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The Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021

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Point in time view as at 18/12/2021.

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There are currently no known outstanding effects for the The Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021, PART 5. Help about Changes to Legislation

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PART 5E+WOffences, proceedings and information

Offences and penaltiesE+W

19.—(1) A person (“P”) commits an offence where—

(a)without reasonable excuse P contravenes a requirement in regulation 3 (requirement to provide information);

(b)without reasonable excuse P contravenes a requirement in [F1regulation 3ZA] (requirement to possess notification of negative test result);

(c)without reasonable excuse P contravenes a requirement in [F2regulations 3J (testing requirements on eligible travellers (non-workers)) F3... or 6] (requirement to book and undertake tests);

(d)without reasonable excuse P contravenes a requirement in regulation 7 (requirement to undertake workforce tests);

(e)without reasonable excuse P contravenes a requirement in regulation 8 (requirement for offshore installation workers to take tests);

(f)P contravenes a requirement in regulation 9 (requirement to self-isolate) [F4or 3K(1) except where regulation 3K(6), (7) or (8) applies to P];

(g)without reasonable excuse P contravenes a requirement in or imposed under regulation 11 (enforcement of requirement to self-isolate) apart from paragraph (2) of that regulation;

(h)without reasonable excuse P contravenes a requirement in or imposed under regulation 11(2);

(i)without reasonable excuse P contravenes a requirement in paragraph 5 or 16(a), so far is it relates to paragraph 5, of Schedule 11 (requirement to possess managed self-isolation package);

[F5(iza)without reasonable excuse P contravenes a requirement in regulation 2A of the Self-Isolation Regulations as that regulation applies to P by virtue of paragraph 3(2A) of Schedule 8;]

[F6(ia)without reasonable excuse P contravenes a requirement in paragraph 16(aa) of Schedule 11 (requirement for responsible adult to quarantine with child);]

[F7(ib)without reasonable excuse P contravenes a requirement in paragraph 18A of Schedule 11 (requirement to provide contact details);

(ic)without reasonable excuse P contravenes a requirement in paragraph 18B of Schedule 11 (requirement to self-isolate with P);

(id)without reasonable excuse P contravenes a requirement in paragraph 18C of Schedule 11 (requirement on employers of self-isolating workers);]

(j)P contravenes any other requirement in Schedule 11 (except paragraph 15); or

(k)without reasonable excuse P contravenes a requirement in paragraph 4 of Schedule 9 (employers' obligations relating to workforce tests).

(2) But P does not commit an offence where P contravenes a requirement in—

(a)paragraph (1), (2), (3) or (4) of [F8regulation 3ZA], if P reasonably believed at the time of the contravention that the notification of a negative result was valid and from a qualifying test;

(b)regulation 9 in the circumstances described in paragraph (9)(d), (10)(f), (13)(j) or (16) of that regulation, if P reasonably believed at the time of the contravention that the test was an appropriate test (within the meaning given in paragraph 2 of Schedule 10); or

[F9(c)Schedule 11—

(i)in paragraph 3, if P enters England at a place other than a designated port in the circumstances specified in regulation 18(2), or

(ii)in paragraphs 5 to 7 or 10, if accommodation or transport booked is no longer available for reasons beyond the P’s control.]

(3) For the purposes of paragraph (1)(b), reasonable excuses include, in particular, where—

(a)P was medically unfit to provide a sample for a qualifying test and possessed a document, in English or accompanied by a certified English translation, signed by a medical practitioner entitled to practise in the country or territory in which that practitioner was based, to that effect;

(b)it was not reasonably practicable for P to obtain a qualifying test due to a disability;

(c)P required medical treatment with such urgency that obtaining a qualifying test was not reasonably practicable;

(d)P contracted coronavirus and required emergency medical treatment;

(e)P was accompanying, in order to provide support, whether medical or otherwise, a person described in sub-paragraph (c) or (d) where it was not reasonably practicable for P to obtain a qualifying test;

(f)P began the journey to England in a country or territory in which a qualifying test was not available to the public, with or without payment, or in which it was not reasonably practicable for P to obtain a qualifying test due to a lack of reasonable access to a qualifying test or testing facility and it was not reasonably practicable for P to obtain a qualifying test in P's last point of departure if this was different to where P began the journey;

(g)the time it has taken P to travel from the country or territory where P began the journey to the country or territory of their last point of departure prior to arriving in England meant that it was not reasonably practicable for P to meet the requirement in paragraph 1(c) of Schedule 7, and it was not reasonably practicable for P to obtain a qualifying test in P's last point of departure [F10;

(h)P undertook a qualifying test on board the cruise ship on which P arrived in England, the result of that test was positive, and it was not reasonably practicable for P to disembark in a country or territory other than England].

