Information about our investigations
This section is about how we investigate concerns about social service workers, what information we need and what we expect you to do. You can also find out about the decisions we can make and accepting or not accepting a sanction or condition.
There are three stages to our investigation.
- Initial screening and risk assessment.
- Investigation and decision.
For more information about our investigation please see Factsheet 1 Investigation for Registered Workers or see Factsheet 2 Investigation Workers Applying Registration.
Screening means that we review information we receive about a worker to decide if we need to investigate. We may need to make further enquiries.
If we decide that the information provided does not affect your fitness to practise, then we will take no further action and close the case. Where the information does raise a concern, we will open a case and allocate it to a caseholder.
For more information about our investigation please see Factsheet 1 Investigation for Registered Workers or Factsheet 2 Investigation Workers Applying Registration.
If the information relates to a registered worker, we will also carry out a risk assessment. If the case is assessed as high risk, it is passed to a solicitor who may refer it to a Fitness to Practise Panel Hearing to consider a Temporary Order. For more information see Factsheet 6 Temporary Orders Hearings.
We may gather further information from a variety of different sources.
In every case, we will contact:
- you to explain any allegations and may ask for your comments
- your current or most recent employer
- any other person or body we think should be informed if we consider it necessary for the protection of the public, or is in the public interest.
During our investigation, we may contact:
- witnesses who may include the complainant (the person who made the complaint), people who use services, employers/higher education institutions and colleagues
- the Scottish Court Service
- the Crown Office and Procurator Fiscal Service
- the police or other public bodies
- health professionals involved in your care.
This depends on the type of case. We may request:
- investigation/disciplinary paperwork, including statements, hearing minutes, interviews and relevant polices from an employer
- information about any other concerns about your fitness to practise or for an assessment of your performance
- confirmation of criminal convictions, or more information relating to police investigations
- reports from an employer, general practitioner or other health professional who knows about your health or is treating you.
We understand that being investigated by us may be stressful. However, it is important that we have all relevant information. This includes your comments and views.
We expect you to respond to our requests for information as part of your responsibilities as a social service worker.
You have the right to choose not to respond to us and this is something that you may wish to take independent advice about. If we don’t receive comments from you, our investigation will continue and we will make a decision on the matter without the benefit of your point of view.
For more information please see Factsheet 5 Help and Advice and our Hearings Guide.
We can make contact by email, letter or telephone but there may be times when we must send a letter. Please let the caseholder know if email is preferred. They can arrange to register you on our encrypted email system so we can send emails securely.
It is important if you have a solicitor, trade union representative or other professional body representing you during our investigation that you let us know as soon as possible so that we can discuss your case with them.
The information we hold about you is your own personal data. We can discuss your case with a supporter or representative if we have your consent.
As the regulator of social service workers, we have specific statutory duties to protect the public and uphold public confidence in the profession. Our purpose is different to employers or criminal courts.
We may need to conduct independent investigations to decide whether the information we have received affects your fitness to practise.
Our cases are investigated to the civil standard of proof, which is different to that of the criminal courts, so even if you were found not guilty, we may still need to investigate.
Being under investigation does not automatically mean that you cannot remain employed or seek employment in the social service sector.
At any stage during our investigation, we can refer a case to a Fitness to Practise Panel hearing for them to consider a Temporary Order. We do this if we think that there is a risk to public protection, public interest or to you.
The Panel can suspend you, or place conditions on your registration while our investigation continues. If you are suspended, you cannot work in the particular role you are registered for, for the period of the suspension.
Workers applying to be registered
Being under investigation does not automatically mean that you cannot work in the social service sector. You can continue to work whilst we are processing your application. Usually, you must achieve registration within six months, and should not work in a registerable role after this period without a reasonable excuse. If you do, your employer may be committing an offence. This is enforced by the Care Inspectorate.
What is a reasonable excuse is a matter for the Care Inspectorate and the courts however if the only reason that you are not registered is because our investigation is ongoing we will not refer an employer to the Care Inspectorate.
We expect you to be open and honest with your employer or any future employer about the status of our investigations.
We will tell your current or most recent social service employer that we are investigating you.
For registered workers, we will also tell employers about any application we make for a Temporary Order and the decision.
