Assembly Retention and Disposal Schedule

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Northern Ireland Assembly  

Retention and Disposal Schedule 

Contents

Section 1 - Introduction

Function of the Northern Ireland Assembly

The Northern Ireland Assembly Records Management Policy

Purpose of the Retention and Disposal Schedule

Section 2 - What is covered by this Retention and Disposal Schedule?

Section 3 - Categories of Retention / Disposal

Determined on Review

Northern Ireland Assembly Permanent Preservation

Public Record Office of Northern Ireland Permanent Preservation

Destroy

Section 4 - Operation of this Retention and Disposal Schedule

Closing a File

Retention Period

Destruction

Review

PRONI Permanent Preservation / Copy Sent To PRONI

Commitment to Preserving Files/Records

Roles and Responsibilities

Section 5 - Retention and Disposal Schedule

Section 6 - Signatories

Appendix A – Addendum

New areas of work/new classes of records created.

These must be approved by PRONI before being added as an addendum. When the schedule is reviewed the updated document will be laid before Northern Ireland Assembly for approval.

Section 1 - Introduction

Function of the Northern Ireland Assembly

The Northern Ireland Assembly was established as part of the Belfast Agreement (also known as the Good Friday Agreement), which was signed in April 1998 following multi-party talks and negotiations. The Assembly consists of 108 Members, 6 from each of the 18 parliamentary constituencies.

The Northern Ireland Assembly has had full legislative and executive authority from 2 December 1999 in respect of transferred matters. Transferred matters are those matters that fall to the Northern Ireland Government Departments and on which the Assembly has power to pass laws. Policing and justice powers were transferred in April 2010. Excepted matters include International Relations, Taxation, National Insurance, Elections, National Security and Defence. The Secretary of State for Northern Ireland is responsible for Northern Ireland Office matters not transferred to the Assembly, and therefore represents Northern Ireland interests in the UK Cabinet.

The Assembly was suspended on 14 October 2002 until 8 May 2007. During suspension, neither the Assembly nor any of its Committees can meet or conduct any business.

The Northern Ireland Assembly Records Management Policy

The Northern Ireland Assembly recognises that its administrative records are a unique and irreplaceable resource. The proper management of this resource is necessary to satisfy its internal business processes and to comply with legislation, including the Freedom of Information Act 2000, which provides for access to information held by the Assembly. The Assembly’s Records Management Policy Statement sets out a commitment to the development of an efficient and effective records management system. Crucial to the success of the policy is the development and implementation of a retention and disposal schedule.

Purpose of the Retention and Disposal Schedule

This retention and disposal schedule aims to support the development of greater control over the records created by the Northern Ireland Assembly. It will enable the Assembly to dispose of records promptly when they cease to be of any continuing administrative/legal value and will identify records which should be transferred to the Public Record Office of Northern Ireland (PRONI) because of their long-term historical/research value.

The schedule complies with the requirements in the Public Records Act (NI) 1923 and the Disposal of Documents Order (S.R.& O.1925 No 167).

Section 2 - What is covered by this retention and disposal schedule?

This schedule identifies the retention and disposal arrangements for all records created by the Northern Ireland Assembly. A record is recorded information, in any form, created or received by the Northern Ireland Assembly or individual members of staff to support and show evidence of Assembly activities. For the purpose of the Assembly’s Records Management Policy, records are defined as:

“Recorded information, in any form, created or received and maintained by an organisation or person in the transaction of business or conduct of affairs and kept as evidence’

Within the Assembly a range of information/documents exists but which does not need to be captured into the formal records management system. This information (e.g. ephemeral material, reference material, and convenience copy) is not covered by the retention and disposal schedule and includes:

  • Rough or early drafts where these do not contain evidence of policy development;
  • Circulated copies of drafts; unaltered drafts;
  • Convenience copies or information retained for reference purposes only (it is not retained to provide evidence of transactions, but only for its informational value);
  • Reference or published materials from external sources which are not needed for record purposes, e.g. papers from conferences and seminars, policy briefings, sales catalogues, brochures, “junk-mail”;
  • CC’d emails;
  • Emails that are not the primary record of decisions or transactions (e.g. the information is recorded in some other way following the email exchange);
  • Personal records and emails, e.g. social arrangements, personal copies of performance reviews;
  • Stocks of publications that have been superseded;
  • Bookings for internal services (e.g. rooms, equipment) where no charges are made;
  • Notes taken during meetings where formal notes/minutes have been prepared;
  • Meeting requests, acceptances and apologies;
  • Corporate notices and circulars (circulated copies, i.e. not the original);
  • Superseded circulation/contact lists;
  • Covering/transmission documents such as covering letters, fax cover sheets, compliments slips or emails accompanying attachments that do not provide additional information to the main document and where evidence of date and time of receipt or despatch are not required;
  • Reservations and confirmations of arrangements with third parties, such as joining instructions for conferences, training, etc. when invoices have been received.

These categories of information should be destroyed as soon as reference to the information has ceased. Unnecessary retention of such information represents a resource burden for the Assembly in terms of storage costs, administration and freedom of information and data protection obligations.

In almost all cases, the disposal periods given in the schedule relate to master copies of records which form the official version retained for regulatory or business reasons. Where it is clear that a master copy is being retained elsewhere within the Assembly, there is no requirement to keep such documents. In all cases, copies of records should not be retained any longer than the period stated for the master copy in the retention and disposal schedule.

Electronic Documents/Material

The Northern Ireland Assembly does not currently have an electronic document and records management system (EDRMS) which would enable the control, retention and transfer of records in electronic format. The Assembly, therefore, operates a print to paper policy, and electronic documents which form part of the official record should be printed out and placed on the appropriate file.

The principles governing the retention of electronic documents are the same as those for paper records. In support of these principles, it is important that electronic folders should be organised in a similar way as paper records. In addition, ephemeral electronic documents of no enduring value, such as those of purely personal relevance, should be deleted from the system at the earliest opportunity.

Email

Emails potentially form part of the Assembly’s corporate record and, therefore, are subject to its records management policies and procedures. All staff, therefore, should review incoming and outgoing emails to decide whether the information they contain should be retained as part of the corporate record. As with other electronic documents and material, where an email message forms part of the corporate record, it should be printed off and placed on the relevant file. The email should then be deleted from the personal mailbox and any “deleted items” box.

Where a member of staff wishes to keep an email message for administrative or reference purposes, it should be moved into a relevant area. These messages should be deleted when they have ceased to be of use for reference purposes. Ephemeral email messages, which are not required for either administrative or reference purposes, should be deleted immediately.

Incoming and outgoing emails are potentially covered by the Data Protection Act if one or other of the following criteria is met:

  • The sender or recipient is identifiable, either through their email address or the text of the email; or
  • The text of the email contains personal data, i.e. facts, opinions or intentions about identifiable living individuals.

The Data Protection Act specifically requires that personal data should not be kept for longer than necessary. Any emails containing personal information should therefore be deleted as soon as they are no longer of administrative value.

Section 3 - Categories of Retention / Disposal

There are four broad categories of retention / disposal 

Determined on Review

These are records requiring appraisal. They are appraised by Assembly staff at specified periods to determine if there is a continuing business need for retention and by PRONI staff to determine if they are required for historical or research purposes.

Northern Ireland Assembly Permanent Preservation

There are likely to be few records which fall into this category but they are records which the Assembly needs to retain permanently for business administrative needs.

Public Record Office Permanent Preservation

These are files/records which PRONI has decided are of long-term historical research value. These records must be transferred to PRONI.

Destroy

These are records which the NI Assembly considers to be low grade, providing no continuing business/legal value and are of no historical or research value to PRONI.

Section 4 - Operation of this Retention and Disposal Schedule

Closing a file

In order for this retention and disposal schedule to operate effectively, it is important to maintain a streamlined filing system through regular and systematic closure of files. Closing a file does not mean that it has to be immediately removed from the filing system. What it does mean is that no additional papers should be added to the file and that it should be used only for reference. If files are not closed on a formalised and regular basis the following problems are likely to occur:

  • Files inevitably become untidy with resulting damage to documents;
  • Older files cannot be moved to inactive storage;
  • File fasteners and covers come under excessive strain from the weight of paper;
  • Access to items on a file becomes difficult;
  • Inactive information is held on current files.

Regular file closure has the following benefits:

  • Files are kept to a manageable size;
  • Files remain neat and tidy;
  • Access to material on files is faster;
  • The progressive disposal of records is made easier.

A file should be closed and a new one created if necessary when one of the following conditions are met:

  • The file exceeds a thickness of 2.5 cm;
  • No papers have been added for two years;
  • The contents of the file span more than five years.

In addition, some files should be closed at:

  • The end of the financial year;
  • The end of a project;
  • The end of a mandate.

When a file is due to be closed the appropriate member of staff should consult the retention and disposal schedule and indicate on the file the date on which it can be destroyed, transferred to the Public Record Office of Northern Ireland, or whether it should be subject to the normal review procedures.

Retention Period

Retention periods are based upon the specific business needs of the Assembly in addition to the regulatory environment within which the Assembly operates. The retention period required for each type of file is calculated from the point the file is closed.

Destruction

Destruction of files will take place on a planned basis in line with the retention and disposal schedule recommendations. Destruction will be conducted by Office Resources, which is responsible for the maintenance of the Secretariat registered file system, in consultation with the relevant business area. All destruction decisions must be agreed to by Office Resources and the relevant business area before destruction can take place . A record of all file destruction will be kept for audit purposes and all files will be destroyed in line with the arrangements for the destruction of confidential waste.