(4) For the purposes of paragraph (1)(c)—

(a)reasonable excuses for contravening [F11regulations 3J(2), (3) or (4) or 6(3), (4), or (5)] include, in particular, where—

(i)it was not reasonably practicable for P to book a test due to a disability,

(ii)P reasonably considered before arriving in England that it would not be reasonably practicable for P (or, as the case may be, the child for whom P has responsibility) to provide a sample for a test in accordance with [F12regulation 3J or 6] due to a disability,

(iii)P required medical treatment with such urgency that booking a test was not reasonably practicable,

(iv)P was accompanying, in order to provide support, whether medical or otherwise, a person described in paragraph (i) or (iii) where it was not reasonably practicable for P to book a test,

(v)P began the journey to England in a country or territory in which P did not have reasonable access to the facilities or services required to book a test, with or without payment, and such facilities or services were not reasonably accessible in P's last point of departure if this was different to where P began the journey;

(b)reasonable excuses for contravening [F13regulations 3J(6) or (7) F14... or 6(6)] include, in particular, where—

(i)it is not reasonably practicable for P to undertake a test due to a disability,

(ii)P requires medical treatment with such urgency that undertaking a test is not reasonably practicable,

(iii)a test is cancelled for reasons beyond P's control,

(iv)P has left England in accordance with regulation 9(11)(b), or left the common travel area in accordance with paragraph 13(a) of Schedule 11.

(5) For the purposes of paragraph (1)(d), reasonable excuses for contravening regulation 7 include, in particular, where—

(a)it is not reasonably practicable for P to undertake a test due to a disability;

(b)P requires medical treatment with such urgency that undertaking a test is not reasonably practicable;

(c)a test is cancelled for reasons beyond P's control;

(d)P has left England;

(e)P is employed as air crew and is undertaking a rest period for a continuous, uninterrupted and defined period of time, following duty or prior to duty, during which P is free of all duties, standby or reserve (and for these purposes, “duties” “standby” and “reserve” have the meanings given in paragraph ORO.FTL.105 of Commission Regulation (EU) No. 965/2012).

[F15(5A) For the purposes of paragraph (1)(ic), reasonable excuses for contravening paragraph 18B (requirement to self-isolate with P) of Schedule 11 include, in particular, where it is necessary for the person (“B”) to leave the place where they are self-isolating—

(a)to seek medical assistance where this is required urgently or on the advice of a registered medical practitioner including to access services from dentists, opticians, audiologists, chiropodists, chiropractors, osteopaths and other medical or health practitioners, including services relating to mental health;

(b)to access veterinary services, where this is required urgently or on the advice of a veterinary surgeon;

(c)to fulfil a legal obligation, including attending court or satisfying bail conditions, or to participate in legal proceedings;

(d)to escape a risk of harm or to avoid injury or illness;

(e)to attend a funeral of B’s household or a close family member;

(f)to obtain basic necessities, such as food and medical supplies for those in the accommodation (including any pets or animals in the accommodation) where it is not possible to obtain these provisions in any other manner;

(g)to access critical public services, including—

(i)social services;

(ii)services provided to victims (such as victims of crime);

(h)to attend a testing site to take a test for the detection of coronavirus;

(i)to accompany a child (“C”) for whom B is a responsible adult to a testing site, so that C can take a test for the detection of coronavirus;

(j)to post a completed home test for the detection of coronavirus or antibodies to coronavirus carried out by B, or any person living in the same household as B, in accordance with the postal testing scheme operated on behalf of the Secretary of State.]

(6) A person who intentionally or recklessly provides false or misleading passenger information, except for reasons of national security, commits an offence.

