Police Act 1997

115 Enhanced criminal record certificates. E+W+N.I.

(1) The Secretary of State shall issue an enhanced criminal record certificate to any individual who—

(a) makes an application under this section in the prescribed form countersigned by a registered person, and

(b) pays any fee that is payable in relation to the application under regulations made by the Secretary of State.

(2) An application under this section must be accompanied by a statement by the registered person that the certificate is required for the purposes of an exempted question asked—

(a) in the course of considering the applicant’s suitability for a position (whether paid or unpaid) within subsection (3) or (4), F1 ...

(b) for a purpose relating to any of the matters listed in subsection (5), [F2 or

(c) in relation to an individual to whom subsection (6C), (6D) or (6E) applies.]

(3) A position is within this subsection if it involves regularly caring for, training, supervising or being in sole charge of persons aged under 18.

(4) A position is within this subsection if—

(a) it is of a kind specified in regulations made by the Secretary of State, and

(b) it involves regularly caring for, training, supervising or being in sole charge of persons aged 18 or over.

(5) The matters referred to in subsection (2)(b) are—

(a) a certificate for the purposes of sections 19 or 27(1) or (5) of the M1 Gaming Act 1968 (gaming);

(b) a certificate of consent, or a licence, for any purpose of Schedule 2 to that Act (licences);

(c) registration or certification in accordance with Schedule 1A, 2 or 2A to the M2 Lotteries and Amusements Act 1976 (societies, schemes and lottery managers);

(d) a licence under section 5 or 6 of the M3 National Lottery etc. Act 1993 (running or promoting lotteries);

(e) registration under section 71 of the M4 Children Act 1989 [F3 registration for child minding or providing day care under Part XA of that Act [F4 , or the holding of a certificate under section 79W of that Act,] or registration under] Article 118 of the M5 Children (Northern Ireland) Order 1995 (child minding and day care);

[F5 (ea) registration under Part II of the Care Standards Act 2000 (establishments and agencies);

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

(f) the placing of children with foster parents in accordance with any provision of, or made by virtue of, the Children Act 1989 or the M6 Children (Northern Ireland) Order 1995 or the exercise of any duty under or by virtue of section 67 of that Act or Article 108 of that Order (welfare of privately fostered children);

(g) the approval of any person as a foster carer by virtue of section 5(2), (3) and (4) of the M7 Social Work (Scotland) Act 1968, the exercise by a local authority of their functions under the M8 Foster Children (Scotland) Act 1984 or the placing of children with foster parents by virtue of section 70 of the M9 Children (Scotland) Act 1995 (disposal of referral by children’s hearing).

[F6 (h) a decision made by an adoption agency within the meaning of section 11 of the M10 Adoption Act 1976 as to a person’s suitability to adopt a child.]

(6) An enhanced criminal record certificate is a certificate which—

(a) gives—

(i) the prescribed details of every relevant matter relating to the applicant which is recorded in central records, and

(ii) any information provided in accordance with subsection (7), or

(b) states that there is no such matter or information.

[F7 (6A) If an application under this section is accompanied by a statement by the registered person that the certificate is required for the purpose of considering the applicant’s suitability for a position (whether paid or unpaid) falling within subsection (3B) of section 113, [F8 or [F9 the suitability of the applicant, or of a person living in the same household as the applicant, to be a foster parent or] to adopt a child,], the enhanced criminal record certificate shall also state—

(a) whether the applicant is included [F10 in—

(i) the list kept under section 1 of the M11 Protection of Children Act 1999;

F11 (ii) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F11 (iii) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F12 (b) if he is included in the list kept under section 1 of the Protection of Children Act 1999 (c. 14), such details of his inclusion as may be prescribed;]]

[F13 (c) whether he is subject to a direction under section 142 of the Education Act 2002; and

(d) if he is subject to a direction under that section, such details of the circumstances in which it was given as may be prescribed, including the grounds on which it was given.]]

[F14 (6BA) The references in subsections (6A) and (6B) to considering the applicant’s suitability to be employed, supplied to work, found work or given work in a position falling within section 113(3B) or (3D) include references to considering, for the purposes of Part 10A of the Children Act 1989 (child minding and day care in England and Wales) his suitability—

(a) to look after or be in regular contact with children under the age of eight, or

(b) in the case of an applicant for or holder of a certificate under section 79W of that Act, or a person prescribed under subsection (4) of that section, to look after children within the meaning of that section. ]

[F15 (6C) This subsection applies to an individual included or seeking inclusion in any list prepared for the purposes of Part 2 of the National Health Service Act 1977 (c. 49) of—

(a) medical practitioners undertaking to provide general medical services,

(b) persons undertaking to provide general dental services,

(c) persons undertaking to provide general ophthalmic services, or

(d) persons undertaking to provide pharmaceutical services.

