Early years services, for example, child minding, play groups and support provided to Surestarts etcetera
Ref | Record Type | Minimum Retention Period | Minimum Retention Period | Final Action |
---|---|---|---|---|
O1 | Administrative records relating to the registration, inspection and running of the service.
See AD-026 See AD-032 |
Eight years from the date of the last entry
See AD-023 |
Destroy | |
O2 | Service provider’s case records/notes (from referral to closure) related to each child/family receiving the service, e.g. care plan, reviews, consents, contact records, etc
See AD-026 |
Eight years from the date of the last entry.
See AD-023 |
Destroy |
Establishments and agencies
Ref | Record Type | Minimum Retention Period | Relevant Legislation / Derivation | Final Action |
---|---|---|---|---|
O3 | Adult Placement Agencies - administrative records, for example; statement of purpose; service user’s guide; placement agreement and amendments; carer agreements; handbooks; reports on the conduct of the agency; quality reviews; and improvement plans. | Eight years from the date of the last entry | Determined on review after consultation with Trust social work and records management staff | |
O4 | Adult Placement Carers - Approved /Not approved suitable/ Uncompleted or Withdrawn: Records, which include applications; case records/notes; assessments; support/counselling; specified health and health related information; information received from 3rd parties; reviews; case summaries; contact records, and Adult Placement Panel records, minutes and papers etcetera | Eight years from the date of the last entry.
Three years for records related to inquiries which do not proceed beyond initial information and counselling stages |
Determined on review after consultation with Trust social work and records management staff | |
O5 | Adult Placement Carers - information and documents specified in Schedule 3 | Eight years from the date of the last entry. | The Adult Placement Agencies Regulations (Northern Ireland) 2007
Reg. 21 & Schedule 3 |
Determined on review after consultation with Trust social work and records management staff |
O6 | Adult Placement Agencies - individual’s service users records/notes related to activity within the placement, for example, assessments, service user’s plan and reviews; and the information, documents and other records specified in Schedule 4 relating to the service user. | The Adult Placement Agencies Regulations (Northern Ireland) 2007
Reg. 21 and Schedule 4 |
Determined on review after consultation with Trust social work and records management staff | |
O7 | Children’s Homes - administrative records relating to the running of the children’s home, including a record in the form of a register of each child accommodated in the children’s home and other records set out in Schedule 4. | Retain for at least 15 years from date of last entry, except for records of menus which need be kept only for one year | The Children’s Homes Regulations (Northern Ireland) 2005
Reg.28 and Schedule 4 |
Determined on review after consultation with Trust social work and records management staff |
O8 | Children’s Homes - administrative records other for example, the statement of purpose; children’s guide; reports on the conduct of the home; reports on the assessment of quality of services including matters set out in Schedule 6 to the Children’s Homes Regulations (NI) 2005; improvement plans; and RQIA reports etc. | 15 years from date of last entry | Determined on review after consultation with Trust social work and records management staff | |
O9 | Children’s Homes - case records (from referral to closure) maintained by the home in respect of each child accommodated in the children’s home e.g. placement plan; care plans; reviews; and, in respect of each child, the information and other records set out in Schedule 3. | 75 years from date of birth of the child to whom it relates or, if the child dies before attaining the age of 18, for a period of 15 years from the date of death of the child.
See AM-008 |
The Children’s Homes Regulations (Northern Ireland) 2005 Reg.27 and Schedule 3 |
Transfer to PRONI |
O10 | Day Care Settings e.g. day centres, adult centres, outreach schemes - administrative records relating to the running of the service for example, statement of purpose; service user’s guide; accounts; a copy of all inspection reports; employment records; duty roster; complaints and action taken; accidents/ incidents; food provided; and the other records specified in Schedule 5. | Eight years from the date of the last entry | The Day Care Setting Regulations (Northern Ireland) 2007
Reg. 19(2), Reg. 19(4) & Schedule 5 |
Destroy |
O11 | Day Care Settings - individual’s case records/notes (from referral to closure) related to activity within the service, for example, assessment of need and service user’s plan; record of medicines; accidents/incidents; healthcare provision; correspondence, etcetera and the information, documents and other records specified in Schedule 4. | Eight years from the date of the last entry | The Day Care Setting Regulations (Northern Ireland) 2007
Reg. 19(1)(a), Reg. 19(4) & Schedule 4 |
Destroy |
O12 | Domiciliary Care Agencies, for example, home help, domiciliary, sitting services, in-home respite, family aide, etcetera - administrative records relating to domiciliary care workers and service users; records relating to training and development of staff and other records specified in Schedule 4; and a record of each complaint, including details of the investigations made , the outcome, and any action taken in consequence. | Eight years beginning on the date of the last entry | The Domiciliary Care Agencies Regulations (Northern Ireland) 2007
Reg. 21 & Schedule 4 For records of complaints Reg. 22(8) |
Destroy |
O13 | Domiciliary Care Agencies - administrative records, for example, statement of purpose; service user’s guide; reports on the assessment of quality of services; improvement plans; inspection reports, etc. | Eight years beginning on the date of the last entry | Destroy | |
O14 | Domiciliary Care Agencies – service provider’s individual’s case records/notes (from referral to closure) related to the individual/child/family receiving the service, for example, care plan, detailed record of prescribed services (that is, personal care and assessments of the need for such care), how services will be provided, contact records, records held by service users, etcetera. | Eight years beginning on the date of the last entry | Destroy | |
O15 | Independent Health Care Establishments and Agencies, that is, independent hospitals; clinics and medical agencies - administrative records, for example; register of patients; register of all surgical operations performed; register of all events which must be notified to the RQIA; a written record of suspected, alleged or actual incidents of abuse including details of the investigation, the outcome and action taken; all other records specified in Part II of Schedule 3 to the regulations; and a record of each complaint including details of the investigations made, the outcome and any action taken in consequence. | Three years beginning on the date of the last entry | The Independent Health Care Regulations (Northern Ireland) 2005
Regulation 21 Part II of Schedule 3 to the regulations |
Determined on review |
O16 | Independent Health Care Establishments and Agencies, - a comprehensive medical record in relation to each patient, which includes:
|
(a) For a patient who was under the age of 17 at the date on which the treatment to which the records refer was concluded - until the patient's 27th birthday.
