ESTATES OFFICE RECORDS RETENTION SCHEDULE
University of Warwick Estates Office Records
Retention Schedule
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
Strategy Development
Management Policy and Procedure
1.
Property Management-Acquisition
2.
Property Management-Development
3.
Property Management – Leasing Out
4.
Property Management - Disposal
Property Maintenance - General
Property Maintenance - Asbestos Management
Building Project Files
Compliance Management
Environmental Management
Staff
Stock Room Procedures
Purchasing Administration
Contract Tendering
Service Quality Management
Estates Customer Relations Management
Records Management
Health and Safety
Please see Estates Records Management
Procedure, for background and governance
respecting this Schedule
For further advice and guidance please visit the
Estates Records Management web page for
links to the below:
Estates Records Management Procedure
Estates Records Management Guidance
Checklist for Identifying a Record
Guide to Keeping Emails as Records
Customer Relations Management
Disposal and Retention Checklist
Guide to Keeping Records in Digital form only
1
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Property & Assets
Information (Estates)
Review
Date:
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ESTATES OFFICE RECORDS RETENTION SCHEDULE
1.1 Estates Strategy Development
Key records documenting the
development and establishment of the
University of Warwick Estate Strategy
Working papers documenting the
development and establishment of the
University of Warwick Estate Strategy
2.1 Estates Management Policy
Development
Key records documenting the
development and establishment of
the University’s estate management
policies
Working papers documenting the
development and establishment of
the University’s estate management
policies
2.2 Estates Management Procedure
Development
Key records documenting the
development and establishment of the
University's estate management
procedures
Trigger
Minimum Retention Period
Date superseded
10 years – review for archive
Date superseded
1 year
Citation & Comments
JISC HE Business
Classification Scheme and
Records Retention Schedules
JISC HE Business
Classification Scheme and
Records Retention Schedules
Trigger
Minimum Retention Period
Citation & Comments
Date superseded
10 years – review for archive
JISC HE Business Classification
Scheme and Records Retention
Schedules
Date superseded
1 year
JISC HE Business Classification
Scheme and Records Retention
Schedules
Trigger
Minimum Retention Period
Citation & Comments
10 years – review for archive
JISC HE Business Classification
Scheme and Records Retention
Schedules
Date superseded
2
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Date:
28.04.2017
ESTATES OFFICE RECORDS RETENTION SCHEDULE
Working papers documenting the
development and establishment of
the University’s estate management
procedures
3.1 Property Management –
Acquisition
1 year
Trigger
Minimum Retention Period
All records relating to Property
acquisition –through purchase,
transfer, donation, lease or rental.
Disposal of the property
Deeds and certificates of titles for
properties owned by the University
Disposal of the property
Property negotiation
(unsuccessful)
Date of negotiation
closure
Lease negotiation
Date of lease expiry
Subletting Agreements
Completion
Wayleave Agreements
Completion
Memoranda of Terms
Completion
Landlords’ Consents
Completion
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Scheme and Records Retention
Schedules
Date procedures issued
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Date:
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Citation & Comments
12 years (assuming that the property
contracts are executed as deeds) - JISC HE Business Classification
review for transfer to new owner. For Scheme and Records Retention
other types of contracts, the retention Schedules
period may be 6 years
JISC HE Business Classification
Nil - transfer to new owner if sold
Scheme and Records Retention
Schedules
JISC HE Business Classification
6 years
Scheme and Records Retention
Schedules
JISC HE Business Classification
15 years
Scheme and Records Retention
Schedules
Keep in safe custody for 12 years
National Archives Information
after termination
Management Schedule-Buildings
Keep in safe custody for 12 years
National Archives Information
after termination
Management Schedule-Buildings
Keep in safe custody for 16 years
National Archives Information
after termination
Management Schedule-Buildings
Keep in safe custody on issue for 16 National Archives Information
3
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ESTATES OFFICE RECORDS RETENTION SCHEDULE
Licences
Issue
Schedules of known tenant
alterations
Issue
years after surrender, expiry or
termination of lease or memoranda
of terms
Keep in safe custody for 16 years
after surrender, expiry or termination
of lease
Keep in safe custody on issue for 16
years after surrender, expiry or
termination of lease or memoranda
of terms
Management Schedule-Buildings
National Archives Information
Management Schedule-Buildings
National Archives Information
Management Schedule-Buildings
Register of records and documents
deposited in safe custody
Superseded
Destroy 16 years after register ceases National Archives Information
to be current
Management Schedule-Buildings
Listed buildings consents and
correspondence
5 years after issue
Review 25 years after issue
3.2 Property Management - Development
Records documenting the development
of properties, buildings and land, new
and existing. Includes consultations,
building spec, planning and inspections.
