Appraisal and selection

Definitions

Appraisal

The process of distinguishing records of continuing value from those of no continuing value.

Selection

The subsequent identification of records of evidential and historical value for permanent preservation.
 

Guiding Principles

Under the Public Records Act 1958, It is the duty of “every person responsible for public records of any description…. to make arrangements for the selection of those records which ought to be permanently preserved… under the guidance of the Keeper of Public Records”. We work together: public records bodies are responsible for appraising their records for permanent preservation; The National Archives guides, co-ordinates and supervises the process on behalf of the Keeper.

In order to appraise records in an efficient and effective way you should consider the following guiding principles:

Document the rationale behind your decisions

Through the creation of a high-level appraisal methodology, signed off at board level and published on your department’s website for transparency. At a lower level, maintain information asset registers and retention schedules to help monitor information risk, as well as support the management of records according to value. Documentation allows departments to take confident and responsible decisions on the appraisal of their records.

Appraise records as early as possible

There are many reasons for this:

  • Records should only be kept as long as needed, to help maintain efficiency and ensure compliance with information legislation.
  • Appraising large volumes of records long after their creation can be difficult, compromising the ability to transfer a well ordered and comprehensive record that is accessible, authentic and reusable.
  • Selected records should be transferred to The National Archives or Place of Deposit not later than 20 years after their creation. Transferring records early, particularly if digital, is also often preferable.
  • Helping enable efficient and effective organisational changes, such as a result of Machinery of Government changes.
  • Meeting statutory responsibilities, including those under the PRA, Data Protection Act and Freedom of Information Act

Base selection on value, regardless of format or sensitivity

Public records can exist, and be of historical value, in any medium or format. Likewise, should records be sensitive, the fact that public access may not be possible for many years does not prevent their selection. Instead, value is determined by content – our Records Collection Policy sets out which types of records should be selected, broadly seeking to capture what government did, why and how, and the value of records for future historical research.

Appraise records at the highest appropriate level

Where possible make decisions on groups or categories of information, based on the context in which they were created or are being used. Understand key departmental functions, business processes and history will help identify core information assets and support decisions around retention periods. It also reduces the need to review records at a lower or individual level, which can be time-consuming.​

Engage with relevant stakeholders to best understand context and value

Seek input from key partners. Consult with other public records bodies with similar records to help ensure consistency of approach. Those involved in your organisation’s record creation or information management can help identify operational or legislative requirements for keeping records.  Departmental historians or legal experts may be able to identify significant events from your organisation’s past.  IT or Information Assurance teams can help understand the structure of digital records and apply retention periods to them.

Use The National Archives’ guidance and supervision

Consult our Records Collection Policy and underlying appraisal and selection guidance to help identify records which may be of historical value. Request our quality assurance of your approach and draft appraisal methodology. Participate in our training and use our online resources. Connect with colleagues across government via the GKIM network, to share knowledge, questions and ideas.