(b) For a patient who was aged 17 at the date on which the treatment to which the records refer was concluded - until the patient's 27th birthday. (c) For a patient who died before attaining the age of 18 - a period of 10 years beginning on the date of the patient's death. (d) For a patient who was treated for mental disorder during the period to which the records refer – a period of 20 years beginning on the date of the last entry in the record. (e) For a patient who was treated for mental disorder during the period to which the records refer and who died whilst receiving treatment – a period of 10 years beginning on the date of the patient’s death (f) For a patient whose records relate to treatment by a general practitioner - a period of 10 years beginning on the date of the last entry. (g) All other cases - a period of 10 years beginning on the date of the last entry in the record. |
The Independent Health Care Regulations (Northern Ireland) 2005
Regulation 21 Part I of Schedule 3 to the regulations as amended by Regulation 2 (12) of the Regulation and Improvement Authority (Independent Health Care) (Fees and Frequency of Inspection) (Amendment) Regulations (Northern Ireland) 2011 (No. 17). |
Destroy |
O17 | Nursing Agencies – records relating to the supply of nurses, training and development of staff and other records as set out in Schedule 4 | Eight years from the date of the last entry | The Nursing Agencies Regulations (Northern Ireland) 2005
Reg 18 & Schedule 4 |
Destroy |
O18 | Nursing Homes - administrative records pertaining to the running of the home for example; statement of purpose; patient’s guide; accounts; employment records; duty roster; complaints and action taken; food provided; and other records as out in Schedule 4. | Six years from the date of the last entry | The Nursing Agencies Regulations (Northern Ireland) 2005
Reg. 19(2), Reg. 19(4) & Schedule 4 |
Determined on review after consultation with Trust social work and records management staff |
O19 | Nursing Homes - individual’s case records/notes (from referral to closure) related to activity within the home, for example; assessments of need and patient’s plan; medicines; accidents/incidents; contemporaneous note of all nursing provided; healthcare plan and provision; correspondence; and other records as out in Schedule 3. | Six years from the date of the last entry | The Nursing Agencies Regulations (Northern Ireland) 2005
Reg. 19(1)(a), Reg. 19(4) & Schedule 3 |
Determined on review after consultation with Trust social work and records management staff |
O20 | Residential Care Homes - administrative records pertaining to the running of the home for example; statement of purpose; resident’s guide; accounts; employment records; duty roster; complaints and action taken; food provided; and other records as out in Schedule 4. | Six years from the date of the last entry | The Residential Care Homes Regulations (Northern Ireland) 2005
Reg. 19(2), Reg. 19(4) & Schedule 4 |
Determined on review after consultation with Trust social work and records management staff |
O21 | Residential Care Homes - individual’s case records/notes (from referral to closure) related to activity within the home, for example; assessments of need and associated care plans; medicines; accidents/incidents; contemporaneous note of all care and services provided; healthcare plan and provision, correspondence; and other records as out in Schedule 3. | Six years from the date of the last entry | The Residential Care Homes Regulations (Northern Ireland) 2005
Reg. 19(1)(a), Reg. 19(4) & Schedule 3 |
Determined on review after consultation with Trust social work and records management staff |
O22 | Residential Family Centres – service provider’s case records/notes (from referral to closure) related to each child/family receiving the service, including the information, documents and other records specified in Schedule 3. | 15 years from date of last entry | The Residential Family Centres (Regulations (NI) 2007
Reg. 22(1)(a), Reg. 22(3)(d) & Schedule 3 |
Determined on review after consultation with Trust social work and records management staff |
O23 | Residential Family Centres –administrative records pertaining to the operation of the establishment for example; statement of purpose, residents guide, accounts, employment records, duty roster, complaints and action taken, food provided, inspection reports and other records as set out in Schedule 4. | 15 years from date of last entry | The Residential Family Centres (Regulations (NI) 2007
Reg. 22(2), Reg. 22(3)(d) & Schedule 4 |
Determined on review after consultation with Trust social work and records management staff |
O24 | Voluntary Adoption Agencies records with respect to staff i.e. records to be kept in relation to each person working for the purpose of the Agency as specified in Schedule 3. | 15 years from the date of last entry | The Voluntary Adoption Agencies Regulations (NI) 2010
Reg.18 & Schedule 3 |
Destroy |
