Version: 4
Last Amended: 1 July 2024
Next Review Date: 31 March 2026

1.  Background

Promoting the protection of children and adults is a key duty for all ILF Scotland staff and is explicit in our policies, procedures and values. The health, safety and welfare of all persons who use ILF Scotland services are of paramount importance. All activity associated with ILF Scotland process must be carried out in accordance with this principle, with a view to ensuring that services meet the identified needs of individual recipients in a manner which promotes and respects their independence and affords them choice in the way the service is provided, while maintaining their safety.

2.  Policy

Health & Social Care Partnerships / Northern Ireland Trusts (HSCP / HSCT) have a statutory responsibility in respect of children (Children (Scotland) Act 1995) and adults (Adult Support and Protection (Scotland) Act 2007).

In addition, there is National Guidance for Child Protection in Scotland 2021 - updated 2023 - gov.scot (www.gov.scot)

However, all services that work with children and adults are responsible for promoting, supporting and safeguarding the wellbeing of all children and adults at risk of harm and ensuring that members of the public know who to contact if they are concerned about a child or adult at risk of harm.

All ILF Scotland staff have a duty to report concerns of harm. If any ILF Scotland staff member becomes aware of potential or actual harm, they will act with or without the consent of the ILF Scotland applicant / recipient or of the person affected, by providing information in the form of a referral to the relevant HSCP / HSCT, and in line with the policy of that HSCP / HSCT. This will normally involve using an agreed referral form or by telephone.

3.  ILF Scotland Staff

For all ILF Scotland staff, protecting children and adults means recognising when to be concerned about their safety and understanding when and how to share these concerns. ILF Scotland provide all relevant staff with Child and Adult Protection Awareness training, both at time of induction, followed by regularly updated training every three to five years or individually as required.

All staff should be familiar with this Protection Policy and the Procedure Guidance. All staff have the required Disclosure checks and Registered Body memberships.

4. Procedure

If any staff member becomes aware of potential or actual harm, they will:

• Where possible, discuss any concerns of harm with their line manager or a member of the ILF Scotland Senior Management team. However, this does not stop any staff member reporting concerns immediately to the relevant HSCP / HSCT.

• If any reported concern involves an ILF Scotland applicant, recipient or family member, ILF Scotland staff will follow up as appropriate to ensure the safety and wellbeing of the person.

• Any protection concerns will be reported timeously to the Senior Management Team and quarterly to the Board of Directors and the Scottish Government / Department of Health NI Sponsor Teams.

5. Adults at Risk

The Adult and Support Protection (Scotland) Act 2007 defines Adults at risk of harm or self-harm as adults who:

• are unable to safeguard their own well-being, property, rights or other interests
• are at risk of harm, and
• because they are affected by disability, mental disorder, illness or physical or mental infirmity, are more vulnerable to being harmed than adults who are not so affected

6. Harm or Abuse of an Adult at Risk

Abuse may be of a physical, psychological, sexual, financial, neglectful or discriminatory nature or other type. This could be a single act or repetitive acts. Examples include:

• where a third party is using an adult’s money for purposes other than that for which it is intended for example a non ILF Transition Fund grant purpose
• where a person puts pressure on an adult at risk to allow someone to carry out care tasks when the adult at risk adult does not want them to
• where someone forces an adult at risk to take part in sexual activities when they have neither the capacity nor the ability to consent to this

7.  Children at Risk

In Scotland, a child is generally considered to be someone under the age of 18. Child protection in Scotland should be seen in the context of the wider, “Getting It Right For Every Child” (GIRFEC) approach, the Early Years Framework and the UN Convention of the Rights of the Child. GIRFEC promotes action to improve the wellbeing of all children and young people in eight areas. These wellbeing indicators are known as SHANARRI (safe, healthy, achieving, nurtured, active, respected, responsible and included). The primary indicator for child protection is to keep a child safe and, in doing so, give attention to other areas of wellbeing as appropriate.

8. What is child abuse or neglect?

Abuse and neglect are forms of maltreatment of a child. Somebody may abuse or neglect a child by inflicting, or by failing to act to prevent, significant harm to the child. Children may be abused in a family or in an institutionalised setting, by those known to them, or more rarely, by a stranger. Child protection means protecting a child from child abuse or neglect.

9. Values Statement

Notwithstanding the duty to report concerns of harm, ILF Scotland supports recipients to exercise choice and control, promoting positive risk taking, to enable recipients to use their funding in an outcome focused way to lead independent lives.

Review History

Version 1: 14 December 2017
Version 2: 31 March 2021
Version 3: 14 March 2024
Version 4: 1 July 2024

Version: 8
Last reviewed: 21 July 2025
Next Review: 31 March 2026

1. Background

ILF Scotland requires that applicants must not have personal capital exceeding the amount prescribed. The current limit is £35,500 in line with the threshold used by Scottish Local Authorities for residential care charging.

