SCARRS 2.0: Scottish Council on Archives Records Retention Schedules Combined Schedules

Transcription

1 SCARRS 2.0: Scottish Council on Archives Records Reteion Schedules Combined Schedules Corolled master available: All other copies are uncorolled LAST REVIEW PUBLISHED VERSION REVIEWED BY SCHEDULES AFFECTED October F. Rankin (IG Scotland) 2, 4, 6, 7, 10, 11, 12, 15, 17, 19 January F. Rankin (IG Scotland) 3; 10; 12; 17 May F. Rankin (IG Scotland) 3; 4; 14; 15; 16; 21; 22 Scottish Council on Archives: A Scottish Charitable Incorporated Organisation (SC044553)

2 1. ADULT CARE SERVICES

3 Classification and Related Terms REF FUNCTION / ACTIVITY SCOPE NOTES ALTERNATIVE TERMS / KEY WORDS 01 ADULT CARE SERVICES The function of providing services Community Care; Social Care; to support, protect and care for Social Work Services vulnerable adults Asylum seekers Activities to support the welfare of asylum seekers and their families Carers/ case files Personnel files of staff employed in caring role for vulnerable adults SCOTTISH SERVICES / NATIONAL INTERNAL SERVICES LIST MAPPING 77 - Asylum seekers - advice and support Asylum seekers - nationality checking Carers - adult Carers - adult - respite care Care - shared care for adults Carers - support groups and organisations Care - alternative providers Social services - adult placeme Carers - advocacy Social services - advocacy for clies 01 Adult Care Services Community support Social services - community and day ceres Social services - community support groups and organisations - information Resideial homes The activities involved in managing a resideial care service provided by the council Social issues Advice, and service support for adults affected bydrug, alcohol and other social issues such as alcohol and drug abuse Social services - resideial care - adult Social services - alcohol - advice and support Social services - drugs - advice and support Social services - drug treatme and testing orders 1

4 Classification and Related Terms REF FUNCTION / ACTIVITY SCOPE NOTES ALTERNATIVE TERMS / KEY WORDS 01 ADULT CARE SERVICES The function of providing services Community Care; Social Care; to support, protect and care for Social Work Services vulnerable adults Supporting adults Activities involved in managing individual cases of adults requiring social work services including responding to referrals; assessing care and support needs; organising, co-ordinating, monitoring and reviewing the provision of care and support SCOTTISH SERVICES / NATIONAL INTERNAL SERVICES LIST MAPPING Social services - counselling Social services - harassme - advice and support Social services - occupational therapy Social services - hospitalisation - pet care Social services - HIV / AIDS - advice and support for adults Social services - clie coact problems Care - at home Social services - incoinence laundry service Social services - direct paymes Social services - hospice care - adults Disabled people - parking permits - blue badge Social services - power of attorney - applications Social services - out of hours support Social services - meals on wheels Older people - activities Council - complais - advocacy for complainas Social services - debt counselling Social services - vulnerable adults - protection Refuse - household waste - assisted collection Social services - manageme of personal financial affairs Social services - needs assessme Care - home assessme Social services - Single Shared Assessme 01 Adult Care Services 2

5 Classification and Related Terms REF FUNCTION / ACTIVITY SCOPE NOTES ALTERNATIVE TERMS / KEY WORDS 01 ADULT CARE SERVICES The function of providing services Community Care; Social Care; to support, protect and care for Social Work Services vulnerable adults Supporting disabilities Service related to enabling equal access, opportunities and providing aids to adults with physical disabilities SCOTTISH SERVICES / NATIONAL INTERNAL SERVICES LIST MAPPING Disabled people - employme and training schemes Disabled people - specialist equipme Disabled people - independence at home Disabled people - personal transport - motability scheme 01 Adult Care Services Adults with incapacity Service related to supporting adults under the terms of the Adults With Incapacity (Scotland) Act

6 Records Reteion Schedule 01 Adult Services Reference Activity / Records 1 ADULT CARE SERVICES Asylum seekers Case file - asylum seekers Description / Example Trigger - eve that reteion period 1. Last action 2. Death of adult Reteion 5 years 3 years Destroy Authority Citation/ Notes Edit History Requireme Reteion period allows time for audit Carers Carers files - see Reteion Schedule 15: Human Resources for carers of children and young people, see schedule 02 : Children and Family Services Adult carers Adult carer support plan Uil superceded Uil superceded Young carers Young carer stateme Uil superceded Uil superceded Community support Kept in clie case file and follow appropriate reteion period Destroy Destroy Carers (Scotland) Act Section 6 Carers (Scotland) Act Section 12 Added June 2016 Added June Care Services (including, Resideial homes Home care and housing support services) Amended from Resideial homes Service file -Care Service manageme records - Strategy, planning, monitoring, register of admissions and discharges, visitors books, meetings, correspondence Curre year 6 years Destroy Requireme Amended Authority to Requireme from Statutory. SI does not specificy reteion period. Amended trigger to Curre Year Removed SSI citation. FR

7 Records Reteion Schedule 01 Adult Services Reference Activity / Records 1 ADULT CARE SERVICES Description / Example Trigger - eve that reteion period Reteion Authority Citation/ Notes Edit History , removed Replaced by more detailed series. Amended records series description to refer to Care Inspectorate. FR Service user file Records documeing the preparation, review and revision of a personal plan for a service user, financial transactions undertaken for a service user; liaisons with social workers regarding the type of care being provided to a service user or problems with providing home care, administration of medicines to a service user. Records held must include: 1. Last action 2. Death of adult 5 years 3 years Destroy Requireme Further detail added as below Service user file Personal Plans Regulation of Care (Requiremes as to Care Services) (Scotland) Regulations SSI 2002 No 114. Regulation 5 Detail added

