Records Schedule: Research Records

List of Schedules

Schedule Number	Record Series
310	Funded Grant Proposals
320	Grant and Contracts Accounting Records
330	Unfunded Grant Proposal Records
340	Internally Funded Grants and Prizes
350	Survey Studies

Warning

Do not follow this 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
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; correspondence; no-Cost Extension Forms; progress and final reports; and Close Notices.

	Record Holder	Retention Period	Disposition
Official Copy	Office of Research Administration, Office of the Vice Provost	Permanent	Transfer to the Digital Collections and Archives
Unofficial Copy	Departments and Offices	Retain until no longer needed after the end date of the award/segment	Confidential Destruction

Notes None
References University Records Policy
Approved Office of Research Administration, Office of the Vice Provost and Digital Collections and Archives
Effective Date 2000-11-01
Updated 2008-02-01, 2008-08-14

Grant and Contracts Accounting Records
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.

	Record Holder	Retention Period	Disposition
Official Copy	Sponsored Programs Accounting, Finance Division	Delineated in the Finance Division Records Policy	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 and Digital Collections and Archives
Effective Date 2000-11-01
Updated 2002-03-01, 2007-07-16, 2008-08-14, 2011-08-04

Unfunded Grant Proposal Records
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 correspondence.

	Record Holder	Retention Period	Disposition
Official Copy	Office of Research Administration, Office of the Vice Provost	Proposal is turned down + 2 Years	Confidential Destruction
Unofficial Copy	Departments and Offices	Retain until no longer needed after proposal is turned down.	Confidential Destruction

Notes None
References None
Approved Office of Research Administration, Office of the Vice Provost and the Digital Collections and Archives
Effective Date 2000-11-01
Updated 2008-02-01, 2008-08-14

Internally Funded Grants and Prizes
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.

Record Holder

Retention Period

Disposition

Official Copy

School Dean’s Office

Departments and Offices

Determined by School

Unofficial Copy

Notes None
References None
Approved Digital Collections and Archives
Effective Date 1998-07-01
Updated 2008-08-14

Survey Studies
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.

	Record Holder	Retention Period	Disposition
Official Copy	Office of Institutional Research & Evaluation	Permanent	Transfer to the Digital Collections and Archives
Unofficial Copy	Departments and Offices that receive survey study reports	Permanent	Transfer to the Digital Collections and Archives

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 2007-03-01
Updated 2008-08-14