience.

25A. The Judicial Panel Chairman shall provide to any Person provisionally selected sufficient details of the matter in question and the individuals concerned so as to enable any Person provisionally selected to declare any interest and to disqualify himself or to seek any waivers of objection as appropriate prior to final selection.
25B. The Judicial Panel Chairman may delegate his function to the Deputy Judicial Panel Chairman
.

Confidentiality

26. The proceedings shall be held in private (unless the Licensing Committee considers otherwise) and shall be confidential, save that the Authority may publish on its website or in any press release the decision, any reasons, any summary thereof and any brief details of the proceedings or matters before the Licensing Committee, and save also as appears in Paragraph 27.

27.1 Information and documents considered by the Licensing Committee shall be used solely for the proper regulation of horseracing and shall not be disseminated further except where disclosure is required by law or following a proper application by a fellow competent regulatory body. The proper regulation of horseracing shall include but not be limited to the following purposes

27.1.1 the interviewing of other persons who may assist the Licensing Committee to determine the matters before it,
27.1.2 reference to such information and documents in any written reasons of the Licensing Committee for its decision, and
27.1.3 those purposes specified in Paragraph 28.

28. The Licensing Committee may arrange for any hearing to be recorded and the recording shall be the sole property of the Authority and no person shall have the right to compel the production of it or a transcript save as authorised by the Licensing Committee or as required by law and subject to meeting any costs or expenses in providing it.

Other applications relating to licences, permits and registrations

29.1 Where information comes to the attention of the Authority, which prompts it to

29.1.1 seek the withdrawal or suspension of a licence or permit, or
29.1.2 the cancellation or removal of any person from the register of Owners maintained by the Authority,

the decision concerning such licence, permit or registration shall be taken by the Licensing Committee by reference to such of the provisions included in Paragraphs 15-28 (making the necessary changes so as to apply those Paragraphs) as are appropriate in the circumstances having regard to the urgency of the situation and to such further (if any) directions as may be appropriate.

30. The Authority may also refer such other matter as may be appropriate to the Licensing Committee concerning a licence, permit or registration, which shall decide or otherwise deal with the matter in such manner as it considers appropriate, having regard to all the circumstances.

31. Where an application has been referred to the Licensing Committee pursuant to Paragraph 2.1.2, it shall determine the application in such manner as it considers appropriate, having regard to all the circumstances.

Miscellaneous

32. The Licensing Committee shall be at liberty to disapply, amend or add to the matters set out in this Part in any particular case, and to give directions as they consider appropriate for the purpose of disposing of the issues before it fairly and expeditiously and taking all other proper considerations into account (including the urgency of a situation).

33. An appeal shall lie to the Appeal Board in such circumstances as are specified in Schedule 7 Paragraph 12.

34. Where an applicant seeks to renew a licence or permit and has made an application for a re-assessment or in any other relevant case, the Authority or the Licensing Committee may grant to him such temporary licence or permit, if any, as may be appropriate in the circumstances.

35. The applicant is referred to Rules 105 to 108, which deal with the methods and time for the service of documents.