Annual
Report andAccounts of
The National
Archives

2022-23
HC 1475

The National Archives
Annual Report and Accounts
2022-2023
For the period 1 April 2022 to 31 March 2023
Including the Annual Report of the Advisory Council on National Records and Archives 2022-23
Annual Reports presented to Parliament pursuant to section 1(3) of the Public Records Act 1958
Accounts presented to the House of Commons pursuant to section 6(4) of the Government
Resources and Accounts Act 2000
Accounts presented to the House of Lords by Command of His Majesty
Ordered by the House of Commons to be printed on 18 July 2023

Guy Fawkes’ confession, where he named his co-conspirators in the Gunpowder Plot,
dated 17 November 1605 (catalogue reference SP 14/216/1 (152a)).
This document, along with others highlighted in this publication, featured in ourTreason: People, Power & Plot exhibition, showcasing nearly 700 years of treasonous history through our collection.

HC 1475

001

PREFACEThis is part of a series of departmental publications which, along with the Main Estimates 202324 and the document ‘Public Expenditure: Statistical Analyses 2023’, present the Government’s
outturn for 2022-23 and planned expenditure for 2023-24.

Preface
About the Annual Report and Accountsof The National Archives
This document combines performance andfinancial data with analysis to help readersbetter understand our work. It sets out how
we spend taxpayers’ money to fulfil our
remit as the official archive and publisher
for the UK Government and for England andWales. It covers our activities from April
2022 to March 2023 (inclusive) and is divided
into three main sections.
The performance report and analysis (pages 3
to 37) includes a summary of progress and key
activities (the performance overview), followedby our achievements over the year against eachof our business priorities, and our input andimpact indicators (the performance analysis).
The accountability report (pages 38 to 83)
includes an introductory statement fromthe Chair of our Board, and the Directors’
report sets out our operating structure andtransparency matters, such as inclusion anddiversity, and whistleblowing. It also includes:■a statement of the Accounting Officer’s
responsibilities© Crown copyright 2023■

This publication is licensed under the terms of the Open Government Licence v3.0 except whereotherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3.

a governance statement on how The
National Archives manages risk■a remuneration and staff report setting out
an open account of the pay and benefits
received by the executive directors andNon-executive Board members■

disclosures on pay and pensions policies,and details of staff numbers and costs■

a parliamentary accountability and audit
report, allowing readers to understandthe department’s expenditure against themoney provided to it by Parliament alongwith the Statement of Parliamentary Supply■

a copy of the audit certificate and report
made to Parliament by the Comptroller and
Auditor General, setting out their opinion
on the financial statements.

Where we have identified any third party copyright information you will need to obtain permission
from the copyright holders concerned.
This publication is available on our website nationalarchives.gov.uk and at www.gov.uk/officialdocuments.
Any enquiries regarding this publication should be sent to us via our website.
ISBN: 978-1-5286-4088-6
E-Number: E02904996 07/23
Printed on paper containing 40% recycled fibre content minimum
Printed in the UK by HH Associates Ltd. on behalf of the Controller of His Majesty’s Stationery Office

The financial statements (pages 84 to 113)
outline our income and expenditure forthe financial year, the financial position of
the department as of 31 March 2023, andadditional information designed to enable
readers to understand these results.
Annex A (pages 114 to 123) provides a detailed
sustainability report, giving an overview of ouractivities during the financial year, our progressagainst Greening Government Commitments
targets, and our plans for 2023-24.
Annex B (pages 124 to 140) contains theAdvisory Council on National Records andArchives: 20th Annual Report 2022-23, which
describes its role, work actioned in year, anddetails of the Forum on Historical Manuscripts
and Academic Research.
Annex C (pages 141 to 142) contains theAnnual Report of the Independent Complaints
Reviewer, which sets out information on theservice and standards, an overview of boththe learning from complaints and customer
feedback, and of complaint activity andexamples.

Annual Report and Accounts 2022-23

002

003

CONTENTS

Contents

1.0

1.0

Performance report

003

1.1

Performance overview

004

Introduction from the Chief Executive and Keeper

004

The National Archives in numbers006

Who we are007

Our year009

Performance analysis

031

Financial management commentary032

Performance against our business priorities

033

Performance against our input and impact indicators

034

Environment and sustainability

037

2.0

Accountability report

038

2.1

Corporate governance report039

Statement from the Chair of The National Archives’ Board

039

Directors’ report

041

Governance statement044

Statement of Accounting Officer’s responsibilities

057

Who we are

2.2

Remuneration and staff report058

Our year

2.3

Parliamentary accountability and audit report

073

Statement of Outturn against Parliamentary Supply (SoPS) (audited)

073

The Certificate and Report of the Comptroller and Auditor General
to the House of Commons079

Financial management commentary

Financial statements for the year ending
31 March 2023

084

Performance against our businesspriorities

Notes to the Departmental Resource Accounts

089

Annexes and appendix

114

Performance against our input andimpact indicators

Annex A

Sustainability accounting and reporting

115

Environment and sustainability

Annex B

Advisory Council on National Records and Archives: 20th
Annual Report 2022-23

124

Annex C

Annual Report of the Independent Complaints Reviewer 2022-23

141

Appendix

Local places of deposit awarded New Burdens Funding 2022-23

143

1.2

3.0

Annual Report and Accounts 2022-23

Performance
reportPerformance overview
Introduction from the Chief Executive
and Keeper
The National Archives in numbers

Performance analysis

Treason Act (catalogue reference C 74/1, m. 16)
The concept of Treason was first written into English law at the request of the Westminster Parliamentin 1352, providing protection for the king, his bloodline and his officials. It also protected the king’s
subjects by defining exactly which actions were treasonous. It has never been repealed.

Annual Report and Accounts 2022-23

004

PERFORMANCE OVERVIEW

high and we will continue to focus on improving
our FOI compliance in the coming year.

1.1 Performance overview
Introduction from the Chief Executive and Keeper
To the Right Honourable Lucy Frazer KC
MP, Secretary of State for Culture, Mediaand Sport
This year, I look back with great pride at all wehave achieved to meet our historic mission tocollect and secure the future of the government
record, preserving it for generations to come andmaking it as accessible and available as possible.
It has also been a year when we have focused onplanning for the future.
In this increasingly digital era, we placed The
National Archives at the centre of utilising
new technologies to meet future challenges,
transforming our digital capabilities to build
an archive that is truly hybrid. We launched
our new Find Case Law service, utilising digitaltechnologies to accession Court Judgments
and Tribunal Decisions for the first time, while
improving the accessibility of these records. Workalso continued on the preparations for the projectthat will see the relocation of the Parliamentary
Archives collections and services to our site at
Kew, with an anticipated completion date ofsummer 2025. These two strategic partnerships
will transform the public’s understanding of what
The National Archives is and does, beyond its roleas the archive of government.

In this increasingly digital era, weplaced The National Archives at thecentre of utilising new technologies
to meet future challenges,
transforming our digital
capabilities to build an archive thatis truly hybrid.

Annual Report and Accounts 2022-23

Nonetheless, the Public Records Act has been
central to key information debates, including
those surrounding the use of non-corporate
communication channels in government andtheir selection and retention as part of thehistorical record. Such debates demonstrate
the importance of the Act and the duties of the
Keeper to manage risks associated with newtechnologies, while continuing to meet our coreobligations to accession and make available
documents, in whatever format.
With this obligation in mind, work continued
on the transfer of circa 9.7 million Ministry of
Defence (MoD) service personnel records. The
consequent increase in Freedom of Information(FOI) requests, owing to the interest in theserecords, has proved challenging and we havetaken significant steps to address this demand
and to improve our FOI compliance. Nevertheless,demand for these records is expected to remain

005

PERFORMANCE OVERVIEW

In 2021, we marked our ten-year anniversary
as the UK Government’s lead for archives inEngland. We have spent the last year developinga refreshed leadership offer to launch in 2023-24.
We continue to advocate for the sector and haveprovided funding programmes to deliver vital
support through what has been a challenging
time for many archival services.
Over the past year, I’m pleased to say that wehave seen demand for records in our reading
rooms recover to almost pre-pandemic levels.
Our multi-year programme to improve our onsite visitor experience moves at pace and our
public offer has gone from strength to strength.
We continue to reach audiences across theglobe through online talks and events, allowing
people to experience our records in all theirrich historical context and significance. Our onsite exhibition, Treason: People, Power and Plot,
exceeded its visitor target and saw our first evertalk in collaboration with the US National Archives
and Records Administration.
We also marked several occasions of nationaland historical importance. We celebrated Her
Late Majesty Queen Elizabeth II’s Platinum
Jubilee in June 2022 by digitising a collection of
documents looking back on her life. The official
records we captured following Her Late Majesty’s
sad passing in September will form part of ourcollective national memory for the future. In ourrole now as the King’s Printer, we also publishedthe formal notice of the Demise of the Crown
and the Accession Proclamation for King Charles
III in The Gazette.

Our multi-year programme
to improve our on site visitor
experience moves at pace and our
public offer has gone from strength
to strength.
are built on firm foundations established overrecent years with the focus on our priorities in
Archives for Everyone.
All that we have achieved has been through thecommitment and hard work of many people.
Our volunteers, the Friends of The National
Archives and The National Archives Trust
provided unwavering support. The staff of The
National Archives once again demonstrated
their determination and enthusiasm for theorganisation and our shared priorities. They are acredit to this institution and to the Civil Service.
It continues to be an honour to lead thisinstitution as Chief Executive and Keeper.

Jeff James,
Chief Executive and Keeper,
11 July 2023

We are looking forward to 2038 when we willcelebrate the bicentenary of the founding of the
Public Record Office. As an institution we havea long history, and that history is one of regularchange and renewal, but our response to thechallenges and opportunities ahead of us willtransform The National Archives more profoundly
than at any point in the last two centuries.
The work we have undertaken in the last year
sees us well-placed to support the growth of
our collection as we become the archive of thestate. The coming year will see us enter a newphase, steered by a new four-year business plan,
reaffirming our commitment to the principles set
out in Archives for Everyone of working towards
becoming the inclusive, entrepreneurial anddisruptive archive. Our ambitions for the future

Annual Report and Accounts 2022-23

007

WHO WE ARE

in numbers 68 %Treason exhibition visitors
coming to The National
Archives for the ﬁrst time

87%

74 %

teachers rating our education
sessions ‘excellent’ in 2022-23

4.5

of grants we distributed toarchives between 2017-23
allocated outside of London
and the South East

millionhistoric service personnel records
transferred from Ministry of
Defence since 2021

nearly240 km

305,700

total linear kilometres ofphysical records
we holdﬁles transferred from government
departments in 2022-23

36 %

21 %

visitorsatisfaction

less total operational
waste in 2022-23

350

27

millionmillionelectronic images delivered to online users via
our website and partners in 2022-23

nearly104,000

amendments to legislation.gov in 2022-23

Annual Report and Accounts 2022-23

over

19k

The National Archives' building in Kew

Who we areﬁles transferred so far into our
Digital Safe Haven for Ukraine

at our site in Kew

over

475 k
documents viewed
on site in 2022-23

more visitors to our site
at Kew in 2022-23

96 %almostschool students taught throughour remote learning resourcesin 2022-23

376 k

subscribers to oursocial media channels

Image caption

The National Archives is a non-ministerial
department and the official archive andpublisher for the UK Government andfor England and Wales. We work to bring
together and secure the future of the publicrecord, both digital and physical, for future
generations. Our collection is accessible toanyone all over the world.
We are an essential resource for our
democracy, a public good and an asset for
future generations. Our historic mission
endures: to collect and preserve the record, touse our expertise and knowledge to connect
people with their history through our unrivalled
collections, and to lead, partner and support
archives at home and worldwide.
Our conviction is that archives are for everyone,
and that archives change lives for the better.
Our ambition is to connect with the biggest andmost diverse audience possible, in the mostinnovative ways we can. In 2019, we launched
our strategic vision, Archives for Everyone, whichsets out how we intend to become a nationalarchive for the 21st century: the inclusive,
entrepreneurial and disruptive archive.
The inclusive archive builds trust and tears
down barriers to access, participation andunderstanding, harnessing talent fromdiverse backgrounds. It is bold, active andoutward-looking, encountered by people andcommunities in unexpected places and atvital moments. The inclusive archive is about
who we are, who we serve, how we work and,as custodians of a collection of internationalsignificance, our global role.
The entrepreneurial archive creates andrealises value at home and across the globe.
Operating flexibly and fearlessly, it is adept at
finding and exploiting commercial, researchand philanthropic funding opportunities –opening out and promoting our collection. The
entrepreneurial archive is ever-alert to new
possibilities, partnerships and collaborations
and adventurous in pursuing them.

Annual Report and Accounts 2022-23

008

WHO WE ARE

The disruptive archive constantly adapts,
rethinks and reshapes our practice to meet
our contemporary and future challenges. It
develops new skills and exploits emerging
technology, reaffirming and transforming
our historic mission for the digital age, fromcreation to presentation. The disruptive archive
solves problems. It moves quickly and it moves
things forwards.

With our colleagues in the archive
sector across the four nations
and beyond, we will enable thetechnologies of the digital future
to illuminate the documents of the
distant past.
This report covers the final year of the strategy’s
initial phase, which we put into action throughfive strategic intents.
The five intents:
1. Capture the record and aid legal certainty
2. Take the collection to new audiences
3. Realise the value of archives throughresearch, innovation and commercial
exploitation
4. Lead the archives sector to a secure andsustainable future

future. The transfer of the Ministry of Defence’s
historic service personnel records will deepen
our understanding of major world conflicts.
Alongside this work, we continue to lead thetransition towards the digital era. We havefundamentally changed the ways we workand made strides towards a more sustainable
future. With our colleagues in the archive sector
across the four nations and beyond, we will
enable the technologies of the digital future toilluminate the documents of the distant past.
As we enter a new phase, steered by a new
four-year business plan, it is time to reaffirm
our commitment to the principles we set out
in Archives for Everyone of working towards
becoming the inclusive, entrepreneurial anddisruptive archive. It is clear that, in order todrive our ambitions forward over the next four
years, our core task is to sustain and maximise
both our value and impact as a national archiveand that of archives more widely. We want toharness the value from our collection, from theconnections to it that we foster and from ourrole as custodian both of the collection andof the institution that supports it. What thismeans for our work over the next four years
is a renewed focus on growing our collection,
both in terms of its accessibility and utility,
opening up bigger and better opportunities
for everyone, everywhere, to connect with thecollection, and investing in the skills, capability
and infrastructure needed to support our
mission over the long-term. At this point oftransition, we are encouraged by our successes
so far that we can move forward with faith inour mission, our people and the value of the
public record for everyone, everywhere.

5. Change the way we work.
At the end of 2022, we grasped the opportunity
to reflect back on our progress over the past
four years, and the ways that the world haschanged since we outlined our vision. Thesefour years have brought many unexpectedchallenges, most notably the COVID-19
pandemic, but also many opportunities. We
have embarked upon some major long-term
projects that will greatly expand access to
the records of the judiciary, parliament andgovernment departments. Find Case Law will
enable decisions made by the Senior Courts
to be accessed more swiftly and easily thanever before. The transfer of the Parliamentary
Archives to Kew will ensure that the ledger of
democracy in action is safeguarded for the

Annual Report and Accounts 2022-23

We want to harness the value fromour collection, from the connections
to it that we foster and fromour role as custodian both of thecollection and of the institution that
supports it.

009

OUR YEAR

Our year
The public record■■

The landscape of public records has evolved
significantly over the past year, as theauthoritative construction of section 3 of
the Public Records Act 1958 has proved
central to debates surrounding use of
unofficial communication channels ingovernment. In December 2022, in thesecond of two Appeals in the Senior Courts
over the use of these channels, a judgment([2022] EWCA Civ 1580) clarified thatgovernment departments have a statutory
duty under sub-section 3[1] of the Act tomake arrangements for the selection of
the historical record, rather than to retain
any particular records prior to this. The
Keeper then, as part of the supervisory
responsibilities detailed in sub-section
3[2] of the Act, issued statutory guidance
to departmental colleagues stating that,absent a legal duty, records should be
retained until information governanceprocedures could be applied. The judgment
demonstrated the prevailing efficacy of the
Act and the Keeper’s duties under it and wecontinue to work with the Cabinet Office
to manage the risks associated with newtechnologies.
As the official archive of the UK
Government, it is our duty to ensure thatthe public record endures for the benefit ofeveryone, now and for the future. We areentering a new era of record preservation,
where physical and digital records are
increasingly interconnected, and we wantto build an archive that is truly hybrid, with
online and on site services that informand enhance each other. We have seen
steady, incremental growth year-on-year
in engagement about digital transfers withgovernment departments. In 2022-23, thenumber of bodies transferring to us rosefrom five last year to eight – with morethan 16,700 files transferred – and we’vebeen actively in discussion about futurecollaboration with over 30 departments
and short-term public bodies. We havealso been training colleagues in newtechnologies, running workshops on
Artificial Intelligence (AI) and information
maturity tools. As the records we take inmove into the period that sees a massive
expansion in email use and the creationof born-digital records, we are keen to
support colleagues in government continue
their work to preserve the public record
accurately and securely.

We have seen steady, incremental
growth year-on-year inengagement about digital transferswith government departments.
■

A key part of our mission to preserve thepublic record is providing the government
with expert advice in information andrecords management. We manage
strategic interventions in the Knowledge
and Information Management sphereand lead on Crown copyright and there-use of public sector information on
the government’s behalf. Our advice
has been integral in the past year to thedrafting of a new Police Information andRecords Management Code of Practice andour input into a new cross-government
information management policy ensuresconsistent application of the Public Records
Act 1958 (PRA). We have supported major
Public Inquiries into the Hillsboroughdisaster, the Grenfell tragedy, and thegovernment’s response to the COVID-19
pandemic. Our policy work is a core part ofour role as a living repository of evidence
for both government and for democracy
and, through strong relationships with
the Cabinet Office, the Government
Legal Department and the Information
Commissioner’s Office, we ensure that
information policy keeps pace with theworld in which the government operates.

■

Every year, we release government files
for public access, twenty years after theircreation. These records are an essential
asset for the public, deepening ourunderstanding of recent historical andpolitical events. In December, we released
the Cabinet Office files (PREM 49) for theperiod 2000-2002, which see the Prime
Minister Tony Blair embarking upon his

Annual Report and Accounts 2022-23

■For many years, the volumes of Freedom ofInformation (FOI) requests we receive has
put us among the top monitored bodies in
the UK Government. On average, we
usually receive around 3,000 requests eachyear, but in 2022-23 we received morethan 10,000. This growth is the result of therecently transferred MoD service personnel
records, as many of these records containpersonal information of people who may
still be alive and can therefore only beaccessed through an FOI request. Given
the strong interest in tracing people whoserved in the military, the current upward
trajectory of requests is unlikely to reverse.
We are taking significant steps to address
the demand, including increasing the size ofour teams and publishing more information
online about FOI compliance and the
MoD records, but despite our efforts, wehave been unable to meet the target for
timely responses this year.1 In March, the■We continue to develop a new Information
Maturity Assessment tool for government
departments, a crucial mechanism intheir record management processes. To
ensure we stay ahead of developments
in information technologies, we havepartnered with the Information and Records
Management Society on this work, as well
as receiving a wide range of input fromthe US National Archives and Records
Administration, National Records of Scotland
and Microsoft. Over the last year, we haveachieved major milestones including making
our M365 maturity framework available anddeveloping a module to assess maturity
against the s.46 Code of Practice on theManagement of Records.

1 62% of enquiries were responded to within statutory deadlines in the calendar year 2022.
For more information, see page 35.

Annual Report and Accounts 2022-23

At the end of 2022, the transition period cameto a close for central government. We can now
therefore look back and assess progress made.
Transitioning to a 20-year rule was an enormous
task that effectively doubled the work for us andfor government departments, who were required
to review, select and transfer two-years’ worth of
documents each year in order to comply. Placesof deposit managed by local authorities have also
been required to complete the transition; theincreased activity has been supported through£7.1m ‘New Burdens’ funding over a ten-year
period, which we distribute annually. This extra
resource enabled local places of deposit to
implement different approaches to the work,
including collaborating more closely with record
creators to prepare material before transfer.
Local places of deposit have two further years
to complete the transition, with a final round offunding being distributed in 2025.
Much has been accomplished during thetransition period. Many more records weretransferred to us during this time than in theprevious ten years, with the vast majority now
available to the public. Departments have been
prompted to better understand their holdings toan extent that would have been unlikely without
the focus of this project. But there is still work
to do. Significant challenges were encountered:882
2013-142014-15 800

2015-16

2016-172017-18

889

1,492

1,663

1,343

2,018

3,628

2018-19

To make way for the many records
we receive, including accessions fromgovernment departments, the MoD service
personnel records, plus the future transferof the Parliamentary Archives (read more in
our case study on page 13), we have been
exploring options to increase our storage
capacity. During 2022, we began developing
a new storage strategy to best evaluate
opportunities for off-site storage andmake the most of our site at Kew. To meet
immediate demand, we have created a new
repository space at Kew and are working onsustainable solutions to meet the longerterm challenges of preserving physicalrecords.

2019-20■

It is our statutory duty as the nation’s archive
to receive and preserve the records of UK
Government departments. Once these records
come into our care, we make them accessible
to the public – except where exemptions under
the Freedom of Information Act 2000 apply – sothat everyone has the opportunity to look at
how government operates, makes decisions andputs policies into effect. Previously, records had
been transferred to us 30 years after they werecreated, but in 2013 the UK Government begantransitioning to a new system in which they aretransferred after 20 years. This was a majorchange to the way public records are managed
and was intended to maximise openness andtransparency. Two years later, the rule also cameinto effect at places of deposit around Englandand Wales for records relating to public bodies
such as Magistrates’ Courts and the NHS. You
can read more about the history of the 20-year
rule on our website.

1,007

Our vast multi-year project to transfer
historic Ministry of Defence (MoD) service
personnel records continues to build
momentum. The past financial year was thesecond full year of the project and progress
remains on target, with around 4.5 million
records successfully transferred to date.
This is a major project, which will havesignificantly expanded our holdings by thetime it is completed in 2027. An undertakingof this scale tests our storage capacity andaccess provision, but with these challenges
have also come opportunities to develop
our expertise. As the transfers continue,
our project team is working hard to build
internal capabilities, with preparing for
digitisation a priority for the coming year.

Our vast multi-year project totransfer historic Ministry of
Defence (MoD) service personnel
records continues to build
momentum.

CASE STUDY:
End of the transition to the 20-year rule2020-21■

Information Commissioner’s Office issueda Practice Recommendation outlining an
expectation that our compliance rate would
improve. We will continue to work to makethese important records available to the
public over the coming year.

2021-22second term in office. They chart thepriorities and pitfalls of policymaking,his relationship to his US counterpart,
President George W. Bush, and reveal
personal insights through some unusuallydetailed candid annotations. We also madeavailable to the public MI5 records relating
to the Profumo Affair, the Cambridge spy
ring and the former leader of the USSR,
Josef Stalin. Our file releases once again
generated wide media attention, bringing
our records to audiences across the UK andbeyond.

011

OUR YEAR

3,191

OUR YEAR

2022-23010

Accessions from government departments
to The National Archives(linear metres)

twice as many records were eligible for transfer
than had been anticipated and the COVID-19
pandemic set timeframes back substantiallyfor some departments. Many records still await
review, a process that evaluates whether they
are eligible for transfer and whether they shouldbe ‘open’ or ‘closed’ records, which is completed
in collaboration with the Advisory Council of
National Records and Archives (ACNRA)—see
page 124 for the ACNRA’s Annual report.
Compliance with the 20-year rule remains highand continues to improve. Nevertheless, thiswork will entail sustained investment and focus
over the next few years. We look forward toworking with colleagues across government andwith the ACNRA as progress continues.
Looking beyond the transition period, our next
step is to review priorities moving forward. As
we embark upon the next phase of our strategy
to become an archive for everyone, there will
be new challenges to preserving the publicrecord, particularly as digital technologies are
rapidly changing the way records are createdand captured. Another enduring task will be
to balance sensitivities in the records withaccess to information. The transition to the
20-year rule has had a substantial impact on
the way records are transferred demonstrating
the complexities in records management foreveryone involved, from record creators toarchive professionals. A collective effort acrossgovernment will be needed to build on its
achievements and continue the vital work ofpreserving the public record.

Annual Report and Accounts 2022-23

012

013

OUR YEAR

CASE STUDY:
Parliamentary Archives
After the decision was taken last year
to relocate the Parliamentary Archives
collections and services to our site at Kew,
preparations have now progressed to thetransition planning stage. The collections are
due to start moving at the beginning of 2024
and we anticipate that the project will becompleted by the summer of 2025.
The Parliamentary Archives are currently basedin Victoria Tower at the Palace of Westminster(photo: Simon Barnes)

In February, the Keeper signed a Memorandumof Understanding with the Clerk of the
Parliaments to govern our joint working
until a formal deposit and service transfer
agreement is finalised. We have been working
with Parliamentary Archives staff to explore
our operating model, ready to welcome theirpeople and records to Kew in the coming years,
and are glad that our specialist facilities will
ensure continuing access to the importantcollections in their care.

The collections are due to startmoving at the beginning of 2024 andwe anticipate that the project will becompleted by the summer of 2025

Digital transformations■■

To make way for the many records we
receive, we have been exploring options
to increase our storage capacity.

Annual Report and Accounts 2022-23

It has been a transformative year for our
digital capabilities. Our historic mission
to preserve the public record continually
evolves along with the nature of that record,
and new technologies demand a stepchange in our capabilities. Over the past
year alone, we have launched multiple key
programmes that reshape the way judicial
records are captured and presented forthe public and provided 330 million digitalrecords to online users. Over the next
four years, we will be consolidating andexpanding our digital infrastructure readyto be able to accession near-contemporary
digital records at scale, via a more holisticoffer for both the UK Government and thecourts.
Our new Find Case Law service is now
up and running and the programme that
underpins it, Transfer Digital Records (TDR),
is being used daily by the Supreme Court,High Court and Court of Appeal. Thesecutting-edge digital technologies enable us
to accession Court Judgments and Tribunal
Decisions for the first time, important

judicial records that complement our othercollections of public records. The service
also improves the accessibility of theserecords, making them available in a variety
of digital formats. TDR met its project goalfor 2022, reaching the public beta stage andfacilitating over 5,300 successful transfers.
We have since been working on enhancing
the service further so that it can receive
both ‘open’ and ‘closed’ digital records andhave been investigating ways to managetransfers direct from the Cloud. You canread more about Find Case Law in our casestudy on page 15.
■

Another major project, Lawmaker, has beengetting into its stride over the past year.
This inventive drafting service aids clerks in
the UK Parliament and Scottish Parliamentto create Bills and Statutory Instruments. By
the end of March, around 500 users werealready using the service – an impressive
start for a complex legislation resource– and our priority has been providing
users with rapid and effective support asthey get set up on the new system. We

Annual Report and Accounts 2022-23

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OUR YEAR

are continually improving performanceand stability and will continue offering
incremental updates over the coming year.
Our aim is to ultimately roll out the service
to secondary legislation drafters across the
UK and Scottish Governments.
■■■

Through the UK Government Web Archive,
we continue the crucial work of capturing
the government’s online activity. We
archived an average of 200 websites every
month through 2022-23, including key
material documenting the death of Her Late
Majesty Queen Elizabeth II, the appointmentof Prime Ministers, the rising cost of living
and the invasion of Ukraine. Over theyear, we recorded over 897,000 sessions,archived over 100 Clinical Commissioning
Group websites as part of the government’s
Health and Social Care reforms, as well as
capturing the legacy of the COP26 climate
conference in Glasgow in 2021.
The Gazette fulfilled its role as the official
newspaper of record throughout a year of
momentous events with the death of Her
Late Majesty Queen Elizabeth II and theaccession to the throne of King Charles III.
We published an extraordinary edition of
The Gazette announcing the demise of the
Crown on 9 September 2022, followed by aspecial supplement featuring the Accession
Proclamation. This time-honoured
publication has been providing the publicwith a reliable register of state events since
1665 and today forms part of the Keeper’s
official duties as the King’s Printer andController of His Majesty’s Stationery Office.
Our ability to become a living, growing
digital archive also depends upondeveloping technologies behind thescenes. Our infrastructure work won
awards in 2022, with our innovative digitalpreservation risk model, DiAGRAM, taking
the international Decision Analysis Society
and Society of Decision Professionals
Practice Award. We have also been
investing in our catalogue infrastructure.
This expansive multi-year project to bring
together the information spanning both
our physical and digital holdings madegood progress this past year, as aroundeight million item-level records wereextracted and transformed from thecurrent database into our new data model.
Our four-year programme to Secure andAnnual Report and Accounts 2022-23

103,993
amendments tolegislation
over the past
twelve months
Expand the Digital Archiving Infrastructure,
which provides an essential scaffold for ouruser-facing services, is also on track at thehalf-way point.
■■

The website legislation.gov.uk remains
a comprehensive repository for UK
legislation—a vital source of legal certainty
and information for the public. We strive
to publish Acts and Statutory Instruments
precisely and swiftly, recording 103,993
amendments to legislation over the past
twelve months—a 1% increase on lastyear. This unrivalled online compendium
has also enabled us to provide expert
advice to government over the past year,with our extensive analysis of legislation
informing preparations for the Retained
EU Law (Revocation and Reform) Bill. New
legislation resulting from the Bill will bemade available online, supported by extra
funding from HM Treasury, for the next two
financial years.
We are transforming our website
www.nationalarchives.gov.uk so thatonline users encounter us more often
and explore the past more easily. The
second year is now complete of this longterm project to reinvigorate our online
presence, called Project ETNA: ‘Exploring
the nation’s archives’. This year we werepleased to release the first glimpse of the
new service as a public beta in ‘Stories fromthe Collection’, where our experts bring ourrecords to life through blog posts, podcasts
and videos. With upgrades of this scale, it
is crucial to maintain access to our services
throughout the transition period. We
have moved our catalogue search engine,
Discovery, to the Cloud to bolster its
resilience and hope to minimise disruption
to users as much as possible as we roll out
more new features.

015

OUR YEAR

CASE STUDY: Find Case Law
Find Case Law is a new service from The National
Archives that gives people instant access tothe court judgments and tribunal decisions of
the Supreme Courts, Crown Courts, and other
Senior Courts. This is brand new technology that
we have developed to make court judgments
available to view more quickly and easily. Thanks
to Find Case Law, as soon as a new judgment or
decision is handed down at the end of a case,the clerk now sends it straight to us to publish
online and preserve. The information is available
whether you are using a mobile phone, tablet
or laptop—a major advance in making theserecords accessible. It can also be re-used by legal
professionals via a new Open Justice Licence that
we developed with the judiciary specifically forthese records.

The information isavailable whether you
are using a mobile phone,tablet or laptop—a majoradvance in making themaccessible. It can also
be re-used by legal
professionals via a newOpen Justice Licence that
we developed specificallyfor these records.
Find Case Law is an important step in helping us
to aid legal certainty in the digital age. Judgments
are some of the most important records of the
UK’s judicial system. They set out the facts of thecase, the arguments of the parties, the relevantlaws, the decision of the court and the reasonsfor the decision. This data can also be re-used

under licences so that the administration ofjustice is protected and transparent. Judgments
are extremely rich public records and have clear
legal, social, economic and historical value forthe present day and for posterity. They are also a
crucial part of our history as the nation’s archive,
as some of the earliest records kept by the state
were court judgments, in the days when ourpredecessors preserved the documents createdby the medieval Court of Chancery. During thenineteenth century, a campaign to make theserecords available to the public for free attracted
support from figures including Charles Dickens
and Thomas Carlyle. Find Case Law is anotherstep in the process towards open justice.
Find Case Law is still in the development phase,
so we are working closely with our partners in
the judiciary to make sure the technology meets
their needs, along with those of users. The highfrequency, low volume transfer model meansthat records are transferred earlier, lowering therisk that files get lost or damaged, but creating
digital records fit for many different users
nevertheless poses technical challenges; youcan read about how the team has met these on
their blog. As we shape the service over the next
few years, it will teach us much about what thedigital archiving of the future looks like: how tohelp record creators by computing metadata
beforehand, for example. Developing systems
like Find Case Law, capable of managing valuable
contemporary records, securing them for future
generations and providing quick, straightforward
public access, provides a blueprint for ourtransition towards a living, digital archive.

Find Case Law is still in thedevelopment phase, so we areworking closely with our partners
in the judiciary to make sure thetechnology meets their needs, alongwith those of users

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OUR YEAR

As we embark upon a new business plan, we wantto cement this recovery into greater and stronger
connections with our collections, in person and online,
across the country and in new environments.

Our exhibition Treason: People, Power & Plot opened in November 2022.

Annual Report and Accounts 2022-23

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OUR YEAR

Access and engagement■

Providing access to public records is at theheart of all we do. Over the past year, wehave seen demand for our records rise backto almost pre-pandemic levels, producing
92% of the number of documents we did in
2018-19. When we launched our strategy
Archives for Everyone in 2019, we could nothave foreseen how crucial it would be tooffer diverse ways to access our collections,but through the pandemic and since wehave striven to keep the public record
open to as many people as possible. As weembark upon a new business plan, we wantto cement this recovery into greater andstronger connections with our collections, inperson and online, across the country andin new environments.

■

Our readers viewed nearly 475,000
documents on site during the past financial
year – 30% more than the previous year
– plus higher demand from government
departments, too. Providing prompt accessto documents is one way we measure our
performance, aiming to produce themwithin an hour of a request, but, due toresuming our ‘on demand’ service and thesheer number of requests, this was slightly
lower this year at 89% (for more informationon our input indicators, see page 35).
Overall, though, reader satisfaction
remained high at 96%. Across the year, ourcustomer teams welcomed over 37,000
visits to our reading rooms and responded
to over 25,000 email queries, 400 letters and11,000 online enquiries.

■

Our exhibition on Treason: People, Power andPlot opened in time for Guy Fawkes’ night on
5 November. Through tales of betrayal anddissent, we brought together for the firsttime iconic documents about Guy Fawkes,
Anne Boleyn, Charles I, and many others.
The exhibition led audiences through thecenturies, revealing how definitions oftreason – and power – could be dangerously
flexible. Fascinating insights were provided
by speakers including Philippa Gregory,
Robert Harris and Tracy Borman and we
hosted our first event in collaboration
with the US National Archives and Records
Administration. The exhibition proved
popular, welcoming 16,800 people by theend of March 2023—exceeding our visitor
target by 23%. We also explored new ways

to showcase our records for this exhibition,
producing our first accompanying book,
A History of Treason, and online tour.
Exhibitions are an essential part of ourpublic work, allowing people to experience
our records in all their rich historical context
and significance.
■

Alongside our exhibitions, we haveembarked on a multi-year programme toimprove our wider on site visitor experience
this year. Our public offer has steadilygrown since the COVID-19 pandemic andour programme goes from strength tostrength, seeing nearly 75,000 visitors onsite over the past financial year – 36% morethan last year – including over 22,000 visits
to our two exhibition seasons. As more
people return to in person events, our onsite services have seen activity approaching
pre-pandemic levels, with our on site shop
takings up 14% at nearly £144,000 andonline sales steady at over £203,000. In
early 2023, we started opening on Sundays
so that we can reach different audiences
and signs so far are promising, as 68% ofvisitors to our Treason exhibition were new
to us. We’ve also been renewing our public
spaces and updating our signage to makeour Kew site more accessible for first-time
visitors. An impressive 93% of visitors said
they were satisfied or very satisfied andour VisitEngland score continues to climb
at 90%. As we build on these successes, ournext exhibition for 2023, Spirit of Invention,aims to draw new audiences again withinteractive exhibits inspired by curiosities
in our Victorian Board of Trade design
registers.

■

We marked several occasions of nationaland historical importance over the year. In
June 2022, we celebrated Her Late Majesty
Queen Elizabeth II’s Platinum Jubilee bydigitising a collection of documents looking
back on her life and snapshots of her royalancestors. For schools joining in with theoccasion, we produced a set of resources.
Following her sad passing in September, we
invited people to express their condolenceswith us. The official records we captured ofthis moment will form part of our collective
national memory for the future.