Health and Safety File for a structure
Trigger
Minimum Retention Period
Disposal of property
Nil - Review for transfer to
new owner
Demolition of property
OR
disposal of interest in
property
Life of the structure-transfer
to new owner
National Archives Information
Management Schedule-Buildings
Citation & Comments
JISC HE Business Classification
Scheme and Records Retention
Schedules
As required by Regulation 14(d) of the
Construction (Design and Management
Regulations 1994 (SI 1994/3140). SI
1994/3140 does not prescribe a
retention period for these records but
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ESTATES OFFICE RECORDS RETENTION SCHEDULE
Planning Consents and applications,
Disposal of property or
including associated specifications and plans expiry of consent
Nil - transfer to new owner
if sold
2 years after date of last 16 years – review for
paper
ongoing relevance
2 years (master copy will
Date paper issued
remain on
Concerto)
Agreements with contractors and
consultants
Surveys and inspections
Tender documents: accepted
Date of project
completion
16 years – review for
ongoing relevance
Tender documents: rejected
Date of rejection/final
paper
6 years – review for
ongoing relevance
Purchase orders
End of Financial year
6 years
Regulation 12 implies that the Health
and Safety File for a structure should
be retained for the life of the structure
by the person responsible for the
property. Regulation 12(2) requires
that a Health and Safety File is
transferred to the new owner when
ownership transfers
JISC HE Business Classification
Scheme and Records Retention
Schedules
National Archives Information
Management Schedule-Buildings
National Archives Information
Management Schedule-Buildings
JISC HE Business Classification
Scheme and Records Retention
Schedules
JISC HE Business Classification
Scheme and Records Retention
Schedules
JISC HE Business Classification
Scheme and Records Retention
Schedules
5
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Property & Assets
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Review
Date:
28.04.2017
ESTATES OFFICE RECORDS RETENTION SCHEDULE
3.3 Property Management - LeasingTrigger
out
Records documenting leasing-out
arrangements for properties from/to third Termination of lease
parties (signed contracts only)
3.4 Property Management - Disposal
Trigger
Records documenting the disposal
of properties, including obtaining
valuations; undertaking surveys.
Date of property disposal
4.1 Property Maintenance-General
Records documenting the routine inspection,
maintenance and repair of properties, including
establishing and implementing planned maintenance
programmes, carrying out reactive maintenance.
Records documenting the history of major
maintenance works on properties
Records documenting the history of minor
maintenance works on properties
Minimum Retention Period
Citation & Comments
12 years assuming that leases are executed as
deeds. For other types of contracts, the
retention period may be 6 years
Limitation Act 1980 c.58 s 8
Minimum Retention Period
Citation & Comments
12 years assuming that leases are
executed
Limitation Act
as deeds. For other types of contracts,
1980 c.58 s. 8
the
retention period may be 6 years
Trigger
Minimum Retention Period
Date of inspection
5 years
Citation & Comments
JISC HE Business
Classification Scheme and
Records Retention Schedules
JISC HE Business
Classification Scheme and
Records Retention Schedules
JISC HE Business
Classification Scheme and
Records Retention Schedules
Disposal of property Nil – transfer to new owner
Completion of works 15 years
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ESTATES OFFICE RECORDS RETENTION SCHEDULE
Date of completion
of works
2 years, or six years after any
specific claims relating to an activity
governed by a permit is settled as
Limitation Act 1980 c.58 s 2
2 years after
meeting
6 years
Maintenance contracts and
related correspondence
Two years after end
of contract
Review 12 years after end of
contract
Interior designs and fit-out schemes including
records documenting the development and carrying
out of interior design and fit-out schemes
Date of works
completion
15 years
Permits to work, roof, hot works, confined spaces
etc. for both major and minor works
Minutes and agendas from meetings with
contractors
HSE does not specify a set
period of time to retain work
permits, however in its current
Guidance on permit to work
systems, point no.58 it states:
“Permits-to-work, certificates
and risk assessments should
be retained at site by the
issuing authority for at least
30 days after completion, and
then archived for a specified
period to enable an effective
monitoring and audit process.”
