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.

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

[^F3 “ the 2000 Act ” means the Financial Services and Markets Act 2000 ; ^F3]

[^F4 “the 2006 Act ” means the Safeguarding Vulnerable Groups Act 2006 . ^F4]

[^F5 “the 2016 Act” means the Regulation and Inspection of Social Care (Wales) Act 2016 ; ^F5]

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

[^F3 “ administration of justice offence ” means—

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);^F3]

[^F6 “adoption agency” has the meaning given by section 2(1) of the Adoption and Children Act 2002 ; ^F6]

[^F7 “adoption service”—

[^F6 “adoption support agency” has the meaning given by section 8 of the Adoption and Children Act 2002 ; ^F6]

[^F3 “ 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; ^F3]

[^F8 “authorised payment institution” has the meaning given by regulation 2(1) of the [^F9 Payment Services Regulations 2017 ^F9] ; ^F8]

[^F10 “childminder agency” has the meaning given in section 98(1) of the Childcare Act 2006 ; ^F10]

^F11...

[^F12 “ child minding ” means—

[^F15 “children's home”—

[^F3 “ collective investment scheme ” has the meaning given by section 235 of the 2000 Act; ^F3]

^F17...

^F18...

^F19...

[^F3 “ controller ” has the meaning given by section 422 of the 2000 Act; ^F3]

^F20...

[^F3 “ Council of Lloyd's ” means the council constituted by section 3 of Lloyd’s Act 1982 ; ^F3]

[^F12 “ day care ” means—

[^F12 “ 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; ^F12]

[^F23 “ depositary ”, in relation to an authorised contractual scheme, has the meaning given in section 237(2) of the 2000 Act; ^F23]

^F19...

^F19...

[^F3 “ director ” has the meaning given by section 417 of the 2000 Act; ^F3]

[^F24 “ electronic money institution ” has the meaning given by regulation 2(1) of the Electronic Money Regulations 2011 ; ^F24]

[^F25 “the FCA ” means the Financial Conduct Authority; ^F25]

[^F26 “fostering agency”—

[^F27 “fostering service” means—

[^F28 “key worker” means—

[^F3 “ manager ” has the meaning given by section 423 of the 2000 Act; ^F3]

[^F3 “ open-ended investment company ” has the meaning given by section 236 of the 2000 Act ^F3]

[^F29 “ operator ”, in relation to an authorised contractual scheme, has the meaning given in section 237(2) of the 2000 Act; ^F29]

[^F30 “Part 4A permission” has the meaning given by section 55A(5) of the 2000 Act ; ^F30]

[^F8 “payment services” has the meaning given by regulation 2(1) of the [^F9 Payment Services Regulations 2017 ^F9] ; ^F8]

[^F31 “protected caution” means a caution of the kind described in article 2A(1); ^F31]

[^F31 “protected conviction” means a conviction of the kind described in article 2A(2); ^F31]

[^F25 “the PRA ” means the Prudential Regulation Authority; ^F25]

[^F32 “recognised clearing house” means a recognised clearing house as defined in section 285 of the 2000 Act; ^F32]

[^F33 “ recognised CSD ” has the meaning given by section 285(1)(e) of the 2000 Act; ^F33]

[^F34 “ registered account information service provider ” has the meaning given by regulation 2(1) of the Payment Services Regulations 2017 ; ^F34]

[^F3 “relevant collective investment scheme” means a collective investment scheme which is recognised under [^F35 section 271A (schemes authorised in approved countries) or ^F35] section ^F36 ... 272 (individually recognised overseas schemes) of the 2000 Act; ^F3]

[^F37 “residential family centre”—

[^F8 “small payment institution” has the meaning given by regulation 2(1) of the [^F9 Payment Services Regulations 2017 ^F9] ; ^F8]

^F38...

[^F39 “taxi driver licence” means a licence granted under—

[^F3 “ trustee ”, in relation to a unit trust scheme, has the meaning given by section 237 of the 2000 Act; ^F3]

^F18...

^F41...

[^F3 “ 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; ^F3]

[^F42 “voluntary adoption agency”—

[^F43 “ work ” includes—

[^F43 “ work with children ” means work of the kind described in paragraph 14 [^F44 , 14A, 14B or 14C ^F44] of [^F45 Part 2 of ^F45] Schedule 1 to this Order; ^F43]

the expressions ^F11 ... “ building society ” and “ officer ” have the meanings respectively given to them by section 119(1) of the Building Societies Act 1986 .

^F46(2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .^F2]

[^F47 (2ZA) In this Order references to the Bank of England do not include the Bank acting in its capacity as the Prudential Regulation Authority.^F47]

[^F48 (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 . ^F48]

(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.

