The Police Act 1997 (Criminal Records) Regulations 2002

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 extent E+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.

Interpretation E+W

2.  In these Regulations—

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

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

• “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.

Marginal Citations

M1 1997 c. 50.

M2 1998 c. 37.

Application form E+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.

[F1 Fees for criminal record certificates and enhanced criminal record certificates E+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) £31 in the case of a criminal record certificate;

(b) £36 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

F1 Reg. 4 substituted for regs. 4, 4A (6.4.2006) by The Police Act 1997 (Criminal Records) (Amendment) Regulations 2006 (S.I. 2006/748), regs. 1(1), 2(a)

Fees for enhanced criminal record certificates E+W

F1 4A.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F1 Reg. 4 substituted for regs. 4, 4A (6.4.2006) by The Police Act 1997 (Criminal Records) (Amendment) Regulations 2006 (S.I. 2006/748), regs. 1(1), 2(a)

Relevant matters: prescribed details E+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

M3 1974 c. 53.

M4 2000 c. 43.

[F2 Enhanced criminal record certificates: prescribed purposes E+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—

(a) considering the applicant’s suitability for a position which involves regularly caring for, training, supervising, or being solely in charge of, persons aged under 18;

(b) considering the applicant’s suitability for a position which involves regularly caring for, training, supervising, or being in sole charge of, a person aged 18 or over who is a vulnerable adult within the meaning given by regulation 5B below;

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

(d) obtaining or holding a certificate of consent, or a licence, for any of the purposes of Schedule 2 to that Act (licences);

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

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

(g) registration under section 71 of the Children Act 1989, registration for child minding or providing day care under Part XA of that Act, or registration under, or the holding of a certificate under, section 79W of that Act;

(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 , section 68 of that Act or article 108 of that Order (welfare of privately fostered children);

(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;

(l) considering an individual’s suitability to be included in, or to remain in, the health service list specified in regulation 5C(1) below;

(m) considering—

(i) the suitability of a director of a body corporate to be included in, or to remain in, sub-paragraph (b) or (c) of that list;

(ii) the suitability of a member of a limited liability partnership to be included in, or to remain in, sub-paragraph (c) of that list, or

(iii) the suitability of a member of the body of persons controlling a body corporate (whether or not a limited liability partnership) to be included in, or to remain in, sub-paragraph (d) of that list;

(n) considering an individual’s suitability to be included in, or to remain in, the health service list specified in regulation 5C(2) below, or

(o) considering the suitability of an individual for a position in a school within the meaning of section 4 of the Education Act 1996.

Textual Amendments

F2 Regs. 5A-5C inserted (6.4.2006) by The Police Act 1997 (Criminal Records) (Amendment) Regulations 2006 (S.I. 2006/748), regs. 1(1), 2(b), Sch.

Vulnerable Adult E+W

5B.— (1) The reference to a vulnerable adult in regulation 5A(b) above is a reference to a person who is receiving services of a type listed in paragraph (2) below and who, in consequence of a condition of a type listed in paragraph (3) below, has a disability of a type listed in paragraph (4) below.

(2) The services are—

(a) accommodation and nursing or personal care in a care home;

(b) personal care or nursing or support to live independently in his own home;

(c) any services provided by an independent hospital, independent clinic, independent medical agency or National Health Service body;

(d) social care services, or

(e) any services provided in an establishment catering for a person with learning difficulties.

(3) The conditions are—

(a) a learning or physical disability;

(b) a physical or mental illness, chronic or otherwise, including an addiction to alcohol or drugs, or

(c) a reduction in physical or mental capacity.

(4) The disabilities are—

(a) a dependency on others in the performance of, or a requirement for assistance in the performance of, basic physical functions;

(b) severe impairment in the ability to communicate with others, or

(c) impairment in a person’s ability to protect himself from assault, abuse or neglect.

(5) In this regulation “care home”, “independent clinic”, “independent hospital”, “independent medical agency” and “National Health Service body” all have the same meaning as in the Care Standards Act 2000.

Textual Amendments

F2 Regs. 5A-5C inserted (6.4.2006) by The Police Act 1997 (Criminal Records) (Amendment) Regulations 2006 (S.I. 2006/748), regs. 1(1), 2(b), Sch.

Health Service lists E+W

5C.— (1) The list referred to in regulation 5A (l) above is any list prepared for the purposes of Part 2 of the National Health Service Act 1977 of—

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

(b) persons undertaking to provide general dental services;

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

(d) persons undertaking to provide pharmaceutical services.

(2) The list referred to in regulation 5A (n) above is any list prepared by a Primary Care Trust or Health Authority under—

(a) section 28DA of the National Health Service Act 1977 ( ) or section 8ZA 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 or personal dental services), or

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

or any list corresponding to a list referred to in sub-paragraph (a) above prepared by a 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).]

Textual Amendments

F2 Regs. 5A-5C inserted (6.4.2006) by The Police Act 1997 (Criminal Records) (Amendment) Regulations 2006 (S.I. 2006/748), regs. 1(1), 2(b), Sch.

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

6.—(1) In the case of an applicant included in the list kept under section 1 of the Protection of Children Act 1999 M5 the following details are hereby prescribed for the purposes of sections 113(3A)(b) and 115(6A)(b) of the Act M6 —

[F3 (a) the fact that he is included in the list;]

(b) whether the person is disqualified from working with children for the purposes of section 35 of the Criminal Justice and Court Services Act 2000;

(c) whether any appeal against inclusion in the list is pending;

(d) whether the inclusion in the list is provisional; and

(e) whether or not [F4 he] may not be employed or, as the case may be, should cease to be employed in a childcare position with a childcare organisation in accordance with section 7 of the Protection of Children Act 1999.

