Our investigation process

We receive referrals from different sources. Most referrals come from employers or are declared by workers or students, but we also receive referrals from universities, police and other public bodies, other regulators and members of the public. 

Some concerns come to our attention through the press or because of something that comes to light during another investigation. In some cases, we already hold the information and consider it when somebody applies for registration or restoration.  

You can read more on the Raising a concern page.  

Our dedicated screening team decides whether the information we have received meets our criteria for opening an investigation.  

Here are some of the reasons we might not investigate.

• The person is not registered with us and is not applying for registration (for example, personal assistants or people registered with other regulators). 

• The information we receive is not a specific allegation. 

• The allegation falls below our thresholds for investigation. Some concerns may not be serious enough to justify regulatory involvement and it is more appropriate for the employer to address it. 

• The person’s fitness to practise is not currently impaired (for example, where there has been learning and we assess the risk of repetition as low). 

• There is not enough evidence to prove the behaviour happened and no investigation would change that. 

• The allegation is against an employer rather than a worker (including professional decisions taken by workers acting within the legitimate decision making authority of their employer). 

If there is not enough information for us to decide whether our criteria are met, we may carry out some further enquiries first before deciding whether to investigate. This is not an investigation. 

The length of an investigation will depend on the complexity and seriousness of the concerns raised and varies case by case. We often need to ask for information from other organisations or individuals. This can take time. After we receive the information, we need to take time to carefully consider it and make our decision. 

We will complete our investigation as quickly and as efficiently as possible. 

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. 

Being under investigation does not automatically make a worker or student unsuitable for employment or study. Our investigation is to make sure the person is suitable to be on our Register. 

At any stage during an investigation into somebody who is on the Register we can decide that a Temporary Order (TO) is necessary. We do this if we think that there is a risk to public protection, it is in the public interest or in the interest of the worker. 

A Temporary Order can suspend the worker or student from the Register or place conditions on their registration while our investigation continues. If a worker/student is suspended, they cannot work in a role requiring registration during the suspension period. 

If we decide that a TO is necessary, we will tell the worker, and they will have an opportunity to request a hearing. If they do not request a hearing, the TO will usually be placed on their registration.  

If the worker requests a hearing, or in some cases where imposing a TO without a hearing would be unfair, a date for a hearing will be fixed. If a hearing is requested, a TO can only be imposed where a Panel finds that it is necessary and proportionate. 

You can read more on the Hearings page. 

If we decide to investigate a referral it will be passed to our investigation team and the case will be held by either an investigator or a solicitor (the caseholder). The caseholder will contact the worker to let them know we are opening an investigation and what the allegations are that we are investigating. The caseholder will be available to answer any questions the worker may have.   

We will always ask the worker to comment on the concerns which have been raised about them. This will usually be done by sending a form at the start of our investigation but might be a little later if there are things we need to clarify first. This allows us to understand what the worker’s views are on the concern raised about them, so we can consider this as part of our investigation. 

The caseholder will also let the person who made the referral know that we have opened an investigation and let any other relevant parties know including their current social service employers. 

The caseholder will decide what investigation is required and may: 

• ask employers for their investigation and disciplinary paperwork  

• contact potential witnesses to take independent witness statements  

• contact the Scottish Court Service, the Crown Office and Procurator Fiscal Service, the police or any other relevant authorities to confirm or provide us with information  

• contact health professionals to confirm or provide us with information. 

During the investigation stage the caseholder will regularly contact the worker to provide updates on the stage of our investigation. The worker can contact their caseholder at any time to get an update on the investigation.  

We investigate all concerns with an open mind and understand that there may or may not be any substance to the allegation. In every case we will consider all circumstances and make our own independent decision. 

When we have gathered enough information, we can make a decision. We decide whether there is enough evidence to prove some or all allegations, and if allegations that are supported by sufficient evidence indicate that the worker’s fitness to practise is currently impaired. 

If fitness to practise is not currently impaired, we finish our investigation and take no further action in registrant cases, or grant registration in applicant or restoration cases. Factors that might contribute to a finding that fitness to practise is not currently impaired include:

• after investigation there is not enough evidence to prove allegations
• the concerns are less serious than they initially appeared
• circumstances have changed after the concerns and there is a low risk of repetition
• there has been learning, insight, remorse and reflection
• the concerns do not affect confidence in social services
• regulatory action would be disproportionate.

In all other cases, our decision is that action is necessary and we will seek one of the outcomes listed in this section. This doesn’t always mean that will be the final outcome. You can learn more in the outcome section below.

In registrant cases, if the fitness to practise of somebody who is registered is currently impaired, we then decide what sanction is necessary. Sanctions include:  

• a warning  

• a condition 

• suspension from the Register for a period of time 

• a combination of either a warning and condition or suspension and condition 

• removal from the Register. 

In application cases, if the fitness to practise of somebody who is applying for registration is currently impaired, we may: 

• grant registration with a condition 

• refuse registration (and refer the matter to a hearing). 

In restoration cases, if the fitness to practise of somebody who is currently removed from the Register is still impaired, we may: 

• grant restoration with a condition 
• refuse restoration (and refer the matter to a hearing). 

Once we’ve made a decision, we will write to the worker setting out the reasons for the decision. What happens next depends on the decision. 

If we decide that the worker’s fitness to practise is not impaired and/or no sanction is needed, (see stage two ‘The decision’ above) the case is at an end. If it’s an applicant or restoration case, the processing of the application will continue. 

In certain cases where our decision is to impose a sanction, we will automatically refer the matter to an Impairment Hearing. We can’t impose a sanction in these cases unless the Panel agrees with the decision after hearing the evidence. We refer to an Impairment Hearing in: 

• applicant cases where our decision is to refuse registration 

• restoration cases where our decision is to refuse restoration 

• any other cases where it would be unfair to impose a sanction without a hearing.  

In all other cases, we only refer to a hearing if the worker requests a hearing after receiving our decision and reasons. If the worker does not ask for a hearing, we will impose the sanction and send the final Notice of Decision to the worker, their employer and other relevant people. 

When a sanction is imposed in a registrant case, the decision is usually published in full on our website. 

For more information on what we publish and why, please see our Public Information Policy. 

An Impairment Hearing can take place either because the worker requests a hearing or because the circumstances mean that imposing a sanction without a hearing would be unfair. 

The outcomes available to the Panel at a hearing are the same as the outcomes available at the decision stage.