2. Policy

1. All applicants with capital below £35,500 will meet the capital eligibility requirement.
2. ILF Scotland disregard the capital of people claiming the following benefits:
3. Income Support
4. Income-based Jobseeker's Allowance
5. Income-based Employment and Support Allowance.

Department for Work and Pensions (DWP) conditions for receipt of these benefits is sufficient to confirm capital limit eligibility for an ILF Transition Fund grant.

• ILF Scotland can disregard the value of capital set aside specifically for impending disability related purchases. Disability related purchases are not defined but could include, for example, equipment or home adaptations. In these circumstances an ILF Scotland Assessor visit will be required, during which the applicant will be asked to evidence the planned expenditure.

3. Deprivation of Capital

A recipient or applicant will be treated as having capital where they have purposefully deprived them self of capital in order to receive or continue to receive funding from ILF Scotland.

4. Definition of Capital

The ILF Scotland definition of capital includes:

• savings
• one off lump sum payments
• investments (not including annuity payments which are regarded as income)
• property/land (apart from the home a recipient/applicant lives in)
• interest from a Trust Fund.

Owner:  ILF Scotland
Subject:  Ex-Gratia Payments
Version:  1.0 
Date Created: 14 December 2017  
Last Amended: 31 March 2021
Next Review: 31 March 2024

1.    Background  

This paper outlines the policy for making an ex-gratia payment.  ILF Scotland can make an exgratia payment following a formal complaint, which it upholds or a decision review request, which leads to a new decision. ILF Scotland can make these payments to applicants or recipients who have experienced financial loss, gross inconvenience or gross embarrassment caused by maladministration and/or excessive and unwarranted delay on the part of ILF Scotland.   

ILF Scotland’s Director of Policy considers and coordinates actions in relation to all complaints and decision reviews and can provide a direct response to address the complaint or decision review request or refer this where relevant to ILF Scotland’s management team. Please see policy TF11 Decision Review.  

ILF Scotland will offer an apology for any mistake it makes or delays it causes and in most circumstances it believes this will be sufficient. If the impact of the events leading to a complaint or a decision review request are significant and an apology on its own is not sufficient, ILF Scotland will consider further redress by way of an ex-gratia payment.  ILF Scotland will only make ex-gratia payments in exceptional circumstances.  Once the financial limit of £300 per person is reached in any financial year, ILF Scotland cannot award any further financial compensation. 

2.    Policy  

In order to consider an ex-gratia payment, ILF Scotland will require full details of the applicant/recipient’s complaint or grievance arising from the need to request a decision review. ILF Scotland can consider ex-gratia payments if the relate to the following:  

a.       Financial Loss  

Financial loss applies to cases where maladministration and/or excessive and unwarranted delay on the part of ILF Scotland has resulted directly in the applicant/recipient incurring additional expenditure or loss of income that would not have been incurred otherwise.   For example, where a delay in payment of the funds results in bank charges and/or fees for the person.  

b.       Gross Inconvenience  

or  

c.       Gross Embarrassment  

A payment may be considered in very exceptional circumstances where maladministration and/or excessive and unwarranted delay on the part of ILF Scotland has had an adverse effect on the life of the applicant/recipient, either in the form of gross inconvenience or gross embarrassment.  The applicant/recipient does not have to demonstrate that they have suffered financial loss.

3.    Ex Gratia payments 

The Director of Policy, in conjunction with the decision reviewer or complaint investigator, will consider and determine whether an ex-gratia payment is appropriate. ILF Scotland can make a payment between £25 to £300 per person. ILF Scotland will not pay out more than £300 per person per annum.   

Any appeal against an ex-gratia decision will be heard by ILF Scotland Chief Executive Officer, who will not be involved in original decisions in relation to ex gratia payments.  

4.    Cross References  

• ILF Scotland Complaints Handling Procedure
• Decision Review Procedure (TF11)

Owner: ILF Scotland
Subject:  Employing A Relative Living In The Same Household
Version:  1.0 
Date Created: 14 December 2017 
Last Reviewed: 31 March 2021
Next Review: 31 March 2024

1.    Introduction  

ILF Scotland is committed to supporting independent living for recipients.  ILF Transition Fund grant recipients may use some or all of their grant to employ a Personal Assistant (PA) in order to achieve their specified outcomes.  As a general rule ILF Scotland expects that any PAs employed using a grant are not relatives of, or living in the same household as the fund recipient. 

2.    Policy 

This policy applies when an applicant requests that ILF Scotland monies are to be used to employ a PA who lives in the same household as the applicant.  

Employing a PA who lives in the same household is by exception, and will only be agreed to under two circumstances:

a. it is evident that it will increase the independence of the recipient, and 

b. it is the only satisfactory means of having the support needed to meet the recipient’s outcomes.   

If it is the only means of meeting the recipient’s outcomes, all other alternatives should have been proved to be ineffective (or unsatisfactory), and have been exhausted.  It should be seen as the last resort only. 