(6D) This subsection applies to an individual who is—

(a) a director of a body corporate included or seeking inclusion in a list referred to in subsection (6C)(b) or (c),

(b) a member of a limited liability partnership included or seeking inclusion in a list referred to in subsection (6C)(c),

(c) a member of the body of persons controlling a body corporate (whether or not a limited liability partnership) included or seeking inclusion in a list referred to in subsection (6C)(d).

(6E) This subsection applies to an individual included or seeking inclusion in any list prepared by a [F17Primary Care Trust or] Health Authority under—

(a) section 28DA of the National Health Service Act 1977 or section 8ZA of the National Health Service (Primary Care) Act 1997 (lists of persons who may perform personal medical services or personal dental services), or

(b) section 43D of the 1977 Act (supplementary lists),

and to an individual included or seeking inclusion in any list corresponding to a list referred to in paragraph (a) prepared by a [F16 Primary Care Trust or] Health Authority by virtue of regulations made under section 41 of the Health and Social Care Act 2001 (which provides for the application of enactments in relation to local pharmaceutical services).]

(7) Before issuing an enhanced criminal record certificate the Secretary of State shall request the chief officer of every relevant police force to provide any information which, in the chief officer’s opinion—

(a) might be relevant for the purpose described in the statement under subsection (2), and

(b) ought to be included in the certificate.

(8) The Secretary of State shall also request the chief officer of every relevant police force to provide any information which, in the chief officer’s opinion—

(a) might be relevant for the purpose described in the statement under subsection (2),

(b) ought not to be included in the certificate, in the interests of the prevention or detection of crime, and

(c) can, without harming those interests, be disclosed to the registered person.

(9) The Secretary of State shall send to the registered person who countersigned an application under this section—

(a) a copy of the enhanced criminal record certificate, and

(b) any information provided in accordance with subsection (8).

(10) In this section—

• “central records”, “exempted question” and “relevant matter” have the same meaning as in section 113; and

• “relevant police force”, in relation to an application under this section, means a police force which is a relevant police force in relation to that application under regulations made by the Secretary of State.

Extent Information

E1 This version of this provision extends to England and Wales and Northern Ireland only; a separate version has been created for Scotland only

Textual Amendments

F1 Word in s. 115(2)(a) repealed (E.W.) (1.4.2002 for E., 1.7.2002 for W.) by 2001 c. 15, ss. 19(2)(a), 67(2), Sch. 6 Pt. 1 (with ss. 64(9), 65(4)); S.I. 2002/1095, art. 2(3), Sch. (with art. 3); S.I. 2002/1475, art. 2(1), Sch. Pt. 1

F2 S. 115(2)(c) and preceding word inserted (E.W.) (1.4.2002 for E., 1.7.2002 for W.) by 2001 c. 15, s. 19(2)(b) (with ss. 64(9), 65(4)); S.I. 2002/1095, art. 2(3), Sch. (with art. 3); S.I. 2002/1475, art. 2(1), Sch. Pt. 1

F3 Words in s. 115(5)(e) substituted (2.7.2001 for E., 1.4.2002 for W.) by 2000 c. 14, ss. 116, 122, Sch. 4 para. 25(2)(a); S.I. 2001/2041, art. 2(2)(d)(i) (with transitional provisions and savings in art. 3, Sch.); S.I. 2002/920, arts. 1(4), 3(3) (subject to art. 3(4)-(10) and to transitional provisions in Schs. 1-3)

F4 Words in s. 115(5)(e) inserted (E.W.) (1.10.2002 except in relation to W., 19.12.2002 otherwise) by Education Act 2002 (c. 32), s. 152, Sch. 13 para. 8(2) (with ss. 210(8), 214(4)); S.I. 2002/2439, art. 3; S.I. 2002/3185, art. 4, Sch. Pt. 1

F5 S. 115(5)(ea)(eb) inserted (E.W.) (1.4.2002 for specified purposes for E.W., 1.4.2003 in so far as not already in force for E.W.) by 2000 c. 14, ss. 104(3)(a)(i), 122; S.I. 2002/629, art. 2(3)(c); S.I. 2003/501, art. 2(2)(c); S.I. 2003/933, art. 2(2)(i)