8 Records Reteion Schedule 01 Adult Services Reference Activity / Records 1 ADULT CARE SERVICES Service user file Service user file Description / Example Records for service users. Name, address, date of birth Details of next of kin or person authorised to act on their behalf. Details of users general practitioner Date service was first provided Details of any restrai used; Incides detrimeal to the health or welfare of a service user; Complais, outcome and action taken; Money and valuables deposited by a service user / when returned/what used for; Date and time of death of any service user who has died including doctor certifying death; Details of medication without conse Trigger - eve that reteion period Reteion Authority Citation/ Notes Edit History Regulation of Care (Requiremes as to Care Services) (Scotland) Regulations SSI 2002 No 114. Regulation 19 (1) Regulation of Care (Requiremes as to Care Services) (Scotland) Regulations SSI 2002 No 114. Regulation 19 (3) Detail added Detail added

9 Records Reteion Schedule 01 Adult Services Reference Activity / Records Description / Example 1 ADULT CARE SERVICES Care service records Fire and emergency procedures.; Fire drills and alarm tests. Maienance of equipme. Daily list of persons employed. Date and time of death of any service user who has died including doctor certifying death. Medicines kept on the premises. Trigger - eve that reteion period Reteion Curre year 5 years Destroy Requireme Authority Citation/ Notes Edit History Regulation of Care (Requiremes as to Care Services) (Scotland) Regulations SSI 2002 No 114. Regulation 19 (3) added Records of persons employed Full name, address, date of birth, qualifications, training and experience. Date of commenceme. Date of termination Positions held Registration (if appropriate) Any disciplinary action and outcome Retained as Personal File - See HR schedule Regulation of Care (Requiremes as to Care Services) (Scotland) Regulations SSI 2002 No 114. Regulation 19 (2) added Notification of death, illness and other eves se to the Care Inspectorate Curre year 3 years Destroy Requireme Regulation of Care (Requiremes as to Care Services) (Scotland) Regulations SSI 2002 No 114. added Regulation 21 4

10 Records Reteion Schedule 01 Adult Services Reference Activity / Records 1 ADULT CARE SERVICES Notification of absence se to the Care Inspectorate Description / Example Proposed absence of manager for a coinuous period of more than 28 days. Trigger - eve that reteion period Reteion End of period of absence 3 years Destroy Requireme Authority Citation/ Notes Edit History Regulation of Care (Requiremes as to Care Services) (Scotland) Regulations. SSI 2002 No 114. Regulation 22 added Notification of changes se to the Care Inspectorate Change of provider. Change of manager Change of premises Change of name of an individual Change of ownership of a body corporate or ideity of its officers. Change of ideity of partners Curre year 3 years Destroy Requireme Regulation of Care (Requiremes as to Care Services) (Scotland) Regulations. SSI 2002 No 114. Regulation 23 (1) added Notification of complais procedure se to the Care Inspectorate Copy of complais procedure Uil superseded Nil Destroy Requireme Regulation of Care (Requiremes as to Care Services) (Scotland) Regulations SSI 2002 No 114. added Regulation Notification from a care service to the Care Inspectorate Notification of unfitness Date of notification 5 years Destroy Requireme Regulation of Care (Requiremes as to Care Services) (Scotland) Regulations SSI 2002 No 114. Regulation 8 added

11 Records Reteion Schedule 01 Adult Services Reference Activity / Records 1 ADULT CARE SERVICES Notification from a care service to the Care Inspectorate Description / Example Appoime of a manager Trigger - eve that reteion period Reteion Date of notification 5 years Destroy Requireme Authority Citation/ Notes Edit History Regulation of Care (Requiremes as to Care Services) (Scotland) Regulations SSI 2002 No 114. Regulation 17 added Application by Local Authority to register a care service under s33(1)c Regulation of Care (Scotland) Act 2001 A stateme that the local authority have determined that they must provide the service in order to fulfil a statutory duty; and Uil superseded 5 years Destroy Requireme The Regulation of Care (Applications and Provision of Advice) (Scotland) Regulations 2002 SSI 2002/113(3) added A stateme of the reasons for that determination (including ideification of the statutory provisions which in the opinion of the local authority give rise to that duty) Stateme of aims and objectives Uil superseded 5 years Destroy Requireme Certificate of registration Uil superseded 5 years Destroy Regulation of Care (Requiremes as to Care Services) (Scotland) Regulations SSI 2002 No 114. Regulation 3 Regulation of Care (Scotland) Act asp 8 Section 9 To be displayed on premises concerned. added

12 Records Reteion Schedule 01 Adult Services Reference Activity / Records 1 ADULT CARE SERVICES Dismissal of social worker - notification to Scottish Social Services Council Social issues Kept in clie case file and follow appropriate reteion period Description / Example Trigger - eve that reteion period Reteion Dismissal 6 years Destroy Requireme Authority Citation/ Notes Edit History Smoking, Health and Social Care (Scotland) Act 2005 asp 13. Section 32. Inserts section 57A io the 2001 Act. To be in writing added Supporting adults Register of adults with learning difficulties who received social work services Case file - adult with learning difficulties, where statutory measures were taken Case file - adult with learning difficulties, where statutory measures were not taken Register of adults with meal health problems who received social work services. Referral / Request for service or service transferred to another provider, Assessme and referral reports, Care plan, coact info of clie (and carer where releva) Referral / Request for service or service transferred to another provider, Assessme and referral reports, Care plan, coact info of clie (and carer where releva) Curre year 100 years Destroy Requireme 1. Last action 2. Death of adult 1. Last action 2. Death of adult 10 years 5 years 5 years 3 years Destroy Destroy Requireme Requireme Curre year 100 years Destroy Requireme 7

