Item 6 - Governance Report
North Lanarkshire Council · 17 May 2023
Back to Health and Social Care Integration Joint Board — 17 May 2023 and its agenda
Text extracted from the council's PDF. Layout and reading order may differ from the original.
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1 REPORT Item No: 6 SUBJECT: North Lanarkshire IJB Governance Document Update 2023 TO: IJB Lead Officer for Report: Ross McGuffie, Chief Officer North HSCP Author(s) of Report Stacey Anderson Support Services, Project Manager Stacey Connor Governance Support Manager DATE: 17 May 2023 1. PURPOSE OF REPORT This paper is coming to the IJB for: For approval ☒ For endorsement ☐ To note ☐ 2. ROUTE TO THE BOARD This paper has been: Prepared By: Stacey Anderson and Stacey Connor, NL H&SCP Governance Team ☒ Reviewed By: ☐ Endorsed By: ☐
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2 3. RECOMMENDATIONS It is recommended that the IJB review the updated IJB Governance documents and approve the documents and associated templates for IJB use during the 2023-24 period. 4. VARIATIONS TO DIRECTIONS? 5. BACKGROUND/SUMMARY OF KEY ISSUES The report provides an overview of the recently reviewed/updated governance documents in regards to reporting for the North Lanarkshire Integration Joint Board. It is a requirement of the Integration Joint Board to ensure that they are compliant with The Public Bodies (Joint Working) (Prescribed Health Board Functions) (Scotland) Regulations 2014). A continuous review of the IJB governance documents/policy will commence across the financial year with updates regularly being provided to the IJB. The report focuses on the governance surrounding the IJB Programme of Reports, EQIA Process, Code of Conduct and Declaration of Interest, Directions, IJB Risk Reporting Process and Risk Reporting Template. 6. CONCLUSIONS Yes ☐ No ☐ N/A ☒
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3 7. IMPLICATIONS 7.1 NATIONAL OUTCOMES Link(s) to National Health and Wellbeing Outcomes People are able to look after and improve their own health and wellbeing and live in good health for longer ☐ People, including those with disabilities or long-term conditions, or who are frail, are able to live, as far as reasonable practicable, independently and at home or in a homely setting in their community ☒ People who use Health and Social Care Services have positive experiences of those services, and have dignity respected ☒ Health and Social Care Services are centred on helping to maintain or improve the quality of life of people who use those services ☐ Health and Social Care Services contribute to reducing health inequalities ☒ People who use Health and Social Care Services are safe from harm ☒ People who work in Health and Social Care Services feel engaged with the work they do and are supported to continuously improve the information, support, care and treatment they provide ☐ Resources are used effectively and efficiently in the provision of Health and Social Care Services ☒ 7.2 ASSOCIATED MEASURE(S) 7.3 FINANCIAL This paper has been reviewed by Finance: 7.4 RISK ASSESSMENT/RISK MANAGEMENT Relevant Risk Register Details Current Risk Level Risk Owner Choose an item. Yes ☐ No ☒ N/A ☐
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4 7.5 ENGAGEMENT & PARTICPATION Please tick the engagement and participation objectives that link(s) with this piece of work and provide further details regarding the engagement and participation that was undertaken. Objectives Further Details ☒ Involve stakeholders in the development work aimed at achieving the national outcomes ☐ Provide stakeholders with information on how to get involved ☐ Ensure a diverse range of engagement and participation and opportunities are in place to suit different needs ☐ Measure how well we involve community stakeholders in the planning, design and delivery of our services ☐ Provide regular feedback on how stakeholder engagement and participation is shaping and influencing service development and delivery ☐ Provide support to enable stakeholder representatives to participate meaningfully and confidently at meetings ☐ Develop participation guidelines to ensure a common understanding and set of expectations for both stakeholders and partnership staff ☐ Support engagement planning and participation in localities, taking account of other engagement activity and local plans across the Community Planning Partnership 7.6 INEQUALITIES & FAIRER SCOTLAND DUTY EQIA Completed & Fairer Scotland Impact Assessment Form Completed and attached to report: Yes ☐ No ☐ N/A ☒
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5 EQIA added to website: 8. BACKGROUND PAPERS None. 9. APPENDICES Governance Report CHIEF ACCOUNTABLE OFFICER (or Depute) Members seeking further information about any aspect of this report, please contact Stacey Anderson 07976801913. Yes / Date added ☐ No ☐ N/A ☒
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6 ABSTRACT
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7 Contents 1. Introduction ................................................................................................................................ 8 2. IJB Programme of Reports ..................................................................................................... 8 3. EQIA Process ........................................................................................................................... 8 4. Code of Conduct and Declaration of Interest ....................................................................... 9 5. Directions ................................................................................................................................... 9 6. IJB Risk Register Process Quarterly Report ...................................................................... 10 7. IJB Reporting Template ......................................................................................................... 10
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8 1. Introduction This report provides an overview of the recently reviewed/updated governance documents in regards to reporting for the North Lanarkshire Integration Joint Board. It is a requirement of the Integration Joint Board to ensure that they are compliant with The Public Bodies (Joint Working) (Prescribed Health Board Functions) (Scotland) Regulations 2014). A continuous review of the IJB governance documents/policy will commence across the financial year with updates regularly being provided to the IJB. 2. IJB Programme of Reports Following approval of revised terms of references of the Integrated Joint Board Performance Finance and Audit Committee a review of what papers/ reports are presented to which group was undertaken and a draft programme of reports has been developed to help provide both groups an overview of what papers will be presented to which group and when. In summary any update or governance reporting in regards to financial or service/project performance will be presented to the IJB PFA and any new developments/ projects, overview reports and overall IJB Governance will be presented at the IJB. A link to the minutes of the IJB PFA will be added to the agenda of the IJB for any further member discussion. The draft programme of reports will be circulated around the membership group at the start of each financial year. As this will be a fluid document with regular changes and developments, a copy of the programme of reports will be added to the end of the agendas for the IJB PFA and IJB to provide clarity to the board and show any changes to the reporting schedule. Appendix 1 Programme of Reports 1 3. EQIA Process As per the Equality Act 2010, EQIAs should be carried out when developing or reviewing current policies, strategies, services and functions to ensure that the policy, project or scheme does not unlawfully discriminate against any protected characteristics. Integration Joint Boards are required to: use equality evidence to assess the impact of health and social care services of different people’s lives For all protected groups, consider if and how the service will be non- discriminatory, advance equality of opportunity and foster good relations
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9 Take the results of the assessment into account when developing and agreeing what the service will look like Publish the results. In order to ensure that the IJB comply with the equality’s act, the North Lanarkshire Integrated Joint Board EQIA Process has been developed. The process details what the process that those presenting documents to the IJB / IJB PFA should follow in terms of EQIA, the governance process that the IJB / IJB PFA should follow to ensure that EQIAs are being considered and reviewed and details how the IJB / IJB PFA will publish the EQIAs on the IJB website North Lanarkshire Health and Social Care Partnership (hscnl.org.uk). Appendix 2 EQIA 4. Code of Conduct and Declaration of Interest As part of the risk measure for risk associated with fraud a review of the IJB Code of Conduct has taken place with the main change to the code of conduct being around how declarations of interest are submitted to the IJB. The proposed change is that all members are asked to submit an annual IJB declarations of interest form, with the form having a clearer focus on the nine categories that are listed within the Code of Conduct. The completed declarations of interest forms will then be uploaded to the IJB website North Lanarkshire Health and Social Care Partnership (hscnl.org.uk) and a register of interests including gifts and hospitality received by members will be held by the IJB administration team. Appendix 3 Code of Conduct 5. Directions In January 2020, the Scottish Government issued Statutory Guidance on Directions from Integration Authorities to Health Boards and Local Authorities. The North Lanarkshire Joint Board must issue a direction in respect of every function that has been delegated to it by NHS Lanarkshire and North Lanarkshire Council which must provide relevant budget information. Directions are the means by which the IJB informs the Health Board and the Local Authority what is to be delivered using the integrated budget and for the IJB to
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10 improve the quality and sustainability of care, as outlined in its strategic commissioning plan. Directions are also the legal basis on which the Health Board and Local Authority deliver services that are under the control of the IJB. To help ensure that the North Lanarkshire Integration Joint Board implements the Statutory Guidance on Directions, a North Lanarkshire Integration Joint Board Directions Policy has been created. The policy details what directions are, how and when directions should be issued and how directions should be implemented and monitored. The policy also provides a Directions template for the IJB to use and add to each paper when directions are issued. Appendix 4 IJB Directions Policy 6. IJB Risk Register Process Quarterly Report The IJB Risk Register strategy was approved by the IJB at the March 2023 meeting. In order to ensure that the IJB Risk Register is following the strategy and also mirroring the risk reporting process utilised by NHS Lanarkshire, a new IJB Risk Register report template has been developed. The report template helps provide an overview of the risk register in a more user friendly graphic format with the aim of clearly showcasing the risk data, highlighting the risks held within the council, NHS and IJB and ensuring that risks are continuously reviewed and updated. Appendix 5 Risk Register 7. IJB Reporting Template To help support authors submitting items to the IJB, a new IJB Reporting Template has been developed. The report template for the IJB now has a greater focus on EQIAs, Risk, Participation and Engagement, National Outcomes and Directions. The aim of this template is for the author to ensure that they have considered all relevant elements before submitting items to the IJB and to provide the IJB committee assurance that these key elements have been considered during publication of the paper/ service review etc. In order to support authors completing the reporting template, the IJB Reporting Template Guidance has also been developed. Appendix 6 IJb Reports Template Appendix 7 IJb Report Template Guidance