Review

Where the retention and disposal schedule indicates that the appropriate action in relation to any file is review, this will be carried out systematically, so as to eliminate redundant information and reduce the bulk of records held, while ensuring that no papers likely to be required for business continuity reasons and/or permanent preservation are destroyed. A file may be reviewed a number of times:

On Closure - A file should be reviewed immediately on being closed. The long term value may be quite clear at this stage and staff should indicate their decision on the file’s retention / disposal when it is being closed, if not already specified in the retention and disposal schedule.

First Review - Review five years after the file was closed. Procedures shall be put in place to ensure that these records are reviewed at the appropriate stage.

Second Review - There may be occasions when it proves impossible to reach a decision on a file at first review. Such files may be put away for examination at a later stage, no more than 20 years after the file was opened. If this is the case systems shall be put in place to ensure that the second review takes place.

PRONI Permanent Preservation / Copy Sent To PRONI

Where the action is PRONI Permanent Preservation, the records need not undergo the normal review procedures. Appropriate arrangements will be put in place to ensure timely transfer to PRONI.

Commitment to Preserving Files/Records

The Northern Ireland Assembly declares that it will take measures to ensure that the records it creates will be physically well maintained and cared for while they are in its custody. These measures will include:

  • Removing paper clips and pins from papers before filing with particular; attention being given to those records, which, according to the Retention and Disposal Schedule, are to be preserved permanently;
  • Removing any CDs and other storage devices from paper files and converting its contents to hard copy;
  • Using files with file covers as opposed to buff folders, which do not offer the same protection to the papers inside;
  • Using continuation files if files get too bulky (i.e. more than 2.5 cm thick);
  • Punching papers to be filed 25mm in and 25mm down from the edge to minimise the danger of detachment and resulting loss of information;
  • Storing bulky or outsize items in a pocket or envelope inside the file cover on the left hand side.
Roles and Responsibilities

The Director General to the Assembly has overall responsibility for ensuring that the Assembly complies with the requirements of legislation affecting the management of records, and with any supporting regulations and codes.

The Information Standards Officer is responsible for:

  • Ensuring that the Records Management Policy is implemented effectively;
  • The provision of record management guidance to Secretariat staff;
  • Producing procedures documenting all necessary record management arrangements;
  • Regularly reviewing and where necessary amending record management policies and procedure statements;
  • Making recommendations to the Senior Management in relation to changes or improvements; and
  • Liaising with the Public Record Office to ensure that the NI Assembly complies with NIRMS (Northern Ireland Records Management Standard).

The Information Standards Officer will work closely with Directorates to ensure that there is consistency in the management of records and that advice and guidance on good records management practice is provided.

The Support Services Manager is responsible for:

  • Office Resources which has responsibility for the operation and maintenance of the Secretariat registered file system for the Assembly Secretariat and ensuring that controls operate effectively. This a database which records the file title, reference code, date of opening the file, date of closing the file and the date the file is due for review/disposal/transfer to PRONI. The system requires updating to ensure all relevant action is captured on the registered file system. The registered file system can produce reports to identify files which require action, such as review/dispose/transfer. The system can also produce reports to identify files which have been disposed and when the file was disposed.

Line Managers are responsible for :

  • Ensuring that the agreed NI Assembly records management policy and procedures are fully observed and implemented within their area of responsibility;
  • Ensuring that all staff within their area of responsibility receives the appropriate training.

All members of staff are responsible for:

  • Documenting their actions and decisions, and for maintaining the records in accordance with the Assembly’s agreed policies and practices.

Section 5 - Retention and Disposal Schedule

Assembly Business & Proceedings  

The Speaker

Plenary and Business Management

Committees

  Record Trigger (event that prompts start of retention period) Retention Period Final Action Notes
The Speaker
 

Briefings

End of session

6 years

Determined on review

 
 

Minutes of Meetings

End of session

6 years

Determined on review

 
 

Contact details

-

Until superseded

Destroy

 
 

Partnerships and external Relations

End of session

6 years

Determined on review

 
 

Official Correspondence

End of calendar year

6 years

Determined on review

Correspondence (originals or annotated copies) to and from the Speaker/Deputy Speakers of the NI Assembly. Correspondence concerning Assembly business or the NI Assembly Secretariat to and from Members, Committees, Ministers, organisations and Members of the public.

 

Speaker’s Cases

End of mandate

6 years

Determined on review

 
 

Official Engagements:

     

Records concerning the Speaker/Deputy Speaker official engagements.

 

Accepted

Meetings and

Engagements

End of calendar year

6 years

Determined on review

Includes speeches.

 

Declined meeting

and engagement

invitations

Date of event

3 months

Destroy


 

Hospitality/Gifts Register

     

Held centrally in Finance Office – noted under Book-keeping.

 

Visitor’s Book

   

NI Assembly Permanent Preservation

Book recording visitors (VIP) to the Speaker.

Plenary and Business Management
 

Roll of Membership

-

NI Assembly Permanent Preservation

NI Assembly Permanent Preservation

Members’ formal documentation of membership of NI Assembly.

 

Guidance for Members and Departments

When superseded

NI Assembly Permanent Preservation

NI Assembly Permanent Preservation

A record of all guidance retained by the Assembly.

 

Speakers Rulings, Assembly Conventions and Precedents

When superseded

-

NI Assembly Permanent Preservation

NIA Companion published – hard copy.

 

Office Procedures

When superseded

-

Destroy

 
 

Assembly questions

End of session

-

Destroy

Oral, written, urgent oral questions, written answer booklet and administration.

There is a record of all questions in the Official Report (Hansard). Written questions are put into the bound volumes of the Official Report (Hansard) which are then sent to PRONI.

Information stored in AIMS. 

 

Assembly Information Management System

   

NI Assembly Permanent Preservation

Records of all items of Plenary Business held permanently on AIMS.

 

Order papers

End of mandate

1 year

Destroy

 
 

Papers of the Business Committee

End of mandate

1 year

Destroy

Advising of committee business papers. Includes draft Order Papers, draft Indicative Timings, Notice of Forthcoming Executive Business.

 

Table Clerk logs

End of mandate

1 year

Destroy

 
 

Question time statistics

End of mandate

1 year

Determined on review

Held in spreadsheet.

 

Lobby voting

End of session

-

Destroy

Results recorded in the Official Report (Hansard)

 

Member Attendance at Ministers statement

End of session

1 year

Destroy

Attendance at Minister’s statement only, not Plenary debates.

 

Minutes of proceedings

End of mandate

End of session

Send To PRONI

Permanent Preservation in bound volume.

 

Plenary sitting papers

End of mandate

End of session

Destroy

Speakers brief, Order papers, indicative timings, points of order responses. A record of what happens in Plenary is recorded in the Official Report (Hansard) .

 

Statutory Rules

End of mandate

-

NI Assembly Permanent Preservation

Record held electronically in Statutory Rules database.

 

Statutory Rules reports

On laying

6 years

Determined on review

Reports from Examiner of Statutory rules.

 

Petitions of concern

Presentation of petition

End of mandate

Destroy

Original petition sent to PRONI

(All duplicate information and personal information removed).

 

Public Petitions

Presentation of petition

End of mandate

Destroy

 
 

Policy / Consultation

-

NI Assembly Permanent Preservation

NI Assembly Permanent Preservation

Communications with stakeholders and other interested parties regarding the potential legislation.

 

Acts

Act receives Royal Assent

6 years

NI Assembly Permanent Preservation

A record copy is sent to PRONI 6 months after Royal Assent.

 

Bills

Act receives Royal Assent

6 years

Determined on review

Records regarding introduction of the Bill, including Marshalled List of Amendments, Annotated List of Amendments and Speaker’s grouping list.

Includes Private Members’ Bills.

The NIA will hold the records and invite PRONI to review

 

Adjournment debate

End of session

-

NI Assembly Permanent Preservation

Permanent record held in Assembly Information Management System (AIMS).

 

No Day Named List

End of mandate

-

NI Assembly Permanent Preservation

Permanent record held in Assembly Information Management System (AIMS).

 

All party notice

End of session

1 year

Destroy

Permanent record held on NIA’s website.

 

Motions

End of session

-

Destroy 

Permanent record held in Assembly Information Management System (AIMS).

 

Documents laid and papers presented

End of mandate

-

NI Assembly Permanent Preservation

 
 

Legislation

Laid before Assembly

-

NI Assembly Permanent Preservation

Secondary or subordinate, legislative competence Bills etc.

(Permanent Preservation - Departments send to PRONI).

 

Legislative Reports / Inquiry Reports

Approval of report

-

NI Assembly Permanent Preservation

 
 

Official Report (Hansard)

Publication of bound volume

NI Assembly Permanent Preservation

NI Assembly Permanent Preservation

Full and authoritative written report of proceedings in NI Assembly and its Committees. A copy of each archive edition of the Official Report (Hansard) for Plenary sittings should be deposited with PRONI.

Hansard reports of Committee meetings not contained in the bound volumes will be provided to PRONI in electronic format.

 

Official Report (Hansard)

Ad Hoc Reports

Publication

4 years

Destroy

Reports of significant* public events/meetings held in the NI Assembly e.g. addresses to the Assembly, Youth Assemblies etc. will be offered to PRONI. Other reports will be reviewed every 6 years.