13 Records Reteion Schedule Reference Activity / Records 1 ADULT CARE SERVICES Case file - adult with meal health problems, where statutory measures were taken Case file - adult with meal health problems, where statutory measures were not taken Case file - Occupational therapy Register of adults with physical disabilities who received social work services Case file - physical disabilities Description / Example Referral / Request for service or service transferred to another provider, Assessme and referral reports, Care plan, coact info of clie (and carer where releva) Referral / Request for service or service transferred to another provider, Assessme and referral reports, Care plan, coact info of clie (and carer where releva) Referral / Request for service or service transferred to another provider, Assessme and referral reports, Care plan, coact info of clie (and carer where releva) Trigger - eve that reteion period 1. Last action 2. Death of adult 1. Last action 2. Death of adult 1. Last action 2. Death of adult Reteion 10 years 5 years 5 years 3 years 5 years 3 years Destroy Destroy Destroy Authority Citation/ Notes Edit History Requireme Requireme Requireme Curre year 100 years Destroy Requireme Referral / Request for 1. Last action 2. Death 5 years service or service transferred to another provider, Assessme and referral reports, Care plan, coact info of clie (and carer where releva) of adult 3 years Destroy Requireme 01 Adult Services 8

14 Records Reteion Schedule 01 Adult Services Reference Activity / Records 1 ADULT CARE SERVICES Case file - all other adults which do not fit io categories above Plan of use of the service (Personal Plans) Description / Example Trigger - eve that reteion period Reteion Referral / Request for 1. Last action 2. Death 5 years service or service transferred to another provider, Assessme and referral reports, Care plan, coact info of clie (and carer where releva) of adult 3 years 1. Superceded 2. Death of adult 5 years 3 years Destroy Destroy Authority Citation/ Notes Edit History Requireme Requireme The Regulation of Care (Requiremes as to Care Services) (Scotland) Amendme Regulations SSI 2004 No 94. Regulation 2 Amends SSI 2002 No 114 as amended by SSI 2003 No 149 and SSI 2003 No 572. To be in writing Amended reference to.019 to remove duplication FR added NHS/LA agreeme 1. Superceded 2. Death of adult 5 years 3 years Destroy Requireme The Community Care (Joi Working etc) (Scotland) Regulations SSI 2002 No 533 Regulations 2 (b), 3 (b) To be in writing Reg. 9 added Part 9 Care Plan (under the Meal Health (Care and Treatme) (Scotland) Act 2003, Part 9 - Compulsion Orders) Retain on case file 1. Last action 2. Death of adult 5 years 3 years Destroy Requireme Meal Health (Coe and amendme of care plans) (Scotland) Regulations SSI 2005 No 309 added

15 Records Reteion Schedule 01 Adult Services Reference Activity / Records 1 ADULT CARE SERVICES Social Circumstances report - under the Meal Health (Care and Treatme) (Scotland) Act 2003 Description / Example Trigger - eve that reteion period Retain on case file 1. Last action 2. Death of adult Reteion 5 years 3 years Destroy Authority Citation/ Notes Edit History Requireme Meal Health (Social Circumstances Reports) (Scotland) regulations SSI 2005 No 310 Regulation 2 added Coe of Part 9 Care Plan Retain on case file 1. Last action 2. Death of adult 5 years 3 years Destroy Requireme Meal Health (coe and amendme of Part 9 care plans) (Scotland) Regulations SSI2005 No 312 Regulation 2 added Ierviews Retain on case file 1. Last action 2. Death of adult Medical examinations Retain on case file 1. Last action 2. Death of adult Request for records Retain on case file 1. Last action 2. Death of adult Assessme orders (Issued by Sheriff. Expires 7 days from issue.) Retain on case file 1. Last action 2. Death of adult 5 years 3 years 5 years 3 years 5 years 3 years 5 years 3 years Destroy Destroy Destroy Destroy Requireme Requireme Requireme Requireme Adult Support and added Protection (Scotland) Act asp10 Section 8 Adult Support and added Protection (Scotland) Act asp10 Section 9 Adult Support and added Protection (Scotland) Act asp10 Section 10. When not made during a visit then the request must be in writing This includes electronic means Adult Support and added Protection (Scotland) Act asp10 Section 11 10

