Estate Management

Records Retention Schedule for files relating to estate management.

Estate management is made up of the following headings:

Ref	Record group	Examples	Trigger	Retention	Citation
4.1.1	Acquisition of property by purchase, and disposal (executed as deeds).	Land Registry records; Valuations; Surveys.	Disposal of property.	12; REVIEW	Limitation Act 1980 s.8
4.1.2	Evidence of title.	Title deeds.	Disposal of property.	Transfer to new owner.	JISC
4.1.3	Acquisition of property by lease.	Lease.	End of lease.	15	Limitation Act 1980 s.14B
4.1.4	Negotiations for properties not acquired.		End of negotiations.	6	Limitation Act 1980, s.2
4.1.5	Leasing-out to third parties.	Subletting or wayleave agreements.	End of lease.	6	Limitation Act 1980, s.2
4.1.6	Leasing-out to third parties.	Subletting or wayleave agreements executed as deeds.	End of lease.	12	Limitation Act 1980, s.8
4.1.7	Property access controls to secure areas.	Key registers; Signing-in and absence books; Security logs.	Creation	2	JISC
4.1.8	Security passes issued to visitors.	Security passes; Swipe cards; Parking permit records.	Expiry	1	JISC
4.1.9	Security surveillance of property.	CCTV images.	Creation	18 days	UCL CCTV 13.3
4.1.10	Security incidents, and action taken.		Last action on incident.	1	JISC
4.1.11	Enforcement inspections.	Fire certificates.	When superseded.	0	UCL
4.1.12	Conduct and outcomes of space audits.	Capacity survey reports; Space surveys and audits.	Completion of next survey.	5	JISC

4.2 Property maintenance

Ref	Record group	Examples	Trigger	Retention	Citation	Notes
4.2.1	Major works.	Project files; Contract for building works; Contractor review reports.	End of works.	15; REVIEW	Limitation Act 1980, s.14B(1)
4.2.2	Minor works.		End of works.	6	UCL
4.2.3	Routine inspections of property.	Records of routine inspections of property (e.g. risk assessments, written examination schemes and testing of items and systems including lifts, fabric, pressure systems, fire systems, alarms, water hygiene, electrical systems).	Date of inspection OR Superseded.	5 years (date of inspection) OR 1 year (superseded).	UCL
4.2.4	Health and safety and operational and maintenance files.		Disposal of property.	Transfer to new owner.	SI 2015/51 regs 4(7), 12.
4.2.5	Planning and building control.	Planning and building regulations applications and consents granted.	Disposal of property (Transfer to new owner); OR expiry of consent.	Transfer to new owner; OR 0	JISC
4.2.6	Monitoring of the condition of asbestos in premises, and of maintaining or removing it.		Removal of asbestos OR Subsequent inspection.	10	SI 2012/632 reg 13(3)
4.2.7	Assessments made to determine the presence (or likely presence) of asbestos in premises.		Review of assessment.	10	JISC	Control of Asbestos Regulations (SI 2012/632) does not prescribe a retention period for these records.

4.3 Environmental management

Ref	Record group	Examples	Trigger	Retention	Citation	Notes
4.3.1	Environmental Audit.	Conduct and results of environmental audits, and action taken to address issues raised.	Completion of audit.	5	JISC	Retaining assessments provides evidence of effective management of risks associated with works carried out.
4.3.2	Environmental Hazard Identification & Risk Assessment.	Records of identified environmental hazards to the institution, or created by its operations, and the conduct and results of risk assessments.	Elimination of risk OR Updating of risk assessment.	5	JISC
4.3.3	ISO Management Standard Certification.	Attainment and maintenance of the institution's accreditation under established environmental management schemes.	Termination of accreditation.	1	ISO 50001, ISO 14001.
4.3.4	Water.	Trade effluent consent.	While scheduled activities are current.	0	UCL	Thames water database for consents that have expired.
4.3.5	Energy Management: routine monitoring of the institution's use and consumption of energy.	Reviews of energy use (Meter readings).	Current year.	5	UCL
4.3.6	Energy Management: conduct and results of formal reviews of the institution's use and consumption of energy, and action taken to address issues raised.		Completion of review + 5 years.	5	UCL
4.3.7	Energy Management: Carbon Reduction Commitment (CRC).	Records associated with the CRC Energy Efficiency Scheme: position in performance table for first year of participation; first footprint and annual reports; CRC position in performance table for first year of participation; first footprint and annual reports (until 2025).	As long as membership is held.	0	SI 2010/768 arts 57(2), 57(3).	CRC will end in 2025.
4.3.8	Waste Management: Waste Transfer Notes (non-hazardous waste).	Confidential waste.	Removal of waste.	2	SI 2011/988 reg 35(6)
4.3.9	Waste Management: waste Consignment notes (hazardous waste).		Removal of waste.	3	SI 2005/894 Regulation 49(3).	The Hazardous Waste (England and Wales) Regulations (SI 2005/894) Regulation 49(1) specifies the content of these records.

