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The Police Act 1997 (Criminal Records) Regulations 2002

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Statutory Instruments

2002 No. 233

POLICE

The Police Act 1997 (Criminal Records) Regulations 2002

Made

7th February 2002

Laid before Parliament

7th February 2002

Coming into force

1st March 2002

The Secretary of State, in exercise of the powers conferred on him by the provisions which are specified in Schedule 1 to these Regulations, hereby makes the following Regulations:

Citation, commencement and extentE+W

1.—(1) These Regulations may be cited as the Police Act 1997 (Criminal Records) Regulations 2002 and shall come into force on 1st March 2002.

(2) These Regulations extend to England and Wales.

InterpretationE+W

2.  In these Regulations—

  • “the Act” means the Police Act 1997 M1;

  • [F1“childcare” has the meaning given by section 18 of the Childcare Act 2006;

  • “child minding” for the purposes of regulation 5A(g) has the meaning given by [F2section 19(2) of the Children and Families (Wales) Measure 2010];

  • “day care” for the purposes of regulation 5A(g) has the meaning given by [F3section 19(3) of the Children and Families (Wales) Measure 2010];]

  • “reprimand” means a reprimand given to a child or young person in accordance with section 65 of the Crime and Disorder Act 1998 M2;

  • [F4“taxi driver licence” means a licence granted under—

    (i)

    section 46 of the Town Police Clauses Act 1847;

    (ii)

    section 8 of the Metropolitan Public Carriage Act 1869;

    (iii)

    section 9 of the Plymouth City Council Act 1975;

    (iv)

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

    (v)

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

  • “volunteer” means a person engaged in an activity which involves spending time, unpaid (except for travel and other approved out-of-pocket expenses), doing something which aims to benefit some third party other than or in addition to a close relative;

  • “warning” means a warning given to a child or young person in accordance with section 65 of the Crime and Disorder Act 1998.

Textual Amendments

Marginal Citations

Application formE+W

3.  The form set out in Schedule 2 to these Regulations, or a form to the like effect, is hereby prescribed for the purposes of sections 113(1)(a) (criminal record certificate), 114(1)(a) (criminal record certificate: Crown employment), 115(1)(a) (enhanced criminal record certificate) and 116(1)(a) (enhanced criminal record certificate: judicial appointment and Crown employment) of the Act.

[F5Fees for criminal record certificates and enhanced criminal record certificatesE+W

4.  The fee payable in relation to an application for the issue of a criminal record certificate or an enhanced criminal record certificate is prescribed as—

(a)[F6£26] in the case of a criminal record certificate;

(b)[F7£44] in the case of an enhanced criminal record certificate, and

(c)where an urgent preliminary response is sought under section 113E (3)(b) of the Act, an additional £6 in each case;

save that no fee is payable in relation to an application made by a volunteer.]

Textual Amendments

Fees for enhanced criminal record certificatesE+W

F84A.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Relevant matters: prescribed detailsE+W

5.  The following details of a relevant matter for the purposes of sections 113(3)(a) and 115(6)(a)(i) of the Act (including those provisions as applied by sections 114(3) and 116(3), respectively) are hereby prescribed—

(a)in the case of a conviction within the meaning of the Rehabilitation of Offenders Act 1974 M3, including a spent conviction—

(i)the date of conviction;

(ii)the convicting court;

(iii)the offence; and

(iv)the method of disposal for the offence including details of any order made under Part 2 of the Criminal Justice and Court Services Act 2000 M4,

(b)in the case of a caution, reprimand or warning—

(i)the date of caution, reprimand or warning;

(ii)the place where the caution, reprimand or warning was issued; and

(iii)the offence which the person issued with a caution, reprimand or warning had admitted.

