# The Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975, Article 3

Extent: E+W+S

(1) Subject to paragraph (2), 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 apart from one specified in paragraph 1, 6, 16, 17, 18, 18A, 31, 32, 35 or 36 or for any other work specified in paragraph 12A, 13, 13A, 14, 14A, 14AA, 14B, 14C, 14D, 14E, 14F, 20, 21, ... ... 38, 40 or 43 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 apart from one specified in paragraph 1 or 8 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 apart from one specified in paragraph 1, 3 or 6 or to hold it subject to a particular condition or restriction, or
(v) of an individual to provide accommodation or to continue to provide accommodation to a person who has applied for or been granted permission to enter into or to stay in the United Kingdom in accordance with Appendix Ukraine Scheme of the Immigration Rules, where the question relates to—
(aa) the individual whose suitability is being assessed, or
(bb) any other individual over the age of 16 years who resides in the same household as the individual whose suitability is being assessed,
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) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(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;
(ea) any question asked by or on behalf of any person in the course of his duties as a person employed by a local authority in England or Wales for the purpose of preparing a report for the court under section 14A(8) of the Children Act 1989 regarding the suitability of any person to be a special guardian, 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;
(fa) any question asked by or on behalf of Her Majesty’s Chief Inspector of Education, Children’s Services and Skills in assessing a person’s suitability for registration as a childminder agency under Part 3 of the Childcare Act 2006, 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 4A permission.
The FCA, the PRA or the Bank of England.
2
(a)
A person in relation to whom an approval is given under section 59 of the 2000 Act (approval for particular arrangements).
The FCA, the PRA or the authorised person (within the meaning of section 31(2) of the 2000 Act) or the applicant for Part 4A permission who made the application for the approval of the appropriate regulator (within the meaning of section 59(4) of the 2000 Act) 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 FCA 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).
3A
(a)
The operator or depositary of an authorised contractual scheme (within the meaning of section 237(3) of the 2000 Act).
The FCA.
(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 FCA, the PRA or the open-ended investment company mentioned in the first column.
(b)
An associate of that 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 FCA, the PRA or the collective investment scheme mentioned in the first column.
6.
An associate of a UK recognised investment exchange , recognised clearing house or recognised CSD.
The FCA, the PRA, the Bank of England or the investment exchange , clearing house or CSD mentioned in the first column.
7.
A controller of a person with Part 4A permission.
The FCA, the PRA or the person with Part 4A 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).
The FCA or the PRA.
(b)
An associate of the person (whether or not an individual) mentioned in sub-paragraph (a).
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 FCA, the PRA or the Bank of England.
The FCA, the PRA or the Bank of England.
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 FCA for listing under section 74 of the 2000 Act.
The FCA.
12.
A sponsor (within the meaning of section 88(2) of the 2000 Act).
The FCA.
13.
(a)
A Primary information provider (within the meaning of section 89P of the 2000 Act).
The FCA or the PRA.
(b)
An associate of the person (whether or not an individual) mentioned in sub-paragraph (a).
In the case of a person mentioned in sub-paragraph (2) of the first column, the person mentioned in sub-paragraph (1) of that column.
14.
An associate of a person who has a Part 4A 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 4A 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)
A member of a UK recognised investment exchange , recognised clearing house or recognised CSD.
The UK recognised investment exchange , recognised clearing house or recognised CSD specified in the first column.
(b)
An associate of the person (whether or not an individual) mentioned in sub-paragraph (a).
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.
17
A director or person responsible for the management of the electronic money or payment services business of an electronic money institution.
The FCA.
18
A controller of an electronic money institution.
The FCA.
19
A director or a person responsible for the management of an authorised payment institution , a registered account information service provider or a small payment institution.
The FCA.
20
A person responsible for the management of payment services provided, or to be provided, by an authorised payment institution , a registered account information service provider or a small payment institution.
The FCA.
21
A controller of an authorised payment institution , a registered account information service provider or a small payment institution.
The FCA.
(h) any question asked by or on behalf of the Gambling 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 Social Care Wales for the purpose of determining whether or not to grant an application for registration under Part 4 of the Regulation and Inspection of Social Care (Wales) Act 2016, 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) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(ja) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(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 Disclosure and Barring Service 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;
(o) any question asked by or on behalf of any body which is a licensing authority within the meaning of section 73(1) of the Legal Services Act 2007 (licensing authorities and relevant licensing authorities) where—
(i) it is asked in order to assess whether, for the purposes of Schedule 13 to that Act (ownership of licensed bodies), the approval requirements are met in relation to a person’s holding of a restricted interest in a licensed body; and
(ii) 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;
(p) any question asked by or on behalf of a person who seeks to employ or engage a self-employed person or a person as a personal employee, in order to assess the suitability of the person to whom the question relates for any work specified in paragraph 12A, 14A or 14AA of Part 2 of Schedule 1.
(2) Paragraph (1) does not apply in relation to a protected caution or a protected conviction.

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Source: https://www.legislation.gov.uk/uksi/1975/1023/article/3 (the official version)
Page: https://openlegislation.uk/rehabilitation-of-offenders-act-1974-exceptions-order-1975/article-3
Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.