Some employees need to be registered with a professional body to be able to undertake the duties of their post. In such cases there are certain requirements on the Council as an employer to advise the body of any actual or (depending on the body's requirements) alleged misconduct or of any health or competency issue which may impact on their fitness to practice.

As a line manager, you are responsible in consultation with the appropriate service manager, for:

• Understanding what registration is required for post holders within your team
• Ensuring that employees hold and maintain essential registration
• Keeping abreast of specific professional body guidance and relevant legislation, and where to find this (eg on relevant websites)
• Where required, make referrals in line with the relevant body's protocols as soon as practical

The information detailed below is intended to help you to identify if referral is necessary. Further guidance is given on each body's website.

Registered employees are responsible for ensuring that they understand and meet and maintain the registration and reporting requirements (including self-referral) relevant to their role/ profession.

Both employers and employees are required to meet their responsibilities regarding referrals irrespective of whether a referral has been made by the other party. The guidance below is specific to employer referrals. Employees should seek guidance directly from the relevant registering body if they are unsure whether they should self-refer.

Details of the main bodies which Council employees may need to be registered with are covered below. There are however other posts for which registration with/ membership of a professional body is required, eg Law Society Scotland for solicitors, Chartered Institute of Personnel & Development for HR roles. Human Resources can provide advice as required and should be notified of any referral being considered.

If an organisation has employees or volunteers doing a regulated role, it has a legal duty to report any harmful behaviour to Disclosure Scotland. This duty applies whether the person is a member of the PVG Scheme or not. There is a legal obligation on organisations to report harmful behaviour even if it takes place outside of work or if the behaviour is only discovered after the person has left.

Organisations must make a referral if a person shows harmful behaviour and they:

• are dismissed as a result
• would or might have been dismissed but left before they could be
• are permanently moved away from work with children/ protected adults

If any of these actions were taken, the organisation must make a referral to Disclosure Scotland within 3 months of making the decision. Even if the individual appeals the decision, the three months period starts from the date of the decision to dismiss or to permanently remove them from regulated work. If the Council does not make a referral within 3 months, Disclosure Scotland will report us to the Police.

Examples of harm

Examples of harm include:

• harming a child or protected adult
• placing a child or protected adult at risk of harm
• inappropriate behaviour involving pornography
• inappropriate behaviour of a sexual nature involving a child or protected adult
• giving inappropriate medical treatment to a child or protected adult

The above list of types is not exhaustive.

Types of harm

There are different ways 'harm' can be defined. It's important to remember that people can cause a risk of harm without doing anything directly.

Examples of harm include:

• physical harm (like inappropriate physical restraint or assault)
• psychological harm (like emotional abuse)
• theft (like embezzlement)

Examples of behaviour which lead to a risk of harm include:

• attempting to harm (even if they do not succeed)
• trying to make someone else cause harm
• encouraging someone to self-harm
• reckless behaviour or incompetence that may cause someone to be harmed, even if they did not mean it to.

Further information and examples are given at: Make a referral to Disclosure Scotland.

The types of issues that are likely to raise a concern about a registrant’s fitness to practise include, but are not limited to:

• Dishonesty, fraud or abuse of trust, including not maintaining professional boundaries with a service user
• Exploitation of a vulnerable person
• Failure to act in the best interests of service users
• Serious breaches of a service user’s confidentiality or data protection requirements
• Committing reckless or deliberately harmful acts
• Hiding mistakes or blocking an investigation
• Serious or repeated failings in service user care
• Where a registrant's performance in their role has harmed service users or to put them at risk or harm
• Violence, sexual misconduct or indecent behaviour
• A caution or conviction for a criminal offence
• Health concerns that are not being managed and may affect the safety of service users, or colleagues, including substance abuse or misuse
• An adverse finding by another regulatory body
• Fraudulent or incorrect entry onto the HCPC Register
• Other serious, actions or behaviours which could affect public confidence in the profession. 

These types of issues should be referred to the HCPC regardless of the outcome of any disciplinary, performance or other process.

Employers and former employers can refer teachers to GTCS for competence issues or both competence and conduct. Separate forms for each are available on the website.

Mandatory referrals

There is a legal requirement on the Council to refer a case to the GTC Scotland if:

• A teacher is dismissed on grounds of misconduct or incompetence, or
• A teacher resigns or otherwise stops working for the employer in circumstances where, but for leaving that employment, the employer would have, or might have, dismissed the teacher on grounds of misconduct or incompetence.

Referral should be made immediately following the dismissal or resignation. You should not wait for the conclusion of any appeal process. If the employee has appealed their dismissal this should be noted on the referral paperwork.

Discretionary referrals

Discretionary referrals would be made by exception in cases where it is considered that the risk is so serious that immediate action needs to be taken by GTCS to restrict the teacher’s registration in the interests of public protection. This would apply in cases where the allegations are very serious, for example, sexual abuse, violence or serious child protection matters.

The Scottish Social Services Council will consider concerns about registered workers and students and people applying to register with SSSC.

The following matters will be considered:

• misconduct
• deficient professional practice
• health
• a decision by another regulator
• a conviction

The SSSC should be notified when a relevant employee is:

• suspended, dismissed or demoted from a role of social service worker
• when an employee resigns during a disciplinary investigation where dismissal would have been considered
• referred to Disclosure Scotland
• is charged or convicted of a criminal offence, or
• of any other circumstances where you are concerned the behaviour or actions of a worker raises a concern about their fitness to practise.

Further information is given in the SSSC's Employer Referral Guidance.