Northern Ireland Assembly Commission Retention and Disposal Schedule
Contents
Section 2 - What is covered by this Retention and Disposal Schedule?
Section 3 - Categories of Retention/Disposal
Section 4 - Operation of the Retention and Disposal Schedule
Section 5: Retention and Disposal Schedule
Clerk/Chief Executive's Office
Legal, Governance and Research Services
Section 1 - Introduction
Function of the Northern Ireland Assembly Commission
The Northern Ireland Assembly Commission ('Assembly Commission') is the corporate body which provides the Northern Ireland Assembly ('the Assembly'), or ensures that the Assembly is provided with the property, staff and services required for the Assembly's purposes. The Assembly Commission is established under section 40 of the Northern Ireland Act 1998.
The Assembly Commission Records Management Policy and Guidance
The Assembly Commission 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 Commission. The Assembly Commission Records Management Policy and Guidance sets out a commitment to the development of an efficient and effective records management system. Crucial to the success of the Policy and Guidance is the development and implementation of a Retention and Disposal Schedule ('the Schedule').
Purpose of the Retention and Disposal Schedule
The Schedule aims to support the development of greater control over the records created by the Assembly Commission. It will enable the Assembly Commission to dispose of records promptly when they cease to be of any continuing administrative, historic or legal value and will identify records that 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?
The Schedule identifies the arrangements for all records created by the Assembly Commission. For the purposes of the Schedule, a 'record' is defined as "recorded information in any form (electronic or paper) created, received or shared by the Assembly Commission."
Within the Assembly Commission, a range of information/ documents exists which do not need to be captured into the formal records management system. This information (e.g. reference material and convenience copy) is not covered by the Schedule and includes:
- Rough or early drafts where these do not contain evidence of policy development;
- Circulated copies of drafts or 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, compliments slip or emails accompanying attachments, that do not provide additional information to the main document and where evidence of date and time of receipt or dispatch, are not required; and
- 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 Commission 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 Commission, 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 Schedule.
Electronic Documents
The Assembly Commission 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 Commission, 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, electronic documents of no enduring value, such as those of purely personal relevance, should be deleted from the system at the earliest opportunity.
Emails potentially form part of the Assembly Commission's corporate record, as such all staff should review emails to decide whether they are subject to its Records Management Policy and Guidance.
As with other electronic documents and material, where an email message forms part of the corporate record, staff should retain the record in line with the Records Management Policy and Guidance in addition to the Schedule.
Section 3 - Categories of Retention/Disposal
There are four broad categories of disposal
Destroy
These are records which the Assembly Commission considers to be low grade, providing no continuing business/legal value and are of no historical or research value to PRONI.
PRONI Appraisal
Where the action is PRONI Appraisal, the long term historical and evidential value of the records cannot be confirmed and therefore requires appraisal by PRONI. This takes place after the prescribed retention period.
If PRONI deem that there is no long-term value, the records can be destroyed; otherwise, they are transferred to PRONI, in line with policies and procedures.
PRONI Permanent Preservation
These are records which PRONI has determined to be of long-term historical or research value. These records are held until they are twenty years old and are reviewed through the Sensitivity Review process. These records must then be transferred to PRONI.
Further guidance on the Sensitivity Review process is available on the Information Standards AssISt page.
Assembly Commission Permanent Retention
There are likely to be few records which fall into this category, but they are records which the Assembly Commission has decided should be retained permanently for business purposes.
Note
The Schedule continues to display records for functions which no longer exist. Where this occurs, the record has been shaded in grey and noted as a "Discontinued Function". These records will continue to be held, until the last remaining records have completed their retention period and are then either destroyed, transferred or permanently archived.
Section 4 - Operation of the Retention and Disposal Schedule
Closing a file
In order for the 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; and
- 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; and
- 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; and
- 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; or
- The end of a mandate.
When a file is due to be closed, the appropriate member of staff should consult the Schedule and detail the follow up actions on the File Closure Form. For example, the date on which the record can be destroyed, transferred to PRONI, or whether it should be subject to the review procedures.
Misfiled legal material should be appropriately filed and the correct retention applied.
Retention Period
Retention periods are based upon the specific business needs of the Assembly Commission, in addition to the regulatory environment within which the Assembly Commission operates. The retention period required for each type of file, is calculated from the point the file is closed.
Destroy
Destruction of files will take place on a planned basis following the annual file review, in line with the Schedule. Destruction will be organised by the Information Standards Office, in consultation with the relevant business area.
All destruction decisions must be agreed by relevant business area before destruction can take place. A disposal log 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.
Where there continues to be a business need to retain the files beyond the destruction date, staff are asked to review the record using the File Review Form at the end of the period outlined in the Schedule, or as indicated on the covering File Closure Form. Staff have the option to extend for an additional period or to transfer to Assembly Commission Permanent Retention as required. These options will require senior management approval in consultation with the Information Standards Team.
PRONI Appraisal
These records have been identified by PRONI as requiring appraisal, as they may be of future historical significance. Following a period of retention as outlined in the Schedule, Assembly Commission staff will review these files to ensure the Assembly Commission has no further requirement to hold the records.
PRONI will then carry out a first stage review, in which the Assembly Commission will be notified of those files that PRONI has determined should be retained for a second stage review. The second stage review will be carried out when the records are approaching twenty years of age.
If PRONI determines that the records should be not be retained for second review, Assembly Commission staff will be provided with a list of the records before destruction, as guided by the Information Standards team. Those files not requiring further retention can be destroyed through appropriate means.
PRONI Permanent Preservation
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, once the record approaches 20 years old (from closure).
Assembly Commission Permanent Retention
Where the action is Assembly Commission Permanent Retention, the records need to undergo the normal review procedures to ensure that the file only includes those records for permanent retention.
Upon closure the records will be transferred to Office Resources and permanently retained.
Note that there is no legal basis to amend a Final Action without the approval of a subsequent Retention and Disposal Schedule through PRONI. For further advice and assistance, please contact the Information Standards team.
Commitment to Preserving Files/Records
The Assembly Commission 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 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 2.5cm thick);
- Punching papers to be filed 2.5cm in and 2.5cm 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 Clerk/Chief Executive of the Assembly Commission 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 Office is responsible for:
- Ensuring that the Records Management Policy and Guidance is implemented effectively;
- The provision of record management guidance to Assembly Commission staff;
- Producing procedures and documenting all necessary record management arrangements;
- Making recommendations to senior management in relation to changes or improvements; and
- Liaising with PRONI, to ensure that the Assembly Commission complies with the Northern Ireland Records Management Standard ('NIRMS').
The Information Standards Office 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 Assembly Commission's registered file system and ensuring that controls operate effectively. This is 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 or 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, disposal or transfer. The system can also produce reports to identify files which have been disposed of, and when the files were disposed of.
Line Managers are responsible for:
- Ensuring that the Records Management Policy and Guidance is fully observed and implemented within their area of responsibility; and
- Ensuring that all staff within their area of responsibility, receive the appropriate training.
All members of staff are responsible for:
- Documenting their actions and decisions, and for maintaining the records in accordance with the Records Management Policy and Guidance and the Schedule.
Section 5: Retention and Disposal Schedule
Clerk/Chief Executive's Office
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Corporate correspondence (non-routine) |
End of correspondence |
6 years |
Business need
|
Correspondence and associated records concerning the formal relationship between the Northern Ireland Assembly and/or the Assembly Commission and external bodies such as Commissioners, parliamentary bodies at corporate level. It is not intended to cover routine contact. |
PRONI Appraisal |
|
Correspondence with MLAs and Political Parties |
End of session |
1 year |
Business need |
Correspondence to and from Members. |
PRONI Appraisal |
|
Minutes of meetings of the Senior Management Team
|
End of session
|
Current and previous mandate |
Business need |
Agreed minutes. "Secretariat Management Group (SMG)" prior to July 2022. |
PRONI Appraisal |
|
Electronic Senior Management Team Meeting Packs |
End of session |
6 years |
Business need |
"Secretariat Management Group (SMG)" prior to July 2022. |
PRONI Appraisal |
|
Briefings |
End of Session |
Permanent |
Corporate Value |
Include first day brief. |
Assembly Commission Permanent Retention |
Assembly Commission
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Minutes of meetings of the Assembly Commission |
End of mandate |
20 years |
Business need
|
Agreed minutes.
|
PRONI Permanent Preservation |
|
Assembly Commission Meeting Packs |
End of mandate |
20 Years |
Business need |
PRONI Permanent Preservation |
|
|
North/South Inter-Parliamentary Association (NSIPA) |
End of mandate |
20 Years |
Business need |
Reports of Plenary sessions of the NSIPA.
|
PRONI Permanent Preservation |
|
North/South Inter-Parliamentary Executive Committee
|
End of mandate |
20 Years |
Business need |
Agreed minutes.
|
PRONI Permanent Preservation |
|
Inter-Parliamentary Contact Group
|
End of mandate |
6 years |
Business need |
Agreed minutes.
Discontinued Function |
PRONI Appraisal |
|
North South Parliamentary Forum Working Group
|
End of session |
20 Years |
Business need |
PRONI Permanent Preservation |
|
|
Assembly Commission Induction Material and Handbook |
When superseded |
20 Years |
Business need |
Induction Information for Assembly Commission Members. (Presentations and Packs). |
PRONI Permanent Preservation |
|
Assembly Commission Reports |
On production of report |
20 Years |
Business need |
This relates to formal reports prepared by the Assembly Commission rather than routine business. |
PRONI Permanent Preservation |
Speaker's Office
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Gifts Register |
On production of record |
Permanent |
Corporate value |
Assembly Commission Permanent Retention |
|
|
Speaker's Special Advisory Group Meetings (agendas, minutes, briefing notes and papers) |
On production of record
|
20 Years |
Business need |
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.
Discontinued Function
|
PRONI Permanent Preservation |
|
First Day Briefings |
End of session |
20 Years |
Business need |
First Day Briefs provided to the Speaker and Deputy Speakers upon taking office. |
PRONI Permanent Preservation |
|
Official Correspondence |
End of calendar year |
5 years |
Business need |
Correspondence (originals or annotated copies) to and from the Speaker/Deputy Speakers of the Northern Ireland Assembly.
|
PRONI Appraisal |
|
General Correspondence |
End of calendar year |
2 years |
Business need |
From/To Members of the public, interest groups. |
Destroy |
|
Speaker's Cases; Routine |
End of mandate |
6 Years |
Business need |
Correspondence between the Speaker and a requestor on a variety of issues requiring advice and/or response.
|
Destroy
|
|
Speaker's Cases; Exceptional interest |
End of Mandate |
Permanent |
Corporate value |
Review and identify cases of exceptional interest for permanent retention. |
Assembly Commission Permanent Retention |
|
Visitors' Book |
Closure of book |
Permanent |
Corporate value |
Book recording visitors (VIP) to the Speaker. |
Assembly Commission Permanent Retention |
|
Appointments and Resignations |
End of mandate |
Permanent |
Corporate value |
Formal documentation of resignations and appointments of Members, Ministerial Appointments, Ministers, Committee Chairs and Deputy Chairs. |
Assembly Commission Permanent Retention
|
|
Significant Meetings, Events and Visits |
End of event and completion of follow up action |
5 years |
Business need |
Significant events and visits arranged by the Speaker's Office in support of the Speaker's representational duties, records including submissions, plans, programme, guest lists, and catering etc. |
PRONI Appraisal |
|
Legislation |
End of mandate |
5 years |
Business need |
Official correspondence to and from the Office of the Speaker in relation to Bills at all stages. |
PRONI Appraisal |
Parliamentary Services
Plenary and Business Management
Plenary and Business Management
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Roll of Membership |
On production of record |
Permanent |
Corporate value |
Members' formal documentation of membership of the Northern Ireland Assembly.
|
Assembly Commission Permanent Retention |
|
Guidance for Members and Departments |
When superseded |
Permanent |
Corporate value |
A record of all guidance issued and retained by the Assembly.
|
Assembly Commission Permanent Retention |
|
Speaker's Rulings, Assembly Conventions and Precedents |
When superseded |
Permanent |
Corporate value |
Northern Ireland Assembly Companion published - hard copy from 1998 - 2002. No further publications. Copy of information held in Speaker's Rulings and Conventions document, updated as necessary during recess, and held in the Business Office from 2002 onwards. |
Assembly Commission Permanent Retention |
|
Routine advice to the Speaker/others on procedural matters |
End of mandate |
6 years |
Business need |
Includes advice on Matter of the Day (MOTD), Urgent Oral Questions (UOQs), motions, amendments etc. Also includes advice to the Business Committee. |
Destroy |
|
Office Procedures
|
When superseded |
1 year |
Business need |
Destroy |
|
|
All Party Notices |
On production of record |
End of mandate |
Business need |
Permanent record held on Northern Ireland Assembly website. |
Destroy |
|
Assembly Information Management System |
On production of record |
Permanent |
Corporate value |
Records of all items of Plenary Business held permanently on AIMS.