National Archives Information
Management ScheduleBuildings
National Archives Information
Management ScheduleBuildings
LA1980 c. 58 s 14B
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ESTATES OFFICE RECORDS RETENTION SCHEDULE
5.1 Property Maintenance - Asbestos
Management
Records documenting assessments of the
presence of asbestos (inspections)
Records documenting the monitoring of the
condition of asbestos in premises, and of
maintaining or removing it. (condition surveys)
Records documenting notifications to enforcing
authorities of proposed work with asbestos.
Records documenting the provision of
information, instruction and training for
employees who are exposed to asbestos.
Records documenting the development of plans
and information to deal with accidents,
incidents and emergencies related to the
presence of asbestos.
Records documenting the University’s response
to accidents, incidents and emergencies
involving asbestos.
Records documenting medical surveillance of
individual employees who are exposed to
asbestos.
Trigger
Minimum Retention Period Citation & Comments
Completion of work to which
the assessment relates
Life of the building plus 40
years
Date of Post Removal
Inspection
Life of the building plus 40
years
Duration of work
Life of the building plus 40
years
Superseded
70 years
Superseded
70 years
Last action on event
Life of the building plus 40
years
Date of last entry on record
Life of the building plus 40
years
JISC HE Business Classification
Scheme and Records Retention
Schedules
The Control of Asbestos Regulations
2012 came into force on 6 April
2012, updating previous asbestos
regulations to take account of the
European Commission's view that
the UK had not fully implemented
the
EU Directive on exposure to
asbestos (Directive 2009
/148/EC).
These retention periods have
been stipulated by Jason Bunn,
Asbestos Manager at The
University of Warwick
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Review
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ESTATES OFFICE RECORDS RETENTION SCHEDULE
6.1 Building Project Files
Building specification
file
New build
Trigger
Minimum Retention Period
Date of completion
Life of asset – review for archive
Date of completion
Life of asset – review for archive
Documentation around
development of newlyacquired land and
buildings and
redevelopment of
existing land and
buildings
Date of completion
Life of asset – review for archive
Health and Safety Manual
Operation and Maintenance
Manuals (O&M)
Disposal of
property/equipment
Disposal of
property/equipment
7.1 Estates Compliance Management
Records documenting the conduct and results of
inspections of properties by the enforcing
authorities, and action taken to address issues
raised
Gas safety certificates including confirmation
that the safety check has included an
Transfer to new owner/ 10 years
Transfer to new owner/ 10 years
Trigger
Completion of current inspection
End of year covered by the
certificate
Citation & Comments
JISC HE Business Classification Scheme and Records
Retention Schedules
The project 'master' file is held on Concerto. It should
include all correspondence including email. If anything
needs to be printed off from Concerto it is for short-term
reference only and the paper copy should not be retained
as part of the master file for the long term. At present the
only information to be held on paper for the long term is that
which has a wet ink signature (for example, leases,
contracts or deeds) or cannot be replicated digitally. See
separate entry Property Maintenance for the retention of
permits, leases/licences/deeds/conveyances/ meeting
