Records Audits and FreezesThere are circumstances when records are subject to an audit, investigation, or litigation which prevent them from being discarded until the audit, investigation, or litigation concludes. These situations may occur before or after the records are placed in storage. Before records stored at a federal records center (FRC) are destroyed, a notice of intent to destroy is sent to the agency or office responsible for the records. At NIH, the IC Records Liaison must confirm that records are not subject to an audit, investigation, litigation, or other event requiring continued retention of the records. When government-wide records freezes are instituted, you must include a statement on every Standard Form 135 (SF-135), Records Transmittal and Receipt, indicating whether the records being transferred pertain to active records freezes and holds. Below is a list of required records declarations (as of May 2007) to be included on the SF-135 in Item 6(f) – Series Description. The statement must indicate whether the records are related to the specific subject. The statement must include the name of the individual responsible for the accuracy of the statement. This individual may be you, a principal investigator, IC Records Liaison, or other person familiar with the records. All Records: Records Freezes
All Records: Records Holds
Site Audit Records
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National Institutes of Health
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