[^F49 (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.^F49]

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

[^F50 2A.—(1) For the purposes of this Order, a caution is a protected caution if ^F51...

(a) ^F52 ... the person was under 18 years at the time the caution was given, ^F53 ...; or

(b) where the person was 18 years or over at the time the caution was given [^F54 , it was given to the person for an offence other than a listed offence, and^F54] , 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; [^F55 and^F55]

(b) no sentence mentioned in paragraph (4) was imposed in respect of the conviction. ^F56 ...

^F56 (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).^F50]

3.—(1)[[^F58,F59 Subject to paragraph (2), neither^F59] section 4(2) of, nor paragraph 3(3) of Schedule 2 to,^F58] 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

[^F60 (ii) of the person to whom the question relates for any office or employment specified in Part II of the said Schedule 1 [^F61 apart from one specified in paragraph [^F62 1,^F62] 6, 16, 17, 18, 18A, 31, 32, 35 or 36^F61] or for any other work specified in paragraph [^F63 12A, 13, [^F64 13A,^F64] 14, 14A, [^F65 14AA,^F65] [^F66 14B, 14C,^F66] [^F67 14D,^F67] [^F68 14E,^F68] [^F69 14F,^F69] 20, 21, ^F70... ^F71... [^F72 38, 40 or 43^F72,F63]] of Part II of the said Schedule 1; or^F60]

(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 [^F73 apart from one specified in paragraph 1 or 8^F73] 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 [^F74 apart from one specified in [^F75 paragraph 1, 3 or 6^F75,F74]] or to hold it subject to a particular condition or restriction, [^F76 or^F76]

[^F77 (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,^F77]

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;

[^F78 (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;^F78]

^F79 (ab) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F80 (b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[^F81 (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;

[^F82 (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;^F82]

(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;^F81]

[^F83 (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;^F83]

[^F84 (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 ^F85 ... (or any circumstances ancillary to ^F86 ... 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 ^F87 ... 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;

[^F95 (h) any question asked by or on behalf of the [^F96 Gambling Commission^F96] 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;^F95]

[^F97 (i) any question asked by or on behalf of [^F98 Social Care Wales^F98] for the purpose of determining whether or not to grant an application for registration under [^F99 Part 4 of the Regulation and Inspection of Social Care (Wales) Act 2016^F99] , 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;^F97]

^F100[^F101 (j) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F102 (ja) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(k) any question asked, by or on behalf of the Football Association [^F103 , Football League^F103] 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 ^F104 ... section 4 of that Act;^F101]

[^F105 (l) any question asked by the [^F106 Disclosure and Barring Service^F106] 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;^F105]

[^F107 (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;^F107]

[^F108 (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;^F108]

[^F109 (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.^F109]

[^F110 (2) Paragraph (1) does not apply in relation to a protected caution or a protected conviction.^F110]

[^F111 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 [^F112 1,^F112] 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 [^F113 paragraph 1, 3 or 6^F113] 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; ^F114...

(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;^F111] [^F115 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.^F115]

[^F116 3A.—(1)[^F117 Subject to paragraph (1A), neither^F117] 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.

[^F118 (1A) Paragraph (1) does not apply in relation to a protected caution or a protected conviction.^F118]

(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 [^F119 as it had effect immediately before the coming into force of section 68 of the Protection of Freedoms Act 2012 ^F119] , 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 _dfnthe 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 [^F120 as it had effect immediately before the coming into force of section 68 of the Protection of Freedoms Act 2012 ^F120] , 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 _dfnthe 2006 Act; or

(b) is included in the list kept under section 81 of the Care Standards Act 2000.^F116]

4.—(1)[[^F122,F123 Subject to paragraph (2), neither^F123] paragraph (b) of section 4(3) of, nor paragraph 3(5) of Schedule 2 to, the Act shall apply^F122] in relation to—

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

[^F124 (b) any office, employment or occupation specified in Part II [^F125 of that Schedule apart from one specified in paragraph [^F126 1,^F126] 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^F125] or any other work specified in paragraph [^F127 12A, 13, [^F128 13A,^F128] 14, 14A, [^F129 14AA,^F129] [^F130 14B, 14C,^F130] [^F131 14D,^F131] [^F132 14E,^F132] [^F133 14F,^F133] 20, 21, ^F134... ^F135... 40, 43 or 44^F127] of Part II of the said Schedule 1;^F124]

^F136 (c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[^F137 (d) [^F138 any decision by the FCA , _dfnthe PRA or the Bank of England^F138] —

(i) to refuse an application for [^F139 Part 4A permission^F139] 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 [^F140 section 55L, 55M or 55O^F140] 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 ^F141 ... 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,

[^F142 (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,^F142]

(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) ^F143 ...to refuse to make, or to revoke, an order declaring a collective investment scheme to be a recognised scheme under [^F144 section 271A or^F144] section 272 of [^F145 the 2000 Act^F145] ,

(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, [^F146 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,^F146] [^F147 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,^F147] or to give a direction to a UK recognised investment exchange [^F148 , recognised clearing house or recognised CSD^F148] under section 296 [^F149 or 296A^F149] 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), ^F150 ...