■

On social media, we now have over 376,000
followers across all channels and ourcontent has generated more than 20 million

Annual Report and Accounts 2022-23

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OUR YEAR

impressions. This media reach ensures
public awareness remains strong, with 83%
of people saying they had heard about
our work.2 Treason season also spoke toaudiences far and wide—23% of visitors
were recommended by friends and family,
20% noticed our adverts while out andabout and 15% found us through our guest
episodes on The Rest is History podcast.
As we enter a new exhibition season, we
will continue finding new ways to meet
audiences across the digital sphere.
■■■

We continue to grow our Education
programme. From April 2022 to March
2023, we reached over 19,000 students
in workshops – a record for our service –either on site, online or offsite, or throughour Special Educational Needs and Disability(SEND) programme. Over 87% of teachers
rated our sessions ‘excellent’ and people
said our resources were ‘fantastic’ and‘pitched appropriately and fitted perfectlywith our GCSE unit’. We delivered 85% of
these sessions to state schools and 49%
to schools beyond the South East. Of ourstudents, 22% attended a school with above
average ethnic minority backgrounds and
30% attended a school with above average
take-up of free school meals. We continue
to monitor where our sessions can makean impact as part of our wider work on
inclusion (read more on page 29).

broadcast studio and new spaces for our
ever-expanding education work. The Centre
significantly enhances our capacity for onsite and digital learning, helping us fulfil
our ambition to open up our collections formore people to enjoy.
■■

Ireland, 1793–1803: From Rebellion to Union’.
■We started a new schools programme in2022 called ‘20s Streets’, building on thevery successful 1921 census release, to givechildren the chance to use census records
and local archival material to uncoverstories from their neighbourhoods in the‘20s. Working with schools in Accrington,
Wakefield, Falmouth and Tower Hamlets,
this project enabled communities acrossEngland to encounter us in new ways andreceived positive feedback: 100% of people
who took part rated the activities very goodor excellent!
We are very grateful to the Friends of
The National Archives for their generous
contributions, which each year help us domore and reach more people. This year,
they funded important projects, including
a filmmaking project for young peoplecelebrating 'LGBTQ+ lives in the archive’,
inspired by our collections, and a research
project on ‘The Home Office Papers andOur 20s Streets schools programme connectedchildren and archives around the country

2 A quarterly prompted awareness survey asked 1,000 nationally representative adults:"How familiar are you with The National Archives?”

Annual Report and Accounts 2022-23

We want to thank our volunteers, whose
help this year has seen several important
cataloguing projects to completion. They
have now finished diligently cataloguingthe records of over 200,000 individuals
in the Prisoner of War & Civilian Internee(WO 416) series, enabling these records tobe opened to the public for the first time.
Their other valuable work on catalogue
descriptions for Second World War diaries
from South-East Asia (WO 172) will enable
researchers to delve further into the series.
Improvements to catalogue information
for Colonial Office Correspondence for
Mesopotamia in the period 1921-1926(CO 730) will allow these increasingly
popular records to be better understood.
In early 2023, one volunteer also made theserendipitous discovery of a letter by J. R.
R. Tolkein, who was writing to the British
Council about funding for his research into
early English languages. To discover what
other hidden treasures might be lying in
our collections, join our volunteers.

Every year, we produce a
substantial amount of original
research that enhances ourcollective understandingof the histories we share,
illuminating the clues held
within archival records sothat we can not only makesense of our past, but learn
things about our present andour future, too.

{With institutes across the UK and theUS, we have been exploring maps andbotanical drawings made between
1780-1850 in Latin America and Asia
for export to Europe or North America.
The project, ‘From Lima to Cantonand Beyond: An AI-aided heritage
materials research platform forstudying globalisation through art’, uses
advanced imaging and material analysis
techniques to streamline how data iscollected and interpreted for these richvisual records, to aid future insights
into historical trade and informationexchange networks.

{The ‘Our Heritage, Our Stories’ projectis working with communities andcommunity-generated digital content,
using AI tools to enrich data forpeople to explore and cross-searchwith our catalogue, Discovery. Led by
the University of Glasgow, with the
University of Manchester and archiveand library partners across the UK,
this project is part of the Arts andHumanities Research Council’s ‘Towards
a National Collection’ programme.

{‘Teaching the ‘Voices of the Victorian
Poor’’ built on the success of ourcollaborative project with the Universityof Leicester into the Poor Law, ‘In
Their Own Write’, to develop an open
database of the archival materials, plus
free educational resources, interactive
mapping, videos.

Collections and research■

We’ve also launched a new video series
called Spotlight On, which illuminates iconic
documents such as Domesday Book,
complete with resource packs ready to use
in the classroom. Our outreach team also
nurtured some thought-provoking creative
projects this past year. Records relating to
the Irish War of Independence inspired two
audio plays: The Bulletin, by Barbara Bergin,and Persons Unknown, by Fin Kennedy.
We continue to develop our partnershipwith The National Archives Trust (NAT)
following its launch in February 2020.
Thanks to a generous £500,000 grant to theTrust from the Clore Duffield Foundation,
we completed our new Clore Learning
Centre at Kew, ready to open in May 2023.
This Centre is the first of its kind in a UK
archive, hosting two production studios, a019

OUR YEAR■

Research is an important part of our
mission. Every year, we produce a
substantial amount of original researchthat enhances our collective understandingof the histories we share, illuminating
the clues held within archival records sothat we can not only make sense of ourpast, but learn things about our present
and our future, too. Over the past year,
we have produced dozens of research
publications and our projects have madeheadlines around the world. Read more
about our research in our case study on
page 23. Testing out new ideas not only
helps us drive forward current thinking
in archival theory and practice, but alsodeliver our strategic objectives and addressorganisational challenges. To ensurethat our work continues to align with ourpriorities to disrupt and innovate, we havealso renewed our approach to research
this year, designing our future projects to
support strategic delivery.
Our major research partnerships continue
to propel innovation in archive theory andpractice, backed by over £500,000 from UK
Research & Innovation (UKRI):

Annual Report and Accounts 2022-23

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OUR YEAR{■■

Our project ‘Digital approaches to thecapture and analysis of watermarks
using the manuscripts of Isaac Newton
as a test case’ has been using AI to workon automated analysis for watermarks,
which in future will aid the process fordating manuscript collections.

issues’ and would encourage them to‘approach AI projects in a different way’.
■

The flagship conference we run with Jisc
and Research Libraries UK, Discovering
Collections, Discovering Communities,
returned for a second successful virtualyear in July. The conference explores
current research and practice in galleries,
libraries, archives, museums and academia,
focusing in 2022 on digital innovation andtransformation—a key area of our work. The
conference will be back in 2023 with a fully
hybrid experience and welcomes the British
Library as a new partner.
Our research events bring people together
from across professions to generate
conversations on the topics that matter. In
March, our brand new ‘History and Archives
in Practice’ conference co-organised with theInstitute of Historical Research and the RoyalHistorical Society was a sell-out success;the inaugural event explored the theme‘Collecting Communities: Working together
and with Collections’. Our Annual Digital
Lecture showcased innovative research,too, with Professor Kate Crawford from USC
Annenberg speaking about ‘Ground Truth: In
the Archives That Train Machine Learning’.
Attendees said the event gave valuable‘insight into ethical and environmental

Our Medieval records specialist Dr Euan
Roger made a remarkable find in 2022.
In collaboration with Prof. Sebastian
Sobecki from the University of Toronto, he
uncovered documents shedding new lighton the life of the medieval poet, Geoffrey
Chaucer, from the Court of King’s Benchcollection (KB 27) and Common Pleas (CP40). The records bring a new perspective
to Chaucer’s role in a controversial courtcase and is the first new evidence on his life

Through our archival skills training
workshops, we help nurture theresearchers of the future.
in over 20 years. The find led to a special
issue of the journal Chaucer Review, a sellout online event with over 700 people, andinternational headline coverage.
Through our archival skills training
workshops, we help nurture the researchersof the future. In the past year alone, we haveintroduced over 400 university students tooriginal documents and how to work withthem. We are also committed to enriching
our internal research culture, throughevents including writing retreats, monthly
writing groups, student symposia, and, asof 2023, a new Researcher Development

New academic research provided new perspectives on Chaucer (catalogue reference KB 136/5/3/1/2)

Annual Report and Accounts 2022-23

programme. We have been hosting two
Research Fellows working on areas where
we are trying to develop our understanding:photography, and data visualisation andstorytelling. We have a vast collection ofvisual records, which is encouraging us
to work with records in new ways, and asarchive professionals we are always trying
to discover the stories that data holds.
Investing in people is a crucial contribution
to the sector we lead, nurturing the current
and future practitioners whose ideas andexpertise benefit us all.
■

■

021

OUR YEAR■

We are growing our ambitions for our
grants programmes, devising newprocesses to transform our approach todelivery, compliance and risk. We now offer
enhanced project management support
to staff holding grants, consolidating not
only financial management for individual
projects but also our understanding of
the organisation’s overall portfolio, so that
we can work more strategically towards
our objectives. Since April 2022, we havesecured nearly £650,000 in external
income for our research activities. Eachproject helps build our collective researchexpertise, which, in turn, helps us share ourunderstanding and practices with others inthe sector.
Events and exhibitions around theworld help our records reach people
far beyond the reading rooms. Overthe past twelve months, over a million
visitors have experienced physical items
from our collections through 31 loans to
11 exhibitions around the UK, Europe,and further afield. One of our mostmemorable collaborations was making
preparations to mark 25 years since thesigning of the Belfast Agreement (GoodFriday Agreement). Ready for a series ofcommemorative events across Northern
Ireland in April 2023, we have been working
with the Public Record Office of Northern
Ireland and the Northern Ireland Office
to exhibit the UK copy of the Agreement– the first time it will have been on public
display in Northern Ireland. The Northern
Ireland Office also commissioned us todevelop educational resources for launch
by Secretary of State, Chris HeatonHarris. This dynamic partnership puts into
action our belief that archives hold thepotential to build bridges towards mutualMusical manuscript discovered among the Prize
Papers collection (catalogue reference HCA
32/111B (G11r))
understanding, even when our histories
contain conflict.
■

We are forging ahead with our work on
the Prize Papers, a sprawling collectionof documents and artifacts legally seizedfrom ships by the British Royal Navy
between 1652 and 1817. The collection
contains material relating to maritime,legal and commercial matters during an
era of exploration, land capture and violent
oppression. It therefore testifies to thelives of not only sailors, passengers andcorrespondents, but enslaved people onboard some of the vessels. This project,

Over the past twelve months,
over a million visitors haveexperienced physical items fromour collections through 31 loans
to 11 exhibitions around the UK,
Europe, and further afield.

Annual Report and Accounts 2022-23

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OUR YEAR

Our 'Unheard opera' exploreda collection of musicalmanuscripts, containing pieces
believed not to have been
performed in several centuries,
which had been discoveredin the personal effects of anearly nineteenth-century Dutch
merchant ship officer Jan Bekker
Teerlink.
in collaboration with the University of
Oldenburg and the German Historical
Institute, will provide new insights intocolonial expansion and, as such, the project
team is approaching the material withconsideration for the different experiences
it documents. One illuminating find so far
from the collection was brought to life inearly 2023 with a sell-out event supported
by our Strategic Research Fund. Our'Unheard opera' explored a collection ofmusical manuscripts, containing pieces
believed not to have been performedin several centuries, which had been
discovered in the personal effects of anearly nineteenth-century Dutch merchantship officer Jan Bekker Teerlink. As thePrize Papers project unfolds, we are keen
to share what else this collection holds,
whether tales of discovery or oppression, sothat we can better understand this defining
period of European history.
■

Our exceptional research facilities
and expertise in heritage science andconservation enhance the wider UK cultural
heritage sector. This past year we havebeen working on a number of exciting new
projects, including analysing the secrets
contained in Admiral Nelson’s uniform with
the National Maritime Museum, investigating
the materiality of rare Armada maps with
the National Museum of the Royal Navy, andexploring dyes in King Charles I’s execution
shirt at the Museum of London.

Annual Report and Accounts 2022-23

023

OUR YEAR

CASE STUDY: Virtual Record Treasury of Ireland2022 saw the launch of a project to recreatea lost archive through the wonders of virtualtechnology. The Virtual Record Treasury of
Ireland (VRTI) is a rich online platform to explore
records from the Irish Record Treasury, which
was destroyed by a fire at the outbreak of
the Irish Civil War. On a single day in 1922,
seven centuries of Irish records were lost. One
hundred years later, thanks to an international
collaborative effort led by Trinity College Dublin,
along with founding partners the National
Archives of Ireland, the Public Record Officeof Northern Ireland, the Irish Manuscripts
Commission and us, the reconstruction opened
its virtual doors.
The project incorporates our extensive holdings
relating to pre-Independence Ireland, using
clerical copies and original records to recreate
substantial parts of the lost collection. It requireda major feat of collaboration to amass therelevant information; the project team compiled
an Inventory of Loss, with input from ourcollections specialists, then used Linked Open
Data principles to create an Inventory of Survival.
Colleagues across our research and conservation
teams provided crucial assistance in helping
identify and restore many records (hear more on
our podcast).
Analysis of Admiral Nelson's uniform from the
National Maritime Museum's collection

Our research provides lasting benefits not
only for the documents within the VRTI,
which can now be read, but also our broader
understanding of using imaging techniques on
faded or damaged documents. We are now
working with University College London andHistoric Royal Palaces to share our findings. The
VRTI has strengthened our connections withcolleagues in the sector and in government bothin Ireland and Northern Ireland, demonstrating
our belief that when we share the stories within
our collections, our collective understanding ofeven troubled histories is enriched as a result.
As a repository of memory, the VRTI serves as areminder of the importance – and fragility – ofthe public record.

Our research provides lasting benefits
not only for the documents within
the VRTI, which can now be read, butalso our broader understanding ofusing imaging techniques on faded ordamaged documents.
The project has also prompted further research
into accessibility issues unfortunately common
among archival collections in which the materials
used to inscribe or preserve a record havechemically altered over time, to the point thatthe document is no longer legible. Our heritage
science team has investigated two examples,the use of iron gall ink and gallic acid ‘treatment’applied later, using multispectral imaging,
x-ray fluorescence scanning and hyperspectral
imaging to improve readability.

Multispectral imaging techniques improved thereadability of documents featured in the Virtual
Record Treasury of Ireland project

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OUR YEAR

The archive sector■■■

After ten years of policy leadership forarchives in England, we have been reviewing
our approach to sector leadership thisyear ready to launch a refreshed offer insummer 2023. It has been a difficult year
for the sector, with inflationary pressures
tightening resources as some areas
continue to recover following the COVID-19
pandemic. As part of our aim to be aneffective leader and advocate, we havefocused our recent support for the sector
on meeting these challenges. Feedback
has been very positive: participants at ourCreative Income Generation sessions said
they provided “lots of ideas and avenues
to pursue in the future” and attendees at
our 'Reframe, Regear, Reset' workshops
found them a “welcome opportunity tothink in a different way about what we're
currently doing”. Despite a challenging
year, places of deposit eligible for the New
Burdens funding we distribute successfullyreceived 977 linear metres of public records
in the twelve months to March. With ourrevitalised leadership offer, we will continue
to support the sector in their vital work.
Over the past financial year, our regularfunding programmes have delivered
vital support through what has been achallenging time for many organisations:{

Our Archives Testbed Fund awarded
nearly £75,000 to support archives toenhance their sustainability and engage
local communities{

Our new Records at Risk and Resilience
Funds awarded over £103,000 to help
mitigate the rising cost of living andmaintain collections at risk{

We distributed £660,000 of New
Burdens funding to support the sector
manage the transition to the 20-year
rule (read more in our case study on
page 11){

Our cataloguing grants programme,
Archives Revealed, awarded nearly£380,000, in partnership with The

Wolfson Foundation and the Pilgrim
Trust, to open up ten significant
collections representing the lives andperspectives of people across thefour nations.
We are committed to supporting archives
to reach people around the UK and in thepast six years have provided more than
£2.9 million to the archives sector, with 74%
of our funding allocated outside of London
and the South East. We are currently
laying the groundwork for new funding
programmes and objectives designed withsector colleagues firmly in mind.

To replace the annual Archive
Services Statistics Survey,
we have developed our own
Local Authority Archives
Benchmarking Exercise, which
this year saw contributions
from 68% of services in Englandand Wales.
■■

3 Archive Service Accreditation is supported by a partnership of the Archives and Records Association (UK), Archives andRecords Council Wales, National Records of Scotland, Public Record Office of Northern Ireland, Scottish Council on
Archives, The National Archives and the Welsh Government through its Museums, Archives and Libraries Wales division.

Annual Report and Accounts 2022-23

We are developing various resources to help
the archive and conservation sector shareknowledge. Our knowledge sharing website,
ResearchSpace, which records conservation
practice and research, will be open to the
public later in 2023. We also have publisheda new inclusion hub on our website withdata and resources on inclusive practices,
as well as case studies, videos, and tools forcommunicating histories of conflict.

■

Over 540 collections were added toDiscovery by UK archivists using the Manage
Your Collections tool in 2022. The system
is now used by over 300 UK archives. Overthe year, we ran training webinars andworkshops on the tool and we continue toengage a range of stakeholders in using thetool and making collections more accessible
and discoverable.

■

In June, we celebrated the centenary of the
Law and Property Act 1922 with a reception
hosted by the Master of the Rolls at theRoyal Courts of Justice. The event was anopportunity to celebrate the project to digitise
the catalogues of manorial documents,
important records that centuries later retain
significant relevance for legal and research
purposes. In partnership with Nottingham
University, we also ran a conference tocelebrate current and innovative research
involving manorial records, the discussions
demonstrating the prevailing power of suchrecords to define land use and ownership.
Our thanks go to the members of theprevious Manorial Documents Panel who
helped bring this project to fruition. You canread about the Advisory Council on National
Records and Archives’ continuing work on
Manorial and Tithe Documents in their
Annual Report (page 124).

So that we continue learning from archive
professionals around the country, we havealso been working on gathering better data.
To replace the annual Archive Services
Statistics Survey, we have developed ourown Local Authority Archives Benchmarking
Exercise, which this year saw contributions
from 68% of services in England and Wales.
The Archive Service Accreditation
programme has resumed assessment
operations across the four nations andthere are now 176 accredited services.3
Some timetables for assessment havestill experienced disruption following the
COVID-19 pandemic, but we are working
hard to complete outstanding reviews. The
Archive Service Accreditation Committee
and its programme partners are now
planning a review as the programme’s tenthanniversary approaches.

025

OUR YEAR

Crisis Management Team, help safeguard
business archives. This year, we have beenworking with the Business Archives Council,
the Insolvency Practitioners Association andthe Institute of Directors to raise awarenessabout the importance of Managing BusinessArchives and digital preservation.
■

International collaboration■

Over the past year, we have joined archives
throughout the world in importantconversations on the future of archives.
Working closely with the International
Council on Archives (ICA), the Forum of
National Archivists (FAN), and colleagues insister institutions around the globe, we havebeen thinking through the issues that we as
an international archival community face.
We want to ensure we are making the mostmeaningful contributions to international
dialogues that we can and are reviewing ourinternational strategy, ready to relaunchlater in 2023.

■

As the conflict in Ukraine carries on, so do
our efforts to support archive colleagues
there to preserve their documentary
heritage. So far, we have taken 153
Terabytes across 27 million digital files into
our Digital Safe Haven and material is stillcoming in. We are committed to looking
after as much as we are sent, which we willhold in trust for the Ukrainian people foras long as the invasion continues. We areproud to be able to use our expertise andresources to help other nations protect theircultural heritage.

■

For many years, we have been actively
exploring the challenges of shared archival
heritage. We have facilitated important

For many years, we have been
actively exploring the challengesof shared archival heritage.
■

As policy lead for the sector, our expert
advice spans fields as diverse as businessarchives and cultural property. We monitor
hundreds of sales of archival material in thecommercial market each year to ensure ourguidance is based on the most up-to-date
intelligence and, as part of a cross-sector

We continue to invest in training futurearchive and research professionals who will
help provide trusted evidence, safeguard
transparency and unlock the compellingstories in collections across the country.
We saw over 800 people register onto our
Novice to Know How Learning Pathway
this year, plus we hosted a number ofdoctoral studentships and pairings via ourPeer Mentoring Programme. Our Bridging
the Digital Gap programme funded by the
Heritage Lottery Fund came to completion
this year after: you can read about
participants’ experiences on their blogs.

Annual Report and Accounts 2022-23

026

OUR YEAR

discussions at FAN meetings, including theInternational Council on Archives’ Expert
Group on Shared Archival Heritage. We
have begun a project closer to home,
too, to widen access to our record series
Foreign and Commonwealth Office andpredecessors: Records of Former Colonial
Administrations: Migrated Archives (FCO
141). In 2022, it was discovered that
documents in this series had been treatedusing a potentially harmful insecticide.
After conducting thorough testing via
external agencies, we established that it waspossible to continue our work to digitise
the records and they can now be accessed
without further potential exposure. Thanks
to research by our teams in Collections
Care, Digitisation and Collections Expertiseand Engagement, our findings on historicalpreservation treatments are now available
for the benefit of all archives. Digitising thewhole series is a task on a global scale andis anticipated to take around five to ten
years to complete. In the meantime, we arecommitted to working with colleagues inAfrican national archives towards agreed
approaches to shared archival heritage.

across the globe delved into the urgent
questions facing the archive andinformation management professional
communities: digitisation programmes,
artificial intelligence, resilient records
management, shared archival heritage andmemory, global collaboration and more.
Colleagues from nearly 30 organisationsin 19 countries over five continents shared
their experience and expertise withaudiences online.

resources and stories though art and culture.
Expanding access to our records via this work
is an essential part of our strategic ambition
to bring archives to people in new ways andunexpected places, whether that be throughthe classroom, genealogy websites, or thepages of the latest historical tome. Over the
next four years, as we implement our new
business plan, we will work to steer thisexpansion in line with our strategic ambitions.
■■

In September 2022, we were delighted
to join colleagues in person for the firsttime in a few years for the ninth annual
International Council on Archives (ICA)
conference, hosted in collaboration with
SOS Archivi and Symposia in Rome. The
conference was themed on Archives:
Bridging the Gap, speaking to our strategic
aims to become a more inclusive archive:
one that can bridge gaps between diverse
communities, life experiences and histories.
Colleagues from across the organisation
presented sessions on emerging issues fornational archivists and stewarded important
discussions on shared archival heritage.

Commercial activity■

After three years of virtual meetings, delegatesfrom The National Archives attended the 9th ICA
Conference in person in Rome in September 2022■

In April 2022, the FAN Virtual Conversations(#FANVC) took place online in collaboration
with the ICA and FAN. At #FANVC,
representatives from national archives

Our commercial activity continues to growand our partnerships proved productive
once again over the past year. As well as
generating vital revenue, these partnerships
add public value, too, with partners
increasingly offering greater access to records
relevant to communities around the globe.
Our licensing programme is one of the largest
in the world4 and our publishing activity
makes new research possible, in turn fuelling
new understanding of our past, educational

Our licensing programme is oneof the largest in the world andour publishing activity makes
new research possible, in turnfuelling new understandingof our past, new educational
resources and new stories
through art and culture.

027

OUR YEAR■

Licensing is integral to our mission to
become an archive for everyone. Making
our records available online allows people
to access them where they are, whether onthe-go or on the other side of the world. In
the past year, we have made over two million
new images available from our collections
via both commercial and non-commercial
partners. With AM (formerly Adam Matthew),
we launched new academic resources on‘Life at Sea’, ‘Colonial Caribbean’ and ‘Africa
and the New Imperialism’—read more about
how these will be available free to thoseregions the records concern as part of ourinclusion work on page 29. With Gale, welaunched new products on ‘Women’s Studies’and ‘Colonial Asia’, and with Coherent Digital
we released a new series on ‘Weimar Nazi
Germany’. In partnership with Ancestry, we
have made many important early-twentiethcentury genealogical records available
online for the first time, including on records
relating to the Women's Land Army and aselection of war diaries from 1942-1944.
The Genealogist is working on digitising theBoard of Inland Revenue Valuation Office’s
Field Books, this year publishing thoserelating to London and Buckinghamshire.
In all, our records have been viewed an
impressive 337 million times over the past
year via our partners.
In November, the Keeper signed a new
Memorandum of Understanding with theUnited Arab Emirates’ National Libraryand Archives, opening the door to further
collaboration opportunities. Our part ofPhase Two of the Arabian Gulf Digital
Archives project is now complete, having
digitised over 500,000 pages of ourdocuments ready to be published laterin 2023. We are delighted to be working
towards common goals and look forward
to seeing our plans come to fruition for the
benefit of both organisations.

■

We have re-launched our online Image
Library service, partnering with Capture UK
to create an online portal to serve business
users wanting to reproduce images fromour collections. The site holds approximately
80,000 images and is growing; it provides agreat shop window into our more visuallyarresting records.

■

We have also been making the most of ourspace at Kew. We have renewed our contract
with University College London to provide
storage and access to their Special Collections
on site and continue to host the Swedish
School of London and facilitate storage for
the Worshipful Company of Mercers. These
partnerships are proving successful ways toshare our scenic Kew location.

Our organisation■

We have seen some vital operationalchanges over the past year. To ensurethat we launch our new business planon firm corporate foundations, we havebeen updating our systems, renewing our
behaviours, and rethinking how we use oursite. Our People, Inclusion and Change teamhave been working with colleagues acrossthe organisation to distil what our strategic
aims mean in behavioural terms and, to help
us bring our vision and values to life, we are
now rolling out a behaviour framework.

Our commercial digitisation team promoted theservice at the Museums and Heritage Show at
Olympia London in May 2022

4 Based on royalties from partners such as Ancestry.

Annual Report and Accounts 2022-23

Annual Report and Accounts 2022-23

028
■

■

■

OUR YEAR

As we have transitioned away from theperiod defined by the COVID-19 pandemic,
we have been embedding more adaptive
and agile ways of working. Taking a teambased approach to our office space, we havebeen renewing our Kew site ready for more
flexible working environments. It has also
been a busy year for recruitment. We havebegun to see a shift in the market for digitaltalent due to the unique opportunities we
can offer at the very forefront of digitalarchiving technologies, but attracting andretaining talent remains a challenge for us
over the coming year. Staff engagement
was slightly lower than the previous yearat 69% (for more information, see page 35)
and so, as we evolve our approach to hybrid
working over the year ahead, we will focus
on inspiring our people and making surethat everyone feels connected, whether
working on site or in a hybrid pattern.
Our teams have been busy working
towards implementing a new Enterprise
Resource Planning (ERP) system. The systemcentralises financial and employment data,
enabling a cultural shift towards better
access to information and operational
analysis. This in turn will lead to moremature financial planning and faster
decision making, which helps us navigate
potential external pressures such as
inflation. With robust forecasting, we will bebetter equipped to monitor our objectives
and prioritise our activity through the fouryear cycle of our new business plan. We
will be rolling out the new ERP system oversummer 2023 and expect to begin seeing
the benefits later in the year.
As part of the Greening Government
Commitments, we are making preparations
towards more sustainable archival
practices.5 Overall, our greenhouse gas
emissions rose by 7% in 2022-23 comparedwith the previous year, because our activity
re-stabilised following the COVID-19
pandemic. Despite this, we continued toperform well against the government’s
targets for 2025, sending no operational
waste to landfill, reducing total waste
by 21%, increasing our recycling by 12%
and reducing our paper consumption by
33%. We expect that from next year our

5 Greening Government Commitments 2021 to 2025.

Annual Report and Accounts 2022-23

As new ideas, technologies,
and data about environmental
issues emerge, we arecommitted to leading archival
communities towards greater
readiness and resilience.
comparative figures will be more balanced.

the Southeast Asia Regional Branch of theInternational Council on Archives (SARBICA)
International Symposium. As new ideas,
technologies, and data about environmental
issues emerge, we are committed to leadingarchival communities towards greater
readiness and resilience.

■■

We have recently also improved datatransparency about the carbon emissions
associated with our data storage, which are
now publicly measured and monitored. The
data currently shows that these emissions
are relatively minimal, so our efforts to
reduce our impact will focus on other areasof our site. You can read more about ouron site initiatives in Annex A Sustainability
accounting and reporting on page 115.
We have also been supporting colleagues
across the archives sector to put in place
processes that keep environmental impact
in mind. We have contributed to free online
resources including the Digital Humanities
Climate Coalition toolkit and the Arts Green
Book: Sustainable Buildings. These tools
aim to accelerate and amplify sustainable
conservation practices. Through our new
Risk and Resilience programme, we funded
projects seeking to safeguard long-term
custodianship at archives in London,
Somerset, Cornwall, County Durham,
Greater Manchester and the West Midlands.
We maintain strong links with sector
partners, devising our new Carbon Literacy
Training to align with the Climate Heritage
Network’s new action plan and working
with the International Centre for the Studyof the Preservation and Restoration ofCultural Property (ICCROM) to improve theirsustainability toolkit for use throughout thesector. Through their Our Collections Matter
Initiative, we also funded three projects
at the Black Cultural Archives in London,
The Box in Plymouth, and Harrow Local
History Collection and Archive. In November
2022, we shared our initiatives aiming to
strike a balance between environmental
sustainability and collection preservation atreally important step in opening up more
inclusive routes into the sector as it offers
an equivalent professional qualification
to a Master’s degree, which may present
financial or educational barriers. We also
ran two government-funded Kickstart
placements in 2022, which support young
adults who are receiving Universal Credit.

Becoming the inclusive archive
■

■

029

OUR YEAR

Opening our collections to the widest
possible audience is the central missionof our public engagement work. For
people visiting our site at Kew, we offer an
Accessibility Guide and put on many events
throughout the year celebrating the diverse
stories within our collections. In the past year,
we’ve invited people to join us in interactive
activities such as our Pride portraits. To
help us reach new audiences beyond oursite, we also regularly partner with externalorganisations. This year, we took a look
into our collections via Black History Month
Magazine, as well as helping commemorate
the 50th anniversary of the migration andresettlement of thousands of Ugandan
Asians with BUA50, the British Ugandan
Asians at 50 event. By working collaboratively
within communities, we want to create newroutes into and through our collections.

■

Our commercial partnerships are also
helping us realise our ambition to be amore inclusive archive. AM (formerly Adam
Matthew) is making its ‘Africa and the
New Imperialism’ series permanently andfreely available to the national libraries andarchives of all countries within the African
Continent and its ‘Colonial Caribbean’
resources available free in the Caribbean.
In addition, Ancestry is digitising our entire
Office of Registry of Colonial Slaves andSlave Compensation Commission: Records(T71) series, which will be accessible free ofcharge on its website and on the website of
University College London’s Centre for theStudies of the Legacies of British Slavery.

■

We are working closely alongsideprofessionals across the sector to help makearchives more welcoming places to workand visit. In 2022, we launched a new online
training session for archivists on diversity
and inclusion, plus we’re developing a
Level 7 Archivist and Records Manager
apprenticeship for autumn 2023. This is a■

Our pioneering Black History Digital Portal
research project is now entering its second
phase. In collaboration with the Black Cultural
Archives, the Friends of Huntley Archives
at London Metropolitan Archives and theGeorge Padmore Institute, the project isdeveloping an online research portal thatbrings together archival records relating to
UK Black History with their historical contexts,
to illustrate the connections between ourrecords and with audiences.

■

Working with our colleagues in the
education sector is a key part of ourinclusion initiatives. Over the past year, wehave worked with thousands of teachersand hundreds of archivists to support
their skills with Special Educational Needs
and Disabilities. We published many new

Our inclusive illustrations helped support thearchive sector to foster a sense of belonging in as
many people as possible

Annual Report and Accounts 2022-23

030

OUR YEAR

1.2 Performance Analysis

resources, including a teachers’ book on
Diverse Histories and launched new online
education packs on the history of sugar
and tobacco, nineteenth-century protest
and, with Goldsmiths University of London,
the independence of Bangladesh. Our
resources have generated over three million
online interactions with our records acrossthe year and are at the heart of our public
engagement activity. Re-evaluating these
historical documents can provide an entry
point for audiences of all ages into complex
conversations on global politics, past andpresent. As we build an archive that is truly
for everyone in the coming years, we willcontinue to revisit existing histories withfresh eyes and actively seek out new stories
within our collections.

So that we can track ourprogress towards becoming amore inclusive archive, we havealso been developing our datacollection and analysis.
■■

We have been working hard internally tomobilise our aim to be an inclusive archive.
As we renew our practices and approaches
as an organisation, a central goal has been
to develop holistic processes to better
engage colleagues with Diversity, Equity andInclusion (DEI) issues. As part of this, we
appointed a new DEI team in summer 2022,
who have been working collaboratively
on our culture programme, bringing anintersectional lens to internal networks,
leading staff events and drop-in sessions,and growing confidence around records
relating to historic injustices.
So that we can track our progress towards
becoming a more inclusive archive, we havealso been developing our data collection
and analysis. We have been working on
a project to create Better Data Stories,
collating the reporting already happening
across teams. Currently, we ask people
who attend our events for the public andfor academic audiences to tell us about
themselves. We also collect data on the

Annual Report and Accounts 2022-23

031

PERFORMANCE ANALYSISThe Public Sector Budgeting Framework
The budgeting system is designed to support
the government’s public spending. Estimates
are the mechanism by which Parliamentauthorises departmental spending and arepresented using the public sector budgeting
framework. Estimates require Parliament tovote limits for different budget categoriesof spending. For The National Archives, thecategories are:

We helped commemorate the 50th anniversaryof the migration and resettlement of thousands of Ugandan Asians in autumn 2023 by
hosting the British Ugandan Asians at 50 event
socio-economic status of the schools wework with, recording ethnic demographics
and the number of students eligible forfree school meals. Our Grants Office isdeveloping our data on grants awarded
and one of the team’s main objectives for2023-24 is to develop individuals in order tosupport a wider range of grant bidders in
the future. Over the coming year, the Better
Data Stories project team will be looking
to standardise what data we collect fromthe people who use our services, so that
we can better understand our audiencesand enhance our focus and our aims as
an organisation. As we assemble more
coherent, comprehensive stories fromour data, we will then be able to beginidentifying how our future activity can bestreach new audiences.

■

Net Resource Departmental Expenditure
Limit (RDEL)■Net Capital Departmental Expenditure
Limit (CDEL)■

Annually Managed Expenditure (AME)£'000

The RDEL budget is further split into
Programme, which covers expenditure on
front line services, and Administration, which
covers all other expenditure not included in
Programme.
Departments are required to report outturn
against Estimate (see Statement of Outturn
against Parliamentary Support (SoPS)
statements). A breach of any of the budget
limits would result in an Excess Vote.
A summary of The National Archives’ outturn inall categories compared with 2022-23 is shownin the table below:

2022-232021-222020-212019-20

2018-19

Income(14,346)(12,678)(10,981)(13,484)(10,281)

Expenditure

60,522

52,91847,47949,481

44,778

CDEL

5,296

6,383

3,524

2,836

2,765

AME

(5)

(142)

-

(10)

(16)

51,46746,48140,02238,82337,246

RDEL

Total Expenditure

The Common Core tables detailing financial expenditure for the current Comprehensive Spending
Review can be found on The National Archives website: https://www.nationalarchives.gov.uk/
about/our-role/plans-policies-performance-and-projects/our-performance/.

Annual Report and Accounts 2022-23

032

FINANCIAL MANAGEMENT COMMENTARY

Financial management commentary
Parliamentary support – Income andexpenditure
Our net resource and capital outturn was£51.5 million compared to the HM Treasury
net allocation of £52.8 million: a £1.3 million
or 2% variance.
Our resource outturn was £46.2 million
compared to a budget of £46.9 million. The
variance of £0.7 million (1%) was largely driven
by an underspend of £0.6 million in our ringfenced depreciation budget, due to some assets
under construction not being complete at yearend and thus not yet depreciable.
Our capital outturn was £5.3 million against
a budget of £5.9 million. The underspend of£0.6 million was in part due to the timing of
Estates projects with a number due to finish
in the final quarter of the year, leading tosome slippage of costs. There was also someunderspend against our digital capital projects
due to reprofiling of activity plans.
Total net operating expenditure
Total Net Operating Expenditure, shown on
the Statement of Comprehensive Expenditure,was £46.2 million (2021-22: £39.2 million). This
excludes the £5.3 million of capital spend thatis part of the Parliamentary Support statement
above and the Statement of Outturn against
Parliamentary Support (SOPS). The net figures are:i.

Total operating expenditure

Total Operating Expenditure for delivering
our remit as the official archive and publisher
for the UK Government, and for Englandand Wales, was £60.5 million (2021-22: £52.8
million). Staff costs amounted to £29.1 million(2021-22: £26.5 million) with the numberof employees increasing by 13 Full Time
Equivalent (FTE) during the year to 590 at the
year-end (2021-22: 577). A further £0.6 millionof staff costs were capitalised as part of Digitalprojects (2021-22: £0.8 million).
Operating Expenditure, excluding staff costs,
depreciation, provisions and audit charges,
amounted to £24.2 million (2021-22: £20.1
million). This increase was in part driven by a £2.4
million increase in Contracted Services, to support
Annual Report and Accounts 2022-23

continued development of our digital services andthe ongoing transfer of records from the Ministryof Defence. The increase was also driven by
inflationary pressures across our cost base.

