Disclosure Scotland listing process: FOI release

Information requested

1. How many individuals were under ‘consideration for listing’ between 2010 and 2025, and how many were not listed?

2. How many people not listed were required to reapply rather than being automatically reinstated?

3. Has Disclosure Scotland issued revised PVG disclosure guidance between 2010 and 2025 due tochanges in inter-agency practice or reputational case reviews?

4. Please provide all policies and procedural revisions on PVG disclosure wording for individuals under consideration but not listed.

5. Please provide access logs for who internally or externally accessed PVG statuses where no listing occurred.

6. Please provide all procedures or communications that determine when external parties (employers, regulators) are notified of ‘consideration’ even when no listing occurs.

7. How many complaints or appeals have been received from individuals affected by onward disclosure despite not being listed?

8. Has Disclosure Scotland ever been instructed or guided to delay reinstatement or pause PVG based on reputational caution rather than listing criteria?

9. Please provide any memoranda of understanding (MoUs), service-level agreements (SLAs), or informal procedural guidance describing how risk information is shared or followed up between your organisation and the following bodies: Care Inspectorate, Disclosure Scotland, General Teaching Council for Scotland (GTCS).

10. Please provide all versions of staff guidance, referral criteria documents, or policy manuals in use from 2012–2024 outlining the thresholds for initiating a safeguarding referral to another agency.

11. Please provide any internal risk assessment forms, triage tools, referral decision templates, or standardised checklists used by staff when deciding whether to escalate or refer an individual to another authority.

12. Please provide any internal audits, review reports, or risk assessments evaluating the personal or professional impact of referrals that did not result in disciplinary, criminal, or regulatory action between 2015 and 2024.

13. Please provide statistical data showing how many individuals referred to your organisation from another safeguarding agency between 2015–2022:

(a) Were not formally investigated

(b) Did not receive a final decision or outcome notification within 6 months

(c) Remained under 'review' or informal risk monitoring without resolution

14. Please provide any documentation describing the use, purpose, or retention policy of any database or index where concerns are recorded about individuals without formal proceedings or actions.

Response

I have provided some of the information you requested. References throughout the response to the “PVG Act” and to the “2020 Act” are to the Protection of Vulnerable Groups (Scotland) Act 2007 and the Disclosure (Scotland) Act 2020, respectively.

An exemption under section 30(c) (prejudice to effective conduct of public affairs), section 35(1)(a) prevention or detection of crime), and section 38(1)(b) (third party personal data) applies to some of the information requested.

With respect to section 35(1)(a), disclosing detailed guidance on how Disclosure Scotland deals with potential criminal offences under the PVG Act could allow others to circumvent or undermine the process and prejudice a criminal investigation.

This exemption is subject to the ‘public interest test.’ Therefore, taking account of all the circumstances of this case, we have considered if the public interest in disclosing the information outweighs the public interest in applying the exemption. We have found that, on balance, the public interest lies in favour of upholding the exemption.

With respect to section 30(c), providing guidance on how Disclosure Scotland interacts with relevant regulatory bodies could provide third parties with insight into our processes which could be used in a prejudicial way that undermines the integrity of our reporting system, as we have no control over who can access our guidance once it’s in the public domain.

This exemption is subject to the ‘public interest test’ and taking account of all the circumstances of this case, we have considered if the public interest in disclosing the information outweighs the public interest in applying the exemption. We have found that, on balance, the public interest lies in favour of upholding the exemption to protect the integrity of Disclosure Scotland’s public safeguarding functions.

While we acknowledge the importance of openness and transparency in relation to how government departments make decisions, we believe there is greater public interest in our ability to effectively deliver a public safeguarding service.

The answers to your questions are:

1. How many individuals were under ‘consideration for listing’ between 2010 and 2025, and how many were not listed?

Disclosure Scotland has placed 36,048 individuals under consideration for listing since the PVG Scheme was introduced in 2011, to present. Of those considered for listing, and where a decision has been made, 19,188 individuals were not listed. Disclosure Scotland may still be considering whether to list some individuals in the more recent cases.

2. How many people not listed were required to reapply rather than being automatically reinstated?

A PVG Scheme member who is under consideration for listing is not barred from carrying out regulated roles, or removed, or suspended from the scheme during the consideration period. Therefore, if Disclosure Scotland decides not to list a PVG Scheme member their scheme membership continues, and they do not need to reapply to join. This is a formal notice under section 17(1) of FOISA that Disclosure Scotland does not have the specific information you have requested.

3. Has Disclosure Scotland issued revised PVG disclosure guidance between 2010 and 2025 due to changes in inter-agency practice or reputational case reviews?

Disclosure Scotland has not issued revised PVG disclosure guidance between 2010 and 2025 due to changes in inter-agency practice or reputational case reviews. Disclosure Scotland has published on its website guidance on changes introduced by the Disclosure (Scotland) Act 2020.

