The Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975

• Citation: S.I. 1975/1023
• Sections: 140

Section 1

This Order may be cited as the Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 and shall come into operation on 1st July 1975.

Section 2

(1) In this Order, except where the context otherwise requires—

“ the 2000 Act ” means the Financial Services and Markets Act 2000;

“the 2006 Act ” means the Safeguarding Vulnerable Groups Act 2006.

“the 2016 Act” means the Regulation and Inspection of Social Care (Wales) Act 2016;

“ the Act ” means the Rehabilitation of Offenders Act 1974;

“ administration of justice offence ” means—

the offence of perverting the course of justice,

any offence under section 51 of the Criminal Justice and Public Order Act 1994 (intimidation etc. of witnesses, jurors and others),

an offence under section 1, 2, 6 or 7 of the Perjury Act 1911 (perjury),

or any offence committed under the law of any part of the United Kingdom (other than England or Wales) or of any other country where the conduct which constitutes the offence would, if it all took place in England or Wales, constitute one or more of the offences specified by paragraph (a) to (c);

“adoption agency” has the meaning given by section 2(1) of the Adoption and Children Act 2002;

“adoption service”—

in relation to England, means the discharge by a local authority in England of relevant adoption functions within the meaning of section 43(3)(a) of the Care Standards Act 2000, and

in relation to Wales, means the discharge by a local authority in Wales of functions under the Adoption and Children Act 2002 of making or participating in arrangements for the adoption of children or the provision of adoption support services as defined in section 2(6) of that Act;

“adoption support agency” has the meaning given by section 8 of the Adoption and Children Act 2002;

“ associate ”, in relation to a person (“A”), means someone who is a controller, director or manager of A or, where A is a partnership, any partner of A;

“authorised payment institution” has the meaning given by regulation 2(1) of the Payment Services Regulations 2017 ;

“childminder agency” has the meaning given in section 98(1) of the Childcare Act 2006;

...

“ child minding ” means—

child minding within the meaning of section 79A of the Children Act 1989 section 19 of the Children and Families (Wales) Measure 2010 ; and

early years childminding within the meaning of section 96(4) of the Childcare Act 2006, or later years childminding within the meaning of section 96(8) of that Act;

“children's home”—

in relation to England, has the meaning given by section 1 of the Care Standards Act 2000; and

in relation to Wales, means premises at which—

a care home service is provided wholly or mainly to persons under the age of 18, or

a secure accommodation service is provided,

and in this paragraph “care home service” and “secure accommodation service” have the meaning given in Part 1 of the 2016 Act;

“ collective investment scheme ” has the meaning given by section 235 of the 2000 Act;

...

...

...

“ controller ” has the meaning given by section 422 of the 2000 Act;

...

“ Council of Lloyd's ” means the council constituted by section 3 of Lloyd’s Act 1982;

“ day care ” means—

day care for which registration is required by section 79D(5) of the Children Act 1989 section 23(1) of the Children and Families (Wales) Measure 2010 ; and

early years provision within the meaning of section 96(2) of the Childcare Act 2006 (other than early years childminding), or later years provision within the meaning of section 96(6) of that Act (other than later years childminding), for which registration is required, or permitted, under Part 3 of that Act;

“ day care premises ” means any premises on which day care is provided, but does not include any part of the premises where children are not looked after;

“ depositary ”, in relation to an authorised contractual scheme, has the meaning given in section 237(2) of the 2000 Act;

...

...

“ director ” has the meaning given by section 417 of the 2000 Act;

“ electronic money institution ” has the meaning given by regulation 2(1) of the Electronic Money Regulations 2011;

“the FCA ” means the Financial Conduct Authority;

“fostering agency”—

in relation to England, has the meaning given by section 4(4) of the Care Standards Act 2000, and

in relation to Wales, means a provider of a fostering service within the meaning of paragraph 5 of Schedule 1 to the 2016 Act;

“fostering service” means—

in relation to England, the discharge by a local authority in England of relevant fostering functions within the meaning of section 43(3)(b)(i) of the Care Standards Act 2000, and

in relation to Wales, the discharge by a local authority in Wales of functions under section 81 of the Social Services and Well-being (Wales) Act 2014 (in connection with placements with local authority foster parents) or regulations made under or by virtue of any of sections 87, 92(1)(a), (b), (d) or 93 of that Act;

“key worker” means—

any individual who is likely, in the course of exercising the duties of that individual’s office or employment, to play a significant role in the decision making process of the FCA , the PRA or the Bank of England in relation to the exercise of its public functions (within the meaning of section 349(5) of the 2000 Act ); or

any individual who is likely, in the course of exercising the duties of that individual’s office or employment, to support directly an individual mentioned in paragraph (a);

“ manager ” has the meaning given by section 423 of the 2000 Act;

“ open-ended investment company ” has the meaning given by section 236 of the 2000 Act