minutes/maintenance records/ drawings/ structural
information/condition surveys)
JISC HE Business Classification Scheme and Records
Retention Schedules
JISC HE Business Classification Scheme and Records
Retention Schedules
Minimum Retention Period Citation & Comments
5 years- Review for ongoing
JISC HE Business Classification
liabilities or to provide
Scheme and Records Retention
evidence of continuity of
Schedules
care
Health and Safety Executive Gas
2 years
Records
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Review
Date:
28.04.2017
ESTATES OFFICE RECORDS RETENTION SCHEDULE
examination of the matters referred to in
paragraphs (a) to (d) of regulation 26(9) of the
Gas Safety (Installation and Use) Regulations
1998
Fire Risk Management – See Estates Health and Safety
Asbestos Management – See Property Maintenance - Asbestos Management
Data Protection Act (DPA) Records
documenting the handling of requests for
access to any personal information held by
Estates under the Data Protection Act 1998
Freedom of Information Act (FOIA)
Records documenting the handling of
requests for access to any information held
by Estates under the Freedom of
Information Act 2000
Creation of last record relating to
the request
6 years
Limitation Act 1980 c.58 s.5
Creation of last record relating to
6 years
the request
Limitation Act 1980 c.58 s. 5
8.1 Environmental Management
Trigger
Minimum Retention
Period
Environmental Management Policy
Date superseded
10 years
Environment Audit
Date review completed
Review for archive
Environmental Awareness Promotion
Date campaign ended
1 year
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Citation & Comments
ISO 14001
ISO14001 policy: Warwick University
Environmental Sustainability web pages
ISO 14001
K Webb
Property & Assets
Information (Estates)
Review
Date:
28.04.2017
ESTATES OFFICE RECORDS RETENTION SCHEDULE
Environmental hazard identification
and risk assessment - environmental
incidents on the University's premises or
caused by its operations.
Date assessment
completed
5 years
ISO 14001
2011 c.1824 / ODPM 2/99
Environmental Survey (ES)
Environmental incident Recording,
reporting and investigation, including
recommendations
Environmental risk identification of, or
caused by, the University’s premises or
The basis of the Environmental impact
assessment (EIA) process is EC Directive
85/337, The Assessment of the Effects of
Certain Public and Private Projects on the
Environment as amended by EC Directive
97/11/EC. The Directive is mainly
implemented in UK legislation through the
Town and Country Planning (Assessment
of Environmental Effects) Regulations. The
main record is the Environmental Survey
but there will be other types of record
created in the process. Once the EIA has
been carried out the information should be
systematically presented in the
Environmental statement. The Regulations
specify in Schedule 4 the information to be
included in the ES.
Date superseded
Permanent
Date investigation
completed
40 years
NSIR 2011 c.1824
Date audit completed
3 years
NSIR 2011 c.1824
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ESTATES OFFICE RECORDS RETENTION SCHEDULE
operations, and the conduct of a risk
assessment
Energy Management – routine
monitoring or energy use and
consumption.
Environmental Management Strategy,
to measure performance, policies,
procedures and processes in line with
ISO 14001
Waste management, including waste
audits, documentation of the collection,
classification, storage and disposal of the
University’s waste
Records documenting hazardous waste
to be disposed of.