(xii) to dismiss, fail to promote or exclude a person from being a key worker of [^F151 the FCA or _dfnthe PRA^F151] ,

[^F152 (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, ^F153 ...

(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,^F152]

[^F154 (xv) to refuse an application for registration as an authorised payment institution [^F155 , a registered account information service provider^F155] or a small payment institution under the Payment Services Regulations [^F156 2017^F156] , ^F157 ...

(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,^F154]

[^F158 (xvii) in a case requiring any decision referred to in paragraphs (i) to (xvi), where _dfnthe FCA , _dfnthe 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 _dfnthe FCA , _dfnthe 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,^F158]

by reason of, or partly by reason of, a spent conviction of an individual ^F159..., 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 ^F159 ..., 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) [^F160 any decision of the FCA^F160] —

(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, ^F161 ...

(iii) to dismiss, fail to promote or exclude a person from being a key worker of [^F162 the FCA in relation to the exercise of its functions under Part 6 of the 2000 Act, or^F162]

[^F163 (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,^F163]

by reason of, or partly by reason of, a spent conviction of an individual ^F159..., 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 [^F164 the FCA or _dfnthe PRA^F164] , 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 ^F159 ..., 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 ^F159 ..., 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, [^F165 Part 4A permission^F165] , 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 ^F159..., 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 [^F166 , recognised clearing house or recognised CSD^F166] 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 ^F159 ..., 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;^F137]

[^F167 (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;^F167]

[^F168 (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;^F168]

[^F169 (k) any decision by [^F170 Social Care Wales^F170] to refuse to grant an application for registration under [^F171 Part 4 of the Regulation and Inspection of Social Care (Wales) Act 2016^F171] or to suspend, remove or refuse to restore a person’s registration under that Part;

[^F172 (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;^F172]

(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;^F169]

[^F173 (n) any decision by the Football Association [^F174 , Football League^F174] 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 ^F175 ... section 4 of that Act.^F173]

[^F176 (2) Paragraph (1) does not apply in relation to a protected caution or a protected conviction.^F176]

[^F177 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 [^F178 1,^F178] 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.^F177]

[^F179 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 . ^F179]

[^F180 5.—(1)[^F181 Neither section 4(1) of, nor paragraph 3(1) of Schedule 2 to, the Act shall^F181]

(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 ^F182 ... 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 ^F182 ... or to circumstances ancillary thereto.

[^F183 (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 [^F184 4(1)(d) to (n)^F184] .^F183,F180]]

[^F185 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 [^F186 , 3ZA^F186] 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 [^F187 in relation to the caution or conviction in question, or paragraph 3ZA would apply,^F187] 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 [^F188 or 4ZA^F188] 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 [^F189 article 4 or 4ZA would apply in relation to the caution or conviction in question, or article 5 would apply^F189] .^F185]

Articles 2(3), 3 and 4

SCHEDULE 1 [^F190Excepted professions, offices, employments, work and occupations^F190]

PART I Professions _{cross-notesI5,I6,I7,I8}

[^F191 1. Health care professional.^F191]

2. Barrister (in England and Wales), ^F192... solicitor.

3. Chartered accountant, certified accountant.

^F1934. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

5. Veterinary surgeon.

^F1946. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F1957. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F1968. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F1978A. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F1989. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F19910. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F20011. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F20112. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F20213. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[^F203 14. Actuary.

15. Registered foreign lawyer.

[^F204 16. Chartered legal executive or other CILEx authorised person.^F204]

17. Receiver appointed by the Court of Protection.^F203]

[^F205 18. Home inspector.^F205]

[^F206 19. Chartered management accountant.

20. Notary public of England and Wales.^F206]

PART II [^F207Offices, employments and work^F207] _{I9,I10,I11,I12,I13}

1. Judicial appointments.

[^F208 2. The Director of Public Prosecutions and any office or employment in the Crown Prosecution Service.^F208]

^F2093. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[^F210 4.[^F211 Designated officers for magistrates' courts, for justices of the peace or for local justice areas^F211] , [^F212 justices' legal advisers^F212] .^F210]

^F2135. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[^F214 6. Constables and persons appointed as police cadets to undergo training with a view to becoming constables and naval, military and air force police.

