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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
File Management, LLC 
"Bringing Order Out of  Chaos"
8440 Lanewood Circle 
Leeds, AL 35094
Office:  205/699-8571   Fax: 205/699-3278 
_www.filemanagement.com_ (http://www.filemanagement.com/)   




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