“ operator ”, in relation to an authorised contractual scheme, has the meaning given in section 237(2) of the 2000 Act;

“Part 4A permission” has the meaning given by section 55A(5) of the 2000 Act ;

“payment services” has the meaning given by regulation 2(1) of the Payment Services Regulations 2017 ;

“protected caution” means a caution of the kind described in article 2A(1);

“protected conviction” means a conviction of the kind described in article 2A(2);

“the PRA ” means the Prudential Regulation Authority;

“recognised clearing house” means a recognised clearing house as defined in section 285 of the 2000 Act;

“ recognised CSD ” has the meaning given by section 285(1)(e) of the 2000 Act;

“ registered account information service provider ” has the meaning given by regulation 2(1) of the Payment Services Regulations 2017;

“relevant collective investment scheme” means a collective investment scheme which is recognised under section 271A (schemes authorised in approved countries) or section ... 272 (individually recognised overseas schemes) of the 2000 Act;

“residential family centre”—

in relation to England, has the meaning given by section 4(2) of the Care Standards Act 2000; and

in relation to Wales, means a place at which a residential family centre service, within the meaning of Part 1 of the Regulation and Inspection of Social Care (Wales) Act 2016, is provided;

“small payment institution” has the meaning given by regulation 2(1) of the Payment Services Regulations 2017 ;

...

“taxi driver licence” means a licence granted under—

section 46 of the Town Police Clauses Act 1847;

section 8 of the Metropolitan Public Carriage Act 1869;

section 9 of the Plymouth City Council Act 1975;

section 51 of the Local Government (Miscellaneous Provisions) Act 1976; or

section 13 of the Private Hire Vehicles (London) Act 1998;

“ trustee ”, in relation to a unit trust scheme, has the meaning given by section 237 of the 2000 Act;

...

...

“ UK recognised investment exchange ” means an investment exchange in relation to which a recognition order under section 290 of the 2000 Act, otherwise than by virtue of section 292(2) of that Act (overseas investment exchanges), is in force;

“voluntary adoption agency”—

in relation to England, has the meaning given by section 4(7) of the Care Standards Act 2000, and

in relation to Wales, means a provider of an adoption service within the meaning of paragraph 4(a) of Schedule 1 to the 2016 Act;

“ work ” includes—

work of any kind, whether paid or unpaid, and whether under a contract of service or apprenticeship, under a contract for services, or otherwise than under a contract; and

an office established by or by virtue of an enactment;

“ work with children ” means work of the kind described in paragraph 14 , 14A, 14B or 14C of Part 2 of Schedule 1 to this Order;

the expressions ... “ building society ” and “ officer ” have the meanings respectively given to them by section 119(1) of the Building Societies Act 1986.

(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2ZA) In this Order references to the Bank of England do not include the Bank acting in its capacity as the Prudential Regulation Authority.

(2A) Nothing in this Order applies in relation to a conviction for a service offence which is not a recordable service offence; and for this purpose—

(a) “service offence” means an offence which is a service offence within the meaning of the Armed Forces Act 2006 or an SDA offence within the meaning of the Armed Forces Act 2006 (Transitional Provisions etc ) Order 2009;

(b) “recordable service offence” means an offence which is a recordable service offence within the meaning of the Police and Criminal Evidence Act 1984 (Armed Forces) Order 2009.

(3) Part IV of Schedule 1 to this Order shall have effect for the interpretation of expressions used in that Schedule.

(4) In this Order a reference to any enactment shall be construed as a reference to that enactment as amended, extended or applied by or under any other enactment.

(4A) In this Order any reference to a conviction shall where relevant include a reference to a caution, and any reference to spent convictions shall be construed accordingly.

(5) The Interpretation Act 1889 shall apply to the interpretation of this Order as it applies to the interpretation of an Act of Parliament.

Section 2A

(1) For the purposes of this Order, a caution is a protected caution if ...

(a) ... the person was under 18 years at the time the caution was given, ...; or

(b) where the person was 18 years or over at the time the caution was given , it was given to the person for an offence other than a listed offence, and , six years or more have passed since the date on which the caution was given.

(2) For the purposes of this Order, a person’s conviction is a protected conviction if the conditions in paragraph (3) are satisfied and—

(a) where the person was under 18 years at the time of the conviction, five years and six months or more have passed since the date of the conviction; or

(b) where the person was 18 years or over at the time of the conviction, 11 years or more have passed since the date of the conviction.

(3) The conditions referred to in paragraph (2) are that—

(a) the offence of which the person was convicted was not a listed offence; and

(b) no sentence mentioned in paragraph (4) was imposed in respect of the conviction. ...

(c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4) The sentences referred to in paragraph (3)(b) are—

(a) a custodial sentence, and

(b) a sentence of service detention,

within the meaning of section 5(8) of the Act, as to be substituted by section 139(1) and (4) of the Legal Aid, Sentencing and Punishment of Offenders Act 2012.