Where the recipient feels that there are reasons why only a particular individual in their household can provide the necessary support to achieve their specified outcomes they may request ILF Scotland to consider this request.  Permission must be gained in advance. 

Where this request is unsuccessful the recipient may appeal in line with Policy TF11  - Decision Review.   

Each individual situation will be considered on its own merits and, although the factors in this guidance will be taken into account, these factors should not be considered as a checklist of reasons for agreement. An ILF Scotland Assessor visit will be arranged, during which the specific circumstances will be considered in line with the procedure outlined below (Section 5). 

3.    Definition of relative  

ILF Scotland defines members of a household as:  

a. a person’s partner 

b. any of a person’s: parent, child, grandchild, grandparent, aunt, uncle, niece, nephew or sibling

c. any of a person’s: step-relations or his or her partner’s relations within the degrees of relationship set out in (b) above, and whether arising through marriage or civil partnership

d. the partner of any person falling within (b) or (c) above. e. any person not covered in (a),(b),(c) and (d), but who lives in the same household as the recipient (see section 4)

This does not apply to:  

i. an individual who is recruited and employed by an agency as a live-in support worker

ii. a PA who spends a proportion of their week in the household but who has their main residence elsewhere

4.    Definition of house  

Where a recipient lives in an annex to the main house in which their relatives reside, and wants to employ one of these relatives to provide their care and support, there needs to be evidence that the recipient’s house is regarded as a separate dwelling.  

Different factors can lead to a decision on whether there are separate dwellings, and, these can include:  

a. each house having exclusive occupation and access

b. separate postal addresses 

c. separate council tax billing

d. separate utilities

e. the two houses to be able to be sold separately from each other and  

f. no conditional restrictions on occupancy.  

Where the test for living in a separate dwelling is met, the procedure set out below (section 5) will not apply. 

5.    Procedure  

ILF Scotland will allow a request to employ a Personal Assistant who lives in the same house, in exceptional circumstances only.  

The recipient will need to demonstrate that employing their Personal Assistant will improve their independence and is the only option available, having tried all available alternatives.  

An assessor’s visit will be necessary to review the exceptional circumstances of the case and make a referral to ILF Scotland for a decision. ILF Scotland should request, where possible, that the recipient is seen separately from the Personal Assistant who is proposed to be employed.   

The Assessor has no discretion to make a decision. The purpose of their visit is to collect information  and offer a professional opinion to ILF Scotland.  ILF Scotland will consider the information gathered by the Assessor, along with their professional opinion, before making a decision and informing the applicant.  

6.    Cross References 

Policy TF08 on Agency Care  

Owner:  ILF Scotland
Subject:  Agency Care  Version:  1.0
Date Created: 14 December 2017
Last Reviewed: 31 March 2021
Next Review:  21 March 2024

1.    Background 

ILF Transition Fund grant recipients may use their grant to purchase support or services from a range of agencies or providers, some of which require to be registered. This policy only applies to agencies or providers engaged in Scotland. 

The Public Services Reform (Scotland) Act 2010 requires that where a person seeks to provide a care service, that person must apply to the Care Inspectorate for registration of that service. The purpose of the legislation is to verify that care services meet required quality and safety standards. A person providing a care service while not registered commits an offence. 

Recipients using all or part of their grant to purchase any other (not care) services that are regulated, must ensure that any agency, company or provider of services is appropriately registered with the relevant regulatory body. For example, approved driving instructors.  

ILF Transition Fund grants may at times be used to purchase goods and/or services from agencies who are not required to be registered, for example agencies providing support with employment.  Recipients are advised to ensure they deal with reputable companies, and they should consider seeking independent verification or references if in any doubt.

2.    Registration of care services 

Where an applicant is intending to use a care service that is providing support or other regulated services ILF Scotland will only provide funding if that agency is registered.  

Where an applicant intends to use a care service which is not appropriately registered, ILF

Scotland will advise the applicant of our policy not to provide funds in such circumstances.  In order to progress with such an application, the applicant must find an alternative provider with the appropriate registration. 

Should an applicant wish to await the registration of a particular care service ILF Scotland will hold their application for a period of up to six months.  If at the end of this period the registration has not been confirmed, the application will be unsuccessful.  The applicant may reapply at a future date in line with Policy TF01 – Eligibility Criteria.

3.    Self-Employed Personal Assistants

If an applicant intends to use their grant to purchase support from self-employed personal assistants, they should first confirm with the worker that their self-employed status is lawful within HMRC guidelines. 

In the case of employed personal assistants, the applicant (or his/her representative), will be responsible for ensuring they are recruited and employed in line with statutory regulations. Please see Policy TF09 – Employment Support.

4.    Agency support and relatives of the recipient

Should a recipient or their partner set up a care service which for example provides support, the recipient cannot themselves receive support from that service, as they would, in effect, be profiting from their ILF Transition Fund grant.

Should a relative other than the recipient’s partner set up a care service, which then provided support to the recipient, ILF Scotland will allow ILF Transition Fund grants to be used to pay for that service. 

