Home-Start Blaby District Oadby & Wigston
41 Record Keeping and Retention Policy
Policy statement
Accurate, proportionate records are kept in order to maintain a high quality and consistent service to families supported by Home-Start Blaby District Oadby & Wigston, to ensure a good framework of support and supervision for volunteers and members of staff, and to comply with all employment, charity and company legal requirements as well as Home-Start’s own quality assurance system.
Families, volunteers and staff are aware that the scheme maintains a record of Home-Start’s contact or work with them, and that they may request access to records held about them.
All records are made and held in accordance with the principles of the Data Protection Act 1998. Home-Start Blaby District Oadby & Wigston ensures that the Information Commissioner’s Office is notified of the scheme’s data processing activities.
Records are retained for the period specified in the procedure below, and with the exception of items that must be stored permanently, are then safely destroyed.
Procedure
1.All records are held securely; those relating to individuals or individual families are confidential and are kept in a locked filing cabinet.
2. Electronic files are kept securely, are password protected and regularly backed up. USB stick are not used to store personal information. Remote access to files from distant locations are securely maintained centrally.
3.Family files are kept in accordance with Home-Start guidance, and are kept up to date by the organiser/co-ordinator and/or administrator. Access for this normal maintenance of the file and for supervision purposes is not recorded.A note of all other access for specific purposes is recorded on the log at the front of the file, including access by the family or Home-StartUK for quality assurance purposes
4.At the initial visit the organiser/co-ordinator will explain to the family that a record is maintained about them, the family’s consent is sought and they are informed about their right to request access to the record held about them. This is recorded on the initial visit form
5.During the period of Home-Start’s support to a family, the organiser/co-ordinator will continue to talk to them about the records that are being made, including any record of concern or referral except where to do so would place a child at increased risk of significant harm or put an adult at increased risk of serious harm.
6.The scheme keeps proportionate, accurate records of all contact with the family, in accordance with Home-Start guidance. Contact with the referrer or other professional or agency in relation to the family is also recorded in the family file
7.The home-visiting volunteer completes the volunteer diary (family contact sheet) after each visit to the family, and returns them at least monthly to the scheme; these are kept in the relevant section of the family file
8.After family support has ceased, the family file is kept for 1 year after which it is destroyed unless there have been or there are ongoing child safety or welfare proceedings in which case the file will be retained for a total of 6 years after support ends before it is destroyed. At the point when family support ceases, the family file will be clearly marked with the expiry date, and will be shredded when that date is reached
9.The volunteer files are confidential, are maintained in accordance with Home-Start guidance and are kept securely in a locked filing cabinet
10.It is explained to volunteers that a record is maintained about them, and that they have the right to request access to it, and that the file may be sampled by HSUK for the purposes of Quality Assurance
11.DBS/PVG or Access NIcertificates are not kept by the scheme, but are destroyed within 6 months. The scheme will keep a note of the disclosure reference number and the date the check was completed on the volunteer file.
12.A written record of each supervision meeting with the volunteer is made and signed by the organiser/co-ordinator and the volunteer and then stored in the appropriate section of the volunteer file.
13.When the volunteer leaves Home-StartBlaby District Oadby & Wigston, the volunteer file is retained for 12 months and then destroyed except where an allegation was made that the individual has harmed, or may have harmed, a child; possibly committed a criminal offence against, or related to, a child; or behaved towards a child in a way that indicates s/he is unsuitable to work with children. Whatever the outcome of the investigation: the volunteer file, containing details of the investigation and outcome will be retained until the volunteer reaches normal retirement age or for 10 years if that is longer
14.Staff (personnel) recordsand trustee recordsare confidential, kept in accordance with Home-Start guidance and stored in a locked filing cabinet
15.Staff and trustees are made aware at induction that a record is held about them and that they have the right to request access to it, and that the file may be sampled by HSUK for the purposes of Quality Assurance
16.Selection and appointment information, absence, sickness and accident records will be retained in line with the retention summary below.