(5) In paragraphs (1) and (3)(a) “listed offence” means—

(a) an offence under section 67(1A) of the Medicines Act 1968;

(b) an offence under any of sections 126 to 129 of the Mental Health Act 1983;

(c) an offence specified in the Schedule to the Disqualification from Caring for Children (England) Regulations 2002;

(d) an offence specified in Schedule 15 to the Criminal Justice Act 2003;

(e) an offence under section 44 of, or under paragraph 4 of Schedule 1 or paragraph 4 of Schedule 4 to, the Mental Capacity Act 2005;

(f) an offence under section 7, 9 or 19 of the Safeguarding Vulnerable Groups Act 2006;

(g) an offence specified in section 17(3)(a), (b) or (c) of the Health and Social Care Act 2008, apart from an offence under section 76 of that Act;

(h) an offence specified in the Schedule to the Safeguarding Vulnerable Groups Act 2006 (Prescribed Criteria and Miscellaneous Provisions) Regulations 2009;

(i) an offence specified in Schedule 2 or 3 of the Childcare (Disqualification) Regulations 2009;

(j) an offence superseded (whether directly or indirectly) by any offence falling within paragraphs (a) to (i);

(k) an offence of—

(i) attempting or conspiring to commit any offence falling within paragraphs (a) to (j), or

(ii) inciting or aiding, abetting, counselling or procuring the commission of any such offence,

or an offence under Part 2 of the Serious Crime Act 2007 (encouraging or assisting crime) committed in relation to any such offence;

(l) an offence under the law of Scotland or Northern Ireland, or any country or territory outside the United Kingdom, which corresponds to any offence under the law of England and Wales falling within paragraphs (a) to (k);

(m) an offence under section 42 of the Armed Forces Act 2006 in relation to which the corresponding offence under the law of England and Wales (within the meaning of that section) is an offence falling within paragraphs (a) to (k); or

(n) an offence under section 70 of the Army Act 1955, section 70 of the Air Force Act 1955 or section 42 of the Naval Discipline Act 1957 of which the corresponding civil offence (within the meaning of that Act) is an offence falling within paragraphs (a) to (k).

Section 3

(1) Subject to paragraph (2), neither section 4(2) of, nor paragraph 3(3) of Schedule 2 to, the Act shall apply in relation to—

(a) any question asked by or on behalf of any person, in the course of the duties of his office or employment, in order to assess the suitability—

(i) of the person to whom the question relates for admission to any of the professions specified in Part I of Schedule 1 to this Order; or

(ii) of the person to whom the question relates for any office or employment specified in Part II of the said Schedule 1 apart from one specified in paragraph 1, 6, 16, 17, 18, 18A, 31, 32, 35 or 36 or for any other work specified in paragraph 12A, 13, 13A, 14, 14A, 14AA, 14B, 14C, 14D, 14E, 14F, 20, 21, ... ... 38, 40 or 43 of Part II of the said Schedule 1; or

(iii) of the person to whom the question relates or of any other person to pursue any occupation specified in Part III of the said Schedule 1 apart from one specified in paragraph 1 or 8 or to pursue it subject to a particular condition or restriction; or

(iv) of the person to whom the question relates or of any other person to hold a licence, certificate or permit of a kind specified in Schedule 2 to this Order apart from one specified in paragraph 1, 3 or 6 or to hold it subject to a particular condition or restriction, or

(v) of an individual to provide accommodation or to continue to provide accommodation to a person who has applied for or been granted permission to enter into or to stay in the United Kingdom in accordance with Appendix Ukraine Scheme of the Immigration Rules, where the question relates to—

(aa) the individual whose suitability is being assessed, or

(bb) any other individual over the age of 16 years who resides in the same household as the individual whose suitability is being assessed,

where the person questioned is informed at the time the question is asked that, by virtue of this Order, spent convictions are to be disclosed;

(aa) any question asked by or on behalf of any person, in the course of the duties of his work, in order to assess the suitability of a person to work with children, where—

(i) the question relates to the person whose suitability is being assessed;

(ii) the person whose suitability is being assessed lives on the premises where his work with children would normally take place and the question relates to a person living in the same household as him;

(iii) the person whose suitability is being assessed lives on the premises where his work with children would normally take place and the question relates to a person who regularly works on those premises at a time when the work with children usually takes place; or

(iv) the work for which the person’s suitability is being assessed is child minding which would normally take place on premises other than premises where that person lives and the question relates to a person who lives on those other premises or to a person who regularly works on them at a time when the child minding takes place,

and where the person to whom the question relates is informed at the time the question is asked that, by virtue of this Order, spent convictions are to be disclosed;

(ab) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(e) any question asked by or on behalf of any person in the course of his duties as a person employed by an adoption agency for the purpose of assessing the suitability of any person to adopt children in general or a child in particular where—