|
Assembly Commission Permanent Retention |
|
Papers of the Business Committee |
End of mandate |
5 years |
Business need |
Includes draft Order Papers, draft Indicative Timings, Notice of Forthcoming Executive Business. No Day Named list and Adjournment Debate list. |
Destroy |
|
Approved (signed) Business Committee minutes |
End of mandate |
6 years |
Business need |
Approved minutes of Business Committee are published on the Assembly's website. |
PRONI Appraisal |
|
Table Clerk (left) logs and papers |
End of mandate |
Permanent |
Corporate value |
Includes table clerk logs and lobby voting records. Results of votes are recorded in the Official Report (Hansard), and the Hansard Bound Volumes. |
Assembly Commission Permanent Retention |
|
Plenary sitting papers |
End of mandate |
Permanent |
Corporate value |
Speaker's Brief, Order Papers, Indicative timings, points of order responses and Members attendance at Ministerial Statements. A record of what happens in Plenary is recorded in the Official Reports (Hansard). |
Assembly Commission Permanent Retention |
|
Points of order responses
|
End of mandate |
6 years |
Business need |
Destroy |
|
|
Agreed Minutes of Proceedings (plenary) |
On signature by Speaker |
20 Years |
Business need |
Copy signed by Speaker. Text permanently preserved in Hansard Bound Volumes. Published on Assembly website. |
PRONI Permanent Preservation |
|
Record of Statutory Rules (SR) laid |
On laying of SR |
End of mandate |
Business need |
Permanent record of SR laid held electronically in Aims. Listed in Minutes of Proceedings in the Hansard Bound Volumes. Copy of legislation held on legislation.gov.uk. Laying authority sends original signed SR to PRONI. |
Destroy |
|
Record of Documents laid and presented |
On production of record (laying or presented) |
End of mandate |
Business need |
A record of the documents laid and presented is included in the Minutes of Proceeding and in Hansard Bound Volumes. |
Destroy |
|
Petitions of concern (ABO/7) and Motions requiring 30 signatures (ABO5, ABO5A and ABO6 forms) |
End of mandate |
Permanent |
Corporate value |
Permanent record on Assembly Information Management System (AIMS). Valid petitions included in the Official Report (Hansard) and the Hansard Bound Volumes. |
Assembly Commission Permanent Retention |
|
Adjournment Debates; Motions and Amendments to Motions; Matters of the Day |
On production of record (tabling) |
End of session |
Business need |
Request and administration destroyed. Permanent record of tabled items held on AIMS.
|
Destroy |
|
Assembly questions |
On production of record (tabling) |
End of session |
Business need |
Request for oral, written, urgent oral questions, written answers and the administration of same. There is a record of all questions in the Official Report (Hansard) and the Hansard Bound Volumes. Permanent record of all Written questions held on AIMS. |
Destroy |
|
Daily list of Questions; Daily list of Motions and amendments; Marshalled List of amendments to Motions; and Oral Questions list |
On production |
End of mandate |
Business need |
Lists produced in electronic form by the Business Office, published on the Assembly website and circulated by email. Permanent record of tabled items held on AIMS. |
Destroy |
|
Question time statistics |
End of mandate |
5 years |
Business need |
Held in spreadsheet.
|
Destroy |
|
Tabling authorisations |
On production |
End of mandate |
Business need |
Authorisations received on ABO1 form and record held on spreadsheet. |
Destroy |
Bill Office
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Acts |
Introduction to the Assembly |
Permanent |
Corporate value |
Copy provided to PRONI within 6 months of Royal Assent as routine business. |
Assembly Commission Permanent Retention |
|
Bills |
Introduction to the Assembly |
Permanent |
Corporate value |
The Bill Office will hold this record. |
Assembly Commission Permanent Retention |
|
Proposal for Private Members Bill |
End of mandate |
6 years |
Business need |
All notes leading to the Bill including those cases that may not proceed to final stage. |
PRONI Appraisal |
|
Guidance for Departments and Members |
When superseded |
Permanent |
Corporate value |
A record of all guidance retained by the Assembly.
|
Assembly Commission Permanent Retention |
|
Office Procedures
|
When superseded |
When superseded |
A record of procedural decisions taken.
|
Destroy |
Committees
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Guidance and Procedures |
When superseded |
When superseded |
Business need |
Destroy |
|
|
Contact Details
|
When superseded |
When superseded |
Business need |
Destroy |
|
|
Meeting Papers |
End of mandate |
5 years |
Business need |
Includes Chair's brief - contained in part 2 of Committee pack. |
Destroy |
|
Legislation - Primary |
End of mandate |
5 years |
Business need |
It should be noted that the Committee Report will contain all evidence and be held by the Assembly Library. Reports of formal clause-by-clause scrutiny are published in the relevant Official Report (Hansard) Bound Volume. |
Destroy |
|
Legislation - Subordinate |
End of mandate |
End of mandate |
Business need |
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 business need for files to be held permanently. |
Destroy
|
|
Legislation - Consent Motion (LCM) |
End of mandate |
5 years |
Business need |
As above re. Primary and Subordinate Legislation - in addition Committees now produce a short report on LCMs. This will be in the Committee pack as well as on the website. |
Destroy
|
|
Agreed minutes of proceedings |
End of mandate |
20 Years |
Business need |
Minutes of proceedings are printed on cream paper and signed by the Chairperson. |
PRONI Permanent Preservation |
|
Visits |
End of mandate |
5 years |
Business need |
Papers relating to Committee visits including administrative matters, financial, travel, accommodation arrangements, visit packs, etc. |
Destroy
|
|
Events |
End of mandate |
5 years |
Business need |
Papers relating to Committee events such as stakeholder conferences. All papers including administrative matters, financial matters, etc. |
Destroy
|
|
Correspondence |
End of mandate |
6 years |
Business need |
Communication of general information concerning the Committee not specific to an inquiry, investigation or policy. |
PRONI Appraisal |
|
Inquiries |
End of mandate |
5 years |
Business need |
Formal investigation into matters relevant to the Committee remit, including minutes of evidence for inquiries and relevant correspondence. As the Committee Report will contain all evidence and will be held by the Assembly Library, these papers may be destroyed. All evidence not printed in the report should also have been deposited in the Library. |
Destroy
|
|
Reports |
End of mandate |
5 years |
Business need |
Files relating to Committee reports, including Bill and inquiry reports. May be largely administrative in content such as drafts, 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, these papers may be destroyed. (All evidence not printed in the report should also have been deposited in the Library.) |
Destroy
|
|
Policy/Scrutiny of single-issue topics |
End of mandate |
5 years |
Business need |
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. |
Destroy
|
|
Consultation documents Committee stage of a Bill and other consultations |
End of mandate |
5 years |
Business need |
Destroy |
|
|
Budget scrutiny and Programme for Government (PfG) |
End of mandate |
6 years |
Business need |
Destroy
|
|
|
End of session/mandate reports |
End of mandate |
5 years |
Business need |
A copy of the final agreed report should be held in the appropriate meeting pack and will also be on the website. Details of Members' attendance is not published within End of Session reports, but is available via a separate link on each Committee homepage. |
Destroy |
|
Declaration of interests |
End of session |
Permanent |
Corporate value |
Standards and Privileges hold this information centrally. Files held on this by Committees should be destroyed. |
Assembly Commission Permanent Retention |
|
Specialist Advisers (Paper relating to selection and appointment) |
End of contract |
6 years |
Business need |
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. |
PRONI Appraisal |
|
Chairpersons' Liaison Group
|
End of mandate |
5 years |
Business need |
Destroy
|
|
|
Meeting Administration
|
End of mandate |
5 years |
Business need |
Destroy |
|
|
Standing Orders |
When superseded |
Permanent |
Corporate value |
Includes associated work in drafting/amending the Standing Order.
|
Assembly Commission Permanent Retention |
|
Inadmissible Complaints received from the Commissioner for Standards. |
Once the Committee on Standards and Privileges is notified of the (final) decision of the Commissioner for Standards that the complaint is inadmissible |
1 year |
Business need |
Inadmissible complaints are not investigated. (the inadmissible statistics are noted in the Annual Report). |
Destroy |
|
Admissible Complaints received from the Commissioner for Standards |
End of mandate
|
5 years |
Business need |
The Commissioner's report is presented to the Committee, who publish redacted version on the Northern Ireland Assembly website. |
Destroy |
|
Admissible Complaints: Supplementary material (not relied on to reach decisions) received from the Commissioner for Standards
|
On publication of the Committee's Report |
1 year |
Business need |
Destroy |
|
|
Admissible Complaints received from the Commissioner for Standards: Papers relating to the Reports of the Committee on Standards and Privileges on admissible complaints |
End of mandate |
5 years |
Business need |
Destroy |
EU Affairs
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Brexit & Beyond newsletters |
Publication date |
5 Years |
Business need |
Published on the Northern Ireland Assembly website. |
Destroy |
|
Assembly Commission EU Exit Working Group meeting papers |
End of meeting |
5 Years |
Business need |
Meets monthly. |
Destroy |
|
Assembly Commission EU Exit Working Group meetings - minutes |
On agreement of minutes |
5 Years |
Business need |
Meets monthly. |
PRONI Appraisal |
Official Report (Hansard)
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Papers/ information relating to Committee inquiries |
Completion of inquiry |
Duration of inquiry |
Business need |
Destroy |
|
|
Papers/ information relating to Committee Stages of Bills |
Bill progressing to Consideration Stage |
Duration of Committee Stage |
Business need |
Destroy |
|
|
Paper/ information/Members' notes from plenary sessions |
Publication of daily Hansard report |
1 day |
Business need |
Destroy
|
|
|
Papers/ information relating to Committee inquiries |
Completion of inquiry |
Duration of inquiry |
Business need |
Destroy |
|
|
Papers/ information relating to Committee Stages of Bills |
Bill progressing to Consideration Stage |
Duration of Committee Stage |
Business need |
Destroy |
Communications
Media Relations
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Press Briefings |
Date of Briefing |
End of mandate |
Business need |
Briefings will take place on a weekly basis. |
PRONI Appraisal |
|
Communications Plans |
Date of event |
End of mandate |
Business need |
Plans for significant events - e.g. visit of Prime Minister or US President. |
PRONI Appraisal
|
|
Press Enquiries |
End of session (once enquiry resolved) |
Permanent |
Corporate value |
The activities involved in managing the Assembly's communications with and through the media. Records containing correspondence between the Assembly and the enquirer, details of who handled the request and how the request was resolved. Includes media lines. Held on press enquiries database. |
Assembly Commission Permanent Retention |
|
Enquiry of long-term operational Value |
End of session |
Permanent |
Corporate value |
Summaries of enquiry responses, anonymous data of long-term operational value. |
Assembly Commission Permanent Retention |
|
Media cuttings including transcripts |
End of Mandate |
5 years |
Business need |
Activities involved in monitoring the media coverage of the Assembly. Significant transcripts may be held and will be determined by Communications Officer. NOTE: Record of destruction not required for press cuttings. |
Destroy |
|
Press releases |
End of Mandate |
5 years |
Business need |
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. |
Destroy |
|
Image Library: High Value Images |
Date of picture being taken
Withdrawal of consent |
Permanent
Destroy /remove Data Subject Immediately
|
Business need |
High value images of long-term value to the Assembly should be maintained for Assembly Commission Permanent Retention.
Images of people will have consent agreements preserved along with the photograph. |
Assembly Commission Permanent Retention |
|
Image Library: Low Value Images |
Date of picture being taken / Withdrawal of consent |
5 years |
Business need |
All other low value or inconsequential images should be weeded regularly and destroyed.
