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    Document Transfer Guide

    What Documents Should a Managing Agent Transfer?

    A complete guide for RTM directors, Share of Freehold companies and freeholders. The financial, compliance, insurance, contractor and legal records an outgoing managing agent must hand over - and what to do if they are slow to release them.

    Financial records

    • Full general ledger and trial balance
    • Bank reconciliation as at handover date
    • Twelve months of bank statements
    • Copy invoices and supplier statements
    • VAT records where the block is VAT registered
    • Detail of any inter-account transfers

    Service charge accounts

    • Latest certified service charge accounts (section 21 LTA 1985)
    • Current year budget and apportionment schedule
    • Copies of demands issued and Section 20B notices
    • Aged debt and arrears analysis
    • Schedule of leaseholder payment plans

    Reserve fund records

    Reserve and sinking fund balances are held on statutory trust for the leaseholders. The outgoing agent should provide a current statement, the contribution schedule, interest accrued and any committed but unpaid expenditure. We reconcile each balance against the latest accounts before drawing on the fund.

    Compliance records

    • Fire Risk Assessment and remedial action tracker
    • Building Safety Case (higher-risk buildings)
    • EICR for communal electrical installations
    • Lift LOLER reports and service history
    • Asbestos register and management plan
    • Legionella risk assessment and water hygiene logs
    • Emergency lighting and fire alarm test records
    • EWS1 form where applicable

    Insurance documentation

    • Current buildings insurance policy and schedule
    • Three-year claims history
    • Lift / engineering inspection cover
    • Directors and Officers liability cover
    • Public liability cover
    • Commission disclosure (RICS Insurance Mediation requirements)

    Leaseholder records

    • Full leaseholder contact list
    • Authorised correspondence addresses
    • Sublet register and consent records
    • Vulnerable resident / PEEP register where held
    • Open complaints log
    • Outstanding access permissions and key holder list

    Contractor records

    • Schedule of all current contractors and contact details
    • Copies of long-term contracts and renewal dates
    • Cleaning, gardening, lift and door-entry agreements
    • Out-of-hours emergency contractor arrangements
    • Last twelve months of contractor invoices
    • Open work orders and warranty records

    Ongoing legal matters

    • First-tier Tribunal applications in progress
    • County Court arrears proceedings
    • Open insurance claims
    • Active redress scheme cases
    • Active Section 20 consultations and stage reached
    • Lease extension applications under way

    What directors should expect to receive

    A reputable outgoing managing agent should produce all of the above within four to six weeks of notice, free of charge as part of their exit obligation. East Valley produces a written gap analysis on every take-over and reports directly to the board on anything missing. We then escalate, using the agent's redress scheme and RICS regulatory route where necessary, until the records are complete.

    Frequently Asked Questions

    Need help getting records from your current agent?

    East Valley regularly handles difficult handovers. We chase records professionally, escalate where needed and produce a written gap analysis so directors know exactly where the building stands.