For the Record.
For Good.
Our Business Plan for
2011-2015

Contents
Our role and responsibilities 2011-15

3Strategic priorities 2011-15

4

Business priorities 2013-14

7Departmental expenditure

16

Common areas of spend

17

Information strategy and transparency

18

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Our role and responsibilities 2011-15
As the official archive and publisher for the UK government, and for Englandand Wales, we are the guardians of some of our most iconic national
documents dating back over 1,000 years.
Our 21st-century role is to collect and secure the future of the record, both
digital and physical, to preserve it for generations to come, and to make it asaccessible and available as possible. We deal with millions of customers bothin person and online every year – making us one of the largest and mostsuccessful archives in the world.
The National Archives is here for the government record, to ensure its past,and future, its use and re-use, keeping it authentic, available and accessible
to all.
We have now completed two years of our four-year business plan. We knew
two years ago that because of new challenges and our responsibilities tothe wider archive sector, our business plan needed to transform the kind oforganisation we were. We have always been clear that the cut in funding– of which we will deliver 17.4% through 2013-14 – would not mean acut in service quality. While this has been a very real challenge, we remain
confident that we will be able to sustain our commitment to the record
even in tough times.
The year ahead represents the culmination of some significant projects.
The transition to the new 20-year rule change is now under way and during
2013-14 we will see a doubling of the number of records we accession
and make available to the public. Departments are already demonstrating
unprecedented transparency regarding government’s record holdings andnext year this will be firmly established as business as usual.

Our intent is to deliver on the fundamental infrastructure that a modern
national archive needs. First, digital infrastructure that can accession,preserve and manage records at huge volume, but with ease. Second,
physical infrastructure that is environmentally sustainable and works well topreserve records, and serve the public. We have already made great progress
on both of these areas, but the completion of the Digital Records project
and the replacement of the cooling towers at our Kew site will mark thepoint where The National Archives can say that it has the right infrastructure
for the future.
Working closely with the archive sector, we have developed and piloted a
new accreditation scheme for archives, and are now ready to launch it more
widely. The prospect of a robust, tested, scheme that makes the case forarchives more generally is one that we hope the sector will welcome; theircontributions have been essential.
This document sets out the continuation of our long-term business planfor 2011-15. In addition, from page seven we include our specific businesspriorities for 2013-14. This part of the document will be updated annually
to ensure that we are open and transparent in our plans, our progress, andmost importantly how we are spending public money.
The focus of all of our work for 2011-15, from collection and preservation
through to access, can be summed up very simply.
It is for the record. For good.

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Strategic priorities 2011-15
We will redefine and collect the future record,
transparently and seamlessly

We will innovate to ensure optimal physicaland digital preservation

Goals:• A revised collection strategy setting out the historical record of the
future – the records we keep
• Clear standards for record holdings and transfer for the 20-year
transition period, efficiently and sustainably• Identified personal datasets of significant research value but which
will remain closed and protected for the right period• A sustainable model to capture and present more comprehensive
updated legislation, and statutory notice publishing

Goals:• The capacity to capture the main sources of the official record
seamlessly, including websites, intranets, email and collaboration andrecords management systems• A formal approach to digital records transfer agreed withdepartments• Standard business and technical architecture to gain economies ofscale, and provide best practice for the wider sector• Accredited best practice at public and private archives for both
physical and digital collections• A more sustainable balance between preservation, carbon reduction,and space utilisation• Clear approach to managing the Kew site and offsite storage facilities• Advice and support for the wider sector on cost-effective preservationin tandem with an accreditation and skills programme

For over 200 years, we have sustained the value of the record ofgovernment, allowing those who follow to learn from those who came
before. Ensuring the creation, capture and survival of vital public records
is the ultimate guarantee of transparency for governments. Without good
information management there is no transparency; no records for public
scrutiny and use.
Our role is to define clearly what government departments need to keep inthe digital era, and to enable government to do it efficiently and effectively
even in tough times. This role reinforces us as an enabler for the record
across government. It will benefit the public record by helping to ensure
information is available and survives for scrutiny both now and in the future.
This not only helps to guarantee the survival of the public record, but helps
provide transparency which benefits the wider public service and citizen
alike.