Performance against our business priorities
Goal

How we were to achieve thisStatus at end 2021-22

Deliver and expand the Find Case
Law service to publish selected
court judgments and tribunal
decisions quickly, accessibly, andwithout issue.

Completed

Secure and expand the digitalarchive. Reduce the risk ofcurrent digital holdings via
effective hardware and software
procurement. Expand ourcapacity for increased digital
holdings via transfer (TDR),
Access, and Search (Catalogue).

Completed

Transfer service personnel
records as part of the multiyear Ministry of Defence service
personnel transfer programme.

Completed

Take the collection to
new audiences

Grow a bigger and more diverse
audience on site, offsite andonline to better serve thecommunities we represent.

Completed

Realise the value ofarchives throughresearch, innovation andcommercial exploitation

Build our grants portfolio andimplement our new strategic
approach to research to enablepioneering research that
benefits The National Archives,
our audiences and the wider
economy.

Completed

Lead the archives
sector to a secure andsustainable future

Consult on and implement a new
approach to sector leadership,delivering a clearly defined roleadvising government on policy
for the archives sector andadvocating for its financial andother support.

Completed

Change the way we work

Deliver a culture programme,
including a hybrid working model,
and an Enterprise Resource
Planning (ERP) system to embedthe values and behaviours
required of an archive foreveryone.

Partially Completed
Our behaviour frameworkhas been delivered and iscurrently being rolled out. Our
hybrid working plan is nearlyat completion. We remain on
track for a July launch of our
ERP system.

ii. Total operating income
Total Operating income for the financial year
was £14.3 million (2021-22: £13.6 million). The
increase was driven by increased income fromour reprographics service, licensing sales and
The Gazette.
Total capital expenditure

Capture the record andaid legal certainty

Total Capital Expenditure was £5.3 million(2021-22: £6.4 million), which funded thecontinued investment in our digital services.
We also invested in our Estate to accommodate
the ongoing transfer of records from the
Ministry of Defence and to construct our new
Clore Learning Centre. The capital budget also
funded development of our IT infrastructure.
Financial position
Assets and liabilities are shown in theStatement of Financial Position on page 86.
The National Archives adopted the new leases
accounting standard International Financial
Reporting Standards 16 from 1 April 2022. This
standard requires that all leases which meetthe recognition criteria be recognised as an
asset on the statement of financial position,with a corresponding lease liability. Under
this standard our existing lease for storage
space was recognised as a right-of-use asset of£7.7 million, with a corresponding lease liabilityof the same amount.
Total assets as at 31 March 2023 were £211.1
million (2022: £234.5 million). Property, Plant
and Equipment, Right of Use Assets andIntangibles represented 96.6% of the asset value(2022: 96.5%). The decrease of £37.1 million for
Property, Plant and Equipment was primarily
driven by a decrease in the value of land, which
was driven by wider market conditions.
Total current assets as at 31 March 2023 were
£6.8 million (2022: £8.0 million), a decrease due
to last year’s current assets including £0.9 millionof one-off income in relation to the 1921 Census.

033

PERFORMANCE AGAINST OUR BUSINESS PRIORITIESAnnual Report and Accounts 2022-23

034

PERFORMANCE AGAINST OUR INPUT AND IMPACT INDICATORS

Performance against our input and impact indicators

Performance against our input indicators
Input indicator

Our input and impact indicators demonstrate
our overall performance as an organisation andour commitment to quality, as well as illustrating
evidence of the effectiveness of the priorities set
out in our business plan. They are presented as
year-on-year comparisons so that we can track
our progress within any given year.

To ensure that we can be held accountable as
we move forward in delivering our strategic
priorities, underpinned by the UK Government’s
Transparency agenda, we also publish a
number of discretionary (non-financial)
indicators on our website, which include staff
engagement and diversity.

Original records delivered toon site users

2021-22 Outcome
362,661

350,000,000

374,200,000

Women

53.4% (average)

52.8% (average)

Top management women

52.7% (average)

54.2% (average)

Black and Minority Ethnic

16.0% (average)

15.3% (average)

Disabled

6.0% (average)

6.6% (average)

69%

73%

Time taken to deliver original records to on siteusers

88.8% of on demand orders
were delivered within an hour

92.8% of on demand orders
were delivered within an hourTime taken to respond to Freedom of Informationand Environmental Information Regulation
requests

Our Freedom of Information(FOI) performance figures arereported on an annual basis
as part of the FOI statistics
published by Cabinet Office.
The performance rate figure forthe calendar year 2022 is 62%.6

Our Freedom of Information(FOI) performance figures arereported on an annual basis
as part of the FOI statistics
published by Cabinet Office.
The performance rate figure
for the calendar year 2021 is78%£46.2 million£39.2 million

6.1 days per FTE (average)

5.2 days per FTE (average)7

Outstanding effects on legislation.gov.uk

103,993 amendments applied
to legislation on legislation.
gov.uk

102,893 amendments applied
to legislation on legislation.
gov.ukNumber of physical records accessioned

305,654 pieces
3,191 metres8

100,886 pieces
3,628 metresElectronic records delivered to online users
Staff diversity:

Total departmental spend
Staff sick absence

Annual Report and Accounts 2022-23

2022-23 Outcome
474,643

Staff engagement (as reported by
the Civil Service People Survey)

Our Collection Care team investigated the materiality of rare Armada
maps with the National Museum of the Royal Navy

035

PERFORMANCE AGAINST OUR INPUT AND IMPACT INDICATORS

6 In February 2021, the Ministry of Defence began the transfer of historic service personnel records to The National
Archives. Approximately 9.7 million records will be transferred over the next 6 years. Having transferred nearly half of
this collection, around 4.5 million records, to date, this has resulted in more than a two-fold increase in the volume of
Freedom of Information (FOI) requests received over 2022, compared to the previous year. This has impacted the overall
percentage of requests responded to ‘in time’. More information on the project can be found on our website:
https://www.nationalarchives.gov.uk/about/our-role/plans-policies-performance-and-projects/our-plans/ministry-ofdefence-service-records/. More information on our FOI performance can be found on the Cabinet Office website:
https://www.gov.uk/government/statistics/freedom-of-information-statistics-annual-2022/freedom-of-informationstatistics-annual-2022-bulletin
7 See page 67 for more information.
8 These figures relate to accessions only and do not include special transfer projects such as the Ministry of Defence (MoD)
service personnel records. There is no direct correlation between the number of records accessioned and the spacerequired to hold them because records can vary enormously in size, from around 0.5mm for a single sheet to upwards of
10cm if a record is housed in multiple boxes. In 2022-23, the MoD service personnel records accounted for 80% of total
accessions but only 40% of the space used.

Annual Report and Accounts 2022-23

036

PERFORMANCE AGAINST OUR INPUT AND IMPACT INDICATORS

037

ENVIRONMENT AND SUSTAINABILITY

Performance against our impact indicators
Impact indicator

2022-23 Outcome

2021-22 Outcome

Web Archive Services – Sessions10
Total: 897,342
Web Archive Services – Users
Total: 520,527

Web Archive Services – Sessions
Total: 955,268
Web Archive Services – Users
Total: 570,60411

On site users

96%

94%

Online users 12

83%

57%

legislation.gov.uk users

71%

72%

A new version of the Information
Management Assessment
Programme is being piloted.
15 departments took part inelements of this pilot in 2022-23.

The Information Management
Assessment Programme wasbeing revised last year, with user
research testing being conductedof a new prototype modular
Information Management
Maturity Model.

Web archiving

9

Customer satisfaction:

Records and information management
services used across government

Further details of how we measure our performance, our long-term
strategic plans and our transparency reporting can be found on our website:
https://www.nationalarchives.gov.uk/about/our-role/.

9 This indicator was previously referred to as ‘Web continuity’.
10 Since 2021-22, what we previously referred to as UK Government Web Archive ‘visits’ have been termed ‘sessions’ andwhat was formerly ‘visitors’ is now termed ‘users’ to be consistent and clear with respect to our analytics data, which
now uses Google Analytics. The effect of this is to reduce the headline figure in comparison to server log analysis, which
was our previous method. Furthermore, we are now reporting usage metrics for two web archive services: the UK
Government Web Archive http://www.nationalarchives.gov.uk/webarchive/ and the European Union Exit Web Archivehttps://webarchive.nationalarchives.gov.uk/eu-exit/.
11 The decrease in recorded web archive service users and sessions from 2021-22 onwards is due to changes in the way
web search engines index content from the web archive. During the COVID-19 pandemic, we temporarily blocked
search engines from indexing the web archive, because it was necessary to archive significant levels of government
guidance. We are now working on unblocking search engines. In addition, our analysis tool, which requires cookies
to record users and sessions, has been recording fewer users since 2022 because search engines now require users
to ‘opt-in’ to cookies. We are currently working on addressing the way that usage of our web archives services isrecorded.
12 Please note that our customer satisfaction rating (% of people saying they were either satisfied or extremely satisfied)
is not a directly comparable to 2021-22 because, as of 2022-23, it is calculated from responses to our free digital
downloads and Discovery services, in addition to our Book a reading room visit service. Including more surveys allows
for greater understanding of our overall online performance. Our customer satisfaction scores for 2022-23 breakdown
as: Discovery 47%; Book a reading room visit 57%; Free digital downloads 96%.

Our site in Kew displaying a banner for the Treason Exhibition, November 2022

Environment and sustainability
In 2021, the UK Government published new
Greening Government Commitments 2021-2513(GGCs), revising the baseline year from 200910 to 2017-18. Our reporting from 2021-22
onward has therefore been adjusted to reflect
the change in baseline year. It should be noted
that, since our strategy was to exceed the targets
set against the previous baseline, and significant
progress was made in that regard in previous
years, we anticipate more challenges whentrying to achieve the new GGC targets.
Despite these challenges introduced by thechange of baseline year, though, we continue
to perform well against the GGCs and our
performance is on track to achieve the 2025
targets in most cases. Where we have identified
risks that targets may not be achieved, we havetaken steps to identify additional measures wecan put in place. During 2022-23, operations
stabilised at a post-pandemic level, which
resulted in increases in some impact areas—
something we do not expect to see repeated infuture years. For further information, please see
Annex A Sustainability accounting and reportingon page 115.

During 2022-23, we have continued
to work towards reducing the impactof our operations on the environment
and local surroundings, further
consolidating the progress we havemade against government targets.
In the coming year, we will continue to lookbeyond the 2025 GGC targets to ensure that ouractivities align with the government's long-termgoals of a 78% reduction in emissions by 2035
and Net Zero by 2050.

Jeff James,
Chief Executive and Keeper,
11 July 2023

13 Greening Government Commitments 2021 to 2025

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038

039

CORPORATE GOVERNANCE REPORT

2.0

Accountability
reportCorporate governance reportStatement from the Chair of The National
Archives’ Board
Directors’ report
Governance statement
Statement of Accounting Officer’s
responsibilities
Remuneration and staff report
Parliamentary accountability and audit reportStatement of Outturn against Parliamentary
Supply (SoPS)
The Certificate and Report of theComptroller and Auditor General to theHouse of CommonsUS Declaration of Independence 1776 (catalogue reference EXT 9/1, extracted from ADM 1/487)
The US Declaration of Independence, agreed on 4 July 1776, formally rejected the authority of King
George III – to those Americans colonists who agreed, he was a traitor.

Annual Report and Accounts 2022-23

2.1 Corporate governance report
The Corporate governance report explains the composition and organisation of The
National Archives’ governance structures and how they support the achievement of our
objectives.

Statement from Professor Andrew Wathey CBE, Chair of The
National Archives’ Board
This report marks the final year of the firstphase of The National Archives’ strategy,
Archives for Everyone, a year marked bynumerous milestone achievements and aconfident transition into post-pandemic
renewal. The National Archives has
implemented new ways of working andembraced new ways of engaging with anincreasingly online world, growing to takeadvantage of the opportunities that thesechanges offer.
During 2022-23, The National Archives has
provided exceptional support for government
colleagues through a time of economic
uncertainty, technological innovation, and thehistoric events of the death of Her Late Majesty
Queen Elizabeth II and the accession to thethrone of King Charles III. Through an extended
range of services such as Find Case Law, thepublic can access an official record that is robust
and available with increasing ease. This year
has also seen continued growth in the waysthat people can encounter the collections, as
envisioned in Archives for Everyone: digitally,
through exhibitions and research, in the reading
rooms and via the wider archive sector.

This year has also seen continued
growth in the ways that people
can encounter our collections, as
envisioned in Archives for Everyone:
digitally, through exhibitions andresearch, in our reading rooms andvia the wider archive sector.
The Treason exhibition, which attracted thousandsof first-time visitors, was one highlight among
many. As set out at greater length elsewherein this report, it has been encouraging to see arising number of stimulating and high-quality
engagements, for example, the conference
to mark the centenary of the Law of Property
Act in September 2022, and the performanceof music hidden in the Prize Papers since theeighteenth century at the Unheard Opera evening
in March 2023. With major archival endeavours
on the horizon, such as the recently launched
Research Infrastructure for Conservation and
Heritage Science (RICHeS) funding stream fromUK Research and Innovation, it is an exciting time
to be working on archives and collaborating withothers in these endeavours.
A central focus for the Board this year has been
to support the development of the next phaseof the Archives for Everyone strategy, expressed

Annual Report and Accounts 2022-23

040

CORPORATE GOVERNANCE REPORT

041

DIRECTORS’ REPORT

Directors’ reportin a new four-year business plan. Alongside
this, following an away day in the autumn,
we have embarked on a Board Effectiveness
Review, considering how the Board’s experience,skills and ways of working can be deployed to
optimum effect. I thank my fellow Non-Executive
Board Members, the Chief Executive and Keeper
and the members of the Executive Team fortheir considered and wide-ranging contributions
over the year, which have added materiallyto the energy and direction of The National
Archives’ current work and laid firm foundations
for a transformative decade ahead.
Our clear sense as a Board is that The National
Archives is achieving its objectives with purpose
and integrity under strong executive leadership.
The organisation’s ability to evolve alongside its
audiences is credit to a vibrant network of highly
capable people. Staff, volunteers, and partners,
along with colleagues at The National Archives
Trust and the Friends of The National Archives,
continue to show an extraordinary dedication
to work of helping the organisation fulfil its core
purpose as a public service.

About The National Archives

Management and structure

The National Archives is a non-ministerial
department sponsored by the Department ofCulture, Media and Sport. Our main statutory
duties are set out in the Public Records Act
1958 and associated legislation and we fulfil theremit of the Public Record Office, the Historical
Manuscripts Commission, His Majesty’s
Stationery Office, King’s Printer of Acts of
Parliament, Government Printer for Northern
Ireland, and King’s Printer for Scotland. Further
details on our remit are summarised on pages
3 to 37 of this report.

During the year under review, we reorganised
some directorate portfolios. The Corporate
Services directorate ceased on 31 January2023 with the departure of the Corporate
Services Director and the responsibilities of thisdirectorate are now carried out by the Chief
Operating Officer.
Our duties were carried out by the following
directorates and functions.

Directorate/Function

Who

Responsible for

Chief Executive andKeeperJeff James, Chief
Executive and Keeper

Our future direction and current performanceand is accountable to ministers for both.
As Keeper of Public Records and Historical
Manuscripts Commissioner, he holds theoffices of King’s Printer of Acts of Parliament(responsible for publishing all UK legislation, andthe official newspapers of record, The Gazette);
King’s Printer for Scotland and Controller of His
Majesty’s Stationery Office; and the office ofGovernment Printer for Northern Ireland.

Chief Operating
Officer

Neil Curtis,
Chief Operating
Officer

Ensuring The National Archives has all the
resources (human and financial) it needs
to deliver its agreed business priorities, via
our business-critical functions across theorganisation, including finance, corporate andstrategic planning, security, IT operations andestates, delivering an effective and efficient
foundation from which the organisation canachieve its strategic goals.

Commercial

Gemma Maclagan Ram, Our commercial teams and growing andCommercial Director
diversifying our commercial products andservices, delivering value for money, andembedding an entrepreneurial culture and ethos.

DigitalJohn Sheridan,
Digital Director

organisation for their efforts over the past year,
and I look forward to working with you in the
period ahead, for the prosperity of The National
Archives and the public record.

Professor Andrew Wathey CBE
Chair of The National Archives’ Board
10 July 2023

Our digital services, enabling us to fulfil ourambition to become a digital archive by instinct
and design. To provide strategic direction,transform our digital offer, and to shape anddrive forward our cataloguing and web-based
services.

On behalf of the Board, I take this opportunity tothank everyone connected with this extraordinary

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042

DIRECTORS’ REPORT

Directorate/Function

Who

People, Inclusion and Andrea Metcalf,
Director for People,
ChangeInclusion and Change

Public Engagement

Emmajane Avery,
Director of Public
Engagement

Lucy Fletcher,
Public Records
Director for Public
Access andGovernment Services Records Access andGovernment Services

Research andCollections

Dr Valerie Johnson,
Director of Researchand Collections

Responsible for
Our human resources and commitment tofurther strengthen our culture and approachso that we continually strive to better reflect
and represent the society we serve. Our People
strategy, building an organisational culture,delivering the new ways of working programme
and building a more representative workforce.
Our public engagement strategic direction, anddeveloping on site, online, and remote learningand engagement programmes for the public
and wider educational audiences.
Our delivery of access services to the
public and offer to government, providing
expert advice and guidance to government
departments and public bodies; driving
strategic compliance with statutory obligations,
including the transition to the 20-year rule;enhancing our approach to information rights;
and enabling the growth of digital capability
for the future preservation of born-digital
government records.
Our research, academic engagement,
grants and funding activities as well as ourconservation and heritage science. Our active
support for the archives sector to secure
the best possible long-term future for theircollections and services.

043

DIRECTORS’ REPORTThe National Archives’ Board

Public sector information

The National Archives’ Board is the key strategic
advisory body of the organisation. It consists of
the Chief Executive and Keeper, seven Executive
Directors, the Chair of the Board and four Nonexecutive Board members, who are:

The National Archives has complied with thecost allocation and charging requirements
set out by HM Treasury. We are one of the
public sector bodies now brought fully within
the scope of the Re-use of Public Sector
Information Regulations 2015 and we havetaken steps to ensure that we comply withthose Regulations, including publishing astatement of our public task.13

Andrew Wathey
Chair of The National Archives’ Board
Sonia Cargan
Non-executive Board member
Rommel PereiraNon-executive Board member, Chair of the
Audit and Risk Committee
Mark Richards
Non-executive Board member
Baroness (Ros) Scott of Needham Market
Non-executive Board member
More information about our Executive Teamand Board can be found on our website at
nationalarchives.gov.uk/about/our-role/
executive-team/ andnationalarchives.gov.uk/about/our-role/
management-board/.
Audit

Together the Directors make up the Executive Team. Further details about the Executive Team canbe found on page 47. Further information about the organisation and directorate functions can befound on our website at: nationalarchives.gov.uk/about/our-role/transparency/our-staff.

The financial statements have been auditedby the National Audit Office on behalf of theComptroller and Auditor General. The audit fee
was £80,600 (see note 3 to the accounts). The
National Audit Office did not provide any nonaudit services during the year.
As far as the Accounting Officer is aware,
there is no relevant audit information ofwhich the National Audit Office is unaware.
The Accounting Officer has taken all steps
necessary to keep themselves informed of any
relevant audit information and to establishthat the entity’s auditors are notified of that
information.

13

Annual Report and Accounts 2022-23

nationalarchives.gov.uk/about/our-role/what-we-do

Annual Report and Accounts 2022-23

044

GOVERNANCE STATEMENT

Governance statement
The Governance statement describes theframework of controls at The National Archives,
including the assurances on the operation of
the control framework, plus the processes for
identifying and managing risk.
The Transparency14 page on our website
incorporates a series of documents and policies
that govern how we operate and take decisions,as well the procedures followed to ensure that
our actions are fair, efficient, transparent andaccountable to our stakeholders.

or on the attainability of its targets, andadvising on the steps needed to deal withsuch changes and where appropriate
bringing such matters to the attention of
the responsible Minister via the Executive
Team, DCMS sponsorship team or directly■■

Ensure The National Archives is setting aclear strategic direction across government,in all policy areas in which it is the leaddepartment■

Act in good faith and in the best interests of
The National Archives. Uphold the values ofthe organisation as well as those expressedin the Seven Principles of Public Life16■

Strive to improve how The National Archives
delivers its strategic aims and objectives
and how effectively it meets new strategic
challenges as they emerge■■

Provide consistently strong and effective
oversight of and support to the Chief
Executive and Keeper and the Executive
Directors in delivering The National
Archives’ strategic aims and objectives

Ensure they are familiar with any applicableguidance on the role of public sector nonexecutive directors and Boards that may
be issued from time to time by the Cabinet
Office, HM Treasury or wider government■

Ensure the right information and evidence
is available to make decisions, measureperformance and provide assurance.

Providing scrutiny, advice, support andchallenge to the organisation, including
supporting The National Archives and theChief Executive and Keeper in fulfilling theirstatutory responsibilities and other duties■

The Board concentrates on strategic
issues affecting the organisation, as wellas financial scrutiny and the oversightof major polices and performance.
The National Archives’ Board is the main
governance body of our organisation. The
Board concentrates on strategic issues
affecting the organisation, as well as financial
scrutiny and the oversight of major polices andperformance. Meetings are chaired by the Chairof The National Archives’ Board and the Headof Governance acts as the Board Secretary. The
Head of Strategy and Chief Executive’s Officealso attends meetings. Formal Board meetings
usually take place nine times a year and include
one or two strategy days.

■■

Supporting and informing the work of theBoard are its two sub-committees, the Audit
and Risk Committee and the Nominations andGovernance Committee.
The National Archives’ Board is responsible
for:Agreeing and taking forward the strategic
aims and objectives of The National
Archives, as agreed with Ministers andwithin the resources framework agreed
with HM Treasury

14

Ensuring that it is kept informed of any
changes which are likely to impact on thestrategic direction of The National Archives

Actively encourage new and innovative
ways of thinking at Board level, and acrossthe organisation, including on the best useof new technology■

Ensure that the right strategies and policies
are in place to encourage and inspire
the entire workforce to contribute to theorganisation’s overall aims, reflecting the
Civil Service’s core values■

Comply at all times with the Code of
Conduct for Board Members of Public
Bodies,15 and with the rules relating to theuse of public funds and conflicts of interest■

Demonstrate adherence to the 12 Principles
of Governance for all Public Body NonExecutive Directors as appropriate

Through the Chair, ensuring that senior
officials (the relevant Directors Generalor the Permanent Secretary) at DCMS
are informed of any concerns about the
management and direction of The National
Archives.

Provide scrutiny, advice, challenge andsupport to the Chief Executive and Keeper
and Executive Directors to support The
National Archives’ senior leadership teamNot misuse information gained in thecourse of their public service for personal
gain or for political profit, nor seek to
use the opportunity of public service topromote their private interests or those ofconnected persons or organisations

Board performance
The Board works collectively and has a rolling
agenda. Fixed agenda items include monthly
financial reporting, quarterly business andperformance reporting, bi-annual corporaterisk register, annual staff survey results and its
resulting action plan and review and approvalof the Annual Report and Accounts. The Board
also receives regular reports from the Executive
Team on its activities and updates from the
Chair of the Audit and Risk Committee on the
sub-committees’ work and receives assurance
around risk management, governance andinternal control.
The Board also reviews and endorses budget
and strategic priorities and scrutinises major
procurement and policy decisions affecting
our future strategic direction. Significant items
that were considered by the Board during thereporting year included:■

Endorsing a refreshed five-year commercial
strategic plan which balances thechallenges, risk and opportunities in thisarea■

Development of a strategic approachto physical storage in the medium andlong-term based on need and wider
opportunities presented to the organisation■

Endorsing a vision and draft Digitalstrategic plan, the 'Living Digital Archives'with an ambitious multi-year programmethat will be reflected in the next four-yearbusiness plan■

Comply with The National Archives’ ruleson handling conflicts of interest and on theacceptance of gifts and hospitality, and of
business appointments

15
16

Code of Conduct for Board Members of Public Bodies
gov.uk/government/publications/the-7-principles-of-public-life

The role of Board members is to:■■

Ensuring that the Board receives andreviews regular financial information
concerning the management of The
National Archives; is informed in a timely
manner about any concerns about theactivities of The National Archives; andprovides positive assurance, via the Chair,to DCMS that appropriate action has beentaken on such concerns

Promote effective and transparent
challenge through open debate on Board
matters, wherever necessary, to achieve thebest decisions and outcomes

■

■
■

■

Demonstrating high standards of corporate
governance at all times, including by using
the Audit and Risk Committee to help the
Board address key financial and other risks;
ensuring that adequate governance, audit
and control systems are in place to meetstatutory and administrative requirements,
including that The National Archives
operates within its statutory authority anddelegated authority given by HM Treasury,in accordance with any other conditions
relating to the use of public funds; and that,in its deliberations, the Board takes into
account guidance issued by DCMS

045

GOVERNANCE STATEMENT

nationalarchives.gov.uk/about/our-role/transparency/

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046

GOVERNANCE STATEMENT■

Lessons for the Digital Archives from the Find
Case Law Service launched in April 2022■

Oversight of the implementation anddelivery of the new strategic approach toresearch, as adopted in April 2021■

Oversight of Project ETNA, 'Explore thenation's archives' about developing a new
website for the online catalogue that better
meets user’s needs

■

■

■

■

■

■

Oversight of the annual Information
Management Report, which provides dataon compliance by government departments
to the 20-year rule for transferring records
to The National Archives and endorsing the
Keeper’s report on the transition
Oversight and input into the People andCultural Programme and development of a
new staff behaviour framework and refreshof ‘values’
Endorsing a new vision and plan for
Public Engagement 2022-2030 focused on
audience growth
Endorsing a new approach to The National
Archives’ role in providing leadership to thearchives sector for approval by Ministers
Oversight of the temporary withdrawal
of records series FCO 141 - Foreign andCommonwealth Office and predecessors:
Records of Former Colonial Administrations:Migrated Archives
Oversight on the implementation anddelivery of the Grants and Funding
Office established in November 2021
and endorsing a new Grants Policy andapproach for the outward grant-making
programme for 2023-24■

Agreeing a draft new Framework Documentwith DCMS for submission to HM Treasury
for final approval■

Development and endorsement of thenext Archives for Everyone four-year
Business Plan and Priorities for ministerial
agreement

17
18

■

Annual meetings with the Chairs of the
Friends of The National Archives and The
National Archives Trust for relationshipbuilding and focused discussion on
potential areas of support and partnering.

Minutes of Board meetings are available on our
website: nationalarchives.gov.uk/about/ourrole/management-board/meeting-summaries/
All Board members also meet formally andinformally with other senior managers and may
be members of specific high-profile project andprogramme boards, as required. We have an
active group of Non-executive Board members,
who also engage closely with the business togive strong assurance and governance.
The Board is content that the data withwhich it is provided is adequate, timely
and comprehensive, and there are robust
arrangements for reviewing and checking data.
Register of Board interests
In April 2022, we adopted a new Conflicts ofinterest policy17 which sets out our approachto handling potential and perceived conflictsof interest to maintain the integrity andimpartiality of our decision-makers. All Board
members are required to declare all personalor business interests and these are in publishedin the Register of Interests18 on the website. At
the beginning of each corporate governancemeeting, all members are asked to declare any
potential conflicts of interest. These are notedin the minutes and where the matter is deemed
to constitute a conflict, the member is asked toremove themselves from discussion of the item.
In 2022-23, there were no declared conflictsof interest that resulted in a Board member
recusing themselves from discussion. For
further details on related party transactions,see page 113.
The Board engaged no special advisers in thefinancial year 2022-23.
Board effectivenessThe induction of new Board members includes
interviews with key managerial staff about
strategic issues and the remit and services

047

GOVERNANCE STATEMENT

of The National Archives as well as providing
briefing material on its governance framework.

■

drive and manage improvements inbusiness and financial performance

The Board undertakes an annual assessmentof its own effectiveness, which is usually on
the basis of a self-evaluation questionnairethat results in an action plan to improve
effectiveness. The action plan is reviewed biannually for progress. At its July 2022 meeting,the Board received a progress update on theaction plan arising out of the previous year’s
self-assessment and also agreed to undertake
an external Board effectiveness review to bringus into compliance with the Code of Practice for
Corporate governance in central government
departments and new Cabinet Office guidanceon arm’s length bodies boards: reviews andappraisals published in April 2022. Following
a procurement exercise the contract wasawarded to Campbell Tickell, who commenced
our external board effectiveness review inJanuary 2023 and will be reporting back on theirfindings early in the next financial year.

■

drive innovation, transparency andefficiencies that support delivery of strategic
objectives and give value for money■

identify high-level risks, ensuring theireffective mitigation and business continuity■

review and agree corporate policies■

direct and support managers to deliver key
investments and major projects■

lead strategic staff management andresourcing.

Challenge on performance of the Board
is provided by the Non-executive Board
members and other Board members. In this,the Board is informed by the findings of theboard effectiveness review and its resulting
action plan.
Non-executive Board members have annual
appraisals with the Chair which monitors
performance and is used to identify training
and development needs.
Diversity on the Board has improved withappointments made in recent years.
The Executive TeamThe Executive Team is the decision-making
body of the organisation. It consists of the Chief
Executive and Keeper and seven Executive
Directors. The Head of Strategy and Chief
Executive’s Office and/or a deputy also attend
Executive Team meetings and the Headof Governance or their nominee provides
secretariat support. The Executive Team usually
meet fortnightly to:■fulfil The National Archives' statutory
responsibilities and deliver its strategic andbusiness priorities

Supporting and informing the work of the
Executive Team are a number of
sub-committees.
In the reporting year, the Operational
Management Team’s main focus was to manage
people resource requests. Following thedeparture of the Corporate Services Director
and subsequent restructuring of functions,
the Operational Management Committee was
disbanded.
The Estates Strategy Committee was set
up in 2022 to provide assurance that theorganisation is managing its sites and assets
appropriately and effectively, ensuring that
all estates development activity aligns to andfurthers our strategic plans, brand and culturalchange initiatives. The Committee identifies
interfaces across projects and manages
competing demands and priorities for space.
Its main focus in the report year was future
document storage requirements, commercial
development opportunities, public spacetransformation, and office space planning.
The business of the Executive Team is managed
in a way that is inclusive, regularly inviting
business updates from the staff members
responsible for delivery. The Executive
Directors are responsible for cascadingsummaries of Executive Team business to therest of the organisation. Minutes of Executive
Team meetings are available on our website:
nationalarchives.gov.uk/about/our-role/
executive-team/meeting-summaries.

nationalarchives.gov.uk/about/our-role/transparency/conflicts-of-interest/
nationalarchives.gov.uk/about/our-role/transparency/register-of-interests/

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048

GOVERNANCE STATEMENT

Informal challenge encourages staff to bringreal issues to the Executive Team’s attention.
In addition, Directors regularly attend all-staff‘question and answer’ sessions called ‘Catch up
with the Executive Team’. All members of staff
are invited to attend and may ask any question
about the running of the organisation or
current concerns. Questions may be submitted
anonymously in order to encourage openness.
The Audit and Risk Committee
The Audit and Risk Committee is a subcommittee of The National Archives’ Board andsupports the Accounting Officer and Board
members in their responsibilities for issuesof risk, internal control and governance, andassociated assurance by:■■■reviewing the effectiveness of the assurance
framework in meeting the Board’s andAccounting Officer’s assurance needs
reviewing the reliability and integrity ofthese assurances
providing an opinion on how well
The National Archives’ Board and the
Accounting Officer are supported indecision-taking and in discharging theiraccountability obligations, particularly inrespect of Financial Reporting.

The Committee met five times during 202223: in May 2022, September 2022, December
2022, February 2023, and for an extraordinary
meeting of the Committee in July 2022 to review
the final design version of the Annual Reportand Accounts 2021-22.
Membership comprises the Chair of the Audit
and Risk Committee, an additional Nonexecutive Board member, and an appointed
independent member. Additional Nonexecutive Board members may be co-opted
when needed. Other attendees at each meetingare the Chief Executive and Keeper, the Chief

The business of the Executive
Team is managed in a way that isinclusive, regularly inviting businessupdates from the staff members
responsible for delivery.

Annual Report and Accounts 2022-23

Operating Officer, representatives from ourexternal auditors at the National Audit Office,representatives from our Internal Auditors,
the Head of Governance and the Corporate
Performance Manager who acts as theCommittee secretary. Robert Milburn stepped
down as the independent member of the Audit
and Risk Committee on 31 December 2022 after
five and a half years. The Committee is gratefulfor the invaluable contribution he made to
the work of The National Archives during his
term of office. Recruitment for a replacement
independent member of the Committee isunderway and Andrew Wathey, in his capacity
as Chair of The National Archives’ Board, hasbeen providing additional support, advice, andguidance in the meantime.
Proposed areas for internal audit focus are
informed by discussions with the Committee,
and the Executive Team, together with theinternal auditors’ understanding of our control
environment, the Corporate Risk Registerand results of previous work performed.
Reports from the internal auditors are copied
to Committee members as soon as they
are finalised. The Committee monitors theimplementation of recommendations made byinternal auditors, taking reports and evidenceof progress as a standing agenda item. Any
overdue recommendations are reported to the
Executive Team in advance of each Committee
meeting, and Executive Directors may be called
to appear before the Committee to account forslippage on implementation dates.

The Committee are grateful to BDO for therange of high-quality internal audit reviews it has
carried out on behalf of The National Archives
during the last five years.
The Committee maintains a list of risk assurance
processes and items to be reported to eachmeeting in order to structure its agenda. The
list encompasses a number of regular updates
during the year. This year these included:■

Progress on the implementation ofrecommendations from internal audit
reviews: the Committee received assurance
that management was taking appropriate
action to fully implement internal audit
recommendations or had provided
business justification if implementation
deadlines (which are set by the owner aspart of their management response to each
recommendation) were not met.

■

Fraud risk assessment: the Committee
took a risk-based approach to potential
fraud within the organisation and waspleased to note the findings from theannual risk assessment, which concluded
that there was generally a good level offraud awareness within The National
Archives’ culture, and adherence to the UK
Government Functional Standard GovS 013:
Counter Fraud.

■

The internal auditors also conduct an annual
review to follow up their recommendations,which provides further independent assurance
to the Committee. For the reporting year, theinternal annual opinion was that there is anadequate and effective system of governance,risk management and internal control in placethroughout The National Archives.
Internal audit services continued to be managed
by BDO during 2022-23. In March 2023,
following an invitation to submit tenders for The
National Archives’ internal audit contract via
the Crown Commercial Service Framework, anevaluation and interview panel (which comprisedof the Audit and Risk Committee Chair, theChief Operating Officer, and the Head ofProcurement), considered high quality bids froma number of internal audit suppliers. Following
this evaluation process, a decision was made toaward the new internal audit contract to Mazars.

049

GOVERNANCE STATEMENT■

Security (including information assurance,
cyber security risks, and data handling)
and Business Continuity: The Committee
received bi-annual updates on key
developments in relation to The National
Archives’ physical security, business
continuity, and data handling, and waspleased to note that there had been no
significant breaches of security. As a
key source of assurance, The National
Archives’ performance against His Majesty’s
Government’s Minimum-Security Standards
was assessed via the annual Departmental
Security Health Check return to the Cabinet
Office. The Committee was pleased thatwithin the 2022 government security healthcheck, The National Archives scored above
the government average in all categories,
including a 99% compliance rating in
relation to cyber control.
Health and safety: The Committee gained
assurance that the building remained a safe
and accessible working environment for

staff, visitors, and contractors. Importantly,
the Committee gained regular assurance
that appropriate measures and resourceswere in place to help support the positive
mental health and wellbeing of The
National Archives’ staff.
■

Environment and sustainability: Bi-annual
progress updates around environmental
and sustainability issues provided theCommittee with confident assurances that
The National Archives is on track to meetGreening Government Commitments,
noting however the challenges to do so
within the current budget constraints,
maintaining appropriate conditions
for public records, and maintaining its
statutory obligations. The Committee
was pleased to note that at year-end,
The National Archives was on track toexceed its sustainability commitments on
domestic flights, water consumption, waste
produced, and paper usage.

■

Human Resources Governance: The
Committee oversaw and regularly reviewed
current human resource risks within theorganisation and took assurance that
avenues for confidential reporting within The
National Archives were understood and had
been tested. The Committee was pleased
to note that the Chair of the Audit and Risk
Committee remained the external andindependent whistleblowing escalation point.