17. A written record of each supervision and appraisal meeting with the member of staff is made and signed by the line manager and the member of staff. The member of staff retains one copy, the other is stored in the appropriate section of the personnel file
18.When the member of staff or trustee leaves the scheme, the personnel file will be retained for 6 years after which time it will be destroyed exceptany records relating to illness or accident at work (12 years) or where an allegation was made that the individual has harmed, or may have harmed, a child; possibly committed a criminal offence against, or related to, a child; or behaved towards a child in a way that indicates s/he is unsuitable to work with children. Whatever the outcome of the investigation: the staff personnel file should be retained until the person concerned reaches normal retirement age or for 10 years if that is longer
19. Home-Start Blaby District Oadby & Wigston complies with the requirements of company law and records are maintained and retained in accordance with the retention summary below.
20.Home-StartBlaby District Oadby & Wigstoncomplies with the Statement of Recommended Practice (SORP) in relation to its financial record keeping and reporting; and all financial records are retained in accordance with the retention summary below.
21.Home-Start Blaby District Oadby & Wigstonstores insurance policies and employer’s liability insurance certificates securely and in line with the retention summary below.
22.Home-Start Blaby District Oadby & Wigstonstores documents relating to the ownership or leasehold of premises securely and in line with the retention summary below
Agreed at board meeting 11th February 2015
Signature of Chair:
Date 11th February 2015
Date of Review February 2018
To be reviewed within Quality Assurance cycle in relevant standard.
A company limited by guarantee, registered in EnglandWales, number 5373629
Charity No 110861
SUMMARY: Record Retention Periods in Home-StartRetention of Records in Home-Start schemes
Employment
In general the personnel file should be retained for 6 years, but need only contain sufficient information in order to provide a reference. Copies of any reference given should be retained for 6 years after the reference request. Trustee files should be retained for 6 years.
Application form / Duration of employment, shred when employment ends
References received / May destroy 1 year after received, otherwise shred at end of employment
Sickness records / 3 years (ie at the end of employment, the previous 3 year’s records will be in the file, assuming they have been employed for at least that period of time)
Annual leave records / 2 years
Unpaid leave/special leave records / 3 years
Records relating to an injury or accident at work / 12 years
References given/information to enable a reference to be provided (including sickness records) / 6 years from end of employment
Recruitment and selection material / 6 months after decision
Disciplinary records / 6 years after employment ends
Note: if an allegation has been made about the member of staff or trustee (see para 17 above) the personnel record should be retained until they reach the normal retirement age or for 10 years, if that is longer.
Family and volunteer records for Home-Start Purposes
Family records, where no safeguarding concern
Family records, where a safeguarding concern was referred by Home-Start, or the family were subject to a child protection plan / The family file is retained for 12 months from the date of ending Home-Start support.
The file is stored securely and is marked with the date (month/year) it should be destroyed
The file will be securely destroyed at the appropriate date
The family file is retained for 6 years from the date of ending Home-Start support.
The file is stored securely and is marked with the date (month/year) it should be destroyed and stored securely.
The file will be securely destroyed at the appropriate date
Volunteer files / The volunteer file is retained for 12 months after the volunteer has ceased to be a Home-Start volunteer. Sufficient info in order to provide a reference may be retained.
