SECTION 14.20  TRANSFER OF EMPLOYEE RECORDS BETWEEN DEPARTMENTS

Last Update:  10/03

 

 

Iowa Department of Administrative Services – Human Resources Enterprise rules provide for the transfer of certain personnel records when an employee moves from one agency to another.  This transfer of records is necessary in order to bring continuity to the personnel record of an employee and to avoid loss of benefits.

 

This list of records may not be all-inclusive. if the receiving agency has a need for other material in the employee’s file or if the sending agency feels certain other documents are an important part of the employee's personnel record, those documents should be sent to the receiving agency.  Specific documents that are to be forwarded include those on the following list.  The personnel assistant in the sending department is responsible for this transfer of records.

 

  1. Originals of all Report of Personnel Action forms (M-3, P-1).  If records are on microfiche, copies may be sent.
  2. Originals of all Performance Plans and Evaluations.  If records are on microfiche, copies may be sent.
  3. A copy of the most current Employee Deduction Information form, Pay Information form and Employee Pay Data form.
  4. Copies of all special pay or appointment forms such as Special Duty, Extraordinary Duty and Project Appointments.
  5. Copies of all letters of resignation, discharge or other separation forms.
  6. Copies of Notice of Layoff or Demotion/Transfer in Lieu of Layoff.
  7. Copies of all disciplinary actions.
  8. A copy of the Application for Employment if available.
  9. Copies of all acknowledgements of receipt, e.g., State Employee Handbook, State Substance Abuse Policy, etc.

 

An appointing authority may, for reasons of operational efficiency, choose to maintain a duplicate set of records.  However, originals, or copies only when originals are not available, of personnel action forms and Performance Plans and Evaluations must be forwarded to the receiving agency along with copies of the other documents listed above.

 

Records should be sent through the mail, not given to the employee for transfer.