SCHEDULE 3EXCLUSIONS OF SECTION 4(2)(a) AND (b) OF THE ACT

Article 4

ApplicationI11

Subject to paragraph 2, this Schedule applies, for the purposes of article 4, to the circumstances set out in paragraphs 3 to 15.

Annotations:
Commencement Information
I1

Sch. 3 para. 1 in force at 14.2.2013, see art. 1(1)

Requirements to informI22

1

This Schedule applies only 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.

2

In the case of questions put in the circumstances to which paragraph 6 applies, the person questioned is also to be informed at that time that spent convictions are to be disclosed in the interests of national security.

Annotations:
Commencement Information
I2

Sch. 3 para. 2 in force at 14.2.2013, see art. 1(1)

Specified professions etc.I33

1

Any question asked in order to assess the suitability—

a

of the person to whom the question relates for a profession specified in Part 1 of Schedule 4;

b

of the person to whom the question relates for any office or employment specified in Part 2 of Schedule 4;

c

of the person to whom the question relates or of any other person to pursue any occupation specified in Part 3 of Schedule 4 or to pursue it subject to a particular condition or restriction; and

d

of the person to whom the question relates or of any other person to be placed on a register or to hold a licence, certificate or permit specified in sub-paragraph (3) or to be placed on it or hold it subject to a particular condition or restriction.

2

For the avoidance of doubt, references in sub-paragraph (1) to the suitability of a person for any profession or for any office, employment or occupation include the suitability of that person for training for such profession or, as the case may be, for training for such office, employment or occupation.

3

The register, licences, certificates or permits referred to in sub-paragraph (1)(d) are—

a

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;

b

licences issued under section 25 (restrictions on persons under eighteen going abroad for the purpose of performing for profit) of the Children and Young Persons Act 193370;

c

explosives certificates issued by a chief officer of police pursuant to regulation 4 of the Control of Explosives Regulations 199171 as to the fitness of a person to acquire or acquire and keep explosives;

d

licences granted under section 8 of the Private Security Industry Act 200172; or

e

licences issued under, and the register of approved instructors referred to in, Part V (driving instruction) of the Road Traffic Act 198873.

Annotations:
Commencement Information
I3

Sch. 3 para. 3 in force at 14.2.2013, see art. 1(1)

Child mindingI44

Any question asked in order to assess the suitability of a person to act as a child minder (within the meaning of paragraph 12(1) of schedule 12 to the 2010 Act) where that person resides on the premises where the child minding would normally take place (“the premises”) and the question relates either—

a

to a person aged 16 or over who resides on the premises; or

b

to a person aged 16 or over who regularly works in the premises at a time when the child minding takes place.

Annotations:
Commencement Information
I4

Sch. 3 para. 4 in force at 14.2.2013, see art. 1(1)

Adoption and fosteringI55

1

Any question asked by or on behalf of any person for the purpose of assessing, investigating, reviewing or confirming the suitability of any person to adopt children in general or a child in particular, in either of the circumstances set out in sub-paragraph (3).

2

Any question asked by or on behalf of any person for the purpose of assessing, investigating, reviewing or confirming the suitability of any person to—

a

be a foster carer (within the meaning of section 96 of the 2007 Act); or

b

be a host parent (within the meaning of paragraph 11A74 of schedule 2 to the 2007 Act),

in the circumstance set out in sub-paragraph (3)(b).

3

The circumstances are that—

a

the question relates to the person whose suitability is being assessed, investigated, reviewed or confirmed; or

b

the question relates to a person over the age of 16 residing in the same household as the person whose suitability is being assessed, investigated, reviewed or confirmed.

4

Any question asked in order to assess the suitability of an individual seeking appointment as a member of—

a

an adoption panel or joint adoption panel under regulation 3 or 5 of the Adoption Agencies (Scotland) Regulations 200975; or

b

a fostering panel or joint fostering panel under regulation 17 or 19 of the Looked After Children (Scotland) Regulations 200976.

Annotations:
Commencement Information
I5

Sch. 3 para. 5 in force at 14.2.2013, see art. 1(1)

National securityI66

1

Any question asked by or on behalf of—

a

the Crown, the United Kingdom Atomic Energy Authority, F1the FCA, the PRA, the Bank of England or a universal service provider within the meaning of section 65 of the Postal Services Act 201177, 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;

b

the Civil Aviation Authority;

c

any other person authorised to provide air traffic services under section 4 or 5 of the Transport Act 200078 (in any case where such person is a company, an “authorised company”); or

d

subject to sub-paragraph (3)—

i

any company which is a subsidiary, within the meaning given by section 1159(1) of the Companies Act 200679, of an authorised company; and

ii

any company of which an authorised company is a subsidiary,

in the circumstances set out in sub-paragraph (2).