Marginal Citations

[F9Enhanced criminal record certificates: prescribed purposesE+W

5A.  The purposes for which an enhanced criminal record certificate may be required in accordance with a statement made by a registered person under section 113B (2)(b) of the Act are prescribed as follows, namely the purposes of—

[F10(a)considering the applicant’s suitability—

(i)to engage in any activity which is a regulated activity relating to children within the meaning of Part 1 of Schedule 4 to the Safeguarding Vulnerable Groups Act 2006 [F11as it had effect immediately before the coming into force of section 64 of the Protection of Freedoms Act 2012], or

(ii)for a position which otherwise involves regularly caring for, training, supervising or being solely in charge of, persons aged under 18;]

F12(aa). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F13(b)considering the applicant’s suitability—

(i)to engage in any activity which is a regulated activity relating to vulnerable adults within the meaning of Part 2 of Schedule 4 to the Safeguarding Vulnerable Groups Act 2006 [F14as it had effect immediately before the coming into force of section 66 of the Protection of Freedoms Act 2012], or

(ii)for a position which otherwise involves regularly caring for, training, supervising or being solely in charge of vulnerable adults within the meaning of section 59 of the Safeguarding Vulnerable Groups Act 2006 [F15as it had effect immediately before the coming into force of section 65 of the Protection of Freedoms Act 2012];]

[F16(ba)considering the applicant’s suitability for a position which is concerned with—

F17(i). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(ii)the representation of, or advocacy services for, [F18vulnerable adults within the meaning of section 59 of the Safeguarding Vulnerable Groups Act 2006] [F15as it had effect immediately before the coming into force of section 65 of the Protection of Freedoms Act 2012], by a service which has been approved by the Secretary of State or created by or under any enactment,

and which is of such a kind as to enable a person , in the course of his normal duties in that position , to have access to such adults when they are receiving such services;]

F19(bb). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F20(c)obtaining or holding an operating licence under Part 5 of the Gambling Act 2005 for the purposes of that Act;

(d)obtaining or holding a personal licence under Part 6 of the Gambling Act 2005 for the purposes of that Act;

(e)considering an individual’s suitability for a position as Commissioner for the Gambling Commission and for any office or employment in the Commissioners’ service;]

(f)obtaining or holding a licence under section 5 or 6 of the National Lottery etcAct 1993 (running or promoting lotteries);

[F21(g)registration for child minding or providing day care under [F22Part 2 of the Children and Families (Wales) Measure 2010], including assessing the suitability of any person to have regular contact with children who is—

(i)aged 16 or over and living on the premises at which the child minding or day care is being or is to be provided;

(ii)aged 16 or over and working, or who will be working, on the premises at which the child minding or day care is being or is to be provided at times when such child minding or day care is being or is to be provided;]

[F23(ga)registration under Chapters 2, 3 or 4 of Part 3 of the Childcare Act 2006 (regulation of provision of childcare in England)[F24, including assessing the suitability of any person to have regular contact with children who is— ]

(i)aged 16 or over and living on the premises at which the childcare is being or is to be provided;

(ii)aged 16 or over and working on the premises at which the childcare is being or is to be provided at times when such childcare is being or is to be provided;]

(h)registration under Part II of the Care Standards Act 2000 (establishments and agencies);

(i)registration under Part IV of that Act (social care workers);

(j)placing children with foster parents in accordance with any provision of, or made by virtue of, the Children Act 1989 or the Children (Northern Ireland) Order 1995 or the exercise of any duty under or by virtue of, [F25section 67] of that Act or article 108 of that Order (welfare of privately fostered children)[F26, including obtaining information in respect of any person who is—

(i)aged 18 or over and living in the same household as a person who is, or who wishes to be approved as, a foster parent within the meaning of section 53(7)(a) or (b) of the Safeguarding Vulnerable Groups Act 2006;

(ii)aged 16 or over and living in the same household as a person who fosters, or intends to foster, a child privately within the meaning of section 66(1) of the Children Act 1989 or who is otherwise a private foster parent within the meaning of section 53(7)(c) and (8) of the Safeguarding Vulnerable Groups Act 2006;]

(k)a decision made by an adoption agency within the meaning of section 2 of the Adoption and Children Act 2002 as to a person’s suitability to adopt a child[F27, including obtaining information in respect of any person aged 18 years or over living in the same household as the prospective adopter;]

F28(l). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F29(m). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F30(n). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F31(o). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F32(p)considering an individual’s suitability for working in the [F33the [F34Department for Education]], the Office for Standards in Education, Children’s Services and Skills F35... with access to sensitive or personal information about children F36...;

(q)considering an individual’s suitability for 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;

(r)considering an individual’s suitability for 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;

F37(s). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F38(t). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(u)considering an individual’s suitability for a position 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 [F39adults who need relevant assistance in the conduct of their own affairs within the meaning of paragraph 7(3E) of Schedule 4 to the Safeguarding Vulnerable Groups Act 2006];

(v)F40... considering the suitability of any person appointed by the Commissioner [F41for Older People in Wales] to assist him in the discharge of his functions or authorised to discharge his functions on his behalf;

F42(w). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .]