Images of people will have consent agreements preserved along with the photograph.
|
Destroy |
|
Media contacts |
When superseded |
When superseded |
Business need |
Media Contacts database is continually updated and outdated contacts deleted. |
Destroy |
|
Complaints database (with details of complainant) |
When received by Communications Office |
When Complaints Report (this is sent to the Assembly Commission on an annual basis) is uploaded to the Assembly Website |
Business need |
A summary document and the Complaints Report, will be uploaded to the website and retained. This document will contain anonymised details of the complaints received and the action taken. |
Destroy |
|
Public enquiries (enquiries and responses) |
When received by Communications |
1 year |
Business need |
It is important the Assembly has a record of the enquiries and the responses sent to the general public for a period of time. This will allow the Assembly to demonstrate that it has responded appropriately to members of the public. |
Destroy |
Broadcasting
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Recording of Committee Meetings |
End of session |
Permanent |
Corporate value |
Assembly Commission Permanent Retention |
|
|
Recordings of Parliamentary proceedings |
On production of record |
Permanent |
Corporate value |
The full and authoritative audio-visual recording of proceedings in the Assembly and its Committees. |
Assembly Commission Permanent Retention |
|
Recordings of events
|
End of session |
Permanent |
Corporate value |
Full audio-visual recordings of high value or significant events and visits will be retained.
|
Assembly Commission Permanent Retention |
|
Recordings of events: low value or inconsequential
|
End of session |
End of session |
Corporate value |
Low value or in consequential, routine recordings will be destroyed at the end of the session. |
Destroy |
Website
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Internal Publications |
On production |
Until superseded or a maximum of 3 years |
Business need |
Includes Internal Staff magazine, etc. |
Destroy |
|
Guidance documents, media guide, style guide, EIS Guidelines |
When superseded |
When superseded |
Business need |
Destroy |
Public Engagement
Parliamentary Outreach
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Official visits and events |
End of visit
|
5 years |
Business need |
Records consist of programmes, briefings and correspondence concerning visits by officials from the Assembly and visits to the Assembly. |
PRONI Appraisal |
|
Significant visitors and Parliamentary events |
End of visit |
Permanent |
Corporate value |
These records will require a judgement from External Liaison Unit staff. Visit programmes and visit reports concerning significant visits by the Clerk/Chief Executive should also be offered to PRONI. Records programmes, briefings and correspondence concerning significant visits by officials from the Assembly and visits to the Assembly. Significant visits to the Northern Ireland Assembly by political leaders, heads of state and global figures and high-profile parliamentary events hosted by the Northern Ireland Assembly. |
Assembly Commission Permanent Retention |
|
Minutes |
End of session |
Permanent |
Corporate value |
Minutes of meetings including Commonwealth Parliamentary Association (CPA). |
Assembly Commission Permanent Retention |
|
Meeting Administration |
Date of meeting |
2 years |
Business need |
Information necessary for the organisation of meetings and events. |
Destroy |
|
Information Packs provided for visits and conferences |
Date of meeting or conference |
After meeting/ conference |
Business need |
Destroy hard copy packs. |
Destroy |
Public Outreach
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Event organisation |
End of event |
5 years |
Business need
|
Information gathered in planning and delivery of events. Attendee lists as per security retention policy. |
Destroy |
|
Enquiries/ information requests |
End of calendar year |
1 year |
Business need |
The activities involved in responding to requests for information concerning Outreach services. |
Destroy |
|
Forms/questionnaires |
Extract information required for monitoring purposes |
1 month |
Business need |
Feedback form. |
Destroy |
|
ACC hard copy registration forms |
To register people on the ACC database |
1 day |
Business need |
Destroy |
|
|
Reports |
Feedback and event reports |
5 years |
Business need
|
Destroy |
Events
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Events (non-significant) |
End of event |
5 years |
Business need |
Records consisting of event plans, guest lists, and briefs. (Excludes significant visitors and Parliamentary events listed under "Official Visits and Events"). |
Destroy |
|
Event administration |
End of event |
1 year |
Business need |
Event planning records including proformas, programmes, and emails pertaining to the event. |
Destroy |
|
Declined events |
End of mandate |
1 year |
Business need |
Documentation supporting decisions. |
Destroy |
|
Exhibitions |
From the end of the exhibition |
1 year |
Business need |
The activities involved in organising exhibitions held by the Assembly. |
Destroy |
|
Guest details |
Date of the event |
1 day |
Business need |
Guest names and vehicle details. |
Destroy |
|
Event/Tour feedback form |
Receipt of feedback |
2 weeks |
Business need |
Information gathered for monitoring purposes only. |
Destroy |
|
Sponsorship form (Electronic) |
Date of issue to sponsor |
5 years |
Business need |
This includes title, brief description of the event, sponsor's name and date of approval. |
Destroy |
|
Room booking application |
Date of booking |
1 year |
Business need |
This includes title, brief description of the event, and name of primary sponsor. |
Destroy |
Education Service
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Event Organisation |
End of event |
5 years |
Business need |
Information gathered in planning and delivery of events. |
Destroy |
|
Visits |
Booking |
10 years |
Business need |
Information used to communicate with stakeholders. |
Destroy |
|
Resource Development |
Completion of resource |
5 years |
Business need |
Information gathered in the process of developing Education Service resources. |
Destroy |
|
Services Enquiries |
End of year |
1 year |
Business need |
Requests concerning Education Service activities. |
Destroy |
|
Placement Students |
End of placement |
1 month |
Business need |
Student details Itineraries. |
Destroy |
|
Project participation details |
End of project |
1 year |
Business need |
Participant details. |
Destroy |
|
Meetings |
Meeting date |
5 years |
Business need
|
Minutes, action points. |
Destroy |
|
Procurement information |
Delivery of products |
6 years |
The Limitation (NI) Order 1989 |
Information pertaining to the purchase of products or hire of services. |
Destroy |
|
Indemnity Forms |
Date of event |
6years |
The Limitation (NI) Order 1989 |
e.g. Photographic consent.
|
Destroy |
|
Reports |
End of mandate |
5 years |
Business need |
Project reports, Annual reports. |
Destroy |
Student Placements
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Work Experience Student Placements |
On completion of placement |
1 month |
Business need |
Student details and correspondence regarding placement. |
Destroy |
|
Work experience application forms |
End of placement |
Retain until the end of the academic year |
Business need |
If applicants do not accept placement offer the application form will be destroyed following confirmation from applicant. |
Destroy |
|
Indemnity forms |
On receipt |
3 years |
The Limitation (NI) Order 1989 |
Retained for insurance purposes. |
Destroy |
|
Work experience feedback questionnaire |
On receipt |
1 year |
Business need |
No personal details held. Forms retained for monitoring of the work experience programme only. |
Destroy |
Information Systems
IT Systems Management and Development
Assembly Commission Staff Request Forms
IT Systems management and development
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Third Party Systems (Operational documentation)
|
Last action |
5 years |
Business need |
Destroy |
|
|
In-house applications
|
On production of record |
Lifetime of application |
Business need |
Destroy |
|
|
Manuals
|
Lifetime of application |
1 year |
Business need |
Destroy |
|
|
Operations Logs |
Closed daily |
6 months |
Business need |
Log of activity on the network, including Internet and email, log on and log off details. |
Destroy |
|
Records of the operational management of IT systems |
Decommission of system |
1 year |
Business need |
Includes change controls, requests for change, modifications and maintenance of the IT system. |
Destroy |
|
New IT account requests |
Completion of account creation
|
2 years |
Business need |
Destroy |
|
|
Tracking Logs |
On production of log
|
1 year |
Business need |
Destroy |
|
|
Software development |
On receipt of record |
Permanent |
Corporate value |
Software lifecycle documentation. |
Assembly Commission Permanent Retention |
|
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 |
Business need |
Systems log |
Destroy |
|
Records of software licences for live IT systems
|
End of licence |
5 years |
Business need |
Destroy |
IT Systems User Support
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
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
|
Business need |
The activities involved in handling fault reports from IT users, and the action taken to resolve reported faults and includes retrieval of information requests. |
Destroy |
|
Records requesting Bring Your Own Device (BYOD) access
|
When superseded |
3 months
|
Business need |
Requests for BYOD access must be re-authorised on an annual basis. |
Destroy |
|
Assembly Commission Staff Accounts
|
On creation of account |
When superseded |
Business need |
Destroy |
|
|
Party Support Accounts |
Disable pending review at end of mandate |
End of mandate |
Business need |
At the end of a mandate all Party Support accounts are disabled. The party whip reviews this information following election and advises accounts to be reactivated. |
Destroy |
Assembly Commission Staff Request Forms
Includes access authorisation
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Requests for access to sensitive information |
On receipt of request form |
Lifetime of application |
Business need |
E.g. CINTRA system etc.
|
Destroy |
|
Routine request forms |
Completion |
2 years |
Business need |
Information not of a sensitive nature - this could be confirmed by authoriser. |
Destroy |
|
Members'/Party Support Requests
|
End of mandate |
2 years |
Business need |
Destroy |
Data Management
Back-up tapes
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Daily back-up tapes
|
End of current day |
1 week |
Business need |
Tapes are overwritten when reused.
|
Destroy |
|
Weekly back-up tapes
|
End of current week |
1 month |
Business need |
Tapes are overwritten when reused.
|
Destroy |
|
Monthly back-up tapes |
End of current month |
6 months |
Business need |
Tapes are overwritten when reused.
|
Destroy |
|
Operation of data back up and archiving routines |
From date of record |
1 year |
Business need
|
Recorded daily. |
Destroy |
|
Email tracking/monitoring log |
On production of log / or closure of investigation |
1 year
|
Business need / Information Assurance Policy |
In the event of an investigation within the Assembly Commission in regards to e.g. unauthorised disclosure, email tracking /monitoring log should NOT be disposed until the investigation or inquiry is complete. |
Destroy |
|
Contract Management |
End of contract |
5 years |
Business need, The Limitation (NI) Order 1989 |
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 for over £30k contracts. See Procurement for further information regarding Contract Management |
Destroy |
ICT Projects
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Project Documentation (PIDs, briefs, plans, framework documents etc.) |
Close on project completion |
Greater of 5 years or 1-year past life of system |
Business need |
Includes installation and testing, specifications. |
Destroy
|
Inventory
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Record of Loss/Disposal
|
Loss/disposal of item |
6 years |
Business need |
Destroy |
|
|
Assembly Information Management System (AIMS) System |
On production of record |
Permanent |
Corporate value |
Information on MLAs, procedural business of the Assembly; lists of Members' 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. |
Assembly Commission Permanent Retention
|
Corporate Services
Financial Management
Payroll/Pension Administration for Assembly Commission Staff
Members' Payroll Administration
Members Pension Administration
Members' Support Staff, and Party Support Staff
Assembly Commission Services to the Trustees
We have a legal obligation to ensure that any salary, pensions and allowances are regulated, paid and administered in accordance with the provisions in The Assembly Members (Salaries and Expenses) Determination (Northern Ireland) 2016 (as amended) and as provided in The Assembly Members (Pensions) Determination (Northern Ireland) 2016. The Determinations were made under Assembly Members (Independent Financial Review and Standards) Act (Northern Ireland) 2011.
We will process your personal information to fulfil our legal obligations under any present or future legislation or regulation, such as, in relation to Companies Act 2006, Her Majesty's Revenue and Customs (HMRC) and National Fraud Initiative (NFI), where have a legal obligation under Audit and Accountability (NI) Order 2003, articles 4A to 4H, to take part in the exercise.
Note: As outlined in section 4, the retention period is only applied when the files have been formally closed, typically this occurs after the Annual Report and Accounts have been signed off.
Asset Management
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Fixed Asset Records
|
End of financial year |
6 years |
Business need |
Records documenting the value of the Assembly capital assets.
Including invoices and Disposal Logs. |
Destroy |
Budget
|
Record |
Trigger (event that prompts start of retention period) |
Retention Period |
Legislation/ Reason |
Notes |
Final Action |
|
Records/Schedules - for preparation of budget
|
End of financial year |
6 years |
Business need |
Includes electronic records kept on 'S' and 'O' drives. |
Destroy |
|
Actual v budget reports, monthly expenditure reports, variance analysis
|
End of financial year |
6 years |
Business need |
Electronic records on 'O' drive. |
Destroy |
|
DoF budget returns
|
End of financial year |
6 years |
Business need |
Central Expenditure Division (CED) monitoring |
Destroy |
Statutory Accounting
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Final copy of accounts
|
On approval of accounts |
Permanent |
Corporate value |
Assembly Commission Permanent Retention |
|
|
Accounting schedules and working papers |
Post year end approval of accounts |
6 years |
Business need |
Includes interim and year-end audit files including recs and necessary journals. Personal information to be deleted if papers are kept.
