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Records Schedule: Faculty Records

Purpose

This policy describes the retention and disposition requirements for faculty personnel records; faculty appointment, tenure, and promotion records; and faculty search records. Specific categories of faculty records are defined in the policy below. These records, regardless of format, are created or received by Tufts employees in the course of university business, and include electronic records.

Scope

This policy applies to all schools, the Office of the Provost, and Human Resources.

Policy Statement

Any school-based policies that conflict with this policy should be in writing, and shared with the Office of the Provost and the Digital Collections and Archives.

List of Schedules

Schedule Number Record Series
210 Faculty Personnel Records
220 Tenure and Promotion Records
230 Faculty Employment Search Records
240 Course Evaluations
250 Affirmative Action and Equal Opportunity Records

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.

Faculty Personnel Records
210
These records document individual faculty work histories and may include, but are not limited to: job descriptions, applications and search records, CVs, correspondence, personnel actions, performance evaluations, commendations, reprimands, and various personnel forms. The inclusion of additional records may be determined by each school. Faculty status is defined by each school.

Faculty personnel records do not include: appointment, tenure, and promotion records and course evaluations, which are covered in Faculty Appointment, Tenure, and Promotion Records.

Record Holder Retention Period Disposition
Official Copy School (See Notes) Tenured faculty (or equivalent): Permanent

Non-tenured faculty (or equivalent): At least the duration of the faculty member’s time at Tufts plus seven years (separation + 7 years)

Manage in the Dean’s Office/Faculty Affairs Office or discuss with the Digital
Collections and Archives.
Official Copy Office of the Provost (See Notes) Tenured faculty (or equivalent): At least the duration of the faculty member’s time at Tufts plus seven years (separation + 7 years)

Non-tenured faculty (or equivalent): At least the duration of the faculty member’s time at Tufts plus seven years (separation + 7 years)

Confidential Destruction
Official Copy Human Resources At least the duration of the faculty member’s time at Tufts plus seven years (separation + 7 years) Confidential Destruction
Unofficial Copy Academic Departments and Programs See Notes See Notes

Notes Faculty status is defined by each school. Schools may articulate different responsibilities for the management and retention of faculty personnel records among their offices and departments, typically making a distinction between academic departments and the Dean’s Office. If schools have different retention periods for their different types of faculty or make distinctions about responsibilities among their offices and departments, they must document these retention periods and responsibilities in a written policy. Schools must share this policy with the Office of the Provost and the Digital Collections and Archives. The Office of the Provost may retain faculty personnel files longer than the minimum retention period for specific business needs.
References None
Approved Digital Collections and Archives, Office of the Provost, University Counsel
Effective Date 1998-03-01
Updated 2001-12-01, 2008-08-14, 2011-08-12, 2019-03-01


Faculty Appointment, Tenure, and Promotion Records
220
These records document new appointments as well as the periodic consideration of faculty who are eligible for changes in rank, tenure status, and/or pay and may include, but are not limited to: pre-tenure reviews; promotion and tenure dossiers compiled and presented by the faculty; current position description; current curriculum vitae or resume; letters of evaluation; activity summary and evaluations of teaching, curriculum development and advising from students, participants/clients, and peers; committee findings; committee signature sheets; recommendations of administrative superiors; and related documentation and correspondence.

Record Holder Retention Period Disposition
Official Copy School (See Notes) Successful tenure and promotion cases: The duration of the faculty member’s time at Tufts plus seven years (separation + 7 years)

Unsuccessful or withdrawn tenure and promotion cases: The greater of (a) case closed + 12 years and (b) the duration of the faculty member’s time at Tufts plus seven years (separation + 7 years)

Confidential Destruction
Official Copy Office of the Provost Successful tenure and promotion cases: The duration of the faculty member’s time at Tufts plus seven years (separation + 7 years)

Unsuccessful or withdrawn tenure and promotion cases: The greater of (a) case closed + 12 years and (b) the duration of the faculty member’s time at Tufts plus seven years (separation + 7 years)

Confidential Destruction
Unofficial Copy Tenure and Promotion Committee Members Determined by School Determined by School

Notes Schools may articulate different responsibilities for the management and retention of tenure and promotion records among their offices and departments, typically making a distinction between academic departments and the Dean’s Office. If schools make these distinctions, they must document these responsibilities in a written policy. Schools must share this policy with Office of the Provost and the Digital Collections and Archives.
References None
Approved Digital Collections and Archives, Office of the Provost, University Counsel
Effective Date 1998-03-01
Updated 2008-08-14, 2011-08-12, 2019-03-01


Faculty Search Records
230
These records document the selection process for academic positions and may include, but are not limited to: applications; curriculum vitae or resumes; academic transcripts; writing samples; publications; position announcements and descriptions; candidate lists; and related correspondence such as cover letters and reference letters. Faculty status is defined by each school, and this policy applies regardless of appointment type.

Faculty search records do not include: Affirmative Action records, which are covered in Affirmative Action and Equal Opportunity Records.

Record Holder Retention Period Disposition
Official Copy School (See Notes) Successful candidates: Permanent. File search records with the faculty member’s personnel records

Unsuccessful candidates: Completion of search +7 years

Successful candidates: Manage in the Dean’s Office/Faculty Affairs Office or discuss with the Digital Collections and Archives

Unsuccessful candidates: Confidential Destruction

Unofficial Copy Search Committee Members Determined by School Determined by School

Notes Schools may articulate different responsibilities for the management and retention of search records among their offices and departments, typically making a distinction between academic departments and the Dean’s Office. If schools make these distinctions, they must document these responsibilities in a written policy. Schools must share this policy with the Office of the Provost and the Digital Collections and Archives.
References None
Approved Digital Collections and Archives, Office of the Provost, University Counsel
Effective Date 1998-03-01
Updated 2008-08-14, 2011-08-12, 2019-03-01


Course Evaluations
240
These records include the original forms used by students to evaluate courses, copies of evaluations, and evaluation summaries.

Record Holder Retention Period Disposition
Official Copy Academic Department or Program Determined by School Determined by School
Unofficial Copy NA NA NA

Notes None
References None
Approved Digital Collections and Archives
Effective Date 1998-03-01
Updated 2008-08-14


Affirmative Action and Equal Opportunity Records
250
These records document review of all stages of recruitment and hiring by the Office of Equal Opportunity and may include, but are not limited to: Affirmative Action reports and related documentation and correspondence.

Record Holder Retention Period Disposition
Official Copy School Successful candidates: Permanent

Unsuccessful candidates: Permanent

Manage in Interfolio or discuss with Digital Collections and Archives
Unofficial Copy NA NA NA

Notes None
References None
Approved Digital Collections and Archives, Office of the Provost, University Counsel
Effective Date 1998-03-01
Updated 2008-08-14, 2019-03-01

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