[F16(6A) A person (“P”) who knowingly gives false information pursuant to any relevant provision of the Self-Isolation Regulations as it applies to P by virtue of paragraph 3(2A) of Schedule 8 commits an offence.

(6B) For the purposes of paragraph (6A), the relevant provisions of the Self-Isolation Regulations are—

(a)regulation 2A(2)(b);

(b)regulation 2A(3)(b);

(c)regulation 2A(7).]

(7) An operator commits an offence where it fails to comply with the requirements in—

(a)regulation 13(1);

(b)regulation 16(1);

(c)regulation 17(1); F17...

[F18(ca)regulation 17A(1);

(cb)regulation 17A(3); or]

(d)regulation 18(1).

(8) In relation to the offence in paragraph (7)(a) and the requirement to provide information at the times set out in regulation 13(2)(a), (b) or (c) it is a defence if the operator can demonstrate that—

(a)the booking or check-in process was not managed directly by the operator; and

(b)the operator took reasonable steps to ensure that the person managing the process would provide the required information at that time and in the required manner.

[F19(9) In relation to the offence in paragraph (7)(b), it is a defence—

(a)for an operator alleged to have failed to ensure that a passenger has completed a Passenger Locator Form, to show that they recorded a unique passenger reference number for the relevant passenger; or

(b)for an operator alleged to have failed to ensure that a passenger possesses evidence of eligibility for an exemption claimed in a Passenger Locator Form, to show that the passenger presented a document purporting to be appropriate evidence which the operator, or a person acting on behalf of the operator, could not reasonably have been expected to know was not appropriate evidence,

before that passenger presented at immigration control at the Channel Tunnel shuttle terminal area or boarded the relevant service, as the case may be.]

[F20(10) In relation to the offence in paragraph (7)(c), it is a defence for an operator to show that—

(a)the relevant passenger presented a document purporting to be a required notification which the operator, or a person acting on behalf of the operator, could not reasonably have been expected to know was not a required notification, or

(b)the relevant passenger undertook a qualifying test on board the vessel on which the relevant passenger arrived in England, the result of that test was positive, and it was not reasonably practicable for the relevant passenger to disembark in a country or territory other than England.]

[F21(10A) In relation to the offence in paragraph (7)(ca), it is a defence for the operator to show that a passenger presented a document purporting to be the required evidence which the operator, or a person acting on behalf of the operator, could not reasonably have been expected to know was not the required evidence.

(10B) In relation to the offence in paragraph (7)(cb) it is a defence for the operator to show that it was not reasonably practicable to have the processes and systems in place at the relevant time.]

(11) In relation to the offence in paragraph (7)(d), it is a defence for an operator to show that the operator, or a person acting on behalf of the operator, could not have reasonably been expected to know that a passenger was a Schedule 11 passenger.

(12) If, following the coming into force of any provision which amends the information required to be provided by regulation 14, an operator provides information to a passenger that would have complied with the requirements in regulation 13(1) but for the coming into force of that amending provision, it is a defence for the operator to show that it was not reasonably practicable for the amended information to be provided.

(13) An operator who, without reasonable excuse, fails to comply—

(a)with the requirement to keep records in regulation 15(1); or

(b)with a request under regulation 15(2) to provide records or information within the period specified for the purposes of regulation 15(3),

commits an offence.

[F22(13A) An operator who without reasonable excuse fails to comply—

(a)with the requirement to keep records in regulation 17A(4); or

(b)with a request under regulation 17A(5) to provide [F23records and information] within the period specified for the purposes of regulation 17A(6),

commits an offence.]

[F24(13B) A person who, without reasonable excuse, contravenes a requirement in—

(a)regulation 18A(1) F25... or (2) (requirements on test providers); or

(b)regulation 18B(1) (requirements on other persons carrying out testing services),

commits an offence.]

(14) A person who, without reasonable excuse, wilfully obstructs any person carrying out a function under these Regulations commits an offence.

(15) An offence under paragraph (13) is punishable on summary conviction by a fine not exceeding level 4 on the standard scale.

(16) An offence under these Regulations apart from under paragraph (13) is punishable on summary conviction by a fine.

(17) Section 24 of the Police and Criminal Evidence Act 1984 M1 applies in relation to an offence under this regulation as if the reasons in subsection (5) of that section included—

(a)to maintain public health;

(b)to maintain public order.