 

Biographical Records

Until superseded

-

Destroy (Subject to PRONI review)

 
 

Register of interests

End of mandate

Current and previous

Determined on review

 
 

Nomination officers and Party Membership

Until superseded

-

Destroy

 
Committees
 

Guidance / Procedures

Until superseded

Until superseded

Destroy

 
 

Contact Details

Until superseded

Until superseded

Destroy

 
 

Meeting Papers

End of mandate

6 years

Determined on review

 
 

Legislation - Primary

End of mandate

6 years

Determined on review

All papers relating to pre legislative scrutiny and / or Committee Stage of a Bill including chairperson’s speeches at other stages of a Bill. There will be substantial duplication between this material, the material in the meeting packs and the final printed committee report.

As the Committee Report will contain all evidence and be held by the Assembly Library, there is an argument that these papers could be destroyed (subject to PRONI Review). All evidence not printed in the report should also have been deposited in the Library.

 

Legislation – Subordinate

End of mandate

 

Destroy

Business Office will hold information and details of policy analysis and Committee decisions will be held in meeting packs and in minutes. The Reports from the examiner of Statutory Rules will also be in meeting packs and will be held separately. There will therefore be no real business need for files to be held permanently.

 

Legislation - LCM

End of mandate

6 years

Destroy 

As above – in addition Committees now produce a short report on LCM. This will be the Committee pack as well as on the website.

 

Interviews and speeches

End of mandate

6 years

Destroy

Content of public communications made by Chair / Members on behalf of the Committee.

 

Agreed Minutes of proceedings

End of mandate

6 years

PRONI Permanent Preservation

Minutes of proceedings are – printed on cream paper and signed by the chairperson.

 

Visits

End of mandate

6 years

Destroy

Papers relating to committee visits including administrative matters, financial, travel, accommodation arrangements, visit packs, etc.

 

Events

End of mandate

6 years

Destroy

Papers relating to committee events such as stakeholder conferences, speed dating, informal lunches. All papers including administrative matters, financial matters, etc.

 

Notice of Forthcoming

business

End of mandate

6 years

Destroy

From the start of 2011 – 15 mandate, CCO will hold an amalgamated copy from all Committees.

 

Correspondence

End of mandate

6 years

Determined on review

Communication of general information concerning the committee not specific to an inquiry, investigation or policy.

 

Inquiries

End of mandate

6 years

Destroy

Formal investigation into matters relevant to the Committee remit including, minutes of evidence for inquiries. As the Committee Report will contain all evidence and be held by the Assembly Library, there is an argument that these papers could be destroyed (subject to PRONI review). All evidence not printed in the report should also have been deposited in the Library.

 

Reports

End of mandate

6 years

Destroy

Files relating to committee reports including Bill and inquiry reports. May be largely administrative in content such as drafts back and forth to PO, as well as copies of Minutes of Proceedings, Minutes of Evidence, written submissions and other contents of the report. There will be large elements of duplication with other files. As the Committee Report will contain all evidence and be held by the Assembly Library, there is an argument that these papers could be destroyed (subject to PRONI review). All evidence not printed in the report should also have been deposited in the Library.

 

Policy / Scrutiny of single issue topics

End of mandate

6 years

Destroy 

Files relating to policy and scrutiny of a single issue topic. There is likely to be substantial duplication as the policy is likely to originate from another organisation and many of the papers are likely to be in meeting packs.

 

Policy/Consultation documents

End of mandate

6 years

Destroy 

Files relating to policy / consultations undertaken by other organisations. There is likely to be substantial duplication as this information should be held by the organisation responsible for the policy / consultation.

 

Finance

End of mandate

See Finance

Destroy

Invoices, monthly transaction reports, AP1, correspondence with finance Directorate, etc.

 

Budget scrutiny & PfG

End of mandate

6 years

Destroy 

 
 

End of session/mandate reports

End of mandate

6 years

Determined on review

A copy of the final agreed report should be held in the appropriate meeting pack and will also be on the website.

 

Declaration of interests

End of session

NI Assembly Permanent Preservation

NI Assembly Permanent Preservation

Standards and Privileges hold this information centrally. Files held on this by Committees should be destroyed.

 

Specialist Advisers

(Paper relating to selection and appointment)

End of mandate

Until end of successive contract and in any case no less than 6 years from trigger.

Determine on review

Papers relating to selection and appointment of a specialist adviser, terms of reference, selection process, claim for payment, etc. Information may also be held by Procurement.

 

Chairpersons’ Liaison Group

End of mandate

6 years

Destroy

 
 

Meeting Administration

End of mandate

6 years

Destroy

 
 

Legal Advice

End of mandate

24 years

Determine upon review

There is duplication as Legal Services will also hold the request for advice and response. However, Committees are likely to hold additional information such as advice from other on the same issue – such as the Departmental position.

 

Operational processes / checklists

End of mandate

6 years

Determine on review

These actions / checklists are routinely inspected by Audit and therefore need to be retained until no longer needed by Audit.

 

Standing Orders

When superseded

 

NI Assembly Permanent Preservation

Includes associated work in drafting / amending the standing order.

Assembly Commission

  Record   Trigger   (event that prompts start of retention period)  Retention Period  Final Action  Notes 
Assembly Commission
 

Meetings

(agendas, minutes, briefing notes & papers)

End of mandate

6 years

PRONI Permanent Preservation

Minutes of the Shadow Assembly Commission.

 

Events / Visits

-

Current and previous mandate

Disposal

(Invitations, travel and accommodation arrangements, itineraries and programmes, visit reports, letters of thanks, etc).

 

North South Parliamentary Forum Working Group (NSPFWG)

End of session

6 years

PRONI Permanent Preservation

 
 

NI Assembly Commission Induction Material

Until superseded

Until Superseded

PRONI Permanent Preservation

Induction Information for Assembly Commission Members.

 

Commission Report on Pay, Pensions and Financial Support

On production of Report

Until Superseded

PRONI Permanent Preservation

Recommendations within this Report will be taken forward by an Independent Statutory Review Body.

 

Assembly Commission Members’ Newsletter

Until superseded

12 months

Determined on Review

Published every 2 months.

 

Assembly Commission Handbook

On production of Handbook

Until Superseded

PRONI Permanent Preservation

Operating Principles on Corporate Body.

 

Assembly Commission Educational Leaflet

Until superseded

-

Destroy

 
 

Hospitality/Gifts Register

     

Held centrally in Finance Office – noted under Book-keeping.

 

Speeches/Briefings

End of session

6 years

Determined on Review

Speeches for Members of Commission on operation of the Corporate Body.

 

Correspondence

End of session

6 years

Determined on review

From Public and Members/Parties.

 

Speaker’s Special Advisory Group Meetings (agendas, minutes, briefing notes and papers

-

 

PRONI Permanent Preservation

This Group was facilitated by the Assembly Commission, as directed by the Secretary of State, and operated during Direct Rule from 29 June 2006 – 16 November 2006.

Clerk/Director General’s Office

  Records  Trigger  (event that prompts start of retention period)  Retention Period  Final Action  Notes 
           
 

Events and visits

End of event and completion of follow up action

Current and previous mandate

Disposal

Events arranged by the Clerk/DG’s Office, includes travel arrangements.

 

Corporate correspondence

End of correspondence

6 years

Determined on review

Correspondence and associated records concerning the formal relationship between the NIA and external bodies such as Commissioners, parliamentary bodies at corporate level. It is not intended to cover routine contact.

 

Corporate correspondence (routine)

End of correspondence

1 year

Determined on review

Corporate correspondence to and from members of the public, media and external organisations including meeting and event invitations.

 

Correspondence with MLAs and Political Parties

End of session

1 year

Determined on review

Correspondence to and from Members.

 

Senior Management Meetings

End of session

6 years

Determined on review

Secretariat Management Group (SMG), formerly SMT, Directors Meetings.

Includes agenda, minutes, papers submitted, action plans.

 

Briefing

End of session

6 years

Determined on review

Includes First Day Brief.

 

Members’ / Party correspondence

End of session

1 year

Destroy

Correspondence to and from Members.

 

Hospitality/Gifts Register

-

   

Held centrally in Finance Office – noted under Book-keeping.

 

Gifts Register

-

NI Assembly Permanent Preservation

NI Assembly Permanent Preservation

 
 

Internal Communication

On production

12 months

Determined on review

Core Brief.

 

Policy & Consultation

     

Please see management, policy & planning.

 

Clerk’s Monthly Report to Commission

     

Please see management, policy & planning.

 

Management, Policy & Planning

Audit

Planning (Strategic & Business Planning)

Business Performance Management

Policy and Procedure

Organisation Development

Business Continuity

Risk Management

External Relations/Partnerships

Project Governance

 


 Record Trigger   event that prompts start of retention period)  Retention Period Final Action     Notes 
Audit
 

Internal Audit Reports (including interim), where these have included the examination of long-term contracts

Final agreement by Secretariat Audit & Risk Committee (SARC)

6 years

Destroy

 
 

Report papers used in the course of a fraud investigation

After legal proceedings have been completed

6 years after legal proceedings have been completed

Destroy

An investigation is a piece of internal audit work which falls outside regular planned internal audit work. Audit report papers used in the course of a fraud investigation should be kept 6 years after legal proceedings have been completed.

