Retention and Disposal Schedule (PDF) · 1. INTRODUCTION 1.1 PURPOSE AND SCOPE OF THE DISPOSAL SCHEDULE This Schedule sets out the disposal arrangements for records created and retained

RECORDS

Invest: INorthernIreland

RETENTION AND DISPOSALSCHEDULE

February 2016

Records RetentionISSUE DATE:February 2016

& Disposal ScheduleREVIEW DATE: Page 1 of 35t VERSION:

1.0 February 2019Uncontrolled Copy When Printed

CONTENTS

1. Introduction

1.1 Purpose and Scope of the Disposal schedule 3

1.2 Invest NI’s functions and responsibilities 4 p1.3 Legislation relevant to Invest NI’s

Records Management Functions 5

2. Operation of the Disposal Schedule U

2.1 Records Systems in Invest NI 6

2.2 Closure of Records 6

2.3 Retention Periods 7

2.4 Review and Disposal Process 7

2.5 Original Hardcopy Documents 10

2.6 Postponement of Disposal Actions 12

2.7 Roles and Responsibilities 12

2.8 Commitment to Preserving Records 13

2.9 Reviewing the Schedule 13

3. The Disposal Schedule 17

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1. INTRODUCTION

1.1 PURPOSE AND SCOPE OF THE DISPOSAL SCHEDULE

This Schedule sets out the disposal arrangements for records created and retained

by Invest NI and the Bedford Street Developments Limited group of companies

which are owned and staffed by Invest NI.

A “record” is defined as follows:

A record is information held in any format or medium that describes or

records an action, event, policy or decision or any occurrences leading to or

following an action, event, policy or decision and which indicate who was

involved, the context and the date.

It is only the material meeting this definition and retained by Invest NI to which this

Schedule applies.

An essential step prior to the disposal of records is the requirement for their review

by relevant Business Areas. Appropriate and proportionate reviews will be

undertaken by Business Area team members at Staff Officer or above. This step

ensures that records that continue to be required for business purposes will be

retained for further periods. Further retention periods will not exceed 3 years at a

time to ensure records are not retained unnecessarily. The files or folders of a

number of designated categories of record, identified in this Schedule will also

require appraisal by PRONI after Business Areas have reviewed them and tagged


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them for disposal. This step ensures that records of historical or evidential value

can be identified and transferred to PRONI for permanent preservation.

This Schedule describes:

• the types and categories of records held by Invest NI;

• the c’osure of paper files and electronic folders

• the period for which files/folders should be retained following closure (the

“Retention Period’);

• the review process after the retention period has passed and

• the final disposal action

The schedule complies with the requirements of the Public Records Act (NI) 1923

and the Disposal of Documents Order (S.R. & 0. 1925 No 167) and has been

approved by the Public Records Office of Northern Ireland (PRONI), and through

DCAL, the Northern Ireland Assembly.

The purpose of the schedule is to ensure that records are retained only for as long

as required by statute or for as long as they are needed for business purposes

and, when no longer required, disposed of in a documented, timely and appropriate

manner.

1.2 INVEST NI’S FUNCTIONS AND RESPONSIBILITIES

Invest NI is one of a number of NDPB’s sponsored by The Department of

Enterprise Trade and Investment having been established by the Industrial UDevelopment (Northern Ireland) Act in 2002. When it was formed Invest NI

subsumed functions previously undertaken by the Industrial Development Board, ULocal Enterprise Development Unit and the Industrial Research and Technology

Unit with some functions of the Training and Employment Agency and elements of Uthe Northern Ireland Tourist Board also being subsumed. At that time Invest NI

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took ownership of a large number of the records of these predecessor

organ isations and hence became responsible for their retention and disposal.

The role of Invest NI is to “support wealth creation in Northern Ireland as an

enabler and catalyst to grow innovation, exports, productivity and employment

throughout the business base resulting in increased living standards for all.”

7.3 LEGISLATION RELEVANT TO INVEST NI’S RECORDS MANAGEMENT

FUNCTIONS

• Public Records Act (NI) 1923;

• Disposal of Documents Order (NI) 1925

• Freedom of Information Act 2000

• Data Protection Act 1998

• Environmental Information Regulations 2004

• The Industrial Development Act (Northern Ireland) 2002

• Human Rights Act 1998

• The Companies Act 2006

• Employment legislation

• Audit and Accountability legislation

• Limitation Act 1980


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2. OPERATION OF THIS DISPOSAL SCHEDULE

2.7 RECORDS SYSTEMS IN IN VEST NI ElSince its formation in 2002, Invest NI has used an Electronic Document and

Records Management System (EDRMS) as the primary depository for electronic Elrecords of the organisation’s activities and operations. In addition a focused range

of hardcopy files also continue to be created for a number of specific record types

including for example, land and property transactions.