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11 Direction from North Lanarkshire Integration Joint Board (IJB) 1 Reference Number 2 Report Title 3 Date direction issued by IJB 4 Date from which direction takes effect 5 Direction to: 6 Does this direction supersede, revise or revoke a previous direction – if yes, include reference number(s) 7 Functions covered by direction 8 Full text of direction 9 Budget allocated by Integration Joint Board to carry out direction 10 Performance Management / Governance arrangements 11 Date direction will be reviewed
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Reporting Cycle Title Description Category Progress Priority Start date Due date Assigned to Notes Item Type Path IJB Quarterly Financial monitoring report Quarterly financial monitoring report Planning Not started Quarterly Item sites/IJB280/L ists/Progress tracker list IJB Quarterly Quarterly Risk Register Update Not started Quarterly Item sites/IJB280/L ists/Progress tracker list IJB March Website Update Report Not started IJB March Delivering for communities‐ engagement and participation ‐ Update Not started IJB March Chryston Community Health Clinic Update Not started IJB March Ethical Commissioning Report Not started IJB March Chief Social Work Officer (CSWO) Annual Report Not started IJB March IJB Directions Report Not started IJB March Category 1 Responders ‐ Update Not started IJB March Update on mental health and wellbeing strategy Not started IJB May Winter Plan ‐ Draft Not started IJB May National Care Services Bill ‐ Update Not started IJB May Tackling Poverty Not started IJB May Sustainability Plan Not started IJB May IJB Self Assessment Report IJB May Fairer Scotland duty update report IJB May Our Lives IJB September Investment in IT Infrastructure to support care delivery‐ Update Not started IJB September Action for Children ‐ North Lanarkshire Young Careers Review Not started IJB September Climate Change Report 2023 Not started IJB September Winter Plan Update Not started IJB September Internal Audit Annual Report Not started IJB September Lanarkshire Primary Care Out of Hours Service ‐ Review/Update Not started IJB September CAMHS Report Not started IJB September North Lanarkshire ADP Self‐ Assessment Not started IJB September Annual Whistleblowing Report IJB September Quality Assurance Update / Annual Report Not started IJB November External Auditor Annual Report Not started IJB November Annual Accounts Audited Not started IJB November Evaluation of Strategic Plan Not started Potential Reports Communications Strategy potential report Not started potential reports Potential Reports Falls Strategy Not started potential reports Potential Reports Workforce Plan Not started potential reports Potential Reports Business Continuity Assurance Not started potential reports Potential Reports Adult Protection Not started potential reports Potential Reports Home Support Not started potential reports Potential Reports Cost of living helpline review Not started potential reports Potential Reports mental health hospital based clinical complex care Not started potential reports Potential Reports supporting unpaid careers Not started potential reports Potential Reports Inpatient Mental Health Service Annual Review Potential Reports Psychological Services Annual Review Potential Reports Paediatrics Annual Review Potential Reports Dietetics Annual Review Potential Reports HMP Shotts Annual Review Potential Reports Custody HealthCare Potential Reports MAT Standards Update Potential Reports Financial Regulations IJB PFA Quarterly Financial monitoring report Quarterly financial monitoring report Planning Not started Quarterly IJB PFA Quarterly Quarterly Risk Register Update Not started Quarterly IJB PFA Quarterly PFA Risk Register Not started Quarterly IJB PFA Quarterly Resilience Update Quarterly IJB PFA Quarterly Performance Update IJB PFA February Maintaining a Positive Balance of Care Update IJB PFA February Financial Regulations IJB PFA February Annual Performance Report IJB PFA February MAT standards update IJB PFA February NSS Screening IJB PFA February Cancer Inequalities IJB PFA April Mental Health Strategy Update Potential a forum session IJB PFA April IJB self‐ assessment report IJB PFA April Whole system performance for North Lanarkshire ‐ Update IJB PFA April Speech and Language Therapy Update IJB PFA April OT Pads Update IJB PFA April Digital Alarms IJB PFA June Specialist Children's Health Service Annual Update IJB PFA June Adult Health Service Annual Update IJB PFA June Adult Social Work Annual Update IJB PFA June Infection Control Annual Update IJB PFA June Public Protection Annual Update IJB PFA June Health Technologies Annual Update IJB PFA June HMP Shotts Annual Update IJB PFA June Prescribing Annual Update Appendix 1 12
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IJB PFA June Equality Outcomes and Mainstreaming Report update Bi‐Annually IJB PFA October Analogue to digital telecare transition update IJB PFA October Primary Care improvement plan update IJB PFA October Integration Review IJB PFA October ADP Self‐ Assessment IJB PFA October Service Recovery/ Winter Planning and supporting the health and social care system 13
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North Lanarkshire Integrated Joint Board: Process for Equality Impact Assessments (EQIAs). Version No: Prepared By: Effective From: Next Review Date: Lead Reviewer: Dissemination Arrangements: Appendix 2 14
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2 Content 1.0 Purpose ........................................................................................................... 3 2.0 Scope ............................................................................................................... 3 3.0 Procedure ........................................................................................................ 3 3.2 Useful Information: ........................................ Error! Bookmark not defined. 15
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3 1.0 Purpose The aim of the document is to detail the process followed by the North Lanarkshire Integrated Joint Board (IJB) or the IJB Performance, Finance and Audit Committee (PIJB PFA) in regards to Equality Impact Assessments (EQIA). 2.0 Scope As per the Equality Act 2010, EQIAs should be carried out when developing or reviewing current policies, strategies, services and functions to ensure that the policy, project or scheme does not unlawfully discriminate against any protected characteristics. Integrated Joint Boards are required to: use equality evidence to assess the impact of health and social care services of different people’s lives For all protected groups, consider if and how the service will be non- discriminatory, advance equality of opportunity and foster good relations Take the results of the assessment into account when developing and agreeing what the service will look like Publish the results. 3.0 Procedure 3.1 When a paper/report is submitted to the IJB or IJB PFA, the author must ensure that the IJB reporting template has been used. 3.2 The author of the paper/ report must complete section 7.6 INEQUALITIES AND FAIRER SCOTLAND DUTY of the IJB reporting template, detailing if they have completed an EQIA, attached a copy of the EQIA to the paper/ report and if the EQIA has already been published on the IJB website. 3.3 If section 7.6 of the reporting template is not completed and/or if a copy of the EQIA has not been attached to the report, the North Lanarkshire Health and Social Care Partnership (NL H&SCP) Governance Team will highlight this to the author of the paper/ report and if not received in time for the IJB, the governance team will notify the Chair of the IJB / IJB PFA and a decision will be made by the chair as to whether or not the paper/report will be presented without the EQIA. 3.4 The IJB/ IJB PFA should review the EQIAs and issue any associated directions relating to the EQIA as per the IJB Directions Policy. All directions will be recorded on the IJB Directions Tracker as per policy. 3.5 Once the paper/report and associated EQIA has been approved by the IJB/ IJB PFA, the NL H&SCP Governance Team will follow the relevant procedures to ensure that the relevant documents are added to the website (if this has not already been completed by the author). 3.6 The NL H&SCP will also record on the IJB/ IJB PFA paper tracker the date that the paper/report and EQIA was approved by the IJB/ IJB PFA and the date in which the EQIA was added to the website for audit purposes. 16
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17 Appendix 3 Code of Conduct for Members of: NORTH LANARKSHIRE INTEGRATION JOINT BOARD Version Control Date Summary of Changes 1 2022 2 2023
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18 CONTENTS Section 1: Introduction to the Code of Conduct My Responsibilities Enforcement Section 2: Key Principles of the Code of Conduct Section 3: General Conduct Respect and Courtesy Remuneration, Allowances and Expenses Gifts and Hospitality Confidentiality Use of Public Body Resources Dealing with my Public Body and Preferential Treatment Appointments to Outside Organisations Section 4: Registration of Interests Category One: Remuneration Category Two: Other Roles Category Three: Contracts Category Four: Election Expenses Category Five: Houses, Land and Buildings Category Six: Interest in Shares and Securities Category Seven: Gifts and Hospitality Category Eight: Non–Financial Interests Category Nine: Close Family Members Section 5: Declaration of Interests Stage 1: Connection Stage 2: Interest Stage 3: Participation Section 6: Lobbying and Access ANNEXES Annex A Breaches of the Code Annex B Definitions
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19 APPENDIX Appendix 1 Register of Interest Form
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20 SECTION 1: INTRODUCTION TO THE CODE OF CONDUCT 1.1 This Code has been issued by the Scottish Ministers, with the approval of the Scottish Parliament, as required by the Ethical Standards in Public Life etc. (Scotland) Act 2000 (the “Act”). 1.2 The purpose of the Code is to set out the conduct expected of those who serve on the boards of public bodies in Scotland. 1.3 The Code has been developed in line with the nine key principles of public life in Scotland. The principles are listed in Section 2 and set out how the provisions of the Code should be interpreted and applied in practice. My Responsibilities 1.4 I understand that the public has a high expectation of those who serve on the boards of public bodies and the way in which they should conduct themselves in undertaking their duties. I will always seek to meet those expectations by ensuring that I conduct myself in accordance with the Code. 1.5 I will comply with the substantive provisions of this Code, being sections 3 to 6 inclusive, in all situations and at all times where I am acting as a board member of my public body, have referred to myself as a board member or could objectively be considered to be acting as a board member. 1.6 I will comply with the substantive provisions of this Code, being sections 3 to 6 inclusive, in all my dealings with the public, employees and fellow board members, whether formal or informal. 1.7 I understand that it is my personal responsibility to be familiar with the provisions of this Code and that I must also comply with the law and my public body’s rules, standing orders and regulations. I will also ensure that I am familiar with any guidance or advice notes issued by the Standards Commission for Scotland (“Standards Commission”) and my public body, and endeavour to take part in any training offered on the Code. 1.8 I will not, at any time, advocate or encourage any action contrary to this Code. 1.9 I understand that no written information, whether in the Code itself or the associated Guidance or Advice Notes issued by the Standards Commission, can provide for all circumstances. If I am uncertain about how the Code applies, I will seek advice from the Standards Officer of my public body, failing whom the Chair or Chief Officer of my public body. I note that I may also choose to seek external legal advice on how to interpret the provisions of the Code. Enforcement 1.10 Part 2 of the Act sets out the provisions for dealing with alleged breaches of the Code, including the sanctions that can be applied if the Standards Commission finds that there has been a breach of the Code. More information on how complaints are dealt with and the sanctions available can be found at Annex A.