16 Records Reteion Schedule 01 Adult Services Reference Activity / Records 1 ADULT CARE SERVICES Removal orders(issued by Sheriff. Expires 7 days from issue.) Description / Example Trigger - eve that reteion period Retain on case file 1. Last action 2. Death of adult Banning order Retain on case file 1. Last action 2. Death of adult Reteion 5 years 3 years 5 years 3 years Destroy Destroy Authority Citation/ Notes Edit History Requireme Requireme Adult Support and Protection (Scotland) Act asp10 Section 14 Adult Support and Protection (Scotland) Act asp10 Section 19. Expires (a) On a specified date; (b) The date recalled; or (c) 6 mohs after it is graed added added Report of a visit (It is assumed a report of a visit under Section 36 will be required) Adult Protection Committee Adult Protection Committee Retain on case file 1. Last action 2. Death of adult Procedures, practices, arrangemes 5 years 3 years Destroy Uil superseded 5 years Destroy or Transfer to Archive Minutes Curre year 5 years Destroy or Transfer to Archive Requireme Requireme Requireme Adult Support and Protection (Scotland) Act asp10. Section 36 added Adult Support and added Protection (Scotland) Act asp10 Section 42. Consider for permane preservation in an archive. See Democracy schedule. Adult Support and added Protection (Scotland) Act asp10 Section 42. Consider for permane preservation in an archive. See Democracy schedule. 11

17 Records Reteion Schedule 01 Adult Services Reference Activity / Records 1 ADULT CARE SERVICES Adult Protection Committee Records of the exercise of the withdrawer s powers Description / Example Trigger - eve that reteion period Reteion Biennial report Curre year 5 years Destroy or Transfer to Archive Retain on case file 1. Last action 2. Death of adult Patie Care Record 1.75th birthday 2. Death of adult Supporting disabilities 5 years 3 years Recommend all records be retained uil the 75 th birthday or 25 years after date of death whichever is later Destroy Authority Citation/ Notes Edit History Requireme Requireme Requireme Adult Support and added Protection (Scotland) Act asp10. Section 46. Consider for permane preservation in an archive. See Democracy schedule. Adult Support and added Protection (Scotland) Act asp10. Section 30B Healthcare Improveme added Scotland (s as to Independe Health Care Services) Regulations SSI 2011 No 182. Regulation 4 Kept in clie case file and follow appropriate reteion period Adults with Incapacity Added Complais relating to Guardianship Curre year 5 years Destroy Requireme Adults with Incapacity (Scotland) Act asp 4 Section 10 added

18 Records Reteion Schedule 01 Adult Services Reference Activity / Records Description / Example Trigger - eve that reteion period 1 ADULT CARE SERVICES Power of Attorney Power of Attorney ceases Records Attorneys A coinuing or welfare attorney shall keep records of the exercise of his powers Stateme of reside s affairs Ierveion orders A person authorised under an ierveion order shall keep records of the exercise of his powers Guardianship Order A guardian shall keep records of the exercise of his powers Reteion 5 years Destroy Requireme Guardianship ceases 5 years Destroy Requireme Guardianship ceases 5 years Destroy Requireme Guardianship ceases 5 years Destroy Requireme Guardianship ceases 5 years Destroy Requireme Manageme Plan Guardianship ceases 5 years Destroy Requireme Authority Citation/ Notes Edit History Adults with Incapacity added (Scotland) Act asp 4 Section 15 The Adults with Incapacity (Certificate in Relation to Powers of Attorney) (Scotland) Regulations SSI 2001 No 80. To be in writing Adults with Incapacity added (Scotland) Act asp 4 Sections 21, 30 To be in writing Adults with Incapacity added (Scotland) Act asp 4. Section 43. To be in writing Adults with Incapacity added (Scotland) Act asp 4. Section 53 (3), 54. To be in writing Adults with Incapacity (Scotland) Act asp 4. Sections 57, 65. To be in writing Adults with Incapacity (Scotland) Act asp 4. Schedule 2-1. To be in writing added added

19 Records Reteion Schedule 01 Adult Services Reference Activity / Records Description / Example Trigger - eve that reteion period Reteion 1 ADULT CARE SERVICES Inveory of estate Guardianship ceases 5 years Destroy Requireme Accous Curre financial year 5 years Destroy Requireme Medical treatme certificates Death or Guardianship ceases 5 years Destroy Requireme Certificate of Incapacity Certificate lapses 5 years Destroy Requireme Authority Citation/ Notes Edit History Adults with Incapacity added (Scotland) Act asp 4. Schedule 2-3. To be in writing Adults with Incapacity added (Scotland) Act asp 4. Schedule 2-7 As prescribed by the Public Guardian The Adults with added Incapacity (Medical Treatme Certificates) (Scotland) Regulations 2002 SI 2002 No 208. Regulation 2. As per schedule The Adults with added Incapacity (Manageme of Resides Finances) (Scotland) Regulations SSI 2003 No 155. Regulation 2. To be in writing Schedule 1 & 2 14

20 Records Reteion Schedule 01 Adult Services Reference Activity / Records Description / Example Trigger - eve that reteion period Reteion 1 ADULT CARE SERVICES Certificate of Incapacity Certificate lapses 5 years Destroy Requireme Authority Citation/ Notes Edit History The Adults with Incapacity (Manageme of Resides Finances) (No 2) (Scotland) Regulations SSI 2003 No 266. Regulation 2 To be writing. Schedules 2 & 2 added