(i) the question relates to the person whose suitability is being assessed; or

(ii) the question relates to a person over the age of 18 living in the same household as the person whose suitability is being assessed,

and where the person to whom the question relates is informed at the time the question is asked that, by virtue of this Order, spent convictions are to be disclosed;

(ea) any question asked by or on behalf of any person in the course of his duties as a person employed by a local authority in England or Wales for the purpose of preparing a report for the court under section 14A(8) of the Children Act 1989 regarding the suitability of any person to be a special guardian, where—

(i) the question relates to the person whose suitability is being assessed; or

(ii) the question relates to a person over the age of 18 living in the same household as the person whose suitability is being assessed;

and where the person to whom the question relates is informed at the time the question is asked that, by virtue of this Order, spent convictions are to be disclosed;

(f) any question asked by or on behalf of any person, in the course of the duties of his work, in order to assess the suitability of a person to provide day care where—

(i) the question relates to the person whose suitability is being assessed; or

(ii) the question relates to a person who lives on the premises which are or are proposed to be day care premises,

and where the person to whom the question relates is informed at the time the question is asked that, by virtue of this Order, spent convictions are to be disclosed;

(fa) any question asked by or on behalf of Her Majesty’s Chief Inspector of Education, Children’s Services and Skills in assessing a person’s suitability for registration as a childminder agency under Part 3 of the Childcare Act 2006, where the person to whom the question relates is informed at the time the question is asked that, by virtue of this Order, spent convictions are to be disclosed;

(g) any question asked by, or on behalf of, the person listed in the second column of any entry in the table below to the extent that it relates to a conviction ... (or any circumstances ancillary to ... a conviction) of any individual, but only if -

(i) the person questioned is informed at the time the question is asked that, by virtue of this Order, spent convictions ... are to be disclosed; and

(ii) the question is asked in order to assess the suitability of the individual to whom the question relates to have the status specified in the first column of that entry;

Status

Questioner

(a) The Council of Lloyd’s.

(b) The person with Part 4A permission specified in the first column (or a person applying for such permission).

(h) any question asked by or on behalf of the Gambling Commission for the purpose of determining whether to grant or revoke a licence under Part I of the National Lottery etc. Act 1993 where the question relates to an individual—

(i) who manages the business or any part of the business carried on under the licence (or who is likely to do so if the licence is granted), or

(ii) for whose benefit that business is carried on (or is likely to be carried on if the licence is granted),

and where the person to whom the question relates is informed at the time that the question is asked that, by virtue of this Order, spent convictions are to be disclosed;

(i) any question asked by or on behalf of Social Care Wales for the purpose of determining whether or not to grant an application for registration under Part 4 of the Regulation and Inspection of Social Care (Wales) Act 2016 , where the person questioned is informed at the time the question is asked that, by virtue of this Order, spent convictions are to be disclosed;

(j) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(ja) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(k) any question asked, by or on behalf of the Football Association , Football League or Football Association Premier League in order to assess the suitability of the person to whom the question relates or of any other person to be approved as able to undertake, in the course of acting as a steward at a sports ground at which football matches are played or as a supervisor or manager of such a person, licensable conduct within the meaning of the Private Security Industry Act 2001 without a licence issued under that Act, in accordance with ... section 4 of that Act;

(l) any question asked by the Disclosure and Barring Service for the purpose of considering the suitability of an individual to have access to information released under sections 113A and 113B of the Police Act 1997;

(m) any question asked by or on behalf of the Master Locksmiths Association for the purposes of assessing the suitability of any person who has applied to be granted membership of that Association;

(n) any question asked by or on behalf of the Secretary of State for the purpose of assessing the suitability of any person or body to obtain or retain a licence under regulation 5 of the Misuse of Drugs Regulations 2001 or under Article 3(2) of Regulation 2004/273/EC or under article 6(1) of Regulation 2005/111/EC where—

(i) the question relates to the holder of, or an applicant for, such a licence or any person who as a result of his role in the company or other body concerned is required to be named in the application for such a licence (or would have been so required if that person had had that role at the time the application was made), and

(ii) any person to whom the question relates is informed at the time the question is asked that by virtue of this Order, spent convictions are to be disclosed;

(o) any question asked by or on behalf of any body which is a licensing authority within the meaning of section 73(1) of the Legal Services Act 2007 (licensing authorities and relevant licensing authorities) where—

(i) it is asked in order to assess whether, for the purposes of Schedule 13 to that Act (ownership of licensed bodies), the approval requirements are met in relation to a person’s holding of a restricted interest in a licensed body; and

(ii) the person to whom the question relates is informed at the time that the question is asked that, by virtue of this Order, spent convictions are to be disclosed;

(p) any question asked by or on behalf of a person who seeks to employ or engage a self-employed person or a person as a personal employee, in order to assess the suitability of the person to whom the question relates for any work specified in paragraph 12A, 14A or 14AA of Part 2 of Schedule 1.

