Warning notices and first supervisory notices

3.13 A warning notice is issued in relation to proposed disciplinary action such as making a disqualification order, imposing a fine, suspending a licence or imposing a restriction on the carrying on of a controlled activity by a licensed person. Please refer to Annex 1 to this Manual for further information.
3.14 Supervisory notices are issued in relation to supervisory actions, namely varying a licence or imposing or varying a requirement. Please refer to Annex 2 to this Manual for further information.
3.15 If Registration Authority staff consider that action is appropriate, they will make a recommendation to the Registrar that a warning notice or a supervisory notice should be given.
3.16 If the Registrar considers it relevant to his consideration, he may ask Registration Authority staff to explain or provide the following:
a. additional information about the matter (which Registration Authority staff may seek by further investigation); or
b. further explanation of any aspect of the Registration Authority staff recommendation or supporting documents.
3.17 The Registrar will consider whether the circumstances warrant a warning notice or supervisory notice being issued, having regard to the following considerations:
a. whether the material on which the recommendation is based is adequate to support it – the Registrar may seek additional information about or clarification of the recommendation from Registration Authority staff; and
b. whether the recommendation is appropriate in the circumstances.
3.18 If the Registrar decides that he should give a warning notice setting out details of the action he proposes to take, then he will:
a. ensure that the notice complies with the relevant provisions of CLR 2015 or CR 2020 (as applicable);
b. determine:
i. the period for making representations (which may not be less than 14 business days);
ii. whether to give a copy of the notice to any third party and, if so, the period for the third party to make representations; and
iii. whether to refuse access to Registration Authority material, relevant to the notice, under section 53 of CLR 2015 or section 257 of CR 2020.
c. ensure that the relevant Registration Authority staff make appropriate arrangements for the notice to be given.
3.19 If the Registrar decides that he should give a first supervisory notice, then he will:
a. ensure that the notice complies with the relevant provisions of CLR 2015;
b. determine the period for making any representations; and
c. ensure that the relevant Registration Authority staff make appropriate arrangements for the notice to be given.