21 2. CHILDREN & FAMILY SERVICES

22 Classification and Related Terms REF FUNCTION / ACTIVITY SCOPE NOTES ALTERNATIVE TERMS / KEY WORDS 02 CHILDREN & FAMILY SERVICES The function of providing services to support, protect and care for children and their families both directly and in partnership with private and voluary Adoption and fostering organisations. The activities involved in managing the work of the Council as an adoption agency including assessing the suitability of prospective adopters, recruiting and training adopters, providing pre and post adoption support. Also the activities involved in providing a service for the recruitme, assessme, approval and training of foster carers, and for the matching children with approved foster carers and the arrangeme of foster placemes. Include Kinship carers Child protection The activities involved in managing individual cases of children who (might) require protection from abuse. 02 Children and Family Services SCOTTISH SERVICES / NATIONAL INTERNAL SERVICES LIST MAPPING Children and young people - registration of responsibilities for children Social services - fostering Social services - adoptive homes Children and young people - child protection Children and young people - child protection orders Activities include: responding to reports of alleged/known abuse of children; taking action to protect and care for children; assisting other agencies in taking action against abusers Child minding Activities related to the registration and support of child minders Children looked after in care The activities involved in managing individual cases of children who are 'looked after' by the Council directly or through out-sourced services Looked after children 20 - Childcare - child-minding information 21 - Childcare - services for childminders Children and young people - respite care Children and young people - shared care Care - support for young people leaving care Communications Services manageme Programme manageme and Service manageme developme 1

23 Classification and Related Terms 02 Children and Family Services REF FUNCTION / ACTIVITY SCOPE NOTES ALTERNATIVE TERMS / KEY WORDS SCOTTISH SERVICES / NATIONAL INTERNAL SERVICES LIST MAPPING 02 CHILDREN & FAMILY SERVICES The function of providing services to support, protect and care for children and their families both directly and in partnership with private and voluary Resideial homes organisations. The activities involved in managing a Children and young people - resideial care resideial care service for children provided by the Council Social issues Social services - alcohol - advice and support Social services - drugs - advice and support Special education Special education is covered in Schedule 10 Education and Skills Supporting children Children and young people - HIV / AIDS - advice and support Children and young people - hospice care Social services - out of hours support Children and young people - drop in activities Children and young people - organised activities Children and young people - advice Children and young people - advice and support for children in care Children and young people - pareal custody Supporting disabilities Training Activities related to training for staff working with children and young people 2

24 Classification and Related Terms 02 Children and Family Services REF FUNCTION / ACTIVITY SCOPE NOTES ALTERNATIVE TERMS / KEY WORDS SCOTTISH SERVICES / NATIONAL INTERNAL SERVICES LIST MAPPING 02 CHILDREN & FAMILY SERVICES The function of providing services to support, protect and care for children and their families both directly and in partnership with private and voluary Youth justice organisations Youth justice - court procedures Youth justice - action plan orders Youth justice - final warning Youth justice - implemeation of orders Youth justice - reparation orders Youth justice - supervision orders Youth justice - probation orders Youth justice - referral orders Youth services Training for workers employed in Youth services to assist them in delivering their work effectively. The training aims to support workers in effective leadership, specialist skills and health and safety based issues Children and young people - youth leadership training 3

25 Records Reteion Schedule 02 Children and Family Services Ref. Activity / Records 2 CHILDREN & FAMILIES Description / Example Trigger - eve that reteion period Reteion Authority Citation / Notes Edit History N/A N/A N/A N/A N/A N/A Cross-organisational records: unless otherwise stated in this schedule, refer to the following schedules for reteion policies relating to invoicing, budgeting, See Schedule 12: Finance processing of expenses etc.. Health and Safety See Schedule 13: Health and Safety monitoring, inspections etc.. manageme and See Schedule 15: Human Resources training of staff strategy, planning, See Schedule 20: Manageme Performance Policies, procedures, Meetings, Ier-agency working, communications, eves mgmt, promotion. Enquiries and complais, project manageme Tendering and coracts See Schedule 22: Procureme manageme Adoption and fostering Fostering and adoption panel records Council registration as an adoption/fostering service Records documeing the appoime of a person as a member of a fostering or adoption panel. Termination of appoime 1 year Destroy Application Date of acceptance 1 year Destroy Record required by Regulation of Care (Scotland) Act asp 8, Sections 7 & 33 - no reteion period specified 1

26 Records Reteion Schedule 02 Children and Family Services Ref. Activity / Records 2 CHILDREN & FAMILIES Description / Example Trigger - eve that reteion period Reteion Authority Citation / Notes Edit History Certificate of registration Uil superseded or obsolete Register of "looked after" children Carer recruitme activity records Carer and adopters assessme criteria records Carer training programme records Case file - Pre-approval carers and adopters - initial enquiry Case file - Pre-approval carers and adopters - initial ierview only - no concerns Case file - Pre-approval carers and adopters - initial ierview only - concerns Case file - Pre-approval carers and adopters - background preparation only Records where case progressed to initial inquiry only Records where case progressed to initial ierview only no other concerns Records where case progressed to initial ierview only concerns about enquirer or enquirer advised not to proceed Records where case progressed to preparation group/home study/reference checks only 6 years Destroy Date of birth 100 years Destroy End of curre calendar year 5 years Archival Review Superseded 10 years Review for archival value Superseded 5 years Review for ongoing value Case closure 1 year Destroy Case closure 1 year Destroy Case closure 10 years Destroy Case closure 10 years Destroy Record required by Regulation of Care (Scotland) Act asp 8, Section 9 - no reteion period specified Record of individual training to be eered on personnel file 2