4. Please provide all policies and procedural revisions on PVG disclosure wording for individuals under consideration but not listed.

The information that must be included in a Level 2 PVG disclosure is prescribed in section 8 of the 2020 Act. Under section 17(3)(a) of the 2020 Act, Disclosure Scotland must include a statement confirming that an applicant is a scheme member in relation to the type of regulated role to which the purpose of the application relates. And under section 17(3)(b) of the 2020 Act, Disclosure Scotland must include a statement of whether it is considering whether to list an applicant in the relevant list.

Neither the PVG Act nor the 2020 Act require or permit Disclosure Scotland to include any statement to the effect that a person has been considered for listing but was not listed. As such, there have been no policy or procedural revisions. This is a formal notice under section 17(1) of FOISA that Disclosure Scotland does not have the specific information you have requested.

5. Please provide access logs for who internally or externally accessed PVG statuses where no listing occurred.

Access to Disclosure Scotland’s system for recording the outcome of a consideration for listing is restricted to staff working in Disclosure Scotland’s operational delivery teams. Disclosure Scotland restricts internal access to its systems using Role Based Access Controls. The details of Disclosure Scotland staff that have access to such information constitute personal information and are exempt under section 38(1)(b) of FOISA.

Disclosure Scotland does not permit external organisations to access its systems for recording the outcome of listing decisions.

6. Please provide all procedures or communications that determine when external parties (employers, regulators) are notified of ‘consideration’ even when no listing occurs.

The circumstances in which Disclosure Scotland must notify employers and regulators that it is considering listing an individual, and the outcome of its consideration, are prescribed in section 30 of the PVG Act.

Under section 30, Disclosure Scotland must notify the following that is it considering whether to list an individual and the outcome of its consideration (i.e. whether to list the individual, or not):

i. The individual concerned,

ii. Any organisation for which Disclosure Scotland knows the individual is carrying out a regulated role with children or adults (as the case may be) and any personnel supplier whom it knows has offered or supplied the scheme member to carry out a regulated role, and/or

iii. Any relevant regulatory body whom Disclosure Scotland thinks would be appropriate to notify.

From 1 April 2020, Disclosure Scotland may also notify any person other than an organisation for whom it knows an individual is carrying out a regulated role e.g. a personal employer.

Section 30 of the PVG Act does not prescribe a timescale within which Disclosure Scotland must provide such notifications. However, it aims to notify individuals and organisations that it has decided to consider listing within four working days of its decision to consider listing. It aims to notify individuals and organisations and it has decided not to list within similar timescales of its decision.

While Disclosure Scotland holds guidance on issuing notifications to relevant regulatory bodies prescribed under section 30(7) of the PVG Act it has been exempted under section 30(c) of FOISA for
the reasons outlined above.

7. How many complaints or appeals have been received from individuals affected by onward disclosure despite not being listed?

There is no right of appeal against Disclosure Scotland notifying organisations or relevant regulatory bodies under section 30 of the PVG Act that it is considering whether to list an individual, and the outcome of its consideration.

We have interpreted your question to mean how many complaints Disclosure Scotland has received from individuals because it has notified an organisation or relevant regulatory body that they are being considered for listing. Disclosure Scotland does not record whether it has received any complaints of this nature. As explained in the answer to question 6, Disclosure Scotland is legally required to notify certain organisations and relevant regulatory bodies under section 30 of the PVG Act. This is a formal notice under section 17(1) of FOISA that Disclosure Scotland does not have the specific information you have requested.

8. Has Disclosure Scotland ever been instructed or guided to delay reinstatement or pause PVG based on reputational caution rather than listing criteria?

The PVG Act does not permit Disclosure Scotland to suspend membership of the PVG Scheme during the time it is considering whether to list an individual, or after it decides not to list. An individual who is under consideration for listing is not barred from carrying out regulated roles during the consideration period; they remain scheme members throughout the consideration process. As such, if Disclosure Scotland decides not to list a PVG scheme member they do not need to reapply to join the scheme.

9. Please provide any memoranda of understanding (MoUs), service-level agreements (SLAs), or informal procedural guidance describing how risk information is shared or followed up between your organisation and the following bodies: Care Inspectorate, Disclosure Scotland, General Teaching Council for Scotland (GTCS).

Disclosure Scotland does not have memoranda of understanding or service level agreements with either the Care Inspectorate or the General Teaching Council for Scotland (“GTCS”). This is a formal notice under section 17(1) of FOISA that Disclosure Scotland does not have the specific information you have requested.

Under section 8 of the PVG Act, the GTCS, or any other person referred to in section 8(2), may refer to an individual who is, or has been, carrying out a regulated role to Disclosure Scotland if:

(a) On the basis of information it obtained whilst exercising its relevant functions, it considers the referral ground contained in section 2 of the PVG Act is met, and

(b) The individual has not been referred to Disclosure Scotland by an organisation, employment business or employment agency.

