Section 9

Admin & Record Keeping

Accurate, timely and well-organised record keeping is a legal requirement, a licensing condition and a fundamental pillar of professional daycare operations. This section defines what records must be maintained, how they should be stored, who is responsible, and how long they must be retained.

Section Purpose

Good record keeping protects the business during inspections, provides evidence of compliance, supports incident investigations, and ensures continuity of care for every dog. The standard is simple: if it is not written down, it did not happen.

9.1 Dog Records

1. Registration Records

The following information must be obtained and recorded for every dog before they attend their first session:

Record	Details Required
Dog details	Name, breed, age/DOB, sex, neutered status, colour/markings, microchip number
Owner details	Full name, address, phone number(s), email address
Emergency contact	Alternative contact person with phone number
Veterinary details	Practice name, address, phone number
Vaccination records	Copies of current vaccination certificates (minimum: Distemper, Infectious Canine Hepatitis (adenovirus), Parvovirus, Leptospirosis, Kennel Cough)
Medical conditions	Any known conditions, medications, allergies, dietary requirements
Behavioural information	Known triggers, socialisation history, previous incidents, handling preferences
Insurance	Owner's pet insurance details (if available)
Consent forms	Signed terms and conditions, photography consent, emergency veterinary consent

2. Daily Attendance Records

Record	Requirement
Arrival time	Recorded for each dog on arrival
Departure time	Recorded for each dog on departure
Collected/dropped by	Name of driver or owner
Welfare notes	Any concerns observed during the day
Feeding	Fed/not fed; any issues with appetite
Medication	Administered as instructed; time and dose recorded
Incidents	Any incidents involving the dog (cross-reference Incident Report)

3. Welfare & Behaviour Records

Record	Frequency	Purpose
Assessment notes (new dogs)	Initial assessment period	Document behaviour in group settings
Behavioural observations	Ongoing	Track changes, triggers, progress
Welfare monitoring	Hourly minimum	Ensure all dogs are safe and well
Veterinary visits	As required	Record treatment, advice, outcome
Weight monitoring	If applicable	Track weight changes for health monitoring

4. Storage & Access

System	Details
Primary system	ProPet (digital booking and dog management system)
Backup	Paper files in locked cabinet at the site
Access	Managers and authorised staff only
Data protection	All records handled in accordance with GDPR (Section 3.17)

5. Retention Periods

Record Type	Retention Period
Registration records	Duration of relationship, and a minimum of 3 years from the date of creation, whichever is longer
Daily attendance	3 years
Vaccination certificates	Duration of relationship, and a minimum of 3 years from the date of creation, whichever is longer
Incident reports involving dog	3 years
Behavioural assessments	Duration of relationship, and a minimum of 3 years from the date of creation, whichever is longer

Minimum Retention

All records relating to the licensable activity must be retained for a minimum of 3 years from the date of creation, in accordance with Licence Condition 2.2, regardless of how long the dog's relationship with Eddie's Doggy Daycare lasts. Where a dog's attendance is brief, the 3-year minimum from creation always applies.

9.2 Staff Records

1. Personnel File Contents

Every employee must have a personnel file containing the following:

Category	Documents
Pre-employment	Application form, interview notes, references (minimum 2), right to work evidence
Employment	Signed contract, job description, employee handbook acknowledgement
Identification	Copy of ID (passport/driving licence), proof of address
Payroll	Bank details, tax information (P45/P46), NI number
Training	Induction sign-off, training records, competency assessments, external certificates
Performance	Probation reviews, appraisal records, 1:1 notes, improvement plans
Absence	Absence records, return-to-work notes, self-certificates, GP fit notes
Disciplinary	Warning letters, investigation notes, appeal outcomes
Health	Any relevant health declarations, occupational health reports (confidential sub-file)
Driving	Driving licence copy (for drivers), licence check records

2. Storage & Security

Data Protection

Staff records contain sensitive personal data and must be handled in strict accordance with UK GDPR and the Data Protection Act 2018 (see Section 3.17). Unauthorised access to staff files is a serious disciplinary matter.

