Adoption
Ref | Record Type | Minimum Retention Period | Relevant Legislation / Derivation | Final Action |
---|---|---|---|---|
P1 | Applicant - Approved suitable/ Adoption order granted/ Not approved suitable/ Uncompleted or Withdrawn: Case Records, which include applications; case records/notes; records of contact; assessments; support/counselling; specified health and health related information; information received from 3rd parties; reviews; case summaries; any report, recommendation or decision; placement, post adoption work, etcetera.
See AD-013 See-AD-021 See AD-025 |
75 years from date of decisions/ granting order | The Adoption Agencies Regulation (NI) 1989
Reg.14 |
Determined on review after consultation with Trust social work and records management staff |
P2 | Applicant - Case files, which relate to inquiries which do not proceed beyond initial information and counselling stages | 40 years after last contact | Determined on review after consultation with Trust social work and records management staff | |
P3 | Birth Parents - case records of birth parents and related support work pre and post adoption | 75 years from adoption | Transfer to PRONI | |
P4 | Children’s case records, including relevant pre-adoption health, education and other 3rd party information, communications and reports requested for the purposes of adoption and indexes to case records; in-country tracing; inter-country tracing | 75 years from date the adoption order is made | The Adoption Agencies Regulations (Northern Ireland) 1989
Reg.14 |
Transfer to PRONI |
P5 | Panel Records, minutes and papers | 75 years after creation | Transfer to PRONI | |
P6 | Post adoption counselling - case records for children/adults who have been adopted and other children/adults affected by adoption.
See-AD-021 |
75 years after creation | Transfer to PRONI |
Adult case records – Fieldwork: all programmes of care
Ref | Record Type | Minimum Retention Period | Relevant Legislation / Derivation | Final Action |
---|---|---|---|---|
P7 | Carer’s Assessments - individual case records (from referral through to closure) including referrals; assessments; care/case management records; social work contacts and other HSC professional services, case conferences and reviews; 3rd party communications and reports (for example, medical reports, etcetera); records related to direct payments, self-directed support, etcetera; legal documentation; correspondence; case-specific supervision; and case summaries, including closure summaries, integrated care plans, etcetera | Eight years after closure or death of individual | Determined on review after consultation with Trust social work and records management staff | |
P8 | Client case files (not adult protection) - individual case records (from referral through to closure) including referrals; assessments (risk, core, complex, etc.); care/case management records; social work contacts and other HSC professional services, case conferences and reviews; 3rd party communications and reports (for example, adult placements, day care, domiciliary care, residential, respite, medical reports and specialist assessments, etc.); records related to direct payments, self-directed support, etc; legal documentation; correspondence; case-specific supervision; and case summaries, including closure summaries, integrated care plans, etcetera | Eight years after closure or death of individual | Determined on review after consultation with Trust social work and records management staff |
Adult protection/safeguarding
Ref | Record Type | Minimum Retention Period | Relevant Legislation / Derivation | Final Action |
---|---|---|---|---|
P9 | Case files from referral through to closure, including referrals; screening; assessments (risk, core, complex, etcetera); social work contacts; strategy/case conferences and reviews; care and protection plans; 3rd party communications and reports, including medical reports and specialist assessments; legal documentation; correspondence; case-specific supervision; and case summaries, including transfer summaries, etcetera | 30 years after closure or death | Determined on review after consultation with Trust social work and records management staff | |
P10 | Offenders/Individuals who may pose a risk to vulnerable adults - Notifications and records in relation to offenders and unadjudicated individuals; Public Protection Arrangements Northern Ireland; and Multi-Agency Risk Assessment conferences. | 100 years from date of notification or 30 years after death
10 years situations where the referral is based on erroneous or false information |
Determined on review after consultation with Trust social work and records management staff | |
P11 | Referrals resulting in no further action and no further support services required | 10 years after last action/entry | Destroy | |
P12 | Serious Case Reviews (SCR) - all records related to the SCR process from inception to publication and subsequent monitoring of action plans and learning | 50 years after the completion of the SCR Report or the decision not to proceed with the SCR | Transfer to PRONI |
Child Protection/Safeguarding Children
Ref | Record Type | Minimum Retention Period | Relevant Legislation / Derivation | Final Action |
---|---|---|---|---|
P13 | Case files from referral through to closure/transfer, including referrals; screening; initial assessment; pathway assessment; assessments; UNOCINI records; information relating to entry to and discharge from the child protection register; social work contacts; case conferences and reviews; core group meetings; 3rd party communications and reports (for example, reports from other professionals/agencies/services); legal documentation; correspondence; case-specific supervision; and case summaries, including transfer/ closure summaries, etcetera.