2

The circumstances are that the question is put 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.

3

Where the question is put on behalf of a company mentioned in sub-paragraph (1)(d), this paragraph applies only where the question is put in relation to the provision of air traffic services.

Financial servicesI77

Any question 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 the table in Part 2 of Schedule 2 by, or on behalf of, the person listed in relation to that status in the second column of that table.

Annotations:
Commencement Information
I7

Sch. 3 para. 7 in force at 14.2.2013, see art. 1(1)

The National Lottery CommissionI88

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 199380 where the question relates to an individual—

a

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

b

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

Annotations:
Commencement Information
I8

Sch. 3 para. 8 in force at 14.2.2013, see art. 1(1)

Registration of certain landlordsI99

Any question asked by or on behalf of a local authority in order to assess whether—

a

a relevant person within the meaning of section 83(8) of the Antisocial Behaviour etc. (Scotland) Act 200481 (“the 2004 Act”); or

b

a person acting for that person within the meaning of section 83(1)82 or 88(1) of the 2004 Act,

is a fit and proper person for the purpose of determining whether the relevant person should be entered in or removed from the register maintained by the local authority under section 82(1) of the 2004 Act.

Annotations:
Commencement Information
I9

Sch. 3 para. 9 in force at 14.2.2013, see art. 1(1)

Public procurementI1010

1

Any question asked by or on behalf of a contracting authority or contracting entity in relation to a conviction specified in regulation 23(1) of the Public Contracts (Scotland) Regulations 201283 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—

a

for the purposes of regulation 23 of the Public Contracts (Scotland) Regulations 2012 or regulation 26 of the Utilities Contracts (Scotland) Regulations 201284; or

b

to participate in a design contest for the purposes of regulation 33 of the Public Contracts (Scotland) Regulations 2012 or regulation 34 of the Utilities Contracts (Scotland) Regulations 2012,

where the person questioned is informed at the time the question is asked that, by virtue of this Order, convictions within the meaning of regulation 23(1) of the Public Contracts (Scotland) Regulations 2012, which are spent convictions, are to be disclosed.

2

For the purposes of contract award procedures or design contests commenced before 1st May 2012—

a

the references in sub-paragraph (1) to regulations 23 and 33 of the Public Contracts (Scotland) Regulations 2012 are to be read as references to regulations 23 and 33 of the Public Contracts (Scotland) Regulations 200685; and

b

the references in sub-paragraph (1) to regulations 26 and 34 of the Utilities Contracts (Scotland) Regulations 2012 is to be read as references to regulations 26 and 34 of the Utilities Contracts (Scotland) Regulations 200686.

3

For the purposes of sub-paragraph (2), the commencement of a contract award procedure or design contest is to be interpreted in accordance with—

a

regulation 52(2) of the Public Contracts (Scotland) Regulations 2012; and

b

regulation 49(2) of the Utilities Contracts (Scotland) Regulations 2012.

Annotations:
Commencement Information
I10

Sch. 3 para. 10 in force at 14.2.2013, see art. 1(1)

The Risk Management AuthorityI1111

Any question asked by or on behalf of the Risk Management Authority in carrying out its functions in relation to risk management plans under the Criminal Justice (Scotland) Act 200387.

Annotations:
Commencement Information
I11

Sch. 3 para. 11 in force at 14.2.2013, see art. 1(1)

Access to informationI1212

Any question asked by the Scottish Ministers for the purpose of considering the suitability of a registered person or a nominee of a registered person (within the meaning of the Police Act 199788) to have access to information released under section 113A89, 113B90, 113CA91 or 113CB92 of that Act or sections 52 to 54 of the 2007 Act.

Annotations:
Commencement Information
I12

Sch. 3 para. 12 in force at 14.2.2013, see art. 1(1)

Personnel suppliersI1313

Any question asked by or on behalf of a personnel supplier (within the meaning of section 97(1) of the 2007 Act) in order to assess the suitability of a person to be supplied by the personnel supplier to do regulated work with adults or regulated work with children for another person.

Annotations:
Commencement Information
I13

Sch. 3 para. 13 in force at 14.2.2013, see art. 1(1)

Non-solicitor investors in licensed legal services providersI1414

Any question asked by, or on behalf of, an approved regulator where it is asked for the purposes of section 62 of the Legal Services Act (fitness for involvement) in order to assess the fitness of a non-solicitor investor in a licensed legal services provider for having an interest in a licensed legal services provider.

Annotations:
Commencement Information
I14

Sch. 3 para. 14 in force at 14.2.2013, see art. 1(1)

Lay representativesI1515

Any question asked in order to assess the suitability of the person to whom the question relates to act as a lay representative.