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21 SECTION 2: KEY PRINCIPLES OF THE MODEL CODE OF CONDUCT 2.1 The Code has been based on the following key principles of public life. I will behave in accordance with these principles and understand that they should be used for guidance and interpreting the provisions in the Code. 2.2 I note that a breach of one or more of the key principles does not in itself amount to a breach of the Code. I note that, for a breach of the Code to be found, there must also be a contravention of one or more of the provisions in sections 3 to 6 inclusive of the Code. The key principles are: Duty I have a duty to uphold the law and act in accordance with the law and the public trust placed in me. I have a duty to act in the interests of the public body of which I am a member and in accordance with the core functions and duties of that body. Selflessness I have a duty to take decisions solely in terms of public interest. I must not act in order to gain financial or other material benefit for myself, family or friends. Integrity I must not place myself under any financial, or other, obligation to any individual or organisation that might reasonably be thought to influence me in the performance of my duties. Objectivity I must make decisions solely on merit and in a way that is consistent with the functions of my public body when carrying out public business including making appointments, awarding contracts or recommending individuals for rewards and benefits. Accountability and Stewardship I am accountable to the public for my decisions and actions. I have a duty to consider issues on their merits, taking account of the views of others and I must ensure that my public body uses its resources prudently and in accordance with the law. Openness I have a duty to be as open as possible about my decisions and actions, giving reasons for my decisions and restricting information only when the wider public interest clearly demands. Honesty I have a duty to act honestly. I must declare any private interests relating to my public duties and take steps to resolve any conflicts arising in a way that protects the public interest. Leadership I have a duty to promote and support these principles by leadership and example, and to maintain and strengthen the public’s trust and confidence in the integrity of my public body and its members in conducting public business.
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22 Respect I must respect all other board members and all employees of my public body and the role they play, treating them with courtesy at all times. Similarly, I must respect members of the public when performing my duties as a board member.
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23 SECTION 3: GENERAL CONDUCT Respect and Courtesy 3.1 I will treat everyone with courtesy and respect. This includes in person, in writing, at meetings, when I am online and when I am using social media. 3.2 I will not discriminate unlawfully on the basis of race, age, sex, sexual orientation, gender reassignment, disability, religion or belief, marital status or pregnancy/maternity; I will advance equality of opportunity and seek to foster good relations between different people. 3.3 I will not engage in any conduct that could amount to bullying or harassment (which includes sexual harassment). I accept that such conduct is completely unacceptable and will be considered to be a breach of this Code. 3.4 I accept that disrespect, bullying and harassment can be: a) a one-off incident, b) part of a cumulative course of conduct; or c) a pattern of behaviour. 3.5 I understand that how, and in what context, I exhibit certain behaviours can be as important as what I communicate, given that disrespect, bullying and harassment can be physical, verbal and non-verbal conduct. 3.6 I accept that it is my responsibility to understand what constitutes bullying and harassment and I will utilise resources, including the Standards Commission’s guidance and advice notes, my public body’s policies and training material (where appropriate) to ensure that my knowledge and understanding is up to date. 3.7 Except where it is written into my role as Board member, and / or at the invitation of the Chief Officer, I will not become involved in operational management of my public body. I acknowledge and understand that operational management is the responsibility of the Chief Officer and Management Team. 3.8 I will not undermine any individual employee or group of employees, or raise concerns about their performance, conduct or capability in public. I will raise any concerns I have on such matters in private with senior management as appropriate. 3.9 I will not take, or seek to take, unfair advantage of my position in my dealings with employees of my public body or bring any undue influence to bear on employees to take a certain action. I will not ask or direct employees to do something which I know, or should reasonably know, could compromise them or prevent them from undertaking their duties properly and appropriately. 3.10 I will respect and comply with rulings from the Chair during meetings of: a) my public body, its committees; and b) any outside organisations that I have been appointed or nominated to by my public body or on which I represent my public body. IJBs can opt out of this paragraph when adopting their Code.
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24 3.11 I will respect the principle of collective decision-making and corporate responsibility. This means that once the Board has made a decision, I will support that decision, even if I did not agree with it or vote for it. Remuneration, Allowances and Expenses 3.12 I will comply with the rules, and the policies of my public body, on the payment of remuneration, allowances and expenses. Gifts and Hospitality 3.13 I understand that I may be offered gifts (including money raised via crowdfunding or sponsorship), hospitality, material benefits or services (“gift or hospitality”) that may be reasonably regarded by a member of the public with knowledge of the relevant facts as placing me under an improper obligation or being capable of influencing my judgement. 3.14 I will never ask for or seek any gift or hospitality. 3.15 I will refuse any gift or hospitality, unless it is: a) a minor item or token of modest intrinsic value offered on an infrequent basis; b) a gift being offered to my public body; c) hospitality which would reasonably be associated with my duties as a board member; or d) hospitality which has been approved in advance by my public body. 3.16 I will consider whether there could be a reasonable perception that any gift or hospitality received by a person or body connected to me could or would influence my judgement. 3.17 I will not allow the promise of money or other financial advantage to induce me to act improperly in my role as a board member. I accept that the money or advantage (including any gift or hospitality) does not have to be given to me directly. The offer of monies or advantages to others, including community groups, may amount to bribery, if the intention is to induce me to improperly perform a function. 3.18 I will never accept any gift or hospitality from any individual or applicant who is awaiting a decision from, or seeking to do business with, my public body. 3.19 If I consider that declining an offer of a gift would cause offence, I will accept it and hand it over to my public body at the earliest possible opportunity and ask for it to be registered. 3.20 I will promptly advise my public body’s Standards Officer if I am offered (but refuse) any gift or hospitality of any significant value and / or if I am offered any gift or hospitality from the same source on a repeated basis, so that my public body can monitor this. 3.21 I will familiarise myself with the terms of the Bribery Act 2010, which provides for offences of bribing another person and offences relating to being bribed.