 

Other Audit Reports

Final agreement by Secretariat Audit & Risk Committee (SARC)

3 years

Destroy

 
 

Terms of reference

Completion of audit

3 years

Destroy

 
 

Programmes/Plans

/Strategies

Last date of plan

1 year

Destroy

 
 

Minutes of meetings and related papers including those of Audit Committee

End of parliamentary year

3 years

Destroy

 
 

Correspondence

End of parliamentary year

3 years

Destroy

 
 

Working Papers

Completion of Audit

3 years

Destroy

 
 

Internal audit guides

When superseded

-

Destroy

 
 

Local auditing standards

When superseded

-

Destroy

 
 

Manuals and guides relating to Departmental procedures

When superseded

-

Destroy

 
 

Annual Report to Accounting Officers

 

3 years

   
Planning

Strategic & Business Planning
 

The activities involved in developing the NI Assembly’s strategic plans.

 

Strategic & Business Planning

- key records

When plan superseded

10 years

Destroy

Strategic & Business Planning

- key records.

 

Strategic & business Planning

- working papers

Publication of plan

6 years

Destroy

Strategic Planning

- working papers.

 

Corporate Plan

Close end of financial year

NI Assembly Permanent Preservation

NI Assembly Permanent Preservation

 
 

Corporate Plan

- working papers

Publication of plan

6 years

Destroy

 
 

Directorate Plan

Close end of financial year

6 years

Determined on review

 
Business Performance Management

The activities involved in monitoring the NI Assembly’s key performance indicators, benchmarking and monitoring performance against strategic plans. Activities include developing performance.

 

Reports on NI Assembly performance

On production

10 years

Destroy

Includes Clerk’s monthly report to the Commission.

 

Data and analysis of performance

On production

10 years

Destroy

Data on, and analysis of the NI Assembly’s performance against the strategic plan.

 

Monitoring statistics and reports

End of financial year

6 years

Determined on review

Internal monitoring of performance, includes exception reports.

 

NI Assembly Commission Annual Report

On production of final approved report

20 years

PRONI Permanent Preservation

PRONI currently on circulation list.

 

Background papers of annual report

On production of final approved report

3 years

Destroy

 
Policy & Procedures 
 

Corporate

When superseded

6 years

Master set (held by policy/procedure owners)

Destroy

The activities involved in developing and establishing strategic or high level policies and procedures. Includes drafts documenting significant changes. Includes Equality, Freedom of Information; records management; data protection; procurement; finance; HR; Health and Safety, etc.

 

Low-level / Office

When superseded

6 years

Destroy

Activities involved in developing and establishing office or low-level policies and procedures.

 

Working papers (development)

Approval of policy / procedure

2 years

Destroy

 
Organisational Development 
 

Structure

Charts, correspondence regarding restructuring

Until superseded

6 years

Destroy

 
 

Survey Information

When superseded

6 years

Determined on review

Information regarding Members’ and staff surveys. Includes survey report, action plan, monitoring reports and meeting papers.

 

Response to Questions raised by Staff

When response issued

1 year

Determined on review

 
Business Continuity 
 

Business recovery plans

Disaster plans

-

Until superseded

Destroy

The activities involved in anticipating incidents which would disrupt the NI Assembly’s operations and in developing response and recovery plans.

Records documenting the formulation, testing and maintenance of disaster and recovery plans.

 

Business continuity reports on exercises / incidents

End of exercises/ incidents

6 years

Destroy

Records documenting responses and experiences from business continuity exercises and incidents.

Risk Management

       
 

Corporate Risk Register

On approval

10 years

Determined on review

The activities involved in managing risks to the viability or success of the NI Assembly. This includes exception reports and working papers in relation to preparation of corporate risk register.

 

Assurance Statements in relation to corporate risk register

On approval

6 years

Determined on review

 
 

Secretariat Audit and Risk Committee Meetings

On approval

NI Assembly Permanent Preservation

NI Assembly Permanent Preservation

Includes agenda, minutes and papers submitted.

 

SARC Annual Report

On approval

NI Assembly Permanent Preservation

NI Assembly Permanent Preservation

 

External Relations/Partnerships 

 

Visits and meetings

End of visit/meeting

6 years

Determined on review

(Invitations, travel and accommodation arrangements, itineraries and programmes, visit reports, letters of thanks, etc).

Project Governance
 

Projects – Corporate 

       
 

Records documenting the design of projects and preparation of formal proposals

 
 

Approved

Completion of project

10 years

Destroy

 
 

Rejected or deferred

Completion of project/project proposal

6 years

Destroy

 
 

Business Case (Project initiation documents (PID) and supporting documentation)

Completion of project

10 years

Destroy

The justification for undertaking a project, defining the benefits which the project is expected to deliver and the constraints within which the project is required to operate.

Records relating to major projects may be kept for second review (25 years).

 

Records documenting the management of projects

Completion of project

10 years

Destroy

Plans and specifications (statements of requirements, operational requirements, technical plans, resource plans, and budgets, etc). Reports (stage assessments, quality reviews, highlight reports, GANTT charts).

 

Financial records of projects

     

Please refer to Financial Management section.

Financial records are managed by Finance Office, any duplicate information maintained outside the Finance Office should be treated as convenience copies.

 

Feasibility studies

After issue

10 years

Determined on review

Reports, draft reports, working papers and correspondence.

Records relating to major projects may be kept for second review (25 years).

 

Project Boards

After date of last paper

6 years

 

Assessment meetings, etc.

Minutes and correspondence.

 

Management Meetings

On agreement of minutes

6 years

Determined on review

Includes Employee Relations Board Meetings.


Human Resources

  Planning

Personnel Policy

Job Evaluation

Staff Case Files

Personal / Health

Staff Performance, appraisal and development

Discipline

Grievance

Recruitment

Employee Relations

Monitoring

Training & Development

Industrial Relations

Payroll / Pension Administration

Members’ Payroll / Pension Administration

Members’ Staff

Travel

  Record  Trigger   (event that prompts start of retention period)  Retention Period  Final Action  Notes 
Planning

The activities involved in identifying the workforce

competencies and numbers required to implement the NI Assembly’s strategic plan and determining how to meet these requirements.

 

Assessment and analysis of workforce requirements

End of calendar year

3 years

Determined on review

Activities include analysing and reporting on the size, composition, structure and competencies of the Assembly’s workforce.

Personnel Policy

When superseded

6 years (Master set held by policy/procedure owner)

Destroy

 

Members’ handbook

-

NI Assembly Permanent Preservation

NI Assembly Permanent Preservation

 
Job Evaluation

 

Pay and grading

Until superseded

6 years

Determined on review

Activities include developing role descriptions and conducting role evaluations to assign roles to grades in a salary structure.

Staff Case Files
 

Written particulars of employment

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Contracts of employment, Access NI certificates,

Changes to terms and conditions, includes application forms.

 

Job History

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Consolidated record of whole career and location details.

 

Current address details

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Variation of hours

Agreement of calculation

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Calculation formula for individual.

 

Permanent Promotion, temporary promotion/deputising and/or substitution documentation

Once temporary promotion finishes

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Includes details of rationale for temporary promotion.

 

Qualifications / references

Commencement of employment

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Working Time Directive opt out forms

After opt-out has rescinded or has ceased to apply

3 years

Destroy

 
 

Records required for pension purposes

Termination of employment

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
Personal / Health
 

Welfare Papers

After last action on absence or related management intervention

6 years

Destroy

 
 

Health Declaration

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Health Questionnaire

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Medical Clearance

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Adjustment to work place

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Health referrals, including medical reports from doctors and consultants, correspondence with Occupational Health

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Papers relating to injury on duty

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Medical reports of those exposed to a substance hazardous to health, including:

       
 

Lead (Control of Lead at Work Regulations 1980)

Date of entry

40 years

Destroy

 
 

Asbestos (Control of Asbestos at Work Regulations 1996)

After last record

40 years

Destroy

 
 

Compressed Air (Work in Compressed Air Regulations 1996)

After last entry

40 years

Destroy

 
 

Radiation (Ionising Radiation Regulations 1985) 

After last entry

50 years

Destroy

 
 

Medical/Self Certificates

 

4 years

 

Unrelated to industrial injury.

Staff performance, appraisal and development
 

Monitoring records (submitted to and held by personnel)

After end of monitoring period

6 years

Destroy

 
 

Annual / Assessment reports or summary of performance marks where an open reporting system operates

After end of monitoring period

6 years

Destroy

 

 
 

Annual / Assessment reports for the last 6 years of service or summary of performance marks where an open reporting system operates

After end of monitoring period

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Personal development plan

End of calendar year

3 years

Destroy

 
Discipline
 

Papers relating to disciplinary action that has resulted in any change to terms and conditions of service, salary, performance pay or allowances

After last action

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Other case files

After last action

2 years

Determined on review

 
Grievance
 

Case files (correspondence, minutes, etc)

Closure of case

6 years

Destroy

Includes tribunal papers.

Recruitment
 

Recruitment authorisation

Closure of competition / merit list

1 year

Destroy

 
 

Vacancy advertisement and enquiries

Closure of competition process / merit list

1 year

Destroy

Includes request for application forms.

 

Interview notes

Closure of competition / merit list

1 year

Destroy

 
 

Unsuccessful Applications

Closure of competition

1 year

Destroy

 
 

Unsuccessful Interview notes

Closure of competition

1 year

Destroy

 
 

Unsolicited applications for employment

Closure of competition

1 year

Destroy

Records documenting the handling of unsolicited applications.