27 Records Reteion Schedule 02 Children and Family Services Ref. Activity / Records 2 CHILDREN & FAMILIES Description / Example Trigger - eve that reteion period Reteion Authority Citation / Notes Edit History Case file - Pre-approval carers and adopters - not approved/withdrawn Records where case progressed to panel/agency decision not approved/ approved but carer withdraws Date of decision or date of prospective carer/adopter's death if earlier 25 years Destroy Statutory The Looked After Children (Scotland) Regulations SI/2009 No. 210 Part 32(1) Moved citation to notes and amended authority Case file - Approved carers Termination of approval or date of death of carer if earlier Case file - Kinship carers Termination of last placeme or date of death of carer if earlier Case file - Prospective adopters - no adoption order Prospective adopters, in relation to whom an adoption order is not made Case file Adopters Date of graing the adoption order Case file - Private fostering Case file - adopted children Indexes to adoption case files Records documeing the monitoring of a private fostering arrangeme 25 years Destroy Statutory The Looked After Children (Scotland) Regulations SI/2009 No. 210 Part 32(1) 25 years Destroy Statutory The Looked After Children (Scotland) Regulations SI/2009 No. 210 Part 16(1) Last action on case 10 years Destroy Statutory The Adoption Agencies (Scotland) Regulations 2009 SSI 154 Regulation 28(3)b 100 years Destroy Statutory The Adoption Agencies (Scotland) Regulations 2009 SSI 154 Regulation 28(3)a Last action on case 5 years Destroy Foster Children (Scotland) Act 1984; Foster Children (Private Fostering) (Scotland) Regulations 1985; Date of adoption order 100 years Destroy Statutory The Adoption Agencies (Scotland) Regulations 2009 SSI 154 Regulation 28(3)a Last ery on index 100 years Destroy Statutory The Adoption Agencies (Scotland) Regulations 2009 SSI 154 Regulation 28(3)a Moved citation to notes and amended authority Moved citation to notes and amended authority Moved citation to notes and amended trigger Moved citation to notes and amended authority Moved citation to notes and amended authority Added series

28 Records Reteion Schedule 02 Children and Family Services Ref. Activity / Records 2 CHILDREN & FAMILIES Description / Example Trigger - eve that reteion period Reteion Authority Citation / Notes Edit History Case file - Approved befrienders Case file - Pre-approval of Befrienders - not approved/withdrawn Child protection Case file - Child investigated and placed on Child Protection Register Termination of approval or date of death 5 years Destroy Date of decision 1 year Destroy Case closure 35 years Destroy Unless child looked after where 100 years from date of birth reteion period applies Added series Added series Amended note to clarify 100 year reteion Case file - Child investigated but not placed on Child Protection Register Child Protection Register records Register of Schedule 1 offenders Child minding Register - list of registered childminders Case closure 5years Destroy Date of birth of child 100 years Destroy Date of ery on register 100 years Destroy Superseded 100 years Destroy Unless child looked after where 100 years from date of birth reteion period applies Amended note to clarify 100 year reteion Amended trigger from "Curre" Amended trigger from "Curre" Amended trigger from "Curre" Children looked after in care SPECIAL As of October 2015 and uil further notices, authorities must have regard to the instructions received from the Historical Child Abuse NOTE Inquiry Scotland to consider "the protection of poteially releva records, to ensure they are not destroyed before the Inquiry has had the opportunity to consider them". The scope of the inquiry is considered to extend back to Authorities should consider the poteial value of records to the inquiry before carrying out any disposal, particularly for records under and 2.007; Added June TO be removed on conclusion of Inquiry. 4

29 Records Reteion Schedule 02 Children and Family Services Ref. Activity / Records 2 CHILDREN & FAMILIES Description / Example Trigger - eve that reteion period Reteion Authority Citation / Notes Edit History Case file - Looked after children, including children freed for adoption but not adopted, fostered children and children on a Resideial Supervision Requireme Case file - Throughcare and aftercare Pathway assessme Pathway views Pathway plan Reviews of the pathway plan Procedures for making represeations. 1. Date of child's birth or 2. Date of death where child dies before 18th birthday 1. Date of child's birth or 2. Date of death where child dies before 18th birthday years years years years Destroy Statutory The Looked After Children (Scotland) Regulations SI/2009 No Regulation 43(1). Case file to coain the Childs Plan and information specified under Regulationss 12,15,36,42 Destroy Statutory The Support and Assistance of Young People Leaving Care (Scotland) Regulations SSI 2003 No 608 Regulations 3, 15 Moved citation to notes a nd amended authority Amended reteion period from 100 years. Moved citation to notes a nd amended authority Communications see Reteion Schedule 20: Manageme Programme manageme and developme see Reteion Schedule 20: Manageme Resideial homes for Children's Case Files, See , Children Looked After in Care SPECIAL NOTE As of October 2015 and uil further notices, authorities must have regard to the instructions received from the Historical Child Abuse Inquiry Scotland to consider "the protection of poteially releva records, to ensure they are not destroyed before the Inquiry has had the opportunity to consider them". The scope of the inquiry is considered to extend back to Authorities should consider the poteial Added June TO be removed on conclusion of Inquiry. 5

30 Records Reteion Schedule 02 Children and Family Services Ref. Activity / Records 2 CHILDREN & FAMILIES Description / Example Trigger - eve that reteion period Reteion Authority Citation / Notes Edit History Service file - Resideial home/home Care Service manageme records - major records Strategy, planning, monitoring, meetings, correspondence visitors books, Uil superseded Curre year 6 years 6 years 3 years Destroy Records required by Resideial Establishmes - Child Care (Scotland) Regulations 1996 SI1996/3256 Regulation 5. Records required by The Regulation of Care (Requiremes as to Care Services) (Scotland) Regulations 2002 SSI 2002/114 Removed register of admissions and discharges from description - see For Child records (Regs 13 and 17) see Case files The Regulation of Care (Applications and Provision of Advice) (Scotland) Regulations 2002 SS1 2002/113 Regulation 1(3) - no reteion period specified Service file - Resideial home/home Care Service manageme records - minor records Curre 2 years Destroy 6