(2) Paragraph (1) does not apply in relation to a protected caution or a protected conviction.

Section 3A

(1) Subject to paragraph (1A), neither section 4(2) of, nor paragraph 3(3) of Schedule 2 to, the Act applies to a question to which paragraph (2) or (3) applies.

(1A) Paragraph (1) does not apply in relation to a protected caution or a protected conviction.

(2) This paragraph applies to any question asked by or on behalf of any person (“A”), in the course of the duties of A’s office or employment, in order to assess the suitability of the person to whom the question relates (“B”) for any work which is a controlled activity relating to children within the meaning of section 21 of the 2006 Act as it had effect immediately before the coming into force of section 68 of the Protection of Freedoms Act 2012 , where the person questioned is told at the time the question is asked, that by virtue of this Order, spent convictions are to be disclosed but only if that person knows that B—

(a) is a person barred from regulated activity relating to children within the meaning of section 3(2) of the 2006 Act;

(b) is included in the list kept under section 1 of the Protection of Children Act 1999; or

(c) is subject to a direction made under section 142 of the Education Act 2002.

(3) This paragraph applies to any question asked by or on behalf of any person (“A”), in the course of the duties of A’s office or employment, in order to assess the suitability of the person to whom the question relates (“B”) for any work which is a controlled activity relating to vulnerable adults within the meaning of section 22 of the 2006 Act as it had effect immediately before the coming into force of section 68 of the Protection of Freedoms Act 2012 , where the person questioned is told at the time the question is asked, that by virtue of this Order, spent convictions are to be disclosed but only if that person knows that B—

(a) is a person barred from regulated activity relating to vulnerable adults within the meaning of section 3(3) of the 2006 Act; or

(b) is included in the list kept under section 81 of the Care Standards Act 2000.

Section 3ZA

Neither section 4(2) of, nor paragraph 3(3) of Schedule 2 to, the Act applies in relation to—

(a) any question asked by or on behalf of any person, in the course of the duties of his office or employment, in order to assess the suitability—

(i) of the person to whom the question relates for an office or employment specified in paragraph 1, 6, 16, 17, 18, 18A, 31, 32, 35 or 36 of Part II of that Schedule or for any other work specified in paragraph 35 or 36 of that Part of that Schedule; or

(ii) of the person to whom the question relates or of any other person to pursue an occupation specified in paragraph 1 or 8 of Part III of that Schedule or to pursue it subject to a particular condition or restriction; or

(iii) of the person to whom the question relates or of any other person to hold a licence, certificate or permit of a kind specified in paragraph 1, 3 or 6 of Schedule 2 to this Order or to hold it subject to a particular condition or restriction,

where the person questioned is informed at the time the question is asked that, by virtue of this Order, spent convictions are to be disclosed; ...

(b) any question asked by or on behalf of any person, in the course of his duties as a person employed in the service of the Crown, the United Kingdom Atomic Energy Authority or the FCA or the PRA in order to assess, for the purpose of safeguarding national security, the suitability of the person to whom the question relates or of any other person for any office or employment where the person questioned is informed at the time the question is asked that, by virtue of this Order, spent convictions are to be disclosed for the purpose of safeguarding national security; and

(c) any question asked by or on behalf of the Victims' Payments Board, where—

(i) an application for payments under the Victims' Payment Regulations 2020 has been made;

(ii) the question relates to the person whose disablement the application concerns, and

(iii) the question is asked in order to assess whether regulation 6(1) (convictions) of the Victims' Payment Regulations 2020 excludes the person from entitlement to payments.

Section 4

(1) Subject to paragraph (2), neither paragraph (b) of section 4(3) of, nor paragraph 3(5) of Schedule 2 to, the Act shall apply in relation to—

(a) the dismissal or exclusion of any person from any profession specified in Part I of Schedule 1 to this Order;

(b) any office, employment or occupation specified in Part II of that Schedule apart from one specified in paragraph 1, 6, 16, 17, 18, 18A, 31, 32, 35 or 36 or in Part III of that Schedule apart from one specified in paragraph 1 or 8 or any other work specified in paragraph 12A, 13, 13A, 14, 14A, 14AA, 14B, 14C, 14D, 14E, 14F, 20, 21, ... ... 40, 43 or 44 of Part II of the said Schedule 1;

(c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d) any decision by the FCA , the PRA or the Bank of England —

(i) to refuse an application for Part 4A permission under the 2000 Act,

(ii) to vary or to cancel such permission (or to refuse to vary or cancel such permission) or to impose a requirement under section 55L, 55M or 55O of that Act or,

(iii) to make, or to refuse to vary or revoke, an order under section 56 of that Act (prohibition orders),

(iv) to refuse an application for ... approval under section 59 of that Act or to withdraw such approval,

