The Police Act 1997 (Criminal Records) (Registration) Regulations (Northern Ireland) 2007

Statutory Instruments

2007 No. 3283

CRIMINAL LAW, NORTHERN IRELAND

The Police Act 1997 (Criminal Records) (Registration) Regulations (Northern Ireland) 2007

Made

19th November 2007

Laid before Parliament

26th November 2007

Coming into force

17th December 2007

The Secretary of State, in exercise of the powers conferred upon him by sections 120ZA, 120AA and 125 of the Police Act 1997(1) hereby makes the following Regulations:

Citation, commencement and extent

1.—(1) These Regulations may be cited as the Police Act 1997 (Criminal Records) (Registration) Regulations (Northern Ireland) 2007, and shall come into force on 17th December 2007.

(2) These regulations extend to Northern Ireland.

Interpretation

2.  In these Regulations—

“1997 Act” means the Police Act 1997;

“exempted question” means a question in relation to which the Rehabilitation of Offenders (Exceptions) (Northern Ireland) Order 1979(2) applies;

“prescribed purpose” means a purpose prescribed by the Secretary of State under section 113B(2) of the 1997 Act;

“register” means the register maintained by the Secretary of State for the purposes of Part V of the 1997 Act; and

“statutory office holder” means a person appointed to an office by virtue of any enactment.

The register

3.—(1) There shall be included in the register the following information:

(a) the name and address of each registered person and any telephone or facsimile number or electronic mailing address which has been notified to the Secretary of State for communication purposes;

(b) the date on which the name of that person was first listed in the register;

(c) the number assigned to that person on being listed;

(d) the nature of the exempted questions, if any, that that person is likely to ask;

(e) in the case of a registered body—

(i) whether that body is likely to countersign applications under section 113A or 113B of the 1997 Act at the request of bodies or individuals asking exempted questions and, if so, the nature of those questions;

(ii) the name and address of any individual for the time being nominated in accordance with regulation 4 below as being authorised to act for the body in relation to the countersigning of applications under Part V of the 1997 Act and any telephone or facsimile number or electronic mailing address which has been notified to the Secretary of State for communication purposes;

(iii) the date on which the name of that individual was first listed on the register;

(iv) the number assigned to that individual on being listed; and

(v) a specimen of the signature of that individual;

(f) in the case of each registered person who is a statutory office holder—

(i) the name and address of any individual for the time being nominated in accordance with regulation 4 below as being authorised to act for the statutory office holder in relation to the countersigning of applications under Part V of the 1997 Act and any telephone or facsimile number or electronic mailing address which has been notified to the Secretary of State for communications purposes;

(ii) the date on which the name of that individual was first listed on the register;

(iii) the number assigned to that individual on being listed; and

(iv) a specimen of the signature of that individual;

(g) in respect of each registered person other than a body, a specimen of any signature which will be used by that person for the purposes of countersigning applications under section 113A or 113B of the 1997 Act; and

(h) any additional information about the registered person which the Secretary of State may require.

Nomination of authorised individuals

4.—(1) A body or statutory office-holder applying for registration under section 120 of the 1997 Act(3) shall submit with the application the names of the individuals authorised to act for the body or statutory office-holder in relation to the countersigning of applications under Part V of the 1997 Act.

(2) A registered body and a registered person who is a statutory office-holder shall submit to the Secretary of State the names of any individuals so authorised after the registration of the body or the statutory office-holder, whether or not in substitution for any name previously submitted.

(3) The Secretary of State may refuse to accept, or to continue to accept, the nomination of an individual as so authorised if, in the opinion of the Secretary of State, that individual is not a suitable person to have access to information which has become, or is likely to become, available to him as a result of the registration of the body or the statutory office-holder which nominated him.

(4) In determining for the purposes of this regulation whether an individual is a suitable person to have access to any information, the Secretary of State may have regard, in particular, to the matters specified in section 120A(3) of the 1997 Act(3).

(5) Where the Secretary of State refuses to accept, or to continue to accept, the nomination of an individual under this regulation, he shall notify the body or the statutory office-holder concerned, and that body or statutory office-holder may submit the name of another individual in substitution.