ElInvest NI’s EDRMS has a Fileplan structure consisting of two primary record

hierarchies — one for records of corporate activity and the other for customer

activity. The EDRMS allows Invest NI to create and store records of actions and

decisions, providing the necessary accountability and protection of the integrity of

these records for as long as they are required to support the conduct of its

business. Alongside the EDRMS paper files are managed through Invest Ni’s

electronic Facilities Management system.

El2.2 CLOSURE OF RECORDS

Individual Business Areas will be required to periodically inform Internal Operations

Division of electronic folders that can be closed and made “Read Only”. This

notification will then trigger the start of the retention period which will be monitored

by Internal Operations Division so that future reviews can be initiated and

managed. UHardcopy files will be designated “Closed” after a standard 2 years unless Elspecifically requested by the owning Business Area.

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Closing a file or folder means that no further documentation can be added although

they may still continue to be used for reference purposes. The closure date is a

critical trigger in the disposal process, marking the starting point for the ‘retention

period’ at the end of which disposal action will take place. Both electronic and

paper records should be closed as soon as they have ceased to be of active use,

other than for reference purposes. Except in a limited number of record categories

like individual personnel records and records of file/folder disposals, the maximum

life-span for ‘open’ records has been set at 5 years from creation. Records will be

closed at the earliest opportunity, and in particular when:

• the subject matter is finished, with no further documents expected, or

• nothing new has been added for 2 years; or

• in the case of paper records, the file has reached 2.5cm thick,

whichever of these comes first.

2.3 RETENTION PERIODS

This Schedule sets out pre-designated minimum retention periods and disposal

actions for all record categories and types from the year of closure of a file or folder.

These minimum retention periods reflect long-standing good practice based on the

experience of Departments and PRONI to meet business needs and accountability

requirements. In some cases, statutory retention requirements apply and where

this is known, the relevant legislation is noted in the Schedule. The retention period

commences once a file or folder has been “closed”.


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2.4 REVIEW AND DISPOSAL PROCESS flI

All files and folders will be reviewed by the Business Areas against ongoing 2business requirements once they reach the end of their retention period and either

tagged for disposal or retained for further periods at a maximum of 3 years at a Ttime.

Following review by the relevant Business Area those electronic folders for which

the disposal action is “PRONI Appraisal” and which have been tagged by Business 2Areas for disposal, will be exported by Internal Operations Division and removed

from the EDRMS to a separate storage area to which PRONI will have access. 2PRONI will then determine if the files should be transferred for Permanent

Preservation.

The electronic folders that have been tagged by Business Areas for disposal and

for which the disposal action is “Destroy” will be deleted from the EDRMS by

Internal Operations Division. [1Electronic folders due for review in any particular year will be identified by 2Business Areas and Internal Operations Division and recorded in an annual

Review and Disposal List containing the folder/class name, relevant closure &

review dates and details of the reviewer. This list will be retained permanently to

provide transparency and accountability for the disposal actions. UA similar process will be followed for paper tiles.

The review and disposal process is summarised below: UUUU

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a. Business Area Review

Business Areas will review all tiles and folders at the end of their

designated retention periods and determine if the records held in

these files or folders need to be retained for longer.

b. PRONI Appraisal

The long term historical and evidential value of records cannot be

determined simply from the tile or folder title or from the record

categories described within this Schedule. Records designated

“PRONI Appraisal” will therefore require first hand appraisal by

PRONI once Business Areas have tagged them for disposal. If

PRONI considers that there is no long term value, the records will

be destroyed; otherwise they will be transferred to PRONI under

warrant, in line with agreed policies and procedures.

c. Destroy

If files and folders are designated “Destroy” in the Schedule they

will be destroyed once they have been tagged for disposal by

Business Areas following review with the only exceptions to

disposal being when the records in question are subject to ongoing

legal, audit, PAC, DPA or FOl enquiries or investigations as

described in 2.6. Destruction must be approved at Staff officer or

above and will be documented and managed by Internal

Operations Division.

d. Permanent Retention in Invest NI

A number of records as designated in this Schedule including the

record of files and folders disposed of will be permanently retained

in Invest NI for administrative or legal purposes.

