Statutory Rule 2001 No. 400

      The Rehabilitation of Offenders (Exceptions) (Amendment) (No. 2) Order (Northern Ireland) 2001

      © Crown Copyright 2001

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STATUTORY RULES OF NORTHERN IRELAND

2001 No. 400

REHABILITATION OF OFFENDERS

The Rehabilitation of Offenders (Exceptions) (Amendment) (No. 2) Order (Northern Ireland) 2001

  Made 7th November 2001 
  To be laid before Parliament
  Coming into operation 1st December 2001 

The Secretary of State, in pursuance of Articles 5(4) and 8(4) of the Rehabilitation of Offenders (Northern Ireland) Order 1978[1], hereby makes the following Order:

Citation, commencement and extent
     1.  - (1) This Order may be cited as the Rehabilitation of Offenders (Exceptions) (Amendment) (No. 2) Order (Northern Ireland) 2001 and comes into operation on 1st December 2001.

    (2) In this Order "the 1978 Order" means the Rehabilitation of Offenders (Northern Ireland) Order 1978

    (3) In this Order "the 1979 Order" means the Rehabilitation of Offenders (Exceptions) Order (Northern Ireland) 1979[2].

Amendment of the 1979 Order
     2. The Rehabilitation of Offenders (Exceptions) Order (Northern Ireland) 1979 ("the 1979 Order") is amended in accordance with the following provisions of this Order.

Amendment of article 1 of the 1979 Order
     3.  - (1) In article 1(2) (Interpretation), there is inserted, in the appropriate alphabetical position - 

    "administration of justice offence" means - 

    (a) the offence of perverting the course of justice,

    (b) any offence under Article 47 of the Criminal Justice (Northern Ireland) Order 1996 (intimidation etc. of witnesses, jurors and others)[4],

    (c) an offence under Articles 3, 7, 11 or 12 of the Perjury (Northern Ireland) Order 1979[5],

or any offence committed under the law of any part of the United Kingdom (other than Northern Ireland) or of any other country where the conduct which constitutes the offence would, if it all took place in Northern Ireland, constitute one or more of the offences specified by paragraph (a) to (c);";

    "associate", in relation to a person ("A"), means someone who is a controller, director or a manager of A or, where A is a partnership, any partner of A;";

    "collective investment scheme" has the meaning given by section 235 of the 2000 Act;";

    "the competent authority for listing" means the competent authority for the purposes of Part VI of the 2000 Act (listing);";

    "controller" has the meaning given by section 422 of the 2000 Act;";

    "Council of Lloyd's" means the council constituted by section 3 of Lloyd's Act 1982[6];"

    "director" has the meaning given by section 417 of the 2000 Act;";

    "key worker", in relation to any body ("A") means any individual who is likely, in the course of the duties of his office or employment - 

    (a) where A is the Authority, to play a significant role in the decision making process of the Authority in relation to the exercise of the Authority's public functions (within the meaning of section 349(5) of the 2000 Act) under any provision of the 2000 Act other than Part VI, or to support directly such a person;

    (b) where A is the competent authority for listing, to play a significant role in the decision making process of the competent authority for listing in relation to the exercise of its functions under Part VI of the 2000 Act, or to support directly such a person;";

    "manager" has the meaning given by section 423 of the 2000 Act;";

    "open-ended investment company" has the meaning given by section 236 of the 2000 Act;";

    "Part IV permission" has the meaning given by section 40(4) of the 2000 Act;";

    "relevant collective investment scheme" means a collective investment scheme which is recognised under section 264 (schemes constituted in other EEA States), 270 (schemes authorised in designated countries or territories) or 272 (individually recognised overseas schemes) of the 2000 Act;";

    "trustee", in relation to a unit trust scheme, has the meaning given by section 237 of the 2000 Act;";

    "UK recognised clearing house" means a clearing house in relation to which a recognition order under section 290 of the 2000 Act, otherwise than by virtue of section 292(2) of that Act (overseas clearing houses), is in force;";

    "UK recognised investment exchange" means an investment exchange in relation to which a recognised order under section 290 of the 2000 Act, otherwise than by virtue of section 292(2) of that Act (overseas investment exchanges), is in force;".

    (2) In the definition of "relevant offence" - 

    (a) there is omitted the word "or" at the end of sub-paragraph (a);

    (b) in sub-paragraph (b), after "financial services,", there is inserted "money laundering,"; and

    (c) at the end of sub-paragraph (b), there is inserted - 

      " (c) an administration of justice offence; or

      (d) an offence committed (whether or not under the law of, or of any part of, the United Kingdom) in connection with, or in relation to, taxation for which a person of 21 years of age or over may be sentenced to imprisonment for a term of 2 years or more;".

    (3) The definition of "the Building Societies Commission" and the words from "the expressions "authorisation"" to the end of paragraph (1) are omitted.

Amendment of article 2 of the 1979 Order
     4.  - (1) This article amends article 2 of the 1979 Order (Exclusion of Article 5(2) of the 1978 Order).

    (2) Paragraph (ab) is omitted.

    (3) In paragraph (b), after "Civil Aviation Authority,", there is inserted "the Financial Services Authority".