Our collections will always combine paper and digital records – andpreservation of both is an obligation we accept willingly.
The different records bring different challenges. Preserving digital records
is a complex field, shifting as new formats and technologies emerge.
Paper records demand specific environmental conditions and preservation
techniques. We will need to balance these demands with requirements to
reduce our carbon footprint. And as the balance of accessioned government
records shifts from paper to digital, we will more clearly define and provide
resources for a digital preservation approach to our collections.

We will work with archives across the public sector to help ensure that thispotential is realised at both local and national levels.
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We will widen our funding base to generate
more support in tough times

We will be agile and confident,
trusted and efficient

Goals:• Wider access to charitable funding, in partnership with collaborators• Sustainable, profitable new revenue streams that fit with our public
responsibilities, and use our expertise• Continued free provision of archive services to the public at Kew• Value for money for government from official publishing work

Goals:• A clear set of values guiding our behaviour in all that we do• Talent and leadership developed at all levels and continued robust
performance management

The National Archives’ commercial innovation has resulted, since 2006-07,
in a doubling of revenues to almost £10m in 2009-10. We are committed
to similar successes for 2011-15. While the family history market has
grown significantly in this time and continues to grow, for the future we will
also look to provide value-added services that fit with our responsibility to
the wider government record too.
Our approach has always fully respected the wider government agenda, andour own role as regulator of public sector information, which we continue
to drive strongly, with the new Open Government Licence.

In this climate, the values we work by will be even more important to us.
In a world of improving efficiency, and fewer staff, we will need to work
together in new ways, but we are confident that we will be able to continue
to deliver the very best customer service to both government and publicalike. We will retain the trusted and objective way in which we make therecord available, but will become more agile and flexible in the way wedeliver it. And we will be even more transparent about the way we workand how we perform.
The expertise and enthusiasm of our staff are genuinely our biggest assets,
and each and every one of us takes pride in the role we play at The National
Archives. This commitment is reflected in the value and the quality of what
we do.

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We will provide a record that is more open,
inclusive and used than ever before
Goals:• Effective new communities and partnerships supporting archives thatshape, enrich and help deliver our public services• ‘Best practice’ approaches and technologies, which can be used by thewider sector to build cost effective new services• Better access to our public services; delivering complementary highquality on site, online and remote content and advice that delights theresearcher• Continued support and robust regulation of open government
licensing for public sector information

We provide public access to millions of documents every year for millions
of people worldwide, either online or in person at Kew. We also provide
access to all UK legislation via legislation.gov.uk. Our legislation publishing
services are a cornerstone of how people engage with the nation’s legislative
framework on a day-to-day basis.
But we also want to grow the breadth and coverage of the record accessible
online. We will do this by transforming the way we engage with the public,
our private and public sector partners, and volunteers to develop the record
together, for all.
This will require investment in new business models to support it,
and new ways of working for us. The experience we gain from thisinnovation will be transferable to the wider archive sector.

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Business priorities 2013-14
We will redefine and collect the future record, transparently and seamlessly
Our aimArchiving government

20-year rule response

How we collect digitalrecords

How we will achieve this2013-14 due date2011-15 milestone

1. Develop a project plan to support local archives in taking up
the UK Web Archive option

30 September 2013

Web archiving is adopted
by a significant proportionof local archives by
31 March 2015

2.  Year 2 of the 20-year programme: continue to collect andpublish data on records held by government departments,and on the rate of transfer to us

Reports to be published online
in July 2013 and January 2014

3. Consult
and survey wider archives sector to gather
evidence on the impact of the 20-year rule and agree animplementation approach

Impact assessment andoptions identified by
31 December 2013

Transition by 2015

Consultation completed by
31 March 2014
Digitisation contract awardedby 31 August 2013

4.  Commission the digitisation of a complete set of Naval
Records scanned and ready
Records cards comprising approximately 60,000 naval service for sale and LIA (Licensed
records, testing the accession process on a whole series,
Internet Associateship)
identifying and processing closed records through the FoI
licensing by 31 January 2014
system
LIA partner to begin
transcription and publicationby 31 March 2014

Online records available tousers by 31 January 20155.  Completion of the development of the Digital Records
Infrastructure (DRI) system to enable the automated transfer 28 February 2014of all born-digital and digitised records
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We will innovate to ensure optimal physical and digital preservation
Our aimAccreditation for thearchives sector