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25 Confidentiality 3.22 I will not disclose confidential information or information which should reasonably be regarded as being of a confidential or private nature, without the express consent of a person or body authorised to give such consent, or unless required to do so by law. I note that if I cannot obtain such express consent, I should assume it is not given. 3.23 I accept that confidential information can include discussions, documents, and information which is not yet public or never intended to be public, and information deemed confidential by statute. 3.24 I will only use confidential information to undertake my duties as a board member. I will not use it in any way for personal advantage or to discredit my public body (even if my personal view is that the information should be publicly available). 3.25 I note that these confidentiality requirements do not apply to protected whistleblowing disclosures made to the prescribed persons and bodies as identified in statute. Use of Public Body Resources 3.26 I will only use my public body’s resources, including employee assistance, facilities, stationery and IT equipment, for carrying out duties on behalf of the public body, in accordance with its relevant policies. 3.27 I will not use, or in any way enable others to use, my public body’s resources: a) imprudently (without thinking about the implications or consequences); b) unlawfully; c) for any political activities or matters relating to these; or d) improperly. Dealing with my Public Body and Preferential Treatment 3.28 I will not use, or attempt to use, my position or influence as a board member to: a) improperly confer on or secure for myself, or others, an advantage; b) avoid a disadvantage for myself, or create a disadvantage for others or c) improperly seek preferential treatment or access for myself or others. 3.29 I will avoid any action which could lead members of the public to believe that preferential treatment or access is being sought. 3.30 I will advise employees of any connection, as defined at Section 5, I may have to a matter, when seeking information or advice or responding to a request for information or advice from them.
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26 Appointments to Outside Organisations 3.31 If I am appointed, or nominated by my public body, as a member of another body or organisation, I will abide by the rules of conduct and will act in the best interests of that body or organisation while acting as a member of it. I will also continue to observe the rules of this Code when carrying out the duties of that body or organisation. 3.32 I accept that if I am a director or trustee (or equivalent) of a company or a charity, I will be responsible for identifying, and taking advice on, any conflicts of interest that may arise between the company or charity and my public body.
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27 SECTION 4: REGISTRATION OF INTERESTS 4.1 The following paragraphs set out what I have to register when I am appointed and whenever my circumstances change. The register covers my current term of appointment. 4.2 I understand that regulations made by the Scottish Ministers describe the detail and timescale for registering interests; including a requirement that a board member must register their registrable interests within one month of becoming a board member, and register any changes to those interests within one month of those changes having occurred. A copy of the registering of interest form is detailed within Appendix 1. 4.3 The interests which I am required to register are those set out in the following paragraphs. Other than as required by paragraph 4.23, I understand it is not necessary to register the interests of my spouse or cohabitee. Category One: Remuneration 4.4 I will register any work for which I receive, or expect to receive, payment. I have a registrable interest where I receive remuneration by virtue of being: a) employed; b) self-employed; c) the holder of an office; d) a director of an undertaking; e) a partner in a firm; f) appointed or nominated by my public body to another body; or g) engaged in a trade, profession or vocation or any other work. 4.5 I understand that in relation to 4.4 above, the amount of remuneration does not require to be registered. I understand that any remuneration received as a board member of this specific public body does not have to be registered. 4.6 I understand that if a position is not remunerated it does not need to be registered under this category. However, unremunerated directorships may need to be registered under Category Two, “Other Roles”. 4.7 I must register any allowances I receive in relation to membership of any organisation under Category One. 4.8 When registering employment as an employee, I must give the full name of the employer, the nature of its business, and the nature of the post I hold in the organisation. 4.9 When registering remuneration from the categories listed in paragraph 4.4 (b) to (g) above, I must provide the full name and give details of the nature of the business, organisation, undertaking, partnership or other body, as appropriate. I recognise that some other employments may be incompatible with my role as board member of my public body in terms of paragraph 6.7 of this Code.
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28 4.10 Where I otherwise undertake a trade, profession or vocation, or any other work, the detail to be given is the nature of the work and how often it is undertaken. 4.11 When registering a directorship, it is necessary to provide the registered name and registered number of the undertaking in which the directorship is held and provide information about the nature of its business. 4.12 I understand that registration of a pension is not required as this falls outside the scope of the category. Category Two: Other Roles 4.13 I will register any unremunerated directorships where the body in question is a subsidiary or parent company of an undertaking in which I hold a remunerated directorship. 4.14 I will register the registered name and registered number of the subsidiary or parent company or other undertaking and the nature of its business, and its relationship to the company or other undertaking in which I am a director and from which I receive remuneration. Category Three: Contracts 4.15 I have a registerable interest where I (or a firm in which I am a partner, or an undertaking in which I am a director or in which I have shares of a value as described in paragraph 4.19 below) have made a contract with my public body: a) under which goods or services are to be provided, or works are to be executed; and b) which has not been fully discharged. 4.16 I will register a description of the contract, including its duration, but excluding the value. Category Four: Election Expenses 4.17 If I have been elected to my public body, then I will register a description of, and statement of, any assistance towards election expenses relating to election to my public body. Category Five: Houses, Land and Buildings 4.18 I have a registrable interest where I own or have any other right or interest in houses, land and buildings, which may be significant to, of relevance to, or bear upon, the work and operation of my public body.
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29 4.19 I accept that, when deciding whether or not I need to register any interest I have in houses, land or buildings, the test to be applied is whether a member of the public, with knowledge of the relevant facts, would reasonably regard the interest as being so significant that it could potentially affect my responsibilities to my public body and to the public, or could influence my actions, speeches or decision- making. Category Six: Interest in Shares and Securities 4.20 I have a registerable interest where: a) I own or have an interest in more than 1% of the issued share capital of the company or other body; or b) Where, at the relevant date, the market value of any shares and securities (in any one specific company or body) that I own or have an interest in is greater than £25,000. Category Seven: Gifts and Hospitality 4.21 I understand the requirements of paragraphs 3.13 to 3.21 regarding gifts and hospitality. As I will not accept any gifts or hospitality, other than under the limited circumstances allowed, I understand there is no longer the need to register any. Category Eight: Non–Financial Interests 4.22 I may also have other interests and I understand it is equally important that relevant interests such as membership or holding office in other public bodies, companies, clubs, societies and organisations such as trades unions and voluntary organisations, are registered and described. In this context, I understand non- financial interests are those which members of the public with knowledge of the relevant facts might reasonably think could influence my actions, speeches, votes or decision-making in my public body (this includes its Committees and memberships of other organisations to which I have been appointed or nominated by my public body). Category Nine: Close Family Members 4.23 I will register the interests of any close family member who has transactions with my public body or is likely to have transactions or do business with it.
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30 SECTION 5: DECLARATION OF INTERESTS Stage 1: Connection 5.1 For each particular matter I am involved in as a board member, I will first consider whether I have a connection to that matter. 5.2 I understand that a connection is any link between the matter being considered and me, or a person or body I am associated with. This could be a family relationship or a social or professional contact. 5.3 A connection includes anything that I have registered as an interest. 5.4 A connection does not include being a member of a body to which I have been appointed or nominated by my public body as a representative of my public body, unless: a) The matter being considered by my public body is quasi-judicial or regulatory; or b) I have a personal conflict by reason of my actions, my connections or my legal obligations. Stage 2: Interest 5.5 I understand my connection is an interest that requires to be declared where the objective test is met – that is where a member of the public with knowledge of the relevant facts would reasonably regard my connection to a particular matter as being so significant that it would be considered as being likely to influence the discussion or decision-making. Stage 3: Participation 5.6 I will declare my interest as early as possible in meetings. I will not remain in the meeting nor participate in any way in those parts of meetings where I have declared an interest. 5.7 I will consider whether it is appropriate for transparency reasons to state publicly where I have a connection, which I do not consider amounts to an interest. 5.8 I note that I can apply to the Standards Commission and ask it to grant a dispensation to allow me to take part in the discussion and decision-making on a matter where I would otherwise have to declare an interest and withdraw (as a result of having a connection to the matter that would fall within the objective test). I note that such an application must be made in advance of any meetings where the dispensation is sought and that I cannot take part in any discussion or decision- making on the matter in question unless, and until, the application is granted. 5.9 I note that public confidence in a public body is damaged by the perception that decisions taken by that body are substantially influenced by factors other than the public interest. I will not accept a role or appointment if doing so means I will have to declare interests frequently at meetings in respect of my role as a board member. Similarly, if any appointment or nomination to another body would give rise to objective concern because of my existing personal involvement or affiliations, I will not accept the appointment or nomination.
