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					RM: Documentation: Schedules


                                             HERIOT-WATT UNIVERSITY
                                 ARCHIVE, RECORDS MANAGEMENT AND MUSEUM SERVICE
                                            Retention Schedule for Estates

The letter indicates the final disposition of each type of record:
         A = 1 copy to be transferred to the University Archive. See Retention Schedule Guidelines for further details.
         D = Destroyed.

The number following the letter code indicates the period (in years) after which records may be destroyed, and is the
minimum retention period required by best practice or legislation. It assumes a new file is opened at the start of each
academic year, and the period is always calculated from the date of the last record in the file.

This retention schedule applies to original records. Where copies of originals are kept locally, these can be destroyed
when these are no longer required.


Estates: management of the institution's real property, i.e. land and buildings or other fixed structures on land.

 Ref.     Directory                                              Sub-directory             Record series         Retention period
 27.1     Strategy                                               Development               Building &                   A
                                                                                           Estates
                                                                                           Committee
 27.2                                                            Planning                                                  A
 27.3        developing performance indicators and             Performance                                               A
               measurement mechanisms
             measuring, monitoring and analysing                                         Data analysis                  D1
               performance
             conducting formal reviews of performance and                                Reports &             A on completion
               responding to the results, including preparing                              Reviews
               and implementing action plans to address
               under-performance or other issues raised

 27.4     Policy                                                                                                           A

 27.5     Procedures                                                                                            A when superseded

          Property
 27.6     Acquiring ownership or use of properties by            Acquisition                                         Retain during
          purchase, transfer, donation, lease or rental          Transfer to new                                      ownership
                                                                 owner when property
                                                                 is disposed of
            records documenting negotiations for                                                                   D6 (1980 c.58)
              properties where the property was not
              acquired
           records documenting the acquisition of use of                                                           D6 (1980 c.58)
              properties by lease or rental
          For obtaining legal advice associated with the
          acquisition of properties, use LEGAL AFFAIRS/
          Legal Interpretation & Advice Provision.
          For drawing up legal agreements and other
          documents associated with the acquisition of
          properties, use LEGAL AFFAIRS/Contracts &
          Agreements.
          For managing litigation arising from the
          acquisition of properties (e.g. compulsory
          purchase), use LEGAL AFFAIRS/ Litigation.
          For processing financial transactions associated
          with the acquisition of properties, use FINANCE/
          Accounting/Financial.


27: Estates v3.0
Brian D.A. Kelvin, Records Manager
Last saved: 15 March 2010
RM: Documentation: Schedules


ESTATES (continued)

 Ref.     Directory                                              Sub-directory         Record series   Retention period
          Property (continued)
 27.7      changing the use of properties                      Development                             Retain during
           constructing new properties                         Transfer to new                          ownership
           undertaking conservation or restoration work        owner when property
              on existing properties                             is disposed of
           extending, altering and reconfiguring existing
              properties
           decontaminating land
           undertaking feasibility studies and
              consultations
           developing specifications
           drawing up building plans
           obtaining planning consents
           carrying out inspections of completed
           works and obtaining necessary certifications
 27.8      conducting general inspections of properties        Maintenance                           D3 on completion
           carrying out routine maintenance on properties                                                 of work
           carrying out repairs to properties                                                         (SI 1997/1840)
           preventing and exterminating pests from
              properties
           undertaking 'making good' works prior to
              disposal of properties
           documenting the history of major maintenance        Transfer to new                         Retain during
              works on properties                                owner when property                      ownership
                                                                 is disposed of
             carrying out inspections to determine the                                                  D after next
               presence of hazardous materials in buildings                                               inspection
               or on land
             removing hazardous materials from properties                                             D6 on removal
                                                                                                        (SI 2002/2675)
             the monitoring of the condition of asbestos in                                          D6 after removal or
               premises                                                                                  last inspection
          For regular health and safety inspections, including                                          (SI 2002/2675)
          routine inspections of hazardous substances (e.g.
          asbestos), use HEALTH & SAFETY/Inspection
 27.9      obtaining valuations                                Disposal                               D6 after disposal
           undertaking surveys                                                                          (1980 c.58)
27.10      conducting required internal inspections            Compliance
           facilitating inspections by enforcing                                                        D after next
               authorities                                                                                 inspection
           ensuring the proper maintenance of legally                                                  D after issue of
               required certification (e.g. fire certificates)                                           new cerificate