6A. Persons employed for the purposes of, or to assist the constables of, a police force established under any enactment.^F214]

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, [^F215 removal centre, short-term holding facility,^F215] detention centre, Borstal institution or young offenders institution, and members of boards of visitors appointed under section 6 of the Prison Act 1952 ^F216....

8. Traffic wardens appointed under section 81 of the Road Traffic Regulation Act 1967 ^F217....

[^F218 9. Officers of providers of probation services as defined in section 9 of the Offender Management Act 2007.^F218]

^F21910. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F22011. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[^F221 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.^F221]

[^F222 12A. Any work which is regulated activity relating to vulnerable adults within the meaning of Part 2 of Schedule 4 to the 2006 Act[^F223 including that Part^F223] [^F224 as it had effect immediately before the coming into force of section 66 of the Protection of Freedoms Act 2012^F224] .^F222]

[^F225 13. Any employment or other work which is concerned with the provision of health services and which is of such a kind as to enable the holder of that employment or the person engaged in that work to have access to persons in receipt of such services in the course of his normal duties.^F225]

[^F226 13A. Any employment or other work in England or Wales concerned with—

(a) the investigation of fraud, corruption or other unlawful activity affecting the national health service, or

(b) security management in the national health service,

where “the national health service” means, in respect of England, the health service continued under section 1(1) of the National Health Service Act 2006 and, in respect of Wales, that continued under section 1(1) of the National Health Service (Wales) Act 2006 . ^F226]

[^F227 14. Any work which is—

(a) work in a regulated position; or

(b) work in a further education institution [^F228 or 16 to 19 Academy^F228] where the normal duties of that work involve regular contact with persons aged under 18.^F227]

[^F229 14A. Any work which is regulated activity relating to children within the meaning of Part 1 of Schedule 4 to the 2006 Act[^F230 including that Part^F230] [^F231 as it had effect immediately before the coming into force of section 64 of the Protection of Freedoms Act 2012^F231] .^F229]

[^F232 14AA. Any work done infrequently which, if done frequently, would be regulated activity relating to children within the meaning of Part 1 of Schedule 4 to the 2006 Act including that Part as it had effect immediately before the coming into force of section 64 of the Protection of Freedoms Act 2012.^F232]

[^F233 14B. Any employment or other work that is carried out at a children’s home or residential family centre.^F233]

[^F233 14C. Any employment or other work which is carried out for the purposes of an adoption service, an adoption support agency, a voluntary adoption agency, a fostering service or a fostering agency and which is of such a kind as to enable a person, in the course of his normal duties, to have contact with children or access to sensitive or personal information about children.^F233]

[^F234 14D. Any employment or office which is concerned with the management of a childminder agency or any work for a childminder agency which is of such a kind as to require the person engaged in that work to enter day care premises or premises on which child minding is provided and as to enable the person, in the course of his normal duties, to have contact with children for whom child minding or day care is provided or access to sensitive or personal information about children for whom childminding or day care is provided.^F234]

[^F235 14E.[^F236 The Director General, or any member or member of staff, of the Independent Office for Police Conduct^F236] who in the course of his normal duties—

(a) has contact with vulnerable adults; or

(b) has access to sensitive or personal information about children or vulnerable adults.^F235]

[^F237 14F. The Service Police Complaints Commissioner, or any member of the Commissioner’s staff who in the course of their normal duties—

(a) has contact with vulnerable adults; or

(b) has access to sensitive or personal information about children or vulnerable

adults.^F237]

[^F238 15. Any employment in the Royal Society for the Prevention of Cruelty to Animals where the person employed or working, as part of his duties, may carry out the [^F239 humane^F239] killing of animals.

16. Any office or employment in the Serious Fraud Office.

17. Any office or employment in the [^F240 Serious Organised Crime Agency^F240] .

[^F241 18. The Commissioners for Her Majesty’s Revenue and Customs and any office or employment in their service.^F241]

^F24218A. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

19. Any employment which is concerned with the monitoring, for the purposes of child protection, of communications by means of the internet.^F238]

[^F243 20. Any employment or other work which is normally carried out in premises approved under section 9 of the Criminal Justice and Court Services Act 2000.^F243]

[^F243 21. Any employment or other work which is normally carried out in a hospital used only for the provision of high security psychiatric services.^F243]

[^F244 22. An individual designated under section 2 of the Traffic Management Act 2004.^F244]

[^F244 23. Judges’ clerks, secretaries and legal secretaries within the meaning of section 98 of the Supreme Court Act 1981.^F244]

[^F244 24. Court officers and court contractors, who in the course of their work, have face to face contact with judges of the Supreme Court, or access to such judges’ lodgings.^F244]

[^F244 25. Persons who in the course of their work have regular access to personal information relating to an identified or identifiable member of the judiciary.^F244]