■

Safeguarding Report: The Committee
successfully oversaw the implementationof a comprehensive programme ofsafeguarding measures and policies
within the organisation, providing strong
assurance that The National Archives isfulfilling its statutory responsibilities.

■

Procurement Report: Bi-annual updates
gave the Committee oversight of any
potential risks and opportunities
associated with The National Archives’procurement and commercial activities.
In particular, the Committee was kept
updated on the impact of the revised
Public Procurement Regulations andCabinet Office Spend Controls on theorganisation’s procurement exercises.

■

Risk Management Policy and Risk Appetite:
The Committee received assurance that ourappetite and tolerance for risk management

Annual Report and Accounts 2022-23

050

GOVERNANCE STATEMENT

control within various areas of the businesswere adequate and effective.
■■■

Corporate Risks: The Committee waspleased to note that all corporate risks werebeing actively managed by the Executive
Team. Particular issues identified within the
Corporate Risk Register, which continued to
be key priorities for the Committee included
risks associated with the organisation’s
inability to recruit and retain key roles(particularly within the digital and financial
areas), the ongoing risks around Freedomof Information compliance, specifically in
relation to the Ministry of Defence service
personnel records, and the potential impact
of ongoing corporate services pressureson some of the organisation’s high-profile
initiatives and projects (including Enterprise
Resource Planning).
Throughout 2022-23, working closelywith The National Archives’ Board, theCommittee monitored the risk implicationsof the invasion of Ukraine by maintaining a
specific Ukraine Risk Register, particularly
reviewing risks around existing andfuture supply chains, staff morale, andpotential increased cyber security threats.
Towards the end of the year, these risks
were incorporated into the Corporate Risk
Register and Issues Log. By proactively
monitoring and reviewing red risks fromthe Corporate Risk Register and Issues Log
at each meeting, the Committee played a
key role in ensuring appropriate mitigationplans were in place to manage all corporaterisks, which in turn fostered and helped
develop a robust risk aware culture at alllevels throughout the organisation.
Accountability Statements: this biannual update provided the Committeewith assurance that business-as-usual
risks were being managed effectively
throughout the organisation.

In addition, the Committee received regular
updates and progress reports on other issuesof particular interest. This year, progress
updates included assurance regarding:■Freedom of Information (FOI) Compliance– the Committee was presented with an
overview of the current risks regarding FOI
compliance at The National Archives, with a
specific focus on the impact of the Ministry

Annual Report and Accounts 2022-23

of Defence (MoD) service personnel
records transfer project. The Committee
was pleased to note that an action plan
had been published outlining a recovery
pathway to bring the organisation backwithin the parameters of the government’s
standards for FOI compliance.
■

Enterprise Resource Planning (ERP) – asa standing item on the Audit and Risk
Committee agenda, the Committee received
regular updates on the ERP project, whichis scheduled to go live in July 2023. The
Committee provided the necessary support,
direction and independent assurance
around the project, regularly reviewing
costs and risks relative to the benefits, andensuring that the programme is closelyaligned with The National Archives’ overall
strategic goals and objectives.

■

Lessons learned from financial forecasting –in May 2022, the Committee was presented
with the results from a ‘lessons learned
exercise’, which identified a number ofactions to improve the forecasting accuracyof The National Archives, enabling theorganisation to manage its finances in amore controlled manner.

Pending the full results from the independent
effectiveness review of The National Archives’
Board and its sub-committees, the Committee
agreed to defer this year’s annual (internal)
self-assessment survey. However, a separate
survey was carried out to review the internaland external audit services provided by,respectively, BDO and the National Audit
Office (NAO). Specific feedback in relation tointernal audit highlighted the need to improve
opportunities for The National Archives’ staff
to provide regular feedback on the quality ofinternal audit reviews. In relation to external
audit services, the survey recommended
NAO’s audit planning to work more closelywith The National Archives’ to deliver a flexible
and responsive service. These recommended
actions for improvement will be regularly
reviewed and followed up by the Committee
during the year.

GOVERNANCE STATEMENT

051

decision-making body for the pay and bonusesof all our senior Civil Service staff, except for
the Chief Executive and Keeper.
The Committee meets a minimum of twice ayear. Pay increases are in line with guidance
provided by the Cabinet Office, which hears theoutcome of the Review Body on Senior Salaries
and sets the pay policy for senior salaries acrossthe Civil Service. The Committee ensures that
there are satisfactory systems for identifying anddeveloping staff with high potential. It is chairedby the Chair of The National Archives’ Board andmembership consists of all Non-executive Board
members, the Chief Executive and Keeper in anadvisory capacity and the Director of People,
Inclusion and Change. The Chief Operating
Office attends on occasion where relevant andsecretarial support is provided by Organisational
Development. The Committee met three times in2022-23, in June and September 2022 and for an
extraordinary meeting in December 2022.
The Corporate Governance CodeAs a non-ministerial department, we adopt andadhere to HM Treasury’s Corporate governancein central government departments: code ofgood practice to the extent that it is practical,
appropriate and compatible with our statutory
or other authoritative requirements. We
periodically review the Board’s effectivenessand corporate governance arrangements toensure that we are aligned with good practiceelsewhere across government—taking into
account our unique role and responsibilities,
and the statutory and non-statutory roles
fulfilled by our senior officials. The current
structure enables the Non-executive Board
members to challenge the Chief Executive
and Keeper and Executive Team, to clearly
position it as an advisory body, to shape theBoard agenda and provide positive assurance
to senior officials at DCMS, via the Chair of The
National Archives’ Board, on the managementand direction of the organisation.

The Nominations and GovernanceCommittee
The Nominations and Governance Committee
is a key forum for discussion of leadershipdevelopment and succession planning, and theAnnual Report and Accounts 2022-23

052

GOVERNANCE STATEMENT

Attendance at Board meetings and Committees for the Chief Executive, Executive Directors
and Non-executive Board members
The Chief Executive and Keeper, Executive Directors, and Non-executive Board members attended
the following numbers of Board and Committee meetings (for which they were eligible to attend)
during the year:

Role

Board

Audit and Risk
Committee

Nominationsand GovernanceCommittee

Jeff James

Chief Executive and Keeper

8 of 85 of 53 of 3

Neil Curtis

Chief Operating Officer

7 of 85 of 5

N/A

Emmajane Avery

Director of Public
Engagement

8 of 8

N/A

N/A

Lucy Fletcher

Director for Public Records
Access and Government
Services

7 of 8N/A

N/A

Dr Valerie
JohnsonDirector of Research andCollections

8 of 8

N/A

N/A

Gemma
Maclagan Ram

Commercial Director

8 of 8

N/A

N/A

Andrea Metcalf

Director of People,
Inclusion and Change

7 of 8N/A

2 of 3

John Sheridan

Digital Director

8 of 8

N/A

N/A

Aaron Smith

Corporate Services Director

6 of 7

4 of 4

N/A

Andrew Wathey

Chair of the Board

8 of 81 of 1193 of 3

Sonia Cargan

Non-executive Board
member8 of 8N/A

3 of 3

Rommel PereiraNon-executive Board
member8 of 85 of 53 of 3Robert Milburn

Independent memberof the Audit and Risk
Committee

N/A

4 of 4

N/A

Non-executive Board
member8 of 8Name

Mark Richards

Baroness (Ros)Non-executive Board
Scott of Needham
memberMarket8 of 85 of 5

N/A

3 of 33 of 3053

GOVERNANCE STATEMENT

Functional Standards
All central government departments and theirarm’s length bodies are required to comply with
14 Functional Standards in a way that meets
their business needs and priorities. For thefinancial year 2022-23, The National Archives
fully met 11 of the standards (nine in 2021-22).
We have assessed that two areas remain notapplicable, as the scale of requirements are notproportionate to an organisation of our size:
Analysis and Communication. In Internal Audit,
we meet all the intentions that are applicable
to us as a non-ministerial department. During
the year, we focused on meeting the standards
in the three areas we did not comply with lastyear, which are explained below.
In Project Delivery, we continue to demonstrateconsistent good practice as evidenced byrelevant internal audits and have appointed
experienced project and programme managers
to oversee and co-ordinate the delivery of
projects across directorates. In Grants, wehave made significant progress by adopting
a new Grants Policy and a refreshed grants
funding programme. In Human Resources, we
successfully meet all the intentions, except in
respect to our workforce planning. Strategic
workforce planning is currently underway toalign our approach with our new four-yearbusiness priorities. This will be completed in
2023-24. We are pleased to report we are now
fully compliant with the Project Delivery and
Grants standards and will be working towards
meeting the standards for Human Resourcesin 2023-24.
Managing our risks
We have a well-established approach to the
management of risk at all levels. It encourages
risk management as an enabling tool to balancerisk and innovation across the organisation.
In 2022-23, our risks fell under the following
categories:■

Operational and policy delivery■

Commercial■

Financial and value for money■

Reputational and credibility: general■

Reputational and credibility: interaction
with ministers■

Compliance: legal, regulatory and data.

The degree of risk is measured by considering
likelihood and impact. To describe our appetite
for each category of risk, the Executive Team
sets maximum ‘residual risk’ scores based on
the risk categories described above, and theBoard expects that risks at all levels acrossthe organisation will be managed within thesescores. Where a risk exceeds its residual risk
score, remedial action is taken, where possible
and cost-effective, to reduce either likelihood
or impact.
The Executive Team has identified a setof corporate risks, linked to our businesspriorities, and informed by internal
developments, external influences andlonger-term commitments. These risks, if not
managed, would compromise our ability toprovide our statutory services or diminish these
services to a degree unacceptable to our users.
Each corporate risk is owned by a memberof the Executive Team, and they are regularly
reviewed by the Executive Team and the Audit
and Risk Committee with bi-annual updates tothe Board.
Our most significant risks in terms of residual
risk scores are outlined as follows:
Operating as a national archive delivering
our strategic ambitions with reduced
staffing levels or reduced financial support:
There is a risk that a sustained period of highinflation, coupled with any further savings andefficiency targets, will result in a significant
cut in real terms operating budgets for theremainder of this spending review period, andbeyond.
Overview of controls in place during the year:■

We secured an additional £3.5million over
two years to address work arising from the
Retained EU Law (Revocation and Reform)
Bill. We are preparing a workforce plan
to define the teams and skills required todeliver the four-year ambitions articulated
in our new business plan.

19 Andrew Wathey provided additional support to the Audit and Risk Committee from February 2023.

Annual Report and Accounts 2022-23

Annual Report and Accounts 2022-23

054■

GOVERNANCE STATEMENT

Industrial action: Inflation remains high,driving increased cost of living for staff.
Pay has not risen in line with this, leading
to the potential for staff to consider taking
strike action.

our statutory obligations to provide access torecords through the FOI regime.

Overview of controls in place during the year:
Strike contingency planning is operational.

Failure to meet the challenges of digital:
There is a risk that The National Archives fails
to address the challenges and opportunities
of being a digital archive, for example by notdeveloping suitably scalable systems, notgrowing and developing our expertise, andnot moving quickly enough to respond totechnological change, resulting in a lack of acompelling offer as a digital archive, particularly
for record creators.
Overview of controls in place during the year:■

We are delivering a major programmeof investment to secure and expand theDigital Archiving Infrastructure. We haveseen recent recruitment successes, butchallenges remain for digital roles in acompetitive labour market. Mitigations taken
include increasing use of contingent labour,
widening scope of market supplements,
development roles, apprenticeships, and useof third-party contractors.

Staff leadership and culture: There is arisk that leadership and management do notdeliver the direction and support required
as we adjust to a hybrid way of working toensure an effective and engaged, diverse andrepresentative workforce.
Overview of controls in place during the year:■

Culture workshops have been completed
and data has been compiled and analysed
to form a behaviour framework that isbeing rolled out. A Senior leadershipdevelopment programme is also underway.
We have a continued focus on wellbeing
and we provide support for both managers
and non-managers.

Freedom of Information (FOI) statutorycompliance: There is a risk that, due to an
inability to keep pace with the complexity
and scale of demand, we are unable to fulfil

Annual Report and Accounts 2022-23■

be finite■

require new or enhanced risk mitigation orcontrol■be clearly linked with an organisation orservice priority.

Overview of controls in place during the year:■■

GOVERNANCE STATEMENTThe Ministry of Defence (MoD) Information
Access Team was formed specifically todeal with FOI requests arising from the
MoD Service Personnel Records transfer
project. Strong and transparent working
relationships are being maintained with theInformation Commissioner’s Office, with anagreed action plan to recover compliance.
The plan has been published and sets out
the context of the challenge and describes
the interventions we are making.

Legal certainty: There is a risk that theenactment of the Retained EU Law (Revocation
and Reform) Bill, sunsetting retained EU
legislation at the end of 2023 and downgrading
all EU derived law, creates legal uncertainty
about the Keeper's responsibilities for
managing Crown rights and unmanageable
demands for our legislation publishing, editorial
and data analysis services.
Overview of controls in place during the year:■

We attend the weekly meeting between
the Brexit Opportunities Unit and the
Cabinet Office Parliamentary Businessand Legislation Secretariat to discuss thegovernment's legislative programme asplanning evolves for the Retained EU Law(Revocation and Reform) Bill. We havecosted the additional work anticipatedduring 2023-24 and thereafter.

Identifying and managing risk is not a barrier
to efficiency, effectiveness, or innovation, andmanaging our corporate risks has a minimal
effect on our activities unless additional
controls need to be introduced. As far as
possible, we incorporate risk mitigations into
our business-as-usual activities, reinforcing
the message that risk management is the
responsibility of all staff.
Risks below corporate level are managed,
reviewed, and updated at least quarterly by
Executive Directors and their management
teams. A directorate’s risk register captures
what are considered exceptional risks. These
will normally:055
in Archives for Everyone, which focuses on ourgoals of becoming the inclusive, entrepreneurial
and disruptive archive.

We expect that, over time, most directoraterisks will be managed as ‘business-as-usual’;
exceptionally, directorate risks may beescalated to the corporate risk register. At
operational level, risks are managed on a dayto-day basis. The Executive Directors receive
assurance on operational risks through sixmonthly accountability statements from theirdirect reports. These statements are reviewed
by the Directors and the Executive Team andapproved by the Chief Executive and Keeper.
Any significant governance or performanceissues highlighted are monitored by the Chief
Operating Officer/Chief Information Security
Officer and are raised with the Audit and Risk
Committee.
Authors of accountability statements assess
the maturity of risk management in their areasof responsibility and provide evidence for
their assessment. Authors are also required toprovide assurance that their staff comply withkey corporate policies, including the:■fraud policy■

anti-bribery policy■

conflict of interest policy■

routes for confidential reporting(whistleblowing)■

Civil Service Code.

Short- and medium-term additional governancestructures are introduced for high-value
projects and programmes as appropriate.
We are satisfied that we manage and mitigate
risks, and where necessary, that we takeaction to contain the impact of risk. We areconfident that our risk management approachis comprehensive, allowing the Executive Team
to identify early, and respond to, any possible
threats to the achievement of our objectives.
At a corporate level, our risks for the year 202223 aligned with our strategic priorities set out

Annual Report and Accounts 2022-23

056

GOVERNANCE STATEMENT

Health and Safety
The Chief Executive and Keeper recognisesthat ensuring the Health and Safety of staff
and visitors is essential to the success of
The National Archives and is committed toproviding a safe, healthy working and learning
environment, in order to support our collective
goals of protecting staff at work and ensuringthat visitors to our site enjoy their experience.
We monitor, record and investigate accidents
and near miss incidents in order to prevent
recurrence and work-related ill-health. We
continue to meet our legal responsibilities
under health and safety legislation, as aminimum, and to assess risks to anyone who
could be affected by our activities. We put inplace robust measures to control these risks.
We provide our staff with information, instruction,
training, and supervision. We ensure that
resources are available to support workplace
health and safety. Health and Safety procedures
are in place and responsibilities are appropriately
assigned to ensure that the aims of our healthand safety policy statement are met.
We are committed to delivering an inclusive,
safe working environment whether staff are
working on site, remotely, or a mixture of
the two, ensuring safe working methods andproviding safe work equipment. We monitor
and review our safety arrangements andprevention measures to ensure they areboth effective and encourage a culture ofcontinuous improvement.
We consult on health, safety, and welfare
matters with staff, the Health and Safety
Committee, and their representatives, including
trade unions. We promote a systematic andorganised method of improving health andsafety within Departments with a robust
programme of inspection and audit. Throughtraining and communication, we further
promote the exchange of information for staff
and managers to adopt safe systems of workwithin departments.

their concerns. They can raise a concern eitherwith a manager within the organisation to begin
this process or with one of the nominatedofficers (the Head of Visitor Experience and theHead of Document Services).
We encourage awareness of the policy byreminding staff and contractors during theyear, including the process for raising concerns.
In September 2021, we launched ‘Speak Up’workshops for staff to help remove barriers toraising a concern and, in November 2022, weparticipated in the Civil Service ‘Speak Up’ week.
Alongside this, in December 2022, we engaged
our legal firm DLA Piper to train 16 seniorleaders across the organisation in facilitating
investigations, including whistleblowing. No
concerns were raised under these policy
arrangements during the financial year 2022-23.
Information Risk
We have maintained our high standards ofInformation Security risk management over2022-23, as attested by maintenance of our ISO
27001 and Cyber Essentials Certification. Thiswas further supported by a positive result on the
Cross Government Departmental Security Heath
Check.

Statement of Accounting Officer’s responsibilities
Under the Government Resources andAccounts Act 2000, HM Treasury has directed
The National Archives to prepare, for eachfinancial year, resource accounts detailingthe resources acquired, held, or disposed ofduring the year and the use of resources by The
National Archives during the year.
The accounts are prepared on an accruals basis
and must give a true and fair view of the stateof affairs of The National Archives and of its
net resource outturn, application of resources,changes in taxpayers’ equity and cash flows forthe financial year.
In preparing the accounts, the Accounting
Officer complies with the requirements of theGovernment Financial Reporting Manual and, inparticular, to:■observe the Accounts Direction issued
by HM Treasury, including the relevant
accounting and disclosure requirements,
and apply suitable accounting policies on aconsistent basis■

make judgements and estimates on areasonable basis■

state whether applicable accounting
standards, as set out in the Government
Financial Reporting Manual, have been
followed, and disclose and explain any
material departures in the accounts■

confirm that the annual report andaccounts as a whole are fair, balanced, andunderstandable, and personal responsibility
for the annual report and accounts and thejudgements required for determining that it
is fair, balanced and understandable

UK General Data Protection Regulation
There were no personal data-related incidents
reported to the Information Commissioner’s
Office during 2022-23.
Conclusion
The Accounting Officer is assured by and iscontent with the effectiveness of the frameworkof governance, risk and controls outlined above.

057

STATEMENT OF ACCOUNTING OFFICER’S RESPONSIBILITIES■

prepare the accounts on the going concern
basis.

HM Treasury have appointed me as the
Accounting Officer of The National Archives,with responsibility for preparing The National
Archives’ accounts and for transmitting them to
the Comptroller and Auditor General.
The responsibilities of an Accounting Officer,
including responsibility for the propriety andregularity of the public finances for which an
Accounting Officer is answerable, for keeping
proper records and for safeguarding thedepartment’s assets, are set out in Managing
Public Money published by HM Treasury.
As the Accounting Officer, I have taken all thesteps that I ought to have taken to make myself
aware of any relevant audit information and toestablish that The National Archives’ auditors
are aware of that information. So far as I amaware, there is no relevant audit information ofwhich the auditors are unaware.
The annual report and accounts as a whole are
fair, balanced and understandable and I takepersonal responsibility for the annual reportand accounts and the judgments required for
determining that they are fair, balanced andunderstandable.

Jeff James,
Chief Executive and Keeper,
11 July 2023

Whistleblowing policy: ‘Raising a concern’
Staff and contractors have access to ourWhistleblowing policy, ‘Raising a concern’. This
provides access to the Chair of the Audit andRisk Committee or to the Chief Executive andKeeper, who support the individual in raising

Annual Report and Accounts 2022-23

Annual Report and Accounts 2022-23

058

SENIOR CIVIL SERVICE GRADES

2.2 Remuneration and staff report
Senior civil service grades
Unless otherwise stated below, the officials
covered by this report hold appointments thatare open-ended. Early termination, other thanfor misconduct, would result in the individual
receiving compensation, as set out in the Civil
Service Compensation Scheme.

■

the need to recruit, retain and motivate
and, where relevant, promote suitably
able and qualified people to exercise theirdifferent responsibilities;■

regional/local variations in labour markets
and their effects on the recruitment,
retention and, where relevant, promotionof staff;

Jeff James’ appointment as Chief Executive andKeeper was confirmed by the Ministry of Justiceon 29 July 2014 until 28 July 2018 and was
extended for a further four-year term from 29
July 2018 by the Department for Culture, Mediaand Sport (DCMS), concluding in July 2022. His
appointment was extended for a further two
years by DCMS to conclude in July 2024.

■

government policies for improving public
services, including the requirement on
departments to meet the output targets forthe delivery of departmental services;■■

the funds available to departments as set
out in the government’s departmental
expenditure limits;
The government’s inflation target.

The Review Body takes account of theevidence it receives about wider economic
considerations and the affordability of its
recommendations. Further information about
the work of the Review Body can be found on
the Office of Manpower Economics web pages
on the UK Government website.20
Service contracts
Civil Service appointments are made inaccordance with the Civil Service Commissioners’
Recruitment Code. The Code requires
appointments to be made on merit, on the basisof fair and open competition, as published in
the Recruitment Principles published by the Civil
Service Commission. These principles also define
where there may be exceptions to this, and therules governing these.
20

adhere to Cabinet Office policy, which follows
the guidance and recommendations of the
Review Body on Senior Salaries.
Salary and bonuses (unaudited)

The remuneration of senior civil servants is set
by the Prime Minister following independent
advice from the Review Body on Senior
Salaries. In reaching its recommendations,
the Review Body has regard to the following
considerations:Rommel Pereira was appointed from 1 May
2022 on a three-year contract as Chair of the
Audit and Risk Committee.
Professor Andrew Wathey CBE was appointed
as Chair of The National Archives’ Board from 1
April 2022 on a three-year contract.
Baroness (Ros) Scott of Needham Market
and Mark Richards were appointed as Nonexecutive Board members from 21 May 2018
on three-year contracts, which were extended
until 20 May 2024.
Sonia Cargan was appointed as a Non-executive
Board member from 19 January 2021 on athree-year contract.
Service contracts can be terminated under
the standard procedures of the Civil Service
Management Code.
Further information about the work of the Civil
Service Commissioners can be found at www.
civilservicecommission.org.
The Nominations and GovernanceCommittee

059

SENIOR CIVIL SERVICE GRADES

Salary includes gross salary, overtime,reserved rights to London weighting or
London allowances, recruitment and retention
allowances, and any other allowance to theextent that it is subject to UK taxation. This
report is based on accrued payments madeby the department and thus recorded inthese accounts. Percentage salary increases,
and performance bonuses, are agreed by the
Nominations and Governance Committee inaccordance with strict guidance and parameters
set each year by the Cabinet Office.

Senior staff have written objectives
agreed with the Chief Executive
and Keeper. Performance against
these objectives, and against The
National Archives’ values, forms
the basis of their formal appraisaland subsequent pay and bonus
recommendations.

Senior staff have written objectives agreed with
the Chief Executive and Keeper. Performanceagainst these objectives, and against The
National Archives’ values, forms the basis of
their formal appraisal and subsequent pay andbonus recommendations. This information
is used by the Nominations and GovernanceCommittee to determine pay awards, according
to the Review Body on Senior Salaries’ annual
recommendations.
The monetary value of benefits in kind covers
any benefits provided by the department andtreated by HM Revenue and Customs as ataxable emolument.
Bonuses are based on performance levelattained and are made as part of the appraisal
process. The stated figures disclose both in-year
bonuses and end-of-year bonuses that relate to
the preceding year. As such, reported bonuses
in 2022-23 relate to performance in both 202223 and 2021-22, with the comparative bonuses
relating to performance in both 2021-22 and2020-21.
The following sections provide details of the
remuneration and pension interests of themost senior officials (i.e. Board members) of thedepartment.

The policy on remuneration of senior civil
servants, and the deliberations of theNominations and Governance Committee,

gov.uk/government/organisations/office-of-manpower-economics

Annual Report and Accounts 2022-23

Annual Report and Accounts 2022-23

060

SENIOR CIVIL SERVICE GRADES

061

SENIOR CIVIL SERVICE GRADES

Directors’ remuneration (audited)2021-22

The salary, pension entitlements and the value of any taxable benefits in kind of the Chief
Executive and Keeper, Executive Directors and Non-executive Board members of The National
Archives, were as follows:21 22
2022-23

Salary and FYE (fullyear, equivalent)
£000

Bonus
£000

Benefit inkind £

Pensionbenefits
£000

Total
£000

Jeff James
Chief Executive and Keeper

120-125--47

170-175

Salary and FYE (fullyear) £000

Bonus
£000

Benefit inkind £

Pensionbenefits
£000

Total
£000

Neil Curtis
Chief Operating Officer

105-110

-

-

5023

155-160

Jeff James
Chief Executive and Keeper

125-130

10-15

-

48

185-90

Aaron Smith
Corporate Services Director(from 2 August 2021)

55-60(85-90)

-

-

22

80-85
(110-115)

Neil Curtis
Chief Operating Officer

110-115--43

150-155

Emmajane Avery
Director of Public Engagement

85-90

-

-

9

95-100

Aaron Smith
Corporate Services Director(until 31 January 2023)

75-80(85-90)--29

105-110(115-125)

Lucy Fletcher
Public Access and Government Services
Director

85-90

-

-

34

120-125

Emmajane Avery
Director of Public Engagement

85-90

-

-

9

95-100Dr Valerie Johnson
Director of Research and Collections

85-90

-

-

34

120-125

Lucy Fletcher
Public Access and Government Services
Director

85-90

10-15

-

35

130-135

John Sheridan
Digital Director

85-90

-

-

25

110-115

Dr Valerie Johnson
Director of Research and Collections

85-90

-

-

35

120-125

Gemma Maclagan Ram
Commercial Director

60-65(85-90)

-

-

25

85-90
(110-115)

John Sheridan
Digital Director

85-90

0-5

-

5

90-95

Andrea Metcalf
Director of People, Inclusion and Change

30-35(85-90)

-

-

13

45-50
(100-105)

Gemma Maclagan Ram
Commercial Director

85-90

0-5

-

35

120-125

Professor Andrew Wathey CBE
Chair of The National Archives Board(from 1 Apr 2022)

N/A

-

-

N/A

N/A

Andrea Metcalf
Director of People, Inclusion and Change

85-90

-

-

35

120-125

Sonia Cargan
Non-executive Board member

10-15

-

-

N/A

10-15

Professor Andrew Wathey CBE
Chair of The National Archives Board(from 1 Apr 2022)

15-20

N/A

-

N/A

15-20

Robert Milburn
Independent member of the Audit andRisk Committee (until 31 December 2022)

15-20

N/A

-

N/A

0-5

Sonia Cargan
Non-executive Board member

10-15

N/A

-

N/A

10-15

Rommel PereiraNon-executive Board member

10-15

N/A

-

N/A

15-20

Robert Milburn
Independent member of the Audit andRisk Committee (until 31 December 2022)

0-5

N/A

-

N/A

0-5

Mark Richards
Non-executive Board member

10-15

N/A

-

N/A

10-15

Rommel PereiraNon-executive Board member

15-20

N/A

-

N/A

15-20

Baroness (Ros) Scott of Needham Market
Non-executive Board member

0-5

N/A

-

N/A

10-15

Mark Richards
Non-executive Board member

10-15

N/A

-

N/A

10-15

Baroness (Ros) Scott of Needham Market
Non-executive Board member

10-15

N/A

-

N/A

10-15

21 S
 alary and full-year equivalent (FYE) are presented to the nearest £1,000. FYE is shown in brackets. Benefits in kind arepresented to the nearest £100, pension benefits and total remuneration to the nearest £1,000.
22 The value of pension benefits accrued during the year is calculated as (the real increase in pension multiplied by 20)
less (the contributions made by the individual). The real increases exclude increases due to inflation or any increase or
decreases due to a transfer of pension rights.

Annual Report and Accounts 2022-23

23

Pension benefit in 2021-22 increased from £42,000 to £50,000 due to a retrospective update to salary data.

Annual Report and Accounts 2022-23

062

SENIOR CIVIL SERVICE GRADES

Pension benefits (audited)

Pay multiples (audited)

25th percentile
pay ratioMedian pay
ratio

75th percentile
pay ratio

Band of highest paid Director’s
remuneration (£)£135,000-£140,000£135,000-£140,000£135,000-£140,000

Employee total remuneration (£)£28,000£34,943£46,036

Staff salary and allowances (£)£28,000£34,943£46,036

4.91

3.93

2.99

2022-23

Ratio

25th percentile
pay ratioMedian pay
ratio

75th percentile
pay ratio

Band of highest paid Director’s
remuneration (£)£120,000-£125,000£120,000-£125,000£120,000-£125,000

Employee total remuneration (£)£25,070£33,127£43,838

Staff salary and allowances (£)£23,588£33,127£43,838

4.9

3.7

2.8

2021-22063

SENIOR CIVIL SERVICE GRADES

Ratio

Reporting bodies are required to disclose therelationship between the remuneration of thehighest-paid director in their organisation andthe lower quartile, median and upper quartile
remuneration of the organisation’s workforce.
The banded remuneration of the highest-paid
Executive Director at The National Archives
in the financial year 2022-23 was £135,000£140,000 (2021-22: £120,000-£125,000). Thiswas 3.93 times (2021-22: 3.7) the median
remuneration of the workforce, which was£34,943 (2021-22: £33,127). The change insalary for the highest-paid Director represents
a 4% increase from the previous year and abonus was paid where no bonus was paid
the previous year; there were no increases inallowances or other performance-related pay.

In both 2022-23 and 2021-22, no employees
received remuneration in excess of thehighest-paid director. Remuneration ranged
from £22,328-£140,000 (2021-22: £14,300£125,000). The average salary and allowance
for all employees was £39,105, a 6% increaseon the previous year (2021-22: £36,889). The
average bonus payable for all employees was£323, an 11% increase on the previous year
(2021-22: £291).
Total remuneration includes salary, nonconsolidated performance-related pay andbenefits in kind (travel and subsistence). It does
not include severance payments, employer
pension contributions and the cash equivalenttransfer of pensions.

Accruedpension at
pension age
as at 31/03/23
and related
lump sumReal increasein pension
and related
lump sum atpension age
inCash
EquivalentTransfer
Values(CETV) at
31/03/202324

Cash
EquivalentTransfer
Values (CETV)
at 31/03/22

Real increase
Cash
EquivalentTransfer
Values (CETV)£000 in bandsof £5,000£000 in bandsof £2,500£000 tonearest £000

£000 tonearest £000

£000 tonearest £000

Jeff James
Chief Executive and Keeper

25-30

2.5-5

351

295

28

Neil Curtis
Chief Operating Officer

15-20

2.5-5

185

147

22

Emmajane Avery
Director of Public Engagement

25-30

0-2.5

411

368

-325

Lucy Fletcher
Public Access and Government
Services Director

15-20

0–2.5

152

127

12

Dr Valerie Johnson
Director of Research andCollections

30-35

0-2.5

512

457

24

Gemma Maclagan Ram
Commercial Director

5-10

0-2.5

92

68

14

Andrea Metcalf
Director of People, Inclusion
and Change

0-5

0-2.5

36

9

20

John Sheridan
Digital Director

30-35

0-2.5

448

409

-726

Aaron Smith
Corporate Services Director(until 31 January 2023)

0-5

0-2.5

36

15

15

There were no employer contributions to partnership pension accounts in respect of any of theabove.

24 CETV figures are calculated using the guidance on discount rates for calculating unfunded public service pension
contribution rates that was extant at 31 March 2023. HM Treasury published updated guidance on 27 April 2023; thisguidance will be used in the calculation of the 2023-24 CETV figures.
25 Taking account of inflation, the CETV funded by the employer has decreased in real terms.
26 Taking account of inflation, the CETV funded by the employer has decreased in real terms.

Annual Report and Accounts 2022-23

Annual Report and Accounts 2022-23

064

SENIOR CIVIL SERVICE GRADES

Civil Service pensions
Pension benefits are provided through the
Civil Service pension arrangements. From 1
April 2015, a new pension scheme for civil
servants was introduced – the Civil Servantsand Others Pension Scheme or alpha, which
provides benefits on a career average basiswith a normal pension age equal to themember’s State Pension Age (or 65 if higher).
From that date, all newly appointed civil
servants and the majority of those already inservice joined alpha. Prior to that date, civil
servants participated in the Principal Civil
Service Pension Scheme (PCSPS). The PCSPS
has four sections: three providing benefits ona final salary basis (classic, premium or classicplus) with a normal pension age of 60; andone providing benefits on a whole career basis(nuvos) with a normal pension age of 65.
These statutory arrangements are unfundedwith the cost of benefits met by monies voted
by Parliament each year. Pensions payable
under classic, premium, classic plus, nuvos
and alpha are increased annually in line with
Pensions Increase legislation. Existing membersof the PCSPS who were within ten years of theirnormal pension age on 1 April 2012, remainedin the PCSPS after 1 April 2015. Those who were
between 10 years and 13 years and 5 months
from their normal pension age on 1 April 2012
switched into alpha sometime between 1 June2015 and 1 February 2022. Because the UK
Government plans to remove discrimination,
identified by the courts in the way that the 2015
pension reforms were introduced for somemembers, it is expected that, in due course,
eligible members with relevant service between
1 April 2015 and 31 March 2022 may be entitledto different pension benefits in relation to that
period (and this may affect the Cash EquivalentTransfer Values shown in this report – see
below). All members who switch to alphahave their PCSPS benefits ‘banked’, with thosewith earlier benefits in one of the final salarysections of the PCSPS having those benefits
based on their final salary when they leavealpha. The pension figures quoted for officials
show pension earned in PCSPS or alpha – asappropriate. Where the official has benefits inboth the PCSPS and alpha, the figure quoted isthe combined value of their benefits in the two
schemes. Members joining from October 2002
may opt for either the appropriate defined
benefit arrangement or a defined contribution(money purchase) pension with an employer

Annual Report and Accounts 2022-23

contribution (partnership pension account).
Employee contributions are salary-related andrange between 4.6% and 8.05% for members ofclassic, premium, classic plus, nuvos and alpha.
Benefits in classic accrue at the rate of 1/80thof final pensionable earnings for each year ofservice. In addition, a lump sum equivalent
to three years’ initial pension is payable on
retirement. For premium, benefits accrue at therate of 1/60th of final pensionable earnings foreach year of service. Unlike classic, there is noautomatic lump sum. Classic plus is essentiallya hybrid with benefits for service before 1
October 2002 calculated broadly as per classic
and benefits for service from October 2002
worked out as in premium. In nuvos, a member
builds up a pension based on their pensionableearnings during their period of scheme
membership. At the end of the scheme year (31March) the member’s earned pension accountis credited with 2.3% of their pensionableearnings in that scheme year and the accrued
pension is uprated in line with Pensions Increase
legislation. Benefits in alpha build up in a similar
way to nuvos, except that the accrual rate is
2.32%. In all cases, members may opt to give up(commute) pension for a lump sum up to thelimits set by the Finance Act 2004.
The partnership pension account is an
occupational defined contribution pension
arrangement, which is part of Legal & General
Mastertrust. The employer makes a basic
contribution of between 8% and 14.75%(depending on the age of the member).
The employee does not have to contribute,but where they do make contributions, theemployer will match these up to a limit of 3% of
pensionable salary (in addition to the employer’s
basic contribution). Employers also contributea further 0.5% of pensionable salary to cover
the cost of centrally-provided risk benefit cover(death in service and ill health retirement).
The accrued pension quoted is the pension themember is entitled to receive when they reachpension age, or immediately on ceasing to be
an active member of the scheme if they are
already at or over pension age. Pension age is
60 for members of classic, premium and classic
plus, 65 for members of nuvos, and the higherof 65 or State Pension Age for members ofalpha. (The pension figures quoted for officials
show pension earned in PCSPS or alpha – as

065

SENIOR CIVIL SERVICE GRADES

appropriate. Where the official has benefits inboth the PCSPS and alpha, the figure quoted
is the combined value of their benefits in thetwo schemes, but note that part of that pension
may be payable from different ages).
Further details about the Civil Service pension
arrangements can be found at the website:www.civilservicepensionscheme.org.uk.
Cash Equivalent Transfer Values
A Cash Equivalent Transfer Value (CETV) is theactuarially assessed capitalised value of thepension scheme benefits accrued by a member
at a particular point in time. The benefits valued
are the member’s accrued benefits and any
contingent spouse’s pension payable fromthe scheme. A CETV is a payment made by apension scheme or arrangement to secure
pension benefits in another pension schemeor arrangement when the member leaves ascheme and chooses to transfer the benefits
accrued in their former scheme. The pension
figures shown relate to the benefits that theindividual has accrued as a consequence of
their total membership of the pension scheme,
not just their service in a senior capacity towhich disclosure applies.
The figures include the value of any pension
benefit in another scheme or arrangement
which the member has transferred to the
Civil Service pension arrangements. They also
include any additional pension benefit accrued
to the member as a result of their buying
additional pension benefits at their own cost.
CETVs are worked out in accordance withThe Occupational Pension Schemes (Transfer
Values) (Amendment) Regulations 2008 anddo not take account of any actual or potential
reduction to benefits resulting from Lifetime
Allowance Tax which may be due when pension
benefits are taken.
Real increase in CETVThis reflects the increase in CETV that is fundedby the employer. It does not include theincrease in accrued pension due to inflation,
contributions paid by the employee (including
the value of any benefits transferred fromanother pension scheme or arrangement) anduses common market valuation factors for thestart and end of the period.