Review to consider extension for extraordinary years. |
Destroy |
|
DoF Financial Returns |
End of financial year
|
6 years |
Business need |
Destroy |
|
|
Statutory monitoring returns (for example National Fraud Initiative, National Statistics return) |
On completion of return |
2 years |
Business need |
Information held electronically. Base forms held to resolve any queries at the time of return completion or data match queries relating to National Fraud Initiative (NFI).
|
Destroy |
Book-keeping
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Gifts and Hospitality records |
End of financial year |
6 years |
Business need |
Details of official engagements both attended and declined by the Assembly Commission staff - held centrally by Finance Office. |
Destroy |
|
Monthly Accounts |
End of financial years |
6 years |
Business need |
Information kept on 'S' drive and includes balance sheet reconciliations and working paper. |
Destroy |
|
Journals |
End of financial year |
6 years |
Business need |
Hard copy destroyed however electronic journals can continue to be run but should not contain personal information Including bank lodgements, chaps recodes 'GJ', 'CFER' and 'GJACC'. |
Destroy |
|
Banking Records
|
End of financial year |
6 years |
Business need |
Hard copy BACS, reports, bank statements destroyed. R drive statements can be destroyed too, however vision report can be run indefinitely on K ledger to re-create information. |
Destroy |
|
Suspense Account Records |
End of financial year |
6 years |
Business need |
Destroy |
|
|
Creditor Payment Statistics |
Signing of annual accounts |
1 year |
Business need |
Destroy |
|
|
VAT Returns |
End of financial year |
6 years |
Business need |
Destroy |
|
|
PECOS new users/ set ups |
End of financial year
|
6 years |
Business need |
Destroy |
|
|
Pay Run Reports
|
End of financial year |
6 years |
Business need |
BACS payments including payroll, PECOS uploads and cheque payments. |
Destroy |
|
Creditors payments - Invoices and credit notes (Inc. PECOS & AP1's) |
End of financial year |
6 years |
Business need |
Hard copies destroyed. Electronic record will remain on PECOS. |
Destroy |
|
Creditor (supplier) set ups |
Final Payment |
7 years |
Business need |
Hard copies are not kept. Annual exercise to destroy electronic copies of creditors that have not been paid in 7 years. Supplier accounts will be closed in SUN. |
Destroy |
|
Assembly Commission staff expense claims |
End of financial year |
6 years |
Business need |
Destroy |
|
|
Assembly Commission staff travel claims
|
End of financial year |
6 years |
Business need |
Destroy |
|
|
T&S - Car insurance documents |
On receipt of record |
1 year
|
Business need |
Destroy |
|
|
Bank reconciliations
|
End of financial year |
6 years |
Business need |
Hard and soft copies destroyed. |
Destroy |
|
Reconciliation of Salaries |
End of financial year |
6 years |
Business need |
Destroy |
|
|
Electronic Procurement card travel journal and backup |
End of financial year |
6 years |
Business need |
Documents relating to procurement card journal maintained by travel section. |
Destroy |
|
Procurement card statements and transaction reports
|
End of financial year |
6 years |
Business need |
Includes documents relating to procurement card journal maintained by Travel section as well as Bookkeeping section. |
Destroy |
|
Procurement card Application Forms |
Withdrawal of Procurement card |
3 months |
Business need |
Destroy |
Members' Financial Services
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Members' Constituency Office Expenditure Forms
|
End of financial year |
Later of 6 years or 1 complete mandate |
Business need |
Approval to destroy must be sought from AG4. Papers include COOE form, Establishment form, Declined payment expenses, Recall expense, Disability expenses form PIID forms. Electronic and paper copies. |
Destroy |
|
Declaration forms |
End of financial year |
6 years /1 complete mandate |
Business need |
Papers include declaration of compliance, declaration of winding up, signature verification form, sharing accommodation form and ATA records. Electronic and paper copies. |
Destroy |
|
Party Allowance Claim Forms
|
End of financial year |
6 years / 1 complete mandate |
Business need |
Destroy |
|
|
Whips Allowance Claim Forms |
End of financial year |
6 years / 1 complete mandate |
Business need |
Destroy |
|
|
Constituency Office Rent agreements
|
On vacation of premises |
6 years / 1 complete mandate
|
Business need |
Includes copy of lease, rental declaration and signage evidence. Paper and electronic copies.
|
Destroy |
|
Details of salary payments, commitments and reconciliation (Members staff and Party staff) |
On approval/ completion of audit |
1 year |
Business need |
Electronic location S drive/ members/ salary information section: Commitment calculations, salary spreadsheets, associated backup and payroll uploads. |
Destroy |
|
Travel Details MMA 1
|
When MLA ceases to be an MLA or moves address |
6 years /1 complete mandate |
Business need |
New Determination has made MMA1 forms and associated mileage claims redundant however they are still maintained until the end of this mandate. |
Destroy |
|
Contact details (MLA contact details i.e. constituency office addresses, home address, phone numbers etc.)
|
End of financial year following receipt of MF15 (Declaration of Completion of Winding Up) or Member moves address |
1 Year |
Business need |
Telephone details maintained - necessary for authorisation of telephone bills. Electronic location 'S' drive/members/information spreadsheets & Members folders. Paper and electronic copies. Maintain until completion of audit. |
Destroy |
|
Car Insurance documents |
On receipt of record |
End of financial year if certificate has expired in that year. |
Business need |
Insurance documents. |
Destroy |
Payroll/Pension Administration for Assembly Commission Staff
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Bank details - current |
End of Financial year following termination of employment |
6 years after leaving |
Business need |
iTrent maintains only current bank details and can be changed online by staff. Hardcopy kept in payroll file - provided by HR as part of recruitment process. |
Destroy |
|
Month end payroll audit file |
End of financial year |
6 years |
Business need |
Include month end reports and salary information (also includes electronic files (F and S Drives). |
Destroy |
|
Payroll documents |
End of financial year following leaving date |
6 years |
Business need |
Excess hours and overtime claims (including insurance document). Overpayment documentation. Electronic calculations maintained on S Drive. Communications, payroll input calculations, receipts, etc. maintained in payroll file. Underpayment documentation (for example of pension contributions, annual leave). Include details of loan repayment. Travel (taxi payments). Work to home approval form, business case, receipt. Third party claims. Payroll calculations; copy cheque; communications. Voluntary deductions. Earnings assessment, invoices, correspondence, payment confirmation and any other related information. Child care vouchers information. Cycle to work - includes hire agreement and invoices. Statutory Sick Pay (SSP) forms. SSP1 and trigger communications. Passport/Birth certificate (cease National Insurance). Instruction to pay (HR) for deputising/temporary promotion, substitution allowance and/or overtime excess travel related claim. Claim form and includes TOIL (time off in lieu). |
Destroy |
|
Payroll history |
End of employment |
Until data subject is aged 76 or 6 years after leaving (whichever is later)
|
Business need/ Pension Administration |
Includes: record of pay, performance pay, overtime pay, allowances, pay enhancements, other taxable allowances, payment for untaken leave, reduced pay, maternity/paternity/adoption/parental pay, unpaid leave periods, occupational sick pay periods (full, half and off pay), Pension Rate of Pay, pension contributions including Added Years, AVCs and Added Pension. Only summary information held. |
Destroy |
|
Death certificates |
End of Financial year following receipt |
6 years
|
Business need |
Return original to provider, copy sent to CSP and copy retained.
|
Destroy |
|
Decree absolutes |
End of Employment |
6 years |
Business need |
Return original to individual, copy sent CSP and copy retained. |
Destroy |
|
Marriage certificates and documentation relating to civil registration |
End of Employment |
6 years |
Business need
|
Return original to individual, copy sent to CSP and copy retained. |
Destroy
|
|
Underpayment of pension contributions documentation |
After payment of write-off |
6 years |
Business need |
Destroy |
|
|
Personal payroll history |
On production of record |
Until data subject is aged 76 or 6 years after leaving (whichever is later)
|
Pensions administration/ Business need |
Includes: record of pay, performance pay, overtime pay, allowances, pay enhancements, other taxable allowances, payment for untaken leave, reduced pay, maternity/paternity/adoption/parental pay, unpaid leave periods, Occupational sick pay periods (full, half & off pay), Pension Rate of Pay, pension contributions including Added Years, AVCs, Added Pension and EPA. Only summary information held. |
Destroy |
|
Monthly transfer of pension contributions to CSP and AVC/partnership providers |
On production |
6 years |
Pensions administration/ Business need |
AP1s, contribution schedules, payment templates. |
Destroy |
|
Hartlink CSP Interface (Penserver) monthly files |
On production |
6 years |
Pensions administration/ Business need |
Penserver files for each month, CSP feedback. |
Destroy |
Members' Payroll Administration
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Bank details - current |
End of financial year following leaving date |
6 years after leaving |
Business need |
Current bank details maintained in iTrent and in electronic (S Drive - Members section) and hard copy on Members payroll file. |
Destroy |
|
Payroll documents |
End of financial year following leaving date |
6 years or 1 complete mandate (whichever is later) |
Business need |
Unpaid leave periods Overpayment/underpayment documentation (Includes calculation sheets and letters). Passport/Birth certificate (cease National Insurance). Resignation, retirement (includes resettlement calculation sheets, documentation and evidence, if applicable). Travel allowances, payment and deductions. Details of additional voluntary contributions. This information will be held by the AVC provider.
All payroll records for Members can be destroyed apart from any documents relating to break in service record. When Member leaves this data should be passed to Pensions file to form part of the Members deferred paper file. |
Destroy |
|
Month end payroll audit file |
End of financial year |
6 years |
Business need |
Include month end reports and salary information (also includes electronic files ('F' and 'S' Drives)). |
Destroy |
|
Payroll history |
End of Employment |
Until data subject is aged 76, or 6 years after leaving (whichever is later)
|
Business need, Pension Administration |
Includes: record of pay, allowances, office holders' payment, other taxable payments, reduced pay, no pay, pension contribution history. Summary information held only. |
Destroy |
|
Pension awards |
End of employment |
Until data subject is aged 76, or 6 years after leaving (whichever is later) |
Pensions administration. Business need |
Pension awards records maintained in Payroll and Pensions. |
Destroy |
|
Members details for Assembly Members' Pension Fund Accounts purpose |
End of financial year |
Until data subject is aged 76, or 6 years after leaving (whichever is later) |
Pensions administration, Business need |
Includes: Full name, National insurance, payroll number, activity number, pensionable pay, contributions paid, communication letters, refund calculations, confirmation of refund payment to HMRC and former member, Members pension options choice (necessary for accounting recognition only) amount of lump sum, transfers in and out. |
Destroy |
|
Medical Reports |
End of financial year following final payment |
6 years |
Business need |
Includes specialist reports, associated internal paperwork and payroll instruction. |
Destroy |
Members' Pension Administration
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Bank details - current |
End of Membership |
6 years |
Business need |
Destroy |
|
|
Death in Service Benefit Nomination and Revocation Forms |
End of Employment or superseded |
6 years
|
Business need |
Destroy |
|
|
Death certificates |
Expiration of Pension Liability |
6 years |
Business need |
Return original to provider, copy to be retained.