End of current year
5 years
ISO 14001
Date superseded
10 years – review for
archive
ISO 14001
Date waste consignment
3 years
removed
SI 1996/972 Regulation 15(4)
Date waste is removed
SI 2005/894 Regulation 49(3)
9.1 Estates Staff Training and Development
Records containing summary information on
workforce training and development needs
3 years
Minimum
Retention Period
Trigger
Current year
5 years
Citation & Comments
(Also see section 29.14 Employee Contract
Management)
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Date:
28.04.2017
ESTATES OFFICE RECORDS RETENTION SCHEDULE
9.2 Estates Staff Planning
Minimum Retention
Period
Trigger
Records documenting the assessment and
analysis of staffing requirements, and the
identification and evaluation of options for
meeting these requirements
Current year
3 years then review for
archive value
Records documenting the development and
evaluation of job specifications
Date superseded
5 years
9.4 Estates Staff Induction
Records documenting the development,
overall delivery and assessment of
induction programmes for new employees
(For records documenting individual
employees’ induction programmes, see
29.14)
Records documenting the administration
of induction programmes
9.5 Estates Staff Relations Management
Records containing (anonymised) results of
workforce surveys and consultations
Trigger
Citation & Comments
Limitation Act 1980 c.58 s.5
JISC HE Business Classification
Scheme and Records Retention
Schedules
Minimum Retention Period
Citation & Comments
Current year
5 years –confidential
destruction
JISC HE Business
Classification Scheme and
Records Retention Schedules
Completion of program OR
Termination of program
1 year
TBC
Minimum Retention
Period
Trigger
5 years then review for
archive value
Completion of survey
Citation & Comments
JISC HE Business
Classification Scheme and
Records Retention
Schedules
13
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Property & Assets
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Review
Date:
28.04.2017
ESTATES OFFICE RECORDS RETENTION SCHEDULE
Records documenting grievances raised by staff
(which do not relate directly to their own
contracts of employment), the University’s
response, Notes taken and the outcome
Records documenting job-specific
statutory/regulatory training requirements for an
employee, and the training provided to meet
these requirements
Records documenting routine assessments of
an employee’s performance, and any
consequent notes taken
Last notes on case
6 years
Limitation Act 1980 c.58 s. 5
Expiry of certification OR
Date superseded
6 years
Limitation Act 1980 c.58 s. 5
Date superseded
3 years
Records documenting any oral/verbal
warning note to an employee: Other Staff
Date of warning
6 months
Written warning – including notes of
disciplinary hearings kept on file: Academic &
Related Staff
Date of warning
2 years
Written warning – including notes of disciplinary
hearings kept on file: Other Staff First Warning
Date of warning
2 years
Written warning – including notes of disciplinary
hearings kept on file: Other Staff Final Warning
Date of warning
2 years
Closure of case
6 years
In accordance with the University
Disciplinary Policy
Closure of case
6 years
TBC
Records documenting disciplinary
proceedings against an employee, where
employment continues
Records documenting grievances raised by an
employee which do not relate directly to his/her
JISC HE Business Classification
Scheme and Records Retention
Schedules
In accordance with the
University Disciplinary
Policy
In accordance with University
Statues and Conditions of
Service
In accordance with the
University Disciplinary
Policy
In accordance with the
University Disciplinary
Policy
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ESTATES OFFICE RECORDS RETENTION SCHEDULE
own contract of employment, the University’s
response, Notes taken and the outcome
Records documenting an employee’s
remuneration and rewards (e.g. bonuses,
merit awards, long service awards).
Records relating to the administration of an
employee’s contractual holiday entitlement
Records documenting an employee’s
absence due to sickness
Records documenting the authorisation and
administration of special leave, e.g.
Compassionate leave, study leave etc.
Records documenting the authorisation and
administration of statutory leave entitlements
e.g. Parental leave
Records containing an employee’s basic
personal details (e.g. Address, next of kin,
emergency contacts)
Current year
6 years
Current year
1 year
Termination of employment
40 years
Current year
1 year
Completion of entitlement
6 years
Limitation Act 1980 c.58 s. 5
Equal Pay Act 1970
The National Minimum Wage
Regulations 1999
TBC
Social Security Contributions and
Benefits Act 1992
TBC
S.I. Shared Parental leave
regulations 2014/3055
Retention must comply with the Data
Protection Act 8 Principles
While current
10.1 Estates Stock Room Procedures
Trigger
Minimum Retention
Period
Records documenting routine stocktaking
and stock checking
Current year
1 year
Citation & Comments
JISC HE Business Classification
Scheme and Records Retention
Schedules
15
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Information (Estates)
Review
Date:
28.04.2017
ESTATES OFFICE RECORDS RETENTION SCHEDULE
11.1 Estates Purchasing Administration
Purchase Orders
Trigger
Current financial year
Minimum Retention Period
6 years
Citation & Comments
Limitation Act 1980 c.58 s. 5
Goods Received/ Goods Inwards
Notes
Current financial year
1 year or until warranty has expired
HMCE 700/21
Limitation Act 1980 c.58 s. 5
Citation &
Comments
12.1 Estates Contract Tendering
Trigger
Minimum Retention Period
Records documenting the process of inviting
and evaluating pre-qualification submissions
from prospective suppliers
Award of supply contract
1 Year
Records documenting invitations to Tender
and tender evaluation criteria
Termination of supply contract
awarded
6 years
Award of supply contract
1 Year
Award of the supply contract
1 Year
S.I. 1991/2680, S.I. 1993/3228,
S.I. 1995/201
Termination of supply contract
awarded
6 years
Limitation Act 1980 c.58 s. 5,
S.I. 1991/2680, S.I. 1993/3228,
S.I. 1995/201
6 years
Limitation Act 1980 c.58 s. 5,
S.I. 1991/2680, S.I. 1993/3228,
S.I. 1995/201
Records documenting the issue of Invitations to
Tender and handling incoming tenders.
