Running a Year-End Records Handover for an Executive Office

Set the handover scope and the retention rule

List the record types the executive office owns, including board papers, travel files, correspondence, and personnel notes. The handover should cover each type, not only the shared drive. Record the owner and the location. A partial list produces a partial handover.

Check the retention schedule before moving or deleting anything. A record that is past its retention date may still be under a legal hold. Record the rule and the hold status. The handover should not destroy evidence.

Name the incoming owner and the date the access changes. A handover without a named owner becomes an orphaned folder. Record the name and the date. The transfer should be planned before the year ends.

Agree the handover format, such as an index, a folder map, and a short brief. The format should let the next person find a record without asking. Record the standard. A box of files without an index is not a handover.

Separate the active, archived, and restricted files

Keep active files in the working area and move only the records that are no longer needed for current work. A premature archive can slow the office down. Record the criteria and the date. The active set should be small enough to manage.

Archive closed matters in a structure that matches the retention schedule. A folder named by person is hard to audit, while a folder named by year and matter is traceable. Record the structure. The archive should survive a change of staff.

Store restricted records in the approved system with the correct access list. A personnel note in a shared drive is a disclosure risk regardless of its label. Record the system and the list. The handover should not broaden access.

Remove duplicates and drafts that have no retention value, but keep the approved final version. A folder full of drafts makes the final record hard to find. Record the deletion and the approval. The clean-up should be documented.

Verify access and completeness

Test access with the incoming owner's own account before the handover is declared complete. A folder that opens for the outgoing assistant may fail for the successor. Record the test and the result. Access should be proven, not assumed.

Check that the index lists every restricted folder and the person who approved access. An index that omits the sensitive material is incomplete. Record the folder and the approver. The next owner should know what requires special handling.

Sample a set of records and confirm they open, are readable, and match the index. A file name is not evidence that the content survived a migration. Record the sample and the result. The check should include at least one restricted item.

Confirm that the outgoing owner's access is removed on the agreed date. A handover that leaves old access open defeats the transfer. Record the removal and the confirmation. The access change is part of the record.

Close the handover with a signed record

Write a short handover note with the scope, the exceptions, the access changes, and the open matters. The note should be usable by someone who was not in the office. Record the date and the owners. A verbal handover disappears with the conversation.

Ask the incoming owner to confirm receipt and to name the first record they could not find. A confirmation without a test is only an acknowledgment. Record the answer. The gap should be closed before sign-off.

File the signed handover record with the retention schedule and the access list. The record should show who transferred what and when. Record the location and the retention date. The handover is itself a record.

Review the handover after thirty days for the gaps that appeared in use. A record that looked complete at transfer may be hard to use later. Record the finding and the fix. The next year-end should start from that lesson.

Related resources

• Measuring Records Handover Completeness at Executive Year-End
• Setting Up a New Executive's First Ninety Days of Calendar and Files
• Auditing Sensitive-Hold Disclosure Practices in Executive Calendars

Frequently asked questions