The 6 Plus Rule and other standard retention periods
For simplicity, Derbyshire County Council has a default rule for records, known as the 6+ Rule. It means: destroy 6 years from the end of the financial year in which the record was last modified. This aligns with the right to launch certain types of claim under the Limitation Act 1980. In systems which use calendar rather than financial years, retention should be rounded up to 7 years.
Where the 6 Plus Rule is not appropriate, other standard retention periods are available:
- DOB+25: Destroy 25 years after date of birth – useful for records relating to minors, who may possibly launch a legal claim on reaching maturity
- DOB+35: Destroy 35 years after date of birth
- DOB+100: Destroy 100 years after birth – approximately, lifelong retention
- CASE+25: Destroy 25 years after entire case is closed
- CASE+6: Destroy 6 years after entire case is closed
- ACTION+15: Destroy 15 years after last action, use or modification
- ACTION+25: Destroy 25 years after last action, use or modification
- ACTION+50: Destroy 50 years after last action, use or modification
- ACTION+75: Destroy 75 years after last action, use or modification
- ACTION+100: Destroy 75 years after last action, use or modification
- TERMS+6: Destroy 6 years after expiry of terms of, for example ordinary contract
- TERMS+12: Destroy 12 years after expiry of, for example sealed contract
- PERM: Offer to Derbyshire Record Office when no longer required
- D<1: Destroy within one year, for example transient data awaiting final deletion
Child protection (safeguarding) records
CHILD 1.01: Individual case assessment, investigation and management of children involved in child protection. Covers records of: (a) investigations under S.47 of the Children Act 1989, leading to a conference and child protection plan; (b) investigations terminated without a conference; (c) investigations leading to a conference but no child protection plan; (d) any other safeguarding concerns
Disposition: ACTION+100 if subject to a child protection plan (formerly child protection register); ACTION+75 in other cases.
Example(s): Strategy discussion/ meeting notes; S.47 pro forma, assessment pro forma, etc.; Notifications relating to people who pose a risk of harm to children (“Schedule 1 Offenders”); DV notifications; Child protection concerns shared from third parties.
Rationale: Common practice and business need.
This retention period ensures adequate retention of information in relation to abuse allegations involving children. See IICSA recommendations.
Primary storage location: EH and safeguarding case management system
Other storage location: Offsite storage, secure network folder
CHILD 1.02: managing allegations that practitioners working with children may have caused harm to a child (local authority designated officer)
Disposition: ACTION+75.
Example(s): All documents relating to process, including LADO minutes, LADO strategy discussion/meeting minutes
Rationale: Common Practice and Business Need
This retention period ensures adequate retention of information in relation to abuse allegations involving children. See IICSA recommendations.
Primary storage location: EH and safeguarding case management system
Other storage location: Offsite storage, secure network folder
Children in care, adoption and children in need records
CHILD 2.01: individual case management of children looked after by the local authority. This includes children and young people: (a) in children’s homes; (b) fostered; (c) subject to court orders: child arrangement, supervision, residence, guardianship
Disposition: DOB+100
Example(s): Young person being looked after file, Looked after child client files, guardian file. (For private fostering, see CHILD 2.06).
Rationale: Business need
This retention period ensures care leavers have lifelong access to their files. Exceeding minimum requirements of statutory basis: Care Planning, Placement and Case Review (England) Regulations 2010 No. 959, Regulation 50; Children’s Homes (England) Regulations 2015 No. 541, PART 5, Regulation 36.
Primary storage location: EH and safeguarding case management system, Virtual School case management system.
Other storage location: Offsite storage, secure network folder.
CHILD 2.02: Process involved in adopting a child including the case management of the adopted child
Disposition: ACTION+100.
Example(s): Minutes and recorded decisions of adoption panels, adoption files.
Rationale: Statutory basis (The Disclosure of Adoption Information (Post-Commencement Adoptions) Regulations 2005 No. 888, PART 2, Regulation 6).
Primary storage location: EH and safeguarding case management system
Other storage location: Offsite storage, secure network folder and on-site microfiche
CHILD 2.03.1: Process involved in checking the suitability of people who have become adoptive parents
Disposition: ACTION+100.
Example(s): Adoptive parent counselling files, approved adopters
Rationale: Statutory basis (The Disclosure of Adoption Information (Post-Commencement Adoptions) Regulations 2005 No. 888, PART 2, Regulation 6) Primary storage location: EH and safeguarding case management system.
Other storage location: Offsite storage, secure network folder and on-site microfiche
CHILD 2.03.2: Process involved in checking the suitability of people who have become foster carers
Disposition: ACTION+75.