[^F244 26. Court officers and court contractors, who, in the course of their work, attend either the Royal Courts of Justice or the Central Criminal Court.^F244]

[^F244 27. Court security officers, and tribunal security officers.^F244]

[^F244 28. Court contractors, who, in the course of their work, have unsupervised access to court-houses, offices and other accommodation used in relation to the courts.^F244]

[^F244 29. Contractors, sub-contractors, and any person acting under the authority of such a contractor or sub-contractor, who, in the course of their work, have unsupervised access to tribunal buildings, offices and other accommodation used in relation to tribunals.^F244]

[^F244 30. The following persons—

(a) Court officers who execute county court warrants;

(b) High Court enforcement officers;

(c) sheriffs and under-sheriffs;

(d) tipstaffs;

(e) any other persons who execute High Court writs or warrants who act under the authority of a person listed at (a) to (d);

(f) persons who execute writs of sequestration;

(g) civilian enforcement officers as defined in section 125A of the Magistrates’ Courts Act 1980 ;

(h) persons who are authorised to execute warrants under section 125B(1) of the Magistrates’ Courts Act 1980 , and any other person, (other than a constable), who is authorised to execute a warrant under section 125(2) of the 1980 Act;

(i) persons who execute clamping orders, as defined in paragraph 38(2) of Schedule 5 to the Courts Act 2003.^F244]

[^F244 31. The Official Solicitor and his deputy.^F244]

[^F244 32. Persons appointed to the office of Public Trustee or deputy Public Trustee, and officers of the Public Trustee.^F244]

[^F244 33. Court officers and court contractors who exercise functions in connection with the administration and management of funds in court including the deposit, payment, delivery and transfer in, into and out of any court of funds in court and regulating the evidence of such deposit, payment, delivery or transfer and court officers and court contractors, who receive payments in pursuance of a conviction or order of a magistrates’ court.^F244]

[^F245 34. People working in [^F246 the [^F247 Department for Education^F247,F246]] , the Office for Standards in Education, Children’s Services and Skills ^F248... with access to sensitive or personal information about children ^F249....

35. Any office, employment or other work which is concerned with the establishment or operation of a database under section 12 of the Children Act 2004, and which is of such a kind as to enable the holder of that office or employment, or the person engaged in that work, to have access to information included in the database.

36. Any office, employment or other work which is of such a kind that the person is or may be permitted or required to be given access to a database under section 12 of the Children Act 2004.

^F25037. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

38. The chairman, other members, and members of staff (including any person seconded to serve as a member of staff) of the [^F251 Disclosure and Barring Service^F251] [^F252 , and any other work in the Disclosure and Barring Service^F252] .

39. Staff working within the Public Guardianship Office, (to be known as the Office of the Public Guardian from October 2007), with access to data relating to children and vulnerable adults.

40. The Commissioner for Older People in Wales, and his deputy, and any person appointed by the Commissioner to assist him in the discharge of his functions or authorised to discharge his functions on his behalf.

41. The Commissioners for the Gambling Commission and any office or employment in their service.

42. Individuals seeking authorisation from the Secretary of State for the Home Department to become authorised search officers.

43. Any employment or other work where the normal duties

(a) involve caring for, training, supervising, or being solely in charge of, persons aged under 18 serving in the naval, military or air forces of the Crown; or

(b) include supervising or managing a person employed or working in a capacity referred to in paragraph (a).^F245]

^F25344. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[^F254 45. Fire and rescue authority employees.

46. Justice system intermediaries who are commissioned on behalf of His Majesty’s Government through an approved scheme or contracted service in force, such as the Ministry of Justice Witness Intermediary Scheme or His Majesty’s Courts and Tribunals Service Appointed Intermediary Services.^F254]

[^F255 47. Any employment which is concerned with the delivery of electronic monitoring and field services by a contractor in accordance with arrangements made by the Secretary of State under section 3 of the Offender Management Act 2007.

48. Registered health care professionals employed or engaged by—

(a) the Secretary of State for Work and Pensions;

(b) contractors or sub-contractors, who are carrying out activities for the Secretary of State for Work and Pensions.^F255]

PART III Regulated occupations _{I14,I15,I16,I17}

1. Firearms dealer.

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.

^F2563. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F2574. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F2585. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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 [^F259 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^F259] ; or

^F260 (c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F2617. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

8. Any occupation in respect of which the holder, as occupier of premises on which explosives are kept, is required [^F262 pursuant to [^F263 regulations 4, 5 and 11 of the Explosives Regulations 2014^F263] 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^F262] .

^F2649. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[^F265 10. Approved legal services body manager.^F265]

[^F266 11. A regulated immigration adviser.^F266]

[^F267 12. A head of finance and administration of a licensed body.