Under section 30 of the PVG Act, Disclosure Scotland must notify any relevant regulatory body whom it considers it would be appropriate to notify that it is considering whether to list an individual and the outcome of the consideration i.e., whether to list, or not to list.

While Disclosure Scotland holds guidance on issuing notifications to relevant regulatory bodies prescribed under section 30(7) of the PVG Act it has been exempted under section 30(c) of FOISA for the reasons outlined above.

Disclosure Scotland has powers under section 19 (information held by public bodies) and section 20 (information held by providers of regulated roles) of the PVG Act to obtain information from a range of organisations including professional regulatory bodies to help it make a listing decision. These powers mean specific agreements do not need to be in place for this information to be provided.

10. Please provide all versions of staff guidance, referral criteria documents, or policy manuals in use from 2012–2024 outlining the thresholds for initiating a safeguarding referral to another agency.

As explained in response to question 6, under section 30 of the PVG Act, Disclosure Scotland is legally required to notify certain organisations and relevant regulatory bodies that it is considering whether to list an individual and the outcome of its consideration. Because section 30 places a duty on Disclosure Scotland to notify, there is no “threshold” for deciding whether to notify organisations or relevant regulatory bodies. This is a formal notice under section 17(1) of FOISA that Disclosure Scotland does not have the specific information you have requested.

When Disclosure Scotland has grounds to believe that an individual or organisation may have committed a criminal offence under the PVG Act (for example, it identifies a barred person applying to carry out a regulated role) it will investigate and report the circumstances to the police. While Disclosure Scotland has developed guidance for staff in relation to dealing with criminal offences under the PVG Act, it has been exempted under section 35(1)(a) as outlined above, as it concerns the prevention and detection of crime.

11. Please provide any internal risk assessment forms, triage tools, referral decision templates, or standardised checklists used by staff when deciding whether to escalate or refer an individual to another authority.

As explained in response to question 10, Disclosure Scotland has no discretion in relation to whether to notify organisations and relevant regulatory bodies that it is considering whether to list an individual and the outcome of the consideration. This is a formal notice under section 17(1) of FOISA that Disclosure Scotland does not have the specific information you have requested.

When Disclosure Scotland has grounds to believe that an individual or organisation may have committed an offence under the PVG Act (for example, it identifies a barred person applying to carry out a regulated role) it will investigate and report the circumstances to the police. While Disclosure Scotland has developed guidance for staff in relation to dealing with offences under the PVG Act, it has been exempted under section 35(1)(a) as outlined above, as it concerns the prevention and detection of crime.

12. Please provide any internal audits, review reports, or risk assessments evaluating the personal or professional impact of referrals that did not result in disciplinary, criminal, or regulatory action between 2015 and 2024.

Disclosure Scotland does not hold any internal audits, review reports, or risk assessments evaluating the personal or professional impact of referrals that did not result in disciplinary, criminal, or regulatory action between 2015 and 2024. This is a formal notice under section 17(1) of FOISA that Disclosure Scotland does not have the specific information you have requested.

13. Please provide statistical data showing how many individuals referred to your organisation from another safeguarding agency between 2015–2022:

(a) Were not formally investigated

Around 41,449 individuals who were referred to Disclosure Scotland between 2015 and 2022 were not considered for listing.

(b) Did not receive a final decision or outcome notification within 6 months

Of the individuals who were considered for listing between 2015-2022, around 11,500 people did not receive a final decision or outcome notification within 6 months of the date Disclosure Scotland decided to consider listing them. Whilst Disclosure Scotland aims to make decisions as quickly as possible it may decide to wait on the outcome of other relevant proceedings such as criminal proceedings, or professional regulators fitness to practice proceedings, and which Disclosure Scotland considers material to its decision on whether an individual is unsuitable. Disclosure Scotland regularly monitors the progress of such proceedings and keeps under review whether it is necessary to await the outcome of such proceedings.

(c) Remained under 'review' or informal risk monitoring without resolution We have interpreted this question to mean in how many cases Disclosure Scotland has still to make a listing decision.

Around 657 individuals who were referred to Disclosure Scotland between 2015 and 2022 remain under consideration for listing. Whilst Disclosure Scotland aims to make decisions as quickly as possible it may decide to wait on the outcome of other relevant proceedings such as criminal proceedings, or professional regulators fitness to practice proceedings, and which Disclosure Scotland considers material to its decision on whether an individual is unsuitable.

Disclosure Scotland regularly monitors the progress of such proceedings and keeps under review whether it is necessary to await the outcome of such proceedings.

14. Please provide any documentation describing the use, purpose, or retention policy of any database or index where concerns are recorded about individuals without formal proceedings or actions.

Disclosure Scotland does not record concerns about individuals where, after a case-by-case assessment, there is no legal basis under Part 1 and Part 2 of the PVG Act to consider information about an individual.

About FOI

The Scottish Government is committed to publishing all information released in response to Freedom of Information requests. View all FOI responses at https://www.gov.scot/foi-responses.