Example(s): Foster carer files
Rationale: Common practice under statutory basis: The Fostering Services (England) Regulations 2011, S32
Primary storage location: EH and safeguarding case management system
Other storage location: Offsite storage, secure network folder
CHILD 2.04.1: Process involved in checking the suitability of prospective adopters who did not go on to full approval
Disposition: ACTION+15
Example(s): Stage 1 assessment, enquiry forms
Rationale: Common practice under statutory basis: The Adoption Agencies Regulations 2005 N0 389, PART 7, Regulation 40
Primary storage location: EH and safeguarding case management system
Other storage location: Offsite storage, secure network folder
CHILD 2.04.2: Process involved in checking the suitability of prospective foster carers who did not go on to full approval
Disposition: 6+
Example(s): Foster carer files, Form F, Stage 1 assessment, enquiry forms
Rationale: Common Practice under statutory basis: The Fostering Services (England) Regulations 2011, S32, Limitation Act 1980
CHILD 2.05: Process involving individual case management of families or adults who have fostered children in their care
Disposition: CASE+25 (closure point: carer ceases to foster)
Example(s): Foster carer files, supported lodging files
Rationale: Common practice under statutory basis: The Fostering Services (England) Regulations 2011, S32
Primary storage location: EH and safeguarding case management system
Other storage location: Offsite storage, secure network folder
CHILD 2.06: Process involving children in need who have not been adopted or looked after and who have not been the subject of a child protection inquiry or plan
Disposition: CASE+25 (closure point: No Further Action decision made)
Example(s):
- single assessment, family assessment
- privately fostered children's files
- records of interviews
- reports
Rationale: Common practice; Statutory basis (The Limitation Act 1980)
Primary storage location: EH and safeguarding case management system
Other storage location: Offsite storage, secure network folder
Early help records
CHILD 3.01: Individual case management of services or support to children and young people who have not met children in need thresholds, not been adopted or looked after and who have not been the subject of a child protection inquiry or plan
Disposition: CASE+25 (closure point: No Further Action decision made)
Example(s):
- assessment materials
- records of interviews
- reports
- multi-agency team single-focus plans
- team around the family plans
Rationale: Common Practice and statutory basis (The Limitation Act 1980)
Primary storage location: EH and safeguarding case management system
Other storage location: Offsite storage, secure network folder
Universal services or non-targeted services
CHILD 4.01: Processes involving administration and provision of universal or non-targeted services
Disposition: Destroy 6+.
Example(s): Children Centre records recording attendance at activities not related to targeted services, registration details of parents / carers not receiving targeted services, attendance registers for sports outdoor and residential education
Rationale: Common practice
Statutory basis (The Limitation Act 1980)
Primary storage location: EH and safeguarding case management system
Other storage location: Offsite storage, secure network folder
Special educational needs and disability (SEND)
CHILD 5.01: Process involved in assessing and providing individual support for children who have need of special education support
Disposition: DOB+35
Example(s): SEND files, EHCPs
See also CHILD 9.05
Rationale: Common practice
Statutory basis (The Limitation Act 1980)
Primary storage location: CS Education case management system, SEND case management system
Other storage location: Offsite storage, secure network folder
Educational psychology
CHILD 6.01: Process involved in assessing and providing individual support for children requiring educational psychology support
Disposition: DOB+35.
Example(s): Educational psychology file
Rationale: Common practice; statutory basis (The Limitation Act 1980)
Primary storage location: CS education case management system
Other storage location: Offsite storage, secure network folder
CHILD 6.02: Process of studying video recordings of children interacting with parents/guardians/carers for educational psychology purposes
Disposition: D<1 (destroy 2 months from closure)
Examples: Video Interaction Guidance (VIG) recordings (see Derbyshire County Council Confidentiality Statement for VIG)
Rationale: Business requirement
Primary storage location: Secure network folder
Education case management records for children and families
CHILD 7.01: Process involving individual case management in the provision of support by the local authority to children young people and families
Disposition: DOB+35
Example(s):
- assessment materials
- records of interviews
- reports
- behaviour support service case files
- pupil absence penalty notices
- children missing from education records
- central pupil list on case management system
- sports, outdoor and residential education records relating to individual children
Rationale: Common practice; statutory basis (The Limitation Act 1980)
Primary storage location: CS EH and safeguarding case management system, education case management system, Virtual School case management system, SEND case management system
Other storage location: Offsite storage, secure network folder
Admissions and exclusions (schools, pupil referral units, etc)
CHILD 8.01: Case files (including appeals)
Disposition: DOB+35
Example(s): Appeal files, exclusion files
Rationale: Common practice
Primary storage location: Education ase management system
Other storage location: Secure network folder
CHILD 8.02: School admissions transfer and admission application forms
Disposition: 6+
Example(s): Application forms
Rationale: Common practice
Primary storage location: Secure network folder, education case management system (SAM module)