Requirement	Standard
Physical files	Locked filing cabinet; key held by managers only
Digital files	Password-protected; encrypted where possible
Access	Managers and Owner only; staff may request access to their own file
Confidential health records	Stored separately from main personnel file
Offsite storage	Not permitted without Owner approval

3. Retention Periods

Record Type	Retention Period
Personnel file (general)	6 years after leaving
Payroll records	6 years after leaving
Training records	6 years after leaving
Accident/incident records	3 years (or 6 years if involving a minor)
DBS certificates	Must not be retained — note decision only
Health records	Duration of employment + 3 years (confidential destruction)
Recruitment records (unsuccessful)	6 months after decision

9.3 Training Logs

1. Training Matrix

A central Training Matrix must be maintained showing:

Column	Details
Staff name	All current employees
Training topic	Each required training area
Date completed	When training was delivered
Trainer/assessor	Who delivered or assessed
Next due date	When refresher is required
Status	Current / Due / Overdue

The Training Matrix is maintained digitally and reviewed monthly by the site manager.

2. Training Records to Maintain

Training Type	Evidence Required
Induction	Signed induction checklist (Section 6.10)
Operations Hub modules	Phase sign-off records (Section 6.8)
Competency assessments	Signed competency forms (Section 6.4)
External courses	Certificates (copies retained in staff file)
Fire safety	Fire drill records, fire warden training certificates
First aid	FAW/EFAW certificates, canine first aid certificates
COSHH	COSHH training sign-off records
Manual handling	Training sign-off records
Monthly team presentations	Meeting notes recording topic and attendees
Refresher training	Sign-off records with date and trainer

3. Competency Sign-Off Records

Each competency assessment must record:

Staff member name
Competency area assessed
Date of assessment
Assessor name and signature
Outcome (competent / not yet competent / requires further training)
Next review date

4. Review & Audit

Activity	Frequency	Responsibility
Training Matrix review	Monthly	Site Manager
Overdue training follow-up	Weekly	Site Manager
External certificate renewal tracking	Monthly	Site Manager
Full training audit	Annually	Owner

Overdue Training

Any training item more than 30 days overdue must be escalated to the Owner. Staff with overdue mandatory training may be restricted from certain duties until training is completed.

9.4 Incident Logs

1. What Must Be Recorded

Incident Type	Examples
Dog-on-dog incidents	Fights, altercations, resource guarding, mounting, bullying
Dog injuries	Cuts, bites, limping, illness, vomiting, diarrhoea
Human injuries	Bites, scratches, slips, trips, falls, manual handling injuries
Near-misses	Events that could have resulted in injury but did not
Escapes or attempted escapes	Gate failures, lead breakages, dogs slipping harnesses
Property damage	Equipment failure, fence damage, vehicle damage
Behavioural concerns	Aggression escalation, persistent stress, new triggers identified
Customer complaints	Any complaint received (cross-reference Section 8.3)
Safeguarding concerns	Any concern about animal or human welfare

2. Incident Report Requirements

Each incident report must include:

Field	Details
Date and time	When the incident occurred
Location	Where on site the incident occurred
People/dogs involved	Names of all staff, dogs and any other persons involved
Description	Clear, factual account of what happened
Witnesses	Names of anyone who observed the incident
Injuries sustained	Description of any injuries (human or canine)
First aid given	Details of any treatment provided
Immediate actions	Steps taken at the time to manage the situation
Follow-up actions	Any further actions required (vet referral, owner notification, risk review)
Reporting staff member	Name and signature
Manager review	Manager signature and any additional notes

3. Escalation Requirements

Severity	Notification	Timescale
Minor (no injury, quickly resolved)	Site Manager	Same day
Moderate (minor injury, requires monitoring)	Site Manager + Owner notified	Same day
Serious (significant injury, vet required)	Owner immediately	Immediate
RIDDOR-reportable	Owner immediately; reported to HSE	Within timeframes (Section 3.5)

4. Record Keeping

Record	Location	Retention
Incident Report Forms	Locked file at the site + digital copy	3 years minimum
Accident Book (human)	Site office (GDPR compliant format)	3 years
RIDDOR reports	Filed with incident; copy to Owner	3 years
Investigation reports	Filed with incident	3 years
Corrective action records	Filed with incident	3 years

5. Trend Analysis

Managers must review incident logs monthly to identify:

Recurring incident types or locations
Dogs frequently involved in incidents
Staff training needs highlighted by incidents
Equipment or facility failures contributing to incidents
Seasonal patterns (e.g., heat-related, wet weather slips)

Findings must be discussed in the monthly compliance review (Section 2A) and action plans implemented accordingly.