13. A head of legal practice of a licensed body.^F267]

[^F268 14. CILEx approved manager.^F268]

PART IV Interpretation _{cross-notesI18}

In this Schedule—

[^F269 “ actuary ” means a member of [^F270 the Institute and Faculty of Actuaries ^F270] ; ^F269]

[^F271 “ approved legal services body manager ” means a person who must be approved by the Law Society under section 9A(2)(e) of the Administration of Justice Act 1985 ; ^F271]

[^F272 “ justices' legal adviser ” means a person nominated by the Lord Chancellor who is authorised to exercise functions under section 28(1) of the Courts Act 2003 ; ^F272]

[^F273 “ authorised search officer ” means a person authorised to carry out searches in accordance with sections 40 and 41 of the Immigration, Asylum and Nationality Act 2006 ; ^F273]

[^F269 “ care services ” means

“ certified accountant ” means a member of the Association of Certified Accountants;

“ chartered accountant ” means a member of the Institute of Chartered Accountants in England and Wales or of the Institute of Chartered Accountants of Scotland;

[^F275 “ chartered legal executive ” means a fellow of the Chartered Institute of Legal Executives. ^F275]

[^F276 “ chartered management accountant ” means a member, registered student or affiliate of the Chartered Institute of Management Accountants; ^F276]

^F277...

[^F273 “ child ” means a person under the age of eighteen (and “children” is to be construed accordingly); ^F273]

[^F278 “ CILEx approved manager ” means a person authorised by the Chartered Institute of Legal Executives to be concerned in the management of a body which is a CILEx authorised person; ^F278]

[^F278 “ CILEx authorised person ” means a person authorised by the Chartered Institute of Legal Executives to provide a reserved legal activity in accordance with the Legal Services Act 2007 ; ^F278]

[^F279 “ court contractor ” means a person who has entered into a contract with the Lord Chancellor under section 2(4) of the Courts Act 2003 , such a person’s sub-contractor, and persons acting under the authority of such a contractor or sub-contractor for the purpose of discharging the Lord Chancellor’s general duty in relation to the courts; ^F279]

[^F279 “ court officer ” means a person appointed by the Lord Chancellor under section 2(1) of the Courts Act 2003 ; ^F279]

[^F279 “ court security officers ” has the meaning given by section 51 of the Courts Act 2003 ; ^F279]

[^F280 “ fire and rescue authority ” has the meaning given by section 1 of the Fire and Rescue Services Act 2004 ; ^F280]

^F281...

“ firearms dealer ” has the meaning assigned to that expression by section 57(4) of the Firearms Act 1968 ;

[^F279 “ funds in court ” has the meaning given by section 47 of the Administration of Justice Act 1982 ; ^F279]

“ further education ” has the meaning assigned to that expression by section 41 of the Education Act 1944 or, in Scotland, section 4 of the Education (Scotland) Act 1962 ;

[^F282 “ further education institution ” has the meaning given to it by paragraph 3 of the Education (Restriction of Employment) Regulations 2000 ; ^F282]

[^F283 “ head of finance and administration of a licensed body ” means an individual who is designated as head of finance and administration and whose designation is approved in accordance with licensing rules made under section 83 of, and paragraphs 13 and 14 of Schedule 11 to, the Legal Services Act 2007 ; ^F283]

[^F283 “ head of legal practice of a licensed body ” means an individual who is designated as head of legal practice and whose designation is approved in accordance with licensing rules made under section 83 of, and paragraphs 11 and 12 of Schedule 11 to, the Legal Services Act 2007 ; ^F283]

[^F284 “ health care professional ” means a person who is a member of a profession regulated by a body mentioned in subsection (3) of section 25 of the National Health Service Reform and Health Care Professions Act 2002 (and for the purposes of this definition subsection (3A) of that section is to be ignored); ^F284]

“ health services ” means services provided under the National Health Service Acts 1946 to 1973 or the National Health Service (Scotland) Acts 1947 to 1973 and similar services provided otherwise than under the National Health Service;

[^F285 “ high security psychiatric services ” has the meaning given by section 4 of the National Health Service Act 1977 ; ^F285]

[^F279 “ home inspector ” means a person who is a member of a certification scheme approved by the Secretary of State in accordance with section 164(3) of the Housing Act 2004 ; ^F279]

[^F279 “ judges of the Supreme Court ” means the Lord Chief Justice, the Master of the Rolls, the President of the Queen’s Bench Division, the President of the Family Division, the Chancellor of the High Court, the Lords Justices of Appeal and the puisne judges of the High Court; ^F279]

^F286...