|
Destroy |
|
Decree absolutes |
Expiry of Pension Liability |
6 years |
Business need |
Return original to individual, copy to be retained. |
Destroy |
|
Marriage certificates and documentation relating to civil registration |
Expiration of Pension Liability |
6 years |
Business need |
Return original to individual, copy to be retained. |
Destroy |
|
Partner Declaration Forms |
Expiration of Pension Liability |
6 years |
Business need |
Destroy |
|
|
Payroll history |
On production or receipt of record |
Until data subject is aged 76, or 6 years after leaving (whichever is later) |
Pensions administration, business need |
Includes: record of pay, office holder pay, reduced pay, no pay, pension contribution history. |
Destroy |
|
Pension awards |
Expiration of Pension Liability |
6 years |
Pensions administration, business need |
Pension application forms, pension award letters, commutation forms, new pension notifications, AVC paperwork (if appropriate). |
Destroy |
|
Medical Reports |
Date of report |
6 years |
Business need |
GP reports, Specialist reports, Occupational Health and Safety (OHS) reports. |
Destroy |
|
Transfers In |
Commencement of pension payments |
6 years |
Business need |
Transfer in application and paperwork from previous scheme; signed confirmation of transfer and final amount of transfer; service credit letter. |
Destroy |
|
Transfers Out |
On production or receipt of record |
Until data subject is aged 76 or 6 years after leaving (whichever is later) |
Business need |
Transfer out application, signed paperwork from receiving scheme, signed confirmation of transfer and details of payment to receiving scheme. |
Destroy |
|
Pension Increase Letters/Data Cleanse forms |
On production or receipt of record |
Until superseded |
Pension administration, Business need |
Destroy |
|
|
Refund of Contributions |
On production/ receipt of record |
Until data subject is aged 76 or 6 years after leaving (whichever is later) |
Pension administration, business need |
Service and contribution summary, refund calculation, signed paperwork and confirmation of payment to former member and HMRC. |
Destroy |
|
Dependents Pensions |
Expiration of Pension Liability Former Member |
6 years |
Pension administration, Business need |
Spouse and child pension application form, copy of spouse/ child birth certificate, copy of marriage certificate/civil partnership certificate/partner declaration form (if appropriate). |
Destroy |
|
Members' details for pension purposes
|
Commencement of pension payments |
6 years |
Pension administration, Business need |
Full name and date of birth; National Insurance number; Pensionable pay at leaving; Reckonable service for pension purposes (and actual service where this is different, together with reasons for the difference); Last day of service and reason for leaving; Amount and date of any Contributions; Equivalent Premium paid - amount of any lump sum gratuity paid, Pension Sharing Orders; All other papers relating to pension not listed above (e.g. break in service payroll records, papers about pension of other employment; papers about other dependant's pensions; and Correspondence with pension administrators, or the individual and his/her representatives about pension matters. |
Destroy |
|
Annual Benefit Statements/Annual Allowance Statements |
On production |
Until superseded |
Business need |
Destroy |
|
|
Additional Voluntary Contributions (AVC) |
Commencement on pension payments |
6 years |
Pension administration, business need |
AVC annual statement. |
Destroy |
Members' Support Staff and Party Support Staff
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Written particulars of employment
|
End of financial year following leaving date |
6 years or 1 complete mandate (whichever is later) |
Business need |
Contracts of employment; name, date of birth, National Insurance number, address, e-mail, pay and employer and employee pension contributions. Changes to terms and conditions. Where a Member is still serving, seek confirmation from Member in relation to destroying documents. |
Destroy |
|
Personal payroll history |
End of employment |
Until data subject is aged 76, or 6 years after leaving (whichever is later) |
Business need |
Includes: record of pay, performance pay, overtime pay, allowances, pay enhancements, other taxable allowances, payment for untaken leave, reduced pay, no pay, maternity pay and other maternity pay. Summary information held on iTrent only. |
Destroy |
|
Breakdown of payment to Pension company |
On production |
6 years |
Pensions administration, Business need |
Held for balance sheet record purposes: includes employer and employee contribution. |
Destroy |
|
Month end payroll audit file |
End of financial period |
6 years |
Business need |
Include month end reports and salary information (also includes electronic files ('F' and 'S' Drives)). |
Destroy |
|
Unpaid leave periods |
End of Employment |
Until data subject is aged 76, or 6 years after leaving (whichever is later) |
Business need |
Breaks in service maintained for pension purposes. Hard copy only. iTrent record maintained and covered in 'Written particulars of employment'. |
Destroy |
|
Payroll documentation |
End of financial year following leaving date |
6 years /1 complete mandate (whichever is later) |
Business need |
Statutory Sick Pay (SSP) forms; Passport/Birth certificate (cease National Insurance); Bonus nominations (Party/Whips staff only); Payroll input forms (hard copy on payroll file and electronic in 'S' Drive); Redundancy details (Includes: calculations of payments, refunds, notification.); Resignation or termination; Overpayment/underpayment documentation (Payroll calculations, receipts and communications); Statutory sickness/maternity and other maternity pay documents; Instruction from Members (as the employer) regarding leave and attendance of staff (including dates of sick absence); Papers relating to third party claim; Bank details - current; Variation of hours (Calculation sheets for individual/ timesheets and authorisation); recruitment documentation (declaration of compliance on recruitment, job description and job advert). |
Destroy |
Travel
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Travel authorisation forms
|
On completion of audit |
2 years |
Business need |
For Assembly Commission staff and Members. |
Destroy |
|
Personal travel documents
|
Commencement of travel |
Completion of travel |
Business need |
For example, copy of passport. |
Destroy |
|
Travel supporting documentation |
On completion of audit |
2 years |
Business need |
For Members' and Assembly Commission staff, includes business justification. |
Destroy |
Public Appointments
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Payroll Details |
End of appointment |
6 years |
Business need |
Includes contract of employment and details of terms and conditions for pay calculation and expense payments. |
Destroy |
Insurance
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Insurance claim |
Date case is closed |
6 years |
Business need |
Includes all case notes.
|
Destroy |
|
Insurance documents |
End of financial year
|
6 years |
Business need |
Includes annual renewal documents etc. |
Destroy |
Assembly Commission Services to the Trustees of the Northern Ireland Assembly Members Pensions Scheme (NIAMPS)
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Trustee Meetings |
On production |
20 Years
|
Business need |
Meeting packs, chairs brief, agreed minutes.
Discontinued Function |
Destroy |
|
Valuation Reports |
On production |
20 Years |
Business need |
Final Triennial Valuation reports Scheme Actuarial Factors
Discontinued Function |
Destroy |
|
Annual Report and Accounts |
On production |
20 Years |
Business need |
Final Report and Accounts Final NIAO Audit Report
Discontinued Function |
PRONI Permanent Preservation |
|
Statement of Investment Principles |
On production |
20 Years |
Business need |
Final SIP Final Investment Strategy
Discontinued Function |
Destroy |
Human Resources
Staff Performance, appraisal and development
Planning
The activities involved in identifying the workforce competencies and numbers required to implement the Northern Ireland Assembly's strategic plan and determining how to meet these requirements.
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Assessment and analysis of workforce requirements |
End of calendar year |
3 years |
Fair Employment (Northern Ireland) Order 1998, gender pay gap (Employment (NI) Act 2016. |
Activities include analysing and reporting on the size, composition, structure and competencies of the Assembly's workforce. |
Destroy |
|
HR section of Members' handbook |
On production of the handbook |
Permanent |
Corporate value |
Assembly Commission Permanent Retention |
Job Evaluation
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Pay and grading |
When superseded |
6 years |
Business need, The Limitation (NI) Order 1989. |
Activities include developing role descriptions and conducting role evaluations to assign roles to grades in a salary structure. |
Destroy |
Personnel files
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Written particulars of employment
|
On production |
Until data subject is aged 76, or 6 years after leaving (whichever is later) |
Business need, Pension administration, litigation. Statutory Sick Pay (General) Regulations (Northern Ireland) 1982 requires records to be kept for 3 years |
Contracts of employment. Names, date of birth, national insurance number, service and grade. Changes to terms and conditions, includes application forms, variation of hours, recruitment and selection documents, promotion/deputising and/or substitution documentation, interchange agreements, resignation, retirement or termination letter including redundancy or VES. |
Destroy |
|
Current address details |
End of Employment |
6 years |
Business need |
Destroy |
|
|
Special leave
|
After last action |
3 years
|
Business need |
Destroy |
|
|
Voluntary Exit Scheme |
After last action |
6 years |
The Limitation (NI) Order 1989 |
Scheme documents, calculations, selection process, applicant information, selected/not selected letters. |
Destroy |
|
Qualifications/references |
End of employment |
6 years |
Business need |
Destroy |
|
|
Working Time Directive opt-out forms |
After opt-out has rescinded or has ceased to apply |
3 years |
Pension administration, litigation. Statutory Sick Pay Regulations 1982 |
Destroy |
|
|
Records required for pension purposes |
End of employment |
Until data subject is aged 76 or 6 years after leaving (whichever is later) |
CIPD recommendation, The Limitation (NI) Order 1989 |
To include grade, salary, hours of work, pay history including bonuses and allowances, periods of absence which affect pay e.g. maternity, career break and sick absence. |
Destroy |
|
Acknowledgement of receipt of Dignity at Work, Equal Opportunities and Social Media Policies |
End of employment |
6 years |
Business need, The Limitation (NI) Order 1989 |
Destroy |
|
|
Signed Duty of Confidentiality form
|
End of employment |
1 year |
Business need, The Limitation (NI) Order 1989 |
Destroy |
Sick Absence/ Health
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Sick Absence |
After last action on absence or related management intervention |
4 years |
Business need, Statutory Sick Pay Regulations 1982 |
Medical/Self Certificates. Return to work interviews |
Destroy |
|
Sick absence record |
End of employment |
6 years, if loss of pay keep record until employees 100th birthday for pension purposes |
Business need, The Limitation (NI) Order 1989, Art 13 of the Statutory Sick Pay (General) Regulations (NI) 1982 requires records retained for 3 years if employee sick for 4 or more consecutive days in a tax year. Sick/Statutory Sick Pay Regulations 1982 |
Dates and reason for absence, Includes periods of phased return. |
Destroy |
|
Adjustment to work place |
End of employment |
6 years |
Management of Health and Safety at Work (NI) Regulations 2000 |
OHS reports, other medical advice, details of adjustment.
The order requires employer to keep records of assessment of risks to health and safety of employees. The assessment needs to be reviewed. |
Destroy |
|
Health referrals, including medical reports from doctors and consultants, correspondence with Occupational Health |
After last action or related management intervention |
6 years |
The Limitation (NI) Order 1989 |
OHS referrals and reports. Addiction NI referrals and reports |
Destroy |
|
Welfare Papers |
After last action on absence or related management intervention |
6 years |
Business need |
Welfare reports, stress questionnaires. |
Destroy |
|
Papers relating to injury on duty |
End of employment
|
6 years after leaving If injury involved hazardous substance/asbestos/lead retain for 40 years. |
The Limitation (NI) Order 1989 |
Includes medical certificates in relation to injury on duty. |
Destroy |
|
Application for temporary access to Upper Car park on medical grounds |
End of period of access |
6 months |
Business need |
Destroy |
|
|
Employee exposure to Lead |
Date of last entry |
40 years |
Control of Lead at Work Regulations 2002
|
Includes potential exposure. |
Destroy |
|
Employee exposure to Asbestos
|
Date of last entry |
40 years |
Control of Asbestos (Northern Ireland) Regulations 2012 |
Includes potential exposure. |
Destroy |
|
Compressed Air
|
Date of last entry |
40 years |
Work in Compressed Air (Northern Ireland) Regulations 2004 |
Destroy |
|
|
Radiation |
After last entry |
50 years |
Ionising Radiation Regulations 2006 |
Destroy |
Staff Performance, Appraisal and Development
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Annual/ Performance Review reports |
After end of reporting period |
3 years |
Business need |
Including Record of Performance Conversation held online. |
Destroy |
|
Performance review reports where performance did not meet expectations |
End of employment |
Until pension goes into payment |
Business need |
Impact on pay progression. |
Destroy |
|
Personal Performance Agreement |
After end of reporting year |
3 years |
Business need |
Destroy |
Discipline
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Papers which detail any change to terms and conditions of service, salary, performance pay or allowances arising from a disciplinary penalty. |
After last action |
Until data subject is aged 76, or 6 years after leaving (whichever is later) |
The Limitation (NI) Order 1989 |
Destroy |
|
|
Other disciplinary files where action did not result in any change to terms and conditions of service, salary, performance pay or allowances |
End of live disciplinary period |
As per Disciplinary Policy. |
Business need The Limitation (NI) Order 1989 |
Destroy |
|
|
Capability papers
|
After last action |
As per Capability Policy. |
Business need |
Destroy |
Grievance and Dignity at Work
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Case files (correspondence, minutes, etc.)
|
Closure of case |
6 years |
The Limitation (NI) Order 1989 |
Includes tribunal papers. |
Destroy |
|
Mediation Notes |
On production |
End of mediation process |
Business need |
Notes are generally not taken during mediation. However, if notes are required a copy will be provided to all parties. All notes will be destroyed at the end of the mediation process. Notes are not held by HR. |
Destroy |
Recruitment
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Recruitment authorisation
|
Closure of merit list |
1 year |
Business need |
Destroy |
|
|
Vacancy advertisement and enquiries |
Closure of merit list |
1 year |
Fair Employment Code of Practice, business need |
Includes request for application forms and interest circulars. |
Destroy |
|
Recruitment documentation for non-appointed applicants. |
Closure of merit list |
1 year |
Business need Fair Employment Code of Practice |
Includes e-mail addresses used to set up online account. |
Destroy |
|
Health Declaration |
End of employment |
6 years |
Management of Health and Safety at work Regulations (Northern Ireland) 2000 |
Includes referrals to OHS for medical. |
Destroy |
|
Public Appointments for appointees |
End of appointment |
1 year |
Business need |
IFRP, ACARC, NIPSO, Commissioner for Standards.
|
Destroy |
|
Public Appointments - non-appointees
|
End of merit list |
1 year |
Business need |
IFRP; ACARC, appointments of Members. |
Destroy |
|
Inward secondments
|
End of secondment |
1 year |
Business need
|
Includes signed secondment. |
Destroy |
|
Agency Workers |
End of placement |
1 year |
Business need |
Name and invoices from Agency.
|
Destroy |
|
Interchange applications |
Closing date for applications |
1 year |
Business need |
Destroy |
HR Policy
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Handbook |
When superseded
|
6 years |
Business need, The Limitation (NI) Order 1989 |
Destroy |
|
|
Circulars |
When superseded |
6 years |
Business need, The Limitation (NI) Order 1989 |
Destroy |
Monitoring
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Equal opportunities (monitoring forms) |
Completion of annual return |
4 years |
Information held electronically. Base forms held to resolve any queries at time of return completion.
|
Destroy |
Learning and Development
The activities involved in providing training and development for Assembly Commission staff.