9.5 Cleaning Logs

1. Daily Cleaning Log

The Daily Cleaning Log must be completed for each area cleaned, recording:

Field	Details
Date	Date of cleaning
Area cleaned	Specific area (e.g., Paddock 1, Barn, Reception, Van 1)
Time	Time cleaning completed
Products used	Name of cleaning/disinfection product
Dilution rate	Correct dilution as per COSHH data sheet
Contact time	Minimum contact time observed
Cleaned by	Name or initials of staff member
Verified by	Manager initials (for end-of-day sign-off)

2. Cleaning Schedule

Area	Frequency	Standard
Play areas/paddocks	Continuous (faeces removed immediately) + end-of-day deep clean	Disinfected with approved product; correct contact time observed
Indoor areas/barn	End of day	Swept, mopped, disinfected
Water bowls	Cleaned and refilled minimum twice daily	Fresh water at all times
Food bowls	After each use	Washed with detergent, dried
Crates (vans)	Daily	Cleaned and disinfected between dogs
Vans (interior)	Daily wipe-down; weekly deep clean	Seats, floors, doors, handles
Toilets/staff areas	Daily	Cleaned and stocked
Reception	Daily	Clean, tidy, professional appearance
Waste bins	Emptied daily; deep cleaned weekly	Lined, covered, clean

3. Deep Cleaning

In addition to daily cleaning, periodic deep cleaning is required:

Area	Frequency	What It Involves
All play areas	Weekly	Power wash, full disinfection, equipment cleaning
Barn/indoor areas	Weekly	Full floor scrub, wall wash, equipment deep clean
Vans	Weekly	Full interior and exterior clean
Storage areas	Monthly	Declutter, clean, reorganise
COSHH storage	Monthly	Clean, check stock, check labels and expiry dates

4. Record Retention

Record	Retention
Daily Cleaning Logs	1 year
Deep cleaning records	2 years
COSHH usage records	3 years

9.6 Licence Documentation

1. Licence Display Requirements

Document	Display Location	Requirement
Animal Activity Licence	Prominently displayed at the site	Must be the current, valid licence
Licence conditions	Filed at the site, accessible to all staff	All staff must understand key conditions
Insurance certificates	Filed at the site	Public liability and employer's liability

2. Inspection-Ready Documentation Folder

the site must maintain an inspection-ready folder containing current copies of:

Category	Documents
Licensing	Animal Activity Licence, licence conditions, previous inspection reports, action plan responses
Insurance	Public liability certificate, employer's liability certificate, vehicle insurance
Fire safety	Fire risk assessment, fire alarm test log, fire drill records, extinguisher service certificates
Electrical	EICR certificate, PAT testing records
Health & Safety	H&S policy, risk assessments (all), COSHH folder, accident book
Staffing	Training matrix, competency records, first aid certificates, DBS records (note only)
Dog records	Sample registration forms, vaccination policy, daily attendance records
Cleaning	Cleaning schedules, cleaning logs, product data sheets
Vehicle	Vehicle insurance, MOT certificates, daily check records, service records
Policies	All current policies and procedures (Operations Hub access)

3. Document Version Control

Requirement	Standard
Version numbering	All documents carry version number and date
Review dates	All documents carry next review date
Superseded documents	Archived (not destroyed) for audit trail
Change control	All changes approved by Owner before implementation

4. Inspection Protocol

When an inspector visits (scheduled or unscheduled):

Manager on duty takes the lead
Inspection-ready folder presented immediately
Manager accompanies inspector throughout
Notes taken of all observations, questions and requirements
Post-inspection report filed; action plan created for any requirements
Owner notified immediately

5. Renewal Tracking

All licences, certificates and insurance policies must be tracked using the Certificate & Licence Tracker (Section 8.6) to ensure timely renewal and prevent lapses.

