Managing Grant and Research Records

1. Managing Grant and Research Records Kira B. Homo Electronic Records Archivist Special Collections and University Archives Knight Library

2. Why care about records management? Efficiency • Getting the right information to the right people at the right time. Risk - It’s the law • Our records policies are in statute or state rule • Oregon Public Records Law (ORS 192, 357) - http://www.leg.state.or.us/ors/ • Records retention schedule is an Oregon Administrative Rule (166-475) - http://libweb.uoregon.edu/records/schedule/ These are the university’s records, not your stuff to take care of. Responsible stewardship includes timely destruction.

3. Records Policies • Records Retention – Addresses risk • Periods are mandatory with minimum-maximum requirements • Example: Employee search of retained records is 3 years = keep for 3 years and destroy at that 3 year mark. • Timely destruction saves resources • Reduces time locating files • Frees up office and storage space • Reduces legal and financial risk • Records Retention schedule - http://libweb.uoregon.edu/records/schedule/

4. Files Management How to get rid of your PILING system and get a FILING system that works • Elements of an effective filing system: • Simple and easy to use • Incorporates retention periods into groupings • Works for both paper and electronic files • Filing system types: • Alphabetical, chronological, geographic, alphanumeric hybrid • Developing a file plan that’s consistent for paper and digital files will help save time finding and destroying files

5. Record Copy • “Official” record of grant activity • SPS holds record copies in most cases • Record copy holder is responsible for: • Maintaining non-permanent records according to schedule • Confidential destruction of records according to their retention periods • Transfer of permanent records to University Archives

6. Other Copies • “Unofficial” record of grant activity • Various people may have “Other” copies: • PI • DGA • Department/center/institute support staff • Copy holder is responsible for: • Transfer of the record copy to SPS • Confidential destruction of other copies according to their retention periods

7. How long do I keep records? • Different records have different retention periods • Most grant records have retention periods of three or five years • Some records have retention periods as short as 1 year or as long as six years • Grant and research records’ retention periods are spelled out in OAR 166-475-0060

8. When does the clock start? • Retention clock starts ticking: • Date of award • Activity start/completion date • Grant end date • Date final financial report is submitted • Human/animal subjects protocol approval/expiration date • Record creation date

9. Take home message • Good records management saves time, money and reduces risk. • Records management can make your work environment less stressful and overwhelming.

10. OUS Records Retention Schedule: • http://libweb.uoregon.edu/records/schedule/ • http://arcweb.sos.state.or.us/pages/rules/oars_100/oar_166/166_475.html

11. Questions? • Kira B. Homo • 208 Knight Library • khomo@uoregon.edu • 541-346-2487