 

Job Applications – internal

Closure of competition

1 year

Destroy

 
 

Recruitment, appointment and/or promotion board selection papers

After recruitment/promotion finalised

1 year

Destroy

 
Employee relations
 

Handbook

-

NI Assembly Permanent Preservation

NI Assembly Permanent Preservation

 
 

Surveys

-

NI Assembly Permanent Preservation

NI Assembly Permanent Preservation

 
 

Circulars

 

NI Assembly Permanent Preservation

NI Assembly Permanent Preservation

 
Monitoring
 

Equal opportunities (monitoring forms)

Completion of annual return

2 years

Destroy

Information held electronically. Base forms held to resolve any queries at time of return completion.

Training & Development

The activities involved in providing training and development for NI Assembly employees.

 

Development of training and development programmes

Until superseded

1 year

Destroy

Includes central training record.

 

Training Materials

Once superseded

1 year

Determined on review

Includes induction.

 

Proof of completion (certificates, awards, exam results, etc.)

On completion

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Includes support through Further Education.

 

Induction – administration of induction programmes

Completion of programme

1 year

Destroy

 
 

Training feedback

Completion of analysis of feedback

-

Destroy

Anonymous feedback can be maintained for 6 years.

 

Analysis of the impact of training and development programmes

On completion of relevant annual training report

6 months after completion of report

Destroy

 
Industrial Relations
 

Trade Union agreements

End of period to which agreement applies

1 year

Determined on review

Joint agreement e.g. working arrangements.

 

Trade Union Meetings

Close at end of financial year

3 years

Determined on review

Agenda, minutes, papers.

 

Pay and conditions

Until superseded

6 years

Determined on review

Documents detailing negotiation with Trade Union regarding pay and conditions. This includes policy issues.

Payroll / Pension Administration
 

Bank details – current

Termination of employment

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Death benefit Nomination and Revocation Forms

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Death certificates

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Return original copy to provider, copy to be retained.

 

Decree absolutes

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Return original copy to provider, copy to be retained.

 

Marriage certificates and documentation relating to civil registration

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Return original copy to provider, copy to be retained.

 

Unpaid leave periods

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Includes parental leave and time off for dependants.

 

Statutory maternity pay documents

After return to work

6 years

Destroy

 
 

Other maternity pay documents

After return to work

18 months

Destroy

 
 

Overpayment documentation

After repayment or write-off

6 years

Destroy

 
 

Personal payroll history

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Includes: record of pay, performance pay, overtime pay, allowances, pay enhancements, other taxable allowances, payment for untaken leave, reduced pay, maternity pay.

 

Pension estimates and awards

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
           
 

Employee details for pension purposes

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Includes:

Full name and date of birth;

National Insurance number;

Pensionable pay at leaving;

Reckonable service for pension purposes (and actual services where this is different, together with reasons for the difference);

Reason for leaving and new employer’s name (where known);

Amount and destination of any transfer value paid;

Amount and date of any Contributions Equivalent Premium paid;

All other papers relating to pension not listed above (e.g. papers about pension of other employment; papers about other dependant’s pensions;

Correspondence with other pension administrators, or the staff member and his/her representatives about pension matters.

 

Resignation, termination and/or retirement letter

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Redundancy details

Redundancy

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Includes: calculations of payments, refunds, notification.

 

Added years

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Additional Voluntary Contributions (AVC)

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Bonus nominations

-

3 years

Destroy

 
 

Complete sick absence records showing dates and causes of sick leave

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Statutory Sick Pay (SSP) forms

-

For last 4 years

Destroy

 
 

Payroll input forms including authorisation for deputising/temporary promotion, substitution allowance and/or overtime/travel related claim

On payment

6 years

Destroy

Claim form and includes TOIL (time off in lieu).

 

Confirmation of TOIL

After event

4 years

Destroy

 
 

Advances in salary

After repayment

6 years

Destroy

 
Members’ Payroll / Pension Administration 
 
 

Bank details – current

Termination of employment

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Death benefit Nomination and Revocation Forms

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Death certificates

-

Return original to provider

Destroy

Return original copy to provider, copy to be retained.

 

Decree absolutes

-

Return original to provider. Retain copy Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Return original copy to provider, copy to be retained.

 

Marriage certificates and documentation relating to civil registration

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Return original copy to provider, copy to be retained.

 

Unpaid leave periods

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Includes parental leave and time off for dependants.

 

Statutory maternity pay documents

After return to work

6 years

Destroy

 
 

Other maternity pay documents

After return to work

18 months

Destroy

 
 

Overpayment documentation

After repayment or write-off

6 years after repayment or write-off

Destroy

 
 

Personal payroll history

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Includes: record of pay, performance pay, overtime pay, allowances, pay enhancements, other taxable allowances, payment for untaken leave, reduced pay, no pay maternity pay.

 

Pension estimates and awards

-

Until 76, or 6 years after leaving (whichever is earlier)

Determined on review

 
 

Employee details for pension purposes

-

Until 76, or 6 years after leaving (whichever is earlier)

Determined on review

Includes:

Full name and date of birth;

National Insurance number;

Pensionable pay at leaving;

Reckonable service for pension purposes (and actual services where this is different, together with reasons for the difference);

Reason for leaving and new employer’s name (where known);

Amount and destination of any transfer value paid;

Amount and date of any Contributions Equivalent Premium paid;

All other papers relating to pension not listed above (e.g. papers about pension of other employment; papers about other dependant’s pensions;

Correspondence with other pension administrators, or the staff member and his/her representatives about pension matters.

 

Resignation, termination and/or retirement letter

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Redundancy details

On Redundancy

6 years

Destroy

Includes: calculations of payments, refunds, notification.

 

Added years

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Additional Voluntary Contributions (AVC)

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Complete sick absence records showing dates and causes of sick leave

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Statutory Sick Pay (SSP) forms

-

For last 4 years

Destroy

 
 

Payroll input forms including travel related claim

On payment

6 years

Destroy

Claim form and includes TOIL (time off in lieu).

Members’ Staff 

HR facilitate only by making pay-overs to relevant pension company. Information held is details of policy and payments made.

 

Written particulars of employment

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Contracts of employment;

Changes to terms and conditions.

 

Current address details

Termination of employment

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Variation of hours

Agreement of calculation

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Calculation formula for individual.

 

Working Time Directive opt out forms

After opt-out has rescinded or has ceased to apply

3 years

Destroy

 
 

Records required for pension purposes

Termination of employment

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Papers relating to injury on duty

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Instruction from Members’(as the employer) regarding leave and attendance of staff (sick leave, study leave, annual leave)

Close at the end of monitoring period

2 years

Destroy

 
 

Bank details – current

Termination of employment

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Death certificates

-

Until 76, or 6 years after leaving (whichever is earlier) r

Destroy

Return original copy to provider, copy to be retained.

 

Decree absolutes

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Return original copy to provider, copy to be retained

 

Marriage certificates and documentation relating to civil registration

-

Return original to provider

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Return original copy to provider, copy to be retained.

 

Unpaid leave periods

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Includes parental leave and time off for dependants.

 

Statutory maternity pay documents

After return to work

6 years

Destroy

 
 

Other maternity pay documents

After return to work

18 months

Destroy

 
 

Overpayment documentation

After repayment or write-off

6 years after repayment or write-off

Destroy

 
 

Personal payroll history

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Includes: record of pay, performance pay, overtime pay, allowances, pay enhancements, other taxable allowances, payment for untaken leave, reduced pay, no pay maternity pay.

 

Employee details for pension purposes

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Includes:

Full name and date of birth;

National Insurance number;

Pensionable pay at leaving;

Reckonable service for pension purposes (and actual services where this is different, together with reasons for the difference);

Reason for leaving and new employer’s name (where known);

Amount and destination of any transfer value paid;

Amount and date of any Contributions Equivalent Premium paid;

All other papers relating to pension not listed above (e.g. papers about pension of other employment; papers about other dependant’s pensions;

Correspondence with other pension administrators, or the staff member and his/her representatives about pension matters.

 

Resignation, termination and/or retirement letters

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Redundancy details

-

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

Includes: calculations of payments, refunds, notification.

 

Payroll input forms

On approval

6 years

Destroy

 
 

Bonus nominations

 

3 years

Destroy

 
 

Dates of sick absence

 

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Statutory Sick Pay (SSP) forms

 

For last 4 years

Destroy

 
 

Papers relating to disciplinary action which has resulted in any changes to terms and conditions of service, salary, performance pay or allowances

After last action

Until 76, or 6 years after leaving (whichever is earlier)

Destroy

 
 

Payroll input forms including authorisation for deputising/temporary promotion, substitution allowance and/or overtime/travel related claim

Applicable

6 years

Destroy

Claim form.

Travel 
 
 

Travel authorisation forms

On completion of audit

2 years

Destroy

For Secretariat Staff.

 

Travel supporting documentation

On completion of audit

2 years

Destroy

For Members’ and Secretariat Staff.


Information and Outreach

Communications & Information Standards

Broadcasting

Website

Outreach and Education

Youth Parliament

Events

External Liaison

Research and Library (follows in separate section)

Information Systems (follows in separate section)

  Record  Trigger (event that prompts start of retention period)   Retention   Period  Final Action  Notes 

Media Relations

 

Press Briefings

Date of Briefing

End of mandate

Determined on review

Briefings will take place on a weekly basis.

 

Communications Plans

Date of event

End of mandate

Delete

Exceptions made for plans significant events – e.g. visit of Prime Minister or US President.

 

Press Enquiries

End of session (once enquiry resolved)

NI Assembly Permanent Preservation

NI Assembly Permanent Preservation

The activities involved in managing the NI Assembly’s communications with and through the media. Records containing correspondence between the NI Assembly and the enquirer, details of who handled the request and how the request was resolved. Includes media lines. Held on press enquiries database.