Records documenting the evaluation of
tenders, the conduct of negotiations with
tenderers and the notification of the results of
the tender evaluation process: rejected
tenders
Records documenting the evaluation of
tenders, the conduct of negotiations with
tenderers and the notification of the results of
the tender evaluation process: accepted
tenders
Contract award report (as required by the
Regulations cited).
Termination of supply contract
awarded
S.I. 1991/2680, S.I. 1993/3228,
S.I. 1995/201
Limitation Act, 1980 c.58 s. 5,
S.I. 1991/2680, S.I. 1993/3228,
S.I. 1995/201
S.I. 1991/2680, S.I. 1993/3228,
S.I. 1995/201
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Review
Date:
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ESTATES OFFICE RECORDS RETENTION SCHEDULE
Statistical reports to HM Treasury on
contracts awarded (as required by the
regulations ci
ted)
Current year
13.1 Estates Service Quality Management
Records documenting the development of procedures
for the operation, management and development of an
internal service
Records documenting the development and
establishment of service standards for an internal service
Service Level Agreement, or document outlining
standard of service/provision of services agreed by
Estates to the wider University.
Records containing reports and data on, and analyses
of, the quality of service delivered against the
established service standards or Service Level
Agreement
S.I. 1991/2680, S.I. 1993/3228,
S.I. 1995/201
3 years
Trigger
Minimum Retention Period
Date superseded
1 year
Date superseded
1 year
Current year
3 Years
Review for archive value
14.1 Estates Customer Relations Management
Trigger
Minimum Retention
Period
Records documenting the design and
conduct of customer surveys
Completion of survey
3 years
Citation & Comments
JISC HE Business
Classification Scheme and
Records Retention Schedules
JISC HE Business
Classification Scheme and
Records Retention Schedules
Citation & Comments
JISC HE Business
Classification Scheme and
Records Retention Schedules
17
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Review
Date:
28.04.2017
ESTATES OFFICE RECORDS RETENTION SCHEDULE
JISC HE Business
Classification Scheme and
Records Retention Schedules
Results of customer surveys: individual
responses
Completion of analysis of
survey responses
3 Years
Results of customer surveys: summaries and
analyses of responses
Completion of survey
3 Years
Review for archive value
Last Notes on feedback
3 years
Last Notes on complaint
6 years
Records documenting unsolicited customer
feedback on the service, the internal handling of
this feedback and the responses provided.