Fee on application for inclusion in the register

5.  The fee payable by a person on application for inclusion in the register shall be £150.

Additional fees

6.—(l) There shall be payable by a registered person which is a body a fee of £10 in respect of the second and each subsequent name entered in the register in accordance with regulation 3(e)(ii) above.

(2) There shall be payable by a registered person which is a statutory office-holder a fee of £10 in respect of the second and each subsequent name entered in the register in accordance with regulation 3(f)(i) above.

Conditions attached to registration

7.  A person’s registration shall be subject to the following conditions:

(a) the fee payable under regulation 5 following inclusion in the register shall be invoiced to the person by the Secretary of State and payable at least 15 days prior to the end of the month following the invoice date;

(b) the fee payable under regulation 6(1) or 6(2) in respect of the second and each subsequent name entered in the register shall be invoiced by the Secretary of State to the person and payable at least 15 days prior to the end of the month following the invoice date;

(c) the fee payable in relation to an application under section 113A or 113B of the 1997 Act which is accompanied by a statement under section 113A(2)(b) or 113B(2)(b) of the 1997 Act shall be invoiced by the Secretary of State and payable at least 15 days prior to the end of the month following the invoice date;

(d) where a registered person has made a statement under section 113A(2)(b) or 113B(2)(b) of the 1997 Act in relation to an application for a criminal record certificate or an enhanced criminal record certificate, any charges levied in connection with the services it provides under Part V of the 1997 Act shall be—

(i) notified in writing to the Secretary of State who may publish details of any such charges in such manner as he thinks fit; and

(ii) set out in any documentation the registered person publishes which relates to the services it provides under Part V of the 1997 Act;

(e) prior to submitting an application for a criminal record certificate or an enhanced criminal record certificate to the Secretary of State, a registered person shall use all reasonable endeavours to ensure that—

(i) the mandatory data fields as specified administratively by the Secretary of State are completed on the form which will be prescribed in regulations to be made under Part V of the Police Act 1997 and that the data supplied is accurate;

(ii) the certificate is requested for an exempted question or prescribed purpose as the case may be; and

(iii) if the application for a criminal record certificate or an enhanced criminal record certificate is made by a volunteer, the applicant falls within the definition of a volunteer as prescribed in regulations to be made under Part V of the Police Act 1997;

(f) prior to making a statement under section 113A(2)(b) or 113B(2)(b) of the 1997 Act in relation to an application for a criminal record certificate or an enhanced criminal record certificate, a registered person or his authorised agent shall verify the identity of the applicant and in so doing comply with such conditions as the Secretary of State thinks fit and has notified to the registered person in writing;

(g) where a registered person uses the services of another person to verify the identity of applicants, the registered person shall—

(i) ensure the suitability of that person to conduct such checks;

(ii) submit details of that person to the Secretary of State;

(iii) inform the Secretary of State of any changes to the details of that person;

(iv) inform the Secretary of State when he ceases to employ the services of that person;

(v) provide appropriate training and guidance to that person in accordance with directions given by the Secretary of State; and

(vi) ensure that that person discharges his duties in accordance with such conditions as the Secretary of State thinks fit under paragraph (f) above;

(h) compliance with the code of practice for the time being in force under section 122 of the 1997 Act;

(i) compliance with any reasonable requests made by the Secretary of State for information required in order to consider the continuing eligibility and suitability of registered persons, and the eligibility and suitability of applicants for registered person status;

(j) any change to the details in the information recorded on the register shall be notified to the Secretary of State;

(k) any electronic system used by the registered person for the purposes of countersigning applications under sections 113A and 113B of the 1997 Act shall comply with such specifications as the Secretary of State may notify in writing to the registered body;

(l) in the event of the Secretary of State removing or suspending the registered person from the register, that person shall pay for any applications knowingly submitted after such removal or suspension.

8.—(1) It shall be a condition of a person’s registration that he shall allow a person authorised in writing for the purpose by the Secretary of State to enter any premises owned or occupied by any person appearing to him to be a registered person or an individual nominated in accordance with regulation 4 above, other than premises occupied exclusively for residential purposes as a private dwelling;

(2) A person authorised in writing for the purpose by the Secretary of State may require any person appearing to be a registered person or an individual nominated in accordance with regulation 4 above to produce to him any documents for the purposes of assessing whether the registered person or individual nominated in accordance with regulation 4 above has complied with the conditions of registration.