 

Enquiry of long-term operational Value

End of session

NI Assembly Permanent Preservation

NI Assembly Permanent Preservation

Summaries of enquiry responses, anonymous data of long-term operational value.

 

Media cuttings including transcripts

Date of publication

End of mandate

Destroy

Activities involved in monitoring the media coverage of the NI Assembly

Includes transcripts.

NOTE: Record of destruction not required for press cuttings.

 

Press releases

Date of publication on website

Current and previous mandate

Destroy

The activity involved in managing the Assembly’s communication with and through the media and includes committee press releases, video news releases and media briefing papers.

 

Image Library

Date of picture being taken

End of mandate

Determined on review

Images of long-term value to the NI Assembly. Should be maintained for permanent preservation.

Images to be transferred to PRONI should be transferred as soon as possible after capture. All other images should be weeded regularly.

 

Media contacts

When superseded

-

Destroy

 
Information Standards (includes Information Management)
Freedom of Information & Environmental Information Regulations  
 

Case file: records detailing the FoI /EIR request, the consideration of possible exemptions and subsequent appeals

Passing of review deadline

6 years

Determined on review

Records containing correspondence between the NI Assembly and the enquirer, details of who handled the request, how the request was researched and how the request was resolved including any subsequent appeals for review.

 

Case files including access decisions

Passing of review deadline or Commissioner decision

10 years

Destroy

Details of case file relating to a decision being made by the ICO following an investigation.

 

FoI Disclosure log

Last action

6 years

Destroy

 
 

Publication Scheme

When superseded

6 years

Destroy

Records documenting the development and maintenance of the NI Assembly’s Publication Scheme as required by the FoI Act 2000.

Records Management
 

Information Audits & Records Surveys

Last action

6 years

Destroy

 
 

Records Retention and Disposal schedule

When superseded

 

NI Assembly Permanent Preservation

List of NI Assembly records series and how long each series must be kept before it may be disposed of.

 

Guides, manuals and instructions on the management of records

When superseded

When superseded

Destroy

 
Data Protection
 

Subject Access Requests

Last action

6 years

Destroy

Correspondence and associated papers relating to the receipt of and processing of formal Subject Access Requests made under the provisions of the Data Protection Act 1998.

 

Notification

Notification expiration

6 Years

Destroy

Records documenting the NI Assembly’s notification of data controller details to the Information Commissioner.

Broadcasting  
 

Recording of Committee Meetings

End of mandate

6 years

Determined on review

 
 

Recordings of Parliamentary proceedings

End of session

Current and previous mandate

Send to PRONI

(PRONI accept only when digitised)

The full and authoritative audio-visual recording of proceedings in the NI Assembly and its Committees. A copy of each recording should be permanently deposited with PRONI.

 

Recordings of events

End of session

-

NI Assembly Permanent Preservation

Full audio visual recordings of events (e.g. Remembrance Service) and significant visits (e.g. Hillary Clinton visit) held in the NI Assembly.

 

Website 

-

NI Assembly Permanent Preservation

NI Assembly Permanent Preservation

Archive of website retained to include:

Minutes of meetings, Official Report (Hansard) , Forward work programme, Business Diary.

 

Internal Publications

On production

12 months

Determined on review

Includes Internal Staff magazine, etc.

 

Guidance Documents

Media Guide

Style Guide

EIS Guidelines

When superseded

-

Destroy

 
Outreach and Education
 

Communication Events and presentations

End of Mandate

1 year

Determined on review

The activities involved in developing new partnerships aimed at working with specific groups who are underrepresented in parliamentary engagement e.g. Road shows, community outreach.

 

Tours and visits

End of visit

1 year

Destroy

Records documenting the organisation and administration of visits by schools, colleges and universities. Includes outreach visits.

Activities include: planning programmes/itineraries; arranging venues, catering, security, transport etc.; reviewing visits, writing reports on visits.

 

Education programmes

When superseded

2 years

Determined on review

The activities in developing curriculum material and resources, including innovative methods to engage young people in the work of the NI Assembly. Includes special education resources.

 

Enquiries/information requests

End of calendar year

1 year

Destroy

The activities involved in responding to requests for information concerning Education and Outreach services.

 

Education and outreach publications

Publication

-

NI Assembly Permanent Preservation

Learning and teaching resources published by Education / Outreach.

 
Youth Parliament
 

Meetings

End of calendar year

6 years

Determined on review

 
 

Successful

Application Forms

On appointment of youth panel

1 year

Destroy

 
 

  Unsuccessful

Application Forms 

On appointment of youth panel

1 year

Destroy

 
 

  Administration

End of mandate

1 year

Determined on review

Administration of appointing Youth Parliament – correspondence regarding appointments, nominations and arrangement of meetings.

 

Education Resources

Until superseded

1 year

Determined on review

Education DVD, curriculum material.

 

Reference / Guidance Material

Until superseded

-

Determined on review

 
 

Contact Details

Until superseded

-

Destroy

 
 

Statistics

End of session

6 years

Determined on review

Statistics of visits and attendance.

Student Placements
 
 

Work Experience Student Placements

On completion of placement

1 month

Determined on review

Student details and correspondence regarding placement.

 

Bursary Student Education Programme

On approval of programme

1 year

Determined on review

Includes course key milestones.

 

Bursary Student Administration of appointment

On completion of placement

6 months

Determined on review

 
Events
 

Events

End of event

6 years

Determined on review

Records consisting of event plans, guest lists, and briefs. Records concerning significant* events should be offered to PRONI.

*significant events include events attended by political leaders, Heads of State, global figures and events involving Education and Outreach – will require judgment from Events and Education staff.

Note: the Finance Office retention schedule should be referred to for original finance records.

 

Event Administration

End of event

2 years

Destroy

The activities involved in organising events include: determining dates and times; arranging venues, catering security etc.; planning programmes; issuing invitations; designing publicity materials (e.g. Brochures, posters) and arranging production; designing event materials (e.g. delegate packs, menus) and arranging production; organising publicity (e.g. official photography, media coverage); issuing tickets; registering attendees; reviewing events; writing reports on events.

 

Declined Events

End of mandate

1 year

Determined on review

Documentation supporting decisions.

 

Exhibitions

Until superseded

-

Destroy

The activities involved in organising exhibitions held by the NI Assembly.

External Liaison
 
 

Official visits and events

End of visit

6 years

Destroy

Records consist of programmes, briefings and correspondence concerning visits by officials from the NI Assembly and visits to the NI Assembly.

Visit programmes concerning *significant visitors/visits e.g. VIP visits should be offered to PRONI.

*Significant visitors include political leaders, heads of state and global figures – will require a judgement from External Liaison Unit staff

Visit programmes and visit reports concerning significant* visits by the Clerk/DG should also be offered to PRONI.

*significant visits include parliaments and high profile venues and events.

Includes visits by Assembly Business Trust, Commonwealth Parliamentary Association, British Irish Parliamentary Association.

 

Meetings

End of session

6 years

Determined on review

Minutes of meetings including Assembly and Business Trust (includes AGM), Commonwealth Parliamentary Association (CPA), British-Irish Parliamentary Association (BIPA).

 

Meeting Administration

Date of meeting

2 years

Destroy

Information necessary for the organisation of committee meeting & events.

 

Publications and leaflets

Until superseded

-

Destroy

 

Research & Library

Requests & Responses

Seminars

  Examples  Trigger (event that prompts start of retention period)   Retention   Period  Final Action  Notes 
Requests & Responses

 

 

Members’ queries and response

Close when completed

10 years

Determined on review

 
 

Committee requests and response

Close when completed

6 years

Determined on review

 
 

Secretariat requests and response

Close when completed

6 years

Determined on review

 
 

Research Publications

Close at the end of financial year

10 years

Determined on review

 
 

Briefing Notes

End of session

10 years

Determined on review

 
Seminars
 

Planning and materials

Close when completed

10 years

Destroy

Includes, for example, Inter-parliamentary research and information network.

Financial Management

Asset Management

Budget

Statutory Accounting

Book-Keeping

Members’ Financial Services

  Records   Trigger   (event that   prompts start of   retention period)   Retention Period   Final Action  

Notes  

Asset Management
 

Fixed Asset Records

On approval

7 years

Destroy

Records documenting the value of the NI Assembly capital assets.

 

Records documenting decisions (and authorisation) to dispose of capital assets

End of financial year

7 years

Destroy

 
 

Asset Management Project files

Completion of project

10 years

Destroy

Closed at end of project

(Confirm with Building MGT if FINANCE holding).

Budget
 

Records – for preparation of budget

On approval of budget

2 years

Destroy

 
 

Actual v budget reports – monthly expenditure reports

On approval of budget

4 years

Destroy

 
 

Records documenting the monitoring of income and expenditure against annual operating budgets, and action taken to deal with variances

End of financial year (on completion of audit)

2 years

Destroy

 
 
Statutory Accounting
 

Final copy of accounts

On approval of budget

NI Assembly Permanent Preservation

NI Assembly Permanent Preservation

 
 

Accounting schedules & working papers

On approval of budget

NI Assembly Permanent Preservation

NI Assembly Permanent Preservation

 
 
Book-keeping 
 

Hospitality records

On receipt

7 years

Destroy

Details of official engagement both attended and declined by the Secretariat – held centrally by Finance Office.

 

Journals

On approval at end of financial year

7 years

Destroy

Closed at the end of financial year.

