United States Department of Agriculture

Agricultural Marketing Service

Federal Grain Inspection Service

Directive 9170.13 February 25, 2008

Distribution: FGIS, OSP, Industry Originating Office: FMD PPMAB

The U.S. Department of Agriculture (USDA) prohibits discrimination in its programs on the basis of race, color, 

national origin, sex, religion, age, disability, political beliefs, and marital or familial status. (Not all prohibited 

bases apply to all programs.) Persons with disabilities who require alternate means for communication of program 

information (Braille, large print, audiotape, etc.) should contact USDA’s TARGET Center at (202) 720-2600 (voice and 

TDD).

To file a complaint, write to the USDA, Office of Civil Rights, Room 326-W, 1400 Independence Avenue, SW, 

Washington, DC 20250-9410, or call (202) 720-5964 (voice and TDD). USDA is an equal employment opportunity 

employer.

UNIFORM FILE SAMPLE RETENTION SYSTEM

Contents

UNIFORM FILE SAMPLE RETENTION SYSTEM �����������������������������������������������������������������1

1. PURPOSE����������������������������������������������������������������������������������������������������������������������������

2. REPLACEMENT HIGHLIGHTS��������������������������������������������������������������������������������������������

3. POLICY ��������������������������������������������������������������������������������������������������������������������������������

4. USE OF FILE SAMPLES������������������������������������������������������������������������������������������������������

5. SIZE OF FILE SAMPLES�����������������������������������������������������������������������������������������������������

6. SAMPLE RETENTION ���������������������������������������������������������������������������������������������������������

7. SEPARATIONS ��������������������������������������������������������������������������������������������������������������������

8. FILE SYSTEM ����������������������������������������������������������������������������������������������������������������������

9. STORAGE AND PROTECTION OF FILE SAMPLES ����������������������������������������������������������

10. IDENTIFICATION OF SAMPLES ���������������������������������������������������������������������������������������

11. DISPOSITION OF SAMPLES���������������������������������������������������������������������������������������������
FGIS Directive 9170.13 February 25, 2008

Page 2

1. PURPOSE

The purpose of this directive is to establish a uniform method for retention of file 

samples of grain and commodities by Official Service Providers (OSP), Agricultural 

Marketing Service (AMS), Federal Grain Inspection Service (FGIS) field offices, the 

Analytical Services (AS), and the Board of Appeals and Review (BAR) for specified 

periods of time

2. REPLACEMENT HIGHLIGHTS

This directive summarizes the procedures for retaining official file samples for grain and

commodities inspected under the authority of the United States Grain Standards Act

(USGSA), or the Agricultural Marketing Act (AMA). This directive supersedes Program

Directive 9170.13 dated 5-1-97. This directive is updated to reflect the establishment of

a file retention period for samples from export containers and short voyage vessels.

3. POLICY

To accomplish the mission of the agency, AMS FGIS has established a records

management program. Part of the official record system is the maintenance of file

samples retained for reference or review purposes.

4. USE OF FILE SAMPLES

The term “file sample,” when used in this directive, means a representative sample

or representative portion of a sample that is retained for a specified period of time for

reference or review purposes under the USGSA or AMA. Do not use any file sample that

has changed condition to obtain official results.

File samples retained by official personnel may be used for:

* Retests

* Reinspections

* Appeal Inspections

* Board Appeal Inspections

* Investigation into trade complaints

* Training of official inspection personnel

* Supervision or review by field office and BAR personnel

* Supplementary completion of the original grade (e.g., infestation, odor, etc.)
FGIS Directive 9170.13 February 25, 2008

Page 3

5. SIZE OF FILE SAMPLES

File samples should be of sufficient size to accommodate subsequent examinations or

analysis. The file sample shall be an unworked portion (if available) of the representative

sample used for the inspection. The worked portion may be retained as the final file only

when insufficient sample is available for an unworked file sample.

a. USGSA Inspections. Samples retained for grade should be approximately 1,30

grams or more, except for the lighter grains (e.g., oats, barley, etc.) that require 

less grain to determine grade. For factor only tests or official criteria (e.g., wheat 

protein), smaller file samples should prove sufficient to handle review services. File 

samples larger than 1,300 grams may be retained if deemed necessary to provide 

subsequent inspection service.

b. AMA Inspections. File samples of graded commodities shall be of sufficient size to

perform a complete grading or factor analysis. To determine the proper size for

specific commodities, refer to the Rice Inspection Handbook, Bean Inspection 

Handbook, or Pea and Lentil Inspection Handbook as appropriate.

The amount of sample sent to the testing laboratory for nongraded commodities 

(e.g., flour, oil, etc.) shall be of sufficient size to perform original, retest, and appeal 

testing analysis. To determine the proper sample size for specific products, refer to 

Chapter 2, Sampling, in the Processed Commodities Handbook.

6. SAMPLE RETENTION

a. For each submitted sample or officially inspected lot examined for grade, factors,

or official criteria, a file sample must be retained except for the categories noted 

below.

Rejected Sublots. All rejected sublots (i.e., material portions due to grade or 

condition factors) at export locations which are returned to the facility.

Elevator Elects. Grain returned to the elevator before a sublot is designated by

inspection personnel, or a sublot that is inspected and found acceptable under the 

inspection plan, but the elevator elects to return the sublot to the house.

