Dealing with disciplinary records
Charity records management is a unique challenge for the sector – even for organisations that have been established for a number of years in areas such as health, welfare, voluntary service, and research. Compliance is a regulatory issue that has turned into an operationally complex undertaking. So, how do you achieve it effectively and efficiently?
Well, start by understanding charity records management in general – and how to do it well.
Here’s what you can do.
Records to keep
Charities and not-for-profit organisations can keep a wide range of records. These can include:
Governance
Governance records provide evidence of your organisation’s development. It’s therefore smart to keep them permanently. These records can include:
- Trust deeds
- Membership records
- Correspondence (including emails)
- Policy and subject files
- Case files
Finance and Resources
According to the Companies Act, you need to retain most documents related to income for six years from the end of the financial year in which the transaction was made. These documents can include:
- Annual accounts
- Trust accounts
- Fundraising appeals, accounts, and literature
- Property records and deeds
Staff and work
There isn’t a need to adhere to payroll regulations for most charity employees, so managing these records is slightly easier. But you do need to have evidence that you have taken steps to make sure personnel are suitable to work with vulnerable service users – and to protect the data of staff and volunteers per the Data Protection Act.
Relevant records include:
- Personnel files for key members of staff
- Newsletters/magazines
- Press releases
Regulations to follow
The Charities Act 2011 and The Charities (Protection and Social Investment) Act 2016
This legislation outlines the function and responsibilities of charities, providing the legal basis for the Charity Commission.
Under these laws, records may be required for the following:
- Preparation of Annual Reports.
- Preparation of the annual submission to the Charity Commission (including financial data).
- Demonstrating to the Charity Commission (amongst others) that the organisation is well-run and has suitable governance arrangements.
- To provide evidence to the Charity Commission in the event of an inquiry into the charity – this could mean any information which Commissioners deem to be relevant.
The Fundraising Code
The Fundraising Regulator now requires all organisations which fundraise to follow a code of practice. Part of this tells organisations to be clear about what data is kept on donors and how it can be used.
To be clear: it is your responsibility to keep data secure and give donors control over how it can be used. The Fundraising Code requires organisations to produce an annual report outlining their approach to fundraising and compliance with the Code and keeping good records on the fundraising function of a charity can ensure that organisations demonstrate full compliance.
How off-site storage can help
Access Records Management can supply members of the Charities Buying Group and the wider third sector with comprehensive document storage options. Our charities document storage services include records retrieval, archive storage, forensic box investigation, record status reporting, file audit and consultancy and even more.
To discuss your charity’s records management requirements, get in touch with our specialists today.
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