(18) In paragraph (9), “unique passenger reference number” means a reference number which has been provided by or on behalf of a passenger and which includes the letters “UKVI” followed immediately by an underscore and thirteen alphanumeric characters.

(19) In paragraphs (9) and [F26(10)], “relevant passenger” means a passenger who fails, without reasonable excuse—

(a)to provide evidence of having provided passenger information when requested to do so by an immigration officer pursuant to regulation 3(7); or

(b)to produce a valid notification of a negative result from a qualifying test when requested to do so by an immigration officer pursuant to [F27regulation 3ZA](4).

Textual Amendments

Commencement Information

I1Reg. 19 in force at 17.5.2021 at 4.00 a.m., see reg. 1(2)

Marginal Citations

M11984 c. 60. Section 24 was substituted by section 110(1) of the Serious Organised Crime and Police Act 2005 (c. 15).

Fixed penalty noticesE+W

20.—(1) An authorised person may issue a fixed penalty notice to any person that the authorised person has reasonable grounds to believe—

(a)has committed an offence specified in regulation 19; and

(b)if an individual, is aged 18 or over.

(2) A fixed penalty notice is a notice offering the person to whom it is issued the opportunity of discharging any liability to conviction for the offence by payment of a fixed penalty to the designated officer.

(3) Where a person is issued with a notice under this regulation in respect of an offence—

(a)no proceedings may be taken for the offence before the end of the period of 28 days following the date of the notice;

(b)the person may not be convicted of the offence if the person pays the fixed penalty before the end of that period.

(4) A fixed penalty notice must—

(a)give reasonably detailed particulars of the circumstances alleged to constitute the offence;

(b)state the period during which (because of paragraph (3)(a)) proceedings will not be taken for the offence;

(c)specify the amount of the fixed penalty in accordance with Schedule 14;

(d)state the name and address of the person to whom the fixed penalty may be paid; and

(e)specify permissible methods of payment.

(5) Subject to paragraph (7), whatever other method may be specified under paragraph (4)(e), payment of a fixed penalty may be made by pre-paying and posting to the person whose name is stated under paragraph (4)(d), at the stated address, a letter containing the amount of the penalty (in cash or otherwise).

(6) Where a letter is sent as described in paragraph (5), payment is regarded as having been made at the time at which that letter would be delivered in the ordinary course of post.

(7) Paragraph (5) does not apply in the case of—

(a)an offence under regulation 19(7); or

(b)and offence under regulation 19(14) (obstruction) in relation to an offence under regulation 19(7).

(8) In any proceedings, a certificate that—

(a)purports to be signed by or on behalf of the designated officer; and

(b)states that the payment of a fixed penalty was, or was not, received by the date specified in the certificate,

is evidence of the facts stated.

(9) For the purposes of this regulation—

(a)other than in relation to an operator offence [F28or a test provision offence], “authorised person” means—

(i)a constable,

(ii)an immigration officer, but only in relation to the issue of a fixed penalty notice in respect of an information offence or an offence described in regulation 19(1)(a), (b), (c), (g), (h), (i), (j), (5) and (6), or

(iii)a person designated by the Secretary of State for the purposes of this regulation;

(b)in relation to an operator offence, “authorised person” means—

(i)in relation to passengers arriving by sea, the Secretary of State for Transport,

(ii)in relation to passengers arriving by air, the Civil Aviation Authority,

(iii)in relation to passenger arriving by rail, the Office of Rail and Road;

[F29(ba)in relation to a test provision offence, “authorised person” means the local authority in whose area the offence is alleged to have been committed and for the purposes of this sub-paragraph—

(i)the reference to “local authority” includes a reference to a county council;

(ii)a county council for an area for which there is also a district council is to be regarded, with respect to its functions under this regulation, as a relevant health protection authority for the purposes of the Public Health (Control of Disease) Act 1984;]

(c)the designated officer” means—

(i)in relation to an offence other than an operator offence [F30or a test provision offence], an officer designated by the Secretary of State for the purposes of this regulation,

(ii)in relation to an operator offence [F31or a test provision offence], the authorised person;

(d)operator offence” means an offence—

(i)under regulation 19(7),

(ii)under regulation 19(13), F32...