 

Banking Records

On approval at end of financial year

7 years

Destroy

Paid cheques, lodgements, stop notices, cancelled cheques, BACS reports, queries and correspondence.

 

Suspense Account Records

On approval at end of financial year

7 years

Destroy

 
 

Outstanding Invoices Reports

On approval by audit

On approval by audit

Destroy

 
 

Creditor Payment Statistics

On approval by audit

On approval by audit

Destroy

 
 

VAT Returns

On approval at end of financial year

7 years

Destroy

 
 

Pay run Reports (BACS payments including payroll and cheque payments)

On approval at end of financial year

7 years

Destroy

 
 

Creditors payments –

Invoices

On approval at end of financial year

7 years

Destroy

 
 

Creditor (supplier) set ups

On approval at end of financial year

7 years

Destroy

 
 

Secretariat expense claims

On approval at end of financial year

7 years

Destroy

 
 

Secretariat travel claims

On approval at end of financial year

7 years

Destroy

 
 

Bank reconciliations

On approval at end of financial year

7 years

Destroy

 
 

Reconciliation of Salaries

On approval at end of financial year

7 Years

Destroy

 
 

Procurement card statements

On approval at end of financial year

7 years

Destroy

 
 

Procurement card Transaction Reports

On approval at end of financial year

7 years

Destroy

 
 

Procurement card Application Forms

On receipt of application form

Until card expires

Destroy

 
 
Members’ Financial Services 
 

Members’ Travel Claim Forms

On approval at end of financial year

7 years

Destroy

 
 

Members’ OCA Claim Forms

On approval at end of financial year

7 years

Destroy

(Including PIID forms).

 

Party Allowance Claim Forms

On approval

(Closed 2 years after last entry)

7 years

Destroy

 
 

Whips Allowance Claim Forms

On approval

(Closed 2 years after last entry)

7 years

Destroy

 
 

Constituency Office Rent agreements

On approval at end of financial year

7 years

Destroy

 
 

Reconciliation of Salaries

On approval

7 Years

Destroy

 
 

Details of Salary payments & Commitments

On approval / completion of audit

1 Year

Destroy

Includes labour cost reports.

 

Travel Details

MMA 1

End of mandate

Destroy

Destroy

 
 

Telephone

Details (MLA contact details i.e. constituency office addresses, phone numbers etc

On appointment

2 Years

Determined on review

Telephone details – necessary for authorisation of telephone bills.

 

Insurance documents

-

10 years

Determined on review

 

Legal Services

Legal Advice Outputs

Contracts

Conveyance

Constitutional advice and advice on the operation of the NI Assembly

Employment matters

Litigation

Management

  Record  Trigger   (event that  prompts  start of retention  period) Retention Period Final Action Notes
 
Legal advice output
       
 

Legal advice output

Creation

24 years

Determine upon review

All legal advice output on all Legal Services’ professional files.

 
Contracts
       
 

Contracts

Award of contract

Until end of successive contract and in any case no less than 6 years from trigger

Determine upon review and in consultation with procurement

The legal activities in managing the processes associated with negotiation, establishment, maintenance and review of contracts.

 

Contracts - agreement

Award of contract

Until end of successive contract and in any case no less than 6 years from trigger

Determine upon review and in consultation with procurement

The legal process of agreeing terms between organisations e.g. Service level agreements.

 

Contracts - pre contracts advice

On completion

Until end of successive contract and in any case no less than 6 years from trigger

Determine upon review and in consultation with procurement

The legal process of calling for expressions of interest.

Conveyance
 

Conveyance - purchase

On completion

12 years

Determine upon review

The process of changing ownership of land or property – purchase.

 

Conveyance - sale

On completion

12 years

Determine upon review

The process of changing ownership of land or property – sale.

 

Conveyance - title deeds

On completion

NI Assembly Permanent Preservation

NI Assembly Permanent Preservation

The process of changing ownership of land or property - title deeds.

 

Constitutional advice and advice on the operation of the NI Assembly

       
 

Legal interpretation and advice

On completion

24 years

Determined on review

The activities associated with interpreting legal provisions that apply to the NI Assembly Secretariat and providing opinions and advice on legal matters to the NI Assembly and Committees. Records documenting advice requested by, and provided to, the NI Assembly concerning:

  • interpretation of legislation affecting the NI Assembly Secretariat’s legal framework, governance, responsibilities or operations
  • proposals for new legislation affecting the NI Assembly Secretariat’s legal framework, governance, responsibilities or operations
  • the NI Assembly Secretariat’s relationship with external bodies.
 

Advices on Legislation

On completion

24 years

Determined on review

Advice concerning legislation: Bills, Legislative competence, SSI’s.

 
Employment matters
       
 

Advices on human resources matters – non litigation

On completion

6 years

Determine on review

Advice on human resources and industrial relations matters.

 

Advices on employment litigation

On completion

6 years

Determine upon review

Litigated employment matters.

 
Litigation
       
 

Litigation

On completion

6 years

Determined on review

The process of managing, undertaking or defending for or against litigation (eg. Damages claim, judicial review, breach of contract, freedom of information as well as any records which have been prepared in response to litigation) on behalf of the NI Assembly Secretariat which does not set legal precedents.

 

Litigation - legal claims

Completion and determination of matter whether date of settlement or formal withdrawal of complaint

6 years

Determined on review

The activities involved in handling claims by or against the NI Assembly Secretariat which do not proceed to litigation or settlement by an agreement.

 

Litigation - legal precedents

On completion

NI Assembly Permanent Preservation

-

Records documenting litigation between the NI Assembly Secretariat and third parties where legal precedents are set.

 
Management
       
 

Internal management files

As per Secretariat Records Management Policy

 

Determined on review

 
 

Operational and strategic management files

As per Secretariat policy

 

Determined on review

 
 

Intra Secretariat liaison

As per Secretariat policy

 

Determined on review

 
 

External liaison files

As per Secretariat policy

 

Determined on review

 


Information Systems

IT Systems management & development

IT Systems User Support

Secretariat Request Forms

Data Management

Contract Management

ICT projects

Inventory

  Records Trigger (event that prompts start of Retention period) Retention Period Final Action Notes
IT Systems management & development
 

3rd Party Systems (Operational documentation)

Last action

6 years

Destroy

 
 

In-house applications

-

Lifetime of application

Destroy

 
 

Manuals

Lifetime of application

1 year

Destroy

 
 

Operations Logs

Closed daily

6 months

Destroy

Log of activity on the network, including Internet and email, log on and log off details.

 

Records of the operational management of IT systems

Decommission of system

1 year

Destroy

Includes change controls, requests for change, modifications and maintenance of the IT system.

 

New IT account requests

Completion of account creation

2 years

Destroy

 
 

Records of the routine testing and monitoring of the operation of IT systems, and action taken to rectify problems and optimise performance

Used on rolling year basis

1 year

Destroy

Systems log.

 

Records of software licences for live IT systems

End of licence

6 years

Destroy

 
IT Systems User Support
 

Records of faults reported by users of IT systems and action taken to investigate and resolve faults

(help desk transaction records)

Lifetime of equipment used

1 year

Determined on review

The activities involved in handling fault reports from IT users and the action taken to resolve reported faults and includes retrieval of information requests.

 

Secretariat Accounts

-

Until superseded

Destroy

 
 

Party Support Accounts

Close at end of mandate

-

Destroy

At the end of a mandate all Party Support accounts are closed. The party whip reviews this information following election and advises accounts to be reactivated.

 
Secretariat Request Forms

Includes access authorisation.

 

Requests for access

to sensitive

information

On receipt of request form

Lifetime of application

Destroy

E.g. CINTRA system etc.

 

Routine request forms

Close when completed

2 years

Destroy

information not of a sensitive nature – this could be confirmed by authoriser.

 

Members’ / Party Support Requests

Close at end of mandate

2 year

Destroy

 
Data Management
 

Back-up tapes

       
 

Daily back-up tapes

End of current day

1 week

Destroy

Tapes are overwritten when reused.

 

Weekly back-up tapes

End of current week

1 month

Destroy

Tapes are overwritten when reused.

 

Monthly back-up tapes

End of current month

6 months

Destroy

Tapes are overwritten when reused.

 

Operation of data back up and archiving routines

From date of record

1 year

Destroy

Recorded daily.

Contract Management

Award of contract

Until end of successive contract and in any case no less than 6 years from trigger.

Destroy

The activities involved in recording the performance of contractors throughout the lifetime of the contract. Additional contract information held by the Contract Manager i.e. copy contracts etc should be destroyed at the end of the contract - the Procurement Office is responsible for maintaining original contract records

See Procurement for further information regarding contract Management.

ICT Projects
 

Project Documentation (PIDs, briefs, plans, framework documents etc)

Close on completion

6 years or 1 year past life of system (whichever is greater)

Destroy

Includes installation and testing, specifications.

Inventory
 

Record of Loss/Disposal

Loss / disposal of item

6 years

Determined on Review

 
 

AIMS System

-

NI Assembly Permanent Preservation

NI Assembly Permanent Preservation

Assembly Information Management System (AIMS)

Information on MLAs and the procedural business of the Assembly; lists of Member's parliamentary or constituency office contact details based on name, party, constituency or committee; Register of Interests for Members; All Plenary Business from 1998; Plenary Business can be reported on through 14 reports, i.e. Division Voting by Party/Member, Plenary Business tabled by Party/Member, Motions tabled, Adjournment Debates etc.

