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PACKRAT POST:

September 15, 2006

The ISU Records Program Guide and the Retention Schedules are now available.

old news items!

Staff Separation - Records Review and Turnover Checklist


Prior to the time of an employee's departure from Idaho State University the materials developed in the course of their work should be reviewed for their content and long-term value to both the department they worked for, and for their to benefit of ISU. The exact timing of this process depends on many factors, but every effort should be made to set aside time for the coordinated turnover of the records and working papers of departing staff, regardless of position. Circumstances, such as a dismissal, can make this impossible, however, normally this should be part of the exit interview process of key return and password turnover.

This process is intended to preserve institutional and departmental memory. It is not intended to imply misconduct or to become a source of criticism of the departing employee. If supervisors are not capable of working closely with the departing employee, higher-level management should assign an individual to work with the staff person to perform this exist process.

 

Office files ordinarily fall into a few categories:

Position-specific records - the working files and reference materials needed for that particular job to be performed. This may include correspondence related to the position, as well as publications and reports created by the position. Presentations (ex: Power Point) are another record of this type. Meeting minutes for committees internal to the department and ISU-at large also constitute records. If the position is supervisory, or managerial, this may include personnel review, budget and analytical files, such as periodic performance reports, statistics, etc.

Expense related - travel, procurement, vendor and product selection.

General files - background on the department or division, correspondence copies routed to all staff.

Individual files - payroll/time sheet copies, travel authorization and reimbursement copies, letters addressed to the person concerning their own performance, performance review documents.

Potential historic materials - some copies of reports and materials that were retained in an office as reference or background may be historic (documenting the history of ISU). This is especially true for materials prior to 1995. Some material that is outdated, such as previous versions of procedures and guides to work process, are in fact permanent, and a copy of each generation should be maintained in file, or turned over to University Archives. Questions about whether an item has long term value should be addressed to the University Archivist, or the Records Manager.

Close-out of an office:

The manager of the departing staff member and the employee should meet to discuss the work-in-progress of that person. Once this work is identified, the active and inactive files needed to continue their work should be identified to the manager or the designated staff person.

The intention of an exit process is to ensure that records are not lost due to the changeover when a person leaves. It is important to consider that someone leaving may not appreciate the value of something they have created, because it was something very familiar to them, or otherwise obvious.

Other Considerations:

Records Format:

Consider all types or formats of records as the review is made - File cabinets, shelving, drawers in desks, bound materials (not necessarily book-style, can be 3-ring binders, or brad folders) should all be considered. Also examine computer-based files, diskettes, and zip disks. Photographs and audio and video tapes should also be considered.

Process:

NOTE: some email may be record material. Examples: Negotiations of prices for service by vendors, disciplinary matters, arrangements for meetings and conferences, statistics, patron requests and responses. When in doubt, contact the Records Manager at x3251.

This process is intended to preserve institutional and departmental memory. It is not intended to imply misconduct or to become a source of criticism of the departing employee. If supervisors are not capable of working closely with the departing employee, higher-level management should assign an individual to work with the staff person to perform this exist process.

Links to Termination Separation Checklists (Forms and Documents Page)