It is the mechanism by which NI public authorities have the legal authority to dispose of records at the end of their active lifecycle. Without an operational schedule, no records (regardless of format) may be disposed of. 

An operational Retention and Disposal schedule is a legislative requirement for all NI public authorities. That is, a Schedule which has been laid at the NI Assembly.

In NI, public authorities include government departments, non-departmental public bodies, arm’s length bodies, courts of law, and local authorities. 

PRONI recommends formal review and resubmission of Retention and Disposal Schedules at least every three years. Schedules should be kept under review to ensure that all records are fully covered and that the final actions are appropriate. Triggers for reviewing and updating your organisation’s Schedule include:

• acquiring a new function

• inheriting or acquiring records not covered by the operational schedule

• identifying retention periods or final actions which are no longer appropriate e.g. due to a change in legislation

You should contact PRONI to discuss submitting an addendum or preparing a revised draft of your operational schedule. 

Important: Legally, records should not be disposed of if they fall outside the current operational schedule. Any changes to an operational schedule, whether minor or major, must form part of a schedule which has been laid at the NI Assembly. 

• Check that the Retention and Disposal Schedule status is operational. 

• Actively implement the Schedule and keep it under review to ensure that it meets business needs and legislative requirements.

• Complete a formal review of the Schedule at least every three years.

• Contact PRONI if you need to clarify whether an organisation is subject to NI public records legislation.

• Provide advice on amending Retention and Disposal Schedules, as necessary.

• Advise on applicability of NI public records legislation.

Preparation is the key to success. A Public Authority which is preparing to develop a Retention and Disposal Schedule should:

• secure senior management awareness and support

• ensure that the Chief Executive (or equivalent) understands their role in endorsing and signing off the final schedule

• allocate skilled resources and time for staff involved

• support the Records/Information Manager (or equivalent) to identify key stakeholders across all business areas (e.g., Heads of Business Areas, Information Asset Owners) and raise awareness of the need for their input

Consultation and collaboration ensure all business, legislative and regulatory requirements for management of records are considered. An effective Retention and Disposal Schedule will ensure that all records can be managed consistently, remain accessible for as long as needed, and can be disposed of appropriately. 

All business areas should collaborate with the Records/Information Manager (or equivalent) to:

• identify and document all records created, received and inherited – in all formats

• assess retention requirements and assign appropriate retention periods

• document the rationale (e.g. legislative, regulatory and policy requirements, and/or business needs) for retention periods

• assign appropriate final actions for records at the end of their active lifecycle

• ensure the schedule is understandable, consistent, and easy to implement

• Provide Senior Management support and allocate skilled resources.

• Support the Records/Information Manger (or equivalent) to consult with all business areas and key stakeholders/senior managers.

• Ensure that all records created, received and inherited are included.

• Use the Retention and Disposal Schedule template provided by PRONI.

• Provide the Retention and Disposal Schedule template.

• Provide advice and guidance as required.

The review process can involve several iterations, with the draft moving back and forth until PRONI and the Public Authority agree that the draft is ready to be finalised. Records/Information Managers should allow sufficient time when submitting a draft schedule for this process to take place. 

The review process includes: 

• An initial review of the draft by PRONI. Suggested amendments or queries for clarification may be noted. 

• The Public Authority should consider the feedback, make any necessary edits, and resubmit the draft.

• The PRONI Validation Panel will review the revised draft and may issue further comments or request additional changes. 

• The Validation Panel in PRONI will wish to be satisfied of the following:

  • the draft follows the PRONI Retention and Disposal schedule template

  • that all records in the schedule have been given one of the four approved final actions: Destroy, Permanent Retention by Public Authority, PRONI Permanent Preservation; PRONI Appraisal

  • that the final actions PRONI Appraisal or PRONI Permanent Preservation have been correctly assigned

• The Public Authority should consider the feedback, make any necessary edits, and resubmit the draft.

• When agreed, the final version of the schedule can proceed to be signed by the Public Authority Chief Executive (or equivalent), the PRONI Director and other relevant officials. 

• Submit the draft Retention and Disposal schedule to PRONI.

• Respond to PRONI queries and feedback.

• Make amendments as required and resubmit until agreement is reached.

• When agreed, prepare the draft Retention and Disposal Schedule for signature.

• Review drafts and provide feedback.

• Agree when the draft Retention and Disposal schedule is ready to be finalised.

PRONI will manage the process of final approval and will advise the public authority when the agreed Retention and Disposal Schedule becomes legally operational. This includes laying the Schedule at the NI Assembly under the negative resolution process.

There are two key stages:

• Approval by the Department for Communities

  • PRONI will secure approval from the Department for Communities and the Minister to lay the Retention and Disposal schedule at the NI Assembly.

• Laying at the NI Assembly

  • PRONI will lay the schedule at the NI Assembly, under the negative resolution process for the statutory period of 30 calendar days or 10 sitting days (whichever is longer). If there are no objections, the schedule will become operational. PRONI will update the public authority on progress.

• Note that Final Actions in new Retention and Disposal Schedule cannot legally be implemented until it has become operational (i.e. completed the negative resolution process at the NI Assembly)

• Oversee and coordinate the laying of the schedule at the NI Assembly, and completion of the negative resolution process

• Notify the public authority of the date when the Retention and Disposal schedule becomes operational