F6 S. 115(5)(h) inserted (18.3.2002 for E.W.) by 2000 c. 14, ss. 104(3)(a)(ii), 122; S.I. 2002/629, art. 2(2)(b)(iv)

F7 S. 115(6A) inserted (E.W.N.I.) (12.3.2002 for E.W.) by 1999 c. 14, ss. 8(2), 14(2); S.I. 2002/1436, art. 2

F8 Words in s. 115(6A) inserted (18.3.2002 for E.W.) by 2000 c. 14, ss. 104(3)(b), 122; S.I. 2002/629, art. 2(2)(b)(v)

F9 Words in s. 115(6A) substituted (1.6.2003 for E.W.) by Adoption and Children Act 2002 (c. 38), ss. 135(3), 148(1) (with Sch. 4 paras. 6-8); S.I. 2003/366, art. 2(5)(b)

F10 S. 115(6A)(a)(i)-(iii)(b) and word substituted (18.3.2002 for E.W.) for s. 115(6A)(b) and words by 2000 c. 14, ss. 102(2), 122; S.I. 2002/629, art. 2(2)(a)

F11 S. 115(6A)(a)(ii)(iii) repealed (31.3.2003 for W., 1.6.2003 for E.) by Education Act 2002 (c. 32), s. 216(4), Sch. 21 para. 73(a), Sch. 22 Pt. 3 (with ss. 210(8), 214(4)); S.I. 2002/3185, art. 5, Sch. Pt. II; S.I. 2003/1115, art. 3

F12 S. 115(6A)(b) substituted (31.3.2003 for W., 1.6.2003 for E.) by Education Act 2002 (c. 32), s. 216(4), Sch. 21 para. 73(b) (with ss. 210(8), 214(4)); S.I. 2002/3185, art. 5, Sch. Pt. II; S.I. 2003/1115, art. 3

F13 S. 115(6A)(c)(d) inserted (31.3.2003 for W., 1.6.2003 for E.) by Education Act 2002 (c. 32), s. 216(4), Sch. 21 para. 73(c) (with ss. 210(8), 214(4)); S.I. 2002/3185, art. 5, Sch. Pt. II; S.I. 2003/1115, art. 3

F14 S. 115(6BA) inserted (E.W.) (1.10.2002 except in relation to W., 19.12.2002 otherwise) by virtue of Education Act 2002 (c. 32), s. 152, Sch. 13 para. 8(3) (with ss. 210(8), 214(4)); S.I. 2002/2439, art. 3; S.I. 2002/3185, art. 4, Sch. Pt. 1

F15 S. 115(6C)-(6E) inserted (E.W.) (1.4.2002 for E., 1.7.2002 for W.) by 2001 c. 15, s. 19(3) (with ss. 64(9), 65(4)); S.I. 2002/1095, art. 2(3), Sch. (with art. 3); S.I. 2002/1475, art. 2(1), Sch. Pt. 1

F16 Words in s. 115(6E) inserted (E.W.) (1.10.2002) by National Health Service Reform and Health Care Professions Act 2002 (c. 17), s. 2(5), Sch. 2 Pt. 2 para. 64; S.I. 2002/2478, art. 3(1)(d)

Commencement Information

I1 S. 115 partly in force; s. 115 not in force at Royal Assent, see s. 135(1); s. 115 in force for E.W. at 1.3.2002 by S.I. 2002/413, art. 2; s. 115(4) in force for S. at 11.3.2002 by S.S.I. 2002/124, art. 3 and s. 115 otherwise in force for S. at 25.4.2002 by S.S.I. 2002/124, art. 4

Marginal Citations

M1 1968 c. 65.

M2 1976 c. 32.

M3 1993 c. 39.

M4 1989 c. 41.

M5 S.I. 1995/755 (N.I. 2).

M6 S.I. 1995/755 (N.I. 2).

M7 1968 c. 49.

M8 1984 c. 56.

M9 1995 c. 36.

M10 1976 c. 36.

M11 1999 c. 14.

115 Enhanced criminal record certificates. S

(1) The Secretary of State shall issue an enhanced criminal record certificate to any individual who—

(a) makes an application under this section in the prescribed form countersigned by a registered person, and

(b) pays any fee that is payable in relation to the application under regulations made by the Secretary of State.

(2) An application under this section must be accompanied by a statement by the registered person that the certificate is required for the purposes of an exempted question asked—

(a) in the course of considering the applicant’s suitability for a position (whether paid or unpaid) within subsection (3) or (4), F17 ...