Staff report
For the thirteenth year, we participated in the
Civil Service staff engagement survey, achieving
an overall engagement score of 69% (2021-22:73%). The change has largely been driven by adecrease in satisfaction levels around pay andprogression.
We are committed to developing our people
and have continued to offer various learning
opportunities throughout the year. These haveincluded management development, sessions
on mental health and wellbeing, as well as
various technical training programmes. Goingforward, we are looking at embedding our
behavioural framework and developing a cultureof knowledge sharing, coaching and feedback.
Our senior managers meet regularly with staff
and trade union representatives in a numberof ways, including the Whitley Council, Healthand Safety Committee, the forum on Equality,
Diversity and Inclusion and the Staff forum.
Our recruitment is now based on a hybridarrangement with both online and on site
interviews as required. Recruitment hasremained at a constant level with successful
campaigns across all areas of the business andat all levels, including increased success in the
Digital teams. However, some technical roles
remain unfilled.
Diversity, equity and inclusion
As a public sector organisation, we arecommitted to equal opportunities for all as partof our duty under the Equality Act 2010. Our
dedication to becoming a more diverse, inclusive
and equitable organisation is underpinned inour 2021 plan, Becoming the Inclusive Archive,
and reiterated in our organisation-wide strategy,
Archives for Everyone.
As part of the Public Sector Equality Duty, we
aim to foster good relations between persons
who share a relevant protected characteristic
and persons who do not share it, including
among staff. We have policies in place to guard
against discrimination and work hard to make
The National Archives a safe and supportive
environment for staff and visitors alike.
We continue to review our policies andprocedures to ensure that there are no unfair or

Annual Report and Accounts 2022-23

066
illegal barriers to employment or advancement
across the organisation. Our strategic plansinclude creating and establishing a diverse
workplace and suitability for employment isbased on skills, qualifications, and experience(both lived and professional) irrespective ofrace, age, gender, marital status, disability,
sexual orientation, socio-economic status,
religious or political beliefs or opinions. We
remain committed to harnessing talent fromdiverse backgrounds and carry out ‘anonymised
shortlisting’ for all of our recruitment campaigns,
reducing the risk of unconscious bias in theselection process to ensure a fair and consistent
approach to recruitment. We are a Disability
Confident Level 2 employer, and we aim to
make sure that there is no discrimination on the
grounds of disability.
This year, we have prioritised an intersectional
approach to engaging and empoweringcolleagues across the organisation, with aparticular focus on our staff networks. Inline with our organisational values, our staff
networks are all about people, exploring
progressive change, supporting our colleagues
and peers, and inspiring a feeling of
belonging. Our active staff networks include
the Racial Equality Network, Neurodiversity
Forum, Menopause Network, Hear Together
volunteers, LGBT+ Network and Green
Champions. Throughout the year, the networks
continued to meet and support organisational
decision-making. As we adjust to new ways
of working in the wake of the COVID-19
pandemic, the staff networks worked hard toencourage and support our staff and invest in
their wellbeing. This coming reporting year will
involve setting shared priorities aligned to our
inclusion and change strategies, and to deliver
positive and meaningful outcomes for staff
across the organisation.

SENIOR CIVIL SERVICE GRADES

We have policies in place to guard
against discrimination and work hard
to make The National Archives a safe
and supportive environment for staff
and visitors alike.

Workforce breakdown

Disabled 8.9%

31 March 2023

31 March 2022

Staff numbers

Headcount

590

577

Workforce diversity

Black and Minority
Ethnic27

19.2%

20.5%

Women – director
level

5 of 85 of 9

Women

54.3%

52.9%

Disabled28

8.9%

9.7%

Temporaryappointments(average per month)29

10

20

16.7%

13.3%

Black andminority 19.2%

Women 54.3%

067

SENIOR CIVIL SERVICE GRADES

Staff turnover30
Staff sickness
absence31

Days per FTE

6.0

5.2

Civil service staff
engagement survey

Engagement score %69

73

Consultancy
expenditure

£000s

25

14

27 Percentage of employees declaring an ethnicity.
28 Percentage of employees declaring a disability.
29 Temporary appointments are employees appointed under Exception 1 of the Civil Service Recruitment Principles.
30 We found that while we were dealing with the impact of Coronavirus many people preferred to retain the securityof their existing role, but since the pandemic the job market has proved more buoyant, providing an opportunity forpeople to change roles.
31 We saw a marked decrease in overall staff sickness absence during the COVID-19 pandemic, due to the effect of people
not mixing socially and the ability to work from home when ordinarily sickness would have prevented them attending
the workplace. Since regulations eased, sickness absence has remained higher due to increased social mixing and thecontinuing impact of the pandemic.

Annual Report and Accounts 2022-23

Annual Report and Accounts 2022-23

068

SENIOR CIVIL SERVICE GRADES

Average full-time equivalent number of persons employed (audited)

069

SENIOR CIVIL SERVICE GRADES

Staff costs (audited)2022-23£000

The average number of full-time equivalent persons employed during the year was as follows:
2022-232021-222020-21£000

Permanently
employed staff

Other staff

Total

Total

Wages and salaries

21,409354

21,76319,893Social security costs33

2,443

-

2,443

2,136

Other pension costs

5,611

-

5,611

5,181

Sub total

29,463354

29,817

27,210

Permanently
employed staff

Other staff32

Total

Total

Government information
management

111

16

127

136

Preservation and protection

104

13

117

94

Public access

307

32

339

321

Staff engaged on capital projects

8

0

8

15

Less staff costs capitalised on IT
projects

(637)

-

(637)

(750)

Total

530

61

591

566

Total net costs

28,826354

29,18026,460Senior Civil Service (SCS) by band as at 31 March:

Off-payroll engagements

2022-23
number2021-22
number£60,000 - £70,000--£70,000 - £80,000--

Number of existing engagements as of 31 March 2023

£80,000 - £90,000

67

Of which:£90,000 - £100,000--

Number that have existed for less than one year at time of reporting

7£100,000 - £110,000-

1Number that have existed for between one and two years at time of reporting

0£110,000 - £120,000

1-Number that have existed for between two and three years at time of reporting

0£120,000 - £130,000

11Number that have existed for between three and four years at time of reporting

0

Total

8

9

Number that have existed for four or more years at time of reporting

0

Salary band

32 ‘Other staff’ includes staff on fixed-term contracts, as well as agency staff and specialist contractors.

Annual Report and Accounts 2022-23

Review of tax arrangements of public sector appointees
Table 1: Temporary off-payroll worker engagements as at 31 March 2023:
7

33 2
 022-23 includes £93,000 apprenticeship levy cost (2021-22: £85,000). The Apprenticeship Levy was introduced in April
2017, requiring employers with a pay bill of more than £3 million pounds each year to pay the levy.

Annual Report and Accounts 2022-23

070

SENIOR CIVIL SERVICE GRADES

Table 2: All temporary off-payroll workers engaged at any point during the year ended 31
March 2023:
Number of off-payroll workers engaged during the year ended 31 March 2023

20

071

SENIOR CIVIL SERVICE GRADES

Reporting of Civil Service and other compensation schemes – exit packages (audited)
Details of the compensation scheme payments, and the number of departures during the year,
and the previous year, are shown in the table below. Compensation agreed for departures did notexceed the Cabinet Office’s recommended cap of £95,000.

Of which:

2022-23

Numbers determined as in-scope of IR35

8

Numbers determined as out-of-scope of IR35

12

Number of engagements reassessed for compliance or assurance purposes during the year

5

Of which: Number of engagements that saw a change to IR35 status following the consistency review

0

Number of engagements where the status was disputed under provisions in the off-payroll legislation0

Of which: Number of engagements that saw a change to IR35 status following the review

02021-22

Exit package
cost band£000

Compulsory
redundancies

Otherdepartures

Total

Compulsory
redundancies

Otherdepartures

Total

< £10

-

-

-

-

-

-

£10 - £25

-

-

-

-

-

-

£25 - £50

-

2

2

-

-

-

£50 - £100

-

1

1

-

-

-

Table 3: For any off-payroll engagements of Board members, and/or senior officials withsignificant financial responsibility, between 1 April 2022 and 31 March 2023:

Total numberof exitpackages

-

3

3

-

-

-

Number of off-payroll engagements of Board members, and/or senior officials with significant financial
responsibility, during the financial year

0

Total costs(£000)

£-

£169

£169

£-

£-

£-

Total number of individuals both on payroll and off-payroll that have been deemed ‘board members, and/or
senior officials with significant financial responsibility’, during the financial year

15

Staff pension arrangements
The Principal Civil Service Pension Scheme(PCSPS) is an unfunded multi-employer defined
benefit scheme in which The National Archives
is unable to identify its share of the underlying
assets and liabilities. A full actuarial valuation
was carried out as at 31 March 2016. Workon the next quadrennial actuarial valuation
due as at 31 March 2020 is under way by theGovernment Actuary's Department. The 2020
valuation will be reported in the CSPS ARA
when it is completed.
For 2022-23, employers’ contributionsof £5.5 million were payable in Accruing
Superannuation Liability Charges (2021-22:£5.1 million) at one of four rates in the range
26.6% to 30.3% (unchanged from 2021-22)
of pensionable earnings, based on salarybands. The Scheme Actuary reviews employer
contributions usually every four years following
a full scheme valuation. The contribution rates
reflect benefits as they are accrued, not when
the costs are actually incurred, and reflect pastexperience of the scheme.

Annual Report and Accounts 2022-23

Employees can opt to open a partnership
pension account, a stakeholder pension
with an employer contribution. Employers’
contributions of £0.09 million (2021-22: £0.09
million) were paid to the appointed stakeholder
pension provider, Legal & General. Employer
contributions are age-related and range from
8% to 14.75% of pensionable pay.
Employers also match employee contributions
up to 3% of pensionable earnings. In addition,
employer contributions of £0.003 million(2021-22: £0.003 million) of pensionable pay
were payable to the PCSPS to cover the cost of
the future provision of lump sum benefits on
death in service or ill health retirement of these
employees.
Contributions due to the partnership pension
provider at the balance sheet date were £0.007
million (2021-22: £0.007 million). Contributions
prepaid at that date were nil (2021-22: nil).

Redundancy and other departure costs
have been paid in accordance with theprovisions of the Civil Service Compensation
Scheme; a statutory scheme made under
the Superannuation Act 1972. Exit costs areaccounted for in full in the year of departure.
Where the department has agreed early
retirements, the additional costs are met by thedepartment and not by the Civil Service pension
scheme. Ill health retirement costs are met by
the pension scheme and are not included in thetable.
Business Appointment Rules
The Business Appointment Rules (BARs)
apply to civil servants (including Special
Advisers) leaving Crown Service. In compliancewith Business Appointment rules, we aretransparent in the advice given to individual
applications for senior staff, including special

advisers. Advice regarding specific businessappointments has been published on GOV.
UK here: Business appointment rules for
Crown servants. We inform all leavers thatthey must obtain agreement before accepting
a post outside the Civil Service if their official
duties in the two years before leaving Crown
service (or earlier if the association has beenof a continued or repeated nature) resulted
in personal involvement with the prospective
employer, or they had access to commerciallysensitive information of their competitors.
If either of the above applies, we ask staff tocontact us for advice.
During the 2022-23 financial year, there wasone exit from the Civil Service (SCS) and one
application assessed by the department at
Grade G, for which no conditions were set. We
did not receive any disclosures relating to BARs
and we were not aware of any breaches.

Annual Report and Accounts 2022-23

072

SENIOR CIVIL SERVICE GRADESThe Trade Union (Facility Time Publication Requirements) Regulations 2017 (Statutory
Instrument 328) report
Relevant union officials
Number of employees who were relevant
union officials during the relevant period

Full-time equivalent employee number

15

14.67

Percentage of time spent on facility time
Percentage of time

Number of employees

0%

12

1-50%

3

51%-99%

0

100%

0

Percentage of pay bill spent on facility time
Total cost of facility time

£5,912.94

Total pay bill

£29,180,440

Percentage of the total pay bill spend on facility time

0.02%

Paid trade union activities
Time spent on paid trade union activities as a percentage
of total paid facility time0%

STATEMENT OF OUTTURN AGAINST PARLIAMENTARY SUPPLY (SOPS) (AUDITED)

073

2.3 Parliamentary accountability and audit
reportStatement of Outturn against Parliamentary Supply(SoPS) (audited)
In addition to the primary statements prepared
under the International Financial ReportingStandards (IFRS), the Government Financial
Reporting Manual 2022-23 (FReM) requires The
National Archives to prepare a Statement of
Outturn against Parliamentary Supply (SoPS)
and supporting notes.
The SoPS and related notes are subject to audit,
as detailed in the Certificate and Report of theComptroller and Auditor General to the Houseof Commons.
The SoPS is a key accountability statementthat shows, in detail, how an entity has spent
against their Supply Estimate. Supply is themonetary provision (for resource and capital
purposes) and cash (drawn primarily fromthe Consolidated Fund), that Parliament gives
statutory authority for entities to utilise. The
Estimate details supply and is voted on by
Parliament at the start of the financial year.
Should an entity exceed the limits set by theirSupply Estimate, called control limits, theiraccounts will receive a qualified opinion.

(SoCNE), to tie the SoPS to the financial
statements (note 2); a reconciliation of outturnto net cash requirement (note 3); and ananalysis of income payable to the Consolidated
Fund (note 4).
The SoPS and Estimates are compiled against
the budgeting framework, which is similar to
the IFRS. An understanding of the budgeting
framework and an explanation of key terms
is provided on page 31, in the Performance
analysis section of the Performance Report.
Further information on the Public Spending
Framework and the reasons why budgeting
rules are different to IFRS can also be foundin Chapter 1 of the Consolidated Budgeting
Guidance, available on GOV.UK.34
The SoPS provides a detailed view of financial
performance, in a form that is voted on andrecognised by Parliament. The Performance
analysis section of the Performance Reportprovides a summarised discussion ofoutturn against estimate and functions as an
introduction to the SoPS disclosures.

The format of the SoPS mirrors the Supply
Estimates, published on GOV.UK, to enable
comparability between what Parliament
approves and the final outturn.
The SoPS contain a summary table, detailingperformance against the control limits that
Parliament have voted on, cash spent (budgets
are compiled on an accruals basis and sooutturn will not exactly reconcile to cash spent)and administration.
The supporting notes detail the following:
Outturn by Estimate line, providing a moredetailed breakdown (note 1); a reconciliationof outturn to net operating expenditure in theStatement of Comprehensive Net Expenditure
34 Consolidated budgeting guidance 2022 to 2023.

Annual Report and Accounts 2022-23

Annual Report and Accounts 2022-23

074

STATEMENT OF OUTTURN AGAINST PARLIAMENTARY SUPPLY (SOPS) (AUDITED)

Summary table 2022-23, all figures presented in £000s
Outturn
Type of
Spend

SoPS
note

Voted

Nonvoted

Estimate

Total

Voted

Nonvoted

Total

OutturnvsEstimate,
Savings/(Excess)

Prior
Year
OutturnTotal
2021-22

Notes to the Statement of Outturn against
Parliamentary Supply 2022-23
SoPS1. Outturn detail by Estimate Line
SoPS1.1 Analysis of Net Resource Outturn by Estimate line, all figures presented in £000s

Departmental
Expenditure Limit

Resource OutturnResource

1.1

46,176-

46,176

46,909-46,909733

40,240Capital

1.2

5,296

-

5,296

5,860

-

5,860

564

6,383

51,472-51,472

52,769-52,7691,297

46,623

Total
Annually Managed
Expenditure
Resource

1.1

Total

Spend Type
(Resource)

-

(5)

3

-

3

8

(142)

(5)

-

(5)

3

-

3

8

(142)

Total Budget
Resource

1.1

46,171-

46,17146.912-

46,912741

40,098

Capital

1.2

5,296

-

5,296

5,860

-

5,860

564

6,383

Total Expenditure

51,467-51,467

52,772-

52,772

1,305

46,481Figures in the Estimate column cover the voted control limits voted by Parliament. Refer to the
Supply Estimates guidance manual, available on GOV.UK, for detail on the control limits voted by
Parliament.
Net Cash Requirement 2022-23, all figures presented in £000s

Administration
Gross

IncomeEstimate

Programme
Net

Gross

12,425

(41)

Total

33,792

46,176

46,909733

40,240Net

12,38448,097(14,305)

Spending in Annually Managed Expenditure (AME)
Voted
expenditure

-

-

-

(5)

-

(5)

(5)

3

8

(142)

Total
Resource

12,425(41)

12,38448,092(14,305)

33,787

46,171

46,912741

40,098The Outturn was lower than the Estimate primarily due to an underspend in ring-fenced
depreciation of £0.6million, largely driven by some assets under construction not being complete
at year end and so not yet depreciable.
SoPS1.2 Analysis of Capital Outturn, all figures presented in £000s
Outturn

Gross
SoPS note

Outturn

Estimate

Outturn vs
Estimate,
Savings/(Excess)Prior Year
Outturn Total
2021-22Net Cashrequirement

345,36245,611

249

41,011

Administration costs 2022-23, all figures presented in £000s

Type of spend

SoPS note

Outturn

Estimate

Outturn vs
Estimate,
Savings/(Excess)Prior Year
Outturn Total
2021-22

Administration
costs

1.1

12,384

12,683299

10,259Prior
Year
OutturnTotal
2021-22

Total
IncomeEstimate

Spend Type

Item

OutturnvsEstimate,
Saving/(Excess)

Spending in Departmental Expenditure Limits (DEL)
Voted
expenditure

(5)

075

NOTES TO THE STATEMENT OF OUTTURN AGAINST PARLIAMENTARY SUPPLY

Income

Total

Total

Outturn vs
Estimate,
Savings/(Excess)
Total

Prior Year
Outturn Total
2021-22

Spending in Departmental Expenditure Limit (DEL)
Voted
expenditure

5,296

-

5,296

5,860

564

6,383

Total Capital

5,296

-

5,296

5,860

564

6,383

No virements have been made by The National Archives. Virements are the reallocation ofprovisions in the Estimates that do not require Parliamentary authority (because Parliament does
not vote to that level of detail and delegates to HM Treasury). Further information on virements
is provided in the Supply Estimates Manual which is available on www.gov.uk/government/
publications/supply-estimates-guidance-manual.

Although not a separate voted limit, any breach of the administration budget will also result in anexcess vote.

Annual Report and Accounts 2022-23

Annual Report and Accounts 2022-23

076

NOTES TO THE STATEMENT OF OUTTURN AGAINST PARLIAMENTARY SUPPLYSoPS2. Reconciliation of Outturn to Net Operating Expenditure, all figures presented in
£000s

Item

Reference

Outturn total

Prior Year
Outturn Total
2020-21

Total Resource Outturn

SoPS1.1

46,17140,098

(2)

(2)

-

(900)

Depreciation charged to Other Comprehensive Net Expenditure
Extra Receipt payable to the Consolidated FundNet Operating Expenditure in Consolidated Statementof Comprehensive Net Expenditure

SoPS4.1

077

NOTES TO THE STATEMENT OF OUTTURN AGAINST PARLIAMENTARY SUPPLYSoPS3. Reconciliation of Net Resource Outturn to Net Cash Requirement, all figures
presented in £000s

Estimate

Outturn vs
Estimate,
Saving/(Excess)

Item

SoPS note

Outturn
total

Total Resource Outturn

SoPS 1.1

46,171

46,912741

Total Capital Outturn

SoPS 1.2

5,296

5,860

564

(7,045)(7,619)(574)

Adjustments to remove non-cash items:
SoCNE

46,16939,196

Depreciation

As noted in the introduction to the SoPS above, the Outturn and the Estimate are compiled against
the budgeting framework, which is similar to the IFRS. Accordingly, the above table reconciles the
Total Resource Outturn to Net Operating Expenditure, linking the SoPS to the financial statements.

Depreciation on donated asset

(2)

(3)

(1)

Right-of-use asset - interest charge

(73)

-

73

The reconciling item in both 2022-23 and 2021-22 relates to depreciation on a donated asset,
charged directly to Other Comprehensive Net Expenditure.

Right-of-use asset - Remeasurement

13

-

(13)

Gain on disposal of assets

(7)

-

7

Other non-cash items

(81)

-

81

Increase in inventories

3

-

(3)

Increase in receivables

665

-

(665)

(1,696)-

1,696

Decrease in payables

781

(461)

(320)

Increase in contract liabilities

(67)

-

67

Use of provisions

7

-

(7)

Right of Use Asset – Capital repayment

497

-

(497)

CFER paid to Consolidated Fund

900

In 2021-22, the reconciling item of £900,000 relates to royalty income from the 1921 Census
release, see SoPS4.1.

Adjustments to reflect movements in working balances:

Decrease in contract assets

Net Cash Requirement

45,362(900)
45,611

249

As noted in the introduction to the SoPS above, the Outturn and the Estimate are compiled against
the budgeting framework, not on a cash basis. Therefore, this table reconciles the Total Resource
and Capital Outturn to the Net Cash Requirement.

Annual Report and Accounts 2022-23

Annual Report and Accounts 2022-23

078

NOTES TO THE STATEMENT OF OUTTURN AGAINST PARLIAMENTARY SUPPLYSoPS4.1 Analysis of income payable to the Consolidated Fund, all figures presented in £000s
Outturn total
Item

Reference

Prior Year, 2021-22

Accruals

Cash
basis

Accruals

Cash
basis

Excess cash surrenderable to the Consolidated Fund

-

-

900

-

Total amount payable to the Consolidated Fund

-

-

900

-

£900,000 accrued royalty income from the 1921 Census was due to the Consolidated Fund at 31
March 2022. This income was received during 2022-23 and paid back to the Consolidated Fund,leaving nothing due at the reporting date.

THE CERTIFICATE AND REPORT OF THE COMPTROLLER AND
AUDITOR GENERAL TO THE HOUSE OF COMMONSTHE CERTIFICATE AND REPORT OF THE COMPTROLLER AND
AUDITOR GENERAL TO THE HOUSE OF COMMONSOpinion on financial statements
I certify that I have audited the financial
statements of The National Archives forthe year ended 31 March 2023 under theGovernment Resources and Accounts Act
2000. The Department comprises the core
Department and its agencies. The financial
statements comprise: the Department’s■

Statement of Financial Position as at 31
March 2023;■

Statement of Comprehensive Net
Expenditure, Statement of Cash Flows andStatement of Changes in Taxpayers’ Equity
for the year then ended; andParliamentary Accountability Disclosures (audited)
Fees and charges
There were no material fees and charges throughout the year that require disclosure(2021-22: nil).
Losses and special payments■

There were no losses or special payments on an individual or cumulative basis that require
disclosure because of their size or nature during 2022-23 (2021-22: nil).
Remote contingent liabilities
In addition to contingent liabilities within the meaning of International Accounting Standard (IAS)
37, The National Archives also reports liabilities for which the likelihood of a transfer of economic
benefit in settlement is too remote to meet the definition of contingent liability. In the year 202223, there were no remote contingent liabilities to report (2021-22: nil).

the related notes including the significant
accounting policies.

The financial reporting framework that has
been applied in the preparation of the financial
statements is applicable law and UK adopted
international accounting standards.
In my opinion, the financial statements:■■

Jeff JamesAccounting Officer
11 July 2023

give a true and fair view of the state of the
Department’s affairs as at 31 March 2023
and its net operating expenditure for theyear then ended; andhave been properly prepared in accordancewith the Government Resources andAccounts Act 2000 and HM Treasury
directions issued thereunder.

Opinion on regularity
In my opinion, in all material respects:■■

Annual Report and Accounts 2022-23

079

the Statement of Outturn Against
Parliamentary Supply properly presents theoutturn against voted Parliamentary control
totals for the year ended 31 March 2023
and shows that those totals have not been
exceeded; andthe income and expenditure recorded in
the financial statements have been applied
to the purposes intended by Parliament

and the financial transactions recorded in
the financial statements conform to theauthorities which govern them.
Basis for opinions
I conducted my audit in accordance with
International Standards on Auditing (UK) (ISAs
UK), applicable law and Practice Note 10 Audit
of Financial Statements and Regularity of Public
Sector Bodies in the United Kingdom (2022). My
responsibilities under those standards arefurther described in the Auditor’s responsibilities
for the audit of the financial statements section of
my certificate.
Those standards require me and my staff tocomply with the Financial Reporting Council’s
Revised Ethical Standard 2019. I am independentof The National Archives in accordance withthe ethical requirements that are relevant to
my audit of the financial statements in the UK.
My staff and I have fulfilled our other ethicalresponsibilities in accordance with theserequirements.
I believe that the audit evidence I have obtained
is sufficient and appropriate to provide a basis
for my opinion.
Conclusions relating to going concern
In auditing the financial statements, I haveconcluded that The National Archives’ use of
the going concern basis of accounting in the
preparation of the financial statements isappropriate.
Based on the work I have performed, I have not
identified any material uncertainties relating
to events or conditions that, individually orcollectively, may cast significant doubt on
The National Archives’ ability to continue as agoing concern for a period of at least twelve
months from when the financial statements areauthorised for issue.
My responsibilities and the responsibilities of
the Accounting Officer with respect to going
concern are described in the relevant sectionsof this certificate.

Annual Report and Accounts 2022-23

THE CERTIFICATE AND REPORT OF THE COMPTROLLER AND
AUDITOR GENERAL TO THE HOUSE OF COMMONS080

The going concern basis of accounting for The
National Archives is adopted in considerationof the requirements set out in HM Treasury’s
Government Financial Reporting Manual, which
requires entities to adopt the going concern
basis of accounting in the preparation of thefinancial statements where it is anticipated thatthe services which they provide will continue
into the future.

directions made under the Government
Resources and Accounts Act 2000;■

the information given in the Performanceand Accountability Reports for the financial
year for which the financial statements areprepared is consistent with the financial
statements and is in accordance with theapplicable legal requirements.

THE CERTIFICATE AND REPORT OF THE COMPTROLLER AND
AUDITOR GENERAL TO THE HOUSE OF COMMONS■

providing the C&AG with access to all
information of which management isaware that is relevant to the preparation of
the financial statements such as records,
documentation and other matters;■

providing the C&AG with additional
information and explanations needed for
his audit;
providing the C&AG with unrestricted
access to persons within The National
Archives from whom the auditor
determines it necessary to obtain audit
evidence;

Other Information

Matters on which I report by exception■

The other information comprises information
included in the Annual Report, but does notinclude the financial statements and myauditor’s certificate and report. The Accounting
Officer is responsible for the other information.

In the light of the knowledge and understandingof The National Archives and its environment
obtained in the course of the audit, I havenot identified material misstatements in the
Performance and Accountability Report.

■

My opinion on the financial statements does
not cover the other information and, except
to the extent otherwise explicitly stated in
my certificate, I do not express any form ofassurance conclusion thereon.

I have nothing to report in respect of thefollowing matters which I report to you if, in
my opinion:

ensuring such internal controls are inplace as deemed necessary to enable thepreparation of financial statements to be
free from material misstatement, whether
due to fraud or error;

Adequate accounting records have notbeen kept by The National Archives orreturns adequate for my audit have notbeen received from branches not visited by
my staff; or■ensuring that the financial statements givea true and fair view and are prepared inaccordance with HM Treasury directions
made under the Government Resourcesand Accounts Act 2000;

I have not received all of the informationand explanations I require for my audit; or■

My responsibility is to read the otherinformation and, in doing so, consider whether
the other information is materially inconsistent
with the financial statements or my knowledge
obtained in the audit, or otherwise appears to
be materially misstated.
If I identify such material inconsistencies
or apparent material misstatements, I am
required to determine whether this gives rise
to a material misstatement in the financial
statements themselves. If, based on thework I have performed, I conclude that there
is a material misstatement of this otherinformation, I am required to report that fact.

■

■

■

■
■

I have nothing to report in this regard.
Opinion on other matters
In my opinion the part of the Remuneration andStaff Report to be audited has been properly
prepared in accordance with HM Treasury
directions made under the Government
Resources and Accounts Act 2000.
In my opinion, based on the work undertaken in
the course of the audit:■

the parts of the Accountability Reportsubject to audit have been properly
prepared in accordance with HM Treasury

Annual Report and Accounts 2022-23

the financial statements and the parts of
the Accountability Report subject to audit
are not in agreement with the accounting
records and returns; or■certain disclosures of remuneration
specified by HM Treasury’s Government
Financial Reporting Manual have notbeen made or parts of the Remunerationand Staff Report to be audited is not inagreement with the accounting records andreturns; orthe Governance Statement does not reflect
compliance with HM Treasury’s guidance.

Responsibilities of the Accounting Officer
for the financial statements
As explained more fully in the Statementof Accounting Officer’s Responsibilities, the
Accounting Officer is responsible for:■maintaining proper accounting records;

ensuring that the annual report, which
includes the Remuneration and Staff
Report, is prepared in accordance withHM Treasury directions made under theGovernment Resources and Accounts Act
2000; andassessing The National Archives’ ability tocontinue as a going concern, disclosing,as applicable, matters related to going
concern and using the going concern basisof accounting unless the Accounting Officer
anticipates that the services provided by
The National Archives will not continue tobe provided in the future.

Auditor’s responsibilities for theaudit of the financial statements
My responsibility is to audit, certify and reporton the financial statements in accordance with
the Government Resources and Accounts Act
2000.
My objectives are to obtain reasonableassurance about whether the financial
statements as a whole are free from material
misstatement, whether due to fraud or error,
and to issue a certificate that includes my

081

opinion. Reasonable assurance is a high levelof assurance but is not a guarantee that anaudit conducted in accordance with ISAs (UK)will always detect a material misstatement
when it exists. Misstatements can arise fromfraud or error and are considered material
if, individually or in the aggregate, they could
reasonably be expected to influence theeconomic decisions of users taken on the basisof these financial statements.
1. Extent to which the audit wasconsidered capable of detecting noncompliance with laws and regulations,
including fraud
I design procedures in line with myresponsibilities, outlined above, to detectmaterial misstatements in respect of noncompliance with laws and regulations, including
fraud. The extent to which my procedures arecapable of detecting non-compliance with laws
and regulations, including fraud is detailed
below.
2. Identifying and assessing potential risks
related to non-compliance with laws andregulations, including fraud
In identifying and assessing risks of material
misstatement in respect of non-compliancewith laws and regulations, including fraud, I:■

considered the nature of the sector, control
environment and operational performance
including the design of The National
Archives’ accounting policies;■

inquired of management, The National
Archives’ head of internal audit and thosecharged with governance, including
obtaining and reviewing supporting
documentation relating to The National
Archives’ policies and procedures on:{

identifying, evaluating and complying
with laws and regulations;{detecting and responding to the risks offraud; and{the internal controls established tomitigate risks related to fraud or noncompliance with laws and regulations
including The National Archives’ controls
relating to The National Archives’compliance with the Government

Annual Report and Accounts 2022-23

THE CERTIFICATE AND REPORT OF THE COMPTROLLER AND
AUDITOR GENERAL TO THE HOUSE OF COMMONS

082

Resources and Accounts Act 2000, thePublic Records Act 1958 and Managing
Public Money;■

inquired of management, The National
Archives’ head of internal audit and thosecharged with governance whether:{{■

they were aware of any instances of noncompliance with laws and regulations;they had knowledge of any actual,suspected, or alleged fraud,

discussed with the engagement teamregarding how and where fraud mightoccur in the financial statements and any
potential indicators of fraud.

As a result of these procedures, I considered
the opportunities and incentives that may exist
within The National Archives for fraud andidentified the greatest potential for fraud in thefollowing areas: revenue recognition, postingof unusual journals, complex transactions andbias in management estimates. In common
with all audits under ISAs (UK), I am required toperform specific procedures to respond to therisk of management override.
I obtained an understanding of The National
Archives’ framework of authority and otherlegal and regulatory frameworks in which The
National Archives operates. I focused on thoselaws and regulations that had a direct effecton material amounts and disclosures in thefinancial statements or that had a fundamental
effect on the operations of The National
Archives. The key laws and regulations I
considered in this context included Government
Resources and Accounts Act 2000, Managing
Public Money, Supply and Appropriation (Main
Estimates) Act 2023, and relevant employment
law and tax legislation.
3. Audit response to identified risk
To respond to the identified risks resulting fromthe above procedures:■

I reviewed the financial statement
disclosures and testing to supporting
documentation to assess compliance with
provisions of relevant laws and regulations
described above as having direct effect on
the financial statements;

Annual Report and Accounts 2022-23

THE CERTIFICATE AND REPORT OF THE COMPTROLLER AND
AUDITOR GENERAL TO THE HOUSE OF COMMONS■

I enquired of management, the Audit
and Risk Committee and legal counsel
concerning actual and potential litigationand claims;

the planned scope and timing of the audit
and significant audit findings, including any
significant deficiencies in internal control I
identify during my audit.

■

I reviewed minutes of meetings of thosecharged with governance and the Board;and internal audit reports; andReport■in addressing the risk of fraud throughmanagement override of controls, I tested
the appropriateness of journal entries andother adjustments; assessed whether thejudgements on estimates are indicative of apotential bias; and evaluated the businessrationale of any significant transactions thatare unusual or outside the normal course ofbusiness.

I also communicated relevant identified
laws and regulations and potential risks offraud to all engagement team members andremained alert to any indications of fraud or
non-compliance with laws and regulations
throughout the audit.

083

I have no observations to make on thesefinancial statements.
Gareth Davies
Comptroller and Auditor General
13 July 2023

National Audit Office157-197 Buckingham Palace Road
Victoria
LondonSW1W 9SP

A further description of my responsibilities forthe audit of the financial statements is locatedon the Financial Reporting Council’s website at:www.frc.org.uk/auditorsresponsibilities. This
description forms part of my certificate.
4. Other auditor’s responsibilities
I am required to obtain appropriate evidence
sufficient to give reasonable assurance
that the Statement of Outturn against
Parliamentary Supply properly presents theoutturn against voted Parliamentary control
totals and that those totals have not been
exceeded. The voted Parliamentary control
totals are Departmental Expenditure Limits(Resource and Capital), Annually Managed
Expenditure (Resource and Capital), NonBudget (Resource) and Net Cash Requirement.
I am required to obtain evidence sufficient
to give reasonable assurance that theexpenditure and income recorded in thefinancial statements have been applied tothe purposes intended by Parliament and thefinancial transactions recorded in the financial
statements conform to the authorities whichgovern them.
I communicate with those charged withgovernance regarding, among other matters,

Annual Report and Accounts 2022-23

084

085

FINANCIAL STATEMENTS

3.0 Financial statements
Statement of Comprehensive Net Expenditure for the year ended 31 March 2023

2021-22
Re-presented

2022-23
Note

3.0

Financialstatements
Notes to the Departmental Resource
Accounts

£000

£000

Revenue from contracts with customers

4(12,803)(11,991)

Other operating income

4(1,543)(1,587)(14,346)(13,578)

Total operating income
Staff costs

3

29,18026,460Purchase of goods and services

324,136

20,109Depreciation, provisions and audit charges

3

7,126

6,205

Right-of-use asset interest charge

7

73

-

Total operating expenditure

60,51552,774

Net operating expenditure

46,16939,196

Other comprehensive net expenditure
Items that will not be reclassified to net operating expenditure:- Net (gain)/loss on revaluation of property, plant andequipment

532,411(35,059)- Net (gain)/loss on revaluation of intangible assets

6(4,178)

2,128

2

2

74,404

6,267- Depreciation of donated assets
Comprehensive net operating expenditure for the year

The net loss on revaluation of property, plant and equipment is primarily driven by the decrease invalue of the land owned by The National Archives at the Kew site. Last year there was a significant
increase in land values, driven by the strength of the industrial and logistics market sector.
However, since then there has been just as significant a drop in the market as a result of steadilyrising interest rates, which has accelerated since September 2022.

