Keeping paperwork
Checklist of records to be kept
Warwickshire County Council does not expect you to keep detailed accounts, but there are some records you must keep. If you have a prepaid card account, it is easy to store these records on your account online. You must upload your receipts, invoices etc on to your account. These are required during spot checks undertaken by the Monitoring Team, internal or external auditors, or if more clarification is required about how you have spent the money. If you do not have a prepaid card account, or they are not available online, we may request you send in records to evidence how the money has been used.
The following information is for your guidance only, which you may wish to check with HM Revenue and Customs who can provide further guidance on employer records if you employ a Personal Assistant.
The examples of records shown overleaf have been extracted from information and guidance provided by the Chartered Institute of Public Finance and Accountancy (CIPFA).
| Record | Examples | Suggested retention period |
|---|---|---|
| Major financial records | Bank statements, cheque books, paying in books, bank account interest details. Summaries of expenditure. | Current year, plus six years |
| Everyday supplies and services |
Invoices, receipts for Direct Payments items, agency fees, PA wage slips, domestic help, special supplies, leisure activities, and courses. Also receipts for equipment such as a raised toilet seat. These are supporting documents for any queries regarding the above records in the major financial section. |
Current year, plus one |
| Major equipment and non-permanent adaptations | Expenditure on major equipment or major non-permanent adaptations, paid via Direct Payment. Records of warranties, maintenance agreements. | Life of equipment, plus one year |
| Permanent adaptations | All records relating to permanent major adaptations. | Indefinitely |
| Employer records | Employer records - advice on this is part of the role of the support scheme. If you have chosen not to have this support, you can receive advice from HM Revenue and Customs. | Contact HMRC for advice or Direct Payments Support Team for details of the current recruitment and employment support service |
Adapted from the CIPFA guidance 2007
Monitoring your Direct Payments
We must be satisfied that the Direct Payments are being used to meet care and support needs agreed in your outcomes, and that the monies are being used appropriately.
You must agree to the monitoring arrangements for Direct Payments, which include:
- uploading your receipts/invoices/employer records where possible to your prepaid card account.
- if you have a prepaid card, we will be able to view your information online directly.
- the monitoring team may contact you if something is unclear – there is no need to panic, they will support you through the process and refer to the Direct Payments Support Team for support if required.
- if at the time of monitoring there is more than 8 weeks in the account, the monitoring can pull the excess funds back. However, if you are banking money for a particular event, this will be questioned and confirmed by the monitoring team.
- you must agree to send any documents relating to your Direct Payments finance account if requested, to dpmonitoring@warwickshire.gov.uk.
- you cannot go overdrawn with a prepaid card.
- if you have a Direct Payment bank account, you must not become overdrawn – you must contact us if there is a risk of this. We will not pay any costs that result from an account being overdrawn.
The monitoring team will:
- check your bank statements and receipts online via your prepaid card account to make sure the Direct Payments are being used to achieve your agreed outcomes.
- send a pre-paid envelope for you to send in your bank statements and receipts if you use a separate bank account for your Direct Payments.
- check the correct Direct Payment amount is being received.
- check payments being made from the account are in line with your agreed social care outcomes.
- check the account balance does not exceed eight weeks.
- write to you if there are any concerns to discuss.
- write within 28 days and confirm all is correct and return original documents if you have a Direct Payment bank account.
Monitoring a third-party account
You may receive support via a third party financial managed account provider, Penderels Trust (Tel: 024 7651 1611).
We will pay your Direct Payments money directly into the managed account. The provider will pay all bills and invoices as directed by you or your Authorised Person. You or your Authorised Person still have legal responsibility of the funds and are still responsible for arranging the care and employing Personal Assistants.
The Direct Payments Monitoring Team will check the amount of money that we are paying, and any outgoings directly with Penderels Trust.
The Monitoring Team will be able to view your Direct Payments account online via the Penderels Trust system. They will also check that payments (if required) to HMRC are being paid and that your public liability insurance is updated annually.
You need to keep any receipts or invoices; you can keep these filed in case you are asked for them to be sent. If you are using an agency, ask for a copy of the invoice so you can check that the correct hours have been invoiced for. You should also keep a copy of the contract you have with the agency.