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31 SECTION 6: LOBBYING AND ACCESS 6.1 I understand that a wide range of people will seek access to me as a board member and will try to lobby me, including individuals, organisations and companies. I must distinguish between: a) any role I have in dealing with enquiries from the public; b) any community engagement where I am working with individuals and organisations to encourage their participation and involvement, and; c) lobbying, which is where I am approached by any individual or organisation who is seeking to influence me for financial gain or advantage, particularly those who are seeking to do business with my public body (for example contracts/procurement). 6.2 In deciding whether, and if so how, to respond to such lobbying, I will always have regard to the objective test, which is whether a member of the public, with knowledge of the relevant facts, would reasonably regard my conduct as being likely to influence my, or my public body’s, decision-making role. 6.3 I will not, in relation to contact with any person or organisation that lobbies, do anything which contravenes this Code or any other relevant rule of my public body or any statutory provision. 6.4 I will not, in relation to contact with any person or organisation that lobbies, act in any way which could bring discredit upon my public body. 6.5 If I have concerns about the approach or methods used by any person or organisation in their contacts with me, I will seek the guidance of the Chair, Chief Officer or Standards Officer of my public body. 6.6 The public must be assured that no person or organisation will gain better access to, or treatment by, me as a result of employing a company or individual to lobby on a fee basis on their behalf. I will not, therefore, offer or accord any preferential access or treatment to those lobbying on a fee basis on behalf of clients compared with that which I accord any other person or organisation who lobbies or approaches me. I will ensure that those lobbying on a fee basis on behalf of clients are not given to understand that preferential access or treatment, compared to that accorded to any other person or organisation, might be forthcoming. 6.7 Before taking any action as a result of being lobbied, I will seek to satisfy myself about the identity of the person or organisation that is lobbying and the motive for lobbying. I understand I may choose to act in response to a person or organisation lobbying on a fee basis on behalf of clients but it is important that I understand the basis on which I am being lobbied in order to ensure that any action taken in connection with the lobbyist complies with the standards set out in this Code and the Lobbying (Scotland) Act 2016.
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32 6.8 I will not accept any paid work: a) which would involve me lobbying on behalf of any person or organisation or any clients of a person or organisation. b) to provide services as a strategist, adviser or consultant, for example, advising on how to influence my public body and its members. This does not prohibit me from being remunerated for activity which may arise because of, or relate to, membership of my public body, such as journalism or broadcasting, or involvement in representative or presentational work, such as participation in delegations, conferences or other events.
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33 ANNEX A: BREACHES OF THE CODE Introduction 1. The Ethical Standards in Public Life etc. (Scotland) Act 2000 (“the Act”) provided for a framework to encourage and, where necessary, enforce high ethical standards in public life. 2. The Act provided for the introduction of new codes of conduct for local authority councillors and members of relevant public bodies, imposing on councils and relevant public bodies a duty to help their members comply with the relevant code. 3. The Act and the subsequent Scottish Parliamentary Commissions and Commissioners etc. Act 2010 established the Standards Commission for Scotland (“Standards Commission”) and the post of Commissioner for Ethical Standards in Public Life in Scotland (“ESC”). 4. The Standards Commission and ESC are separate and independent, each with distinct functions. Complaints of breaches of a public body’s Code of Conduct are investigated by the ESC and adjudicated upon by the Standards Commission. 5. The first Model Code of Conduct came into force in 2002. The Code has since been reviewed and re-issued in 2014. The 2021 Code has been issued by the Scottish Ministers following consultation, and with the approval of the Scottish Parliament, as required by the Act. Investigation of Complaints 6. The ESC is responsible for investigating complaints about members of devolved public bodies. It is not, however, mandatory to report a complaint about a potential breach of the Code to the ESC. It may be more appropriate in some circumstances for attempts to be made to resolve the matter informally at a local level. 7. On conclusion of the investigation, the ESC will send a report to the Standards Commission. Hearings 8. On receipt of a report from the ESC, the Standards Commission can choose to: Do nothing; Direct the ESC to carry out further investigations; or Hold a Hearing. 9. Hearings are held (usually in public) to determine whether the member concerned has breached their public body’s Code of Conduct. The Hearing Panel comprises of three members of the Standards Commission. The ESC will present evidence and/or make submissions at the Hearing about the investigation and any conclusions as to whether the member has contravened the Code. The member is entitled to attend or be represented at the Hearing and can also present evidence and make submissions. Both parties can call witnesses. Once it has heard all the evidence and submissions, the Hearing Panel will make a determination about whether or not it is satisfied, on the balance of probabilities, that there has been a contravention of
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34 the Code by the member. If the Hearing Panel decides that a member has breached their public body’s Code, it is obliged to impose a sanction. Sanctions 10. The sanctions that can be imposed following a finding of a breach of the Code are as follows: Censure: A censure is a formal record of the Standards Commission’s severe and public disapproval of the member concerned. Suspension: This can be a full or partial suspension (for up to one year). A full suspension means that the member is suspended from attending all meetings of the public body. Partial suspension means that the member is suspended from attending some of the meetings of the public body. The Commission can direct that any remuneration or allowance the member receives as a result of their membership of the public body be reduced or not paid during a period of suspension. Disqualification: Disqualification means that the member is removed from membership of the body and disqualified (for a period not exceeding five years), from membership of the body. Where a member is also a member of another devolved public body (as defined in the Act), the Commission may also remove or disqualify that person in respect of that membership. Full details of the sanctions are set out in section 19 of the Act. Interim Suspensions 11. Section 21 of the Act provides the Standards Commission with the power to impose an interim suspension on a member on receipt of an interim report from the ESC about an ongoing investigation. In making a decision about whether or not to impose an interim suspension, a Panel comprising of three Members of the Standards Commission will review the interim report and any representations received from the member and will consider whether it is satisfied: That the further conduct of the ESC’s investigation is likely to be prejudiced if such an action is not taken (for example if there are concerns that the member may try to interfere with evidence or witnesses); or That it is otherwise in the public interest to take such a measure. A policy outlining how the Standards Commission makes any decision under Section 21 and the procedures it will follow in doing so, should any such a report be received from the ESC can be found here. 12. The decision to impose an interim suspension is not, and should not be seen as, a finding on the merits of any complaint or the validity of any allegations against a member of a devolved public body, nor should it be viewed as a disciplinary measure.
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35 ANNEX B: DEFINITIONS “Bullying” is inappropriate and unwelcome behaviour which is offensive and intimidating, and which makes an individual or group feel undermined, humiliated or insulted. "Chair" includes Board Convener or any other individual discharging a similar function to that of a Chair or Convener under alternative decision-making structures. “Code” is the code of conduct for members of your devolved public body, which is based on the Model Code of Conduct for members of devolved public bodies in Scotland. "Cohabitee" includes any person who is living with you in a relationship similar to that of a partner, civil partner, or spouse. “Confidential Information” includes: • any information passed on to the public body by a Government department (even if it is not clearly marked as confidential) which does not allow the disclosure of that information to the public; • information of which the law prohibits disclosure (under statute or by the order of a Court); • any legal advice provided to the public body; or • any other information which would reasonably be considered a breach of confidence should it be made public. "Election expenses" means expenses incurred, whether before, during or after the election, on account of, or in respect of, the conduct or management of the election. “Employee” includes individuals employed: • directly by the public body; • as contractors by the public body, or • by a contractor to work on the public body’s premises. “Gifts” a gift can include any item or service received free of charge, or which may be offered or promised at a discounted rate or on terms not available to the general public. Gifts include benefits such as relief from indebtedness, loan concessions, or provision of property, services or facilities at a cost below that generally charged to members of the public. It can also include gifts received directly or gifts received by any company in which the recipient holds a controlling interest in, or by a partnership of which the recipient is a partner. “Harassment” is any unwelcome behaviour or conduct which makes someone feel offended, humiliated, intimidated, frightened and / or uncomfortable. Harassment can be experienced directly or indirectly and can occur as an isolated incident or as a course of persistent behaviour.