Records documenting customer complaints
about the service, the internal handling of these
complaints and the responses provided
15.1 Estates Records Management
Records documenting the monitoring and
control of the storage of records
Records documenting requests for access to
items in the archives and the responses provided
Records documenting the movement of
items from/to storage
Final versions of Records Retention Schedules
JISC HE Business
Classification Scheme and
Records Retention Schedules
JISC HE Business
Classification Scheme and
Records Retention Schedules
JISC HE Business
Classification Scheme and
Records Retention Schedules
Trigger
Minimum Retention Period
Current year
1 year
Last action on request
1 year
Return of items
1 year
Date superseded
6 years
Citation & Comments
Limitation Act 1980 c.58 s. 5
18
Version
No:
01
Approved
By:
Marc Smith
Approval
Date:
28.04.201
6
Owner:
K Webb
Property & Assets
Information (Estates)
Review
Date:
28.04.2017
ESTATES OFFICE RECORDS RETENTION SCHEDULE
16.1 Estates Health and Safety
Health & Safety Management Policy: working papers
involved in developing and establishing the institution's
policies on health and safety matters. Drafts
Health and Safety Inspection - Records documenting the
conduct and results of health and safety inspections of the
institution's land, buildings, facilities or operations, and
action taken to address issues raised-Concerto
Health and Safety Audit Report - Records documenting
the conduct and results of health and safety audits. The
activities involved in conducting health and safety audits of
the institution's activities and operations. These activities
include: planning audits; conducting audit investigations;
preparing and delivering audit reports; reviewing and
responding to audit reports-Concerto
Health and Safety Consultation-Consultations with
Safety Representatives by trade unions- the activities
involved in consulting the institution’s workforce, either
directly or through representatives, on the management of
health and safety matters within the institution.
Health & Safety Information, Instruction & Training
Provision for staff - Records documenting the provision of
health and safety information, instruction and training for
employees, students and others, except where specified
elsewhere in this Records Retention Schedule. The
activities involved in providing information, instruction and
Trigger
Minimum Retention
Period
Issue of procedures
1 year
JISC HE Business Classification
Scheme and Records Retention
Schedules
Date superseded
1 year
JISC HE Business Classification
Scheme and Records Retention
Schedules
Completion of Audit
5 years
JISC HE Business Classification
Scheme and Records Retention
Schedules
Termination of
Appointment
Date superseded
Citation & Comments
JISC HE Business Classification
Scheme and Records Retention
Schedules. Neither SI 1977/500
nor SI 1996 /1513 prescribe a
retention period for these records
1 year
JISC HE Business Classification
Scheme and Records Retention
Schedules. The following
regulations require information,
instruction and training to be
provided but do not prescribe
5 years
19
Version
No:
01
Approved
By:
Marc Smith
Approval
Date:
28.04.201
6
Owner:
K Webb
Property & Assets
Information (Estates)
Review
Date:
28.04.2017
ESTATES OFFICE RECORDS RETENTION SCHEDULE
training on health and safety matters to staff, students and
other who use the institution's facilities.
Risk Assessments - Records documenting the conduct,
review and revision of risk assessments made to fulfil the
institution's duties under Regulation 3 of the Management of
Health and Safety at Work Regulations 1999 (SI 1999/3242)
and except where specified elsewhere in this Records
Retention Schedule. The activities involved in identifying health
and safety hazards in the institution's premises or caused by its
operations, conducting risk assessments to establish the
likelihood and consequences of those risks and implementing
appropriate measures to eliminate the risks or to mitigate their
consequences
Personal Protective Equipment issue - Records
documenting the provision of personal protective equipment
to employees
retention periods for records
relating to this activity: SI
1989/635; SI 1989/682; SI
1992/2792; SI 1992/2793; SI
1996/341; SI 1998/2306; SI
1999/3242
Date superseded
5 years
JISC HE Business Classification
Scheme and Records Retention
Schedules. SI 1999/3242 does not
prescribe a retention period for
these records.
Date of equipment
return
1 year
Common audit requirement
Personal Protective Equipment maintenance - Records
documenting the maintenance of equipment provided to
control exposure to hazards
Date of examination/
test/repair
5 years
JISC HE Business Classification
Scheme and Records Retention
Schedules. SI 2005/1643 does not
specify a retention period for these
records.
