REHABILITATION OF OFFENDERS 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— “ the 2000 Act ” means the Financial Services and Markets Act 2000; “the 2006 Act ” means the Safeguarding Vulnerable Groups Act 2006. “ 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 to it by section 1 of the Adoption Act 1976; “ 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; ... “ child minding ” means— child minding within the meaning of section 79A of the Children Act 1989; 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; “ collective investment scheme ” has the meaning given by section 235 of the 2000 Act; “ the competent authority for listing ” means the competent authority for the purposes of Part VI of the 2000 Act (listing); “contracting authority” means a contracting authority within the meaning of Article 1(9) of Directive 2004/18/ EC ; “contracting entity” means a contracting entity within the meaning of Article 2(2) of Directive 2004/17/ EC ; “ controller ” has the meaning given by section 422 of the 2000 Act; “Council” has the meaning given to it by section 54 of the Care Standards Act 2000; “ 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; 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; “Directive 2004/17/ EC ” means Directive 2004/17/ EC of the European Parliament and of the Council of 31 March 2004; “Directive 2004/18/ EC ” means Directive 2004/18/ EC of the European Parliament and of the Council of 31 March 2004; “ director ” has the meaning given by section 417 of the 2000 Act; “ key worker ”, in relation to any body (“A”), means any individual who is likely, in the course of the duties of his office or employment - where A is the Authority, to play a significant role in the decision making process of the Authority in relation to the exercise of the Authority’s public functions (within the meaning of section 349(5) of the 2000 Act) under any provision of the 2000 Act other than Part VI, or to support directly such a person; where A is the competent authority for listing, to play a significant role in the decision making process of the competent authority for listing in relation to the exercise of its functions under Part VI of the 2000 Act, or to support directly such a person; “ 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 “ Part IV permission ” has the meaning given by section 40(4) of the 2000 Act; “relevant collective investment scheme” means a collective investment scheme which is recognised under section 264 (schemes constituted in other EEA States), 270 (schemes authorised in designated countries or territories) or 272 (individually recognised overseas schemes) of the 2000 Act; ... “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 clearing house ” means a clearing house 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 clearing houses), is in force; “ 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; “ 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 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 Where, by virtue of this Order, the operation of any of the provisions of the Act is excluded in relation to spent convictions the exclusion shall be taken to extend to spent convictions for offences of every description .... 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. 3 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 or for any other work specified in paragraph 12A, 13, 14, 14A, 20, 21, 35, 36, 37, 40, 43 or 44 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 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 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; 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 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 Financial Services Authority 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; 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; 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; 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 1 A person with Part IV permission. The Financial Services Authority. 2 a An approved person (within the meaning of Part V of the 2000 Act (performance of regulated activities)). The Financial Services Authority or the authorised person (within the meaning of section 31(2) of the 2000 Act) or the applicant for Part IV permission who made the application for the Authority’s approval under section 59 of the 2000 Act in relation to the person mentioned in sub-paragraph (a) of the first column. b An associate of the person (whether or not an individual) mentioned in sub-paragraph (a). 3 a The manager or trustee of an authorised unit trust scheme, within the meaning of section 237 of the 2000 Act. The Financial Services Authority or the unit trust scheme mentioned in the first column. b An associate of the person (whether or not an individual) mentioned in sub-paragraph (a). 4 a A director of an open-ended investment company. The Financial Services Authority or the open-ended investment company mentioned in the first column. b An associate of the person (whether or not an individual) mentioned in sub-paragraph (a). 5 An associate of the operator or trustee of a relevant collective investment scheme. The Financial Services Authority or the collective investment scheme mentioned in the first column. 6 An associate of a UK recognised investment exchange or UK recognised clearing house. The Financial Services Authority or the investment exchange or clearing house mentioned in the first column. 7 A controller of a person with Part IV permission The Financial Services Authority or the person with Part IV permission mentioned in the first column. 8 a A person who carries on a regulated activity (within the meaning of section 22 of the 2000 Act) but to whom the general prohibition does not apply by virtue of section 327 of the 2000 Act (exemption from the general prohibition for members of a designated professional body). a The Financial Services Authority. b An associate of the person (whether or not an individual) mentioned in sub-paragraph (a). b In the case of a person mentioned in sub-paragraph (b) of the first column, the person mentioned in sub-paragraph (a) of that column. 