31 Records Reteion Schedule 02 Children and Family Services Ref. Activity / Records 2 CHILDREN & FAMILIES Description / Example Trigger - eve that reteion period Reteion Authority Citation / Notes Edit History Notification records from a resideial home to the Care Inspectorate Death of service user, details of medication administered to service user without their conse (or the conse of people authorised to conse on their behalf), the appoime of a manager for a home care service, proposed absence of a manager of a home care service for a coinuous period of 28 days or more, proposed changes to the manageme of a home care service Date of eve 3 years Destroy Children's home register. Last ery on register Retain permanel y Transfer to archive for permane reteion Records required by The Regulation of Care (Requiremes as to Care Services) (Scotland) Regulations 2002 SSI 2002/114 Regulations 17,20,21,22,23 -no reteion period specified. Details of medication administered should be added to case file. Updated reference to Care Inspectorate. Added reference to medication in Description and Note. Amended trigger from "curre" Amended trigger from "Closed" and amended fate from "Retain" Social issues Kept in clie case file and follow appropriate reteion period Special education Special education is covered in Schedule 10 Education and Skills 2.01 Supporting children 7

32 Records Reteion Schedule 02 Children and Family Services Ref. Activity / Records 2 CHILDREN & FAMILIES Description / Example Trigger - eve that reteion period Reteion Authority Citation / Notes Edit History Case file - Missing children who do not come under any other category Case file - Children and families not included in any other case file categories Case file - Children's rights office Moveme restriction care plan Case file - Matrimonial proceedings Case file - home supervision Supporting disabilities Kept in clie case file and follow appropriate reteion period Training Date of recording missing status. If the person ceases to be missing, retain for one year from the date of recording that the person is no longer missing. Case closure or one year from date of death Date of birth Date of death if child dies before 18 2 years Destroy 5 years Destroy 100 years 15 years Destroy Date of birth 25 years Destroy Date of decision 10 years Destroy 1. Date of birth 2. Date of death where death occurs under age of years 25 years Destroy Iensive Support and added Monitoring (Scotland) Regulations SSI 2005 No 201 Regulation 2 Amends Regulation 4 of SSI 2005 No 129. To be in writing. Regulation 4 (2) Added series Added series

33 Records Reteion Schedule 02 Children and Family Services Ref. Activity / Records 2 CHILDREN & FAMILIES Description / Example Trigger - eve that reteion period Reteion Authority Citation / Notes Edit History Records of training provided to individuals working with children and young people Youth justice Case file - young offenders Records of court procedures, action plan orders, implemeation of orders, reparation orders, supervision orders, probation orders and referral orders End of employme 25 years Destroy Closure 5 years Destroy Unless child looked after where 100 year from date of birth reteion period applies Youth services Records relating to youth leadership training for social work staff End of employme 25 years Destroy 9

34 3. COMMUNITY SAFETY

35 SCARRS 2.2 (January 2016) Classification and Related Terms 03 Community Safety and Emergencies REF FUNCTION / Activity 03 Community Safety and Emergencies SCOPE NOTES The manageme of fire and emergency services to Council and council property Advice Advice supplied to the public on community safety and emergencies Community safety Activities to make the community safer Emergency planning Information on emergency planning Emergency service Information on activities related to the emergency services. Section removed following transfer of functions to Scottish Fire & Rescue Service under Police and Fire Reform (Scotland) Act of 2012 Section removed following transfer of functions to Scottish Fire & Rescue Service under Police and Fire Reform (Scotland) Act of Measures against vandalism Reporting and measures against vandalism Training Training on how to deal with major incides. ALTERNATIVE TERMS/ KEY WORDS SCOTTISH SERVICES/NATIONAL INTERNAL SERVICES LIST MAPPING Emergency planning Community safety Community safety - lane gating Community strategy 1

36 SCARRS 2.2 (January 2016) Records Reteion Schedule 03 Community Safety and Emergencies Ref. Activity/ Records Description/ Example 3 COMMUNITY SAFETY & EMERGENCIES Trigger - eve that reteion period Reteion Authority Citation/ Notes Edit History N/A Cross-organisational records: unless otherwise stated in this schedule, refer to the following schedules for reteion policies relating to the following business activities. N/A N/A N/A invoicing, budgeting etc.. See Schedule 12: Finance Health and Safety monitoring, See Schedule 13: Health and Safety inspections etc.. manageme and training of See Schedule 15: Human Resources staff delivering or receiving ICT services within the Council N/A strategy, planning, Performance Policies, procedures, Meetings, Ieragency working, communications, eves mgmt, promotion. Enquiries and complais, project manageme N/A Tendering and coracts manageme Advice See Schedule 20: Manageme See Schedule 22: Procureme Coingency planning Date superseded. 2 years Destroy Emergency response plan Advice and assistance End of curre year 5 years Destroy. Given to an external organisation to prepare and maiain an emergency response plan coinuity plan Records documeing the provision of advice and assistance to an external organisation in relation to business coinuity planning. End of curre year 5 years Review for ongoing value Fire safety planning Advisory information End of curre year 5 years Destroy 1