4.4 Equipment

Ref	Record group	Examples	Trigger	Retention	Citation	Notes
4.4.1	Selection of major items.	Development of specifications for, and the selection of major Items of equipment/consumables.	Life of item.	6	Limitation Act 1980, s 5
4.4.2	Installation/Commissioning of major items.	Records of the installation of equipment.	Decommissioning/ removal.	6	Limitation Act 1980, s 5
4.4.3	Selection of items which are safety critical or associated with hazardous operations.	Development of specifications for, and the selection of, equipment/consumables which are safety critical or associated with hazardous operations.	Life of item.	40	JISC	Retaining these records for a long period is in line with requirements/recommendations for retention of Heath & Safety records.
4.4.4	Testing & Maintenance of items which are safety critical or are associated with hazardous operations.	Records of the inspection, testing and maintenance of equipment.	Decommissioning/ disposal.	15	Limitation Act 1980, s. 14.	Retaining a maintenance history provides evidence of compliance and effective management of health and safety over time.
4.4.5	Installation/Commissioning of lifting equipment.	Reports of pre-commissioning examinations required by Regulation 9(1) and 9(2) of the Lifting Operations and Lifting Equipment Regulations.	Decommissioning	N/A	SI 1998/2307 regs; 11(2)(a)(i), 11(2)(a)(iii)
4.4.6	Installation/Commissioning of accessories for lifting.	Reports of pre-commissioning examinations required Regulation 9(1) of the Lifting Operations and Lifting Equipment Regulations.	Date of report.	2	SI 1998/2307 regs 11(2)(a)(ii)
4.4.7	Inspection of lifting equipment.	Reports of inspection and 'thorough examination' of lifting equipment required by Regulation 9 of the Lifting Operations and Lifting Equipment Regulations.	Date of subsequent report.	2	SI 1998/2307 reg 11(2)(a)(iv)
4.4.8	Maintenance logs for equipment.		Life of equipment.	6	SI 1998/2306 reg 5(2); Limitation Act 1980 s.5
4.4.9	Inspections of equipment.	Required by Regulation 6 of the Provision and Use of Work Equipment Regulations.	Completion of subsequent inspection.	0	SI 1998/2306 reg 6(3)
4.4.10	Ionising Radiations - calibration, testing and inspection of monitoring equipment.		When equipment is calibrated.	2	SI 2017/1075 reg 20(5)
4.4.11	Ionising Radiations - Maintenance and examination of engineering controls etc. and personal protective equipment.		Date of maintenance/testing.	2	SI 2017/1075 reg 11
4.4.12	Air conditioning system inspection reports (Fluorinated Green House gases).		When superseded.	Expiry.	SI 2012/3118 reg 20(1)	Find an energy certificate.
4.4.13	Cleaning of equipment/consumables prior to disposal: items used in connection with operations involving substances hazardous to health.	Record of the cleaning/sanitisation.	Disposal of item.	15	Limitation Act 1980, s.14
4.4.14	Cleaning of equipment/consumables prior to disposal: other items.	Record of the cleaning/sanitisation.	Disposal of item.	6	Limitation Act 1980, s.5

List of citations

Acts of Parliament

Limitation Act 1980.

Statutory Instruments and EU Regulations

1998/2306: The Provision and Use of Work Equipment Regulations.
1998/2307: The Lifting Operations and Lifting Equipment Regulations.
2005/894: Hazardous Waste (England and Wales) Regulations.
2010/768: CRC Energy Efficiency Scheme Order.
2011/988: Waste (England and Wales) Regulations.
2012/3118: Energy Performance of Buildings (England and Wales) Regulations.
2012/632: Control of Asbestos Regulations.
2015/51: Construction (Design and Management) Regulations.
2017/1075: Ionising Radiations Regulations.

UK and EU statutory guidance

ISO 14001: ISO 14001 Environmental Management.
ISO 50001: ISO 50001 Energy management.
JISC: Model records retention schedule 2019.

UCL

CCTV: UCL CCTV policy 13.3.