If a relative who lives in the same household as the recipient is employed by a care service provider to provide support to the recipient, ILF Scotland will allow this arrangement.   It would not be right in such circumstances for ILF Scotland to intervene if the agency is legitimate and appropriately registered as the recipient would not be the employer of the relative.  ILF Scotland would be removing a recipient’s choice and control as well as the employment choice of the relative by refusing to support such arrangements.

5.    Regulatory authorities

Care Inspectorate

The Care Inspectorate regulates and inspects care services in Scotland in order to ensure that they meet the required standards. http://www.careinspectorate.com/   

Healthcare Improvement Scotland

Healthcare Improvement Scotland’s purpose is to drive improvements that support the highest possible quality of health and social care services for the people of Scotland.   http://www.healthcareimprovementscotland.org/about_us.aspx

Version:  2.0
Date Created:  14 December 2017
Last Reviewed: 31 March 2021
Next Review:  31 March 2024

1. Background  

It is ILF Scotland’s preferred position to pay grants directly into the bank account of the recipient.  This may not always be practical or desirable for recipients.             

Some recipients may be unable to hold a bank account or may feel unable to manage their grant.  Some recipients may prefer to have a family member or representative assist them with their financial affairs. 

Others may prefer a professional organisation to manage their grant.  Organisations providing this financial management support generally charge for their service.  

2. Policy

Where a recipient requests that ILF Scotland pay their grant to a third party for financial management purposes, ILF Scotland can include within the grant, an amount to cover the cost of this service. The service will normally include operating a bank account, on the recipient’s behalf and/or receiving ILF Transition Fund grant money into a general/shared account and managing it on the recipient’s behalf and paying any relevant invoices.    Where an applicant requests that ILF Scotland pay a private individual to supply financial management support to a grant recipient, ILF Scotland will consider the level of support that person would provide and will seek to ensure that the individual can maintain and provide the relevant recipient and records to ILF Scotland.   

The normal maximum fee that ILF Scotland will pay for this financial management service is £12 per week. Where an organisation or individual charges less than this, the lower amount should be included in an application to the ILF Transition Fund.  Where a recipient requests that ILF Scotland pay an amount greater than £12 and provide a reasonable explanation as to why a higher cost is necessary, ILF Scotland’s Management Team may agree to this.  

ILF Scotland will not normally pay for financial management support provided by a relative who lives in the same household. 

Managing an ILF Transition Fund Grant – TF06
Owner: ILF Scotland
Subject:   Managing an ILF Transition Fund Grant
Version: 1.0
Date Created: 14 December 2017
Last Reviewed: 31 March 2021
Next Review: March 2024

1.  Background

ILF Scotland will seek clarification at the point of application that an individual has capacity to manage an ILF Transition Fund grant. Incapacity is described in the Adults with Incapacity (Scotland) Act 2000, which defines “incapable” as:

a. acting or

b. making decisions or

c. communicating decisions or

d. understanding decisions or

e. retaining the memory of decisions,

by reason of mental disorder or of inability to communicate because of physical disability; but a person shall not fall within this definition by reason only of a lack or deficiency in a faculty of communication if that lack or deficiency can be made good by human or mechanical aid (whether of an interpretative nature or otherwise); “Adult” means a person who has attained the age of 16 years.

A first principle of the 2000 Act is that a person must be assumed to have capacity unless it is established that she/he lacks capacity.

http://www.legislation.gov.uk/asp/2000/4/contents

In the context of this policy, ILF Scotland is concerned with the applicant’s capacity to understand:

• what an ILF Transition Fund grant is for
• how the grant should be spent
• the responsibilities associated with managing the grant

2.  Policy Intention

The aim of this policy is to ensure that those applicants/recipients who lack capacity, or who need additional support, are able to apply to the ILF Transition Fund on an equal basis with others.

3.  Policy

a.  The application process will enable ILF Scotland to establish if an individual has the capacity to manage a grant either on their own or with assistance.

b.  Applicants/recipients deemed to have capacity are deemed responsible for ensuring that grants are managed in accordance with their agreement with ILF Scotland.

c.  Applicants deemed to have capacity must sign the relevant forms provided by ILF Scotland. If, due to an impairment that does not affect their capacity, they cannot sign then a third party acceptable to ILF Scotland may sign as a witness to their agreement.

d.  Recipients without the capacity to manage an ILF Transition Fund grant must use a third party Grant Manager acceptable to ILF Scotland, who will take responsibility on the recipients behalf. This Grant Manager will be responsible for the appropriate use of the grant.

