Disposal schedule - Section P

Disposal schedule - Section P - Social care - Children and adults

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P1 Applicant - Approved suitable/ Adoption order granted/ Not approved suitable/ Uncompleted or Withdrawn:  Case Records, which include applications; case records/notes; records of contact; assessments; support/counselling; specified health and health related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
  • the support of disabled children and their families
  • the support and supervision of children in need who are not looked after and who are not on the Child Protection Register and their families

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

 

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