Note: if an allegation has been made about the volunteer, the volunteer file should be retained until the volunteer reaches normal retirement age or for 10 years if that is longer (see para 12 above)
DBS checks/PVG check by Disclosure Scotland and Access NI Checks
Record as received and satisfactory (or otherwise) then destroy securely in compliance with DBS/PVG or Access NI guidance
Financial Records
Financial records / 6 years
Payroll and tax information / 6 years
Corporate
Employers Liability Certificate / 40 years
Insurance policies / Permanently
Certificate of Incorporation / Permanently
Minutes of Board of Trustees / Permanently
Memorandum of Association / Original to be kept permanently
Articles of Association / Original to be kept permanently
Variations to the Governing Documents / Original to be kept permanently
Statutory Registers / Permanently
Membership records / 20 years from commencement of membership register
Rental or Hire Purchase Agreements / 6 years after expiry
Others
Deeds of Title / Permanently
Leases / 12 years after lease has expired
Accident books / 12 years from the date of the last recorded accident, see also records of injuries/accidents at work, above
Appendix
Family Files – Keeping good records
It is important that there is a clearly documented account of Home-Start’s involvement with each family supported, in order to
- ensure the best possible support to the family, building on the work already undertaken and the relationship already established
- assist continuity when the organiser is unavailable or leaves the scheme, and a new organiser picks up the work
- ensure good practice in terms of safeguarding and promoting the welfare of children, and/or of vulnerable adults
- contribute properly to any investigation that is conducted in the event of a serious incident affecting the family
- demonstrate that the scheme complies with the Home-Start quality standards and locally agreed arrangements for info sharing, where appropriate
In accordance with the requirements of the Data Protection Act, personal information that is held (eg about a family) must be adequate, relevant but not excessive and it must be accurate and up to date. See here for further information about data protection. All such records must be kept securely in a lockable filing cabinet.
It is integral to Home-Start’s approach that families are made aware of the records that are made and held about them, and that they know they can access their records if they wish.
In the rare cases where a Home-Start scheme is required to contribute to a review following the death or serious injury of a child (known as Serious Case Reviews in England and Wales; Significant Case Reviews in Scotland and Case Management Reviews in N Ireland), it is essential that the records you keep would allow you to construct a detailed chronology of each of the scheme’s contacts with the family, and with the referrer or other practitioner/agency in relation to the family.
Schemes must keep an accurate and up to date family file for each family supported through home-visiting and/or through a family group using the family file guidance and format provided . This must include a note of telephone calls made to or received from the family, visits made by the organiser to the family or by the family to the scheme’s premises as well as the volunteer’s family contact sheets(volunteer diary sheets)
As far as possible, the family file should be updated within 1 working day of the contact so that the reason for the contact and any item to note or action is still fresh in your memory.
It isn’t necessary or appropriate to write huge amounts – what you do write should be factual and clear, dated and signed. Any decision you take (for example to refer the family to another service) should be clearly recorded. If following a record of concern you decide in consultation with the strategic lead for safeguarding, not to refer on – it is important that you record that decision and the reasons for it clearly. Bear in mind that a new organiser may need to read it one day!
If the contact has resulted in action (for example, to refer the family to another service) include that in your notes.
If you have shared information about the family (for example with their health visitor) note down whether or not you had sought the consent of the family to do so; and record what information was shared and with whom.
Spot checking records (this section added 17/1/11)
Checking that records are being kept properly and that family files are maintained consistently is an important part of ensuring accountability and good safeguarding practice in the scheme. Those undertaking checks are bound by Home-Start confidentiality; there is no need to anonymise records.
It is particularly important to check that any concerns noted in the file, have been acted on appropriately.
For new staff
New staff who will keep family records/files as part of their role should receive clear guidance about record writing and keeping as part of their induction. During their probationary period, the line manager should check at least monthly that this learning is being implemented and that records being kept by the new member of staff do comply with Home-Start guidance and the requirements of the scheme.
For organisers/co-ordinators working to a senior
The senior organiser/co-ordinator should undertake spot checks of family files every 3-6 months, at a sufficient level to assure themselves that family record keeping within the scheme is of a consistent standard and in line with Home-Start guidance. The senior should sign and date the front sheet at the front of the file to show that a check was undertaken.
Enough files should be checked to assure the trustee board that family record keeping within the scheme is of a consistent standard and in line with Home-Start guidance. The trustee/adviser should sign and date the front sheet at the front of the file to show that a check was undertaken.
Trustees do not otherwise have access to family files; except in very exceptional cases (for example the long term absence of the senior worker) and in consultation with the Regional Consultant.