United States Department of Agriculture

Agricultural Marketing Service

Federal Grain Inspection Service

Directive 9100.4 May 1, 1997

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.

CERTIFICATE ACCOUNTABILITY

Contents

DIRECTIVE TITLE �����������������������������������������������������������������������������������������������������������������1

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

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

3. ACCOUNTABILITY SYSTEM�����������������������������������������������������������������������������������������������

4. ACCOUNTABILITY RECORDS��������������������������������������������������������������������������������������������

5. SECURITY ��������������������������������������������������������������������������������������������������������������������������
FGIS Directive 9100.4 May 1, 1997

Page 2

1. PURPOSE

This directive establishes the certificate accountability requirements for the Agricultural 

Marketing Service (AMS), Federal Grain Inspection Service (FGIS), designated and 

delegated agencies, and cooperators. This same directive applies to certificates issued 

under the U.S. Grain Standards Act (USGSA) and the Agricultural Marketing Act of 1946 

(AMA)

2. REPLACEMENT HIGHLIGHTS

This directive supersedes FGIS Directive 420.2, Certificate Accountability, dated

1-12-80. This directive is updated to reflect organizational changes, new numbering

system, and new format and does not revise policy.

3. ACCOUNTABILITY SYSTEM

Official certificates are important documents used in domestic and international 

marketing. They are also considered legal documents receivable by all officers and 

courts of the United States as prima facie evidence of the truth of the facts stated 

therein. Consequently, it is essential that all members of the official inspection system 

maintain an accountability program that ensures the proper use of official certificates. 

FGIS field offices, the Board of Appeals and Review, the Analytical, Reference, and 

Testing Services (ARTS), designated and delegated agencies, and cooperators are 

required to have an accountability system that includes maintaining a record on the 

receipt, issuance, and disposition of all official certificates.

4. ACCOUNTABILITY RECORDS

The format of certificates accountability records shall be at the discretion of the

appropriate office manager. However, records shall be prepared and maintained in a

manner that will facilitate the daily use and review of such records. Accountability 

records shall include:

a. Title of certificate and/or form number;

b. The beginning and ending serial numbers of the certificates received and serial

numbers of certificates found missing. Record the amount of certificates received 

for certificates without serial numbers, such as divided-lot certificates;

c. Serial numbers of the certificates issued and/or voided, when preprinted, or the 

amount when there is not a preprinted number;

d. The date the certificates were received, issued, and/or voided; and

e. Other information that is useful or needed by field office, agency, and cooperator 

managers.
FGIS Directive 9100.4 May 1, 1997

Page 3

5. SECURITY

The accountability system employed by official personnel must secure unused 

certificates and the accountability records. Unused certificates should be stored and 

used in numerical order when practical to do so. Certificates stored outside the main 

office, in such places as an elevator office, separate service point office, or those 

provided to a licensee or an applicant, must be accounted for by the main office as well 

as the receiving office. Those offices or persons receiving the unused certificates must 

record the location, certificate title and/or form number, serial numbers, and date the 

certificates are received.

Unused certificates shall be protected from theft and fraudulent or unauthorized use by

storing them in a secured room, cabinet, locker, etc., when official personnel are not

present. Certificates in rolls or fan folds that have been fed into computer tractor feeds

may remain in place if the room is secured.