“ judicial appointment ” means an appointment to any office by virtue of which the holder has power (whether alone or with others) under any enactment or rule of law to determine any question affecting the rights, privileges, obligations or liabilities of any person;

[^F287 “ justice system intermediary ” means a person acting as an impartial communication specialist for vulnerable people, with respect to or in connection with the justice system, who provides assistance with communication needs and helps enable effective participation in proceedings; ^F287]

^F288...

[^F279 “ members of the judiciary ” means persons appointed to any office by virtue of which the holder has power (whether alone or with others) under any enactment or rule of law to determine any question affecting the rights, privileges, obligations or liabilities of any person; ^F279]

[^F289 “ notary public of England and Wales ” means a notary who is appointed by the Court of Faculties of the Archbishop of Canterbury in accordance with rules made by the Master of the Faculties; ^F289]

[^F290 “ personal employee ” means a person employed or engaged directly by a private individual to provide domestic or personal services; ^F290]

[^F279 “ personal information ” means any information which is of a personal or confidential nature and is not in the public domain and it includes information in any form but excludes anything disclosed for the purposes of proceedings in a particular cause or matter; ^F279]

^F291...

^F292...

^F292...

[^F293 “ registered foreign lawyer ” has the meaning given by section 89 of the Courts and Legal Services Act 1990 ; ^F293]

[^F294 “ registered health care professional ” has the meaning assigned to the expression “health care professional” in section 39(1) of the Social Security Act 1998 ; ^F294]

^F292...

^F292...

^F292...

“ registered teacher ” means a teacher registered under the Teaching Council (Scotland) Act 1965 and includes a provisionally registered teacher;

[^F295 “ regulated immigration adviser ” means any person who provides immigration advice or immigration services as defined in section 82(1) of the Immigration and Asylum Act 1999 and is—

[^F296 “ regulated position ” means a position which is a regulated position for the purposes of Part II of the Criminal Justice and Court Services Act 2000 [^F297 other than a position which would not be a regulated position if in section 36(4) of that Act “employment” included unpaid employment ^F297] ; ^F296]

[^F279 “ removal centre ” and “short-term holding facility” have the meaning given by section 147 of the Immigration and Asylum Act 1999 ; ^F279]

“ school ” has the meaning assigned to that expression by section 114(1) of the Education Act 1944 or, in Scotland, section 145 of the Education (Scotland) Act 1962 ;

[^F298 “ security management ” means activity carried out pursuant to the Secretary of State’s security management functions within the meaning given by section 195(3) of the National Health Service Act 2006 and in respect of Wales, the corresponding functions of Welsh Ministers; ^F298]

^F299...

^F300...

“ teacher ” includes a warden of a community centre, leader of a youth club or similar institution, youth worker and, in Scotland, youth and community worker;

[^F279 “ tribunal security officers ” means persons who, in the course of their work, guard tribunal buildings, offices and other accommodation used in relation to tribunals against unauthorised access or occupation, against outbreaks of disorder or against damage; ^F279]

[^F279 “ tribunals ” means any person exercising the judicial power of the State, that is not a court listed in section 1(1) of the Courts Act 2003 ; ^F279]

[^F301 “ vulnerable adult ” has the meaning given by section 59 of the 2006 Act as it had effect immediately before the coming into force of section 65 of the Protection of Freedoms Act 2012 . ^F301]

^F281...

Article 3

SCHEDULE 2 EXCEPTED LICENCES, CERTIFICATES AND PERMITS _I19,I20,I21

1. Firearm certificates and shot gun certificates issued under the Firearms Act 1968, and permits issued under section 7(1), 9(2) or 13(1)(c) of that Act.

2. Licences issued under section 25 of the Children and Young Persons Act 1933 (which relates to persons under the age of 18 going abroad for the purpose of performing or being exhibited for profit).

[^F302 3. Explosives certificates issued by a chief officer of police pursuant to [^F303 regulations 4, 5 and 11 of the Explosives Regulations 2014^F303] as to the fitness of a person to acquire or acquire and keep explosives^F302]

[^F304 4. Taxi driver licences.^F304]

[^F304 5. Licences granted under section 8 of the Private Security Industry Act 2001.^F304]

[^F305 6. Licences granted under [^F306 section 4A of the Poisons Act 1972^F306] .^F305]

[^F307 7. Licences granted under regulations made under section 2 of the Pedicabs (London) Act 2024.^F307]

Article 5

SCHEDULE 3 EXCEPTED PROCEEDINGS _{cross-notesI22,I23,I24,I25,I26,I27,I28,I29,I30,I31,I32,I33}

1. Proceedings in respect of a person's admission to, or disciplinary proceedings against a member of, any profession specified in Part I of Schedule 1 to this Order.

2. Proceedings before the Court of Appeal or the High Court in the exercise of their disciplinary jurisdiction in respect of solicitors.