[F43(x)considering the applicant’s suitability for work as a person who provides immigration advice or services as defined in section 82(1) of the Immigration and Asylum Act 1999 and is—

(i)a registered person under Part 5 of that Act, or

(ii)a person who acts on behalf of and under the supervision of such a registered person, or

(iii)a person who is exempt by section 84(4)(a) to (c) of that Act;

(y)considering the applicant’s suitability 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 the question relates to any person who as a result of his role in the 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); F44...

(z)considering the applicant’s suitability for any office or employment or other work in the Criminal Records Bureau[F45; or]]

[F45(za)considering the applicant’s suitability for work in a further education institution (within the meaning of section 140 of the Education Act 2002) [F46or 16 to 19 Academy] where the normal duties of that work involve regular contact with persons aged under 18.]]

[F47(zb)considering the applicant’s suitability to obtain or hold a taxi driver licence.]

[F48(zc)obtaining information in respect of any person who is aged 16 or over and who lives in the same household as an individual who is having or who has had their suitability assessed for the purposes of—

(i)engaging in a regulated activity relating to children;

(ii)working in a regulated position (within the meaning of section 36 of the Criminal Justice and Court Services Act 2000);

(iii)working in a further education institution (within the meaning of section 140 of the Education Act 2002) where the normal duties of that work involve regular contact with children; or

(iv)working in a 16-19 Academy where the normal duties of that work involve regular contact with children

where that individual, and the person who lives in the same household, live on the premises where that activity or that work would normally take place.]

Textual Amendments

Vulnerable AdultE+W

F495B.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Health Service listsE+W

F505C.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

List kept under section 1 of the Protection of Children Act 1999: prescribed detailsE+W

F516.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Directions made under section 142 of the Education Act 2002: prescribed detailsW

F527.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

List kept under section 81 of the Care Standards Act 2000: prescribed detailsE+W

F538.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Criminal record certificates: suitability relating to adults: prescribed positionsE+W

F548A.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

[F55 Central records: prescribed detailsE+W

9.  Information in any form relating to convictions, cautions, reprimands and warnings on a names database held by the National Policing Improvement Agency for the use of constables is prescribed as “central records” for the purposes of section 113A(6) of the Police Act 1997 (including that provision as applied by sections 114(3) and 116(3)).]

Textual Amendments

Enhanced criminal record certificates: relevant police forcesE+W

F5610.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Evidence of identity: fingerprintingE+W

11.—(1) Where the Secretary of State requires an application under Part V of the Act to be supported by evidence of identity in the form of fingerprints then the place at which they are to be taken is to be determined in accordance with paragraphs (2) and (3) below and he shall notify the applicant—

(a)of his requirement; and

(b)of the fact that any fingerprints taken from the applicant and provided to the Secretary of State in pursuance of the requirement may be the subject of a speculative search.

(2) Any applicant in receipt of such notification shall notify the Secretary of State of whether he wishes to proceed with his application and, if so, notify the Secretary of State—

(a)that he consents to the taking of his fingerprints; and

[F57(b)either—

(i)that he proposes to attend at a police station (“the specified police station”) for the purpose of having his fingerprints taken, or

(ii)that he proposes to have his fingerprints taken by the registered person countersigning or acting as the registered person in relation to his application under this Part.]

[F58(2A) But a person can only have his fingerprints taken under paragraph (2)(b)(ii) with the consent of the Secretary of State.]

(3) The Secretary of State may require the police officer in charge of the specified police station, or any other police station he reasonably determines, to take the applicant’s fingerprints at the specified station at such reasonable time as the officer may direct and notify to the applicant.

(4) Fingerprints taken in connection with an application under Part V of the Act must be destroyed as soon as is practicable after the identity of the applicant is established to the satisfaction of the Secretary of State.