Health & Safety Hazard Exposure Control - Hazardous
Substances-General monitoring Records documenting
Date of last entry
5 years then review
for active claims
SI 2002/2677 Regulation 10(5)(b)
20
Version
No:
01
Approved
By:
Marc Smith
Approval
Date:
28.04.201
6
Owner:
K Webb
Property & Assets
Information (Estates)
Review
Date:
28.04.2017
ESTATES OFFICE RECORDS RETENTION SCHEDULE
the conduct and results of monitoring employees' general
exposure to substances hazardous to health, to fulfil the
institution's duties under Regulation 10 of the Control of
Substances Hazardous to Health Regulations 2002 (SI
2002/2677). The activities involved in controlling the
exposure of staff, students and others to hazardous
substances in the institution's premises or in other places
affected by its operations
Hazard Exposure Control – training and information for
employees who are exposed to substances hazardous to
health, to fulfil the institution's duties under Regulation 12 of
the Control of Substances Hazardous to Health Regulations
2002 (SI 2002/2677).
Hazard Exposure Control – non-ionising Radiation
Controlling and investigating exposure, assessing the risks
to health, providing and maintaining equipment to control
exposure following ICNiRP guidelines, providing
information, instruction and training for employees who are
exposed to non-ionising radiation, monitoring levels of nonionising radiation, testing to detect leakage form articles or
equipment transmitting non-ionising radiation.
Health and Safety Hazard Exposure control –
Hazardous substances-incident management
preparedness-Records documenting the development of
plans and information to deal with accidents, incidents and
emergencies related to the presence of substances
hazardous to health, to fulfil the institution's duties under
Date superseded
JISC HE Business Classification
Scheme and Records Retention
Schedules. SI 2002/2677 does not
prescribe a retention period for
these records.
10 years
Date of inspection/test/
5 years
repair/training
EC Directives 2013/35/EC +
ICNiRP guidelines
Date superseded
JISC HE Business Classification
Scheme and Records Retention
Schedules. SI 2002/2677 does not
prescribe a retention period for
these records.
10 years
21
Version
No:
01
Approved
By:
Marc Smith
Approval
Date:
28.04.201
6
Owner:
K Webb
Property & Assets
Information (Estates)
Review
Date:
28.04.2017
ESTATES OFFICE RECORDS RETENTION SCHEDULE
Regulation 13 of the Control of Substances Hazardous to
Health Regulations 2002 (SI 2002/2677).
Health and Safety-incident management
preparedness-Fire Safety-Fire fighting: Records
documenting the provision of role-specific training for
'competent persons' to implement fire-fighting measures in
the institution's premises to fulfil the institution's duties
under Article 13 of the Regulatory Reform (Fire Safety)
Order 2005 (SI 2005/1541).
Health and Safety-incident management
preparedness-Fire Safety-equipment maintenance
Records documenting the maintenance of premises,
facilities and equipment to fulfil the institution's duties
under Article 17 of the Regulatory Reform (Fire Safety)
Order 2005 (SI 2005/1541).
Health and Safety-incident management
preparedness-Safety drills Records documenting the
conduct and review of safety drills to fulfil the
institution's duties under Article 15 of the Regulatory
Reform (Fire safety) Order 2005 (SI 2005/1541).
Health and Safety-incident management
preparedness-Fire safety training Records
documenting the provision of fire safety training to
employees to fulfil the institution's duties under Article
21 of the Regulatory Reform (Fire Safety) Order 2005
(SI 2005/1541).
SI 2005/1541 does not prescribe a
retention period for these records.
End of current year or
superseded
5 years
Retaining information about previous
training provides evidence of compliance
and effective management of health and
safety over time
SI 2005/1541 does not prescribe a
retention period for these records.
End of current year
5 years
Retaining maintenance history provides
evidence of compliance and effective
management of health and safety over
time.
SI 2005/1541 does not prescribe a
Retention period for these records.
End of current year or
superseded
5 years
Retaining information about previous drills
etc. provides evidence of compliance and
effective management of health and safety
over time.
SI 2005/1541 does not prescribe a
Retention period for these records.
End of current year or
superseded
5 years
Retaining information about previous drills
etc. provides evidence of compliance and
effective management of health and safety
over time.
22
Version
No:
01
Approved
By:
Marc Smith
Approval
Date:
28.04.201
6
Owner:
K Webb
Property & Assets
Information (Estates)
Review
Date:
28.04.2017