Archiving the arts

Cloud storage for digitalarchives

How we preserve digitalrecords

How we will achieve this2013-14 due date2011-15 milestone

6. L aunch archives accreditation scheme

31 July 2013

7. Invite first 20% of applications

31 March 20148.  Commence survey of the archives of arts organisations andpractitioners to identify collections worthy of preservationand online discovery, and provision of advice to owners andcustodians about preservation and digitisation of material

Survey launched by
31 July 20139.  Establish standards and requirements for cloud based
management and preservation of digital records held inplaces of deposit and other public sector archives

Deliver guidance for use
across the archives sector andby commercial developers by
30 September 2013

40% of eligible archives
to have been invited tosubmit applications by
31 March 2015
Survey and advisory work
completed by
31 March 2015

Promote adoption offramework contract topublic sector archives by
31 December 2014

10. Investigate current government procurement vehicles to
identify a framework contract by which to provide cloudstorage services

Framework launched by
31 March 201411. D
 escriptions of London Organising Committee of the
Olympic and Paralympic Games (LOCOG) archival records
from the London 2012 Olympic and Paralympic Gamesavailable to the public via Discovery

Records descriptions available
to users on Discovery by
31 March 2014

Record descriptions available
12. D escriptions of key inquiry records available to the public via
to users on Discovery by
Discovery
31 March 2014

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Our aim

How we will achieve this2013-14 due date2011-15 milestone

13. Continue to reduce carbon emissions at Kew from 2009-10
baseline levels, balancing the needs of records preservation
with environmental concerns

Ongoing, with monthly
monitoring and review

Mandatory 25% carbon
reduction by April 2015

14. Implement the Greening Government commitments andensure that sustainable development informs our policymaking

Ongoing, with regularmonitoring and review
of water consumption,
recycling/waste andprocurement carbon
footprint

Achieve mandatory
Greening Government
commitments byApril 2015
Reduce water
consumption by 20%

Works formally commissionedby 30 June 2013

A more sustainable Kew
15. R eplace cooling towers at Kew site, delivering this capitalproject in two phases to timetable and within budget

16. R
 eplace desktop PCs with thin client technology to reduce
our environmental impact and simplify our ICT estate

Project phasing agreed by
30 November 2013

Second phase completed
by 30 September 2014

First phase completed by
31 March 2014
Replace a minimum of 320
corporate desktop PCs with
60% of desktop PCs to bethin client technology byreplaced by thin client
30 September 2013, achieving technology byenergy savings of £8.40 per
31 March 2015
PC per year

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We will widen our funding base to guarantee support in tough times
Our aim

Better online capabilities

Improving our IT
infrastructure andmanagement

Building research andfunding capability andinvestment

How we will achieve this2013-14 due date

17. D evelop improved search capability for website and records
and achieve a position where we can make 50% saving on
costs of public facing search services from March 2014

31 March 20142011-15 milestone

Launch new service for
institutions by 1 July 2013
18. P rovide and promote a more effective document download and update agreements withservice for institutions including remote access for approved all existing institutional users
Launch new content/
users where appropriate; add new content and develop new on a rolling basis
product by 31 March 2015
products which will enable us to sustain our income fromdocument downloads
New business plan to beapproved and development
under way by 1 October 201319. S uccessfully complete the upgrade of our corporate IT
infrastructure to a Windows 7 environment, migrating the
majority of corporate users to a Thin Client desktop device

31 December 201320. D evelop a clear roadmap and implementation plan for the
upgrade of our IT network

31 March 201421. B
 uild and develop skills and capacity across the organisation
to deliver a greater number of higher quality bids to funding
and research councils. Secure funding to enable research andresults to support delivery across the breadth of the businesspriorities

The National Archives’ shareof successful bids awarded
during 2013-14 to exceed
grant income for 2012-13 by
31 March 2014

Upgrade completed by
31 March 2015

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We will be agile and confident, trusted and efficient
Our aimOur people

How we will achieve this2013-14 due date2011-15 milestone

22. E mbed our values and use them to guide our behaviour in all
Tracked by monthly staff pollthat we doContinue to be classed
as a high performer interms of Civil Service
engagement scores

23. M anage our headcount flexibly and effectively to meet ourorganisational priorities

Targets and plans tracked
against monthly forecastCore headcount target for
2014-15 met by year end

24. M ake financial and commercial thinking a greater part ofour culture, setting savings challenges for all and sharing
learning and success across the organisation