(2) In this regulation “childcare position” and “childcare organisation” have the same meanings as in section 12 of the Protection of Children Act 1999 M7 .

Textual Amendments

F3 Reg. 6(1)(a) substituted (31.3.2003) by The Police Act 1997 (Criminal Records) (Amendment No. 3) Regulations 2003 (S.I. 2003/520), regs. 1(2), 2(2)

F4 Word in reg. 6(1)(e) substituted (31.3.2003) by The Police Act 1997 (Criminal Records) (Amendment No. 3) Regulations 2003 (S.I. 2003/520), regs. 1(2), 2(3)

Marginal Citations

M5 1999 c. 14.

M6 Sections 113(3A) and 115(6A) were inserted by section 8(1), (2) of the Protection of Children Act 1999 respectively. Section 113(3A) was amended by sections 102(1), 104(1), (2)(a), 116 and Schedule 4, paragraph 25(1) of the Care Standards Act 2000 (c. 14). Section 115(6A) was amended by sections 102(2), 104(1), (3)(b), 116 and Schedule 4, paragraph 25(b) of the Care Standards Act 2000.

M7 Section 12 of the Protection of Children Act 1999 was amended by section 74 and Schedule 7, Part II, paragraphs 154 and 158 of the Criminal Justice and Court Services Act 2000 (c. 43).

[F5 Directions made under section 142 of the Education Act 2002: prescribed details] W

7.   [F5 In the case of an applicant subject to a direction made under section 142 of the Education Act 2002 the following details are hereby prescribed for the purposes of sections 113(3A)(d) and 115(6A)(d) of the Act—

(a) the fact that he is subject to such a direction;

(b) the date the direction was given;

(c) details of any prohibition or restriction on his employment; and

(d) the grounds on which the direction was made, and, where the grounds are misconduct, details of the misconduct.]

Textual Amendments

F5 Reg. 7 substituted (31.3.2003 for W., 1.6.2003 for E.) by The Police Act 1997 (Criminal Records) (Amendment No. 3) Regulations 2003 (S.I. 2003/520), regs. 1(3), 3

[F6 List kept under section 81 of the Care Standards Act 2000: prescribed details E+W

8.— (1) In the case of an applicant included in the list kept under section 81 of the Care Standards Act 2000 the following details are hereby prescribed for the purposes of sections 113(3C)(b) and 115(6B)(b) of the Act—

(a) the fact that he is included in the list;

(b) whether the inclusion in the list is provisional;

(c) whether any appeal against inclusion in the list is pending; and

(d) the fact that the person included in the list is prohibited from working in a care position.

(2) In this regulation “care position” has the same meaning as in Part VII of the Care Standards Act 2000.]

Textual Amendments

F6 Reg. 8 substituted (26.7.2004) by The Police Act 1997 (Criminal Records) (Amendment) (No. 2) Regulations 2004 (S.I. 2004/1759), regs. 1(1), 2

Central records: prescribed details E+W

9.  Information in any form relating to convictions, cautions, reprimands and warnings on a names index held by the Police Information Technology Organisation for the use of constables is hereby prescribed as “central records” for the purposes of section 113(5) of the Act (including that provision as applied by sections 114(3), 115(6) and 116(3)).

Enhanced criminal record certificates: relevant police forces E+W

10.  For the purposes of an application for an enhanced criminal record certificate “relevant police force” means—

(a) the police force maintained for the police area in England and Wales or Scotland within which the applicant resides or has resided within the period of 5 years preceding the date of the application;

(b) the Police Service of Northern Ireland if the applicant resides or has resided within the period of 5 years preceding the date of the application within Northern Ireland;

[F7 (ba) the States of Jersey Police Force if the applicant resides or has resided within the period of five years preceding the application within Jersey;

(bb) the salaried police force of the Island of Guernsey if the applicant resides or has resided within the period of five years preceding the application within Guernsey;

(bc) the Isle of Man Constabulary if the applicant resides or has resided within the period of five years preceding the application within the Isle of Man;

(bd) such of the police forces referred to in sub-paragraphs (a) to (bc) above as appear to the Secretary of State to be in possession of information regarding the applicant;]

(c) such other police force as the chief officer of police of a police force identified as a relevant police force by virtue of paragraphs (a) or (b) above determines;

(d) any police force that the Secretary of State determines to be relevant to the application.

Textual Amendments

F7 Reg. 10(ba)-(bd) inserted (6.4.2006) by The Police Act 1997 (Criminal Records) (Amendment) Regulations 2006 (S.I. 2006/748), regs. 1(1), 2(c)

Evidence of identity: fingerprinting E+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

(b) of the police station (“the specified police station”) that he proposes to attend at for the purposes of having his fingerprints taken.

(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 M8 ; and

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

Marginal Citations

M8 1984 c. 60.

Fees payable to police authorities for information provided to the Secretary of State E+W

F8 12.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F8 Reg. 12 omitted (6.4.2006) by virtue of The Police Act 1997 (Criminal Records) (Amendment) Regulations 2006 (S.I. 2006/748), regs. 1(1), 2(d)

Minister of State

Home Office

SCHEDULE 1 E+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).

[F9 SCHEDULE 2] E+W

Textual Amendments

F9 Sch. 2 omitted in part (17.2.2003) by virtue of The Police Act 1997 (Criminal Records)(Amendment No. 2) Regulations 2003 (S.I. 2003/137), regs. 1, 3

F10 SCHEDULE 3 E+W Fees payable to police authorities

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

Textual Amendments

F10 Sch. 3 omitted (6.4.2006) by virtue of The Police Act 1997 (Criminal Records) (Amendment) Regulations 2006 (S.I. 2006/748), regs. 1(1), 2(d)

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.