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OFFICIAL “Hospitality” includes the offer or promise of food, drink, accommodation, entertainment or the opportunity to attend any cultural or sporting event on terms not available to the general public. “Relevant Date” Where a board member had an interest in shares at the date on which the member was appointed as a member, the relevant date is – (a) that date; and (b) the 5th April immediately following that date and in each succeeding year, where the interest is retained on that 5th April. “Public body” means a devolved public body listed in Schedule 3 of the Ethical Standards in Public Life etc. (Scotland) Act 2000, as amended. “Remuneration" includes any salary, wage, share of profits, fee, other monetary benefit or benefit in kind. “Securities” a security is a certificate or other financial instrument that has monetary value and can be traded. Securities includes equity and debt securities, such as stocks bonds and debentures. “Undertaking” means: a) a body corporate or partnership; or b) an unincorporated association carrying on a trade or business, with or without a view to a profit. 36
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OFFICIAL Appendix 1 – Register of Interests Form Received Date Entered Code of Conduct for Members of the North Lanarkshire Integrated Joint Board Register of Interests Note: If you have no interest in a category, please state “None”. The descriptions provided below are in summary form. For full details refer to the Code of Conduct. Board members must register their registrable interests within one month of becoming a board member and register any changes to those interests within one month of those changes having occurred. Name: Position on Board: Category One: Remuneration Remuneration from Employment Name (Registered name if different) of Employer and Post Held Nature of Business and regularity of remunerated work Additional Comments Details of Employment held Additional Employment held 37
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OFFICIAL Remuneration from Self-employment Name of Business Nature of Business and regularity of remunerated work Additional comments Details of Self- employment held Additional Self- employment held Remuneration as Holder of an Office Nature of Office held Organisation and any allowances received Additional comments e.g. Frequency Details of Office Held Additional details of Offices Held Additional details of Offices Held 38
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OFFICIAL Remuneration as a Director of an Undertaking Name of Undertaking Nature of Business and any allowance received Additional comments Details of first Directorship held Details of second Directorship held Details of third Directorship held Remuneration as a Partner in a Firm Name of Partnership Nature of Business and any allowance received Additional comments Details of first Partnership held Details of second Partnership held Details of third Partnership held 39
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OFFICIAL Remuneration from appointment or nomination by North Lanarkshire Integration Joint Board to another body Name of Body Nature of Business and any allowance received Additional comments Details of first appointment held Details of second appointment held Details of third appointment held Remuneration from a trade, profession vocation or any other work Nature of work For whom undertaken and Frequency Additional comments Details of remuneration from trade, profession or other work Additional instances of remuneration from trade, profession or other work 40
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OFFICIAL Category Two: Other Roles This applies to any unremunerated directorships where the body in question is a subsidiary or parent company of an undertaking in which the member holds a remunerated directorship. Name and registered number of subsidiary, parent or other organisation Nature of business and relationship to company or other undertaking where remunerated directorship under Category One Additional Comments Details of non- remunerated directorship Additional instances of non- remunerated directorship 41
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OFFICIAL Category Three: Contracts Applies to a registerable interest where the member (or a firm in which they are a partner, or an undertaking in which they are a director or in which they have shares of a value as described in paragraph 4.20 of the Code) have made a contract with North Lanarkshire Integration Joint Board: a) under which goods or services are to be provided, or works are to be executed; and b) which has not been fully discharged. Description of Contract (excluding value) Duration of Contract Additional comments Details of contracts entered into None Additional instances of contracts entered into Additional instances of contracts entered into Category Four: Election Expenses If a member has been elected to North Lanarkshire Integration Joint Board, then they will register a description of, and statement of, any assistance towards election expenses relating to election to North Lanarkshire Integration Joint Board. Source of Assistance towards Election Expenses Description of any Allowance received Additional comments Details of election expenses Additional instances of election expenses 42
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OFFICIAL Category Five: Houses, Land and Buildings Requirement to declare land/housing ownership or any other right or interest in houses which may be significant to, or of relevance to, or bear upon, the work of North Lanarkshire Integration Joint Board Description of interest Description of approximate location Additional comments Details of interests in houses, land and buildings Additional instances of interests in houses, land and buildings Additional instances of interests in houses, land and buildings Category Six: Shares and Securities A description of the shares is required if (a) a member owns or has an interest in more than 1% of the issued share capital of the company or other body; or (b) where, at the relevant date, the market value of any shares and securities (in any one specific company or body) that they own or have an interest in is greater than £25,000. Description of undertaking Description of nature of holding (value need not be disclosed) Additional comments Details of interests in shares and securities which may be significant to, or relevant to, or bear upon the work of the IJB 43
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OFFICIAL Additional instances of interests in shares and securities which may be significant to, or relevant to, or bear upon the work of the IJB Additional instances of interests in shares and securities which may be significant to, or relevant to, or bear upon the work of the IJB Category Seven: Gifts and Hospitality Members should understand the requirements of paragraphs 3.12 to 3.20 regarding gifts and hospitality. As members will not accept any gifts or hospitality, other than under the limited circumstances allowed, they understand there is no longer the need to register any. Date Description of Gift Received from 44
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OFFICIAL Category Eight: Non-Financial Interests Members may also have other interests and they understand it is equally important that relevant interests such as membership or holding office in other public bodies, companies, clubs, societies and organisations such as trades unions and voluntary organisations, are registered and described. In this context, they understand non- financial interests are those which members of the public with knowledge of the relevant facts might reasonably think could influence their actions, speeches, votes or decision-making in North Lanarkshire Integration Joint Board (this includes its Committees and memberships of other organisations to which they have been appointed or nominated by North Lanarkshire Integration Joint Board). Description of interest Additional comments Details of non- financial interests which may be significant to, or relevant to, or bear upon the work of the IJB Additional instances of non- financial interests which may be significant to, or relevant to, or bear upon the work of the IJB Additional instances of non- financial interests which may be significant to, or relevant to, or bear upon the work of the IJB 45
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OFFICIAL Category Nine: Close Family Members Members will register the interests of any close family member who has transactions with North Lanarkshire Integration Joint Board or is likely to have transactions or do business with it. Relationship Nature of transaction Additional comments Details of interest Additional instances of interest Additional instances of interest Date of Preparation: Number of Continuation Sheets: Signed: 46
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Version Control Date Summary of Changes 1 20/03/2023 North Lanarkshire Integration Joint Board DIRECTIONS POLICY Appendix 4 47
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Contents 1. Purpose and Scope .......................................................................................................................... 1 2. Policy Aims ...................................................................................................................................... 1 3. Legislative/Policy Framework ......................................................................................................... 1 4. Definition and Purpose of Directions .............................................................................................. 2 5. Policy Implementation .................................................................................................................... 2 6. Monitoring and Review ................................................................................................................... 3 Appendix 1: Directions Procedure .......................................................................................................... 4 Appendix 2 :Process for Issuing Directions ............................................................................................. 5 48
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1. Purpose and Scope This policy sets out the process for formulating, approving, issuing and reviewing directions from North Lanarkshire Integration Joint to NHS Lanarkshire and North Lanarkshire Council. This policy has been developed in line with the Public Bodies (Joint Working) (Scotland) Act 2014 and Scottish Governments Statutory Guidance on Directions from Integration Authorities to Health Boards and Local Authorities. The Public Bodies (Joint Working) (Scotland) Act 2014 places a duty on Integration Authorities (IJBs) to develop a strategic commissioning plan, for integrated functions and budgets under their control. An Integration Authority requires a mechanism to action their strategic commissioning plan, this mechanism takes the form of binding directions from the Integration Authority to one or both of NHS Lanarkshire and North Lanarkshire Council. Directions are also the means by which a record is maintained of which body decided what and with what advice, which body is responsible for what, ad which body should be audited for what, whether in financial or decision making terms. In January 2020, the Scottish Government issued Statutory Guidance on Directions from Integration Authorities to Health Boards and Local Authorities. The North Lanarkshire Joint Board must issue a direction in respect of every function that has been delegated to it by NHS Lanarkshire and North Lanarkshire Council which must provide relevant budget information. Directions are the means by which the IJB informs the Health Board and the Local Authority what is to be delivered using the integrated budget and for the IJB to improve the quality and sustainability of care, as outlined in its strategic commissioning plan. Directions are also the legal basis on which the Health Board and Local Authority deliver services that are under the control of the IJB. 2. Policy Aims This policy seeks to enhance governance, transparency and accountability between the IJB, NHS Lanarkshire and North Lanarkshire Council by clarifying responsibilities. This policy has been developed to ensure compliance with the Scottish Governments Directions from Integration Authorities to health boards and local authorities: statutory guidance. 3. Legislative/Policy Framework The Public Bodies (Joint Working) (Scotland) Act 2014 states that an Integration Joint Board must give a direction to constituent authority to carry out each function delegated to Integration Authority. Revised statutory guidance on directions was issued by Scottish Government in January 2020. This statutory guidance has informed the development of this policy, to ensure that the IJB can meet the key requirement of the guidance to improve governance, transparency and accountability between all partner organisations. 49