Mycotoxin Samples. All aflatoxin and vomitoxin testing services in which the 

contractual specifications have been satisified.

Official Commercial Inspection Service Samples. Unless requested by the 

applicant for service or an interested party, or when deemed necessary by the field 

office manager.

b. File samples for grain and graded commodities shall be maintained by the OSP or

FGIS field office that performed the original inspection. If a file sample retained 

by the OSP is used for an appeal or supervision inspection, the field office 

which performed the appeal or supervision inspection shall thereafter have the 

responsibility for retaining the file sample for the applicable time period.
FGIS Directive 9170.13 February 25, 2008

Page 4

c. AS must maintain the official file samples of nongraded commodities tested.

d. Defense Supply Center Philadelphia (DSCP) noncomposite file samples for both

food and nonfood components and end items shall be retained by the inspection 

office or at the sampling point.

e. Official personnel may, at their discretion, keep file samples for a longer period 

than required. The minimum retention periods for file samples representing grain or 

commodities are as follows:

USGSA FILE SAMPLES

 MINIMUM DAYS

CARRIER IN OUT EXPORT OTHER

TRUCKS 3 5 30 --

RAILCARS 5 10 30 --

BARGES (river) 5 25 -- --

SHIPS & BARGES 5 25 90 --

SHIPS (short voyage) 5 days or less 5 25 60 --

EXPORT CONTAINERS -- -- 60 --

BINS & TANKS -- -- -- 3

SUBMITTED SAMPLES -- -- -- 3

AMA FILE SAMPLES

A. GRADED COMMODITIES MINIMUM DAY

DOMESTIC 10

EXPORT 60

DSCP 30

SUBMITTED SAMPLES 3

B. NONGRADED COMMODITIES MINIMUM DAYS

MISCELLANEOUS PROCESSED 30 (after last test result)

PRODUCTS (e.g., original, retest, appeal)

HOPS 15

DSCP (food and nonfood components) 30

DSCP (end items) 30
FGIS Directive 9170.13 February 25, 2008

Page 5

7. SEPARATIONS

a. If the work portion is saved for file purposes, separations made in the grading

analysis may be mixed back into the major portion of the sample, provided that 

the addition of separations does not alter the overall quality of the sample. Do not 

add portions back into the sample which have undergone a material change (e.g., 

pearling, bleaching, etc.). Maintain these portions separately.

b. The field office manager shall determine which separations, if any, need to be

saved on file samples analyzed for original, reinspection, appeal, Board appeal, or 

supervision purposes

8. FILE SYSTEM

a. The filing system must permit efficient retrieval of file samples and ensure

adherence to the required retention periods. Further, file samples must be 

protected against theft, manipulation, substitution, and unauthorized use.

b. Use large polyethylene bags, semi-rigid plastic containers, or metal containers to

retain file samples of grain, graded commodities, and dry nongraded commodities. 

Use metal or semi-rigid plastic containers when samples contain an off odor.

c. Retain samples of liquid or semisolid nongraded commodities in tightly closed 

glass, metal, or similar kinds of containers as specified in the Processed 

Commodities Handbook. Use only clean, rust free containers.

9. STORAGE AND PROTECTION OF FILE SAMPLES

a. Store each file sample in a manner that will protect it from moisture loss, exposure 

to manipulation or substitution, and from rodent infestation. Do not place paper 

identification stubs, paper envelopes, or other similar absorptive materials in direct 

contact with the grain or commodity in the container.

b. If only FGIS and OSP personnel have access to the room where file samples are 

stored, lock or seal the room when official personnel are absent.

c. If industry personnel have access to the room where file samples are stored, 

protect the samples by storing them in a cabinet or closet which is locked or sealed 

when official personnel are absent.

d. When the samples are protected by lock, only FGIS or OSP personnel shall have 

access to the key(s) or combination(s). When the samples are protected by seals, 

maintain a record of the seals applied and/or removed
FGIS Directive 9170.13 February 25, 2008

Page 6

10. IDENTIFICATION OF SAMPLES

The office retaining the file samples must identify each sample by attaching a sample

ticket, a numbered or coded sampling ticket stub, or by coding the sample containers in 

a manner which will ensure positive identification of the sample.

11. DISPOSITION OF SAMPLES

a. Emptying of Containers. At the end of the retention period, empty the file

containers, clean if necessary, and inspect for condition and odor. Discard 

containers that will not maintain the integrity of the sample.

b. Sample Disposal. FGIS field offices and OSP’s which sell, donate, or destroy

excess grain or commodity samples shall maintain a record of each transaction 

and include a copy of the record with their budget report. Reporting requirements 

for excess USGSA samples are found in Book IV of the Grain Inspection 

Handbook. For procedures for disposal of commodities inspected under the

authority of the AMA, refer to FGIS Directive 5130.2, dated 6/05/85.

c. Poisonous Samples. Samples containing noxious weed seeds or other material

which might be harmful to human or animal life shall not be sold, donated, or used 

for human food or animal feed. Samples which contain toxic substances (e.g. 

aflatoxin, etc.) shall be disposed of in accordance with applicable Federal, state, 

and local laws.