(5) If fingerprints are destroyed—

(a)any copies of the fingerprints shall also be destroyed; and

(b)any chief officer of police controlling access to computer data relating to the fingerprints shall make access to the data impossible, as soon as it is practicable to do so.

(6) Any applicant who asks to be allowed to witness the destruction of his fingerprints or copies of them shall have a right to witness it.

(7) If—

(a)paragraph (5)(b) above falls to be complied with; and

(b)the applicant to whose fingerprints the data relates asks for a certificate that it has been complied with,

such a certificate shall be issued to him, not later than the end of the period of three months beginning with the day on which he asks for it, by the responsible chief officer of police or a person authorised by him or on his behalf for the purposes of this regulation.

(8) In the case of an applicant under the age of 18 years the consent of the applicant’s parent or guardian to the taking of the applicant’s fingerprints is also required.

(9) In this regulation—

  • “speculative search” has the same meaning as in Part V of the Police and Criminal Evidence Act 1984 M5; and

  • “responsible chief officer of police” means the chief officer of police in whose area the computer data were put on to the computer.

Textual Amendments

Marginal Citations

[F59Exception to unlawful disclosure provisionsE+W

Textual Amendments

12.—(1) The following purpose is specified for the purposes of subsection (6) (e) and (f) of section 124 of the Act (exceptions to prohibition of disclosure beyond a registered body), namely disclosure by an employment agency or an employment business, whether or not in response to an exempted question, for the purpose of consideration,E+W

(a)by an educational institution, within the meaning given by section 42 of the Criminal Justice and Court Services Act 2000, [F60or]

[F61(aa)by an alternative provision Academy that does not fall within sub-paragraph (a),]

(b)by an institution within the further education sector , within the meaning given by section 91(3) of the Further and Higher Education Act 1992, [F62or

(c)by a 16 to 19 Academy,]

of a person’s suitability for a position at that institution [F63or Academy].

(2) In paragraph (1) above the references to an employment agency and an employment business are references to such an agency or business within the meanings given by section 13 of the Employment Agencies Act 1973.]

Textual Amendments

Minister of State

Home Office

SCHEDULE 1E+W Enabling Powers

These Regulations are made under the following provisions of the Police Act 1997—

(a)sections 113(1)(b); 114(1)(b); 115(1)(b) and (10); 116(1)(b); 118(3) and 125(5); and

(b)having regard to the meaning of “prescribed” in sections 113(1)(a), (3)(a), (3A)(b) and (5); 114(1)(a); 115(1)(a), (6)(a)(i) and (6A)(b); 116(1)(a); 118(2)(a) and 119(3).

[F64SCHEDULE 2]E+W

Textual Amendments

F65SCHEDULE 3E+W Fees payable to police authorities

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Explanatory Note

(This note is not part of the Regulations)

These Regulations make detailed provisions in relation to applications for criminal record certificates and enhanced criminal record certificates under Part V of the Police Act 1997.

Regulation 2 defines terms used in the Regulations.

Regulation 3 requires an application for the issue of a criminal record certificate or an enhanced criminal record certificate to be made on the form, or one to like effect, set out in Schedule 2 to the Regulations. Regulation 4 specifies the fee for such an application as £12 save that no fee is payable when the applicant is a volunteer as defined in regulation 2.

Regulation 5 specifies the details of convictions and cautions, reprimands and warnings which appear on criminal record certificates and enhanced criminal record certificates.

Regulations 6, 7 and 8 specify the details of information drawn from lists kept under section 1 of the Protection of Children Act 1999, section 218(6) of the Education Reform Act 1988 and sections 470 and 471 of the Education Act 1996 respectively, which will appear on criminal record certificates and enhanced criminal record certificates.

Regulation 9 specifies the sources of information comprising central records of convictions, cautions, reprimands and warnings. Regulation 10 defines relevant police force for the purposes of section 115 of the Police Act 1997.

Regulation 11 makes provisions in relation to the taking of fingerprints from applicants where the Secretary of State requires them for the purposes of ascertaining the identity of an applicant.

Regulation 12 specifies the fees to be paid to police authorities who maintain police forces that have been requested to supply information in relation to an application for an enhanced criminal record certificate.

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