See AD030 |
75 years after closure or 15 years after death of child if child dies before attaining the age of 18 | Determined on review after consultation with Trust social work and records management staff | |
P14 | Case Management Reviews (CMR) – all records related to the CMR process from inception to publication and subsequent monitoring of action plans and learning | 75 years after the completion of the CMR Report or the decision not to proceed with a CMR | Determined on review after consultation with Trust social work and records management staff | |
P15 | Offenders/Individuals who may pose a risk to Children -Notifications and records in relation to offenders and unadjudicated individuals; Public Protection Arrangements Northern Ireland; Multi-Agency Risk Assessment Conferences; Circular HSS CC: 3/96 (Revised): Sharing to Safeguard, (September 2008) as amended 14 May 2009 | 100 years from date of notification or 30 years after death.
10 years for situations where the referral is based on erroneous or false information |
Determined on review after consultation with Trust social work and records management staff | |
P16 | Referrals resulting in no further action and no further child or family support services required and/or do not progress to a UNOCINI pathway assessment.
See AD030 |
Up to child’s 18th birthday | Destroy |
Children in need – Family support
Ref | Record Type | Minimum Retention Period | Relevant Legislation / Derivation | Final Action |
---|---|---|---|---|
P17 | Case files from referral through to closure/transfer, including gateway and UNOCINI records; referrals; screening; records relating to family support; social work contacts; case conferences and reviews; 3rd party communications and reports (including relevant domiciliary support; early years; family centres; respite/short breaks records relating to individuals/ families); correspondence; case summaries, etcetera, including
See AD030 |
Transfer to Adult Social Care, where appropriate, otherwise 20 years after closure of case | Determined on review after consultation with Trust social work and records management staff | |
P18 | Family Centres – Non-residential: service provider’s case records/notes (from referral to closure) related to each child/family receiving the service,
See AD014 |
15 years from date of last entry | Determined on review after consultation with Trust social work and records management staff | |
P19 | Family Centres – Non-residential: administrative records pertaining to the operation of the establishment for example, statement of purpose, service user’s guide, quality reviews etcetera. | 15 years from date of last entry | Determined on review after consultation with Trust social work and records management staff |
Children – Registers
Ref | Record Type | Minimum Retention Period | Relevant Legislation / Derivation | Final Action |
---|---|---|---|---|
P20 | Child Protection | 75 years after creation of the record | Co-operating to Safeguard Children, Chapter 5, 5.83 - 5.91 | Transfer to PRONI |
P21 | Disabled children | Entry in the register to be retained until the child to whom it relates reaches the age of 18 years | Transfer to PRONI | |
P22 | Persons who act as child minders on domestic premises | Entry in the register to be retained for at least 8 years from the date on which the person to whom it relates ceases to be registered | Transfer to PRONI | |
P23 | Persons, other than the Trust, who provide day care for children under the age of 12 on premises other than domestic premises | Entry in the register to be retained for at least 8 years from the date on which the person to whom it relates ceases to be registered | Transfer to PRONI | |
P24 | Every child placed in an authority’s area and every child placed by an authority outside its area | Until the child to whom the entry relates attains the age of 23, or if the child dies before attaining 23, the period of five years beginning with the date of his death | The Arrangements for Placement of Children (General) Regulations (NI) 1996 Reg. 10(5) | Transfer to PRONI |
P25 | Register of Foster parents and others with whom a child is placed as specified in Reg. 12 | 10 years from the date on which his approval is terminated, or until his death, if earlier | The Foster Placement (Children) Regulations (NI) 1996 Reg. 14(1) | Transfer to PRONI |
Community development/health improvement initiatives and partnerships
Ref | Record Type | Minimum Retention Period | Relevant Legislation / Derivation | Final Action |
---|---|---|---|---|
P26 | Community development promoting social inclusion; health improvement; health and well being capacity building; regeneration projects; and cross-border initiatives | Eight years after closure of the project | Determined on review | |
European partnerships | See GMGR Section J42 |
Court proceedings – Children not looked after or on the Child Protection Register
Ref | Record Type | Minimum Retention Period | Relevant Legislation / Derivation | Final Action |
---|---|---|---|---|
P27 | Case records related to Children and Young People subject to public and private law applications and/or orders, for examole. Article 4/Article 56 reports to the court; Article 8 Orders, for example, contact orders and residence orders; Article 50 supervision orders; and ‘Wards of Court’ (Article 173), etcetera. | 20 years from closure or 15 years after the child’s death | Determined on review |