Contracts renegotiated at an Savings on costs ofaverage of 10% saving as they contracts of 10% againstcome up for renewal
baseline

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We will provide a record that is more open, inclusive and used than ever before
Our aim

How we will achieve this2013-14 due date

Improve archives sector
online resources to further
support the sector andimprove user experience

25. Integrated resources live within Discovery and newopportunities for hosting and presenting data communicated 31 March 2014
to sector

Best-practice digitisation

26. L et a service concession contract for digitisation of the
NHS1939 Register

Legacy systems retired by
31 March 2015

Contract let by
31 March 2014

All outstanding legislative
27. Improve access to legislation by bringing the revised versions
effects researched andof legislation on legislation.gov.uk up to date through expert
reviewed byparticipation
30 June 2013

Continue to increase
number of expert
participants and rate of
database updating throughto 2015
Outstanding effects down
to zero by 31 May 2015

Meeting the needs of usersof legislation.gov.uk
28. E nrich and refine the presentation of statutes and extend
the supporting material on legislation.gov.uk
29. Improve drafting of legislation by working with partners ingovernment and the parliaments to develop a new drafting
tool

Deliver effective solutions
for re-use of public sector
information

2011-15 milestone

30. L ead and coordinate negotiations on revised Directive anddeliver UK implementation and requirements
31. R
 einforce regulatory model as part of the PSI negotiations
and implementation, ensuring it is aligned to open data,transparency and Freedom of Information

Website improvements by
31 March 2014
Memorandum ofUnderstanding in place withpartners by
30 September 2013
Directive adopted in linewith EU and UK legislative
timetable
To legislative timetable

New drafting tool in use
by 31 December 2014
UK Regulations madein line with EU and UK
legislative timetable
Structure, governance andtools effective December
2014

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Our aim

How we will achieve this2013-14 due date2011-15 milestone

Migrate official documents to
new online solution by
31 October 2013

Deliver access to official
32. D
 evelop new publishing model drawing on existing crosspublications ensuring thatgovernment efficiency strategies, aligning official publishing
New contract arrangements
the needs of Parliament andmodels and delivering consistent and robust choices forin place by 1 October 2013users are met
users
Web and PDF solutions
in place by 1 October 2013
Improve access to the UK
Government Web Archive

33. Introduce enhanced search facilities through delivery of an
application programming interface (API)31 March 2014

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Departmental expenditureThis section sets out how The National Archives is spending taxpayers’ money as transparently as possible.
We have included a table to show The National Archives’ outturn and planned expenditure over the current Spending Review (SR)period, as agreed with HM Treasury. It is split into money spent on administration (including the cost of running The National
Archives), programmes (including the frontline), and capital (for instance, on buildings or new equipment).

Table of spending for 2011–12 to 2014–15£m

2010–11 2011–12
Baseline Outturn2012–13
Supplementary
Estimate

2013–142014–15
2
SR settlement SR settlement2

Administration budget allocation1

11.9

7.7

7.6

8.4

8.8

Programme budget allocation1

25.1

24.2

22.6

22.2

20.9

Capital budget allocation

2.1

3.8

4.5

1.7

1.2

Total departmental
expenditure allocation

39.1

35.7

34.7

32.3

30.9

1. Excludes depreciation
2. Includes subsequent adjustments as per the 2011-12 and 2012-13 Autumn statements, the 2013 Budget statement and the transfer of MLA activities to The National Archives

2014–15

2013–142012–13

2011–122010–1139.1 35.7
34.7 32.3
30.9

Total departmental
expenditure allocation
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Common areas of spend
The indicators below will help the public judge whether The National Archives
is being run efficiently, and how it can be compared to other government
departments. We will publish this information on our website.

Cost of operating The National Archives• over time against projected cost as outlined in the table of spending• for 2011–12 to 2014–15 (see page 16)• how many people we are employing compared to Comprehensive
Spending Review headcount targets

Cost of corporate services: Information and Communications
Technology (ICT)• cost in £, and as a percentage of total organisational running costs, ofthe ICT function»» run and maintain resource, which includes depreciation costs»» run and maintain capital»» total project costs

Cost of corporate services: Procurement• cost of procurement function

Cost of corporate services: Finance• cost in £, and as a percentage of total organisational running costs, ofthe Finance function• number of Finance staff

Third party spend• property cost per square metre and per employee• total third party spend