Annex A – Guidance and process notes

1.  Capacity – definition and assessment

a.  The definition of incapacity is as given in the Adults with Incapacity ((Scotland) Act 2000.

b.  ILF Scotland will start with the assumption that an applicant/recipient has capacity but will make further investigation of capacity if there are indicators of incapacity as defined in the Adults with Incapacity (Scotland) Act 2000 (see section 1 above).                  ILF Scotland will not judge a person’s capacity on a single aspect. The intention is to offer support and so ensure that there is equal access to the ILF Transition Fund irrespective of capacity.

c.  ILF Scotland will take into account any impairment (whether temporary or permanent) to determine if that means the applicant/recipient is unable to make a decision at that time.

d.  The ILF Scotland Senior Management Team will ensure that guidance and advice is available to staff to assist them in establishing if an individual has capacity. Staff will also be advised that they should seek guidance from ILF Scotland Senior Management Team if needed.  

e.  If there are any doubts over an applicant/recipients’ capacity then the Local Authority may be contacted for a capacity assessment to be undertaken. A copy of the result of this assessment may be kept on file by ILF Scotland to support the decision to accept a third party Grant Manager.

2.  Letting applicants/recipients know what will happen to their personal data

a.  Applicants/recipients must be informed about what will happen to their personal data and notified how it will be processed. See Policy TF13, Data Protection, for details on how personal and sensitive personal data will be processed.

3.  Letting applicants know what their responsibilities are

a.  ILF Scotland will ask applicants (or their representatives), to agree to the terms and conditions of receiving the grant. This affirmative action by the applicant (or their representatives), declares their understanding and agreement to only use the grant for the stated purpose in accordance with their application and to manage their grant in line with their obligations which are detailed in the ‘Your Responsibilities Guide’. The grant will not be offered until this positive agreement has been made. ILF Scotland will put the offer on hold until such time as agreement is made or withdrawn. There may be instances where the applicant does not have the ability to sign. This is addressed separately in this policy document.

b.  The person who signs the Agreement Form accepting the offer will be the Grant Manager and is fully accountable for all aspects of the funding arrangements relating to an ILF Transition Fund grant. It is their responsibility to ensure that the administration of ILF Scotland monies will be handled appropriately and as agreed with ILF Scotland.

c.  ILF Scotland will establish if the applicant/recipient is capable of managing a grant from ILF Scotland. The capability to manage a grant will not be judged on an extensive knowledge of employment and financial management. If a person recognises that there are areas of managing a grant that they need support with, and ILF Scotland is satisfied that they will get that support, they will be considered capable of managing a grant.

d.  ILF Scotland will advise recipients or their representatives of their responsibilities in relation to managing a grant and maintaining appropriate records. That person needs to know they have a responsibility to ensure that if they employ someone they do so appropriately and within the legal requirements set by employment law. They must understand how ILF money may be used and that proper records must be kept. If they cannot do this on their own they must get someone to help them.

4.  Other people signing on behalf of the applicant/recipient

a. ILF Scotland will assume that a person has the capacity to meet their responsibilities, as outlined above, unless it is established otherwise.

b. There are some instances where an authorised third party may have to sign on behalf of an applicant/recipient. This will be where an applicant/recipient does not have the capacity to understand and agree to the terms of the grant, or, if they do have the capacity but they are unable to sign because of an impairment.

c. If an applicant/recipient does have the capacity to agree, but cannot physically sign, then a third party may witness their acceptance. In such circumstances details of why a witness was required should be provided.

d. If an applicant/recipient lacks capacity then ILF Scotland will accept signatures from authorised third parties agreed by ILF Scotland. In the first instance these are adults with a Power of Attorney or a Guardianship/Intervention Order granted under the Adults with Incapacity (Scotland) Act 2000 or those named at (h) and (i) below.

e. It should be made clear on any document that a third party signs why they are signing on the applicant/recipient’s behalf.

f. The person who signs the Agreement Form becomes the Grant Manager and takes on responsibility for managing ILF Scotland monies appropriately.

g. The Grant Manager must also understand that with their responsibility they become liable for the management of the grant. This includes not only spending the money for support as agreed with ILF Scotland but also making sure agencies and personal assistants are employed appropriately and ILF Scotland are informed of any relevant changes.

h. The hierarchy of who can be a Grant Manager is detailed below:

a. Recipient

b. Power of Attorney (POA)/Guardian or Intervener

c. Benefits Appointee

5.  Who needs to be present at ILF Scotland Visits

a.  If a third party has signed the application or agreement form on behalf of an applicant/recipient, ILF Scotland will expect that person to be present at any visit required. In the event of a Power of Attorney/Guardian signing, ILF Scotland will require that they are present at the visit. This requirement will be communicated clearly to both the recipient and such third party at the point of a visit being arranged.