Procurement

Initial Proposal

Selection of suppliers

Monitoring of supplier performance

  Record Trigger (event that prompts start of retention period) Retention Period Final Action Notes
 

Contract Documentation

Award of contract

Until end of successive contract and in any case no less than 6 years from trigger.

Determine upon review and in consultation with Legal Services

Business case/requisition, Contract advertisement, Draft specification, Agreed specification (Pre-qualification questionnaire; includes evaluation), Evaluation criteria, Invitation to tender, Non-competitive action, Contracts under SLA, Ordinary contracts, Successful tenders, Final contract award, Award letter, signed contract and any other additional documents forming part of the contract, Successful statements of interest, final award contract, Contract management documents (SLA), Amendments to contracts.

 

Unsuccessful Statements of interest

Contract award

Until end of successive contract and in any case no less than 6 years from trigger.

Destroy

Pre-qualification questionnaire; Note: includes evaluation.

 

Unsuccessful tenders

Contract award

Until end of successive contract and in any case no less than 6 years from trigger.

Destroy

 
 

Evaluation meetings and forms

End of contract

Until end of successive contract and in any case no less than 6 years from trigger.

Destroy

Interview panel report and notes of proceedings, including commissioning letter.

Monitoring of supplier performance
 
 

Reports from contractors

Award of contract

Until end of successive contract and in any case no less than 6 years from trigger.

Destroy

 
 

Schedules of work

Award of contract

Until end of successive contract and in any case no less than 6 years from trigger.

Destroy

 
 

Surveys and inspections:

       
 

Equipment and supplies

Award of contract

Until end of successive contract and in any case no less than 6 years from trigger.

Destroy

 
 

Buildings

Award of contract

Until end of successive contract and in any case no less than 6 years from trigger.

Review

 
 

Complaints

Award of contract

Until end of successive contract and in any case no less than 6 years from trigger.

Destroy

 
 

Payment disputes

Award of contract

Until end of successive contract and in any case no less than 6 years from trigger.

Destroy

 
 

Final accounts

Award of contract

Until end of successive contract and in any case no less than 6 years from trigger.

Destroy

 
 

Minutes and papers of meetings

Award of contract

Until end of successive contract and in any case no less than 6 years from trigger.

Determined on Review

 

It is important that a record of all contracts and related transactions is kept. The files must contain a complete and accurate record of all internal and external documentation so that the stages and reasoning of the transactions are apparent.

Health & Safety

Accidents

Monitoring of working environment

Risk assessment

Fire Safety


Record

Trigger (event that prompts start of retention period)

Retention

Period

Final Action

Notes

 

Accidents, incidents and dangerous occurrences

Last action

6 years

(if claim made – 6 years after claim settled)

Determined on review

The activities involved in recording and investigating near-misses, injuries, diseases and dangerous occurrences.

 

Monitoring of working environment

Last action

6 years

Destroy

 
 

Risk assessments

Last action

6 years

Destroy

Risk assessments conducted by NI Assembly and /or contractors.

 

Inspection and audit reports

After issue

6 years

NI Assembly Permanent Preservation

The activities involved in inspecting common areas and offices. Included audit reports.

 

Fire safety risk assessments

Date of issue

6 years

NI Assembly Permanent Preservation

Records of significant findings of fire assessments and action taken to remove or reduce risk.

 

Fire safety log

Last action

6 years

Destroy

Records of statutory fire alarm tests and other fire alarm activities.

 

Fire safety equipment information

Last action

6 years

Destroy

Records concerning fire safety facilities, equipment and devices.

 

Fire safety evacuation plans

-

Until superseded

Destroy

Evacuation plans for Assembly buildings.

Security

Control of access to premises

Control of removal of property

Chamber duties

  Record Trigger (event that prompts start of retention period) Retention Period Final Action Notes
 

Security Passes

When no longer employed (end of employment / contract)

-

Destroy

Records of security passes issued and actual pass.

 

Media Pass records

When no longer employed (end of employment / contract)

-

Destroy

 
 

Emergency Evacuation Command and Control

-

Until superseded

Destroy

Includes procedure for evacuation of Stormont Estate.

 

Clearance for contractors / consultants

End of employment

1 year

Destroy

Records concerning contractor staff and consultants employed.

 

Theft reports and investigations

End of investigation

6 years

Destroy

 
 

Retained items record

Last action

6 years

Destroy

Record of items found and not claimed.

 

Security reviews and inspections

Last action

6 years

Destroy

 
 

Security advice and guidance

Last action

6 years

Determined on review

 
 

Security incidents & control room logs

End of calendar year

1 year

Destroy

Recording documenting the conduct of routine incidents requiring the attention of Security staff e.g. thefts and action taken and the process of Control room incident logging – including records arising from requests for security assistance and the deployment and management of security resources:

  • Telephone calls
  • Messages from internal personnel
  • Messages from external services/agencies
  • Radio & Telephone calls to/from Security control rooms

Note: Incident reports used in investigations should be kept until proceedings have been completed.

 

Visitor Book/Log

-

3 years

Destroy

Destroy.

 

Internal Postal Duties

Completion of rota

1 year

Destroy

Details of rota.

 

Routine security surveillance

Creation

Maximum 30 days

Destroy

The process of recording moving images (CCTV) for the purpose of security.

Note: Recordings used in investigations should be kept until proceedings have been completed.

Building Management

Ownership and occupancy

Building Plans

Surveys and inspections

Project reports

Sustainable Development

Waste Disposal

  Record Trigger (event that prompts start of retention period) Retention Period Final Action Notes
Ownership and occupancy
 

Inventory of Artefacts

-

NI Assembly Permanent Preservation

NI Assembly Permanent Preservation

 
 

Art collection

Lifetime of art work / loan period

6 years

Destroy

The activities involved in managing the NI Assembly’s art collection.

Including correspondence, minutes, papers and loan agreement if necessary.

 

Fixed Asset Records

On approval

7 years

Destroy

Records documenting the value of the NI Assembly assets. Records of capital assets are held by Finance.

 

Records documenting decisions (and authorisation) to dispose of assets

End of financial year (of disposal)

7 years

Destroy

Record of disposal of capital assets held by Finance.

 

Asset Management Project files

Closed at project

NI Assembly Permanent Preservation

NI Assembly Permanent Preservation

 
 
Contract Management

Award of contract

Until end of successive contract and in any case no less than 6 years from trigger.

Destroy

The activities involved in recording the performance of contractors throughout the lifetime of the contract. Additional contract information held by the Contract Manager i.e copy contracts etc should be destroyed at the end of the contract – the Procurement Office is responsible for maintaining original contract records.

 
Maintenance Contract Management

Award of contract

Until end of successive contract and in any case no less than 6 years from trigger.

Destroy

 

 

Contractor training

Award of contract

Until end of successive contract and in any case no less than 6 years from trigger.

Destroy

Fire and health safety records concerning contractors working at in Assembly buildings.

Building Plans
 

Building plans and drawings

Last action

25 years

NI Assembly Permanent Preservation

Plans including working copies, consultants’ and contractors’ drawings and associated records and manuals.

Surveys and inspections
 

Building maintenance and inspections

Award of contract

Until end of successive contract and in any case no less than 6 years from trigger.

Determined on Review

Records concerning maintenance schedules, diaries or logs, installation surveys, programmes, operational manuals and forward maintenance registers. Records include gas safety; lifting equipment; work equipment; pressure systems; fixed electrical installations and portable appliances.

Project reports – Please refer to Project Governance

Maintenance

 
 

Maintenance Log

Final entry

12 years

Destroy

 
 

Maintenance schedule

Until superseded

6 years

Determined on review

 
 

Maintenance programme

Until superseded

6 years

Determined on review

 
 

Payment disputes

Award of contract

Until end of successive contract and in any case no less than 6 years from trigger.

Destroy

 
 

Final accounts

Award of contract

Until end of successive contract and in any case no less than 6 years from trigger.

Destroy

 

Sustainable Development

The function of managing the impact of the NI Assembly and its business on the environment, and ensuring compliance with environmental legislation.

Environmental Management System

Last action – elimination of risk or updating the risk assessment

6 years

Determined on review

Records documenting identified environmental aspects of the Assembly, including Environmental Records and procedures regarding waste management and energy.

Records documenting the recording of environmental incidents in the NI Assembly or caused by its operations

Last action

40 years

Destroy

The activities involved in recording and investigating environmental incidents in the NI Assembly or caused by its operations, and the reporting of reportable incidents to the enforcing authorities.

Records documenting the notification and reporting of reportable environmental incidents to enforcing authorities

Last action

6 years

Destroy

 

Environmental performance data

Last action

6 years

Destroy

The activities involved in monitoring and controlling the NI Assembly’s environmental performance; the conduct and result of formal reviews of the NI Assembly’s environmental performance; and action taken to address issues raised.

Waste Disposal

     

Legal document.

General Waste (WTN)

Last action

2 years

Destroy

The activities involved in collecting, storing and disposing of NI Assembly waste. Includes: office waste, catering waste; redundant equipment and consumables.

Hazardous Waste

Last action

3 years

Destroy

The activities involved in collecting, storing and disposing of NI Assembly special waste. Includes: batteries and fluorescent bulbs.

Contractor Licence

End of contract

6 years

Destroy

Licences that expire during the contract should be destroyed on receipt of a valid licence.

Section 6 - Signatories

Signatories

Signatories

Appendix A

Addendum for any new areas of work/new classes of records created.

These must be approved by PRONI before being added and when schedule is reviewed the updated document laid before Northern Ireland Assembly for approval.

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