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Development of training and development programmes including induction |
When superseded |
1 year |
Business need |
Includes, training material, training administration. |
Destroy |
|
Training record including proof of completion (certificates, awards, exam results, etc.)
|
On completion |
6 years after leaving |
Business need- multiple statutes require employer to train employees on different areas, The Limitation (NI) Order 1989 |
Includes support through Further Education.
|
Destroy |
|
Training feedback |
Completion of analysis of feedback |
1 year |
Business need |
Destroy |
|
|
Analysis of the impact of training and development programmes
|
On completion of relevant annual training report |
1 year |
Business need |
Destroy |
Employee Relations
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Trade Union agreements |
End of period to which agreement applies |
1 year |
Business need |
Joint agreement e.g. working arrangements. |
Destroy |
|
Trade Union Meetings |
End of financial year |
3 years |
Business need |
Agenda, minutes, papers. |
Destroy |
|
Pay and conditions |
When superseded |
6 years |
Business need |
Documents detailing negotiation with Trade Union regarding pay and conditions. This includes policy issues. |
Destroy |
Equality and Good Relations
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Action Plans - (including working papers, SMT/Commission papers, approved final plan, etc.) |
When superseded.
|
6 years |
Business need
Relevant legislation, policies, guidance: s75 of the Northern Ireland Act 1998; Disability Discrimination Act (DDA) 1995; Assembly Commission Equality Scheme. |
For example, the Disability Action Plan, the Gender Action Plan and the Good Relations Action Plan. Final action plans are published on the website. A separate file is to be created for public consultations on these action plans - see 'consultations' below.
|
PRONI Appraisal |
|
Annual Reports to the Equality Commission
|
When superseded |
6 years |
Business need
|
Published on Assembly website. |
PRONI Appraisal |
|
Audit of Inequalities |
When superseded |
6 years |
Business need
|
The retention period for a review of the Audit of Inequalities will be the same - i.e. standard retention period of 6 years once review is superseded. Audits and reviews are published on Assembly website. |
PRONI Appraisal |
|
Complaints received under the equality scheme's complaints procedure (section 75 complaints) |
When response issued by Equality and Good Relations Unit |
3 years
|
Business need
|
A file copy may be kept electronically for longer than 3 years but all personal data must be redacted from this copy. Other business areas holding personal information relating to the complaint are responsible for disposal of their records. Relevant legislation, policies, guidance: s75 Northern Ireland Act 1998; Assembly Commission Equality Scheme. |
Destroy |
|
Complaints/comments received in relation to policy screening, and general equality queries and comments
|
When response issued by Equality and Good Relations Unit |
3 years (A file copy may be kept electronically for longer than a year but all personal data must be deleted/redacted from this copy. Other business areas holding personal information relating to the complaint are responsible for disposal of their records) |
S75 of the Northern Ireland Act 1998 |
Although business areas are responsible for the policy screening, the Equality and Good Relations Unit will hold information relating to comments/complaints on screening. Responses to comments/complaints may include reference to several different policies if, for example, they are comments arising from a quarterly screening return.
|
Destroy |
|
Consultations (public and staff) |
When superseded |
6 years |
s75 of the Northern Ireland Act 1998 |
For example, consultations on language policy, Good Relations Action Plans, Disability Action Plans, EQIA. Files to be marked restricted. |
Destroy |
|
Disability Action Plan - five-year review |
When superseded
|
6 years |
Disability Discrimination Act (DDA) 1995 Section 75 of the Northern Ireland Act 1998 |
Five-year review will be published on Assembly website. |
Destroy |
|
Disability Working Group - minutes and agendas |
End of mandate |
3 years |
Business need |
Minutes and membership are published on the Assembly website. (Minutes and agenda held electronically. No registered file required.) |
Destroy |
|
Equality Impact Assessments (EQIAs) |
Publication of report on results of EQIA
|
6 years |
S75 of the Northern Ireland Act 1998 Equality Commission for Northern Ireland Guide for Public Authorities on S75 of the Northern Ireland Act 1998 |
For example, Flag EQIA. Information relating to EQIAs conducted by other business areas to be retained by relevant business area for 6 years.
Stage 7 of the EQIA process is monitoring for adverse impact. Monitoring will include review of progress with regard to any mitigating measures recommended in the EQIA report. Monitoring updates will be included in Annual Reports to the Equality Commission, which have a separate retention period. |
Destroy |
|
Equality Scheme |
When superseded
|
6 years |
s75 of the Northern Ireland Act 1998 |
Equality Commission determine how often the Equality Scheme is reviewed.
|
Destroy |
|
Policy development |
When policy is superseded, or, if policy is not renewed, end of mandate |
6 years |
Business need |
Destroy |
|
|
Procurement (for equality projects) e.g. procurement of translation services, consultants to facilitate EQIAs |
Award of contract |
Until end of successive contract and in any case no less than 6 years from trigger |
Business need, The Limitation (NI) Order 1989 |
Relevant legislation, policies, guidance: Assembly Procurement Office guidance and procedures. |
Destroy |
|
Screening forms of policies owned by the Equality and Good Relations Unit
|
When policy is superseded |
6 years |
s75 of the Northern Ireland Act 1998 |
Policy screening documents are to be retained for 6 years. The Equality Unit publishes the screening forms on the Assembly website on a quarterly basis as required by the Equality Commission. |
Destroy |
Management, Policy and Planning
Strategic and Business Planning
Business Performance Management
Audit
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Final Internal Audit Reports |
Final consideration by Assembly Commission Audit and Risk Committee (ACARC) |
6 years |
Business need |
'Secretariat Audit and Risk Committee (SARC)' prior to October 2022.
|
Destroy |
|
Report papers used in the course of a fraud investigation |
Completion of legal proceedings |
7 years |
The Limitation (NI) Order 1989 |
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.
|
Destroy |
|
Other Audit Reports |
Final consideration by Assembly Commission Audit and Risk Committee (ACARC) |
5 years |
Business need |
'Secretariat Audit and Risk Committee (SARC)' prior to October 2022. |
Destroy |
|
Terms of reference
|
Completion of audit |
3 years |
Business need |
Destroy |
|
|
Programmes/Plans /Strategies
|
Last date of plan |
1 year |
Business need |
Destroy |
|
|
Minutes of meetings and related papers including those of Assembly Commission Audit and Risk Committee |
End of parliamentary year |
3 years |
Business need |
Destroy |
|
|
Correspondence |
End of Parliamentary year |
3 years |
Business need |
Destroy |
|
|
Working papers |
Completion of audit |
3 years |
Business need |
Destroy |
|
|
Internal audit guides
|
When superseded |
1 year |
Business need |
Destroy |
|
|
Local auditing standards |
When superseded |
1 year |
Business need |
Destroy |
|
|
Manuals and guides relating to Departmental procedures
|
When superseded |
1 year |
Business need |
Destroy |
|
|
Annual Report to Accounting Officers
|
On creation of record |
3 years |
Business need |
Destroy |
Strategic and Business Planning
The activities involved in developing the Assembly Commission's strategic plans.
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Strategic and Business Planning - key records |
When superseded |
5 years |
Business need |
Strategic and Business Planning - key records. |
Destroy |
|
Strategic and Business Planning - working papers |
Publication of plan |
6 years |
Business need |
Strategic Planning - working papers. |
Destroy |
|
Corporate Plan |
Financial year end |
20 Years |
Corporate value |
PRONI Permanent Preservation |
|
|
Corporate Plan - working papers |
Publication of plan
|
6 years |
Business need |
Destroy |
Business Performance Management
The activities involved in monitoring the Assembly Commission's key performance indicators, benchmarking and monitoring performance against strategic plans. Activities include developing performance.
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Reports on Assembly Commission performance |
On production of final report |
10 years |
Business need |
Includes Clerk's monthly report to the Assembly Commission.
|
Destroy |
|
Data and analysis of performance |
On production of final report |
10 years |
Business need |
Data on, and analysis of, the Assembly Commission's performance against the strategic plan.
|
Destroy |
|
Monitoring statistics and reports |
End of financial year |
5 years |
Business need |
Internal monitoring of performance. Includes exception reports.
|
Destroy |
|
Assembly Commission Annual Report: Circulated copy
|
On production of final approved report |
20 Years |
Business need |
PRONI currently on circulation list. |
PRONI Permanent Preservation |
|
Assembly Commission Annual Report: Original
|
On production of final approved report |
Permanent |
Business need |
Assembly Commission Permanent Retention |
|
|
Background papers of annual report
|
On production of final approved report |
3 years |
Business need |
Destroy |
Policy and Procedures
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Corporate Policy and Procedures
|
When superseded |
5 years
|
Business need |
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. |
Destroy |
|
Low-level/Office |
When superseded |
6 years |
Business need |
Activities involved in developing and establishing office or low-level policies and procedures. |
Destroy |
|
Working papers (development) |
Approval of policy procedure |
2 years |
Business need |
Destroy |
|
|
Consultation documents
|
End of mandate |
5 years |
Business need |
Destroy |
Organisational Development
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Structure Charts, correspondence regarding restructuring |
When superseded |
6 years |
Business need |
Destroy |
|
|
Survey Information |
When superseded |
5 years |
Business need |
Information regarding Members' and staff surveys. Includes survey report, action plan, monitoring reports and meeting papers. |
Destroy |
Business Continuity
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Business Continuity Plans and related documentation. |
When superseded |
6 years |
Business need, The Limitation (NI) Order 1989 |
Business Continuity plans for the crisis management team, emergency response team and decision report team including the introduction document. Records documenting the formulation, testing and maintenance of the business continuity plans. |
Destroy |
|
Business continuity reports on exercises or incidents |
End of exercise or incidents |
6 years |
Business need, The Limitation (NI) Order 1989 |
Records documenting responses and experiences from business continuity exercises and incidents. |
Destroy |
Risk Management
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Corporate Risk Register |
When superseded |
Permanent |
Corporate value
|
The activities involved in managing risks to the viability or success of the Assembly Commission. NB this is held as part of Assembly Commission Audit and Risk Committee papers which are subject to Assembly Commission Permanent Retention.
|
Assembly Commission Permanent Retention |
|
Directorate Risk Registers |
When superseded |
6 years |
Business need |
The activities involved in managing risks to the success of each Directorate.
|
Destroy |
|
Assurance Statements in relation to Corporate Risk Register |
When superseded |
5 years |
Business need |
Destroy |
|
|
Assembly Commission Audit and Risk Committee Meetings
|
On approval |
Permanent |
Corporate value |
Includes agenda, minutes and papers submitted.
|
Assembly Commission Permanent Retention |
|
Assembly Commission Audit and Risk Committee (ACARC) Annual Report |
On approval |
Permanent |
Corporate value |
Assembly Commission Permanent Retention |
Project Governance Corporate
Records documenting the design of projects and preparation of formal proposals
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Approved projects |
Completion of project |
10 years |
Business need |
Destroy |
|
|
Rejected or deferred projects |
Completion of project/project proposal |
6 years |
Business need |
Destroy |
|
|
Business Case (Project Initiation Documents (PID) and supporting documentation): Minor Projects |
Completion of project |
5 years |
Business need |
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. |
Destroy |
|
Business Case (Project Initiation Documents (PID) and supporting documentation): Major Projects |
Completion of project |
25 years |
Business need |
Records relating to major projects may be kept for second review (25 years). |
Destroy |
|
Records documenting the management of projects |
Completion of project |
10 years |
Business need |
Plans and specifications (statements of requirements, operational requirements, technical plans, resource plans, and budgets, etc.). Reports (stage assessments, quality reviews, highlight reports, GANTT charts). |
Destroy |
|
Financial records of projects |
Please refer to Financial Management |
||||
|
Feasibility studies; Minor Projects |
After issue |
10 years |
The Limitation (NI) Order 1989 |
Reports, draft reports, working papers and correspondence. Records relating to major projects may be kept for second review (25 years). |
Destroy |
|
Feasibility studies: Major Projects |
After issue |
25 years |
The Limitation (NI) Order 1989 |
Records relating to major projects may be kept for second review (25 years). |
Destroy |
|
Project Boards |
After date of last paper |
6 years |
Business need |
Assessment meetings, etc. Minutes and correspondence.