Programme management and development
CHILD 9.01: Process involved in development of services or programmes for children
Disposition: 6+
Example(s): Annual plan, district plans, pupil referral unit development plans, service development plans, education improvement service records
Rationale: Common practice
Primary storage location: Secure network folder
CHILD 9.02: Process involved in provision of services or programmes to support the development of children and young people
Disposition: 6+
Example(s): Sufficiency strategy; Reports to corporate parents
Rationale: Common practice
Primary storage location: Secure network folder
CHILD 9.03: Number not used
CHILD 9.04: Process that assesses risks for Home to school transport
Disposition: DOB+35
For SEND pupils, see CHILD 9.05
Example(s): Application forms, reports of routes, correspondence
Rationale: Common practice
Primary storage location: Secure network folder, education case management system
CHILD 9.05: Process that assesses risks for Home to school transport of pupils with special educational needs and disability
Disposition: DOB+35
Example(s): Application forms, reports of routes, correspondence
Rationale: Common practice
Primary storage location: Secure network folder
Curriculum development
CHILD 10.01: developing the curriculum
Disposition: 6+
Example(s): Curriculum development plan
Rationale: Common practice
Primary storage location: Secure network folder
CHILD 10.02-10.05: numbers not used
CHILD 10.06: Pupil files in educational establishments 0 to 18
Disposition: DOB+25
Example(s):
- pupil record cards
- daily records
- baseline assessments
- early intervention
- evaluations of placements
Rationale: Common practice and Statutory basis (The Limitation Act 1980)
Primary storage location: Pupil management information system in educational establishments
Other storage location: Secure network folder, secure cabinet or room at establishment, offsite storage
CHILD 10.07: Number not used
CHILD 10.08: The process to register the provision of a school service
Disposition: 6+
Example(s): School meal register
Rationale: Common practice
Primary storage location: Kitchen management information system
Other storage location: Secure network folder, secure cabinet or room at establishment, offsite storage
Community education and public examinations
CHILD 11.01: Recording of public examination results
Disposition: 6+
Example(s): SATS, GCSE, Adult education course results
Rationale: Common practice
Note: Return unclaimed examination certificates to appropriate examination board
Primary storage location: DACES management information system, Virtual School case management system
Other storage location: Secure network folder, secure cabinet or room at establishment, offsite storage
CHILD 11.02: Adult community education records
Disposition: CASE+6 (closure point: completion of learning)
Example(s): Learner registration, coursework
Rationale: Common practice
Primary storage location: DACES management information system
Other storage location: Secure network folder, secure cabinet or room at establishment, offsite storage
Residential homes
CHILD 12.01: Summary management systems that manage children housed by the local authority
Disposition: PERM
Example(s): Children's home registers, admissions register, discharge register, significant events register, policy and procedures, mission statements, inspection reports formal meeting minutes
“Formal meeting minutes” means a formal record of meetings discussing issues relating to the operation of the home, including the children, staff, management, health and safety and the building itself. It is expected that:
Actions relating to an individual child will be recorded on that child's case file (see CHILD 2.01>).
Staff supervision including annual leave arrangements will be recorded in a supervision file, kept for 7 years from closure (see HR 07.01).
Pertinent information or evidence will be transferred from any records of daily handover discussions or other informal meeting to the relevant case management system or file.
Minutes of meetings which do not meet any of the criteria and are not needed for business or compliance purposes may be treated as team/unit minutes, kept for 6 years after the meeting (see section MAR 01.02).
Rationale: Common practice. Exceeds minimum requirement of statutory basis (Children's Homes Regulations 2015)
Primary storage location: Secure network folder, secure cabinet or room at establishment, offsite storage
CHILD 12.02: Operational records of residential homes for children
Disposition: ACTION+25
Records of: administration of medicines, children's valuables/money, punishment/restorative actions, daily log/diary, visitors, staff duty rosters, fire drills, accounts, accidents
Rationale: Common practice; to cover 18th birthday of youngest resident plus 7 years (Limitation Act 1980). This exceeds the 15-year minimum requirement of the Children's Homes Regulations 2015
Primary storage location: Secure network folder, secure cabinet or room at establishment, offsite storage
Youth justice records
CHILD 13.01: Records relating to case management of young people at risk of being involved or involved in criminal justice process
Disposition: DOB+25
Rationale: Statutory basis (Limitation Act 1980); Guidance (Youth Justice Board national standards 2019 & Youth Justice Board Case Management Guidance 2022)
Primary storage location: Youth justice case management system, secure network folder
Other storage location: Offsite storage
CHILD 13.02: Records relating to case management of young people who are subject to a supervision order or licence
Disposition: DOB+25
Example(s): Supervision orders
Rationale: Statutory basis (Limitation Act 1980); Guidance (Youth Justice Board national standards 2019 & Youth Justice Board Case Management Guidance 2022)
Primary storage location: Youth Justice case management system, secure network folder
Other storage location: Offsite storage