    (4) After paragraph (f), there is inserted - 

Amendment of article 3 of the 1979 Order
     5. In article 3 of the 1979 Order, for paragraph (d) (exceptions from Article 5(3)(b) of the 1978 Order), there is substituted - 

      " (d) any decision by the Financial Services Authority - 

      by reason of, or partly by reason of, a spent conviction of an individual for a relevant offence, or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances;

      (e) any decision by the scheme operator (within the meaning of section 225 of the 2000 Act) of the Financial Ombudsman Service to dismiss, or not to appoint an individual as, an ombudsman (within the meaning of Schedule 17 to the 2000 Act) of the Financial Ombudsman Service by reason of, or partly by reason of, his spent conviction for a relevant offence, or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances;

      (f) any decision of the competent authority for listing - 

        (i) to refuse an application for listing under Part VI of the 2000 Act or to discontinue or suspend the listing of any securities under section 77 of that Act,

        (ii) to refuse to grant a person's application for approval as a sponsor under section 88 of the 2000 Act or to cancel such approval, or

        (iii) to dismiss, fail to promote or exclude a person from being a key worker of the competent authority for listing,

      by reason of, or partly by reason of, a spent conviction of an individual for a relevant offence, or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances;

      (g) any decision of anyone who is specified in any of sub-paragraphs 2 to 4 or 5 to 7 of the second column of the Table in Article 3(g), other than the authority, to dismiss an individual who has, or to fail to promote or exclude an individual who is seeking to obtain, the status specified in the corresponding entry in the first column of that table (but not, where applicable, the status of being an associate of another person), by reason of, or partly by reason of, a spent conviction of that individual or of his associate for a relevant offence, or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances;

      (h) any decision of anyone who is specified in sub-paragraphs 8(a), 14(a) or 16(a) of the second column of the Table in Article 3(g) to dismiss an individual who has, or to fail to promote or exclude an individual who is seeking to obtain, the status specified in the corresponding entry in sub-paragraph (b) of the first column of that Table (associate), by reason of, or partly by reason of, a spent conviction of that individual for a relevant offence, or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances;

        (i) any decision of the Council of Lloyd's - 

        (i) to refuse to admit any person as, or to exclude, an underwriting agent (within the meaning of section 2 of Lloyd's Act 1982), where that person has, or who has applied for, Part IV permission, or

        (ii) to dismiss, or to exclude a person from being, an associate of the Council of Lloyd's, by reason of, or partly by reason of, a spent conviction of an individual for a relevant offence, or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances;

      (j) any decision of a UK recognised investment exchange or UK recognised clearing house to refuse to admit any person as, or to exclude a member by reason of, or partly by reason of, a spent conviction of an individual for a relevant offence, or of any circumstances ancillary to such a conviction or of a failure (whether or not by that individual) to disclose such a conviction or any such circumstances.".

Amendment of article 4 of the 1979 Order
     6. For paragraph (2) of article 4 of the 1979 Order (exclusion of Article 5(1) of the 1978 Order), there is substituted - 

Revocations
     7. The following provisions of the 1979 Order are revoked - 


John Reid
One of Her Majesty's Principal Secretaries of State

Northern Ireland Office
7th November 2001.


EXPLANATORY NOTE

(This note is not part of the Order.)


This Order amends the Rehabilitation of Offenders (Exceptions) Order (Northern Ireland) 1979 (S.R. 1979 No. 195) ("the 1979 Order").

The amendments are made in consequence of the enactment of the Financial Services and Markets Act 2000. Article 4 amends article 2 of the 1979 Order to provide for exceptions from Article 5(2) of the Rehabilitation of Offenders (Northern Ireland) Order 1978 ("the 1978 Order") (questions relating to spent convictions). The exceptions apply to questions asked by specified persons (including the Financial Services Authority) to asses the suitability of an individual to have a specified status. For example, questions asked by the Financial Services Authority to assess the suitability of an individual to have permission under Part IV of the Financial Services and Markets Act 2000 are exempt from Article 5(2) of the 1978 Order. The question is only exempt to the extent that it relates to a relevant offence (defined in article 1 of the 1979 Order as amended by this Order).

Article 5 amends article 3 of the 1979 Order to provide exceptions from Article 5(3)(b) of the 1978 Order (use of spent convictions as ground for dismissing a person from an office etc.). By virtue of this Order, that provision of the 1978 Order does not apply to certain decisions, including decisions made by the Financial Services Authority and the competent authority for listing under the Financial Services and Markets Act 2000, taken by reason of, or partly by reason of, an individual's spent conviction for a relevant offence.

Article 6 amends article 4 of the 1979 Order (admission of evidence relating to spent convictions in proceedings) so as to provide an exemption for proceedings with respect to a decision (or proposed decision) of the kind exempted by article 3(d) to (j) of the 1979 Order (as amended by article 5 of this Order).

Article 7 revokes certain provisions of the 1979 Order.

Notes:

 [1] S.I. 1978/1908 (N.I. 27)back

[2] S.R. 1979 No. 195; amended by the Osteopaths Act 1993 (c. 21) section 39; the Chiropractors Act 1994 (c. 17), section 40; S.R. 1987 No. 393 and S.R. 2001 No. 248. The relevant provisions of the Osteopaths Act 1993 and the Chiropractors Act 1994 are repealed by section 133 of, and Schedule 10 to, the Police Act 1997 (c. 50); these repeals had not been brought into force at the time this Order was made.back

[3] 2000 c. 8back

[4] S.I. 1996/3160 (N.I. 24); amended by the Criminal Evidence (N.I.) Order 1999. Schedule 1 paragraph 5(1); this amendment had not been brought into force at the time this order was madeback

[5] S.I. 1979/1714 (N.I. 19); Article 12 repealed in part by the Schedule to the Criminal Attempts and Conspiracy (N.I.) Order 1983 (S.I. 1983/1120 (N.I. 13))back

[6] 1982 c. 14back

[7] S.I. 2001/1128back


ISBN 0 33794098 3


 


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 © Crown copyright 2001
Prepared 4 December 2001