RECORDS MANAGEMENT

NUGENT CARE RECORDS MANAGEMENT GUIDANCE

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Contents

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1. Policy Statement

Nugent Care recognises the importance of good quality file keeping and records management and views this as a fundamental part of its work.

Consequently, we have a responsibility to ensure that all records are:

 Stored in the most effective way  Kept as securely as possible  Easily traced and retrievable  Retained for only as long as necessary  Disposed of appropriately

2. Purpose

This Records Management Manual aims to meet the requirements of good records management and to cover all records, paper and electronic. The purpose is to set out the principles and standards in relation to storage, retrieval, archiving and disposal of all records in the childcare, adult, community services and Head Office sectors. In particular, it seeks to provide guidance for all in order to ensure they are clear about policy and are able to carry out their work in accordance with requirements.

3. Scope

The Records Management Manual applies to all staff with responsibility for recording information, storing and accessing records and archiving.

4. Definitions

What is a record?

A record is defined as ‘recorded information, in any form, created or received and maintained by Nugent Care in the transaction of its business or conduct of affairs and kept as evidence of such activity.’

A record should be regarded as information in its final form, and not subject to alteration.

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What is a document?

A document is an object that may still be subject to alteration by editing. A document may ultimately become a record.

5. Legal Context

Nugent Care’s Records Management is governed by the following legislation:

Data Protection Act 2003 Health & Social Care Act 2012 Care Act 2014 The Children Act 1989 The Adoption and Children Act 2002 Disclosure of Adoption Information (Post-Commencement Adoptions) Regs 2005 The Children’s Homes Regulations 2014 The Limitation Act 1980

Personnel and Finance records are maintained in accordance with relevant Employment and Finance legislation.

6. Mandatory Procedures

6.1 Storage of Records

6.11 All records should be stored securely in order to avoid potential problems such as misuse and loss. This applies equally to electronic documents as well as paper documents.

6.12 Current records should be stored in the most appropriate place for their purpose, giving due regard to what is stated above.

6.13 Closed records should be stored as detailed in the retention schedule until such time as they are transferred to Nugent Care’s central archive for scanning purposes. Before records are transferred to the central archive they should be labelled with the name of the service, the service user name, date of birth and date of leaving, checked for completeness and any duplication removed.

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Each establishment will determine how long they keep care files on site before contacting QA to arrange for files to be moved to the central archive.

6.14 Each establishment should maintain a database of those records listed on the Destruction of records table. Care files will be scanned at Head Office and a central database kept.

6.15 Other care documentation such as log books, diaries, communication books must be kept on site for the period outlined in the retention schedule.

6.16 Personnel records for ex-members of staff are to be kept on site for 7 years and then securely destroyed.

6.17 Finance records are to be kept on site for 6 years and then securely destroyed. Please see retention schedule for details of which records need to be archived.

7. Archiving of Records – Paper & Electronic

7.1 QA at Head Office is responsible for the scanning and destruction of Adult and Childcare Records (with the exception of Adoption). The designated person should contact the QA to arrange for files to be removed at appropriate intervals according to the storage space available on site. Once care files have been scanned, the original will be securely destroyed.

7.2 Adult and Childcare records which are stored electronically should be burnt to a CD, labelled with the name of the service, the service user name, date of birth and date of leaving and then stored with the relevant paper files for archiving.

7.3 The Head of Human Resources at Head Office is responsible for archiving personnel records.

7.4 The Financial Controller at Head Office is responsible for archiving finance records.

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7.5 Department Heads within Head Office are responsible for archiving within their own departments.

7.6 Please refer to retention schedule which gives more details of the process involved for each specific sector.

8. Retrieval of Records

8.1 Any requests for Access to Archived Social Care Records should be sent to QA at Head Office – please refer to the Access to Records Policy.

8.2 Requests for Access to current social care records should be dealt with by the establishment/project manager or Head of Department in accordance with the Access to Records Policy.

8.3 Separate systems are in place with regards to adoption files and personnel files and any requests for access should be directed to those departments.

9. Disposal of Records

9.1 QA at Head Office will be responsible for the secure destruction of all archived social care files (with the exception of Adoption).

9.2 Any other documentation should be securely destroyed by the establishment/school/project/section once the retention date has been passed.

10. Roles and Responsibilities

10.1 The Team Manager, QA has overall responsibility for Nugent Care’s social care archives.

10.2 Establishment/Project Managers/Heads of Department ensure that records are managed in accordance with Nugent Care’s Policies and Procedures in their particular area.