(b) for a purpose relating to any of the matters listed in subsection (5) [F18 or

(c) in relation to an individual to whom any of subsections (6C) to (6G) applies. ]

(3) A position is within this subsection if it involves regularly caring for, training, supervising or being in sole charge of persons aged under 18.

(4) A position is within this subsection if—

(a) it is of a kind specified in regulations made by the Secretary of State, and

(b) it involves regularly caring for, training, supervising or being in sole charge of persons aged 18 or over.

(5) The matters referred to in subsection (2)(b) are—

(a) a certificate for the purposes of sections 19 or 27(1) or (5) of the M1 Gaming Act 1968 (gaming);

(b) a certificate of consent, or a licence, for any purpose of Schedule 2 to that Act (licences);

(c) registration or certification in accordance with Schedule 1A, 2 or 2A to the M2 Lotteries and Amusements Act 1976 (societies, schemes and lottery managers);

(d) a licence under section 5 or 6 of the M3 National Lottery etc. Act 1993 (running or promoting lotteries);

(e) F19 ... or registration under Article 118 of the M5 Children (Northern Ireland) Order 1995 (child minding and day care);

[F20 (ee) registration under the Regulation of Care (Scotland) Act 2001 (asp 8) of a care service (as defined in section 2(1) of that Act);

(ef) registration under Part 3 of that Act of a social worker or other social service worker (“social worker” and “social service worker” having the same meanings as in that Act).]

(f) the placing of children with foster parents in accordance with any provision of, or made by virtue of, the Children Act 1989 or the M6 Children (Northern Ireland) Order 1995 or the exercise of any duty under or by virtue of section 67 of that Act or Article 108 of that Order (welfare of privately fostered children);

(g) the approval of any person as a foster carer by virtue of section 5(2), (3) and (4) of the M7 Social Work (Scotland) Act 1968, the exercise by a local authority of their functions under the M8 Foster Children (Scotland) Act 1984 or the placing of children with foster parents by virtue of section 70 of the M9 Children (Scotland) Act 1995 (disposal of referral by children’s hearing).

[F21 (i) an assessment, investigation or review by an adoption agency or local authority as to the suitability of a person, whether or not the person in respect of whom the certificate is sought, to adopt a child (this paragraph being construed in accordance with sections 1(3A) and (4) and 65(1) of the Adoption (Scotland) Act 1978 (c. 28) and as if it were one of the provisions of that Act listed in the definition of “adoption agency” in the said section 65(1))]

(6) An enhanced criminal record certificate is a certificate which—

(a) gives—

(i) the prescribed details of every relevant matter relating to the applicant which is recorded in central records, and

(ii) any information provided in accordance with subsection (7), or

(b) states that there is no such matter or information.

[F22 (6C) This subsection applies to an individual included or seeking inclusion in any list prepared for the purposes of Part II of the National Health Service (Scotland) Act 1978 (c. 29) of—

(a) medical practitioners undertaking to provide general medical services;

(b) dental practitioners undertaking to provide general dental services;

(c) medical practitioners and ophthalmic opticians undertaking to provide general ophthalmic services; or

(d) persons undertaking to provide pharmaceutical services.

(6D) This subsection applies to an individual who is—

(a) a director of a body corporate included or seeking inclusion in a list referred to in subsection (6C)(c) or (d); or

(b) a partner of a partnership included or seeking inclusion in a list so referred to.

(6E) This subsection applies to an individual included or seeking inclusion in any list prepared by virtue of—

(a) section 17EA of the National Health Service (Scotland) Act 1978 (services lists); or

(b) section 24B of that Act (supplementary lists),

and to an individual included or seeking inclusion in such other list prepared for the purposes of Part I or Part II of that Act as may be prescribed.

(6F) This subsection applies to an individual appointed or seeking appointment—

(a) as one of Her Majesty’s inspectors (as defined by section 135(1) of the Education (Scotland) Act 1980 (c. 44)); or

(b) by the Scottish Ministers, for the purposes of section 66 of that Act of 1980 (inspection of educational establishments) or of section 9 of the Standards in Scotland’s Schools etc. Act 2000 (asp 6) (inspection of education authority).