37 SCARRS 2.2 (January 2016) Records Reteion Schedule 03 Community Safety and Emergencies Ref. Activity/ Records Description/ Example 3 COMMUNITY SAFETY & EMERGENCIES Trigger - eve that reteion period Reteion Authority Citation/ Notes Edit History Home security fire safety visits, home safety checks End of curre year 5 years Destroy Advice to businesses Uil superceded 5 years Destroy Community safety CCTV surveillance Procedures Date of last action. 3 years Destroy Community wardens incide logs Date of last action. 3 years Destroy Crime reduction Community strategy documes Uil superseded 3 years Destroy Neighbourhood Watch Information about the responsibilities, set-up etc Ai-Social Behaviour - Local authority Strategy Uil superseded 3 years Destroy Uil superseded 5 years Destroy require me Implemeation reports Uil superseded 5 years Destroy require me Civil Coingencies Act 2004 (Coingency Planning) (Scotland) Regulations SSI 2005 No 494 Regulation 33 Not to be confused with RIPSA authorisation forms or the actual cctv recordings min. 7 days if not needed for crime preveion Aisocial Behaviour etc (Scotland) Act asp 8 To be published Section 1 (2) Aisocial Behaviour etc (Scotland) Act asp 8 To be published. Section 2 added Amended trigger from Date of Last Amended trigger from Date of Last Amended trigger from Date of Last added added

38 SCARRS 2.2 (January 2016) Records Reteion Schedule 03 Community Safety and Emergencies Ref. Activity/ Records Description/ Example 3 COMMUNITY SAFETY & EMERGENCIES Trigger - eve that reteion period Reteion Authority Citation/ Notes Edit History Aisocial behaviour order Ierim orders (Copies) (Original held by the court) Expiry, revoked or recalled. 2 years Destroy require me Aisocial Behaviour etc (Scotland) Act asp 8. Sections 8 (2) (b), 14 (1), 15, 119. To be in writing Criminal Procedure Act (Scotland) Act Section 234AB (1)(b) Data Protection Act Principle 5 added Notice coaining a stateme to recover expenditure Payme - Curre financial year Noise Corol Notice Expiry, revoked or recalled Noise complai Date of last complai for the offending property Noise Warning Notices Date of last complai for the offending property Corolled waste and litter fixed penalty notices Curre financial year Graffiti Removal Notice Date of last complai for the offending property 6 years Destroy Statutory Aisocial Behaviour Notice (Landlord Liability) (Scotland) Regulations SSI 2005 No 562. Regulation 2. To be in writing 2 years Destroy 2 years Destroy 2 years Destroy 6 years Destroy 2 years Destroy Aisocial Behaviour etc (Scotland) Act asp 8. To be in writing. Section 41 Aisocial Behaviour etc (Scotland) Act asp 8. Section 43 Aisocial Behaviour etc (Scotland) Act asp 8. Section 44. To be in writing Aisocial Behaviour etc (Scotland) Act asp 8. Section 55. To be in writing Aisocial Behaviour etc (Scotland) Act asp 8. Section 58. To be in writing added added added added added added

39 SCARRS 2.2 (January 2016) Records Reteion Schedule 03 Community Safety and Emergencies Ref. Activity/ Records Description/ Example 3 COMMUNITY SAFETY & EMERGENCIES Trigger - eve that reteion period Reteion Authority Citation/ Notes Edit History Aisocial Behaviour Notices Date of last complai for the offending property Manageme Corol Order Date expired or revoked Manageme Corol Orders finance Registers (Of certain landlords) To be kept up to date Curre financial year To be kept up to date Application for registration Date of acceptance or refusal Notice of notification or refusal to register 2 years Destroy 2 years Destroy 6 years Destroy Statutory 1 year Destroy Date of issue 6 years Destroy Aisocial Behaviour etc (Scotland) Act asp 8. Section 68. To be in writing Aisocial Behaviour etc (Scotland) Act asp 8. Section 74. To be in writing Aisocial Behaviour etc (Scotland) Act asp 8 Schedule 3-3 Aisocial Behaviour etc (Scotland) Act asp 8 Section 82 To be available for public inspection Aisocial Behaviour etc (Scotland) Act asp 8. Sections 83, 84 Aisocial Behaviour etc (Scotland) Act asp 8. Section 86 To be in writing Section 88(6) 90(2) added added added added added added

40 SCARRS 2.2 (January 2016) Records Reteion Schedule 03 Community Safety and Emergencies Ref. Activity/ Records Description/ Example 3 COMMUNITY SAFETY & EMERGENCIES Trigger - eve that reteion period Reteion Authority Citation/ Notes Edit History Advice and assistance to landlords or tenas Recommend 6 years after date advice given Statutory Private Landlord Registration (Advice and Assistance) (Scotland) Regulations SSI 2005 No 557 Regulations 2, 4 added Aisocial Behaviour Notice (Advice and Assistance) (Scotland) Regulations 2005 SSI 2005 No 563 Regulation CCTV footage Day of recording 28 days Destroy Issued under part 8 of the Ai social behaviour etc Act (Scotland) Act 2004 Information Commissioner's Office Code of Practice on CCTV, s 8.3 added Emergency planning Emergency agencies Coact details. Date superseded. Nil Destroy Emergency call-outs Date of call-out 3 years Destroy Emergency plan - developme Developme (includes Date superseded. Permane Retain for community risk register) historical value. Civil Coingencies Act 2004 added Amended authority to Requireme