(3) A person exercising the power conferred by regulation 8(1) shall do so only at a reasonable hour.

(4) A person exercising the power conferred by regulation 8(1) shall comply with any reasonable request (whether before or after entry is gained to the premises) by any person present on the premises to do any one or more of the following—

(a) state the purpose for which the power is being exercised;

(b) show the authorisation by the Secretary of State for his exercise of the power; and

(c) produce evidence of his identity;

(5) A person exercising the power conferred by regulation 8(1) shall make a record of the date and time of his entry, the period for which he remained there and his conduct while there.

(6) If the person exercising the power conferred by regulation 8(1) is requested to do so by any person present on the premises at the time of entry, he shall provide that person with a copy of the record made under paragraph (5).

9.  The Secretary of State may remove from the register any registered person who fails to comply with the conditions set out in regulations 7 and 8 above.

Limit on number of countersignatures

10.—(1) The Secretary of State may refuse to accept a registered body’s or statutory officeholder’s nomination of a person to countersign any applications under Part V of the 1997 Act if the maximum number of names for that registered body or statutory office-holder are already registered.

(2) For the purposes of paragraph (1) above, the maximum number of names for a registered body or statutory office-holder is that specified administratively by the Secretary of State.

(3) Where more than the maximum number of names have been registered, the Secretary of State may remove from the register such number of names as is necessary to bring the registered body’s or statutory office-holder’s number of registered names to the maximum number permitted.

Registration application form

11.  Applications to register shall be made on the form prescribed in the Schedule to these regulations or one to like effect.

Paul Goggins

Minister of State

Northern Ireland Office

19.11.07

SCHEDULE

Explanatory Note

(This note is not part of the Regulations)

These regulations are made under sections 120ZA, 120AA and 125 of the Police Act 1997 (the “Act”), and come into force on 17th December 2007. Regulation 3 sets out the information to be included in the register maintained by the Secretary of State under section 120 of the Act.

Regulation 4 sets out the procedure for the nomination of authorised individuals in relation to the countersigning of applications under Part V of the Act. A body or statutory office holder which has registered person status must submit names of those persons who are authorised to countersign applications for criminal record and enhanced criminal record certificates.

Regulation 5 sets out the fee payable on application for inclusion in the register.

Regulation 6 sets out additional fees which are payable by a registered person which is a body or a statutory office-holder for inclusion in the register of a second and each subsequent name of those authorised to countersign applications under Part V of the Act.

Regulation 7 sets out conditions which are attached to registration. These include requirements as to the payment of fees, the publication of details of charges levied, ensuring the accuracy of the information detailed on the disclosure application form, verification of the identity of the applicant prior to making an application for a criminal record or an enhanced criminal record certificate, compliance with the code of practice, suitability of electronic systems used, and the number of applications which must be signed.

Regulation 8 provides that registered persons and countersignatories must allow the Secretary of State access to their premises in order for an assessment of compliance with the conditions attached to registration to take place.

Regulation 10 sets out the limit on the number of countersignatories, and provides that the Secretary of State may refuse to accept the nomination of an authorised person of a countersignatory if the maximum number is already registered. It also allows the Secretary of State to remove countersignatories from the register.

Regulation 11 provides that the application form contained in Schedule 1 to these regulations or one to like effect, must be used when applying for registration.

A full regulatory impact assessment of the effect that this instrument will have on the costs of business is available from the Northern Ireland Office, Castle Buildings, Stormont Estate, Belfast.

(1)

1997 c. 50; sections 120ZA and 120AA were inserted by section 328 of, and paragraphs 1, 7 and 9 of Schedule 35 to, the Criminal Justice Act 2003 (c. 44).

(2)

S.R. 1979 No. 195 (as amended)

(3)

1997 c. 50; section 120 was amended by section 134(3) and (4) of the Criminal Justice and Police Act 2001 (c. 16)