10.3 Each establishment/project/department will have a designated person who will ensure files and other documents are archived in accordance with the Records Management Guidance.

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Children’s Homes/Schools

1. Children’s care files contain all information as required in Schedule 3 of The Children’s Homes Regulations 2001.

2. All childcare files should be maintained and kept up to date by relevant care staff and filed securely.

3. All written records should be factual and legible and identify the author.

4. When a child leaves the home, a designated member of staff will retrieve all paperwork in connection with that child, go through the paperwork and remove any duplication. The file should be labelled with the name of the home/service, the service user name, date of birth and date of leaving and then should be archived on site in alphabetical order until such time as the file is removed for scanning.

5. Electronic records relating to the service user must be burnt onto a CD, labelled as above and stored with the archived file.

6. Completed Log Books which need to be retained on site (see retention schedule) should be labelled with the name of the home/service, the unit (if applicable) and the dates from and to and then stored in date order. These books will be kept on site for the period outlined in the retention schedule.

7. Finance records will be kept on site for 6 years and then arrangements made for the secure destruction. Please refer to the retention schedule for more specific details.

8. Personnel Records will be kept on site for 7 years and then arrangements made for files to be securely destroyed.

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Destruction of records table Children’s Homes/Schools Records How Long to Keep Accident records 15 years Admission registers Permanent Children’s individual files 75 years or if died prior to age 18, 15 years from death Committee minute books Permanent Complaints 75 years Copy of staff duty rostas, persons working at the 15 years children’s home and a record of the actual rostas worked Deeds of covenant Permanent Details of others working/living at the home/school 15 years Diaries Keep the previous year Electrical testing 3 years Fire records 3 years General correspondence Keep the previous year Incidents, events or occurrences that require 15 years notification to Ofsted Inspection reports 3 years Insurance policies Permanent Lease arrangements Permanent Local operational policies and procedures Keep current version and previous version for 3 years Log books 3 years on site Medication records 75 years – should be archived with childcare file Menus One year Money/valuables records 15 years Personnel files (held on site) 7 years (keep on site) Post Book Current year plus previous year Record of people working at the home/school 15 years Statement of purpose 3 years Staff Sign-in Books Current year plus previous year Team meetings 3 years Visitor’s book 15 years Young person’s meetings 15 years Finance/accounts records (other than): Current year plus previous 6 years o Bank statements Current year plus previous 6 years o Cheque requisitions Current year plus previous 6 years o Journals Keep current year and previous year and destroy remainder o Payroll Keep current year and previous year and destroy remainder o Purchase ledger Keep current year and destroy

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remainder o Residents paid invoices Current year plus previous 6 years

Adult Residential Sector

1. The home will maintain an accurate record in respect of each service user, which shall include appropriate information and documents in relation to the care and treatment provided to each service user as required in Schedule 3 of the Care Homes Regulations 2001.

2. Care records should be maintained and kept up to date by relevant care staff and filed securely.

3. When a service user dies or leaves the home/service, a designated member of staff will retrieve all paperwork in connection with that person, go through the paperwork and remove any duplication. The file should be labelled with the name of the home/service, the service user name, date of birth and date of leaving/death and then should be archived on site in alphabetical order until such time as the file is removed for scanning.

4. Electronic records relating to the service user must be burnt onto a CD, labelled as above and stored with the archived file.

5. Completed Log Books which need to be retained on site (see retention schedule) should be labelled with the name of the home/service, the unit (if applicable) and the dates from and to and then stored in date order. These books will be kept on site for the period outlined in the retention schedule.

6. Finance records will be kept on site for 6 years and then arrangements made for the secure destruction. Please refer to the retention schedule for more specific details.

7. Personnel Records will be kept on site for 7 years and then arrangements made for files to be securely destroyed.

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Destruction of records table for Adult Residential Sector

Records How Long to Keep Accident records 15 years Admission/Discharge registers Permanent Committee minute books Permanent Complaints 6 years Communication Books/Daily Log Books 3 years on site Daily Handovers 3 years Deeds of covenant Permanent Diaries Keep the previous year Duty Rosters 5 years Duty Lists 3 years Electrical testing 3 years Fire safety 3 years Food provided 3 years General correspondence Keep the previous year Incidents, events or occurrences that require 3 years notification to CQC Inspection reports 3 years Insurance policies Permanent Lease arrangements Permanent Local operational policies and procedures Keep current version and previous version for 3 years Maintenance of equipment 3 years Maintenance of the premises 3 years MAR Sheets 8 years Medical gas safety, storage & transport 3 years Money or valuables deposited for safe keeping 3 years Money/valuables deposited by service user 3 years NSO Reports 3 Years Personnel files (held on site) 7 years after leaving (keep on site) Purchasing excluding medical devices and medical 18 months equipment Purchasing of medical devices and medical equipment 11 years Record of furniture bought by service user 3 years Record of people working at the home 5 years Resident’s meetings 6 years Risk assessments Keep latest risk assessment until a new one replaces it Service user files 6 years Service user guide 3 years Statement of purpose 3 years Team meetings 3 years Use of restraint or deprivation of liberty 3 years