Court documents charging Anne Boleyn and her brother Sir George Boleyn Lord Rocheford
with high treason, adultery and incest (catalogue reference KB 8/9 m.10v)

In 2022-23, Gazette income has been reclassified from lessor income to revenue from contracts
with customers under transition to IFRS 16. Prior year figures have been represented to reflect thischange retrospectively. See note 1.3.

Anne Boleyn, Henry VIII’s second wife, was executed for treason in May 1536, four years after
their marriage had failed to produce a male heir. She was accused of adultery with membersof the king’s closest counsel and her own brother George – charges she denied.

Annual Report and Accounts 2022-23

Annual Report and Accounts 2022-23

086

FINANCIAL STATEMENTS

Statement of Financial Position as at 31 March 2023

Statement of Cash Flows for the year ended 31 March 2023

31 March 2023

31 March 2022
£000

£000

2022-23

Note

£000

£000

Property, plant and equipment

5

162,464

199,567

Cash flows from operating activities

Intangible assets

6

34,50526,800Net operating expenditure

Right-of-use assets

7

7,109

-

Prepayments falling due after one year

9

266

111

Note

Non-current assets:

Total non-current assets

204,344

226,478

Current assets:
Inventories

170

167

Trade and other receivables

9

6,461

5,951

Contract assets

9

131

1,827

74

67

Cash and cash equivalents

087

FINANCIAL STATEMENTS

Total current assets
Total assets

8,012

211,180

234,490

£000

£000

(46,169)(39,196)

Adjustments for non-cash transactions

3

7,206

6,205

(Increase)/decrease in trade and other receivables

9

(665)

(1,457)(Increase)/decrease in contract assets

9

1,696

(1,173)(3)(21)(Increase)/decrease in inventories

6,836

2021-22

Increase/(decrease) in trade and other payables

10(1,674)

1,847

Increase/(decrease) in contract liabilities

10

67

10

Increase/(decrease) in balance with the Consolidated Fund

10

(7)

60

Use of provisions

11

(7)

(3)

(39,556)(33,728)

Net cash outflow from operating activities
Current liabilities
Trade and other payables

10(5,249)(6,866)

Contract liabilities

10

(137)

(70)

Obligations under finance leases

7

(496)

-

Provisions

11

(27)

(8)

Cash flows from investing activities

Total current liabilities(5,909)(6,944)

Total assets less current liabilities

205,271

227,546

Non-current liabilities:

Purchase of property, plant and equipment

5(4,092)(3,915)Purchase of intangible assets

6(1,217)(2,468)(5,309)(6,383)45,36940,951

Net cash outflow from investing activities

Cash flows from financing activities
From the Consolidated Fund (Supply) – current year

Contract liabilities

10

(249)

(306)

Obligations under finance leases

7(6,769)-Provisions

11

-

(26)

Repayment of capital element of obligations under finance leases

7

(424)

-

Interest element of obligations under finance leases

7

(73)

-

-

(900)

44.87240,051

Net increase/(decrease) in cash and cash equivalents

7

(60)

Cash and cash equivalents at the beginning of the period

67

127

Cash and cash equivalents at the end of the period

74

67

Total non-current liabilities(7,018)(332)

Extra Receipts due to the Consolidated Fund

Total assets less liabilities

198,253

227,214

Net cash flows from financing activities

Taxpayers' equity and otherreserves:
General fund

57,76258,450

Revaluation reserve

140,474

168,74517

19

198,253

227,214

Donated asset reserve
Total equity

Jeff James,
Accounting Officer,
11 July 2023
Annual Report and Accounts 2022-23

Annual Report and Accounts 2022-23

088

FINANCIAL STATEMENTS

Statement of Changes in Taxpayers’ Equity for the year ended 31 March 2023

Notes to the Departmental Resource Accounts

GeneralFund

Revaluation
Reserve

DonatedAsset
Reserve

£000

£000

£000

£000

Balance at 1 April 2021

57,421

135,852

21

193,294

Net Parliamentary funding

41,011--41,011

(900)

-

-

(900)

(39,196)--(39,196)(2)

32,931-

32,929

76

-

-

76

Transfers between reserves

40

(38)

(2)

-

Balance at 31 March 2022

58,450168,74519

227,214

Net Parliamentary funding

45,362--45,362Net expenditure for the year

(46,169)--(46,169)(2)(28,233)-(28,235)

81

-

-

81

Transfers between reserves

40

(38)

(2)

-

Balance at 31 March 2023

57,762

140,47417

198,253

Note

CFER Payable to the Consolidated FundNet expenditure for the year
Other comprehensive expenditure
Auditor’s remuneration

3

Other comprehensive expenditure
Auditor’s remuneration

3

The General Fund records all changes infinancial resources for the year, with the
exception of those recorded in other reserves.
This includes the Parliamentary funding
provided and the net expenditure for the year.
The Revaluation Reserve reflects the gain orloss on the revaluation of assets, both tangible
and intangible, other than donated assets. Each
year, an amount equal to the excess annual
depreciation from the revaluation reserve istransferred to the General Fund, which makes
sure that by the time the asset is fully depreciatedthere is no residual balance associated with theasset in the Revaluation Reserve.

Taxpayers’
equityThe Donated Asset Reserve shows the valueof assets donated to The National Archives;
value is added when the asset is donated andthe assets are depreciated in the same way asother assets. Depreciation is charged to Other
Comprehensive Expenditure in the Statementof Comprehensive Net Expenditure (SoCNE).
On recognition, there is an equal and opposite
transfer of income from the donation to otheroperating revenue in the SoCNE, so that thevalue of the asset in the Statement of Financial
Position remains balanced by the value in the
Donated Asset Reserve.

1. Statement of accounting policies, key accounting
estimates and judgements
1.1 Statement of accounting policies
These accounts have been prepared inaccordance with the Government Financial
Reporting Manual 2022-23 (FReM) issued by HM
Treasury, as required by the statutory Accounts
Directions issued pursuant to section 5(2) of
the Government Resources and Accounts Act
2000. The accounting policies contained in the
FReM apply International Financial ReportingStandards (IFRS) as adapted or interpreted forthe public sector context.
The accounting policies adopted by The National
Archives are described below. Where the
FReM permits a choice of accounting policy,
the accounting policy that is judged to be mostappropriate to the particular circumstances of The
National Archives is applied for the purpose ofgiving a true and fair view. They have been applied
to all items that are material to the accounts.
In addition to the primary statements prepared
under IFRS, the FReM also requires thedepartment to prepare an additional primarystatement. The Statement of Parliamentary
Supply and supporting notes show outturn
against Estimate in terms of the net resource
requirement and the net cash requirement.

Areas of significant estimates andjudgements
The preparation of financial statements
required management to make judgements,
estimates and assumptions that affect thereported amounts of assets, liabilities, income
and expenses. Actual results may differ fromthese estimates. The financial statements of
The National Archives include estimates andassumptions that could influence the financial
statements of subsequent financial years.
Estimates and underlying assumptions arereviewed on an ongoing basis. Revisions toaccounting estimates are recognised in the
period in which the estimate is revised and inany future periods affected.
The estimates and judgements that had asignificant risk of causing a material adjustment
to the carrying amounts of assets and liabilities
within the next accounting period are:■

IAS 16 Land and Buildings: Professional
valuations are required every five years at
a minimum with a professional desktop
valuation used in intervening years. In thecurrent year, the land and buildings arestated at fair value using a professional
desktop valuation, with a full professional
valuation taken in 2020-21. Further details
are in note 5.

■

Heritage assets: Reliable information on
cost or valuation is not available for the
department’s collection of heritage assets
and, accordingly, an accounting judgement
has been made not to value these in thefinancial statements. Further details are innote 8.

■

IAS 38 Intangible assets: The valuations oflicences issued to third parties and internal
revenue-generating databases are basedon forecasts of probable future revenue
generating capacity, which are uncertain.
Further details are in note 6.

1.2 Basis of preparation
These accounts have been prepared under
the historical cost convention (the practise ofrecording the original cost of an asset at its coston a balance sheet) modified to account for
the revaluation of non-current assets, wherematerial, at their value to the business byreference as applicable to their current costs,
replacement costs or indices.
Transactions denominated in foreign currency
are translated into sterling at the exchange rateruling at the time of the transaction.
Any assets and liabilities in a foreign currency
are translated into sterling at the exchange rateon the date of reporting.

Annual Report and Accounts 2022-23

089

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTS

Annual Report and Accounts 2022-23

090■

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTSIFRS 15 Revenue Recognition: On transition
to IFRS 15, judgments were made relating to
the determination of performance obligations
in each of the major revenue streams, which
had the potential to impact the revenue
recognition pattern under the contract.
No further judgments have been madesince transition. Assumptions are required
to determine an appropriate measure of
progress when determining how control overpromised goods or services transfers to thecustomer. Estimates are made at year end
to recognise revenue where actual sales are
unknown. Further details are in note 4.

Going concern
In common with other government departments,
The National Archives’ liabilities are expected
to be met by future grants of supply and theapplication of future income, both to be approved
annually by Parliament. There is no reason tobelieve that future Parliamentary approval will
not be forthcoming, and therefore, in accordancewith FReM 4.2.14, it has been concluded as
appropriate to adopt the going concern basis ofpreparation for these accounts.
In forming this view, the directors note that the
Department:i.

Applies prudent financial management
in order to ensure that its commitments
are accommodated within the timing of
allocated budget;
and

ii.

Undertakes a robust and detailed annual
business planning and budgeting process toestablish its operational cost requirements
for each financial year.

1.3 N ew and revised standards
The National Archives has adopted IFRS16
Leases from 1 April 2022 and has applied thestandard using the modified retrospective
approach. This allows for the recognition of
cumulative effects of initially applying IFRS
16 (C7) recognised on 1 April 2022 as an
adjustment to the opening balances.
The National Archives has applied the practical
expedient in IFRS16 (C3) to not reassess whether
a contract is, or contains, a lease at the date ofinitial application. An assessment of leases at theAnnual Report and Accounts 2022-23

date of transition has resulted in one lease for astorage facility being identified as falling under
IFRS 16, and one lease for photocopiers which
does not due to being of low value.
The National Archives receives revenue fromThe Gazette, which has previously been treatedas a lease. This is a licence of intellectual
property granted by a lessor and so under IFRS
16 (3d), from transition it will fall under IFRS
15 Revenue from Contracts with Customers(see note 4). Prior year figures have been represented to reflect this change.
IFRS 16 Leases has superseded IAS 17 Leases,
IFRIC 4 Determining whether an Arrangement
Contains a Lease, SIC 15 Operating Leases –Incentives, and SIC 27 Evaluating the Substanceof Transactions in the Legal Form of a Lease.
Initial Recognition
At the transition date, The National Archives
recognised a right-of-use asset and a lease liability.
The lease liability was initially measured at thepresent value of the lease payments that are notpaid at the commencement date, discounted
using HM Treasury discount rate of 0.95% as
in the Public Expenditure System (PES) 2021
10 paper. Future lease payments are subject
to an annual increase based on the Retail Price
Index (RPI) as at 31 January each year. The
calculation of the lease liability inflates futurelease payments using inflation rates from the
PES 2021 10 paper, except for where anotherinflation rate is more applicable for underlying
cashflows. For the opening liability, the expectedcashflow for 2022-23 has been calculated using aknown inflation rate of 7.8% and 13.4% for 202324. The PES rate of 2% is used for all cashflows
after this point into perpetuity. Were futurelease payments not inflated, the present value of
future cashflows would be £6.174 million.
Right-of-use assets are initially recognised at an
amount equal to the lease liability adjusted for:any payments made or amounts accrued before
the commencement date, lease incentives
received, incremental costs in obtaining thelease, and any disposal costs at the end of thelease. None of these adjustments were required
for the lease recognised this year.
The National Archives has applied the following
FReM mandated exemptions under IFRS 16 (6)on initial adoption:

091

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTS■

No adjustment for leases for which theunderlying asset is of low value

Comprehensive Net Expenditure. These include
any accrued leave entitlements.

■

No adjustment for leases for which thelease term is less than 12 months.

1.6 Pensions

Subsequent Measurement
The lease liability is adjusted for any change
in projected RPI rates affecting future lease
payments. It is also re-measured to take into
account any adjustments to capital lease
repayments in year. For the closing liability,
the expected cashflow for 2023-24 has been
calculated using the known rate of 13.4%. For
2024-25 the cashflow has been inflated using a
rate of 2% instead of 0.6% as found in the PES
2021 10 paper as this is more applicable to theunderlying cashflow. The PES rate of 2% is used for
all cashflows after this point into perpetuity. Were
future lease payments not inflated, the present
value of future cashflows would be £6.497 million.
The right-of-use asset is measured using thecost measurement model as a proxy for fairvalue as it is based on the present value oflease payments. A re-measurement is done
each year based on the re-measurement of
the lease liability, due to the changes in lease
payments being increased by RPI each year.
Depreciation is charged using the straight line
method from the commencement date to theend of the lease term.
1.4 Accounting standards issued but not yet
effective
IFRS 17 Insurance Contracts is expected toreplace IRFS 4 from 1 January 2023 for public
sector organisations. The scope of the standard
covers insurance contracts issued or held. This
reporting standard is anticipated to have noaccounting impact upon The National Archives
as no such insurance contracts are held. Review
work will be undertaken to provide assuranceof this in advance of the effective date.

Most past or present employees are coveredby the provisions of the Principal Civil Service
Pension Scheme (PCSPS) and alpha (a pension
scheme introduced on 1 April 2015), which aredefined benefit schemes open to participating
public sector bodies in which the benefit
the employee receives during retirement isdependent on factors such as age, lengthof service and salary. These schemes areadministered by MyCSP on behalf of the Cabinet
Office. The National Archives pays contributions
into these schemes at an agreed rate. As one ofmany participating organisations, The National
Archives is not able to identify its share of any
liability for making future pension payments
to members and, accordingly, The National
Archives accounts for this as if it were a defined
contribution scheme and recognises the costs ofthese contributions when they fall due.
Employees may opt to join a personal
stakeholder pension scheme instead,providing the scheme meets the minimum
criteria set by government. These are defined
contribution schemes where The National
Archives pays established contribution rates
into a separate fund. The amount of pension
benefit that a member receives in retirement
is dependent on the performance of the fund.
The National Archives recognises the costof these contributions in the Statement ofComprehensive Net Expenditure when they falldue. There is no further payment obligation
once the contributions have been paid.
1.7 Early departure costs

Accounting policies for expenditure

Where The National Archives ends theemployment of a staff member and makes acompensation payment within the rules of the
Civil Service Compensation Scheme (CSCS), thecost of that payment is recognised in full in theyear the individual accepts the terms of thecompensation payment.

1.5 Staff costs

1.8 Grant expenditure

Staff costs include wages and salaries, social
security costs and pension costs. All shortterm staff costs payable at the year end, which
will be paid within one year from the date ofreporting, are recognised in the Statement ofGrants payable are recognised when thecriteria for a constructive obligation are met,
payment is probable, values can be measured
reliably, and there are no conditions attached
to its payment that limit its recognition.

Annual Report and Accounts 2022-23

092

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTS

1.9 Value Added Tax (VAT) on purchases

1.12 Value Added Tax (VAT) on sales

The National Archives reclaims VAT on purchases
under section 41 (3) of the VAT Act 1994.
Under this provision, HM Treasury issues a
Direction commonly known as the ‘Contracting
Out Direction’, which lists the government
departments that are eligible to claim refundsof VAT, and the services on which VAT can bereclaimed. Where The National Archives makes
purchases on which VAT cannot be recovered, it ischarged to the relevant expenditure category or
included in the capitalised purchase price of noncurrent assets.35

Where output tax is chargeable, income is stated
net of VAT. The National Archives does not charge
VAT for any work it carries out under statute.

Accounting policies for income
1.10 Revenue recognition
The National Archives recognises revenue inaccordance with IFRS 15. The standard sets outthat the point of recognition is based on when
performance obligations of a contract aresatisfied and the benefits are fully received by
the customer.
Revenue principally comprises contracted
charges for services provided for the sale ofcopies of documents, sale of publications
and other items and services, reproduction
fees, income generated by the licensing ofdigital copies of historical records and storage
facility income. Costs associated with thecontracted revenue are recognised in thesame accounting period.
Operating income also includes grants andcontributions from organisations, including
other government departments, to carry out
specific projects.
Further details of The National Archives
recognition of contracted income are set out
in note 4.
1.11 Lessor income
The National Archives rents a section of thebuilding to a third party. Rental income isrecognised as it falls due. Rental income
includes a service charge levied on an annual
basis to recover central costs borne by The
National Archives.

Accounting policies for assets and liabilities
1.13 Property, plant and equipment andintangible assets
Expenditure of £5,000 or more on property,
plant and equipment or intangible assets
is capitalised where it is expected to bring
benefit over future years. On initial recognition,assets are measured at cost and include allcosts directly attributable to bringing theminto working condition. This includes thecosts of external contractors who deliver on
information technology projects as well assalaries of internal staff working 100% of theirtime on particular capital projects. Wherebulk purchases are made for individual assets
whose unit costs are below the threshold, but
in aggregate exceed £30,000 within a financial
year, the assets are capitalised.
All non-current assets are reviewed annuallyfor impairment and are carried at fair value.
Property, plant, and equipment is depreciated,
and intangible assets amortised, on a straightline basis over their useful lives to ensure thatthey are reported at their estimated residual
value at the end of their lives.
Property, plant and equipment
The National Archives building and grounds
at Kew are freehold property. The landand buildings are stated at fair value using
professional valuations, by property valuers
having appropriate recognised professional
qualifications and recent experience in thelocation and category of the properties being
valued, every five years at a minimum. In
intervening years, the value is stated at fairvalue using a professional desktop valuation.
Other plant and equipment are valued atdepreciated replacement cost in existing use,which is used as a proxy for fair value.
Expenditure on restoration and conservation
work is part of the normal operating costs of

35 A full list of the services on which VAT can be reclaimed under the Contracting Out Direction can be found at:
www.gov.uk/hmrc-internal-manuals/vat-government-and-public-bodies/vatgpb9700.

Annual Report and Accounts 2022-23

093

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTSThe National Archives and is not capitalised; it isrecorded as part of programme costs.
Depreciation
Depreciation is provided at rates calculated towrite off the valuation of freehold buildings andother non-current assets by equal instalments
over their estimated useful lives. Freehold land
and assets in the course of construction are notdepreciated.
Asset lives are in the following ranges:
Buildings

up to 40 years

Computers and equipment

up to 10 years

Plant and machinery

up to 25 years

Furniture, fixtures, and fittings

up to 50 years

Transport equipment

up to 10 years

LeasesAdoption of IFRS 16 Leases on 1 April 2022 led
to the recognition of a right-of-use asset.
Depreciation is charged on a straight line bases
over the term of the lease, which from the dateof adoption of IFRS 16 was 13.25 years.
Intangible assets
Intangible assets comprise software licences
purchased from third parties, amortisedover the life of the licence, and the cost ofdeveloping internal software assets, amortised
on a straight-line basis over the useful
economic life of the asset.
In addition, The National Archives recognises
licences issued to third parties and internal
revenue generating databases (such as
our Digital Download and Image Libraryservices) as intangible assets with indefinite
lives, reflecting their underlying nature of
supporting public records.

Asset lives are in the following ranges:
Software licences

up to 5 years

Internally developed software

up to 15 years

Licences issued to third parties

indefinite

Internally developed revenue-generating
databases

indefinite

The valuation adopted for licences issued tothird parties and internal revenue generating
databases is based on current forecastsof reasonably foreseeable future revenue
generating capacity, discounted as appropriate.
Further details of the effects of changes in our
forecast estimates are shown under Note 6 of
the accounts.
1.14 Heritage assets
The National Archives holds around 16 million
physical records, artefacts and a significant andgrowing digital archive, which are collectively
classed as non-operational heritage assets.
These are held in order to fulfil our statutoryfunction, which includes ensuring thatimportant information is preserved and that it
can be accessed and used.
Records in our collection are put onto ouronline catalogue, Discovery, which contains
descriptions of a broad range of documents
and other types of records. Further details canbe found at: discovery.nationalarchives.gov.uk/.
In the opinion of The National Archives’ Board,
reliable information on cost or valuation is notavailable for the department’s collection ofheritage assets. This is due to the diverse natureof the assets held, the lack of information onpurchase cost (as the assets are not purchased)
and the volume of items held. As well as theaforementioned, any market value placed onthese assets would not be a true reflection of
the value of the assets to the nation’s heritage;
the assets, if lost, could not be replaced orreconstructed. These assets are therefore notreported in the Statement of Financial Position.
Certain items within the overall collection areof particular significance, including Domesday
Book, one of our most prized nationaltreasures, which has been preserved for overnine centuries and is now cared for at Kew;
two contemporary versions of Magna Carta;
unique records of official treaties; and a host of
irreplaceable social records including the 1921

Annual Report and Accounts 2022-23

094

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTS

Census and over 4.5 million historic military
service personnel records. Further details of thepreservation and management of our heritage
assets are provided in note 8 of the accounts.
1.15 Cash and cash equivalents
Cash and cash equivalents comprise current
balances held at the Government Bank Service.
Any amounts held in foreign currency aretranslated into sterling at the exchange rate on
the date of reporting.
1.16 Contract and trade receivables
Contract liabilities are amounts invoiced anddue from software development, licences,
record copying or other services.
Trade receivables are amounts invoiced anddue in respect of lessor income, grant income
and specific Government Contracts.
Trade receivables do not carry any interest andare stated at their nominal value as reduced
by appropriate allowances for irrecoverable
amounts. These impairment provisions arerecorded in administrative expenses in theStatement of Comprehensive Net Expenditure.
The carrying amount of trade receivables isdeemed to be an approximation of fair value.
If collection of amounts receivable is expected
in one year or less they are classified as current
assets. If not, they are presented as non-current
assets.

The National Archives holds around
16 million physical records, artefacts
and a significant and growing digitalarchive, which are collectively
classed as non-operational heritage
assets.
1.18 P rovisions
Provisions are recognised in accordance with
IAS 37 Provisions, Contingent Liabilities andContingent Assets. The amount recognised asa provision is the best estimate of expenditure
required to settle the present obligation at
the Statement of Financial Position date.
Provisions that are more than a year fromthe Statement of Financial Position date are
discounted at the rates set annually by HM
Treasury because The National Archives isa public body funded by the Exchequer andsetting its own discount rate could expose
taxpayers’ funds to risks unnecessarily.

2. Statement of Operating Expenditure by
Operating Segment
IFRS 8 Operating Segments requires operating
segmental information to be provided basedon information that the Chief Executive andKeeper as Chief Operating Decision Maker(CODM) uses to make decisions about theorganisation. This information, reviewed by
the CODM, is currently presented based on
our management structure as per pages 41
to 43. To aid readers’ understanding, thesegments below have been presented in line

Payments received in advance of performance
under the contract are recognised as contract
liabilities. This is then recognised as revenue as
the work is performed.

Annual Report and Accounts 2022-23

with our public task, which can be summarised
as: leading on policy and best practice inknowledge and information management forthe public sector; preserving and protecting
the record; and providing public access.
In accordance with IFRS 8, below is a schedule ofincome and expenditure against each identified
segment. Overheads are allocated proportionallybased on the direct costs of each segment.

2022-23
Government
information
management

Preservationand protection

Public access

Total

£000

£000

£000

£000

Income(3,927)(589)(9,830)(14,346)

Operating expenditure

12,451

15,43525,58453,470Depreciation, amortisation andimpairment

1,640

2,034

3,371

7,045

Net operating expenditure

10,164

16,88019,125

46,169Government
information
management

Preservationand protection

Public access

Total

£000

£000

£000

£000

Income(3,815)(602)(9,161)(13,578)

Operating expenditure

11,531

12,54022,43346,504

Depreciation, amortisation andimpairment

1,555

1,691

3,024

6,270

Net operating expenditure

9,271

13,62916,29639,196

1.17 Contract assets and liabilities
Contract assets relate to our enforceable
right to consideration for our completed
performance in respect of contracts wherethat work has not yet been invoiced. It isdetermined on the basis of work undertaken
at the period end, less any provision for
unrecoverable amounts.

095

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTS

2021-22

Annual Report and Accounts 2022-23

096

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTSIFRS16 Adjustment

3. Operating expenditure2022-23£000

In accordance with IFRS16 Leases, lease payments for the Deepstore storage facility are now
recognised against a Lease Liability on the SoFP rather than through the SoCNE.

2021-22 Re-presented
£000

£000

£000

4. Income

Staff Costs
Wages and salaries

21,76319,893Social Security costs

2,443

2,136

Other pension costs

5,611

5,181

Less capitalised staff costs

(637)

(750)
29,180The following are descriptions of the principal contracted activities, their associated performanceobligations and significant payment terms under IFRS 15.
26,460

Revenue stream

Timing of performance obligations andsignificant payment terms

Licensing royalties
Commercial partners use accessioned content
on their websites or within their online
products. Royalties are due to us when theirsubscribers use this content, or customers
purchase their products.

Revenue is recognised in line with usage/sales.
A statement is received from the partner
detailing usage/sales during the period whichis then billed for. Billing arrangements varyfrom a monthly to quarterly or annual basis.
An estimation of usage/sales is made for thelast quarter where statements have not been
received, based on forecasts and informationfrom partners, and is accrued through the
SoCNE.

Record Copying (statutory provision).
Digital or paper copies of our accessioned
records are sold to individual customers.

Revenue is recognised at the point where thecopies are provided to the customer. Billingtakes place prior to distribution of the copies.

Reprographics
A digitisation service for bulk orders from third
parties. The records can belong to us or toexternal parties. Digitised copies are provided
on hard drives.

Revenue is recognised at the point where
the copies are provided to the third party
and is typically billed in advance. Projects on
which work has begun, but which has notbeen delivered at the reporting date, are held
as contract assets at the value of the work
completed to date.

Storage income
Commercial partners store records in The
National Archives storage facility.

Revenue is recognised in line with usage, withbilling arranged quarterly.

Drafting tools
Publishing legislation on behalf of othergovernment departments and devolved
administrations.

A fee is charged per document published andrecognised in line with publication. Billing on aquarterly basis.

Purchase of goods and services
Goods and services

5,982

5,520

Storage lease rental-

462

Contracted services

8,518

6,072

Building maintenance and costs

4,170

3,718

Office supplies and equipment

902

353

3,098

2,728

138

156

Technology cost
Telecommunication
Grants paid

502

491

Public access

246

178

Recruitment and training

255

377

Travel, subsistence and hospitality

222

58

Professional expenses

103

121

Contract expenditure

-

(125)
24,136

20,109Non-cash items:
Depreciation and amortisation- Civil estate

4,238

3,860

- Other non-current assets

2,807

2,410

Total depreciation

7,045

6,270

Auditor's remuneration – audit work

81

76

Right-of-use asset interest charge

73-

Change to onerous lease provision

-

(141)

Total other non-cash items

097

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTS

154

(65)

Total non-cash items

7,199

6,205

Total operating expenditure

60,51552,774Further analysis on staff numbers, compensation scheme packages and pension disclosures canbe found on pages 58 to 65, within the Accountability report.
No fees have been paid to auditors for non-audit work in the financial year 2022-23.

Annual Report and Accounts 2022-23

Annual Report and Accounts 2022-23

098

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTS

Revenue stream

Timing of performance obligations andsignificant payment terms

Licensing resales
Copies of images digitised either by a licensing
partner, or by The National Archives, canbe resold to another licensing partner ordigitisation customer. When sold to anotherlicensing partner, this will be alongside alicence to publish and The National Archives
will also benefit from future royalties.

Revenue is recognised at the point where
the images are transferred and the licensing
partner obtains control of the right to publish,
unless it is a sale to a licensing partner where
the images are required to be updated overthe period that they have access to thematerial, in which case it is recognised overthe period of the licence. Revenue is received
either in advance or on delivery.

Gazette Income
The Gazette is the official newspaper of thegovernment and is printed and distributedby our publishing partner. The income isprincipally driven from advertisements placedin the paper both statutory and non-statutory.

Revenue is recognised on a sliding scale as
set out in the contract with the publisher.
The contract period is annual and basedon a percentage of the revenue with thepercentage increasing as turnover thresholds
are reached.
The contract is based on a calendar year andthe lowest percentage is used to calculate
the revenue for January to March as any
additional revenue cannot be guaranteed until
the turnover threshold in that year has been
exceeded.

Contract Assets
Where work has begun on a contract, but theperformance obligation has not been fully
satisfied by year end, the value of the work isheld as a contract asset.

099

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTS

2022-232021-22 Re-presented

£000

£000

3,557

3,965

Revenue from contracts with customers
Licensing royalties
Record copying

612

608

Gazette income

5,520

5,150

Reprographics

1,035

497

Storage income

469

433

Shop income

347

302

Drafting tools

198

213

Licensing resales

325

130

Legislation services

115

121

Digital downloads

35

46

Other

590

526

12,803

11,991Fees charged to other government departments

574

594

Grant income

649

654

Apprenticeship levy notional income

2338

Lessor income

297

301

1,543

1,587

14,346

13,578Other operating income

Total Income

In 2022-23, Gazette income has been reclassified from lessor income to revenue from contracts
with customers under transition to IFRS 16. Prior year figures have been represented to reflect thischange retrospectively. See note 1.3.

Contract Liabilities
Where work has been billed in advance anddelivery has not taken place by year end,
the value of the invoices raised are held as acontract liability.

Annual Report and Accounts 2022-23

Annual Report and Accounts 2022-23

100

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTS

Notes

5. Property, plant and equipment
Buildings

Plant andmachinery

Furniture
fixturesandfittings

Computers
andequipment

Assets underconstruction

£000

£000

£000

£000

£000

£000

£000

73,000110,300

12,86911,74414.6192,155

224,687

Additions

-

49

375

369

349

2,950

4,092

Reclassification

-

-

867

469

(2,595)(1,518)(2,777)

Land

Total

Cost or valuation
At 1 April 2022

Disposals

101

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTS

-

-

-

-

(9)

-

(9)

Revaluation(38,850)

2,201

-

-

-

-

(36,649)

At 31 March 2023

34,150112,550

14,111

12,582

12,364

3,587

189,344

Depreciation
At 1 April 2022

-

-

8,104

6,464

10,,552-

25,120Charged in year

-

4,238

811

560

576

-

6,185

Reclassification

-

-

-

-

(185)

-

(185)

Disposals

-

-

-

-

(2)

-

(2)

Revaluation-(4,238)

-

-

-

-

(4,238)At 31 March 2023

-

-

8,915

7,024

10,941-

26,880At 31 March 2023

34,150112,550

5,196

5,558

1,423

3,587

162,464

At 31 March 2022

73,000110,300

4,765

5,280

4,067

2,155

199,567

Buildings

Plant andmachinery

Furniture
fixturesandfittings

Computers
andequipment

Assets underconstruction

£000

£000

£000

£000

£000

£000

£000

45,600106,500

11,59911,654

11,007477

186,837

Additions

-

-

2,757

141

835

182

3,915

Reclassification--(1,445)

(51)

2,777

1,496

2,777

Disposals

-

-

(42)

-

-

-

(42)

Revaluation

27,400

3,800

-

-

-

-

31,200At 31 March 2022

73,000110,300

12,86911,744

14,6192,155

224,687

a. Freehold land and buildings were valued
on 31 March 2023 at £146.7 million by
BNP Paribas Real Estate (the ‘Valuer’)acting in the capacity of external valuers.
The Valuation was a desktop exercise; theValuer did not visit the Kew site as part ofthe process of producing the Valuation.
The valuation was in accordance with therequirements of the Government Financial
Reporting Manual, and the Royal Instituteof Chartered Surveyors Valuation – Global
Standards, 2020 (Red Book), to include theInternational Valuation Standards, and the
RICS Valuation – Global Standards, 2017: UK
National Supplement.

for the public sector context. The Valuer’s
opinion of Fair Value was primarily derived
using the depreciated replacement cost
approach because the specialised nature of
the asset means that there are no market
transactions of this type of asset except as
part of the business or entity.
b. Revaluation in year is accounted for within
other comprehensive net expenditure (page85) and accumulated in taxpayers’ equity
under the revaluation reserve.

The Valuation was on the basis of Fair Value
Market Value, as adapted by the FReM

Net book value

Land

Total

Cost or valuation
At 1 April 2021

Depreciation
At 1 April 2021

-

-

7,367

5,895

9,587

-

22,849Charged in year

-

3,859

779

569

965

-

6,172

Disposals

-

-

(42)

-

-

-

(42)

Revaluation-(3,859)

-

-

-

-

(3,859)At 31 March 2022

-

-

8,104

6,464

10,552-25,120At 31 March 2022

73,000110,300

4,765

5,280

4,067

2,155

199,567

At 31 March 2021

45,600106,500

4,232

5,759

1,420

477

163,988

Net book value

Annual Report and Accounts 2022-23

Annual Report and Accounts 2022-23

102

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTS

Assets Under Construction relates to Internallydeveloped IT Systems, to be depreciated once
ready for use.

6. Intangible assets
Internallydeveloped
IT Systems

Internallydeveloped
revenuegenerating
databases

Licences
issued tothird parties

Assets underconstruction

£000

£000

£000

£000

£000

£000

916

-

623

23,972

2,027

27,538Additions

-

-

-

-

1,217

1,217

Reclassifications

-

2,777

-

-

-

2,777

Revaluation

-

-

(117)

4,295

-

4,178

916

2,777

506

28,267

3,244

35,710

At 1 April 2022

738

-

-

-

-

738

Charged in year

97

185

-

-

-

282

Reclassification

-

185

-

-

-

185

At 31 March 2023

835

370

-

-

-

1,205

Softwarelicences

Total

Cost or valuation
At 1 April 2022

At 31 March 2023
Amortisation

Internally developed revenue-generating
databases and Licences issued to third parties
are assets based on forecasts of future
revenue generating capacity. The revenuegenerating databases include the Image
Library and Digital Downloads, which generate
revenue through customers purchasing copiesof The National Archives’ digitised records.
Licences issued to third parties are thelicences issued to licensing partners for whichroyalties will be generated on their sales/usageof The National Archives’ records.
Revaluation in year is accounted for within
other comprehensive net expenditure (page 85)
and accumulated in taxpayers’ equity under therevaluation reserve. Any decrease in valuationof an asset in year has not exceeded any

amount previously credited to the revaluation
surplus.
The intangible asset revaluations of revenuegenerating databases and licences issued tothird parties are based on forecasts of future
revenue generating capacity as at 31 March
2023, discounted using the rate of 3.5% set out
set out in HM Treasury’s The Green Book. The
forecast cashflows estimated are subject tomarket conditions as they are dependent on
customer use of the products offered – both
existing and new.
If the cashflows were not discounted, the valueof the revenue-generating databases wouldbe £734,000 and the licences issued would be£34.17 million.
Below is a sensitivity analysis of the effects ofchanges in the forecast assumptions on theamounts disclosed in the accounts.

Increase/(decrease) in 2022-23
valuation

Net book value
At 31 March 2023

81

2,407

506

28,267

3,244

34,505

At 31 March 2022

178

2,592

623

23,972

2,027

29,392

Internallydeveloped
IT Systems

Internallydeveloped
revenuegenerating
databases

Licences
issued tothird parties

Assets underconstruction

£000

£000

£000

Softwarelicences

£000

Total

£000

Cost or valuation
At 1 April 2021

843

-

568

26,156

Additions

2,409

Market risk – assumptions tested£0002022-23 income 10% less than forecast for revenue generating databases(84)2022-23 income 10% higher than forecast for revenue generating databases

842022-23 income 10% less than forecast for licences issued(3,040)2022-23 income 10% higher than forecast for licences issued

3,040

29,976

73

-

-

-

2,395

2,468

Reclassification

-

-

-

-

(2,777)(2,777)

Revaluation

-

-

55

(2,184)-(2,129)

916

-

623

23,972

2,027

27,538

At 1 April 2021

639

-

-

-

-

639

Charged in year

99

-

-

-

-

99

At 31 March 2022

738

-

-

-

-

738

At 31 March 2022

178

-

623

23,972

2,027

26,800At 31 March 2021

204

-

568

26,156

2,409

29,337

At 31 March 2022

103

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTSIAS 36 requires intangible assets with an indefinite useful economic life to be tested for
impairment annually and whenever there is an indication that the asset may be impaired, bycomparing its carrying amount with its recoverable amount. As a result of undertaking thisexercise there is no impairment to the value of the assets.exercise there is no impairment to thevalue of the assets.