Foster care records
Ref | Record Type | Minimum Retention Period | Relevant Legislation / Derivation | Final Action |
---|---|---|---|---|
P28 | Applicant - Records related to inquiries which do not proceed beyond initial information and counselling stages | 40 years after last contact | Destroy | |
P29 | Applicant - Approved suitable: Records, which include applications; case records/notes; assessments; support/counselling; specified health and health related information; information received from 3rd parties; reviews; case summaries; any report, recommendation or decision; placement and post placement work; contact records with foster families, for example, “foster care diaries”, etcetera; and the matters set out in Regulation 13 of the Foster Placement (Children) Regulations (NI) 1996 | For at least 10 years from the date on which his approval is terminated, or until his death, if earlier | The Foster Placement (Children) Regulations (NI) 1996 Reg. 14(1) | Destroy |
P30 | Applicant - 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; any report, recommendation or decision, etcetera. | 40 years from date of decision | Destroy | |
P31 | Records related to Private Foster Carers and children who are privately fostered | 10 years after closure of the case or until the death of the private foster carer, if earlier | Determined on review after consultation with Trust social work and records management staff | |
P32 | Panel records, minutes and papers | 40 years from the date the record is created | Transfer to PRONI |
Guardian Ad Litem Records
Ref | Record Type | Minimum Retention Period | Relevant Legislation / Derivation | Final Action |
---|---|---|---|---|
P33 | Records in specified proceedings under the Children (NI) Order 1995 | 75 years from date of birth or if the child dies before age 18 then retain for 15 years from his/her death | Transfer to PRONI | |
P34 | Records in proceedings under the Adoption (NI) Order 1989 | 75 years from date of final court decision (whether freeing/adoption order granted or not) | Transfer to PRONI | |
P35 | Case Trial Bundles | Records to be destroyed at the conclusion of the court case | Destroy |
Looked after children and leaving and after care
Ref | Record Type | Minimum Retention Period | Relevant Legislation / Derivation | Final Action |
---|---|---|---|---|
P36 | Children who are placed (for example, in foster care, a children’s home, with their own families or otherwise accommodated) - Case records (from referral through to closure), including referrals; assessments; social work contacts; case conferences and reviews; 3rd party communications and reports; legal documentation; correspondence; case-specific supervision; and case summaries, including closure summaries, etcetera; and those matters identified in Reg. 8 of the Arrangements for Placement of Children (General) Regulations) (NI) 1996. | 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 beginning with the date of his/her death | The Arrangements for Placement of Children (General) Regulations (NI) 1996 Reg. 9(1) | Transfer to PRONI |
P37 | Independent Visitors - Records related to the recruitment, selection, training and support and review and termination of Independent Visitors | 25 years after termination of role as an Independent Visitor | Destroy | |
P38 | Children and young people making the transition to independent living - records relating to assessments, pathway plans and their review | Until the 75th anniversary of the date of birth of the child or young person to whom they relate, or if the child dies before the age of 18, for a period of 15 years beginning with and including the date of his death | The Children (Leaving Care) Regulations (Northern Ireland) 2005 Reg. 9(1) | Transfer to PRONI |
Miscellaneous
Ref | Record Type | Minimum Retention Period | Relevant Legislation / Derivation | Final Action |
---|---|---|---|---|
P39 | Notifications from other Trusts/Authorities about missing/found persons - person unknown to the Trust or Service | Three years after notification received | Destroy | |
P40 | “One-Off records”, for example, straightforward requests for advice, initial information and contact, financial assistance, benefit enquiries, telephone calls, housing enquiries, inappropriate/re-directed referrals requiring no further action | Three years after closure/last contact | Destroy |
Practice learning- Students
Ref | Record Type | Minimum Retention Period | Relevant Legislation / Derivation | Final Action |
---|---|---|---|---|
P41 | Student Information and social work training - records related to student's practice learning opportunity, including non case-specific supervision, notes of meetings, mentoring, learning, tutoring, etcetera
Case specific supervision should be placed in the client’s case file |
10 years after completion of practice learning opportunity | Destroy |
Staff supervision non case-specific
Ref | Record Type | Minimum Retention Period | Relevant Legislation / Derivation | Final Action |
---|---|---|---|---|
P42 | Staff non case-specific supervision records, for example, discussion and decision-making with regard to management (competent and accountable performance); professional development; support; and engagement of the individual with the organisation. | See AM-012
See L2 |
Destroy |