9 A key worker of the Financial Services Authority. The Financial Services Authority. 10 An ombudsman (within the meaning of Schedule 17 to the 2000 Act) of the Financial Ombudsman Service. The scheme operator (within the meaning of section 225 of the 2000 Act) of the Financial Ombudsman Service. 11 An associate of the issuer of securities which have been admitted to the official list maintained by the competent authority for listing under section 74 of the 2000 Act. The competent authority for listing. 12 A sponsor (within the meaning of section 88(2) of the 2000 Act). The competent authority for listing. 13 A key worker of the competent authority for listing. The competent authority for listing. 14 An associate of a person who has Part IV permission and who is admitted to Lloyd’s as an underwriting agent (within the meaning of section 2 of Lloyd’s Act 1982). a The Council of Lloyd's. b The person with Part IV permission specified in the first column (or a person applying for such permission). 15 An associate of the Council of Lloyd's. The Council of Lloyd's. 16 a Any member of a UK recognised investment exchange or UK recognised clearing house. a The UK recognised investment exchange or UK recognised clearing house specified in the first column. b Any associate of the person (whether or not an individual) mentioned in sub-paragraph (a). b In the case of a person mentioned in sub-paragraph (b) of the first column, the person mentioned in sub-paragraph (a) of that column; h any question asked by or on behalf of the National Lottery 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 the Council for the purpose of determining whether or not to grant an application for registration under Part IV of the Care Standards Act 2000, 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 any question asked by or on behalf of a contracting authority or contracting entity in relation to a conviction within the meaning of Article 45(1) of Directive 2004/18/ EC which is a spent conviction (or any circumstances ancillary to such a conviction) for the purpose of determining whether or not to treat a person as ineligible: i for the purposes of regulation 23 of the Public Contracts Regulations 2006 or regulation 23 of the Utilities Contracts Regulations 2006; or ii to participate in a design contest for the purposes of regulation 33 of the Public Contracts Regulations 2006 or regulation 34 of the Utilities Contracts Regulations 2006, where the person questioned is informed at the time the question is asked that, by virtue of this Order, convictions within the meaning of Article 45(1) of Directive 2004/18/ EC which are spent convictions are to be disclosed; 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 Secretary of State 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. 4 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 or Part III of the said Schedule 1 or any other work specified in paragraph 12A, 13, 14, 14A, 20, 21, 35, 36, 37, 40, 43 or 44 of Part II of the said Schedule 1; c any action taken for the purpose of safeguarding national security; d any decision by the Financial Services Authority- i to refuse an application for Part IV 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 43 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 the Authority’s 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, 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 give its approval to a collective investment scheme being recognised under section 270 of the 2000 Act or to direct that such a scheme cease to be recognised by virtue of that section or to refuse to make, or to revoke, an order declaring a collective investment scheme to be a recognised scheme under section 272 of that 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, or to give a direction to a UK recognised investment exchange or UK recognised clearing house under section 296 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), or xii to dismiss, fail to promote or exclude a person from being a key worker of the Authority, 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 competent authority for listing - 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, or iii to dismiss, fail to promote or exclude a person from being a key worker of the competent authority for listing, 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 Authority, 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 IV 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 or UK recognised clearing house 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; k any decision by the Council to refuse to grant an application for registration under Part IV of the Care Standards Act 2000 or to suspend, remove or refuse to restore a person’s registration under that Part; 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. 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(d) to (n) . 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 the duties of that person’s office or employment in the Channel Islands in order to assess the person’s suitability for any purposes referred to in article 3, where— a the person asking the question states that a corresponding question and purpose are also provided for in the Rehabilitation of Offenders (Exceptions) (Jersey) Regulations 2002 (“the Jersey Regulations”), or the Rehabilitation of Offenders (Bailiwick of Guernsey) Law 2002 (Commencement, Exclusions and Exceptions) Ordinance 2006 (“the Guernsey Ordinance”), and b the person to whom the question relates is a person to whom article 3 would apply and is informed at the time the question is asked that spent convictions must 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 for a purpose mentioned in, or in respect of a case or class of case and conviction specified in, article 4 or 5, where the person asking the question states that a corresponding purpose or case or class of case and conviction is provided for in the Jersey Regulations or the Guernsey Ordinance and the person to whom the question relates is a person to whom article 4 or 5 would apply. Roy Jenkins One of Her Majesty's Principal Secretaries of State Home Office Whitehall 24th June 1975