3. Disciplinary proceedings against a constable.

4. Proceedings before the Gaming Board for Great Britain.

[^F308 5. Proceedings under the Mental Health Act 1983 before any tribunal.^F308]

6. Proceedings under the Firearms Act 1968 in respect of—

(a) the registration of a person as a firearms dealer, the removal of a person's name from a register of firearms dealers or the imposition, variation or revocation of conditions of any such registration; or

(b) the grant, renewal, variation or revocation of a firearm certificate; or

(c) the grant, renewal or revocation of a shot gun certificate; or

(d) the grant of a permit under section 7(1), 9(2) or 13(1)(c) of that Act.

7. Proceedings in respect of the grant, renewal or variation of a licence under section 25 of the Children and Young Persons Act 1933 (which relates to persons under the age of 18 going abroad for the purpose of performing or being exhibited for profit).

^F3098. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[^F310 9. Proceedings in respect of a direction given under section 142 of the Education Act 2002 or of any prohibition or restriction on a person’s employment or work which has effect as if it were contained in such a direction.^F310]

10. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

11. Proceedings in respect of an application for, or cancellation of,—

(a) the Secretary of State's approval of a place under section 1 of the Abortion Act 1967; or

^F311 (b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

^F311 (c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[^F312 11A. Proceedings in respect of an application for, or suspension or cancellation of, registration in respect of a regulated activity under Part 1 of the Health and Social Care Act 2008.^F312]

^F31312. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[^F314 13. Proceedings in respect of—

(a) an application to the chief officer of police for an explosives certificate pursuant to regulations 4, 5 and 11 of the Explosives Regulations 2014 (“ the 2014 Regulations ”) as to the fitness of the applicant to acquire or acquire and keep explosives, including consideration as to whether to refuse the application on any of the grounds specified in regulation 19 of the 2014 Regulations;

(b) the revocation of such certificates pursuant to regulation 21 of the 2014 Regulations;

(c) an appeal or application pursuant to regulation 22 of the 2014 Regulations against a decision taken under regulation 19 or 21.^F314]

14. Proceedings by way of appeal against, or review of, any decision taken, by virtue of any of the provisions of this Order, on consideration of a spent conviction.

15. Proceedings held for the receipt of evidence affecting the determination of any question arising in any proceedings specified in this Schedule.

[^F315 16. Proceedings relating to a taxi driver licence.^F315]

[^F316 17A. Proceedings relating to registration under Part II of the Care Standards Act 2000.^F316]

[^F317 17B. Proceedings relating to registration under Part 1 of the Regulation and Inspection of Social Care (Wales) Act 2016.^F317]

[^F318 18. Proceedings relating to registration under [^F319 Part 4 of the Regulation and Inspection of Social Care (Wales) Act 2016^F319] .^F318]

[^F318 19. Proceedings under section 11 of the Private Security Industry Act 2001.^F318]

[^F320 19A. Proceedings relating to the grant, amendment, variation, suspension or revocation of a licence under [^F321 section 4A of the Poisons Act 1972^F321] .^F320]

[^F322 20. Proceedings before the Parole Board.^F322]

[^F322 21. Proceedings under section 7D of the Criminal Injuries Compensation Act 1995.^F322]

[^F322 22. The following proceedings under the Proceeds of Crime Act 2002–

(a) proceedings under Chapter 2 of Part 5;

(b) proceedings pursuant to a notice under section 317(2);

(c) proceedings pursuant to an application under Part 8 in connection with a civil recovery investigation (within the meaning of section 341).^F322]

[^F322 23. Proceedings brought before the Football Association [^F323 , Football League^F323] or Football Association Premier League against a decision taken by the body before which the proceedings are brought 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 ^F324... section 4 of that Act.^F322]

[^F325 24. Proceedings before an inquiry caused to be held under section 1 of the Inquiries Act 2005 for the purposes of fulfilling the terms of reference of that inquiry.^F325]

[^F326 25. Proceedings to determine whether regulation 6(1) (convictions) of the Victims' Payment Regulations 2020 excludes a person from entitlement to payments under those regulations.^F326,F1]]

EXPLANATORY NOTE

This Order makes exceptions in the operation of the Rehabilitation of Offenders Act 1974 which comes into force on 1st July 1975. The provisions of the Act affected are section 4(1) which relates to the way in which offenders whose convictions have become spent are to be treated and evidence about them in the course of proceedings, section 4(2) which relates to questions asked about them otherwise than in the course of proceedings, and section 4(3)(b) which relates to their work. The exceptions are concerned with various types of work (Schedule 1), licences, certificates and permits (Schedule 2) and proceedings (Schedule 3). Exceptions are also made in relation to action taken for the purpose of safeguarding national security (Articles 3(b) and 4(c)).