O25 | Voluntary Adoption Agencies other records i.e. related to applicants, birthparents, children, panels and post adoption work. | see GMGR Section P1 – P6 inclusive | Determined on review after consultation with Trust social work and records management staff | |
O26 | Voluntary Adoption Agencies – a written record of each complaint, including details of the investigation made the outcome and any actions taken in consequence. | 10 years from the date the record is made | The Voluntary Adoption Agencies Regulations (NI) 2010
Reg.13(3) |
Determined on review after consultation with Trust social work and records management staff |
Northern Ireland Medical and Dental Training Agency
Ref | Record Type | Minimum Retention Period | Relevant legislation / Derivation | Final Action |
---|---|---|---|---|
O27 | Trainees
All records relating to:
|
SIx years after the completion of training. Unless involved in a complaint or fitness to practice issue in which case retain for six years after the last action on the case |
After the doctor has finished training they may be employed as a consultant in a trust and will be subject to appraisals and revalidation by the GMC | Destroy |
O28 | Trainers
All records relating to:
|
Six years after the completion of the training
six years after recognition of the post for training has ended. |
Destroy | |
O29 | General Practice Retainer Scheme files | six years after end of retainer scheme contact | Destroy | |
O30 | GP Appraisal Appraisee / Appraiser Records | See GMGR Section L2 | ||
O31 | Continuing Professional Development
Information relating to courses offered by the Agency:
|
six years after the course has ended | Takes into account revalidation and finance payment record retention timelines | Destroy |
O32 | Information relating to
|
See GMGR Section J30 | Destroy | |
O33 | Survey Reports | |||
GMC | See GMGR Section J30 liaison between organisations relating to governance | Destroy | ||
Deanery | Five years | Destroy |
Northern Ireland Social Care Council
Ref | Record Type | Minimum Retention Period | Relevant Legislation / Derivation | Final Action |
---|---|---|---|---|
O34 | Live register of all social care workers | Updated as necessary to reflect currently available information | Determined on review | |
O35 | Records relating to the registration of Social Workers and Social Care staff | Lifetime of registrant plus 10 years | Destroy | |
O36 | Records in relation to the regulation/conduct of social workers and social care staff, including: complaints; concerns; allegations (substantiated and un-substantiated); enforcement or decision; appeals; and appeals to Care Tribunal, etcetera | Lifetime of registrant or applicant plus 10 years | Determined on review | |
O37 | Records related to
|
30 years | Destroy | |
O38 | Records in relation to the regulation of social work education and training, including regulation of the degree in social work and the provision of practice learning opportunities | Lifetime of the programme/learning opportunity provider plus 10 years | Determined on review | |
O39 | Records in relation to the regulation of post qualifying education and training for social workers | 15 years from date of approval | Determined on review |
Regulation and Quality Improvement Authority
Ref | Record Type | Minimum Retention Period | Relevant Legislation / Derivation | Final Action |
---|---|---|---|---|
O40 | All records/materials which form a fundamental part of the record for undertaking the function of registration and inspection for all regulated services as specified in the relevant regulations, including records related to enforcement action; appeals to Care Tribunal, etc. | General: 8 years from the date of the last entry.
Children’s Homes and Residential Family Centres: 15 years from the date of the last entry. Voluntary Adoption Agencies: records with respect to staff 15 years from the date of the last entry |
Determined on review | |
O41 | All records/materials which form a fundamental part of the record for undertaking the function of inspection for schools which provide accommodation for children. | 15 years from the date of the last entry | Determined on review | |
O42 | Duty of Quality Reviews with regard to services provided by HSC statutory bodies and their agents, including arrangements in which health and care services are provided, including records underpinning the review and supporting evidence. | Eight years from the date of the last entry | Destroy | |
O43 | General Registration Enquiries – records, notes and correspondence related to straightforward inquiries/requests for information (Excluding FOI/DPA Requests – see J28) and associated contacts, if any, which do not result in an application for registration. | Three years after last contact | Destroy | |
O44 | Live register of all regulated services | Updated as necessary to reflect currently available information | Determined on review | |
O45 | Preliminary investigations into unregistered services not leading to enforcement | Three years after last contact | Destroy |