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4. Definition and Purpose of Directions It is essential that directions are understood to be the end point of a process of decision making by the IJB. Directions should not contain surprising or completely unknown information about service change or redesign and should follow a period of wider engagement on the function(s) that are the subject of the direction. This should normally be part of the service planning and design phase of strategic commissioning. Directions are legally binding, which is why they come at the end point of a process of planning and decision making. The delivery partners are required to comply with all directions received from the IJB, and the law is clear that they may not amend, ignore, appeal or veto any direction. Neither NHS Lanarkshire nor North Lanarkshire Council may use resources allocated via the Integration Joint Board in pursuit of a direction for any other purpose than that intended. The content of Directions should be sufficiently detailed to ensure the intention of the IJB is adequately captured. Directions should include information on the required delivery of the function and the financial resources that are available for carrying out the function. Directions may specify what the Health Board, Local Authority or both are to do in relation to carrying out a particular function. Lack of detail in a direction may cause difficulties in performance monitoring and hamper the effective delivery of the function. To assist with monitoring and reviewing directions issued, the IJB may seek information from either the Health Board or Local Authority or both about the delivery 5 of a function that is the subject of a direction, including when issues are identified in implementation and delivery of a direction. Specific directions can be given to NHS Lanarkshire, North Lanarkshire Council, or both (Health and Social Care Partnership (H&SCP)) depending on the services to be provided. However, directions should not be issued unnecessarily and should be proportionate. A direction will remain in place until it is revoked, varied or superseded by a later direction in respect of the same function. In summary, the purpose of directions is to set a clear framework for the operational delivery of the functions that have been delegated to the IJB. All directions must be in writing. Functions may be described in terms of delivery of services, achievement of outcomes and/or the priorities set out in the strategic commissioning plan. 5. Policy Implementation This Policy has been developed in line with the Public Bodies (Joint Working) (Scotland) Act 2014, Scottish Governments Statutory Guidance on Directions from Integration Authorities to Health Boards and Local Authorities as published in January 2020. This Policy defines what a direction is and is underpinned by the Directions Procedure (Appendix 1) which supports the development of new and revised directions. Directions are informed by a number of factors, including but not limited to: Content of the IJB Strategic Commissioning Plan Specific service redesign or transformation programmes 50
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Financial changes or developments A change in local circumstances A fundamental change to practice or operations. 6. Monitoring and Review Directions: The IJB has agreed that Directions will be monitored on a quarterly basis via the IJB Committee structure. This will ensure that the relevant Committee will assume responsibility for maintaining an overview of progress with the implementation of directions, via detailed reports, and escalating any issues to the IJB. A full set of directions, will be presented to the IJB at the start of the financial year following confirmation of budget setting arrangements, however, other directions will be brought forward throughout the year to reflect strategic developments and service transformation. Policy: This policy will be reviewed every two years by the IJB, or earlier if Scottish Government release further guidance. 51
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Appendix 1: Directions Procedure This procedure sets out the process for formulating, approving, issuing and reviewing directions for the North Lanarkshire Integration Joint Board to NHS Lanarkshire, North Lanarkshire Council or both constituent authorities. A process map is attached at Appendix 2 of this document. 1. Directions Directions are the mechanism by which the IJB delivers its Strategic Commissioning Plan. When a Direction is presented to the IJB, the report author must ensure that the content of the Direction include details of the function to which it is the subject of, budget information which has been delegated to deliver it, the impact on workforce, any legal or risk implications, impact on IJB outcomes, priorities or policy, details of consultation and an Equalities Impact Assessment if required. The final page of the report template (attached at Appendix 3) provides a standard format for outlining the requirements for each direction to be issued; all sections of this must be completed. Following approval at the IJB a Direction will then be issued on behalf of the Chief Officer to the Chief Executive of NHS Lanarkshire, the Chief Executive of North Lanarkshire Council, or both. This will take the form of a letter together with the IJB report, including Direction template. Directions will be copied to the Chair and Vice Chair of the NHS Board and the Leader and Deputy Leader of the Local Authority. Directions should be issued within 7 days of IJB approval where possible. The details of each Direction issued by the IJB are entered into the IJB Register of Directions. An update on Directions will be provided quarterly to the IJB. A Direction will remain in place until it is varied, revoked or superseded by a later direction in respect of the same functions. 2. Implementation and Monitoring of Directions NHS Lanarkshire and North Lanarkshire Council are responsible for complying with and implementing all directions issued by the IJB. As the issuing of directions is a legally binding process any issues with this should be brought to the attention of the Chief Officer. An annual report on all current Directions will be presented to the IJB. 52
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Appendix 2: Process for Issuing Directions If any of the following cicrumstances are detailed within the report being submitted to the IJB, then a direction should be issued as per process detailed below.. o Specific service redesign or transformation o Financial changes or developments o Strategic Commissioning Plan o Changes in local circumstances o Fundamental changes to practice or operations When issuing a direction consideration must be given to: Scope and scale of function Finance involved Scale and nature of change Timescale for delivery Those impacted by the change ‐ Patients ‐ Service users Paper presented to IJB/IJB PFA for discussion IJB agree the directions required based on paper Directions issued to relevant partner(s) to carry out the functions relating to the directions Assurance provded via the IJB on the delivery of the function to which the Direction related to on a quartly basis 53
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‐ Carers ‐ Local communities ‐ Staff ‐ Others 54
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Appendix 3 ‐Direction from North Lanarkshire Integration Joint Board (IJB) 1 Reference Number This will be provided by IJB Administration Support Team 2 Report Title Title of Report 3 Date direction issued by IJB Date of IJB meeting that direction was issued 4 Date from which direction takes effect Date of when the direction should begin to be implemented or date direction issued by IJB 5 Direction to: This can be either: ‐ NHS Lanarkshire ‐ North Lanarkshire Council ‐ H&SCP 6 Does this direction supersede, revise or revoke a previous direction – if yes, include reference number(s) This can be provided by IJB Administration Support Team 7 Functions covered by direction List all the functions to which the direction related e.g. Occupational Therapy, Mental Health. 8 Full text of direction Detail what the authorities are being asked to carry out. 9 Budget allocated by Integration Joint Board to carry out direction Detail if any funding has been allocated by IJB to carry out direction. 10 Performance Management / Governance arrangements Directions will be reported to the relevant IJB committee quarterly and an annual report of all current directions presented to IJB. Detail if any other groups etc will be involved in the performance management of the direction e.g. Core/ SLT. 55
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11 Date direction will be reviewed Date at which the next review of the direction is due (e.g. at next IJB meeting). 56
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NORTH LANARKSHIRE IJB RISK REGISTER OVERVIEW [Document subtitle] Anderson, Stacey [Email address] Abstract [Draw your reader in with an engaging abstract. It is typically a short summary of the document. When you’re ready to add your content, just click here and start typing.] Appendix 5 57
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North Lanarkshire IJB Risks – Dashboard Executive Summary Following an agreement of the IJB Risk Strategy at the IJB held on xxxxxx, a full review of the IJB risk register was undertaken Any emerging or new risks are discussed at the IJB PFA and presented for information at IJB All risks on the IJB Risk Register are consistently reported to relevant assurance committees to provide oversight and assurance Highest Scoring Risks IJB Risk Score Trend NL Council Risk Score Trend Risk movement since last report No Change Risk Level Increase Risk Level Decrease New Risks Closed Risks Risks with Action Updates Risk Registers Number of Risks IJB NL Council NHS Lanarkshire 58
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NHS Lanarkshire Risk Score Trend 59
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Details of IJB Risk Movement/ Update of Actions Risk (Reference and Title) Date Risk Added to Register Current Score Trend Target Score Commentary SMART Actions for the risk 60
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61 REPORT Item No: SUBJECT: TO: Lead Officer for Report: Author(s) of Report DATE: 16 February 2023 1. PURPOSE OF REPORT This paper is coming to the IJB for: For approval ☐ For endorsement ☐ To note ☐ 2. ROUTE TO THE BOARD This paper has been: Prepared By: ☐ Reviewed By: ☐ Endorsed By: ☐ Appendix 6
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62 3. RECOMMENDATIONS 4. VARIATIONS TO DIRECTIONS? 5. BACKGROUND/SUMMARY OF KEY ISSUES 6. CONCLUSIONS 7. IMPLICATIONS 7.1 NATIONAL OUTCOMES Link(s) to National Health and Wellbeing Outcomes People are able to look after and improve their own health and wellbeing and live in good health for longer ☐ People, including those with disabilities or long-term conditions, or who are frail, are able to live, as far as reasonable practicable, independently and at home or in a homely setting in their community ☐ People who use Health and Social Care Services have positive experiences of those services, and have dignity respected ☐ Health and Social Care Services are centred on helping to maintain or improve the quality of life of people who use those services ☐ Health and Social Care Services contribute to reducing health inequalities ☐ People who use Health and Social Care Services are safe from harm ☐ People who work in Health and Social Care Services feel engaged with the work they do and are supported to continuously improve the information, support, care and treatment they provide ☐ Resources are used effectively and efficiently in the provision of Health and Social Care Services ☐ Yes ☐ No ☐ N/A ☐