27: Estates v3.0
Brian D.A. Kelvin, Records Manager
Last saved: 15 March 2010
RM: Documentation: Schedules


ESTATES (continued)

 Ref.     Directory                                              Sub-directory   Record series   Retention period
          Property (continued)
27.11      conducting security inspections                     Security                           D after next
                                                                                                    inspection
             conducting routine surveillance operations                                               D3
               (e.g. guarding, patrol and CCTV surveillance)
               to prevent and detect unauthorised access to
               properties
           responding to, and investigating, security                                          D2 on last incident
               breaches or incidents
          For installation of security equipment, use
          ESTATES/ Facilities/Development or EQUIPMENT
          & CONSUMABLES/Installation, depending on the
          type of equipment.
          For disciplinary action resulting from security
          breaches by, or involving, institutional staff,
          use PERSONNEL/Workforce/Contracts.
          For disciplinary action resulting from security
          breaches by, or involving students, use STUDENT
          ADMINISTRATION/Students/Disciplinary Cases.
          For prosecutions resulting from security breaches
          or incidents, use LEGAL AFFAIRS/Litigation.
27.12     For obtaining/providing legal advice associated        Leasing-out                      D6 (1980 c.58)
          with the leasing-out of property, use LEGAL
          AFFAIRS/Legal Interpretation & Advice
          Provision.
          For legal support for the negotiation,
          establishment, maintenance and review of lease
          agreements, use LEGAL AFFAIRS/Contracts &
          Agreements.
          For litigation arising from the leasing-out of
          property, use LEGAL AFFAIRS/Litigation.
          For managing financial transactions associated
          with the leasing-out of property, use FINANCE/
          Accounting/Financial.

          Facilities
27.13     Facilities include offices, teaching rooms,            Development                       D2 after next
          laboratories, workshops, storage facilities, grounds                                     refurbishment
          and common areas.
           specifying facilities requirements
           drawing up interior design schemes
           decorating
           laying floor coverings
           installing fixtures and fittings (e.g. lighting,
               floor coverings, internal decoration, furniture
               and furnishings)
          For engaging design consultants, building
          contractors and other services, use the appropriate
          section of PROCUREMENT.
          For installing equipment and consumables, use
          EQUIPMENT & CONSUMABLES/Installation.




27: Estates v3.0
Brian D.A. Kelvin, Records Manager
Last saved: 15 March 2010
RM: Documentation: Schedules


ESTATES (continued)

 Ref.     Directory                                             Sub-directory            Record series   Retention period
          Facilities (continued)
27.14      inspecting facilities                              Maintenance                                 D after next
                                                                                                            inspection
             carrying out planned preventive maintenance                                                      D2
               works
           carrying out repairs                                                                               D2
          For maintaining equipment and consumables, use
          EQUIPMENT & CONSUMABLES/Maintenance.
27.15      undertaking security inspections and               Security                                    D after next
               surveillance operations to prevent and detect                                                inspection
               unauthorised access to facilities
           responding to security breaches or incidents                                                D2 on last incident
          For installation of security equipment, use
          ESTATES/Facilities/Development or EQUIPMENT
          & CONSUMABLES/Installation, depending on the
          type of equipment.
27.16      conducting required internal inspections           Compliance                                  D after next
           facilitating inspections by enforcing              Inspecting authorities                      inspection
               authorities                                      may require longer
                                                                retention periods,
                                                                depending on the type
                                                                of facility
27.17        plans for the relocation of facilities within    Relocation                                   D10 after
               buildings or to other buildings                                                               relocation
           records documenting the physical relocation of                                              D3 after relocation
               facilities
          For hiring removal contractors, use the appropriate
          section of PROCUREMENT


Cited legislation affecting management of Estates Records

Acts of the UK Parliament

1980 c.58                      Limitation Act 1980


Statutory Instruments of the UK Parliament

SI 1997 / 1840      The Fire Precautions (Workplace) Regulations 1997
SI 2002 / 2675      The Control of Asbestos at Work Regulations 2002




27: Estates v3.0
Brian D.A. Kelvin, Records Manager
Last saved: 15 March 2010

				
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