Annex B: Assessing Capacity – Guidance

1. Assessing Capacity

ILF Scotland will always assume that a recipient or applicant has capacity and will use the criteria below to consider whether an applicant can manage a grant alone or with support. A recipient/applicant will not be required to have an extensive knowledge of employment law and financial management to be deemed to have capacity. If a person knows there are areas of managing a grant that they need support with and they get the required support, then they will be considered as having the capacity to manage a grant.

a.  When establishing if a recipient/applicant has capacity to manage a grant, at that time, there are a number of questions that should be used as guidance. These include:

• Does the person have a general understanding of what it means to manage an ILF Transition Fund grant?
• Do they have a general understanding of the responsibilities of an ILF Transition Fund Grant Manager?
• Does the person understand that they are the ‘boss’, if they employ someone, and that they must ensure the employment is managed properly?
• Do they understand that all ILF Transition Fund grants must be spent only on the preauthorised support plan activity.
• Does the person understand that records must be kept on how the money is spent?
• Do they understand that if they cannot manage the grant alone that they must get help from someone and if unclear about this should seek advice from ILF Scotland.

b.  Whether or not an applicant/recipient has capacity will never be based on simply:

• their age
• their appearance
• assumptions about any health condition or impairment
• any aspect of their behaviour

c.  Any relevant communication matters should also be considered. This includes whether the applicant /recipient can communicate their decisions and whether the services of a professional person should be engaged to aid their communication.

d.  If there is any doubt about the capacity of the applicant then a more thorough assessment should be requested from the Local Authority or by a GP or other qualified health professional.

e.  One of the responsibilities of an ILF Transition Fund Grant Manager is to advise us of significant changes. These include:

• any change of circumstances which may affect the use of the grant which may include –
  • hospital admission
  • delay in implementing the plan
  • unavailability of support to progress plan arrangements

This list is not exhaustive and Grant Managers/recipients should consult with ILF Scotland if they are in any doubt.

Owner: ILF Scotland
Subject: Residence and Presence
Version: 1.0
Date Created: 19 December 2017
Last Reviewed: 31 March 2021
Next Review: 31 March 2024

1. Policy

Applications for the ILF Transition Fund will be tested against the residence and presence requirements at the initial point of application. If an applicant’s circumstances change at any point during the application process, ILF Scotland should be notified of this immediately. Recipient of the grant must remain eligible throughout the period during which the ILF Transition Fund grant runs. If a recipient’s circumstances change at any point during this period, ILF Scotland should be notified of this immediately.

All applicants and recipients must satisfy the following residence and presence tests:

1. be lawfully resident in Scotland, or have been granted refugee or humanitarian protection status with the right to remain in Scotland, for the period during which the ILF Transition Fund grant runs
2. not be a person subject to immigration control within the meaning of section 115(9) of the Immigration and Asylum Act 1999
3. be present in Scotland at the time of application and for the period during which the ILF Transition Fund grant runs, unless it can demonstrate that they are not present only on a temporary basis (that their absence will not last for a continuous period exceeding 26 weeks).

ILF Scotland has discretion to dispense with requirement (c) if, in the reasonable opinion of ILF Scotland it is established that a person’s absence from Scotland, whilst over 26 weeks is/was not permanent in nature and is/was for the specific purpose of being treated for a disabling condition which commenced before they left Scotland.

2. Procedure

Where the residence and presence question is answered negatively, ILF Scotland will determine whether or not an applicant or grant recipient is/remains eligible on the basis of the discretion available, as described in section 1. Such a case should be referred to the ILF Scotland Head of Policy for consideration. Where a grant recipient becomes absent from Scotland for a continuous period lasting more than 26 weeks, ILF Scotland must be informed. Except where the discretion described in section 1 allows a recipient to remain eligible, the recipient would no longer satisfy the residence and presence test, and, therefore, would no longer be eligible for a grant, and their grant will be suspended. A recipient should be informed that if they do not regain eligibility within 3 months of the date of a suspension, the grant will normally be closed unless they can demonstrate that within a further 3 months eligibility will be restored, in which case the grant will remain suspended for this further 3-month period. If after this 6-month period the recipient still has not regained eligibility, the grant would normally be closed. (See policy TF02 – section 10.0 ‘Suspension and Closure of grants’).

Version: 1.2
Effective from: 1 January 2024
Next Review: 31 March 2025

Background 

The ILF Transition Fund aims to provide short term financial support for young disabled people aged 16-25 to achieve independent living goals related to being active and participating or present in their community. ILF Scotland, as the holder of these funds, is required to obtain personal and sensitive data to confirm the identity of the individual and to process their application. The outcome of the processing, (for successful applications), further requires ILF Scotland to maintain and retain records under the Public Records Acts.

ILF Scotland also takes action to comply with the following legal and professional obligations:

• The General Data Protection Regulation (GDPR) (Regulation (EU) 2016/679)
• The Data Protection Act 1998 (superseded)
• The Public Records Act 1958
• The Freedom of Information (Scotland) Act 2002
• The Computer Misuse Act 1990
• The Privacy Electronic Communication Regulations (rev 2011)
• the common law duty of confidentiality

In regard to the ILF Transition Fund, significant staff training will apply due to the need for confidentiality and protection of the sensitive personal data being processed.