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Visitors records 5 years Water safety 3 years Finance/accounts records (other than): Current year plus previous 6 years o Bank statements Current year plus previous 6 years o Cheque requisitions Current year plus previous 6 years o Journals Keep current year and previous year and destroy remainder o Payroll Keep current year and previous year and destroy remainder o Purchase ledger Keep current year and destroy remainder o Residents paid invoices Current year plus previous 6 years

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Community Services

1. The service will maintain an accurate record in respect of each service user, which shall include appropriate information and documents in relation to the service provided to each service user.

2. Service user records should be maintained and kept up to date by relevant staff and filed securely.

3. When a service user leaves the service, a designated member of staff will retrieve all paperwork in connection with that person, go through the paperwork and remove any duplication. The file should be labelled with the name of the service, the service user name, date of birth and date of leaving and then should be archived on site in alphabetical order until such time as the file is removed for scanning.

4. Electronic records relating to the service user must be burnt onto a CD, labelled as above and stored with the archived file.

5. Completed Log Books which need to be retained on site (see retention schedule) should be labelled with the name of the service and the dates from and to and then stored in date order. These books will be kept on site for the period outlined in the retention schedule.

6. Finance records will be kept on site for 6 years and then arrangements made for the secure destruction. Please refer to the retention schedule for more specific details.

7. Personnel Records will be kept on site for 7 years and then arrangements made for files to be securely destroyed.

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Destruction of records table for Community Services

Records How Long to Keep Accident records 15 years Committee minute books Permanent Complaints 3 years Adults, 75 years Children Deeds of covenant Permanent Diaries Keep the previous year Electrical testing 3 years Fire safety 3 years General correspondence Keep the previous year Insurance policies Permanent Lease arrangements Permanent Local operational policies and procedures Keep current version and previous version for 3 years Maintenance of equipment 3 years Maintenance of the premises 3 years Personnel files (held on site) 7 years (keep on site) Purchasing excluding medical devices and medical 18 months equipment Record of people working at the service/staff lists 5 years Risk assessments Keep latest risk assessment until a new one replaces it Service user files 3 years Service user guide 3 years Statement of purpose 3 years Team meetings 3 years Water safety 3 years Finance/accounts records (other than): 6 years Finance/accounts records (other than): Current year plus previous 6 years o Bank statements Current year plus previous 6 years o Cheque requisitions Current year plus previous 6 years o Journals Keep current year and previous year and destroy remainder o Payroll Keep current year and previous year and destroy remainder o Purchase ledger Keep current year and destroy remainder o Residents paid invoices Current year plus previous 6 years

HSU ‘Supporting People’ Service User Files – 6 years

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Head Office

1. Each department will be responsible for maintaining and destroying files in line with the destruction of records table.

2. ‘Scruff’ days will be organised at intervals during the year to give departments the opportunity to archive or destroy files as appropriate.

3. It is good practice to carry out ‘housekeeping’ on electronic files stored on the system in line with the destruction of records table.

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Destruction of records table for Head Office

Records How Long to Keep Accident records 15 years Annual Report Permanent Complaints 3 years Deeds of covenant Permanent Diaries Keep the previous year Electrical testing 3 years Final annual accounts 30 years Fire safety 3 years General correspondence Keep the previous year General operating policies and procedures Keep current version and previous version for 3 years Governing Body/Trustees minutes Permanent Insurance policies Permanent Lease arrangements Permanent Maintenance of equipment 3 years Maintenance of the premises 3 years Personnel files 50 years Policies and Procedures Permanent (archived electronically) Risk assessments Keep latest risk assessment until a new one replaces it Team meetings 3 years Water safety 3 years Finance/accounts records (other than): Current year plus previous 6 years o Bank statements Current year plus previous 6 years o Cheque requisitions Current year plus previous 6 years o Journals Keep current year and previous year and destroy remainder o Payroll Stored electronically on iTrent o Purchase ledger Current year plus previous 6 years

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