(v) to refuse to make, or to revoke, an order declaring a unit trust scheme to be an authorised unit trust scheme under section 243 of the 2000 Act or to refuse to give its approval under section 251 of the 2000 Act to a proposal to replace the manager or trustee of such a scheme,

(vi) to give a direction under section 257 of the 2000 Act (authorised unit trust schemes), or to vary (or to refuse to vary or revoke) such a direction,

(via) to refuse to make, or to revoke, an order declaring a contractual scheme to be an authorised contractual scheme under section 261D of the 2000 Act or to refuse to give its approval under section 261Q of the 2000 Act to a proposal to replace the operator or depositary of such a scheme,

(vib) to give a direction under section 261X of the 2000 Act or to vary (or to refuse to vary or revoke) such a direction,

(vii) to refuse to make, or to revoke, an authorisation order under regulation 14 of the Open-Ended Investment Companies Regulations 2001 or to refuse to give its approval under regulation 21 of those Regulations to a proposal to replace a director or to appoint an additional director of an open-ended investment company,

(viii) to give a direction to an open-ended investment company under regulation 25 of those Regulations or to vary (or refuse to vary or revoke) such a direction,

(ix) ...to refuse to make, or to revoke, an order declaring a collective investment scheme to be a recognised scheme under section 271A or section 272 of the 2000 Act ,

(x) to refuse to make, or to revoke, a recognition order under section 290 of the 2000 Act, otherwise than by virtue of section 292(2) of that Act, to refuse to vary a recognition order under section 290ZA(1) of the 2000 Act, to vary a recognition order under section 290ZA(2) of the 2000 Act, to refuse to grant an authorisation of the sort referred to in section 290ZB(1)(a) of the 2000 Act, to withdraw an authorisation of the sort referred to in section 290ZB(1)(c) of the 2000 Act, or to give a direction to a UK recognised investment exchange , recognised clearing house or recognised CSD under section 296 or 296A of the 2000 Act,

(xi) to make, or to refuse to vary or to revoke, an order under section 329 (orders in respect of members of a designated professional body in relation to the general prohibition), ...

(xii) to dismiss, fail to promote or exclude a person from being a key worker of the FCA or the PRA ,

(xiii) to refuse an application for registration as an authorised electronic money institution or a small electronic money institution under the Electronic Money Regulations 2011, ...

(xiv) to vary or cancel such registration (or to refuse to vary or cancel such registration) or to impose a requirement under regulation 7 of those Regulations,

(xv) to refuse an application for registration as an authorised payment institution , a registered account information service provider or a small payment institution under the Payment Services Regulations 2017 , ...

(xvi) to vary or cancel such registration (or to refuse to vary or cancel such registration) or to impose a requirement under regulation 7 of those Regulations,

(xvii) in a case requiring any decision referred to in paragraphs (i) to (xvi), where the FCA , the PRA or the Bank of England has the function of deciding whether to give consent or conditional consent in relation to the decision which is proposed in that case, to give or refuse to give consent or to give conditional consent, or

(xviii) in a case requiring any decision referred to in paragraphs (i) to (xvi), where the FCA , the PRA or the Bank of England has the power under the 2000 Act to direct another regulator as to the decision to be taken in that case, to decide whether to give a direction and, if a direction is to be given, what direction to give,

by reason of, or partly by reason of, a spent conviction of an individual ..., or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances;

(e) any decision by the scheme operator (within the meaning of section 225 of the 2000 Act) of the Financial Ombudsman Service to dismiss, or not to appoint, an individual as, an ombudsman (within the meaning of Schedule 17 to the 2000 Act) of the Financial Ombudsman Service by reason of, or partly by reason of, his spent conviction ..., or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances;

(f) any decision of the FCA —

(i) to refuse an application for listing under Part VI of the 2000 Act or to discontinue or suspend the listing of any securities under section 77 of that Act,

(ii) to refuse to grant a person’s application for approval as a sponsor under section 88 of the 2000 Act or to cancel such approval, ...

(iii) to dismiss, fail to promote or exclude a person from being a key worker of the FCA in relation to the exercise of its functions under Part 6 of the 2000 Act , or

(iv) to refuse to grant a person’s application under information provider rules (within the meaning of section 89P(9) of the 2000 Act ) for approval as a Primary information provider, to impose limitations or other restrictions on the giving of information to which such an approval relates or to cancel such an approval,

by reason of, or partly by reason of, a spent conviction of an individual ..., or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances;

(g) any decision of anyone who is specified in any of sub-paragraphs 2 to 4 or 5 to 7 of the second column of the table in article 3(g), other than the FCA or the PRA , to dismiss an individual who has, or to fail to promote or exclude an individual who is seeking to obtain, the status specified in the corresponding entry in the first column of that table (but not, where applicable, the status of being an associate of another person), by reason of, or partly by reason of, a spent conviction of that individual or of his associate ..., or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances;