[F33(iia)under regulation [F3419(13A)], or]

(iii)under regulation 19(14) (obstruction) in relation to a function relating to an offence under regulation 19(7);

[F35(e)“test provision offence” means an offence—

(i)under regulation 19(13B), or

(ii)under regulation 19(14) in relation to a function relating to an offence under regulation 19(13B)]

Textual Amendments

Commencement Information

I2Reg. 20 in force at 17.5.2021 at 4.00 a.m., see reg. 1(2)

ProsecutionsE+W

21.—(1) Proceedings for an offence under these Regulations, apart from an operator offence [F36or a test provision offence], may be brought by the Crown Prosecution Service and any person designated by the Secretary of State.

(2) Proceedings for an operator offence [F37or a test provision offence] may be brought by an authorised person.

(3) In this regulation—

[F38(a)“authorised person”—

(i)in relation to an operator offence, has the meaning given by regulation 20(9)(b);

(ii)in relation to a test provision offence, has the meaning given by regulation 20(9)(ba);]

(b)operator offence” means an offence—

(i)under regulation 19(7),

(ii)under regulation 19(13),

[F39(iia)regulation 19(13A),]

(iii)under regulation 19(14) (obstruction) in relation to a function relating to an offence under regulation 19(7), or

[F40(iv)under paragraph 6 or 7(3) of Schedule 13;]

[F41(c)“test provision offence” has the meaning given by regulation 20(9)(e)]

Power to use and disclose informationE+W

22.—(1) This regulation applies to a person (“A”) who holds information described in paragraph (2) (“relevant information”), including where A holds that information as a result of disclosure made in accordance with paragraph (4).

(2) The information referred to in paragraph (1) is—

(a)information provided on the Passenger Locator Form;

(b)DA information received for a purpose described in paragraph (4)(a)(i);

(c)the result of any test undertaken in accordance with Schedule 10 and any information A obtained under paragraph 4(b) or (c) of that Schedule;

(d)where a person (“P”) is required to self-isolate under these Regulations—

(i)the details of any such period of self-isolation (including the start and end dates of that period and the reason it was imposed),

(ii)a copy of any notice given to P which contains information about the requirement to self-isolate,

(iii)information generated where P books, or attempts to book, accommodation as part of a managed self-isolation package,

(iv)the details of any location in which P undertakes any period of managed self-isolation (including the name and address of the location),

(v)information relating to P obtained by A in the course of providing accommodation [F42to P] pursuant to a managed self-isolation package (including P's room number, the personal details of any of P's co-habitants, and the details of any absence of P, authorised or otherwise, from the place where P is self-isolating),

(vi)information relating to P obtained by A in the course of providing transport to a location at which P undertakes, or is due to undertake, any period of managed self-isolation,

(vii)information relating to P obtained by A in the course of providing any service in connection with a managed self-isolation package;

(e)where P is required to obtain [F43a test or a testing package or undertake a test under regulations 3J or 6] or Schedule 8—

(i)information generated where P books, or attempts to book, a [F44test or a testing package for the purposes of regulations 3J or 6],

(ii)a copy of any notice given to P which contains information about the requirement to book a [F45test or a testing package] or to undertake a test,

(iii)information A obtained under paragraph 10(3) or (4) of Schedule 8,

(iv)the results of a test undertaken by P in accordance with Schedule 8 (whether or not that test was provided as part of a testing package),

(v)information obtained by A in the course of providing a test that falls within paragraph (iv) and is undertaken, or in the course of arranging for such a test to be undertaken, by P (including confirmation that the test was undertaken, details of when and where it was undertaken, any reasons for a test not be being undertaken and the details of any replacement test to be undertaken);

(f)information provided to an immigration officer pursuant to regulations [F463(7), 3ZA(4)] or 6(11);

(g)where a sample taken in respect of a day 2 test under [F47regulations 3J or 6] has been sequenced, the sorted BAM file relating to that sample containing all reads aligning to the SARS-CoV-2 reference genome with unaligned and human reads removed;

(h)information provided by, or on behalf of, A by way of explanation for failing to comply with regulation 3, [F483ZA, 3J, 3K] or 6, or paragraph 3 of Schedule 8; or

(i)information about any steps taken in relation to A, including details of any fixed penalty notice issued under these Regulations.

