Sadly, so many times I have seen the Manager or Supervisor really put no
value on the employee's files or not want to take any time to go thru them in an
uncomfortable situation.. Net result is they end up being boxed up with
something like "Susies or Jim's Desk Files" or even worse "Misc" and sent off to
storage. And especially where there is no Records Management Dept. watchdog.
That is how it stays for ages and ages.
And then a Request for discovery occurs and Misc. has to be looked into. Bad.
Pilar said "The most effective approach I've seen is where the employee
and/or their manager must complete a checklist prior to their
departure......"
Pilar was right on with his posting and the recommendation on the checklist.
There is no easy to manage the transfer of records from a departing or
terminated employees. Usually the time period from the notice of resignation or
termination to the time employee actually vacates the premises if fairly short
(consider the unfortunate layoffs that occur from time to time - where it is
a matter of hours not even days when everything needs to be done). At one of
my clients we have seen a similar exit checklist model being implemented and
the designated manager has to ensure that all records whether they be in
paper or electronic need to be migrated over - either into the corporate
repository or into a holding area where the records management team can assist with
classifying/determining what is a record or not and than taking appropriate
actions to secure the record.
The other thing to keep in mind here is that employee may have been issued
other electronic devices including wireless, pagers that need to be secured as
well. Part of the record management exercise would be to cleanse these
devices properly prior to re-issue.
Also important is to ensure that the office/cube that the departing employee
was occupying, be looked at to validate that printouts etc are convenience
copies and not some important signed contract that happens to be the only
existing original record within the organization.
While it is difficult to enforce penalties on the managers in case of any
violations, it might be worthwhile for record managers and HR to provide
sufficiently detailed checklists coupled with targeted training to ensure that such
violations are minimized.
Thanks
Ganesh Vednere
Manager, Financial Services Consulting
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Capgemini, New York
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Trudy M. Phillips
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