|
Destroy
|
|
Management Meetings |
On agreement of minutes |
6 years |
Business need |
Includes Employee Relations Board Meetings. Internal Communications Group included. |
Destroy |
Building Services
Ownership and occupancy
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Inventory of Artefacts including art |
On production of record |
Permanent |
Corporate value |
Assembly Commission Permanent Retention |
|
|
Contract Management |
End of contract |
6 years |
Business need, The Limitation (NI) Order 1989 |
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. |
Destroy |
|
Maintenance Contract Management |
End of contract |
6 years |
Business need, The Limitation (NI) Order 1989 |
Destroy |
Drawings/ Building Plans
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Building and project plans and drawings |
Last action |
Permanent |
Corporate value |
Plans including working copies, consultants' and contractors' drawings and associated records and manuals. |
Assembly Commission Permanent Retention |
Surveys and Inspections
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Building maintenance and inspections |
Award of contract/ instigation of report or inspection |
Until end of successive contract and in any case no less than 6 years from trigger |
Business need, The Limitation (NI) Order 1989 |
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. |
Destroy |
Project Reports- Please refer to Project Governance
Maintenance
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Maintenance log
|
Final entry |
12 years |
Business need, |
Destroy |
|
|
Maintenance schedule
|
When superseded |
6 years |
Business need, The Limitation (NI) Order 1989 |
Destroy |
|
|
Maintenance programme
|
When superseded |
6 years |
Business need, The Limitation (NI) Order 1989 |
Destroy |
|
|
Payment disputes |
End of contract |
6 years |
Business need, The Limitation (NI) Order 1989 |
Destroy |
|
|
Final accounts |
End of contract |
6 years
|
Business need, The Limitation (NI) Order 1989 |
Destroy |
Sustainable Development
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Environmental Management System |
Last action - elimination of risk or updating the risk assessment |
6 years |
Business need, Management of Health and Safety at Work (Northern Ireland) Order 1978. Employer duty to record risk assessment in Management of Health and Safety at Work Regulations (Northern Ireland) 2000. The Limitation (NI) Order 1989 - negligence claim |
Records documenting identified environmental aspects of the Assembly, including Environmental Records and procedures regarding waste management and energy.
|
Destroy |
|
Records documenting the recording of environmental incidents in the Assembly or caused by its operations |
Last action |
40 years |
Facilitate Health Surveillance under the Control of Substances Hazardous to Health Regulations (Northern Ireland) 2003 as amended |
The activities involved in recording and investigating environmental incidents in the Assembly or caused by its operations, and the reporting of reportable incidents to the enforcing authorities.
Include accident books, records and reports. |
Destroy |
|
Records documenting the notification and reporting of reportable environmental incidents to enforcing authorities
|
Last action |
6 years |
Business need, The Limitation (NI) Order 1989 Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 as amended (RIDDOR) puts duties on employers to report certain serious workplace accidents, occupational diseases and specified dangerous occurrences (near misses). RIDDOR records to be retained for 3 years. |
Destroy |
|
|
Environmental performance data |
Last action |
6 years |
Business need, The Energy Performance of Buildings (Certificates and Inspections) (Amendment) Regulations (Northern Ireland) 2022 |
The activities involved in monitoring and controlling the Assembly's environmental performance; the conduct and result of formal reviews of the Assembly's environmental performance; and action taken to address issues raised. |
Destroy |
Waste Disposal
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
General Waste (WTN) |
Last action |
2 years |
Business need, The Controlled Waste (Duty of Care) Regulations (Northern Ireland) 2002 |
The activities involved in collecting, storing and disposing of Assembly waste. Includes: office waste, catering waste; redundant equipment and consumables. |
Destroy |
|
Hazardous Waste |
Last action |
3 years |
Business need, The Hazardous Waste Regulations (Northern Ireland) 2005 |
The activities involved in collecting, storing and disposing of Assembly special waste. Includes: batteries and fluorescent bulbs. |
Destroy |
|
Contractor Licence |
End of contract |
6 years |
Business need, The Limitation (NI) Order 1989 |
Licences that expire during the contract should be destroyed on receipt of a valid licence. |
Destroy |
Health and Safety
Accidents
| Record | Trigger (event that prompts start of retention period) | RetentionPeriod | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Accidents, incidents and near misses
Claim made
Involving Child |
Date of issue
Settlement date
18th Birthday |
3 years
|
Business need, The Health & Safety at Work (Northern Ireland) Order 1978. Management of Health & Safety Regulations 2000. Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (Northern Ireland) 1997, The Limitation (NI) Order 1989 |
The activities involved in recording and investigating accidents incidents and near misses.
|
Destroy |
|
Display Screen Equipment and General Risk Assessments
|
Date of issue |
5 years |
Business need, Display Screen Equipment Regs (NI) 1992 |
Risk assessments conducted by Assembly. |
Destroy |
|
Inspection Reports |
Date of issue |
5 years |
Business need, The Limitation (NI) Order 1989 |
The activities involved in inspecting common areas and offices. |
Destroy |
Risk Assessment
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Fire Risk Assessments (FRA) |
Date of issue |
5 years |
Fire and Rescue Services (NI) Order 2006 |
Records of significant findings of fire assessments and action taken to remove or reduce risk. |
Destroy |
Fire Safety
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Fire safety manual and log and log and fire safety training records |
Date of issue |
5 years |
Business need, Fire Safety Regulations (NI) 2010 |
Records of statutory fire alarm tests, equipment checks, staff training etc.
|
Destroy |
|
Fire safety evacuation plans |
When superseded |
5 years |
Business need |
Evacuation plans for Assembly buildings and Personal Emergency Evacuation Plans.
|
Destroy |
Usher Services
Control of removal of property
Information required for Assembly Pass
Control of access to premises
| Record | Trigger (eventthat prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Assembly Identification pass, application and digital Image (issued as per Security Policy) |
At end of employment, or no longer a regular building user. |
Length of employment, or until no longer a regular building user. |
Business need |
Digital record, application and image will be destroyed. |
Destroy |
|
Members and Party Assembly Identification Pass, application and digital image |
On instruction of Member or Party Whips Office, or at the end of a mandate. |
Six weeks following the start of a new mandate, or following instruction from a Member or Party Whips Office. |
Business need |
At start of dissolution, prior to an election, Members and Party passes will be put on-hold. Six weeks following start of the new Mandate, any information in relation to Assembly identification passes that have not been reapplied for by the relevant Member or Party/Whips Office will be destroyed. |
Destroy |
|
Member and Party Pass Sign Off Sheets |
On application for a Members staff or Party Staff pass. |
Six weeks following start of new mandate. |
Business need |
Allocations for individual Members and Party/Whip staff are signed by each ID pass holder. When a pass holder leaves, their name is crossed out. Applications are stored in a secure cabinet, and used as a back-up to the VMS and for record management. |
Destroy |
|
Media Identification pass, associated personal information and Code of Conduct Pro Forma |
Removed following notification by the Head of Communications, or at the end of a mandate. |
Immediate Effect |
Business need, Media who are regular building users are required by Communications to sign a Code of Conduct when requesting a pass.
|
Media Identification passes (Regular, Correspondent and Intermediate passes) are valid for one year starting from the 1st June. Any pass record and associated personal information is removed following notification from the Head of Communications or the end of a mandate. |
Destroy |
|
Assembly Identification Pass - swipe in and out times |
Collected as individual swipes through the VMS. |
Until the end of working day |
Business need |
The Visitor Management System deletes information for all Assembly Identification Passes, early each morning. |
Destroy |
|
Upper Car Park Permits and application data: Members and Party Staff. |
On application from Member or Party Whips Office. |
For duration of Mandate or criteria no longer met. |
Business need |
Information held for validation and identification of vehicles using Upper Car Parks. |
Destroy |
|
Upper Car Park Permits and Application data: other building users. |
On application of building user who meets the criteria set out in the Upper Car Park policy. |
For the duration of entitlement, as per the Upper Car Park policy. |
Business need |
Information held for validation and identification of vehicles using Upper Car Parks. |
Destroy |
|
Temporary Medical Permit |
Following receipt of approval from HR office. |
For the duration of entitlement as prescribed by Human Resources. |
Business need |
No information is held on reason for access being granted. Usher Services are informed of start and end date of entitlement. |
Destroy |
|
Official Disability Parking Badge |
On the request of the Badge Holder. |
While the Badge is valid. |
Business need |
Building users who will regularly be accessing Upper Car Parks are requested to provide sight of their Disability Badges, and the date of expiry is recorded in the upper car parking system. This assists with car park management and vehicle identification. The user will not be required to submit an Upper Car Park Request for each entry. |
Destroy |
|
Upper Car Park Requests |
Following an approved submission for access to Upper Car Parks. |
3 Months
|
Business need |
Requests are made through a secure system, entering vehicle and driver details. An Assembly App will automatically remove details after retention period is over. |
Destroy |
|
Parliament Building Key Register
|
Following request for a room key |
For duration of key issue. |
Business need |
Name of requestor and key number. |
Destroy |
Information required for Assembly Pass
| Record | Trigger (eventthat prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Lost pass Application |
Reporting a Lost Assembly Identification pass |
On receipt of notification a new pass will be issued after 7 days, application will be destroyed following issue. |
Business need |
Application for new pass following loss of Assembly Identification pass. |
Destroy |
|
Access NI application, validation form and copies of proof of identification |
On issue of Access NI certificate |
90 days following issuing of certificate.
|
Business need, Access NI requirement |
Certificates are provided by Access NI to the individual. Access NI require that copies of identification papers are securely held for 90 days. Application information is stored in a secure cabinet until destroyed. |
Destroy |
|
Employee clearance review panel documentation |
On completion of review process |
3 months |
Business need |
Information held in a secure database, with limited access. |
Destroy |
|
Control Room, Rolling Brief and Door Logs |
Reviewed and removed each month |
1 year, removed during monthly review. |
Business need |
These logs record and document the conduct of routine incidents requiring the attention of Security staff, i.e. action taken and incident logging, telephone calls; messages from internal personnel; messages from external services/agencies; and radio & telephone calls to/from Control Room/Access points. Note: Extracts of logs or reports used in investigations will be kept until proceedings have been concluded. |
Destroy |
Visitor Management System
| Record | Trigger (eventthat prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
VMS Regular Day Pass: Temporary; Contractor and Media Day Passes
|
On creation |
90 days from last day issued. |
Business need |
Record and image are held on the system for 90 days following the last date of issue, then automatically removed from system. |
Destroy |
|
VMS Visitor Day Pass: Visitor Pass. |
On creation |
28 days |
Business need |
Record and image are held on the system for 28 days following the last date of issue, then automatically removed from system. |
Destroy |
|
VMS Function Pass: Guest Lists and Sign-In Sheets |
Named pass created from supplied Guest List attending function at PB. |
90 days from the date of event. |
Business need |
No image captured. Record for event is automatically removed from the system after 90 days. |
Destroy |
|
Visitor Names |
On production of record |
90 Days |
Business need |
Report listing visitor names will be produced every 2 weeks and retained for 90 days. |
Destroy |
Control of removal of property
| Record | Trigger (eventthat prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Clearance for contractors/ consultants - Contractor Database |
End of clearance or work contract. |
Information held on the Contractor Database until clearance date has expired, or the contractor requests their personal information to be removed. |
Business need |
The secure contractor database will purge records after clearance date has expired. A Contractor may request their information is removed at any time. |
Destroy |
|
Contractor pass |
90 days from last date of issue. |
Record and image are held on the system until 90 following previous issue. |
Business need |
The system automatically deletes records after 90 days. |
Destroy |
CCTV
| Record | Trigger (eventthat prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Routine security surveillance |
On creation |
Maximum 30 days |
Business need |
The process of recording moving images (CCTV) for the purpose of security. CCTV images are deleted from the system automatically after 30 days.
