Research Records

Warning

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.

Funded Grant Proposals

Schedule Number
310

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).

Funded Grant Proposals info
Record HolderRetention PeriodDisposition
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

References
University Records Policy; 2 CFR § 200.33
Approved
Office of Research Administration, Office of the Vice Provost for Research; University Counsel; and Digital Collections and Archives
Effective Date
Updated

Grant and Contracts Accounting Records

Schedule Number
320

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.

Grant and Contracts Accounting Records info
Record HolderRetention PeriodDisposition
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

Confidential destruction

Unofficial Copy Departments and Offices

Retain until no longer needed after the end date of the award/segment

Confidential destruction

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.

References
None
Approved
Sponsored Programs Accounting, Office of the Vice Provost for Research, University Counsel, and Digital Collections and Archives
Effective Date
Updated

Unfunded Grant Proposal Records

Schedule Number
330

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).

Unfunded Grant Proposal Records info
Record HolderRetention PeriodDisposition
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

References
None
Approved
Office of Research Administration, Office of the Vice Provost for Research; University Counsel; and Digital Collections and Archives
Effective Date
Updated

Institutional Review Board Records

Schedule Number
335

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.

Institutional Review Board Records info
Record HolderRetention PeriodDisposition
Official Copy Health Sciences IRB or Social, Behavioral and Educational Research IRB

Close of study plus 3 years

Confidential destruction

Unofficial Copy N/A

N/A

N/A

Notes

Beginning 2020-01-02, IRB files are managed electronically in eIRB

References
45 CFR § 46.115(b);21 CFR § 56.115(b); MGL c. 260 § 2A
Approved
Office of the Vice Provost for Research, University Counsel, and Tufts Archival Research Center
Effective Date

Internally Funded Grants and Prizes

Schedule Number
340

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.

Internally Funded Grants and Prizes info
Record HolderRetention PeriodDisposition
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

References
None
Approved
Digital Collections and Archives
Effective Date
Updated

Survey Studies

Schedule Number
350

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.

Survey Studies info
Record HolderRetention PeriodDisposition
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. 

References
University Records Policy
Approved
Office of Institutional Research & Evaluation and Digital Collections and Archives
Effective Date
Updated