This depends on the complexity and seriousness of the concerns raised and will vary case by case. We often need to ask for information from other organisations or individuals. This can take time. Once we receive the information, we need to take time to carefully consider it and make our decision.
Cases where we take no further action are on average open for six months. In cases where we decide a sanction is necessary it may take on average 12 months. Cases which are referred to a hearing may take longer.
We will complete our investigation as quickly and as efficiently as possible. You can contact your caseholder at any time for an update on your investigation.
We decide whether there is enough evidence to prove the allegations and whether they raise a concern about your fitness to practise.
If you are a registered worker we can decide to:
- conclude the case and take no further action
- impose a sanction with your consent
- refer the case to a Fitness to Practise Panel hearing to consider impairment.
For more information please see the Factsheet 3 Sanctions.
If you are a worker who is applying to be registered, we can decide to:
- take no further action and grant the application
- grant the application subject to condition(s) with your consent
- refuse the application and refer it to a Fitness to Practise Panel hearing to consider registration.
For more information please see Factsheet 4 Application Outcomes.
We will send you a letter explaining our decisions and reasons.
If we have offered a sanction or a registration condition, our letter will provide you with an opportunity to accept or decline the offer.
For more information please see Factsheet 10 Offer of Sanction: Warnings, conditions or Suspension Orders, Factsheet 11 Offer of Sanction: Removal Orders or Factsheet 12 Offer of a registration condition.
We can take no further action:
- when we do not have enough evidence to prove the allegations
- if we decide, after looking at all of the information and the circumstances, that there is no longer a concern about your fitness to practise
- in some circumstances, where a worker is no longer eligible for registration.
If you are a registered worker, this decision will not affect your registration. If you are a worker applying for registration, your registration will be granted.
We will keep the information and should we receive any other allegations then we may reconsider it.
We can take into account a wide range of factors and these will vary on a case by case basis.
For more information about the factors we can take into account, please see the Decision Guidance.
If we impose a sanction or registration condition, we have decided that there is enough evidence to prove the allegation and that a worker’s fitness to practise is impaired and also that a sanction is necessary.
We make our decisions on sanctions to protect the public, in the public interest to maintain public confidence and in your interests.
For more information about the factors we can take into account, please see the Decision Guidance.
If you choose to accept a sanction or registration condition, we will ask you to sign and return an acceptance form. When we receive this we will send a Notice of Decision to:
- whoever referred the case to us/made the allegation if relevant
- your current or most recent employer or higher education institution
- any other person or body we think should be informed of our decision if we consider it necessary for the protection of members of the public, or otherwise in the public interest.
For registered workers, the Notice of Decision will also be published on our website and the worker’s record on our Register will be updated.
For more information on what we publish and why, please see our Public Information Policy.
You should contact the caseholder as soon as possible to advise them of your decision not to accept. Arrangements will be made for the case to be transferred to a Fitness to Practise Panel hearing.
For more information please see Factsheet 7 Fitness to Practise Impairment Hearings or Factsheet 8 Fitness to Practise Application Hearings.
We may refer a case to a Fitness to Practise Panel hearing in the following circumstances for the Panel to consider and decide:
- on the fitness to practise of a worker applying to be registered or when a registration condition is refused by a worker
- whether a registered worker’s fitness to practise is impaired, and if so, what sanction should be imposed or when a sanction is refused by a worker
- whether a former registered worker’s application to be restored to our Register should be granted
- whether a Temporary Order should be imposed on a registered worker’s registration while we carry out our investigation.
For more information please see:
You have the right to appeal to the Sheriff Court against certain decisions. Appeals must be made, in writing to the court, within 14 days of the decision being sent to you.
We will treat all information you provide us with care and process it in accordance with our responsibilities under the Data Protection Act 1998.
Any communication we have from you, including notes we have made of telephone calls, may be:
- used by us in making a decision
- used during a Fitness to Practise Panel hearing.
If it contains personal data about you or other people, it may be released to you or those other people if requested under the Data Protection Act 1998.
If you want us to share information with a third party about what is happening with your case you will need to give us your consent.
There are three reasons for this.
- You were registered at the time of the concern so we must investigate.
- You may wish to be registered in the future and it is important for us to investigate and make a decision at a time when evidence is still available and both you and any witnesses can remember what happened.
- In addition to taking action to protect the public, we also need to uphold public confidence in the profession whether or not you are still working.