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e. Permanent Preservation in PRONI

The records in this category will be transferred to the Public Record

Office of Northern Ireland (PRONI) under warrant where they will

be maintained and securely held. pt-.

Before opening such records to the public Invest NI will be asked

by PRONI to undertake a further review to determine if any material

within the records should be withheld from public access based on

any EIR, FOl or DPA exemptions. Once reviewed by Invest NI the

records are considered to have become Historical Records (as Hdefined within the Freedom of Information Act 2000, Part 6).

H2.5 ORIGINAL HARDCOPY RECORDS

HA number of records that existed originally in hardcopy or were created in

hardcopy form, must continue to be retained in original hardcopy form until

the time when, at the end of the designated retention period, their disposal

has been approved by the relevant Business Area in line with section 2.4

above. Such records may include:

• Company books including the Registers of:

Shareholders [1Directors and SecretariesDirectors’ interestsCharges

• Material protected by copyright UElUU



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• Any documentation in respect of which litigation or criminalproceedings are likely, suspected or contemplated or whereproceedings have been issued

• Share certificates.

• All documentation relating to property title

• All contractual documentation relating to a property transaction(including leases)

• All finance documents such as loan agreements, charges, facilityagreements, mortgages and other forms of security

• Hard copy letters of offer (where not signed electronically)

• Guarantees

• External legal opinions

• All contracts and deeds not signed electronically (note: deeds cannotbe signed electronically)

• Original hardcopy documentation not belonging to Invest NorthernIreland

• Any documentation creating a trust or amending its terms anddocumentation created during the creation of a trust (e.g. declarations,due diligence records, questionnaires)

• Any documentation containing an original seal

• Any documentation stamped by a Government body

• Contracts of employment


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{]2.6 POSTPONEMENT OF DISPOSAL ACTIONS

When litigation, criminal proceedings, audits or investigations are likely, suspected

or contemplated - it will be necessary to override the schedule requirements and

either extend retention periods or put the disposal action on hold. Any Business

Area that is anticipates or is aware of any of these events (including NIAO/PAC

enquiries) must identify relevant records and notify Internal Operations Division of

these at the earliest opportunity, so that, where appropriate, any impending

disposal action can be postponed. PLi

Similarly any impending disposal action relating to information requested under

FOl or DPA legislation will be put on hold for the duration a request is live. (Note:

disposal of information that is the subject of a current FOl or DPA request is illegal.)

2.7 ROLES AND RESPONSIBILITIES RThe role of the Head of Information Management & Governance is to ensure

that records management policies, procedures and systems are in place; to

provide advice and guidance on good records management practice; and to

organise and oversee records disposal arrangements.

The Head of Information Management and Governance will identify hardcopy files

for review and disposal and manage the review and disposal process. {}Information Asset Owners (Directors and Heads of Division) will ensure Ucompliance with Records Management policies and procedures within their

Business Area, by co-ordinating activities aimed at ensuring that information is Urecorded, stored, managed and disposed of efficiently, legally and in a timely

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manner. Information Asset Owners will be assisted in this role by local Information

Coordinators.

All members of staff are individually responsible for the information they create

or receive and must ensure that records of departmental transactions and

decisions in which they are involved are created, appropriately stored and

maintained in accordance with the Department’s records management policies.

2.8 COMMITMENT TO PRESERVING RECORDS

This Disposal Schedule is the authority not just for destroying records but also for

preserving them. Invest NI will ensure that the records it creates will be

physically well maintained and cared for while they are in its custody.

2.9 REVIEWING THE SCHEDULE

Invest NI is committed to reviewing this schedule at least every three years to

ensure that:

• the types of records held and listed in it remain current

• the disposal decisions and triggers remain appropriate


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cc

F Department ofL Culture,Arts Invesi: O b

[ o’ and Leisure Northernwv.dcaIni.gov.uk Ireland .4

:1

S

1

Invest Northern Ireland 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 2Oth January 1925.

Nigel McClelland

Head of Information Management & Governance

Mel Chittock 1Executive Director Fince & Operations

Alastair Hamilton

Chief Executive

UBElU

David Huddleston

Head of Records Management, Cataloguing and Access Section

Public Record Office of Northern Ireland

B11

Maggie Smith

Deputy Keeper of the Records

Public Record Office of Northern Ireland

UU

Denis McMahon 11Permanent Secretary

Department of Culture, Arts & Leisure

UUIIUUUF’