(6G) This subsection applies to an individual appointed or seeking appointment—

(a) under section 39(2) of the Children (Scotland) Act 1995 (c. 36) (formation of children’s panel etc.) as a member of—

(i) a children’s panel;

(ii) the Children’s Panel Advisory Committee other than as chairman of that committee; or

(iii) a joint advisory committee other than as chairman of such a committee;

(b) by virtue of paragraph 7(b) of Schedule 1 to that Act of 1995 (appointment to sub-committee of Children’s Panel Advisory Committee of person who is not a member of that Committee);

(c) as the Principal Reporter or under section 128(4) of the Local Government etc. (Scotland) Act 1994 (c. 39) as an officer to assist that officer;

(d) as a prosecutor, as defined by section 307(1) of the Criminal Procedure (Scotland) Act 1995 (c. 46), or as an officer to assist a prosecutor or to assist in the work of the Crown Office; or

(e) in a panel established by virtue of section 101(1) of the Children (Scotland) Act 1995 (panels for curators ad litem, reporting officers and safeguarders).

(6H) Subsection (2) applies in relation to an exempted question asked in relation to an individual appointed or seeking appointment as mentioned in subsection (6G)(a) as it applies in relation to such a question asked in relation to an individual mentioned in paragraph (c) of subsection (2) except that, for the purposes of this subsection, the reference in that subsection to the registered person shall be construed as a reference to the Scottish Ministers or to a person nominated by them.]

(7) Before issuing an enhanced criminal record certificate the Secretary of State shall request the chief officer of every relevant police force to provide any information which, in the chief officer’s opinion—

(a) might be relevant for the purpose described in the statement under subsection (2), and

(b) ought to be included in the certificate.

(8) The Secretary of State shall also request the chief officer of every relevant police force to provide any information which, in the chief officer’s opinion—

(a) might be relevant for the purpose described in the statement under subsection (2),

(b) ought not to be included in the certificate, in the interests of the prevention or detection of crime, and

(c) can, without harming those interests, be disclosed to the registered person.

(9) The Secretary of State shall send to the registered person who countersigned an application under this section—

(a) a copy of the enhanced criminal record certificate, and

(b) any information provided in accordance with subsection (8).

(10) In this section—

• “central records”, “exempted question” and “relevant matter” have the same meaning as in section 113; and

• “relevant police force”, in relation to an application under this section, means a police force which is a relevant police force in relation to that application under regulations made by the Secretary of State.

Extent Information

E2 This version of this provision extends to Scotland only; a separate version has been created for England and Wales and Northern Ireland only

Textual Amendments

F17 Word in s. 115(2)(a) omitted (S.) (27.6.2003) by virtue of Criminal Justice (Scotland) Act 2003 (asp 7), ss. 70(3)(a)(i), 89(2); S.S.I. 2003/288, art. 2, sch.

F18 S. 115(2)(c) and word added (S.) (27.6.2003) by Criminal Justice (Scotland) Act 2003 (asp 7), ss. 70(3)(a)(ii), 89(2); S.S.I. 2003/288, art. 2, sch.

F19 Words in s. 115(5)(e) repealed (S.) (1.4.2002) by 2001 asp 8, s. 79, Sch. 3 para. 21(a); S.S.I. 2002/162, art. 2(f)(h) (subject to arts. 3-13)

F20 S. 115(5)(ee)(ef) inserted (S.) (1.4.2002) by 2001 asp 8, s. 79, Sch. 3 para. 21(b); S.S.I. 2002/162, art. 2(f)(h) (subject to arts. 3-13)

F21 S. 115(5)(i) added (27.6.2003) by Criminal Justice (Scotland) Act 2003 (asp 7), ss. 70(3)(b), 89(2); S.S.I. 2003/288, art. 2, sch.

F22 S. 115(6C)-(6H) inserted (S.) (27.6.2003) by Criminal Justice (Scotland) Act 2003 (asp 7), ss. 70(3)(c), 89(2); S.S.I. 2003/288, art. 2, sch.

Commencement Information

I1 S. 115 partly in force; s. 115 not in force at Royal Assent, see s. 135(1); s. 115 in force for E.W. at 1.3.2002 by S.I. 2002/413, art. 2; s. 115(4) in force for S. at 11.3.2002 by S.S.I. 2002/124, art. 3 and s. 115 otherwise in force for S. at 25.4.2002 by S.S.I. 2002/124, art. 4

Marginal Citations

M1 1968 c. 65.

M2 1976 c. 32.

M3 1993 c. 39.

M5 S.I. 1995/755 (N.I. 2).

M6 S.I. 1995/755 (N.I. 2).

M7 1968 c. 49.

M8 1984 c. 56.

M9 1995 c. 36.