(3) A may only use relevant information where it is necessary—

(a)for the purpose of carrying out a function under these Regulations;

(b)for the purpose of—

(i)preventing danger to public health as a result of the spread of infection or contamination with coronavirus or coronavirus disease,

(ii)monitoring the spread of infection or contamination with coronavirus or coronavirus disease, or

(iii)giving effect to any international agreement or arrangement relating to the spread of infection or contamination with coronavirus or coronavirus disease; or

(c)for a purpose connected with, or otherwise incidental to, a purpose described in sub-paragraph (a) or (b).

(4) Subject to paragraph (7), A may only disclose relevant information to another person (the “recipient”) where it is necessary for the recipient to have the information —

(a)for the purpose of carrying out a function of the recipient under—

(i)these Regulations, or

(ii)an enactment which, in Scotland, Wales or Northern Ireland, has the effect of requiring the isolation or quarantine of persons who have been outside the common travel area, for any of the purposes described in sub-paragraph (b);

(b)for the purpose of—

(i)preventing danger to public health as a result of the spread of infection or contamination with coronavirus or coronavirus disease,

(ii)monitoring the spread of infection or contamination with coronavirus or coronavirus disease, or

(iii)giving effect to any international agreement or arrangement relating to the spread of infection or contamination with coronavirus or coronavirus disease; or

(c)for a purpose connected with, or otherwise incidental to, a purpose described in sub-paragraph (a) or (b).

(5) A constable or a person responsible for arranging or providing services (including security services) in respect of accommodation as part of a managed self-isolation package may, where necessary for the purpose of carrying out a function under these Regulations, request [F49from P] the following information—

(a)confirmation that P possesses a testing package for the purposes of regulation 6 and the details of that testing package (including the time and date of the tests);

(b)confirmation that P has undertaken any test in accordance with a testing package and, if not, an account of the reasons;

(c)the result of any test P has undertaken in accordance with a testing package.

(6) Subject to paragraph (8), disclosure which is authorised by this regulation does not breach—

(a)an obligation of confidence owed by the person making the disclosure; or

(b)any other restriction on the disclosure of information (however imposed).

(7) This regulation does not limit the circumstances in which information may otherwise lawfully be disclosed under any other enactment or rule of law.

(8) Nothing in this regulation authorises the use or disclosure of personal data where doing so contravenes the data protection legislation.

(9) For the purposes of this regulation—

(a)data protection legislation” and “personal data” have the same meanings as in section 3 of the Data Protection Act 2018 M2;

(b)DA information” means information provided in accordance with, or as described in, an enactment which, in Scotland, Wales or Northern Ireland, has the effect of requiring the isolation or quarantine of persons who have been outside the common travel area, for any of the purposes described in paragraph (3)(b);

(c)managed self-isolation” means self-isolation in accordance with Schedule 11.

Textual Amendments

Commencement Information

I4Reg. 22 in force at 17.5.2021 at 4.00 a.m., see reg. 1(2)

Marginal Citations

M22018 c. 12; relevant amendments to the definition of “data protection amendment” were made by S.I. 2019/419.

Self-incriminationE+W

23.—(1) Information provided by a person in accordance with, or as described in, regulation 3 may be used in evidence against the person, subject to paragraphs (2) to (4).

(2) In criminal proceedings against the person—

(a)no evidence relating to the information may be adduced by or on behalf of the prosecution; and

(b)no question relating to the information may be asked by or on behalf of the prosecution.

(3) Paragraph (2) does not apply if the proceedings are for—

(a)an offence under these Regulations;

(b)an offence under section 5 of the Perjury Act 1911 (false statements made otherwise than on oath) M3;

(c)an offence under section 1 of the Fraud Act 2006 (fraud) M4.

(4) Paragraph (2) does not apply if, in the proceedings—

(a)evidence relating to the information is adduced by or on behalf of the person who provided it; or

(b)a question relating to the information is asked by or on behalf of that person.

Commencement Information

I5Reg. 23 in force at 17.5.2021 at 4.00 a.m., see reg. 1(2)

Marginal Citations

M31911 c. 6. Section 5 was amended by section 1(2) of the Criminal Justice Act 1948 (c. 58).

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