Operation and Data Protections 

All personal data will be processed fairly and lawfully. As the Data Controller, ILF Scotland will collect the following information from those applying for funding at three key stages of the award process:

Stage 1 – Creation of My Account 

• A valid email address for the purposes of account creation and communication (tracking) of application progress. If an application is received online (electronically), the applicant will be notified as to the outcome of their application through their electronic account unless they request an alternative option, (i.e. phone, text, paper).
• Details of the computer being used to make the application (the IP address) will be collected for the purposes of establishing unique/returning visitors and geographical information to enable research and continuous improvement of online services. No identifiable personal information is captured and the analytical tool used to process “site traffic” is Google Analytics.

Note: A password is required to set up the electronic account. ILF Scotland will not collect this information and has no means of establishing what an individual’s password is. As such, this information is not processed by ILF Scotland and remains the responsibility of the individual to protect and manage. If forgotten, the online system has a password reset function controlled by the applicant.

Stage 2 – About Me and My Application 

• Name, age, address, National Insurance Number, (for over 16s), if in receipt of DLA or PIP, self-identification of impairment or disability, (eligibility condition), personal goals and the name of a third party who has worked with the individual on a professional basis and can identify them and their impairment. All of these details are specifically obtained to confirm the identity of the individual and to establish the impact their impairment has on their daily life. As the purpose of the grant is to enable disabled young people to increase their ability to live independently, be active and participate or be present in their community, understanding their personal circumstances will enable a more refined assessment of the impact grants will make.
• The reason for requesting whether an individual has DLA or PIP is to confirm identity and establish eligibility i.e. an individual who has DLA or PIP, (at any level), will automatically be considered to have evidenced their disability and met this specific eligibility criteria. The use of National Insurance number also forms part of identity management and is the default an alternative verification tool if an individual does not have DLA or PIP. ILF Scotland has permission from the HMRC/DWP Joint Board for requesting and processing an individual’s “NI” number for this purpose and is part of a formal data sharing agreement with them.
• ILF Scotland has established that the above data set is the minimum required for accurate processing of an application request for an identified individual. If an individual elects not to provide all of the above information, it will not be possible for ILF Scotland to process the application and it will be declined. If there are exceptional circumstances as to why the individual is not able to provide this information, it may be possible to request an application support visit where an ILF Scotland Assessor will aim to identify alternative options that collectively may assist the application process and identity verification.

Stage 3 – Accepting My Award and Providing Bank Details 

• An ILF Transition Fund grant is managed by a Grant Manager. This is normally the individual who is making the application but there are many situations where the grant may be managed on behalf of the recipient, (see policy TF06).
• Details of the named individual who will be managing the grant will be requested so that ILF Scotland will have a point of contact for the duration of the grant period. Additionally, this information will be used for any issues regarding misuse, theft, illegal or fraudulent use of the grant monies outwith the terms of the offer.
• Details of the bank account or building society roll number, together with the named holder of that account, will be required so that payments can be made into that account. This may be a parent or guardian or a financial management company but their account details and relationship to the applicant must be stated.
• The applicant, or person named as Grant Manager, will be asked to confirm their agreement to accept the terms and conditions of managing the grant prior to supplying the bank account information. The detailed terms and conditions are contained in the following documents:
• Your Responsibilities Guide
  • Policy TF06, Managing an ILF Transition Fund grant
  • Policy TF07 Financial Responsibilities
  • the ILF Scotland website (Transition Fund Policies)

ILF Scotland requires the individual to make an affirmative agreement to accepting these terms and conditions and will retain a record of this action in the electronic database. In effect, this is an electronic signature which replaces the need for a physically signed document.

Failure to provide valid bank account details will result in monies not being paid into that account. ILF Scotland will receive notification of payment error from the automatic payment system and will contact the named Grant Manager to confirm account information.

In any case of suspected theft or fraud, ILF Scotland will share all of the above information with Counter Fraud Scotland to assist in the investigation process and with any legal bodies if subsequent findings prove evidence of intentional theft/fraud. To assist this process, ILF Scotland will require individuals to obtain and submit receipts and/or proof of their expenditure during the grant period as detailed in the ‘Your Responsibilities Guide’, TF06 Managing an ILF Transition Fund Grant and TF07 Financial Management Support.

Confidentiality & Training 

ILF Scotland staff will be obtaining and processing personal information, and potentially conducting application support visits with individual applicants and their families/carers. Data collected will be of a personally sensitive nature and all ILF Scotland staff are trained as to their responsibilities in safeguarding and using it. Any sharing or use of sensitive personal data is strictly for the purposes of processing the application or administration of the grant and is on a need to know basis. All staff are subject to annual mandatory data protection training and receive continuing professional development and practice updates.

Obtaining, storing and processing of information 

The two methods for individuals to make an application are either via the website or by submitting a completed paper-based application form (either via post or emailed as a document). A physically received application form will be manually processed into the core database system which is held within a secure environment in the Scottish Government network. Once entered into the database, the original version will be deleted or destroyed.

