Agricultural Marketing Service, Specialty Crops Program, Specialty Crops Inspection Division

Serially Numbered Forms Accountability (March 2017)

SCI Division Management Series

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SERIALLY NUMBERED FORMS ACCOUNTABILITY

All Federal and Federal-State offices will maintain a Carton Log (Appendix I) of all serially 

numbered forms. When receiving a new order of serially numbered forms, those cartons are

entered into the current inventory. 

Keep cartons containing serially numbered forms in a locked storage room, or locked cabinet. 

Only the Officer-In-Charge (OIC), Assistant Officer-in-Charge (AOIC), District Supervisor, 

Assistant District Supervisor or other delegated authorized personnel may have access to the 

storage area. 

Only the OIC, AOIC, District Supervisor, Assistant District Supervisor or a delegated authorized 

person may open, remove or assign forms from the cartons. Graders/inspectors are not 

authorized to remove forms from opened cartons, or to remove cartons from storage areas.

All forms assigned must have a Record of Assignment and Completion of Serially Numbered 

Forms (Appendix II) kept on file.

Accountability Procedures

Cartons Logs:

When an order of official serially numbered forms is received, assign a unique number to each 

carton. This is done by sequentially organizing the cartons by the serialized numbers (from 

lowest number to highest number) shown on the printer’s label attached to the outside of the 

cartons. Then, in a clearly visible fashion on the outside of each carton, assign the unique 

number to each carton by writing the form number, a hyphen, and the sequential number of the 

carton (e.g., if an order of FV-300 certificates contains 5 cartons, the unique carton numbers 

would be “300-001,” “300-002,” “300-003,” etc. The next order received would start with the 

unique number “300-006”). No two cartons of the same form in an office should have the same 

number. Number carton up to “xxx-999,” and then start over with “xxx-001.” When a new 

order of serially numbered forms is received, the beginning and ending serial numbers will be 

entered into the Carton Log.

Maintain a written Carton Log of carton numbers using the format noted above. At the top of 

each log page, designate the form number (certificate type) and record the unique number given 

to each carton received in the column marked “Carton Number.”
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Log Entries:

When a carton is first opened, the OIC or authorized person opening the carton will immediately 

record the starting number of each serially numbered book into the log below the carton number. 

As each serially numbered book is removed from the carton, the person removing the book must 

initial the log beside the appropriate book number.

Carton Security:

Government Accountability Office (GAO) regulations require that controlled documents (i.e., 

serially numbered forms) must be kept in a secure location accessible only by authorized 

personnel. After assigning a unique number to each carton, the opened and unopened cartons 

should be stored in a secure (locked) area accessible only by the OIC, Supervisor or other 

authorized personnel. If a separate storage room is not available or cannot be locked, then 

cartons may be stored in lockable office filing cabinets. If storage rooms and/or cabinets do not 

have locks, OICs and authorized personnel must properly obtain the hardware necessary to 

secure the rooms and/or cabinets.

Note: OICs, authorized personnel, and graders/inspectors are cautioned against leaving unused 

serially numbered forms and books unattended, such as on desktops, office mailboxes, at the 

worksite, in unlocked vehicles, or any other location that is not secure and under the control of 

the Inspection Service.

Record of Assignment and Completion of Serially Numbered Forms:

When the serially numbered books are assigned to inspectors the unique carton number the book 

originates from, the beginning and ending serial numbers the book consists of and the date of 

assignment must be recorded and initialed by the OIC or authorized supervisor on the Record of 

Assignment and Completion of Serially Numbered Forms (Appendix II). Appendix II must 

accompany the serially numbered forms book at all times. As each form is issued the individual 

serialized number, applicant, inspector, and date of issuance must be recorded and initialed by 

the grader/inspector. 

When assigned serially numbered books are returned but not completed, the date they are 

returned will be entered in the record. When the book is reassigned the date of reassignment is 

placed below the original date. The acquiring grader/inspector will continue the record using the 

same method as described above utilizing his or her own information.

When a book of serially numbered forms is fully completed the completion date will be recorded 

and initialed by the OIC or authorized personnel in the record.

The copies of each issued or voided serially numbered form will be placed in a file. Forms 

should be filed in the same manner and number they are assigned. Each file will also contain the 

corresponding Record of Assignment and Completion of Serially Numbered Forms (Appendix 

II) affiliated with the copies. The file will be checked for missing numbers and marked to 

indicate it is complete. 
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After the completion of a fiscal year, offices will perform a physical inventory of all serially 

numbered forms. This inventory will validate the accuracy of all serially numbered forms 

recorded on the Carton Log (Appendix I) and Record of Assignment and Completion of Serially 

Numbered Forms (Appendix II) with certificates and forms in the possession of 

graders/inspectors and inventory stored in the office. 

Any missing books or incomplete series of forms will be noted in the Carton Log. In addition, 

this information will be immediately reported to Operations (for Federal offices) or the Federal 

Program Manager/Federal Supervisor (for Federal-State offices).

Offices Utilizing the Fresh Electronic Inspection Reporting/Resource System (FEIRS):

In addition to the above instructions each electronic FEIRS FV-301 used to bill a serially 

numbered paper certificate will include the paper certificate serialized number. This serialized 

number must be entered exactly as it appears on the serially numbered paper certificate and 

entered in the FORM NUMBER block located under the PAPER FORM heading in the 

SUMMARY tab of the FEIRS FV-301 certificate. This will ensure proper and complete tracking 

of all forms.
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Appendix I – Carton Log
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Appendix II – Record of Assignment and Completion of Serially Numbered Forms
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“SCI moving forward in the 21st Century using technology, innovation, and old fashioned hard work”

Non-Discrimination Policy: In accordance with Federal civil rights law and U.S. Department of 

Agriculture (USDA) civil rights regulations and policies, the USDA, its Agencies, offices, and 

employees, and institutions participating in or administering USDA programs are prohibited from 

discriminating based on race, color, national origin, religion, sex, gender identity (including gender 

expression), sexual orientation, disability, age, marital status, family/parental status, income derived 

from a public assistance program, political beliefs, or reprisal or retaliation for prior civil rights 

activity, in any program or activity conducted or funded by USDA (not all bases apply to all 

programs). Remedies and complaint filing deadlines vary by program or incident. 

Persons with disabilities who require alternative means of communication for program information 

(e.g., Braille, large print, audiotape, American Sign Language, etc.) should contact the responsible 

Agency or USDA’s TARGET Center at (202) 720-2600 (voice and TTY) or contact USDA through 

the Federal Relay Service at (800) 877-8339. Additionally, program information may be made 

available in languages other than English. 

To file a program discrimination complaint, complete the USDA Program Discrimination Complaint 

Form, AD-3027, found online at http://www.ascr.usda.gov/complaint_filing_cust.html and at any 

USDA office or write a letter addressed to USDA and provide in the letter all of the information 

requested in the form. To request a copy of the complaint form, call (866) 632-9992. Submit your 

completed form or letter to USDA by: (1) mail: U.S. Department of Agriculture, Office of the 

Assistant Secretary for Civil Rights, 1400 Independence Avenue, SW, Washington, D.C. 20250-

9410; (2) fax: (202) 690-7442; or (3) email: program.intake@usda.gov. USDA is an equal 

opportunity provider, employer, and lender.