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63 7.2 ASSOCIATED MEASURE(S) 7.3 FINANCIAL This paper has been reviewed by Finance: 7.4 RISK ASSESSMENT/RISK MANAGEMENT Relevant Risk Register Details Current Risk Level Risk Owner Choose an item. 7.5 ENGAGEMENT & PARTICPATION Please tick the engagement and participation objectives that link(s) with this piece of work and provide further details regarding the engagement and participation that was undertaken. Objectives Further Details ☐ Involve stakeholders in the development work aimed at achieving the national outcomes ☐ Provide stakeholders with information on how to get involved ☐ Ensure a diverse range of engagement and participation and opportunities are in place to suit different needs ☐ Measure how well we involve community stakeholders in the planning, design and delivery of our services ☐ Provide regular feedback on how stakeholder engagement and participation is shaping and influencing service development and delivery ☐ Provide support to enable stakeholder representatives to participate meaningfully and confidently at meetings Yes ☐ No ☐ N/A ☐
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64 ☐ Develop participation guidelines to ensure a common understanding and set of expectations for both stakeholders and partnership staff ☐ Support engagement planning and participation in localities, taking account of other engagement activity and local plans across the Community Planning Partnership 7.6 INEQUALITIES & FAIRER SCOTLAND DUTY EQIA Completed & Fairer Scotland Impact Assessment Form Completed and attached to report: EQIA added to website: 8. BACKGROUND PAPERS 9. APPENDICES Please include a glossary of terms if not already included. CHIEF ACCOUNTABLE OFFICER (or Depute) Yes ☐ No ☐ N/A ☐ Yes / Date added ☐ No ☐ N/A ☐ Members seeking further information about any aspect of this report, please contact the following;
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65 Direction from North Lanarkshire Integration Joint Board (IJB) 1 Reference Number 2 Report Title 3 Date direction issued by IJB 4 Date from which direction takes effect 5 Direction to: 6 Does this direction supersede, revise or revoke a previous direction – if yes, include reference number(s) 7 Functions covered by direction 8 Full text of direction 9 Budget allocated by Integration Joint Board to carry out direction 10 Performance Management / Governance arrangements 11 Date direction will be reviewed
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66 REPORT Item No: SUBJECT: This will match the name on the agenda. Please do not use ALL CAPITAL LETTERS when typing this. TO: This will be the name of the committee either –Integration Joint Board or Integration Joint Board Performance, Finance & Audit. Lead Officer for Report: This should include full name and job title and should be completed before being submitted to IJB administration support. Author(s) of Report This should include full name and job title of any report contributors and should be completed before being submitted to IJB administration support. DATE: 16 February 2023 Show the actual date of the meeting being presented at; to do this select the correct date from drop down box. Please do not enter date when the report is written. 1. PURPOSE OF REPORT Identify by using the correct check box is report is for approval, endorsement or noting. Please make at least one selection in this section. This paper is coming to the IJB for: For Approval: ☐ For Endorsement: ☐ To Note: ☐ 2. ROUTE TO THE BOARD Where possible outline who has prepared the report, who has reviewed report prior to submission and who has endorsed the report (such as another group). This paper has been: Prepared By: ☐ Reviewed By: ☐ Endorsed By: ☐ Appendix 7
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67 3. RECOMMENDATIONS Recommendations must be written in line with the following example: It is recommended that the IJB/IJB PFA Committee: (1) (2) (3) etc. Each individual recommendation should have a separate number and each recommendation should ask something of the audience, e.g. approve, consider, endorse, acknowledge, recognise, review, etc. Use of the word Note in recommendations should be avoided, alternative words could be consider, endorse, acknowledge, recognise, review, etc. It should be noted that many committees are required to receive reports for information in line with the terms of reference for that committee or because there is a statutory requirement to do so. If this is the case, please state this in the recommendations, e.g. consider abc in line with xyz. Recommendations listed in this section should be articulated in the body of the report (i.e. the rationale for any recommendation should be set out clearly in the body of the report), similarly any recommendation narrated in the body of the report should be listed in the recommendations section. A recommendation for a report to be remitted to another Committee / Sub- Committee should only be included if that Committee / Sub-Committee requires to take a decision - remits for Noting are discouraged. Please don’t forget to number the recommendations using a simple 1, 2, 3, 4, etc format (not roman numerals or using a b, c, d).
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68 4. VARIATIONS TO DIRECTIONS? Directions are the means by which the IJB tells the Health Board and the Council what is to be delivered using the integrated budget. A direction must be given in respect of every function that has been delegated to the IJB. Directions are a legal mechanism, the use of directions is not optional for IJBs, Health Boards or Local Authorities, it is obligatory. This section outlines if the report requires a direction to be issued to the Local Authority, the Health Board, to both, or that no direction is required Detail if Health Board, Local Authority or Both. 5. BACKGROUND/SUMMARY OF KEY ISSUES The Background should set the context for your report and contain information that covers, for example, what has led to the purpose of the report (e.g. legislative or transformational change), summarising relevant information previously reported and previous decisions approved. It should provide sufficient information so that the reader understands the context within which the report is being presented. The body of the report should be as succinct as possible and the text should flow logically. It should inform readers of the work carried out to date and explain future work plans. Generally, it should provide new information that requires further consideration and/or approval. Long sentences or paragraphs of text should be avoided; short sentences and short paragraphs are much easier to read. Please don’t forget to check the paragraph numbering runs in sequence, the text is formatted correctly, and the paragraph numbering is formatted and indented correctly. Headers are Arial, font size 12, bold with single line spacing. Body of the report is Arial, font size 12 with single line spacing. Yes ☐ No ☐ N/A ☐
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69 6. CONCLUSIONS This section should draw the committee’s attention back to the key reasons and arguments in favour of the recommendations made within the report. Conclusions can also inspire fresh concepts to address a problem highlighted within the report or presenting fresh perspectives on a subject. 7. IMPLICATIONS 7.1 NATIONAL OUTCOMES Please check the relevant boxes from the 9 national outcomes. Link(s) to National Health and Wellbeing Outcomes People are able to look after and improve their own health and wellbeing and live in good health for longer ☐ People, including those with disabilities or long-term conditions, or who are frail, are able to live, as far as reasonable practicable, independently and at home or in a homely setting in their community ☐ People who use Health and Social Care Services have positive experiences of those services, and have dignity respected ☐ Health and Social Care Services are centred on helping to maintain or improve the quality of life of people who use those services ☐ Health and Social Care Services contribute to reducing health inequalities ☐ People who use Health and Social Care Services are safe from harm ☐ People who work in Health and Social Care Services feel engaged with the work they do and are supported to continuously improve the information, support, care and treatment they provide ☐ Resources are used effectively and efficiently in the provision of Health and Social Care Services ☐ 7.2 ASSOCIATED MEASURE(S) This should refer to other associated work/governance arrangements in place. 7.3 FINANCIAL Where there is a financial impact highlighted within your report, please summarise this impact. In doing so please ensure that all financial impacts have been discussed and agreed with Finance. Where there is a financial impact that requires to be discussed and agreed with Finance, please ensure you have ticked the box to confirm that this has been done.
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70 This paper has been reviewed by Finance: Yes No N/A 7.4 RISK ASSESSMENT/RISK MANAGEMENT State details of which Risk Register the topic is listed on (if any), the current risk level and the risk owner. Where appropriate outline any mitigations in place. Relevant Risk Register Details Current Risk Level Risk Owner Choose an item. 7.5 ENGAGEMENT & PARTICIPATION State how engagement and participation links to this piece of work, providing further details where appropriate on what engagement and participation was undertaken. Please tick the engagement and participation objectives that link(s) with this piece of work and provide further details on the engagement and participation that was undertaken. Objectives Further details ☐ Involve stakeholders in the development work aimed at achieving the national outcomes ☐ Provide stakeholders with information on how to get involved ☐ Ensure a diverse range of engagement and participation and opportunities are in place to suit different needs ☐ Measure how well we involve community stakeholders in the planning, design and delivery of our services ☐ Provide regular feedback on how stakeholder engagement and participation is shaping and influencing service development and delivery ☐ Provide support to enable stakeholder representatives to participate meaningfully and confidently at meetings ☐ Develop participation guidelines to ensure a common understanding and set of
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71 expectations for both stakeholders and partnership staff ☐ Support engagement planning and participation in localities, taking account of other engagement activity and local plans across the Community Planning Partnership 7.6 INEQUALITIES & FAIRER SCOTLAND DUTY As per Equality Act 2010, please ensure that the policy, project or scheme does not unlawfully discriminate against any protected characteristics. EQIAs should be carried out: when developing new or reviewing current policies, strategies, services and functions. Please see Equality Impact Assessment Guidance and Forms (available on first port) for further guidance. . EQIA Completed & Fairer Scotland Impact Assessment Form Completed and attached to report: Yes No N/A EQIA added to website: Yes No N/A 8. BACKGROUND PAPERS Outline any other relevant papers or websites. 9. APPENDICES Please include a glossary of terms if not already included. If the report has one or more Appendices, please use this section to list the Appendices (examples below). These can be files attached to the report or hyperlinks to external sources, e.g. a website.
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72 For example: - Appendix 1 - name of document attached to report - Appendix 2 - title on web page and url hyperlink for an item on the council’s website or to an external webpage. Please ensure any url links will work for all audiences. Please do not embed Excel / Word / PowerPoint / PDF files into your report - they are not always able to be retrieved by the reader when turned into a pdf; so do not always enable the reader to review the complete information. Any information from embedded files must be extracted and added as an appendix. Please do not insert any other text under the name and title of the signatory for the report. . CHIEF ACCOUNTABLE OFFICER (or Depute) For governance purposes the accountable officer should be a chief officer (Heads of Service are classed as chief officers). This should be an electronic signature and not typed. Note: All reports must have a signature. Members seeking further information about any aspect of this report, please contact the following; It is useful to provide the details of the contact person (name, e-mail address, and telephone) who can respond to enquiries on the subject matter of the report, so the E-mail address can show either show the Chief Officer or the author of the repor