If an application is made via the website, personal data which is submitted is initially encrypted before being stored into an applications database held in a secure Scottish Government cloud service. Several times a day this information will be extracted from the secure cloud database, decrypted and entered into the core database held in the Scottish Government network for onward processing. At no point is personal data stored in the website and either a timeout or back button will cause any temporary information to be lost. Individuals may take several days/weeks to complete an application and the option to, “save and return” is available at every stage of the application process. If this is used, the saved data is automatically stored in the secure cloud database for a short duration prior to being imported into the Scottish Government network.

Once a completed application is received, all processing of information will be completed in the core database held in the Scottish Government network and progress fed back via the online tracker or phone/letter if a physical copy is received.

Successful applications, (which lead to the grant offer being accepted by the individual), will have all personal data retained until the individual reaches 22 years of age, or for 6 months after the end of the grant period, whichever is the longest period. It will also allow for financial audit and impact of the grant to be established so that ILF Scotland can learn how it is making a difference. At the end of the grant period, financial details, (of the grant and receipts for spends), will be kept for audit and reporting requirements to HMRC for 6 years but all other details regarding the application will be destroyed. Retention of this personal data enables ILF Scotland to perform its core task and will assist in the improvement of its management of health and social care systems and is thus not based on consent.

Unsuccessful applicants will be informed of the reasons for not receiving an offer and may be signposted to appropriate support organisations or services. Their application records and personal data will be destroyed after 4 weeks in case the individual wishes to query or appeal the decision.

Use of ‘Big Data’, Smart Technologies, derived data sets and social media.  

There is now a wide amount of information about individuals which is potentially accessible from social media platforms and technology based applications. From this, it may be possible to develop further information about a specific individual for purposes which are not declared to the individual.

ILF Scotland will not attempt to collect or develop any type of information about an individual which could be observed, derived or inferred from these data sets; and will only request the minimum information from individuals which allow for the processing and administration of an application.

Consent, Withdrawing Consent and Accepting an Offer 

ILF Scotland has lawful basis to obtain and process personal information in the performance of its tasks carried out in the public interest and in the management of health and social care systems. The accepting of the grant offer does not imply or automatically give consent for ILF Scotland to process or share personal information with other relevant organisations. ILF Scotland will only use personal information to enable the fair and accurate processing of an application and share the minimum information with other organisations to confirm identity and continuing eligibility and as further described in the ‘Your Responsibilities Guide’.

If an individual no longer wishes to receive grant funding from ILF Scotland they can indicate this, and monies will no longer be paid from the stoppage date provided by the individual. ILF Scotland will retain and continue to process personal data as described above, complete its financial audits, and aim to understand the impact achieved to date and the reasons for the early ending of the grant. However, due to the nature of the performance of the task in the public interest, and in the management of health and social care systems, the individual cannot request that their data is deleted whenever they like. Processing of this personal data is necessary for the performance of key tasks and ILF Scotland will retain the details of successful applications for the purposes of record keeping, auditing and financial purposes. ILF Scotland will keep individual financial records for a period of 6 years post expiration of the grant.

Right of Access to their data 

Under the terms of the new Data Protection Act (2018), all data subjects have the ability to request the details that are held about them. This is called a Subject Access Request and can be made in writing, (or electronically), at any time.

Direct Marketing  

ILF Scotland will not undertake direct marketing to individuals who create an account with us, nor will they share any information about them with any third parties who may have a commercial or particular interest in contacting individuals.  

Subject: Internal Review of Decision
Version: 2.0
Date Created: 14 December 2017
Last Review: 29 March 2021
Next Review: 31 March 2024

1.  Background

ILF Scotland aims to provide a high standard of service and to ensure that all decisions made are correct first time. However, there may be occasions when someone asks us to review a decision we have taken. E.g., a decision not to fund an item an applicant has requested.

The following people can request a decision review:

• an applicant to the ILF Scotland Transition Fund
• a recipient of a grant from the ILF Scotland Transition Fund
• a recipient’s Grant Manager.

2.  Policy

A person must request a decision review, either verbally or in writing, within one month of the date that ILF Scotland informed them of the decision.

ILF Scotland aims to acknowledge all requests within five working days, and to notify people of the outcome of the decision review within 15 working days of the date it has received all necessary information.

3.  Decision review

ILF Scotland’s Discretionary Decision Panel, which consists of members of its management team, will consider decision review requests and reach a decision. The Chief Executive will not participate in these decisions.

If the Discretionary Decision Panel made the original decision, ILF Scotland’s Chief Executive will consider the request and reach a decision.

4.  Complaints

An applicant can complain to ILF Scotland if they are unhappy with the decision review process ILF Scotland has followed. Please see ILF Scotland’s Complaints Handling Procedure

5.  Ex-gratia

ILF Scotland has the power to make ex-gratia payments to compensate for financial loss, gross inconvenience or gross embarrassment. Please see our Ex-gratia Payments policy

6.  Cross Reference

• Complaint Handling Procedure
• TF 12 Ex-Gratia Payment Policy