Amortisation

Net book value

Annual Report and Accounts 2022-23

Annual Report and Accounts 2022-23

104

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTS105

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTS

7c) Amounts recognised in the Statement of Comprehensive Net Expenditure

7. Leases
As detailed in Note 1, The National Archives adopted IFRS 16 Leases from 1 April 2022. As
permitted by the FReM, it has been implemented using the cumulative catch up method, without
restating prior year figures. Only one lease previously recognised as an operating lease until 31
March 2022 is now recognised as a right-of-use leased asset, with the associated costs being
recognised in Note 7c.

2022-232021-22

£000

£000

Interest charge

73-

Depreciation charge

580

-

653

-

2022-232021-22

£000

£000

497

-

Finance charge

73-

Depreciation charge

580

-

1,150

-

7a) Right-of-use leased assets
2022-232021-22

£000

£000

7,702

-

(13)

-

7,689

-

7d) Amounts recognised in Statement of Cashflow

Cost or valuation
At 1 April
Remeasurement
At 31 March

Principal repayment of lease

Depreciation
At 1 April--

Charged in year580-

At 31 March

580

-

7,109

-

2022-232021-22

£000

£000

Balance at 1 April

7,702

-

Remeasurement

(13)

-

Finance charge

73-

Lease payments in year

(497)

-

At 31 March

7,265

-

Net Book Value7b) Lease Liability

The following table shows the maturity analysis of undiscounted cashflows:

2022-232021-22

£000

£000

564

-

Later than one year and not later
than five years

2,373

-

Beyond five years

4,811

-

7,748

-

Within one year

Annual Report and Accounts 2022-23

Annual Report and Accounts 2022-23

106

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTS

8. Further information on heritage assets8a) Preservation and management
Acquisition of heritage assets is throughgovernment bodies selecting digital andphysical records for permanent preservationand transferring these records to The National
Archives. Government departments typicallytransfer records to The National Archives within
20 years of creation.
The National Archives is the guardian of thenation’s public records. Its core role includes
preserving and protecting, making available,
and bringing to life the vast collection ofhistorical information it holds. Most of therecords are unique and irreplaceable andhave been preserved for their historical, social,legal and administrative value. This includes
significant collections of digital records.
We adopt a risk-based approach in preserving
our digital and physical records. This consistsof conducting a preservation risk assessment
for whole collections, which is reviewed
periodically. The National Archives adopts a
combined approach of preventative measuresand conservation treatments for records intheir digital and physical forms.
Expenditure that is required to preserveor clearly prevent further deterioration ofindividual collection items is recognised in theStatement of Comprehensive Net Expenditurewhen it is incurred. In 2022-23, £1.77 million
was recognised (in 2021-22 this was £1.81
million).
Our approach to preservation risk
Physical records
The physical records held by The National
Archives span over 1,000 years and fill
nearly 240 linear kilometres of shelving onsite at Kew and at the Deepstore facility in
Cheshire. They comprise a variety of formats:parchment, traditional paper records, seals,
maps, costumes, paintings, films, items of court
evidence, and more.

Annual Report and Accounts 2022-23

The conservation, preservation and care ofthis unique and irreplaceable collection is achallenging responsibility, given the age andcondition of some of the physical materials. We
have a dedicated team responsible for the longterm preservation of The National Archives’
physical collection for continued access andfuture use, and we improve the stability of ourmost vulnerable records through conservationwork.
We seek appropriate and secureaccommodation for all our holdings, wherever
they are stored, processed, transferred,transported or used. This includes providing
suitable environmental conditions andappropriate housing. It also includes monitoring
via an integrated pest management programme
and an environmental monitoring system. We
recognise that of all potential risks to the longterm preservation of our records, inappropriate
storage is the most significant.
The Secretary of State has delegated theirpower at section 2(4)(g) of the Public Records
Act 1958 to the Chief Executive of The National
Archives (in his capacity as Keeper of Public
Records). The Chief Executive therefore hasdelegated authority to lend documents fordisplay at exhibitions. All loans are conductedin accordance with our exhibitions policy andare subject to criteria agreed with Department
of Culture, Media and Sport officials, in linewith the loans polices of other major cultural
heritage institutions.

107

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTS

Digital records8b) Access

The National Archives takes a leading rolein managing the issues associated with thesurvival and preservation of today’s digitalpublic records.

Details of the records we hold can be obtained
through our online catalogue, Discovery. All
open records are available for viewing bymembers of the public and can be viewed
free of charge on site at Kew or copies can berequested for a fee. Generally, digital copies ofsome of our open documents are also available
for download from our online services – some
may be downloaded free and some for a smallfee. A brief registration process is required toconsult original documents on site; this is not
required to view surrogates or online copies of
documents.

Our digital preservation techniques and policies
follow current good practice, as recognised
nationally and globally. Our approach involves
assessing risks to render-ability (our ability tokeep records and produce them in a usableform) and intellectual control (our ability tounderstand what they are). We act to mitigate
these risks.
Our digital preservation systems provide
secure, resilient archival storage to ensure
the integrity of the original digital objects(‘bit preservation’). Our work with DROID
and PRONOM provides the international
digital preservation community with theability to identify file formats, a prerequisite
for understanding which files are at risk of
becoming unfit for presentation. Should aformat be identified as posing a risk, action
can be taken to migrate records to a more
durable format or to otherwise mitigate thatrisk (‘active preservation’). The National Archives
maintains the original manifestation of therecord as accessioned. During the year, we took
3,617 snapshots of websites and social media
accounts for the UK Government web archive(3,797 in 2021-22).

In a normal year, access to the records isprovided in a number of ways, both on site andonline. Original documents on site are accessedby readers or staff under controlled conditions,in accordance with nationally recognised andagreed standards.
Readers use the document reading roomand the map and large document reading
room to consult original documents. In somecases, valuable or fragile material may only be
consulted under supervision either within theconservation studio or in the invigilation room.
There are ongoing projects to catalogue moreof our heritage assets, many using volunteers
to further improve access to records and wehave a dedicated catalogue team responsible
for this.

The National Archives adopts a
combined approach of preventative
measures and conservation
treatments for records in theirdigital and physical forms.

Annual Report and Accounts 2022-23

108

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTS

9. Trade other receivables

10. Trade other payables
2022-232021-22£000

2022-23£000(Restated)

3,081

2,714

Deposits and advances

22

14

Prepayments

946

1,520

Accrued income

2,412

776

Accrued income due to the Consolidated Fund

-

900

VAT

-

27

Contract assets

6,461

5,951

131

1,827

6,592

7,778

Total receivables

£000

£000

Other Taxation, Social Security and Pension

1,158

1,095

Trade payables

1,409

2,189

Accruals

1,154

1,157

Deferred income

150

298

Deposits

12

26

1,022

1,134

Amounts issued from the Consolidated Fund for supply but not spent at year
end

74

67

VAT

270

-

-

900

5,249

6.866

Contract liabilities

137

70

Lease liabilities

496

-

5,882

6,936

Contract liabilities

249

306

Lease liabilities

6,769

-

Total payables

12,900

7,242

Short-term staff benefits (holiday pay accrual)

Amounts due to be paid to the Consolidated Fund
Total trade and other liabilities

Amounts falling due after one year:
Prepayments

2021-22Amounts falling due within one year:

Amounts falling due within one year:
Trade receivables

109

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTS

266

111

6,858

7,889

Amounts falling due after one year:

See Note 7 for details of amounts due under Lease Liabilities.

Annual Report and Accounts 2022-23

Annual Report and Accounts 2022-23

110

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTS111

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTS

11. Provisions for liabilities and charges

12. Other financial commitments

The following table provides information on liabilities and charges on an onerous lease.

The National Archives has no capital commitments (2021-22: £nil)

2022-232021-22

£000

£000

34

178

-

(141)

Provisions utilised in year

(7)

(3)

Balance as at 31 March

27

34

Balance at 1 April
Provision not required written back

The National Archives has entered into significant non-cancellable contracts (which are not leases
or PFI contracts) for a facilities management service and IT Services. The payments to which The
National Archives is committed, analysed by the period during which the commitment expire areas follows:

2022-23

Not later than one year
Later than one year and not later than five years

£000

£000

1,798

2,277

176

2,236

-

-

1,974

4,513

Beyond five years

Analysis of expected timing of discounted cash flow

2022-23

Payable within one year
Payable later than one year and not later than five years
Balance as at 31 March

The facilities management contract (£1.4 million) is due to end in December 2023 and no further
contract has been entered into beyond that point.

2021-22

£000

£000

27

8

-

26

27

34

The onerous lease relates to a vacation of office space within a government building in Norwich.
The lease runs until December 2023.
Future cashflows have been discounted using HM Treasury Discount Rates.

Annual Report and Accounts 2022-23

2021-22On transition to IFRS 16 the Deepstore lease was transferred to the balance sheet (see note 7).
This lease was not previously disclosed as a commitment.

2022-232021-22

£000

£000

Not later than one year-

498

Later than one year and not later than five years

-

2,330

Beyond five years-(5,432)-8,260

Annual Report and Accounts 2022-23

112

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTS

13. Future income due under non-cancellable operatingleasesIn 2021-22, The National Archives entered into a contract to rent a section of the building to a third
party. The aggregate minimum lease receipts are as follows:
2022-232021-22

£000

£000

Receivable within one year

228

228

Receivable later than one year and not later than five years

360

588

14. Financial instruments
As the cash requirements of The National
Archives are met through the Estimates process,financial instruments play a more limited rolein managing risk than would apply to a nonpublic sector body of a similar size. The majorityof financial instruments relate to contracts
to buy non-financial items in line with The
National Archives’ expected purchase and usage
requirements and The National Archives istherefore exposed to little credit or liquidity risk.

113

NOTES TO THE DEPARTMENTAL RESOURCE ACCOUNTS

16. Related party transactions
The National Archives is a non-ministerial
department of the UK Government. Its parent
department is the Department for Culture,
Media and Sport. The Chief Executive andKeeper, Jeff James reports to the Secretary ofState.
The National Archives has had a numberof transactions with other government
departments and other central government
bodies, primarily The Cabinet Office, Scottish
Parliament, The Scottish Government,
Department for International Trade,
Government Legal Department, Department for
Culture, Media and Sport and the Ministry ofJustice. At 31 March 2023, The National Archives
was owed £30,616 by the Government Legal
Department (2021-22: £nil).
Jeff James, Chief Executive and Keeper, isthe President of the International Council on

Archives’ Forum of National Archivists (ICAFAN). He is also a member of the ICA Executive
Board. Subscription to the ICA was paid to thesum of £18,822 (2021-22: £17,224).
John Sheridan, Digital Director, is a Directorof the Digital Preservation Coalition (DPC)and the DLM Forum, for and on behalf of The
National Archives. The National Archives paida membership fee of £9,945 (2022-22: £9,945)
and £854 (2021-22: £745) respectively.
There are no further outstanding balances
owed to or owed from any of the above related
party organisations.
The Remuneration and staff report (pages 58 to72) contains details of payments made to key
personnel.contains details of payments madeto key personnel.

17. Events after the reporting period
15. Contingent liabilities
There were no material contingent liabilities at the reporting date (2021-22: nil).

Annual Report and Accounts 2022-23

There have been no significant events after
31 March 2023 that require adjustment to, or
disclosure in, the financial statements.

These accounts have been authorised for issue
by the Accounting Officer on the same date as
the Comptroller and Auditor General’s Audit
Certificate.

Annual Report and Accounts 2022-23

114

115

SUSTAINABILITY ACCOUNTING AND REPORTING

Annex A
Sustainability accounting and reporting

Annexes andappendix
Annex A 	Sustainability accounting andreportingAnnex B 	Advisory Council on National
Records and Archives: 20th
Annual Report 2022-23
Annex C 	Annual Report of the
Independent Complaints
Reviewer 2022-23
Appendix 	Local places of deposit awarded
New Burdens Funding 2022-23

Charge sheet for Countess Constance Markievicz (catalogue reference HO 144/1580)
Constance Markievicz commanded a battalion during the Easter Rising in Dublin 1916 and wasarrested and tried by court-martial. The court found her guilty of ‘attempting to cause disaffection among the civilian population of His Majesty’ but her death sentence was commuted tolife imprisonment ‘solely & only on account of her sex’.

Annual Report and Accounts 2022-23

This report presents an overview of ouractivities during the 2022-23 reporting year,
detailing how our progress aligns with therevised Greening Government Commitments(GGCs) 2021-2025 and outlining our plans forthe next reporting year.
This report was prepared in accordancewith HM Treasury’s Sustainability reporting
guidance: 2022-23. Further information on oursustainability work is available on our website:
https://www.nationalarchives.gov.uk/about/our-role/transparency/energy-environmentand-sustainability/.
Our approach
Governance and reporting
Our key sustainability targets are summarised
within our business plans and performance isreviewed regularly throughout the reportingyear. We are committed to meeting and, where
possible, exceeding the Greening Government
Commitments. Our Executive Team, Board
and Audit and Risk Committee review oursustainability performance regularly, ensuringthat progress is scrutinised and challenged
where appropriate.
We actively work with other government
departments in sharing best practice as well as
benefitting in turn from guidance from various
public and private sector bodies. We continue
to be a member of the National Museums
Directors Council (NMDC) to share best practicewithin the sector. This group has continued
to focus upon carbon reduction journeys
and increasing on-site biodiversity, as well as
visitor engagement post-pandemic. This work
will continue throughout the coming year andbeyond.
We continue to collaborate with the Climate
Heritage Network, an international, nonlobbying, voluntary network promoting theconcept that culture and heritage are assets forclimate action, to increase the positive impactof the sector.

Data accuracy
We ensure data accuracy through quarterly
reporting and GGC accounting and our datareporting has been further streamlined throughharmonising our data gathering process. We
have also achieved the Carbon Trust Standard
for measuring, managing and reducing ourcarbon emissions.
Our environmental management system is built
on sustainability and encourages continuous
improvement. In the second quarter of the2023-24 financial year, we will transition to data
gathering and reporting via a new sustainability
management software platform. This willallow the process to become more automatedand allow easier tracking of progress against
targets, in order to enable opportunities for
improvement to be more easily identified.
Our sustainability strategy and targets

general, recycling andfood waste reduced

50 %As a non-ministerial government department,
The National Archives is required to reportagainst the Greening Government Commitments(GGCs) – a set of targets and outcomes thattogether help ensure that central government
meets its vision for sustainability.
In previous reporting periods, we achieved manyof the previous GGCs targets ahead of scheduleand applied more ambitious internal targets.
We continue to assess our operations in linewith the applicable Sustainable Development
Goals (SDGs), highlighting how we contribute

Annual Report and Accounts 2022-23

116

SUSTAINABILITY ACCOUNTING AND REPORTING

to these Goals and to help inform and plan
our operations going forward. Our attention
continues to focus on those SDGs that alignclosely to our strategic sustainability goals
and where we would have most impact. As
the effect of the pandemic recedes, we have

refocused on visitor engagement as a strategic
priority. During 2022-23, we translated ourenvironmental goals and targets into a short
infographic to share across the organisation, toengage staff and visitors with clear messaging
promoting our sustainability progress.

SDG

2022-23 progress

Focus for 2023-24

SDG 3. Good Health andWellbeing•

Improve health andwellbeing
Visitor engagement andawareness
Support employees in thetransition to hybrid working
patterns•

Continue to apply therequirements of theSocial Value Act and theModern Slavery Act into all
procurement, systems, andprocesses•••

SDG 8. Decent Work andEconomic Growth•

SDG 11. Sustainable Cities andCommunities•

SDG 12. Responsible
Consumption and Production•••

Review our methodology
for measuring health andwellbeing to align withhybrid working patterns

Continue to apply therequirements of theSocial Value Act and theModern Slavery Act into all
procurement, systems, andprocesses

Continue climate and energy •outreach with stakeholders

Continue climate and energy
outreach with stakeholders

Continue to promotesustainable procurement
practices
Focus on removing
consumer single use plastic
Reuse schemes

Introduce quarterly
reporting on consumptionof consumer single use
plastics
Through our shop limit andwhere possible eliminate
the sale of single use plastic
Working with our partners
limit and where possible
eliminate the use of single
use plastic
Utilise the Green Champions
to support implementationof consumer single use
plastic and other initiatives
to reduce operational
impacts••••

SDG 13. Climate Action•

Adopting science-basedtargets in support of our
Net Zero commitment andexpanding the scope ofemissions management toinclude more of Scope 3•

Continue to increase ourunderstanding of Scope 3
emissions and develop andimplement strategies toreduce them

SDG 15. Life on Land•

Review and improve site
survey technique•

Develop a Nature Recovery
Plan
Develop and install
educational signage toeducate site users of thebiodiversity of the Estate

Annual Report and Accounts 2022-23•

117

SUSTAINABILITY ACCOUNTING AND REPORTING

Meeting the Greening Government
Commitments
The Greening Government Commitments
2021-25 set more stretching targets on the coreareas of emissions, water, waste and domestic
flights, and introduced new measures on directemissions, biodiversity, climate adaptations andfood waste. The target baseline year has

been changed from 2009-2010 to 2017-2018, tomore accurately reflect the current government
estate and ensure it builds on the progress it
has already achieved. Our decision to set more
ambitious internal targets than the 2015-20
GGCs means that our efforts to accelerate
emissions reductions before 2017 have createdadditional challenges for achieving the 2021-25
GGCs.

Indicator

GGC target
2021-25

Our target baselineyear

Change against the
new baseline
2017-18 for2022-23

Change comparedwith2021-22(+/-%)

Greenhouse gas
emissions(tCO2e)-58%

2017-18-35%+7%

Less than 5% waste tolandfill

2017-18

0% to landfill

0% to landfill

Reduce overall waste
generated by 15%

2017-18

-50%

-21%

Increase recycling rate
to at least 70% overallwaste

2017-18-10.2%(Actual recycling rate
for 2022-23: 58%)

+11.8%

Paper (A4e)-50%

2017-18

-84%

-33%

Water (m3)Reduce water
consumption by atleast 8%2017-18

-28%

+11%

Domestic flights
taken (km)-30%

2017-18-8%+2,099%35

Operational waste(tCO2e)35 This increase is due to travel becoming more possible following the easing of restrictions relating to the CVOID-19
pandemic.

Annual Report and Accounts 2022-23

118

SUSTAINABILITY ACCOUNTING AND REPORTING

2022-23 performance

Indicator

2022-232021-222020-212019-20

Baseline
2017-18

Gross emissions for
scope 1 and 2

1,660

1,595

1,556

1,960

2,529

Gross emissions for
scope 3

149

98

80

146

230

Electricity: grid

5,176

4,671

3,998

5,279

5,537

Electricity: renewable

0

0

0

0

0

Electricity: goodquality combined heatand power

108

3

90

132

87

Natural gas

3,613

3,284

2,941

3,263

3,165

Diesel oil

0

6.4

13.8

9.1

0

Energy885,795

857,511734,055

113,094

753,022

Business travel

98,48814,4981,021

113,094

129,623

Indicator

Greenhouse gas emissions have increased in comparison to the 2021-22 reporting year although
they remain well below the 2017-18 reporting year baseline. This is almost entirely due tooperations returning to a more normal level during the first reporting year that was not impacted
by any COVID-19 restrictions.

2021-222021-22 per FTE
employee^2022-23

2020-21 per FTE
employee^

Greenhouse gas
emissions – Scopes 1-3(tCO2e)1,692.4

3.3

1,809.9

3.3

Energy used (MWh)7,961.2

15.7

8,788.7

15.9

Waste produced*(tonnes)

68.5

0.1

54.4

0.1

Water used (m3)

12,272.0

22.2

13,632.0

24.6

Domestic flights taken(kg/CO2e)

186.8

0.3

4,106.5

7.4

International flights
distance travelled(miles)2,381.0

0.43

113,105.8

204.5* Excludes one-off construction and refurbishment projects waste, to enable meaningfulcomparison.

119

SUSTAINABILITY ACCOUNTING AND REPORTING

Greenhouse gas
emissions (tonnes
CO2e)

Building energy
consumption (MWh)Financial indicators(£)

Intensity of emissions per MWh of electricity
used for the current reporting year 2022-23
has decreased by 45% in comparison to thebaseline reporting year 2017-18; a substantial
decrease due to grid decarbonisation. Totalelectricity consumption (MWh) has decreased
by 7% since the baseline year but has increasedby 11% in comparison to the previous 202122 reporting year, due to increased building
occupancy following the COVID-19 pandemic.

Indicator

2022-232021-222020-212019-20

Baseline
2017-18

Electricity Emissions:(Scope 2 / MWh)

193

212

233

256

352

^ Average FTE throughout financial year 2022-23.
Greenhouse gas emissions
An overall reduction target of 58% against
the new 2017-18 baseline was set by The
Department of Culture, Media, and Sport(DCMS). Our greenhouse gas emissions
associated with building energy use andbusiness travel in the 2022-23 reporting year
were 1,810 tonnes CO2e. This represents
a 35% decrease in overall greenhouse gas
emissions against the baseline, but a 7%
increase on 2021-22 emissions.
Against the new GGC target of a 33% reduction
in direct emissions (Scope 1 only) from estateand operations, we recorded a 13% increase
compared to the baseline 2017-18 reportingyear. This is a particularly challenging target
for us, as Scope 1 emissions are almost
exclusively from natural gas used for heating,which is necessary to maintain temperature
for the collections that we have a statutory

obligation to protect. Up to the new baseline
year of 2017-18, we had already reduced ouremissions from gas consumption by 61% fromthe previous 2009-10 baseline, which leaves
reduced opportunities for further reductions.
During 2022-23, a detailed energy audit
was carried out to identify opportunities for
us to reduce our operational emissions, inparticular natural gas consumption. A numberof potential adaptions and projects werelaid out that could allow the 33% reduction
by 2025 target to be met. Options included
the isolation of the Combined Heat andPower (CHP) system, office consolidationand the switch to electric boilers or a heatpump heating system. We will apply theserecommendations in future years to minimise
natural gas consumption as much as possible.

LED lighting has continued to be installed
across the site in staff and document storage
areas which will lead to a reduction inemissions from electricity used for lighting
across the estate.
Business travel makes up a relatively small
percentage of our overall emissions and we
aim to keep any return to the post-pandemic
pattern of business travel moderate. We
are working to continually reduce our travel
footprint and emissions have decreased by 38%
since the 2017-18 baseline reporting year.
We continue to challenge whether travel is required
and promote the use of digital conference facilities
to avoid unnecessary business travel; we generally
promote travel by public transport rather thancar and train rather than plane. There were 20
domestic flights in total during 2022-23.
Waste minimisation and management
Our GGC waste targets are to send at least
70% of our waste to recycling and less thanAnnual Report and Accounts 2022-23

5% to landfill. We also aim to reduce paper
consumption by at least 50% against the
2017-18 baseline.
We produced 54.4 tonnes of general, recycling
and food waste in 2022-23, in comparison to
the 2017-18 baseline figure of 108 tonnes; areduction of 50%. None of our operational
waste is sent to landfill – 22 tonnes were sent toincineration for energy recovery. The proportionof waste being recycled this financial year was
58%. The average monthly weight of operational
waste was 4.5 tonnes, a decrease from 8.99
tonnes against the 2017-18 baseline year.

proportion of waste recycled
this ﬁnancial year

58 %Annual Report and Accounts 2022-23

120

SUSTAINABILITY ACCOUNTING AND REPORTING

2022-232021-222020-212019-20

Baseline
2017-18

Total

54

68

21

83

116

Recycled and reused

31

47

11

52

64

Indicator

Operational
waste (tonnes)

Construction andrefurbishment
projects waste(tonnes) ^^Operational
waste
expenditure (£)*

Energy from waste
incineration

22

19

8

24

46

Food and catering:anaerobic digestion

2

1

2

7

6

Composted

0

0

0

0

0

Landfill

0

0

0

0

0

Total

9.14

3.36

30

8

12

Recycled and reused

9.14

3.36

29

4

6

Landfill

0

0

0

4

6

Total

25,856

23,40914,55919,86024,520Recycled and reused

10,244

9,842

4,225

3,639

4,553

Energy from waste
incineration

5,337

5,650

2,692

7,558

9,324

Food and catering:anaerobic digestion

681

443

247

1,655

1,830

Landfill

0

0

0

0

0

* Spend data obtained from our Facilities Management contract provider. Total includes the costof storage and containment.
We promote recycling of waste around the site for staff and visitors. Visitor engagement has beena focus for us in the 2022-23 reporting year as pandemic restrictions have eased. This has included
removing consumer single use plastic, reducing food waste and reusing materials.

Use of finite resources

Indicator

2022-232021-222020-212019-20

Baseline
2017-18

Water
consumption: m3

13,632

12,272

15,46817,462

18,915

Water supply
costs: £33,31334,43935,74039,71036,915Paper use: reams
A4 eq.

545

815

20

1,697

3,471

We have a target to reduce overall water
consumption by 8% from a new GGC baselineof 2017-18.
Our estate consumed 13,632 m3 of water thisreporting year. This a 11% increase compared tolast reporting year, due to an increase in officeoccupancy compared to that period, and a 28%
reduction compared to the 2017-18 baseline.
Printing restrictions and the ongoing digitisationof records is reducing our paper use and thisis set to continue into the future. Our paper
consumption stands at the equivalent of 545
standard reams of A4 paper, which is an 84%
reduction against the new 2017-18 baseline.
Procuring sustainable products and services
We are committed to buy more sustainable andefficient products and services with the aim ofachieving the best long-term, overall value formoney for society. We have implemented the
new Social Value Model to embed sustainability
considerations into our procurement process.
Biodiversity
Our site at Kew, especially the pond andsurrounding vegetation, is a habitat for bees,
small mammals, invertebrates, birds and anumber of species of wildfowl. This means that,
despite being a relatively small area of land, it
has substantial biodiversity value, especially for
its urban location. This positively impacts its
attractiveness as a destination, the wellbeingof employees, and its relationships with local
stakeholders. It has the potential to influence
key biodiversity indicators in the area, such as
species richness and ecosystem health.
We have measures in place to promote thehealth of its ecosystems and continue totake steps to enhance biodiversity impact. A

Annual Report and Accounts 2022-23

121

SUSTAINABILITY ACCOUNTING AND REPORTING

Preliminary Environmental Appraisal (PEA)
was carried out that laid the ground work fora more in-depth environmental assessment tobe made at a later date. This will require us todevelop a Nature Recovery Plan, which is in theplanning for early 2024.
We have also liaised with the Swan Sanctuary
for monitoring the wellbeing of resident
wildfowl on our grounds as necessary.
Adapting to climate change
In 2021-22, we conducted a Climate Risk
Assessment; we have also commissioned a
Flood Risk Assessment for our site. These will
inform the development of a Climate Change
Adaptation Action Plan over the coming year.

Sustainability drives the direction of
travel within our IT operations andour modernisation programme has
made significant strides towards
fulfilling the Government Greening
Commitments.
ICT and digital sustainability
Sustainability drives the direction of travel
within our IT operations and our modernisation
programme has made significant strides
towards fulfilling the Government Greening
Commitments. Following government policy,
we have eliminated tape backup, as well as
replacing dozens of physical servers and atelephony system with cloud services, making
the organisation more resilient and reducing
our physical footprint by 43%. As we are aware,though, that utilising cloud services displaces

Annual Report and Accounts 2022-23

122

SUSTAINABILITY ACCOUNTING AND REPORTING

123

SUSTAINABILITY ACCOUNTING AND REPORTING

Community engagement
We have continued to engage actively with our
local community and related stakeholders thisyear. We have maintained our grounds andornamental ponds as a local amenity for our
staff, visitors and local residents to enjoy, with
our grounds open to the public from dawn until
dusk throughout the year.

We have maintained our surface
water drainage arrangements tomeet our obligations to the flood
defences of the local area in supportof the Environment Agency.

We have maintained our surface water drainage
arrangements to meet our obligations to theflood defences of the local area in support of
the Environment Agency. Additionally, we havecommunicated regularly with our neighbours
and local residents regarding planned
maintenance and project works and have also
supported the London Borough of Richmondupon Thames’ environmental initiatives,
including a Ultra Low Emission Zone and a no
idling campaign.
Multiple local groups and organisations havebeen hosted and aided, including:some of our carbon emissions to service
providers such as Microsoft, we continue tomonitor our carbon use through Microsoft’s
Emissions Impact Dashboard. To support
hybrid working and rationalise our desktop
estate, we have reduced our devices by morethan 50%.
Our IT systems are a key enabler of thecorporate aims articulated in our strategy
Archives for Everyone, including supporting
the organisation in leading the archives sector
to a secure and sustainable future. Moving
forward, our strategic priorities are to continue
modernising, with an emphasis on automationand integration towards the goal of making oursystems easier to use.
Sustainable construction
No major construction projects were
undertaken during 2022-23, but two minor

Annual Report and Accounts 2022-23■

Kew Society events and Annual General
Meeting approximately eight times per year■

Kew Riverside Park Residents Annual
General Meeting

refurbishment projects were completed, bothof which involved refitting existing areas:■

Q2 Players Local Dramatic Society, typicallytwo productions per year

An existing repository area was fitted withnew racking for document storage, as partof which new energy efficient lighting was
installed;■

Four community engagement events for theretail park redevelopment project■

Kew Gardens to provide for extra car parking
spaces for their events■

Ensuring our embedded learning spaces canbe utilised by the education team as part ofour on site engagement with schools and the
local community.

■■

200m2 of space was equipped as a newlearning facility for use as part of oureducational outreach programme.

We have maintained our grounds andornamental ponds as a local amenity
for our staff, visitors and local
residents to enjoy, with our grounds
open to the public from dawn until
dusk throughout the year

Annual Report and Accounts 2022-23

ADVISORY COUNCIL ON NATIONAL RECORDS AND ARCHIVES:
20TH ANNUAL REPORT 2022-23

124

Annex B
Advisory Council on National Records andArchives: 20th Annual Report 2022-23
Introduction by Sir Geoffrey Vos, Master of the Rolls
To the Right Honourable Lucy Frazer KC MP, Secretary of State for Culture, Media and SportI am pleased to present the 20th Annual Reportfor the Advisory Council on National Records
and Archives.

The Council carried on with its work throughout
the COVID-19 pandemic. Despite very effective
remote working, it was great to resume inperson meetings at the end of the 2022. We
have continued to make the best use of videoconferencing technology to allow government
departments to attend Council meetings far
more easily than they did before the pandemic.
The Forum on Historical Manuscripts andAcademic Research, a subcommittee of theCouncil, also continues to build on the strong
foundations established last year. The Forumplans to hold its first external meeting in the

Annual Report and Accounts 2022-23

re-emphasised the continuing importanceof Manorial documents to the nation. Other
inspiring activities and conferences were also
held to celebrate the centenary. I would like tooffer my thanks to everyone at The National
Archives who worked to organise these events.
It is important and worthwhile to highlightthe current relevance alongside the historicsignificance of Manorial documents.
Finally, I would like to thank all Council members
for their continuing hard work and dedication,

125

and to thank all the staff at The National
Archives who work so tirelessly towards theCouncil’s success. I much look forward toworking with them all in the coming year.

The Right Honourable Sir Geoffrey Vos
The Master of the Rolls
6 June 2023

Part One – Introduction

The Council’s work continues to evolve alongside
the demands of the public records system.
This year saw the end of the government’s ten
year transition from a 30-year rule for publicrecord release to a 20-year rule. The Council has
supported the work needed to achieve it, and has
assisted government departments in complying
with the legislation. I should note, however,that some departments have yet to complete
the transition to a 20-year period. The Council
will, of course, continue to engage with thosedepartments and with future developments inrecords retention beyond the transition period.
The Council has undergone its own transition
this year with the departure of Mr Trevor
Woolley, the Council’s Deputy Chair from 2017
to 2022, and the appointment of Mr David
Rossington as Deputy Chair from Autumn 2022
onwards. I want to thank Trevor most warmly,
on behalf of all the members of the Council,
past and present, for his leadership andcomradery over so many years. I much lookforward to working with David.

ADVISORY COUNCIL ON NATIONAL RECORDS AND ARCHIVES:
20TH ANNUAL REPORT 2022-23

Background
The Advisory Council on National Records
and Archives (the ‘Council’) is an independent
advisory body, created under the Public
Records Act 1958 and exercising statutoryfunctions under that Act. It advises the
Secretary of State for Culture, Media and Sport(the ‘Secretary of State’) on issues relating toaccess to public records. It also carries out
duties under the Freedom of Information Act
2000 (FOIA).

autumn of 2023. This will enable it to include
and benefit from external contributions.
This year has also seen the creation of a new
sub-committee sitting within the Advisory
Council structure. This new group, titled theManorial and Tithe Documents Panel, will
focus its work on the Master of the Rolls’
remit for Manorial and Tithe Documents.
The Panel follows on from the work of theprevious Manorial Documents sub-committee,
which ceased operations last Autumn, having
completed the digitisation of the Manorial
Documents Register.
The highlight of the year was in June 2022,
when we celebrated the centenary of the
Law and Property Act 1922. I was absolutely
delighted to welcome The National Archives
and many archivists and researchers to theRoyal Courts of Justice for a reception and somefascinating speeches and exhibits. The evening

Through its sub-committee, the Forum on
Historical Manuscripts and Academic Research(the ‘Forum’), the Council also advises theChief Executive of The National Archives andKeeper of Public Records on matters relating
to independent (non-governmental) archives
outside the public records system.
The Council’s and the Forum’s respective remits
are described in more detail in Appendix A andmembership details are included in Appendix B.

Part Two – The Advisory Council’s work in 2022-23
Key areas of focus■

Government developments on publicrecords■

Major public records projects at The
National Archives■

The Council’s records■

FOI exemptions – 23/24, 31, 37,
65/66

■

Relationships with government
departments■

Outstanding closure applications

Throughout 2022 and 2023, the Council has
had a number of priorities. These ranged from
specific FOIA exemptions to broader topics.
The broader topics have included ongoingpieces of work by The National Archives,
particularly its work on Court Judgments,
the accession of the extensive Ministry of
Defence’s service personnel records and
The National Archives’ partnership with theParliamentary Archives. The Council has also
received updates on the use of unofficial
communication channels in government andthe potential effect on future public records.
Additionally, the Council has kept itself awareof the necessary withdrawal and reinstatingof access for certain Foreign Office records

Annual Report and Accounts 2022-23

126

ADVISORY COUNCIL ON NATIONAL RECORDS AND ARCHIVES:
20TH ANNUAL REPORT 2022-23

series whilst risks regarding past chemicaltreatments were investigated.
The Council has also focused on its own records.
At the end of 2022, it came to light that 71
Council records had not been processed andtransferred to The National Archives as requiredby the Public Records Act. As a result of this, theCouncil sought approval for retention for theserecords and is working through 2023 to processthese by the end of the year.
With regards to exemptions set out in
the FOIA the Council has concentrated its
discussions around six sections. There has been
consideration of sections 65 (covering historic
records retained by government departments)and 66 (covering historic record withheld frompublic access at The National Archives) andhow these affect the work and remit of theCouncil. In April 2022 the Council wrote to
DCMS regarding the Council’s role in relation
to sections 65 and 66 and also raised sections
23 and 24 (national security exemptions fromdisclosure under FOIA). The Council notedthat these exemptions are not considered bythem and wanted to confirm if the Secretaryof State was still content for this arrangement
to be in place. The Council is aware that DCMS
has worked hard to provide the Council witha thorough response, which was received inearly May 2023, and which the Council will now
consider during 2023-24.
The Council has also considered FOIA
exemptions under sections 31 and 37.
Section 31 provides an exemption for releaseof historical documents for reasons of law
enforcement. The Council has discussed theapplication of section 31 as it relates to historicmurder cases and have been liaising with
The National Archives and the Metropolitan
Police to better understand the balancing of
public interest for and against release of such
documents. These discussions are ongoing
and the Council will seek to explore this area
further in 2023-24 with the aim of reachinga common understanding of the applicationof this exemption with all parties. The otherkey exemption which has been a focus of theCouncil interest is section 37. Section 31(1)(ac) and (ad) cover exemptions from releasefor material relating to communications withmembers of the wider royal family and theirhouseholds. The Council has been keen tobetter understand the types of subject matter
which would be considered for exemption and

Annual Report and Accounts 2022-23

how departments assess whether applying
these exemptions is appropriate. The Council
has liaised with the Foreign, Commonwealthand Development Office, and the Cabinet
Office on this matter and is keen to continue
discussions into 2023-24.
The Council will also continue to work withdepartments on a more general basis to build
good relationships and a deeper understandingof how best FOIA exemptions should beconsidered. This has been done partially throughthe work carried out in ‘File Spot Check’ exercises
conducted by the Council members, whereindividual files are examined, and feedback isprovided to departments based on the outcomeof the exercise. The Council has a GovernanceWorking Group which undertakes detailed
work, and has invited departments to jointhese meetings where required. Additionally,
the Council is hoping to visit the Foreign
Commonwealth and Development Office’s
records assessment centre at Hanslope Park in
the coming months, as it has done in the past.
Finally, the Council has recently turned its
attention towards a backlog in responses
to its queries from departments, which has
arisen during the COVID-19 pandemic. At thisstage the Council is working with The National
Archives to analyse the data. It will then meetwith departments or issue guidance on specificitems as necessary.
Meetings
The Council held four meetings in May, July andNovember 2022 and February 2023, together
with an additional, virtual, training meeting in
September, at which a number of helpful andinformative presentations were given, focusing
on the governance of the Council and on thebalances involved in performing its public
interest tests.
Council meetings were attended by members,
as well as by Jeff James, The National Archives’
Chief Executive and Keeper of Public Records.
Other representatives from The National
Archives who possess particular expertise
relating to the issues considered by the Council
also participated, as necessary.