(h) any decision of anyone who is specified in sub-paragraph 8(a), 14(a) or 16(a) of the second column of the table in article 3(g) to dismiss an individual who has, or to fail to promote or exclude an individual who is seeking to obtain, the status specified in the corresponding entry in sub-paragraph (b) of the first column of that table (associate), by reason of, or partly by reason of, a spent conviction of that individual ..., or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances;

(i) any decision of the Council of Lloyd’s -

(i) to refuse to admit any person as, or to exclude, an underwriting agent (within the meaning of section 2 of Lloyd’s Act 1982), where that person has, or who has applied for, Part 4A permission , or

(ii) to dismiss, or to exclude a person from being, an associate of the Council of Lloyd's,

by reason of, or partly by reason of, a spent conviction of an individual ..., or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances;

(j) any decision of a UK recognised investment exchange , recognised clearing house or recognised CSD to refuse to admit any person as, or to exclude, a member by reason of, or partly by reason of, a spent conviction of an individual ..., or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances;

(ja) any decision by the relevant registration authority, as defined by section 5 of the Care Standards Act 2000, to refuse to grant an application for registration under Part 2 of that Act or to suspend or remove or refuse to restore a person’s registration under that Part of that Act;

(jb) any decision by the Welsh Ministers—

(i) to refuse an application for registration under section 7 of the 2016 Act,

(ii) to refuse (under section 12 of the 2016 Act) an application made by a person under section 11(1)(a)(i) or (ii) of the 2016 Act to vary their registration,

(iii) to cancel a person’s registration under section 15(1)(b) to (f) or 23(1) of the 2016 Act,

(iv) to vary a person’s registration under section 13(3)(b) or (4)(b) or 23(1) of the 2016 Act;

(k) any decision by Social Care Wales to refuse to grant an application for registration under Part 4 of the Regulation and Inspection of Social Care (Wales) Act 2016 or to suspend, remove or refuse to restore a person’s registration under that Part;

(ka) any decision of Her Majesty’s Chief Inspector of Education, Children’s Services and Skills to refuse to grant a person’s application for registration as a childminder agency or to suspend, cancel or impose a condition on a person’s registration as a childminder agency under Part 3 of the Childcare Act 2006;

(l) any decision to refuse to grant a taxi driver licence, to grant such a licence subject to conditions or to suspend, revoke or refuse to renew such a licence;

(m) any decision by the Security Industry Authority to refuse to grant a licence under section 8 of the Private Security Industry Act 2001, to grant such a licence subject to conditions, to modify such a licence (including any of the conditions of that licence) or to revoke such a licence;

(n) any decision by the Football Association , Football League or Football Association Premier League to refuse to approve a person as able to undertake, in the course of acting as a steward at a sports ground at which football matches are played or as a supervisor or manager of such a person, licensable conduct within the meaning of the Private Security Industry Act 2001 without a licence issued under that Act, in accordance with ... section 4 of that Act.

(2) Paragraph (1) does not apply in relation to a protected caution or a protected conviction.

Section 4A

(1) Section 4(2) of the Act shall not apply to a question asked by or on behalf of any person, in the course of the duties of the person’s office or employment, in order to assess whether the person to whom the question relates is disqualified by reason of section 66(3)(c) of the 2011 Act from being elected as, or being, a police and crime commissioner.

(2) Section 4(3)(a) of the Act shall not apply in relation to any obligation to disclose any matter if the obligation is imposed in order to assess whether a person is disqualified by reason of section 66(3)(c) of the 2011 Act from being elected as, or being, a police and crime commissioner.

(3) Section 4(3)(b) of the Act shall not apply in relation to the disqualification of a person from being elected as, or being, a police and crime commissioner under section 66(3)(c) of the 2011 Act .

(4) In this article—

“the 2011 Act ” means the Police Reform and Social Responsibility Act 2011; and

“police and crime commissioner” means a police and crime commissioner established under section 1 of the 2011 Act .

Section 4ZA

Neither paragraph (b) of section 4(3) of, nor paragraph 3(5) of Schedule 2 to, the Act applies in relation to—

(a) any office, employment or occupation specified in paragraph 1, 6, 16, 17, 18, 18A, 31, 32, 35 or 36 of Part II of that Schedule or paragraph 1 or 8 of Part III of that Schedule or any other work specified in paragraph 35 or 36 of Part II of that Schedule;

(b) any action taken for the purpose of safeguarding national security.

Section 5

(1) Neither section 4(1) of, nor paragraph 3(1) of Schedule 2 to, the Act shall

(a) apply in relation to any proceedings specified in Schedule 3 to this Order;

(b) apply in relation to any proceedings specified in paragraph (2) below to the extent that there falls to be determined therein any issue relating to a person’s spent conviction ... or to circumstances ancillary thereto;

(c) prevent, in any proceedings specified in paragraph (2) below, the admission or requirement of any evidence relating to a person’s spent conviction ... or to circumstances ancillary thereto.

