Disposal schedule - Section O

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Disposal schedule - Section O - Regulation

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O4 Adult Placement Carers - Approved /Not approved suitable/ Uncompleted or Withdrawn: Records, which include applications; case records/notes; assessments; support/counselling; specified health and health related information; information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 contemporaneous note of all treatment provided to him;
  • his medical history and all other notes prepared by a health care professional about his case.
 (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
Reg. 23(7)

 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:

  • medical and dental trainees: their postings, assessments, courses, study leave, less than full time training
  • doctors or dentists in difficulty / careers advice:
 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:

  • medical, dental and consultant trainers, courses, workshops
  • training posts and their approval
 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:

  • course Details
  • correspondence
  • booking records
  • payment details
  • GP appraisal ‘form 6A’s’
  • evaluation feedback / summaries
 six years after the course has ended Takes into account revalidation and finance payment record retention timelines Destroy
O32 Information relating to
  • Deanery visits to HSC Trusts and General Medical/Dental Practices
  • GMC visits to the Northern Ireland Deanery
 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
  • information received about individuals eligible to register on the social care register but not yet registered
  • preliminary investigations into unregistered social care workers not leading to enforcement
 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

 

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