ADVISORY COUNCIL ON NATIONAL RECORDS AND ARCHIVES:
20TH ANNUAL REPORT 2022-23

Closure of records under the Freedom ofInformation Act 2000
The core of the work of the Council is to:
1. act on behalf of the Secretary of State, inadvising public record transferring bodies
on the consideration of the public interest in
relation to engaged qualified exemptions as
defined in the FOIA when a record is at the
point of transfer to The National Archives.
The Council may respond to applications bysuch bodies for records (in whole or in partas appropriate) to be transferred closed by:a.

accepting that the information may be
withheld for longer than 20 years andearmarking the records for release or rereview at the date identified by the authorityb. accepting that the information may be
withheld for longer than 20 years but
asking the authority to reconsider the
proposed date for release or re-review
c.

questioning the basis on which it isconsidered that the information may be
withheld for longer than 20 years, asking
the authority to reconsider the case,and, exceptionally, to request sight of
the recordd. advising departmental ministers
against the application of an FOIA
exemption in a particular case when,
following thorough examination of thedepartment’s rationale, it judges thebalance of public interest to be against
closure.
2. providing advice to the Secretary of State
when a public record transferring body has
made an application to retain records thatare 20 years old, which would otherwise
be transferred to The National Archives.
The Secretary of State signals approval for
retention for the specified period by signinga Retention Instrument.
Given the very large volume of applications
placed before it, the Council works on thebasis of summaries prepared by departments
and scrutinised by The National Archives. The
Council will ask for more details and question
apparent weaknesses in the arguments
for closure until it is satisfied; or until the
department withdraws or modifies the request.

127

Where the department provides sufficient
additional information so that the Council
is satisfied the public interest test has beencorrectly applied, the application is considered
accepted due to clarification. Where the Council
has challenged an application and this has
been modified for the item to be accepted thisis recorded as accepted due to amendment.
These terms are used in the charts below.

Occasionally, the Council may
request that one of its members sees
the full record; the Council viewed arecord once in 2022-23.
Occasionally, the Council may request that oneof its members sees the full record; the Council
viewed a record once in 2022-23. In addition,
the Council periodically calls for selected files
to be reviewed by a panel of its members, in aprocess known as File Spot Checks, to assess
the accuracy of summaries and to monitor
the applications submitted by departments.
This helps to inform the Council’s overall
assessment of the way that departments areapplying particular FOIA exemptions and may
indicate issues which the Council needs toconsider further. The Council conducted one
File Spot Check exercise this year in October
2022 where it considered a number of files.
Feedback from members following this check
led to improvements in the guidance for the
spot check process and aided the Council inframing its discussions with departments who
apply section 37(a-c) and (ad) of the FOIA.

In 2022-23, the Council considered
3,116 applications for closure
In 2022-2023, the Council considered 3,116
applications for closure from departments
which engaged a qualified exemption. This
number of applications represents a substantial
increase on the figures from 2021-22 (2,038).
This is in response to the increasing numberof records which government departments
are required to process each year. The Council
queried 26% of applications for the transfer
of records closed under qualified (i.e. notabsolute) exemptions. This figure compareswith 20% in 2021-22. This increase from lastyear, reflects the Council’s rigorous approach

Annual Report and Accounts 2022-23

ADVISORY COUNCIL ON NATIONAL RECORDS AND ARCHIVES:
20TH ANNUAL REPORT 2022-23

128

to closure applications. Departments havein the main continued to be constructive intheir responses to the Council’s queries. Of
the records queried, a significant proportion

remain ongoing due to current discussions withdepartments on resolutions in cases concerning
section 31 and section 37.

Queried Applications by %Resolution of Queried Application by %ADVISORY COUNCIL ON NATIONAL RECORDS AND ARCHIVES:
20TH ANNUAL REPORT 2022-23
Queried Applications by %Resolution of Queried Application by %

100%

100%

80%

80%

100%

100%

60%

60%

80%

80%

40%

40%

60%

60%

20%

20%

40%

40%

0%

20%

20%

0%

2021-22
QueriedQueried0%2022-23
Not Queried

Clariﬁed

2021-222021-22
Amended0%2022-23
Not Queried

2021-22

Clariﬁed2022-23
Withdrawn

129

Withdrawn

Applications
considered

Applications
queriedApplications
whereclarification oramendment wasreceived andaccepted

2021-2022

734

77

66

3

8

2022-2023

1,315

150

61

15

74

Outstanding

Applications
that wereamended bydepartments
and accepted

Applications
withdrawn bydepartments
following Council
challenge

Outstanding
closureapplications

Applications
withdrawn bydepartments
following Council
challenge

Outstanding
closureapplications

Applications
considered

Applications
queriedApplications
whereclarification
was received
and accepted2021-2022

2,038

403

99

170

53

81

Further metrics about records and transfer are available at Appendix C.

2022-2023

3,116

832

421

34

77

300

Engagement with departments

There are a higher number of outstanding
applications this year, but these are mostly
from the Council’s last meeting of the year,with the expectation that the vast majority ofthese will be resolved at its May meeting. The
Secretary of State has accepted the Council’s
advice on every application for retention
considered this year.

As part of the Council’s work to support
departments in transferring records, it will
request relevant updates from departments.
This can either be through a written update,or an update where the department appears
before the Council to discuss their records andprocessing plans in greater detail. Updates
can include information on the support a
department has in place, timescales andmethods for processing these records, anddetails on the types of records.
During 2022-23, the Council received suchin person updates from: Department for
Business; Energy & Industrial Strategy; Defence
Geographic Centre; Food Standards Agency;
Foreign Commonwealth and Development
Office; Department for Levelling Up, Housing
and Communities; HM Revenue and Customs.
Council also seeks to engage with departments
and other relevant public bodies on wider

Annual Report and Accounts 2022-23

Outstanding

Retention Applications

Qualified Closure Applications

In 2022-23, the Council considered 1,315
individual items which departments had
applied to retain. This represents a significant
increase on previous years mirroring theincrease seen in closure applications. The
Council queried 11% of these (10% in 2021-22),and departments withdrew 10% of the queried
applications in response to the Council’s
challenge, compared with 3% in 2021-22.

2022-23

issues to discuss and understand generalprocesses and the application of exemptions,or to discuss items that might impact publicaccess to records. During 2022-23, the Council
spoke to the Metropolitan Police.
Review backlogs
This year, the Council considered 108 requests
from departments relating to the management ofreview backlogs. This represents a 22% increaseon the previous year (86) and reflects the end of
the ten year transition period, from the previous
retention of documents by departments for 30
years to the 20-year rule, as well as the additional
focus The National Archives has had on working
with departments to assist them. Additionally,
departments are now reaching a point where
many of them are beginning to regularly processborn-digital records, in addition to paper records.
The Council received such retention applications
from the Office of the Advocate General for
Scotland; Attorney General’s Office; British

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ADVISORY COUNCIL ON NATIONAL RECORDS AND ARCHIVES:
20TH ANNUAL REPORT 2022-23

Library; Department for Business, Energy andIndustrial Strategy; Cabinet Office; Centre
for Environment, Fisheries and Aquaculture
Science; Civil Aviation Authority; Companies
House; Competitions and Markets Authority;
Crown Estate; Crown Prosecution Service;
Ministry of Defence; Defence Geographic
Centre; Department for Digital, Culture,
Media and Sport; Department for Education;
Department for Environment, Food & Rural
Affairs; Food Standards Agency; Foreign,
Commonwealth and Development Office;
Office of Gas and Electricity Markets; Healthand Safety Executive; Department of Healthand Social Care; Historic England; Historic Royal
Palaces; Home Office; Independent Officefor Police Conduct; The Insolvency Service;
Department for International Trade; Ministryof Justice; Kew Gardens; HM Land Registry;
Department for Levelling Up, Housing andCommunities; Medicines and Healthcare
products Regulatory Agency; National Crime
Agency; National Highways; National Institutefor Health and Care Excellence; National
Savings & Investments; Office for National
Statistics; Natural England; Natural Resources
Wales; NHS Digital; Northern Ireland Office;Nuclear Decommissioning Authority; Pensions
Regulator; Postal Museum; Privy Council Office;
HM Revenue and Customs; Royal Parks; Science
Museum Group; Serious Fraud Office; Office forStandards in Education and Children’s Services
and Skills; Tate; Department for Transport; HM
Treasury; Water Services Regulation Authority;
Welsh Government; and Department for Workand Pensions.
Some departments made more than one suchapplication during the period. Generally, aperiod of one or two years was sought. In asmall number of cases, three to five years was
requested.
The Council also considered papers updating
it on progress in reviewing records fortransfer to The National Archives from Cabinet
Office; Crown Estate; Department for Digital,
Culture, Media & Sport; Companies House;
Foreign and Commonwealth Development
Office; Office of Gas and Electricity Markets;
Health and Safety Executive; Home Office;Kew Gardens; Department for Levelling Up,
Housing and Communities; National Crime
Agency; Natural England; Privy Council Office;
Serious Fraud Office; Tate; Department forTransport; Welsh Government; Department
for Work and Pensions.

Annual Report and Accounts 2022-23

The outcome of the 108 legacy retention
applications was:■■■

For 59 of these requests, the Council
was content to recommend to theSecretary of State that permission be
given to the relevant organisation toretain its legacy records for the period
requested

ADVISORY COUNCIL ON NATIONAL RECORDS AND ARCHIVES:
20TH ANNUAL REPORT 2022-23

public interest-based exemptions. In threecases the panels provided advice, but after
balancing the arguments the decision-making
body did not agree with the panel’s advice. In
one case, the FOI panel’s queries resulted in thefile being open in full.
■

Overall, sections 27 (international relations),
31 (law enforcement) and 38 of FOIA (healthand safety) were both the most challenged
exemptions, and the most frequently
applied for.

■As noted in last year’s annual report, Council
continued to display an interest on thepassage of time in relation to section 31 (lawIn 13 cases, the recommendation wasthat the department be granted a lesser
retention period than requested
In the remaining cases, the Council wascontent to recommend to the Secretaryof State that permission be given to
the relevant organisation to retain its
legacy records for the period requested,
but asked for written updates to beprovided, to ensure that departmental
records management projects remainedon track.

enforcement) cases and also how to balance
the public interest test in section 38 cases.
Process
The FOI panel process is explained in moredetail in Appendix D. As in previous years, themajority of FOI requests for closed records
sought access to criminal case files, usuallyrelating to historic murder cases. In these
instances, the Council is typically called upon
to balance the public interest in release against
the potential distress which might be caused
to victims or their relatives, or (in the case ofunsolved crimes) to the risk to the successfulprosecution of perpetrators in the future.

Part Three – The Council’s ‘Administration and
GovernanceMembership

Freedom of Information requests

The Council acts on behalf of the Secretaryof State to consider the balance of the public
interest in the release or non-disclosure of
information contained in transferred historical
records that engage qualified exemptions
under the FOIA’, when an application has
been made to The National Archives under
section 66 of FOIA for the disclosure of
information held by it. The Council exercises
this responsibility through the convening ofpanels of three members to consider up to 20
requests at a time.

The Council is chaired by the Master of theRolls, Sir Geoffrey Vos. Mr David Rossington
acts as Deputy Chair, having been appointed
in October 2022 following the departureof the previous Deputy Chair, Mr Trevor
Woolley. Following successful reappointment
submissions, two members were reappointed
in October 2022: Dr Phillip Johnson and Mr
Martin Uden. One member of the Council
retired in September 2022, Mr Trevor Woolley;
one new member joined the Council in January
2022: Ms Kate Grimley-Evans. The total
membership of the Council remains at 18,
including the Chair.

As a public body the Council is itself subject
to the Freedom of Information Act. This year
the Council has received 14 Freedom ofInformation requests.

Metrics

Remuneration

During the financial year 2022-23, 34 panels
were convened, with 624 cases being considered.
Panels substantively challenged 82 of these, or
13% of the total. This compared to 523 casesin 2021-22, where 37 cases were substantively
challenged, again equivalent to 7% of thetotal. This is part of a wider trend, which wasinterrupted and slightly reversed by the COVID-19
pandemic, but sees a year on year increase in FOI
panel cases.

Remuneration for Council members,
excluding the Master of the Rolls, wasapproved and introduced on 1 April 2019 andis provided by the Department for Culture,
Media and Sport. Members are remunerated
at a rate of £386 per day to a maximum of£9,264 per year. The Council remunerationfor 2022-23 totalled £102,097.

Freedom of Information panels

131

Sustainability
The Council as a body is reliant on larger
bodies to provide most of its support services
but seeks to increase its sustainability
wherever possible. The COVID-19 pandemic
demonstrated that the Council was capableof functioning with a paperless system for
its work and now deals with all information
digitally. The transition to hybrid meetings also
has sustainability implications, as fewer overall
journeys are required as part of the Council’s
work, as well as facilitating easier attendancefrom government departments.

Having been provided with more detail, in
most cases the panels were able to accept
departments’ arguments for continuing to apply

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ADVISORY COUNCIL ON NATIONAL RECORDS AND ARCHIVES:
20TH ANNUAL REPORT 2022-23

132

Part Four – The Forum on Historical Manuscripts andAcademic Research

ADVISORY COUNCIL ON NATIONAL RECORDS AND ARCHIVES:
20TH ANNUAL REPORT 2022-23■

The refresh of The National Archives’
Grants and Awards offer■

The refresh of The National Archives’
Archive Sector Leadership offer■

Threats to the sector, in light of thechallenges posed by the rising cost ofliving and the long-term impact of the
COVID-19 pandemic on organisations■

Access to archives and collections,particularly focusing on The National
Archives’ role in engaging with privatearchives.

Background
The Forum, in its capacity as a sub-committeeof the Council, provides a means throughwhich the Chief Executive of The National
Archives, in his capacity as Historical
Manuscripts Commissioner, can seek advice
on historical manuscripts in independent (i.e.
non-governmental) archives. It also facilitates
discussion of academic research issues andprogrammes managed by The National Archives.
Key focuses
The Forum’s key focuses this year have been on
the strategic priorities identified in last year’s
annual report. These were set to facilitate theForums being more targeted in its work, andto better serve the needs of the wider archival
sector. The priorities were threats to the sector;
digital technology; manorial documents; theForum’s profile in the archive sector; crosscutting issues; and academic research. Moredetail on how these items were covered can befound below in the meetings’ summary.
Membership
The Forum is chaired by the Master of theRolls, with Professor Leon Litvack as the Deputy
Chair.
Three other members of the Council, all ofwhom have expertise in academic researchand experience of private archives, and two
independent members currently serve on the
Forum. The Forum currently has one vacancy
for an independent member, for which a
recruitment process will be undertaken at the
beginning of 2023-24.
Meetings
Meetings of the Forum are attended bymembers, and by the Chief Executive and otherstaff from The National Archives.
The Forum met three times during the period
covered by this report: in June and September
2022 and in January 2023. It expects to hold atleast three further meetings during 2023-24.

Annual Report and Accounts 2022-23

June focus■

Manorial documents■

The Forum’s sector visibility■

The National Archives’ sector
leadership offer

At its June meeting, the Forum focused its workon two of its identified priorities, as well as one
additional item which had arisen in the courseof the year. The first consisted of its manorial
Documents work, including considerationof the centenary celebrations which were
held at the end of June; smaller supporting
participatory events running throughout thesummer; and the conference, which was held in
September. Members also discussed the futureof the Manorial Documents Panel beyond theconclusion of these centenary celebrations andthe requirements around manorial documents.
The second priority considered was the Forum’s
profile in the wider archive sector. Forum
members discussed ways to improve their profileso that they could better act as a conduit between
the wider sector and the Historical Manuscripts
Commissioner and Secretary of State. Finally,members discussed The National Archives’
refresh of its archive sector leadership offer.
At its September meeting, and as part of its
new ways of working, the Forum discussed
its upcoming strategic priorities for 2023. The
Forum reconsidered strategic priorities it had
not been able to cover in the previous year, as
well as new themes which had arisen and may
be relevant to its work. The Forum agreed on
six strategic priorities and identified four ofthese as core priorities:■

Cross-Cutting Issues, particularly diversity
and inclusivity across the sector and wider
cultural sector■

Academic research, including how privatearchives are utilising research to promote
themselves or to advance the archival field

Two of these priorities were carried forwardfrom the Forum’s 2022 strategic priorities;
these were Cross-Cutting Issues and Research.
Two of the priorities, relating to new offers by
The National Archives, were brought forward
because of the Forum’s remit to advise theHistorical Manuscripts Commissioner in his
work. Two were suggested by members dueto the wider landscape within which privatearchives are currently operating. The Forumthen agreed to consider at least one item at
each meeting with a secondary item if possible.
As part of the work plan, it was also agreed that
the Forum would invite external guest speakers
to meetings on a more regular basis, as
appropriate. Additionally, following discussions
at previous meetings, the Forum confirmed it
wished to host one meeting in a private archive,
drawn from a selection across the country.

September focus■

Strategic priority■

Manorial documents■

Grants and funding133

At its September meeting, members
also received an update on the manorial
documents events which had been held andconsidered the draft terms of reference forthe new Manorial and Tithe Documents Panel.
In line with their agreed priorities for 2023,
members received an introductory briefing onarchives and research grants and funding fromThe National Archives.

January focus■

Archive and research funding■

Funding case studies■

Archive insolvency team

The Forum’s January 2023 meeting focused on
the Archive and Research Grants funding at
The National Archives, as well as on threats tothe sector. Members discussed The National
Archives’ current offer and its plans for the
future, and also invited a recipient of funding
from the Alfred Gillett Trust to speak withthem and share experience of working with
The National Archives. Finally, members spokewith The National Archives officials who workwith insolvency practitioners, to seek to securearchives where businesses have folded. As
well as these items, members also completed
a refresh of the member skills audit, to note
where the current strengths and weaknesses of
the Forum lay.
Other businessIn addition, the Forum has considered fourcases dealing with the acceptance by the UK
Government of private archives in lieu of thepayment of a tax liability under the provisionsof the Inheritance Tax Act 1984.

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ADVISORY COUNCIL ON NATIONAL RECORDS AND ARCHIVES:
20TH ANNUAL REPORT 2022-23

Appendix A

Part Five – Looking Ahead
Looking ahead to 2023-24, one of the Council’s
key priorities will be to continue to seek
closer relationships and understanding withdepartments. This will ensure that wherever
possible all parties agree on the correct
justifications and applications of various FOIA
exemptions, as well as the Council being able tobetter challenge and support departments whoare still holding legacy records which requiretransfer.
An additional key focus for next year will beconsidering the response received from DCMS
on sections 23, 24, 65 and 66 of the Freedomof Information Act on 3 May 2023, outside
the period of this report. The Council will beconsidering this response as part of its workand this will be covered in next year’s report.
Finally, as noted in the introduction to thisreport, this year marked the final year of theten year transition to a 20-year rule. Whilst
great progress has been made in departments’compliance levels, many departments havenot fully completed the transition. The Council
stands prepared to provide further assistanceon this matter however it can. Additionally, theCouncil will wish to keep sight of any potential
impact that the increasing number of digitalrecords may have on departments’ work and its
own work.

This year marked the final year of
the ten year transition to a 20-year
rule. Whilst great progress has been
made in departments’ compliancelevels, many departments have notfully completed the transition. The
Council stands prepared to provide
further assistance on this matter
however it can.

The Remit of the Council and the Forum
Part One – The Council
Background
The Advisory Council on National Records andArchives was established by the Public Records
Act 1958 (PRA) and is a non-departmental publicbody. It is chaired by the Master of the Rolls,
The Right Honourable Sir Geoffrey Vos, who was
appointed with effect from 11 January 2020.

The Council is to consider and advise on
matters including:
■

■

■

■

applications from departments for theretention within those departments ofpublic records beyond the age of 20
years, when those selected for permanent
preservation are normally transferred to
The National Archives
the balance of the public interest in relation
to applications from departments forthe extended closure of historical publicrecords and other “matters relating to theapplication of the Freedom of Information
Act 2000 (‘FOI Act’) to information containedin public records that are historical records
within the meaning of Part VI of that Act”
the balance of the public interest in therelease or non-disclosure of historical
records, an application for the disclosure ofwhich has been made under the FOIA.
the preservation of public records inplaces of deposit and facilities for publicaccess to them.

Requests under FOIA in accordance with thethird bullet point are dealt with through the FOI
panel process, which is described in Appendix
D below.
In addition, the Council may be required toadvise on:

Annual Report and Accounts 2022-23■

major objectives, programmes and policychanges for The National Archives■

proposed legislation affecting The National
Archives■

the implications for records and public
services of any proposed change to thestatus of The National Archives; and/or■

any subject brought to its attention by the
Secretary of State.

The role of the Council

All of this leads to a new phase of work for theCouncil, which as ever, will adapt and respondas necessary.

The Right Honourable Sir Geoffrey Vos
The Master of the Rolls
6 June 2023

135

APPENDIX A

As its name suggests, the Council’s role isadvisory. Accordingly, the Council does not:■make the final decision as to:{whether records are transferred to
The National Archives closed (i.e. notavailable for public access); nor{when a closed record is reviewed after
transfer, whether it should remainclosedas these decisions lie with the department
whose records they are;■make the final decision on whether a record
can be retained by a department. Thisdecision is made by the Secretary of State
for Culture, Media and Sport;■

advise on departments’ retention ofrecords under the Security and Retention
Instrument 2011; nor■review departments’ decisions on theselection of their records for permanent
preservation.

This falls under the remit of the Keeper of
Public Records.

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136

APPENDIX A

Part Two – The ForumThe Council’s responsibility relating to historicalmanuscripts (private archives) is discharged
through the work of its sub-committee, theForum on Historical Manuscripts and Academic
Research. The Forum advises the Keeper of
Public Records in his capacity as Historical
Manuscripts Commissioner. The Forumconsiders and provides advice to the Secretaryof State through the Council on matters relating
to manuscripts, records and archives, otherthan public records, and particularly:■

the location, collection, care, custody,
preservation, acquisition, sale, and use in all
formats of such documents■

the compilation and dissemination of
information about them■any questions affecting such documents
as may be referred for its consideration,
including issues relating to the statutory
duties of the Master of the Rolls in respectof manorial and tithe documents, and themaking of recommendations to Arts Council
England on the allocation of archives andmanuscripts accepted for the nation in lieu
of tax; and■other issues that would formerly have comewithin the terms of reference of the Royal
Commission on Historical Manuscripts.

In addition, on behalf of the Council, the Forumis to:■■

act as a vehicle for the development ofconstructive and collaborative engagement
between The National Archives and its
academic stakeholders, sharing knowledge
and developing trust and understanding; andprovide an open, independent andauthoritative advisory voice to The National
Archives, to support its research andacademic liaison.

Annual Report and Accounts 2022-23

137

APPENDIX B

Appendix B
MembershipPart One – The Council
The Master of the Rolls chairs the Advisory
Council. The Master of the Rolls was originallyresponsible for the safe keeping of charters,
patents and records of important court
judgments. Today they are President of the
Court of Appeal (Civil Division) and Head of Civil
Justice. The current Master of the Rolls is the
Right Honourable Sir Geoffrey Vos.
The current members of the Council are:
Mr David Rossington CB, former senior civil
servant; Vice Chair and Treasurer of Stoll, acharity for veterans, Treasurer of Arts at the Old
Fire Station in Oxford; Board member of theGambling Commission; occasional independent
reviewer of public sector bodies.
Lady Moira Andrews, Director, ADS GroupLtd and Digi2al Ltd; Visiting Professor, King’s
College London; former Government Legal
Adviser, Member of the Lord Chancellor’s
Advisory Committee on Justices of the Peace forLondon
Ms Liz Copper, BBC Senior Broadcast Journalist
Dr Nigel Fletcher, Teaching Fellow in the
Department of Political Economy at King’s
College London; and Co-Founder and Research
Director at the Centre for Opposition Studies
Dr Helen Forde, historian and archivist;
formerly board member of the Museums andLibraries Association.
Dr Peter Gooderham, CMG, former
Ambassador to the UN and WTO in Geneva
Ms Kate Grimley-Evans, a solicitor specialisingin Data Protection and Freedom of Informationand Managing Director of her own company,
specialising in information law training andcompliance audit

Mr Stephen Hawker, a former senior security
and intelligence official; Member of the Security
Vetting Appeals Panel; Senior Associate,
Cityforum Limited
Mr Martin Howard CB, retired senior security
official specialising in cyber and intelligence
security policy and operations; Appointed
Companion of the Bath; Member of the Senior
Leadership Team for Universal Defence Security
Solutions
Professor Phillip Johnson, barrister; Professorof Commercial Law at Cardiff University;
published numerous books and articles on law
and legal political history
Professor Leon Litvack, Deputy Chair of
the Forum, Professor of Victorian Studies atthe Queen’s University of Belfast; specialist
on Charles Dickens; board member of theCharles Dickens Museum; board member of
National Museums Northern Ireland; freelancebroadcaster for the BBC
Sir David Natzler, A retired Clerk of the Houseof Commons
Ms Helene Pantelli, solicitor specialising incommercial law; ombudsman at the Financial
Ombudsman
Dr Jeannette Strickland, independent archiveand records consultant; formerly Head of Art,
Archives and Records Management, Unilever;Research Fellow, University of Liverpool
Mr Jonathan Scherbel-Ball, Barrister at 5RB;
and member of the Attorney General’s ‘B’ Panelof Counsel

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APPENDIX B

Mr Martin Uden, former Ambassador in
Seoul; International Partnerships Adviser atQueen Mary University of London; Trustee ofa Christian mission charity; Chairman of the
British Korean Society; President of the British
Korean War Veterans’ Society; published author

Mr John Wood, solicitor; formerly Advisory
Committee on Business Appointments (ACOBA)
Independent Member; formerly Charity
Commission for England and Wales Legal Board
Member and Board Consultant
The Secretary to the Council is
Isabel Saunders.

Council members Professor Leon Litvack (thecurrent Deputy Chair), Dr Nigel Fletcher, Dr
Helen Forde and Dr Jeannette Strickland siton the Forum, together with the following
independent members:
Ms Adele Redhead, a lecturer at the
University of Glasgow, where she leads the
MSc in Information Management andPreservation. She is a qualified archivist andhas extensive experience in archives andrecords information management in a variety
of sectors. She is a member of the Scottish
Catholic Heritage Commission

Annual Report and Accounts 2022-23

Appendix C
Metrics
Key statistics relating to applications consideredby the Council are set out below:■

195,292 or 63.8% (14,725 or 25.8%) of theserecords were transferred closed, after
departmental applications to do so had
been scrutinised by the Council.

■

3,360 or 1% (3,360 or 5.9%) of theserecords were retained in full by the relevant
department.

■

The remaining 412 (402) were transferredas ‘number not used’. (NB: This tag is used
where a gap is identified in The National
Archives’ sequential catalogue numberingsystem. This might occur if, for example,
a duplicate record is discovered. To avoid
a laborious renumbering process, therelevant record number is shown in the
catalogue as ‘unused’.)■

The number of qualified closure
applications submitted to the Council thisyear was 4,592, a decreased compared
to last year’s statistics which included
both absolute and qualified applications.
Of these, the most common exemptions
claimed concern of damage to international
relations.

■This year, the Council considered 1,314
retention applications.

Closure and Retention of Records

Part Two – The ForumThe Master of the Rolls chairs the Forum.

139

APPENDIX C

Ms Jenny Shaw, the Collections Development
Manager for the Wellcome Collection, where
she is responsible for setting the collecting
direction across formats, including archives.
She previously worked as an archivist at the
British Red Cross and BT Heritage.
The Chief Executive of The National Archives
is also a member of the Forum, on an ex
officio basis, as the Historical Manuscripts
Commissioner.

In previous years, the percentage of records
closed have been listed as a total figure.
However, at the beginning of the reporting year
April 2022 to March 2023, The National Archives
began to accession large quantities of historic
service personnel records from the Ministryof Defence. These have greatly impacted thepercentage of records closed, due to theserecords containing large quantities of personal
information. As a result, this year statistics
relating to closure are provided both inclusiveof Ministry of Defence service personnel
records and, in brackets, without these records,
in order to assist comparison against previous
years’ figures.
■

In 2022-23, 305,654 (56,891) government
records were accessioned at The National
Archives.

■

106,590 or 34.8% (38,404 or 67.5%) of theserecords were transferred open in full or
partially closed and can be viewed at The
National Archives by any member of the
public who has a reader’s ticket.

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APPENDIX DANNUAL REPORT OF THE INDEPENDENT COMPLAINTS REVIEWER 2022-23

Appendix D

Annex CThe Council’s FOI panel process

Annual Report of the Independent Complaints
Reviewer 2022-23

The Council is responsible for advising theSecretary of State on the application of the FOIA
to historical public records.

In most cases, the FOI request concerns
information closed at transfer on the grounds
that it was information:

Records retained by departments and those
closed at transfer to The National Archives
remain subject to the FOIA and individuals canmake a request under FOIA (an ‘FOI request’) to
have access to them.

■that, if released, would endanger the safetyor physical or mental health of an individual■

that, if released, would damage
international relations; orWhen The National Archives receives a FOI
request for access to closed information held by
it, it follows the procedure set out in Part VI of
FOIA. Under these provisions, before a request
can be refused on the grounds of a qualified
exemption, the Secretary of State must be
consulted. The Council will assess the public
interest test, which is necessary before such an
exemption can be applied. This test is applied
to determine, whether, in all the circumstancesof the case, the public interest in disclosure isoutweighed by the public interest in refusing
access to the information in the record.

■

relating to law enforcement.

For this purpose, panels of three Council
members are convened to consider the public
interest in the release or non-disclosure of therequested information. (The Council has noadvisory role when a request is to be refused
citing only absolute exemptions.)

Cases are carefully scrutinised and debatedby panels on the basis of a fresh assessmentby the department of the arguments for andagainst disclosure, taking account of any
change in circumstances since the access statusof the record was last considered.
If they consider it necessary, panel members
will request further detail or clarification fromthe relevant department or The National
Archives. Even where they are in agreementthat the public interest in closure outweighs
the public interest in applying the exemption,members of the panel may also raise
concerns about departmental practices anddraw attention to inconsistencies between
departments in their handling of FOI requests.

In April 2018, The National Archives appointed
ch&i associates to act as its Independent
Complaints Reviewer (ICR). We are delighted topresent our fifth annual report as ICR for The
National Archives.

things right for people. The National Archives’commitments and principles here are spelled
out in its Policy for handling comments andcomplaints. This emphasises simplicity ofaccess, clarity, timeliness and fairness.

The ICR service is free to complainants andoffers an independent review of complaints
that The National Archives has been unable toresolve itself. Our role is:Over the course of the last year the number ofcomplaints received by The National Archives
has fallen dramatically. The 60 complaints
received though (compared to 126 lastyear) is comparable to that seen before the
COVID-19 pandemic. In addition, the release ofcensus information in 2021 led to a sharp but
seemingly temporary increase in complaints
received.

■

To provide judgements as to whether
The National Archives has provided goodor reasonable service consistent with its
policies and procedures and in line with its
stated standards and practices and otherwidely accepted principles of good practice.

■

To determine whether there have been any
deficiencies in the service provided to thecustomer (whether constituting, or fallingshort of, maladministration) that call for
attention.

■

To recommend proportionate and fitting
remedies where service standards havefallen below an acceptable standard.

ch&i associates is run by Jon Wigmore and Alex
Oram, both of whom have extensive experienceof complaint handling and investigations. They
currently also act as the ICR (or equivalent) for
other bodies, including the Department forTransport and the Fundraising Commission.
Overview of complaint activity and
The National Archives’ learning fromcomplaints and customer feedback
The National Archives sets itself high service
delivery standards and has an ambitious
complaints process that aims to ensure that
all customer feedback, however defined andexpressed, improves service delivery and puts

141

The reduction in complaints over the last twelve
months has also been reflected in the feedback
received that while not a complaint, also
highlighted a concern or criticism (372, downby nearly 40% against the previous year). We
consider these number to be low, particularly
when set in the context of The National
Archives’ relatively high level of transactions- in the last year, these included 428,90736
document productions (an increase of over
60,000 against last year), over 23,000 writtenenquires and nearly 16,000 contacts via theonline chat function.
While no doubt this is welcome, the trend has
been matched by reductions in what might
be considered the more positive types ofcustomer feedback received by The National
Archives. Suggestions and Comments totaled
413 (down by 171 on the previous year) and 66
compliments were received (a reduction 23%).
We are sure that The National Archives will belooking to ensure that the levels of positive
and/or constructive feedback they collect from
customers increases over the coming year byactively encouraging it at all touchpoints.
The downturn in complaints has been most36 This figure was estimated at the time of reporting; the final figure is 474,643.

Annual Report and Accounts 2022-23

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ANNUAL REPORT OF THE INDEPENDENT COMPLAINTS REVIEWER 2022-23

starkly seen in the number of complainants
who asked us to independently review
The National Archives’ handling of theircomplaint. While these numbers haveconsistently remained remarkably low
since our appointment, over the last year
we have not been asked to review a single
qualifying complaint. Further, there havebeen no complaints that have progress to the
Ombudsman. In our view this demonstrates
how well complaints are being addressed at theearlier stages of the process.
That said, we have experienced a significant
increase in the number of people who havecontacted us prematurely, often seeking
to get a problem they are having with The
National Archives resolved. Many of those
we have spoken with have expressed theirfrustration at not being able to find contact
details for The National Archives easily online,
particularly those who wanted to make contact
via telephone. This was reported back to The
National Archives’ Quality Manager, and wenote that his telephone number is now easily
available on their website. We would add that
we have been consistently impressed by theway in which he has been on hand to deal withany queries we have passed to him and note
that, to date, none of these individuals has seen
the need to subsequently contact us again due
to remaining dissatisfied with the service they
have received.

Contact the ICR

LOCAL PLACES OF DEPOSIT AWARDED NEW BURDENS FUNDING 2022-23

143

Appendix

Details of the ICR service can be found at:https://www.nationalarchives.gov.uk/contactus/complaints-procedure/
ch&i associates ltd
64 Plumstead Road
Norwich
NR1 4JU
Telephone number: +44 (0)3301331492
Email: enquiries@chi-assoc.com

Local places of deposit awarded New Burdens
Funding 2022-23
Archifau Sir Gaerfyrddin / Carmarthenshire
Archives

Kent History and Library Centre

Archifau Ynys Mon / Anglesey Archives

Kresen Kernow (formerly Cornwall Record
Office)Archives: Wigan & Leigh

London Metropolitan Archives: City of London

Barnsley Archive and Local Studies Department

North East Wales Archives (NEWA), Ruthin(formerly Denbighshire Archives)

Bedfordshire Archives
Berkshire Record OfficeBirmingham: Archives, Heritage andPhotography Service

North Yorkshire County Record Office
Northamptonshire Archives Service
Nottinghamshire Archives

Bristol Archives

Oxfordshire History Centre

Bromley Historic Collections

Rotherham Archives and Local Studies

Buckinghamshire Archives

Sheffield City Archives

Conwy Archive Service

Staffordshire and Stoke-on-Trent Archive
Service: Staffordshire County Record Office

Cumbria Archive Centre, Carlisle
Durham County Record Office
East Riding of Yorkshire Archives and Local
Studies Service
East Sussex and Brighton and Hove Record
Office (ESBHRO)
Glamorgan Archives
Gloucestershire Archives

Suffolk Archives – Ipswich
Teesside Archives
Tyne and Wear Archives
West Glamorgan Archive Service
West Yorkshire Archive Service, Wakefield
Worcestershire Archive and Archaeology
Service

Hampshire Archives and Local Studies

Annual Report and Accounts 2022-23

Annual Report and Accounts 2022-23

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