Do not follow the records retention schedule to destroy records that are currently part of–or you are aware that they are going to be part of–any legal action or proceeding, litigation, audit, investigation, or review. For more information, see the Subpoenas for University Records Policy.
Research Records
Schedule Number | Record Series |
---|---|
310 | Funded Grant Proposals |
320 | Grant and Contracts Accounting Records |
330 | Unfunded Grant Proposal Records |
335 | Institutional Review Board Records |
340 | Internally Funded Grants and Prizes |
350 | Survey Studies |
Warning
Funded Grant Proposals
These records document funded grant proposals. These records may include but are not limited to an Internal Sponsored Coordination Form, Sponsored Research Project Coordination Form, or Grant/Contract Application Processing Form; a grant proposal narrative, budget, application form, and letters of support; notice of award from funding entity; Tufts Internal Notice of Award Form; Agreements/Contracts; F&A Tree Information Form; no-Cost Extension Forms; progress and final reports; Close Notices; and related correspondence (see Notes).
Copy Type | Record Holder | Retention Period | Disposition |
---|---|---|---|
Official Copy | Pre-Award Research Administration, Office of the Vice Provost for Research | Paper: Submission of final report plus 3 years, with exceptions (see Notes) Electronic: Permanent |
Paper: Confidential Destruction Electronic: Retain in RAS |
Unofficial Copy | Departments and Offices | N/A |
N/A |
Notes
A retention period longer than 3 years may be required by award terms and conditions or federal regulations, or may otherwise be required by law or legal process. Email is retained for 30 days after employee departure or termination unless manually exported from Outlook
Grant and Contracts Accounting Records
This series provides a record of the establishment and administration of sponsored grant and contract restricted funds, documents to support compliance with fiscal reporting requirements, and includes billing information for accounts receivable from sponsoring agencies and corporate donors. Grants may be federal, state, corporate, or private. This series includes but is not limited to: invoices to sponsors, cash receipts, project budget change and adjustment forms, financial reports to sponsors, journal entry supporting documentation for Sponsored entries, quarterly effort reports and related documentation and correspondence. Sponsored Programs Accounting may also have use copies of grant authorizations, contracts and agreements, sub-contracts and assignment of refunds and rebates documents.
Copy Type | Record Holder | Retention Period | Disposition |
---|---|---|---|
Official Copy | Post-Award Research Administration, Office of the Vice Provost for Research | Retain for life of the grant, plus 7 years, then confidential destruction |
|
Unofficial Copy | Departments and Offices | Retain until no longer needed after the end date of the award/segment |
Notes
Official Copy of Grant and Contracts Accounting records
The Finance Division manages a wide range of grants and contracts accounting records. The retention and disposition of grants and contracts accounting records managed by the Finance Division are detailed in the Finance Division Records Policy.
Unfunded Grant Proposal Records
These records document unfunded grant proposals. These records may include but are not limited to an Internal Sponsored Coordination Form, Sponsored Research Project Coordination Form, or Grant/Contract Application Processing Form; a grant proposal narrative, budget, application form, and letters of support; notice of application rejection; and related correspondence (see Notes).
Copy Type | Record Holder | Retention Period | Disposition |
---|---|---|---|
Official Copy | Pre-Award Research Administration, Office of the Vice Provost for Research | Electronic: Permanent |
Electronic: Retain in RAS |
Unofficial Copy | Departments and Offices | N/A |
N/A |
Notes
Email is retained for 30 days after employee departure or termination unless manually exported from Outlook
Institutional Review Board Records
This series documents the Institutional Review Boards’ review and approval of human subject research. Records include but are not limited to: research proposals submitted to the IRB, documentation of IRB reviews, IRB approval letters, and related correspondence with Principal Investigators and other researchers.
Copy Type | Record Holder | Retention Period | Disposition |
---|---|---|---|
Official Copy | Health Sciences IRB or Social, Behavioral and Educational Research IRB | Close of study plus 3 years |
|
Unofficial Copy | N/A | N/A |
N/A |
Notes
Beginning 2020-01-02, IRB files are managed electronically in eIRB
Internally Funded Grants and Prizes
These records document internal bodies, often committees, within Tufts that review and select proposals and nominations for internal grants and awards. These records may include applicant case file, agendas, minutes, reports, notes, working papers, funding summaries, award letters, applications, final research reports, and related documents and correspondence.
Copy Type | Record Holder | Retention Period | Disposition |
---|---|---|---|
Official Copy | School Dean's Office | Determined by School |
Determined by School |
Official Copy | Departments and Offices | Determined by School |
Determined by School |
Unofficial Copy | N/A | N/A |
N/A |
Notes
None
Survey Studies
Institutional Research produces these survey studies on behalf of various departments and units at Tufts University. These are either one-time studies or annual or semi-annual recurring studies such as the Senior Survey. Records concerning a study include correspondence, survey instruments, the set of survey questions, the raw responses from individuals, the compiled survey data, and the report(s) that present the findings of the survey.
Copy Type | Record Holder | Retention Period | Disposition |
---|---|---|---|
Official Copy | Office of Institutional Research & Evaluation | Permanent |
Transfer to Tufts Archival Research Center |
Unofficial Copy | Departments and Offices that receive survey study reports | Permanent |
Transfer to Tufts Archival Research Center |
Notes
The unofficial copy of survey studies only refers to survey study reports and does not include the other components that comprise the Survey Studies held by the Office of Institutional Research & Evaluation.