9.7 KPI & Performance Reporting

1. The Core KPI Set

Reporting is deliberately limited to a small number of high-signal metrics. Adding more does not improve management; it dilutes attention.

#	KPI	Definition	Target	Source
1	Incidents per 100 dog-days	Total recorded incidents (dog-on-dog, injuries, near-misses, escapes) divided by total dog-days attended, multiplied by 100	< 2.0	Incident Log + Daily Attendance
2	Customer complaints	Number of formal complaints received in the week	0	Complaints Log
3	Compliance check completion rate	Percentage of required daily, weekly and monthly checks completed and signed off on time	100%	Check Sheets system
4	Training currency	Percentage of staff with all mandatory training in date	100%	Training Matrix
5	Staff attendance	Hours worked vs scheduled hours, excluding approved leave	> 97%	Rota / Timesheets
6	Occupancy	Dogs attended in the week vs maximum site capacity over the same period	Site-specific target	Booking system
7	Owner retention (rolling 90 days)	Percentage of regular customers still attending vs 90 days prior	> 95%	Booking system

2. Weekly Reporting Template

the site Manager submits a single weekly report covering their site, sent to the Owner by 18:00 every Sunday for the week just ended. The format is fixed and short by design — the discipline is in the consistency, not the length.

Section	Content
Week ending	Date
Site	Harlow
KPI table	Current value, target, trend vs previous week, RAG status (Green / Amber / Red) for each of the 7 KPIs
Incidents summary	One-line summary of every incident in the week; cross-reference to Incident Log
Welfare highlights	Any dog of concern, behavioural changes, vet referrals
Staff	Absences, performance notes, training completed, any HR matter requiring Owner awareness
Compliance	Any check not completed, any overdue training, any equipment / facility issue outstanding > 7 days
Customer matters	Complaints, notable feedback, new sign-ups, lost customers and reason where known
Next week's focus	Up to three priorities for the coming week
Asks of the Owner	Anything specifically requiring Owner input or decision

Report Discipline

The weekly report is not optional and is not delegated. It is the primary mechanism by which the Owner exercises oversight without daily presence, and the primary record by which Manager performance is evaluated. A missed weekly report is treated as a performance issue.

3. Reporting Cadence Summary

Cadence	Activity	Owner	Audience
Daily	Operational handover note (end of day)	Manager on duty	Other Managers + Owner
Weekly	KPI report (Sunday 18:00)	Site Manager	Owner
Monthly	Monthly Manager Compliance Review (Section 2A.4)	Owner + all Managers	Compliance file
Monthly	Staff 1-to-1s	Each Manager with their direct reports	Personnel file
Quarterly	KPI trend review — 12-week rolling view of all KPIs	Owner	Management team
Annually	Full business review; KPI targets reset; appraisals	Owner	Management team

4. Manager Accountability

The KPI framework is used in three accountability conversations:

Weekly — the report itself; a Red status on any KPI requires a written explanation and corrective action in the same report.
Monthly — KPI trends discussed at the Monthly Manager Compliance Review (Section 2A.4); patterns over multiple weeks trigger formal action plans.
Annually — KPI performance forms a documented component of the annual appraisal and shapes the following year's SMART objectives.

Red Status Protocol

Any KPI marked Red for two consecutive weeks must be the subject of a documented improvement plan agreed between the Site Manager and the Owner within 7 days of the second Red report. The plan must specify the corrective actions, the responsible person and the date by which the KPI is expected to return to Amber or Green.

5. Data Sources & Integrity

KPI data is drawn from the systems already in use (booking system, check sheets, training matrix, incident log, rotas). Managers must not maintain a separate KPI spreadsheet — every KPI must be traceable back to its source system, so that any number reported can be audited by the Owner or an inspector at any time.

6. Review of the Framework

The KPI set is reviewed annually. Metrics that have ceased to be informative are removed; new metrics are added only when there is a clear gap in visibility that they will close. The framework is deliberately kept small — adding metrics is a far more serious decision than removing them.

8. Manager-Specific Operations 10. Site-Specific Appendix