Appraisal methodology for records 1999-2013

Appraisal is the process of determining which records have continuing business or historical value from those which have no further value and should be disposed of appropriately.

The appraisal method adopted by NICE is based on functional analysis. This approach allows records to be selected for retention or disposal based on the functions that generated the records, rather than the content of the individual record itself.

This methodology has been developed in line with NICE’s responsibilities to comply with the Public Records Act 1958, The National Archives Collection Policy and Legal Deposit Libraries Act 2003. 

Background to NICE

NICE (National Institute for Health and Care Excellence) is a non-departmental public body of the Department of Health and Social Care in England. NICE was founded on 1 April 1999 and was classed as a public records body from this date until 1 April 2013, when NHS reforms brought about by the Health and Social Care Act 2012 came into force and re-established NICE as a non-departmental public body. 

TimelineStatus
Predecessor bodies (prior to NICE’s formation in 1999) Health Education Council (HEC), Health Development Agency (HDA), Health Education Authority (HEA).
Iterations of NICE April 1999 - April 2013 The National Institute for Clinical Excellence, The National Institute for Health and Clinical.
April 2013 NICE changes status from a special health authority to a non-departmental public body and became the National Institute for Health and Care Excellence.

Prior to April 2013, NICE was a body subject to the Public Records Act 1958 and therefore must make arrangements for selected records created prior to this time for their permanent preservation and safekeeping, under the advice and guidance of the Keeper of Public Records.  

This document sets out NICE’s high level methodology for the selection of records, in line with The National Archives’ Records Collection Policy, and acts as a statement on our approach to records selection. It applies to all records created or inherited by NICE from 1999 - 2013, of any format. 

Summary of NICE

NICE’s public task is set out in: 

  • The Health and Social Care Act 2012 

  • The National Institute for Health and Social Care Excellence (Constitution and Functions)  

  • The Health and Social Care Information Centre (Functions) Regulations 2013 

The functions we fulfil are: 

  • The provision of quality standards in relation to the provision of NHS services, public health and social care in England. 

  • The provision of advice, guidance, providing information and making recommendations about any matter concerning or connecting with the provision of NHS services, public health services and social care services in England. 

NICE balances the best care with value for money across the NHS and social care, to deliver for both individuals and society as a whole. 

Public Records Act 1958 

The National Archives Records Collections Policy sets out criteria for the public records which it seeks to collect and preserve. The most relevant to the work of NICE and its predecessors are: 

  • The structures and decision-making processes in government 

  • The state’s interaction with the lives of its citizens  

In line with NICE’s functions, records of historical interest to be considered for transfer to The National Archives relate to:  

Corporate Governance

The function by which NICE is directed and controlled in order to achieve its objectives and meet the necessary standards of accountability and probity. Example records may comprise of or relate to: 

  • minutes and reports relating to NICE Board 

  • NICE’s business plan 

Public Inquiries

Copies of records submitted as evidence by NICE to a Public Inquiry (such as Covid-19 or Thirlwall) will be sent to The National Archives by the inquiry as an evidence bundle. NICE will transfer their evidence bundle to TNA with the same redaction that the inquiry has applied. The original records held by NICE will subsequently be appraised in line with NICE’s appraisal methodology.  

Records relating to the following functions are not likely to be selected as they are unlikely to be of public interest or hold historical value: 

  • Communications.

  • Facilities Management.

  • Financial records (The British Library receives a copy of the published Annual report and accounts under legal deposit. As they are also published online, they are captured by TNA in the UK Government Web Archive.).

  • Human Resources.

  • Information Technology.

  • Legal, complaints and information rights.

  • Procurement.

Legal Deposit Libraries Act 2003 

The British Library collects publications and grey literature as outlined in the Legal Deposits Act 2003. In line with NICE’s functions, publications to be considered for deposit at British Library relate to: 

  • Published guidance and advice with an ISBN number 

  • Corporate publications with an ISBN number such as annual report and accounts 

Web Archiving  

The National Archives have been capturing NICE’s external facing website www.nice.org.uk routinely since February 2008. From May 2020 – February 2022, The National Archives captured the website once a month as part of their work to document the response to the Coronavirus (COVID-19) pandemic, however they have now reverted to the six-monthly capture schedule. 

The National Archives have also captured NICE’s YouTube channel (originating in 2012) and Twitter account from 2017 – July 2023, after which The National Archives were prevented from capturing any further Twitter accounts (now the social media platform X).