Our regulatory decision making principles

Our decision making principles are used by all teams responsible for making regulatory decisions. They aim to support our work to continue to drive fairness, proportionality, objectivity, and transparency within our statutory regulatory decision-making. 

Proportionality

We take a proportionate, risk-based approach to decision making. 

This means decision makers:

  • are clear on the options available to them
  • ask themselves, in the context of the decision they are making, what is required and no more than is necessary to protect the public. And deal with cases fairly and justly, in a timely way
  • where appropriate, consider the impact on those affected by the decision in the context of our statutory duties.

Transparency

We are open about how we make decisions and what the outcomes of our decisions are. 

This means we:

  • publish decision making guidance in accordance with relevant policies except where matters of confidentiality would make that inappropriate
  • require decision makers to give clear reasons for their decisions. And record decisions in a way that they can be understood, using plain English and clear language
  • share information with interested parties. Provided it is appropriate to do so and in line with our legal obligations. And publish decisions in line with our publication and disclosure policies.

Objectivity 

We are objective in our approach to decision making and this means decision makers make evidence-based decisions:

  • in accordance with our published policies, guidance and criteria to ensure consistency
  • by considering relevant information (including changing circumstances), triangulating and evaluating information where appropriate. And deciding what weight to attach to the evidence available.

This means that decision makers demonstrate professionalism by:

  • setting aside their personal feelings and beliefs. And challenging their own biases, assumptions and views, and those of others
  • maintaining a curious and open mind and being open to perspectives from others.

Fairness 

We act fairly and are consistent in our decision making.

This means we:

  • seek to identify, consider and address the risk of bias in our decision making processes
  • take steps to mitigate against personal feelings, beliefs or conflicts of interest of our decision makers unfairly influencing our decisions
  • make sure we have mechanisms for individuals to participate effectively in our processes. And take steps to support individuals. 

Appropriate decision makers

We make sure decisions are taken by individuals with the right skills, competency and experience.

This means we:

  • only appoint individuals to make specific decisions if they can demonstrate they have the required skills, competency and experience to do so
  • support our decision makers through policies and guidance. And provide regular training and giving feedback so they understand our expectations of them
  • regularly audit or quality assure decisions.

Why the principles were developed

Our decision making principles provide a framework for our all teams responsible for making regulatory decisions. For example, those involved in assessing concerns about a doctor’s practise. Or when considering applications for registration or revalidation recommendations. 

They support our work to continue to drive fairness, proportionality, objectivity, and transparency within our statutory regulatory decision-making. And they aim to foster a culture of professional curiosity. Where everyone takes responsibility to ensure fair outcomes.  

They’ve been developed following learnings from relevant research and reviews and operate alongside the seven principles of public life, and the PSA (Professional Standards Authority) principles in the standards for good regulation.

More information can be found on our regulatory decision making processes in our Fitness to Practise Explained guide.