(2) The proceedings referred to in paragraph (1) above are any proceedings with respect to a decision or proposed decision of the kind specified in article 4(1)(d) to (n) .

Section 6

(1) Neither section 4(2) of, nor paragraph 3(3) of Schedule 2 to, the Act applies to a question to which paragraph (2) applies.

(2) This paragraph applies to a question asked by or on behalf of any person in the course of that person’s office or employment in the Channel Islands or the Isle of Man in order to assess the suitability of the person to whom the question relates for any purposes referred to in article 3 , 3ZA or 3A, where—

(a) the person asking the question states that a corresponding question and purpose are also provided for in—

(i) the Rehabilitation of Offenders (Exceptions) (Jersey) Regulations 2002 (“the Jersey Regulations ”);

(ii) the Rehabilitation of Offenders (Bailiwick of Guernsey) Law 2002 (Commencement, Exclusions and Exceptions) Ordinance 2006 (“the Guernsey Ordinance ”); or

(iii) the Rehabilitation of Offenders Act 2001 (Exceptions) Order 2001 (“the Isle of Man Exceptions Order ”), and

(b) the person questioned is one to whom article 3 or 3A would apply in relation to the caution or conviction in question, or paragraph 3ZA would apply, and is informed at the time the question is asked that spent convictions are to be disclosed.

(3) Neither subsection (1) or (3) of section 4 of, nor paragraph 3(1) or (5) of Schedule 2 to, the Act apply to a question to which paragraph (4) applies.

(4) This paragraph applies to a question asked by or on behalf of any person in the course of that person’s office or employment in the Channel Islands or the Isle of Man in respect of a case or class of case and conviction specified in article 4 or 4ZA or for a purpose mentioned in article 5, where the person asking the question states that the Jersey Regulations or the Guernsey Ordinance or the Isle of Man Exceptions Order provides for a corresponding case or class of case and conviction or a corresponding purpose, and the person questioned is a person to whom article 4 or 4ZA would apply in relation to the caution or conviction in question, or article 5 would apply .

Section 1

Health care professional.

Section 1

Judicial appointments.

Section 1

Firearms dealer.

Section 2

Barrister (in England and Wales), ... solicitor.

Section 2

The Director of Public Prosecutions and any office or employment in the Crown Prosecution Service.

Section 2

Any occupation in respect of which an application to the Gaming Board for Great Britain for a licence, certificate or registration is required by or under any enactment.

Section 3

Chartered accountant, certified accountant.

Section 3

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Section 3

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Section 4

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Section 4

Designated officers for magistrates' courts, for justices of the peace or for local justice areas , justices' legal advisers .

Section 4

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Section 5

Veterinary surgeon.

Section 5

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Section 5

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Section 6

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Section 6

Constables and persons appointed as police cadets to undergo training with a view to becoming constables and naval, military and air force police.

Section 6

Any occupation which is concerned with—

(a) the management of a place in respect of which the approval of the Secretary of State is required by section 1 of the Abortion Act 1967; or

(b) in England and Wales, carrying on a regulated activity in respect of which a person is required to be registered under Part 1 of the Health and Social Care Act 2008 ; or

(c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Section 6A

Persons employed for the purposes of, or to assist the constables of, a police force established under any enactment.

Section 7

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Section 7

Any employment which is concerned with the administration of, or is otherwise normally carried out wholly or partly within the precincts of, a prison, remand centre, removal centre, short-term holding facility, detention centre, Borstal institution or young offenders institution, and members of boards of visitors appointed under section 6 of the Prison Act 1952 ....

Section 7

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Section 8

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Section 8

Traffic wardens appointed under section 81 of the Road Traffic Regulation Act 1967 ....

Section 8

Any occupation in respect of which the holder, as occupier of premises on which explosives are kept, is required pursuant to regulations 4, 5 and 11 of the Explosives Regulations 2014 to obtain from the chief officer of police a valid explosives certificate certifying him to be a fit person to acquire or acquire and keep explosives .

Section 8A

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Section 9

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Section 9

Officers of providers of probation services as defined in section 9 of the Offender Management Act 2007.

Section 9

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Section 10

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Section 10

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Section 10

Approved legal services body manager.

Section 11

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Section 11

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Section 11

A regulated immigration adviser.

Section 12

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Section 12

Any office or employment which is concerned with:

(a) the provision of care services to vulnerable adults; or

(b) the representation of, or advocacy services for, vulnerable adults by a service that has been approved by the Secretary of State or created under any enactment;

and which is of such a kind as to enable a person, in the course of his normal duties, to have access to vulnerable adults in receipt of such services.

Section 12

A head of finance and administration of a licensed body.

Section 12A

Any work which is regulated activity relating to vulnerable adults within the meaning of Part 2 of Schedule 4 to the 2006 Act including that Part as it had effect immediately before the coming into force of section 66 of the Protection of Freedoms Act 2012 .