Cost of corporate services: Human Resources (HR)• cost in £, and as a percentage of total organisational running costs, ofthe HR function• number of HR staff

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Information strategy andtransparency

ICT
contracts
Energyconsumption
data

COINS
We want to ensure that The National Archives can be held
accountable as it moves forward in delivering its strategic priorities.
We publish the following information on our website as part of thegovernment’s transparency agenda:• Historic Combined Online Information System (COINS)
spending data1• ICT Contracts (via Contracts Finder –contractsfinder.businesslink.gov.uk)• tender documents (via Contracts Finder)• items of spend over £10K
• contracts (via Contracts Finder)• organisational structures• corporate Freedom of Information requests• salaries over £58,200• Senior Civil Service grades’ expenses and remuneration• energy consumption data

Tenderdocuments
Senior Civil
Service grades’
expenses andremuneration

The National
Archives
and Transparency
Contracts

Salaries over
£58,200

We will additionally publish details of the input and impact
indicators outlined below and additional statistical information
used by The National Archives’ senior management.

Corporate Freedomof Information
requests

Organisational
structures

Spending over
£10K

We will continue to explore ways to make this information eveneasier to access and understand.

1. With effect from 2012-13, COINS has been replaced by OSCAR (Online System for Central Accounting and Reporting).

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Input indicators
The indicators set out in this section are just a subset of the data gathered by The National Archives which will be made transparently
available as outlined in the Information Strategy. The National Archives will adopt the following input indicators:

Input indicator

When will publication start?

How often will it
be published?

How will this be broken down?

Original documents delivered to on siteusers

Already started

Monthly

Total number delivered

Electronic records delivered to online
users

Already started

Monthly

Total number delivered

Staff diversity

Already started

Monthly

Percentage of those self-declaring
ethnicity and disability status; womenand top management women based on
full-time equivalent headcountStaff engagement

Already started

Annually

Results from the Civil Service Staff
Engagement Survey

Time taken to deliver original records toon site users

Already started

Quarterly

An average delivery time for documents
delivered on a year-to-date basis

Time taken to respond to Freedomof Information, Data Protection andEnvironmental Information Regulation
requests

Already started

Quarterly

An average based on numbers responded
to within statutory targets on a year-todate basis

Spend compared with prior-year spend

Already started (this information is
published in The National Archives’
Annual Report and Resource Accounts)

Quarterly

Financial results compared to previous
year

Staff sick absence

Already started

Annually

The average number of days lost
through sickness per full-time equivalent
member of staff

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Impact indicators
Our impact indicators are designed to help the public to judge whether our policies are having the effect they want.
The National Archives will adopt the following impact indicators:

Input indicator

When will publication start?

How often will it bepublished?

How will this be broken down?

Web Continuity

Already started

MonthlyMonthly redirection traffic statistics frombroken links in UK Government Web Archive;
year-to-date redirects

Sustainable development

Already started (energy
consumption statistics publishedon the transparency pages of The
National Archives’ website)

Quarterly(achievement of individualcomponents of indicator may
be published more frequently
when data is available)

Carbon reduction performance; sustainable
development; Projects Register (SDPR) status;
procurement; travel; waste and water

Organisational running costs

Already started (COINS spending
data is published on thetransparency pages of The National
Archives’ website)

Quarterly

Actuals to date plus year-end forecast

Customer satisfaction:
on site users

Already started

Annually (as a minimum)

Percentage satisfied

Customer satisfaction:
online users

Already started

Annually (as a minimum)

Percentage satisfied

Customer satisfaction:
legislation.gov.uk users

Already started

Annually (as a minimum)

Percentage satisfied

Annually

Assessments of departmental progress intheir ability to meet required standards anddemonstrate best practice in the managementof their records, evidenced and supported
by data

Records and information
management services used
across government

Annually from 2011–12

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The National Archives
Kew, Richmond, Surrey TW9 4DUnationalarchives.gov.uk
FTR2013/01
First published April 2011
Updated March 2013
© Crown copyright 2013
You may re-use this document/publication (not including logos) free of charge in any format or medium, under the termsof the Open Government Licence. To view this licence go to nationalarchives.gov.uk/doc/open-government-licence/opengovernment-licence.htm; or write to the Information Policy Team, The National Archives, Kew, Richmond, Surrey, TW9 4DU;
or email psi@nationalarchives.gsi.gov.uk
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