Note: Recorded data used in investigations is kept until proceedings have been completed. |
Destroy |
|
Non-routine surveillance |
Request for images/date of incident |
1 year |
Business need |
Following current procedures. |
Destroy |
|
Theft reports and investigations |
End of investigation |
1 year |
Business need |
Destroy |
|
|
Lost/Found Property records and indemnity section. Jewellery/Money/items of value |
Following end of items' redemption period |
Records are kept for 1 month or 6 months depending on the items retention period.
|
Business need |
Depending on the items retention period, records are destroyed as follows: Clothing/Books/Stationary/Misc. - 1 month; Jewellery/Money/items of value - 6 months.
|
Destroy |
|
Uniform Issue. |
Payment and Delivery |
1 Month |
Business need |
Used for the purposes of issuing uniform, destroyed following receipt and payment. |
Destroy. |
Team Administration
| Record | Trigger (eventthat prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Overtime Forms |
On submission of claim |
3 Months |
Business need |
Overtime forms are held until confirmation of payment and destroyed as record will be held by Finance office. |
Destroy |
|
Call-Out Sheets |
Produced as part of staff rota production |
3 Months |
Business need |
Destroy |
|
|
Internal Postal Duties. |
Completion of rota. |
1 year. |
Business need |
Details of rota, log of outgoing mail with cost, and record of offices visited. |
Destroy |
Legal, Governance and Research Services
Legal Services Office
The Office of the Examiner of Statutory Rules
Legal advice
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Legal advice on the employment rights and obligations of identifiable individuals.
|
Date of last action or end of legal action |
6 years
|
Business need, The Limitation (NI) Order 1989 |
Some of this legal advice, if it remains relevant and retains precedent value, will be destroyed only when that relevance ends. |
Destroy |
|
Legal advice on significant institutional and constitutional matters and legal advice on the legislative competence of Bills |
Date of issue |
Permanent |
Business need |
Assembly Commission Permanent Retention |
|
|
All other legal advice |
Date of issue |
15 years |
Business need |
Destroy |
Litigation files
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Litigation files (employment rights and obligations of identifiable individuals
|
Date of last action (by judgment, statement etc.) |
6 years |
Business need, The Limitation (NI) Order 1989 |
Some of these files if they remain relevant and retain precedent value will be destroyed only when that value ends. |
Destroy |
Contracts
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Contracts, Service Level Agreements, Memoranda of Understanding etc. |
Date of termination |
6 years
|
Business need
|
This entry relates only to those contracts managed directly by the Legal Services Office. |
Destroy |
The Office of the Examiner of Statutory Rules
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Legal advice requests and advice and associated documents |
Creation of document, receipt of request |
Permanent |
Knowledge base, consistency, record of decision making |
Assembly Commission Permanent Retention |
|
|
Documents and files related to the consideration of statutory rules under SO 43 |
Creation of document |
10 years |
Knowledge base, consistency, record of decision making |
Destroy |
|
|
Correspondence |
Creation/receipt of document |
10 years |
Knowledge base, consistency, record of decision making |
Destroy |
Research and Information Service
Research Requests and Responses
Research Requests and Responses
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Members' queries and response |
Date of request |
10 years |
Business need |
Destroy |
|
|
Committee Research enquiries |
Date of request |
10 years |
Business need |
Destroy |
|
|
Assembly Commission Research enquiries |
Date of request |
10 years |
Business need |
Destroy |
|
|
Research papers |
Completed papers |
10 years |
Business need |
This includes published research material.
|
PRONI Appraisal |
Library Information Requests
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Library Enquiries |
Date of request |
10 years |
Business need |
Personal information redacted from form prior to going into storage.
|
Destroy |
|
Information Packs |
Prior to Plenary Debates |
10 years |
Business need |
Destroy |
|
|
Inter Library Loan |
Date of request |
5 years |
Business need |
In line with British Library Guidelines. |
Destroy |
|
Loans |
Return of borrowed book |
Immediate
|
Business need |
Destroy |
|
|
Purchasing Stock |
Date of request |
7 years |
Business need |
For internal audit purposes.
|
Destroy |
Academic Engagement
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Knowledge Exchange Seminar Series (KESS) Attendee Registration |
Seminar date |
1 day
|
Business need |
Information retained until day after the seminar. |
Destroy |
|
KESS subscription |
Subscription
|
2 years |
Business need |
Destroy |
|
|
KESS Academic Presenter video clip |
Seminar date |
5 years |
Business need |
Also posted on YouTube.
|
Destroy |
|
KESS Panel University partners |
On receipt of member's email |
5 years |
Business need |
Details retained on RaISe CSU shared drive for the period specified. |
Destroy |
|
KESS feedback forms/Questionnaires |
Close of seminar |
5 years |
Business need |
All Feedback Forms/Questionnaires/forms are anonymised and retained for the period specified, in order to enable analysis, in order to monitor and review, to improve efficiency and effectiveness. |
Destroy |
|
KESS Panel Meetings |
Date of meeting |
10 years |
Business need |
Minutes of meetings; meeting administration, including information necessary for the organisation of meetings and subsequent follow up work; miscellaneous correspondence. |
Destroy |
|
KESS Successful Applications |
On receipt |
1 year |
Business need |
Successful application forms, including declaration of interests forms; telephonic/email/in-person correspondence; contact details; material related to selection. |
Destroy |
|
KESS Unsuccessful Applications |
Programme Agreement |
4 months |
Business need |
Unsuccessful application forms, including, e.g., declaration of interests forms; telephonic/email/in-person correspondence; contact details; material related to selection. |
Destroy |
|
KESS Submissions (Policy Briefings and Power Points) |
On receipt |
10 years |
Business need |
Policy Briefings and Power Points produced for KESS seminars.
|
Destroy |
|
KESS Images |
Point of collection |
5 years |
Business need |
Destroy |
|
|
Media enquiries |
Date of request |
1 year |
Business need |
Activities arising in response to telephonic/email/in-person requests. |
Destroy |
|
Assembly Register of Research |
On receipt of online form |
5 years |
Business need |
Details retained on database, which is overseen by the RaISe CSU.
|
Destroy |
|
Research Matters email subscriber details |
When subscription ends
Consent is withdrawn |
5 years
Immediate |
Business need, Data Protection Act 2018, UK GDPR |
If consent is withdrawn, destroy immediately. Can continue to hold enough to evidence the withdrawal of consent i.e. consent tracker
|
Destroy |
Procurement
Monitoring of supplier performance
The policy below applies to all procurements within the Assembly Commission with the exception of quotations with a whole life costs of under £5,000. For such quotations, all relevant quotation information should be maintained for a period of the contract plus 1 year.
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.
Initial Proposal
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Contract Documentation |
End of contract |
6 years |
Business need, The Limitation (NI) Order 1989 |
Business justification or case Procurement Strategy. Contract advertisement agreed specification (Pre-qualification questionnaire; includes evaluation methodology), Evaluation criteria, Invitation to tender, Non-competitive action or single Tender Actions (STAs). Contracts under Service Level Agreement (SLA), Ordinary contracts (final version only. Successful tenders, final contract, award letter, signed contract and any other additional documents forming part of the contract. Successful letters at PQQ stage Contract management documents, Amendments or variations to contracts. |
Destroy |
|
Unsuccessful Statements of interest (PQQ stage) |
End of Contract |
6years |
Business need, The Limitation (NI) Order 1989 |
Pre-qualification questionnaire; unsuccessful letters at PQQ stage including Evaluation Team comments, comparisons and evaluation criteria. |
Destroy |
|
Unsuccessful tenders |
End of Contract |
6 years |
Business need, The Limitation (NI) Order 1989 |
Unsuccessful tender bids, notification of award to unsuccessful tenderers including evaluation, comparisons and evaluation comments. |
Destroy |
|
Evaluation meetings and forms |
End of contract |
6 years |
Business need, The Limitation (NI) Order 1989 |
Evaluation reports at both PQQ and tender stages if applicable, evaluation comments and minutes or notes of proceedings. Additional options paper. |
Destroy |
Monitoring of supplier performance
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Reports from contractors |
End of contract |
6 years |
Business need, The Limitation (NI) Order 1989 |
Destroy |
|
|
Schedules of work |
End of contract |
6 years |
Business need, The Limitation (NI) Order 1989 |
Destroy |
Surveys and Inspections
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Equipment and supplies |
End of contract |
5 years
|
Business need, The Limitation (NI) Order 1989 |
Destroy |
|
|
Buildings |
End of contract |
Permanent
|
Corporate Value, The Limitation (NI) Order 1989 |
Assembly Commission Permanent Retention |
|
|
Complaints |
End of contract |
5 years
|
Business need |
Destroy |
|
|
Payment disputes |
End of contract |
5 years
|
Business need, The Limitation (NI) Order 1989 |
Destroy |
|
|
Final accounts |
End of contract |
5 years
|
Business need |
Destroy |
|
|
Guidance/Policies and Procedures
|
When superseded |
5 years |
Business need |
Destroy |
|
|
Reports - Internal e.g. monthly reports to Directors, general or ad hoc reports
|
End of financial or calendar year |
3 years |
Business need |
Destroy |
|
|
Reports - external |
End of financial or calendar year
|
5 years |
Business need, The Limitation (NI) Order 1989 |
Destroy |
Information Standards
Freedom of Information and Environmental Information Regulations
Freedom of Information and Environmental Information Regulations
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Case file: records detailing the FOI/EIR request, the consideration of possible exemptions and subsequent appeals |
Internal review deadline (3 months after issued response) |
5 years |
Business need |
Records containing correspondence between the Assembly Commission 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. |
Destroy |
|
Case files including access decisions where a complaint is made to the ICO |
Information Commissioner decision Letter
Information Appeal Tribunal |
5 years
5 years |
Data Protection Act 2018, Freedom of Information Act 2000, Environmental Information Regulations 2004 |
Details of case file relating to a decision being made by the ICO following an investigation. |
Destroy
Destroy |
|
Entry in FOI Disclosure Log
|
Financial year end |
10 years |
Freedom of Information Act 2000 |
Destroy
|
|
|
Publication Scheme |
When superseded |
5 years |
Freedom of Information Act 2000
|
Records documenting the development and maintenance of the Assembly Commission's Publication Scheme as required by the FOI Act 2000. |
Destroy |
Records Management
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Information Audits & Records Surveys |
Last action |
5 years |
Business need |
Quality assurance checks and bi-annual returns |
Destroy |
|
Records Retention and Disposal Log |
When superseded |
Permanent |
Corporate Value, The Public Records Act (Northern Ireland) 1923, Freedom of Information Act 2000, The Lord Chancellor's Code of Practice on Records Management |
List of Assembly Commission records series and how long each series must be kept before it may be disposed of.
|
Assembly Commission Permanent Retention |
|
Guides, manuals and instructions on the management of records |
When superseded |
5 years |
Business need |
Destroy |
Data Protection
| Record | Trigger(event that prompts start of retention period) | Retention Period | Legislation/ Reason | Notes | Final Action |
|---|---|---|---|---|---|
|
Data Subject Requests |
Final Response date |
3 years |
Data Protection Act 2018 and UK GDPR |
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 2018. |
Destroy |
|
Data Subject Request:
Internal Review/ ICO Complaint |
Internal Review response date
ICO decision
Information Appeal Tribunal |
2 years
2 years
2 years |
Data Protection Act 2018 and UK GDPR |
Correspondence and associated papers relating to the receipt of and processing of formal Data Subject Requests (all rights) made under the provisions of the Data Protection Act 2018. |
Destroy |
|
Notification |
Notification expiration |
6 years |
Data Protection Act 2018 and UK GDPR |
Records documenting the Assembly's notification of data controller details to the Information Commissioner. |
Destroy |
|
Data Protection Impact Assessments (DPIA) |
Completion of forms/ DPGO sign off |
6 years |
Data Protection Act 2018 and UK GDPR, Cabinet office code of practice |
Destroy |
|
|
Data Sharing Agreements
|
Until Superseded |
1 year |
Data Protection Act 2018 and UK GDPR, Cabinet office code of practice |
Sharing agreements should be reviewed on a regular basis |
Destroy |
|
Privacy Notices |
Until Superseded |
6 years |
Data Protection Act 2018 and UK GDPR, Cabinet office code of practice |
Privacy notices should be reviewed on a regular basis |
Destroy |
|
Data Breaches
|
Longer of Final report date or ICO decision date |
5 years |
Data Protection Act 2018 and UK GDPR Cabinet office code of practice |
Destroy |
Section 6-Signatories
Northern Ireland Assembly
The Northern Ireland Assembly Commission Disposal and Retention Schedule
Prepared as required by the Public Records Act (Northern Ireland), 1923 and in accordance with the Rules made pursuant thereto, approved by Order in Council dated 20th January 1925.
Donna-Marie Clark
Data Protection and Governance Officer
Northern Ireland Assembly Commission
Tara Caul
Director of Legal, Governance and Research Services
Northern Ireland Assembly Commission
Lesley Hogg
Clerk/Chief Executive
Northern Ireland Assembly Commission
Wesley Geddis
Acting Head of Records Management, Cataloguing and Access Section
Public Record Office of Northern Ireland
David Huddleston
PRONI Acting Director
Public Record Office of Northern Ireland
Colum Boyle
Permanent Secretary Department for Communities
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 the Northern Ireland Assembly for approval.
