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SAP 1

OWM PT Standard Administrative Procedure 

for 

Document and Record Management 

1 Introduction

Purpose of the Procedure 

The purpose of this procedure is to ensure uniform, consistent, timely and 

effective management of PT program documents and records and to ensure 

compliance with applicable reference documents. All procedures, forms, and 

records relevant to the PT program are kept up to date and made readily 

available to personnel.

Scope

The scope of this procedure is applicable to the PT program documents and 

records. Some of the same practices are used in maintaining documents and 

records for the OWM Laboratory Metrology Program, but this procedure is 

specific to the PT program. 

Applicable Documentary References – See Appendix A, Master List 

Files are organized on the master list based on status as Internal or 

External documents as well as whether they are controlled and updated 

by the OWM Laboratory Metrology Program staff. The latest valid date 

is included with each document and its full title and possible URL link 

for accessibility. Documents are all uniquely identified by Title. 

All program staff have, have access to, or can obtain, the latest version 

of the publications on the Master List. 

Copies of current versions may be printed for staff or PT participant use, 

but the official copies will be retained electronically and posted online 

(with the exception of Form 5 which contains copyrighted content). 

Responsibility and Authority 

All Laboratory Metrology Program staff are responsible for 

implementing this procedure and have authority to accept and store PT 

technical records, update PT program documents and templates as 

directed and as approved by the Program Leader, and complete and 

retain records related to PT program administrative operations as 

assigned (e.g., complaint handling, internal audits, management 
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reviews). The Program Leader has overall programmatic authority and 

responsibility to ensure compliance. 

NIST publishes IT security protocols used by many if not all 

government agencies. NIST Information Technology staff are 

responsible for maintaining the NIST network for file storage, backup, 

security, retention, and recovery should the need arise. The system is 

maintained to ensure the integrity of documents and technical records 

for all staff, associates, and contractors who have network access. Staff 

are responsible for complying with IT security policies which is 

reinforced through annual training. No specialized software systems 

other than Excel templates are used in the OWM PT program. 

2 Methodology

For Laboratory Metrology Program controlled documents and files, OWM 

follows the NIST “Editorial Review Board” (ERB) approval process for 

publication reviews and publications prior to adoption. All applicable forms and 

records are retained as part of the internal NIST policies and procedures related 

to publication approvals. All versions of the applicable PT Program documents, 

with the exception of Form 5 which contains copyrighted information, are 

posted on the NIST OWM website. 

Good file-naming practices are used in the Laboratory Metrology Program 

following the “Electronic File Organization Tips” that are provided as guidance 

to State Weights and Measures Laboratories. As a minimum, the file name 

includes the latest revision date in the file name, the document has a meaningful 

title, the date (and possibly filename) is included in the footer, and the “page x 

of y” format is used for pagination. Documents must comply with NIST style 

guides and requirements for publication. 

The Master List is reviewed at least every two years as part of the OWM PT 

Program, Internal Audit (see SAP 4, Audits and Reviews) when the document 

review and assessment is conducted in odd-numbered years. The list may be 

updated any time a staff member identifies or is alerted that a publication has 

been updated; when that happens, staff are assigned to review the implications 

for the PT program, and if appropriate, add changes and save a “track change” 

version of the Master List for interim use until this Standard Administrative 

Procedure is updated. 

The following OWM-controlled files may be updated by the OWM Laboratory 

Metrology Program staff as interim versions and approved for use by the 

Program Leader and posted online, as appropriate:

Excepted interim updates. Appendices in NISTIR 7214 including 

Standard Administrative Procedures, Forms, and Excel Templates may 
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be updated as needed or improved, and approved by the Laboratory 

Metrology Program, Program Leader. Approved updates are posted 

online and kept with master publication documents for subsequent 

publications. 

Excel templates used for calculations and analysis must be reviewed 

using NISTIR 8250, GLP 15, Software Quality Assurance to the extent 

necessary prior to posting or use. Reviewed Excel templates must be 

approved by the Laboratory Metrology Group, Program Leader prior to 

use or posting. 

All other updates to the NISTIR 7082, Policies and Plan, and all nonexcepted portions of NISTIR 7214 require obtaining approval through 

the ERB process as described earlier. Drafts may be approved by the 

Program Leader and posted for soliciting comments from PT 

Administration Teams and affected PT participants. 

PT Records are collected throughout the year as each Regional Measurement 

Assurance Program meeting is held and as the PTs are being conducted. 

Records are filed as noted in Section 3. Staff receiving information will file 

materials and files within the designated area of the PT Program records. 

PT program operational activity records are completed on PT program forms 

and retained as records according to the applicable procedure.

Files are maintained in the OWM network chronologically and the latest version 

will have the most current date. Archived versions may be noted with “archive” 

at the beginning of the directory name if within a directory. 

3 Records

Forms – There are no applicable forms published with this Standard 

Administrative Procedure for document approvals. OWM follows the NIST 

“Editorial Review Board” (ERB) approval process for publication reviews and 

publications prior to adoption. All applicable forms and records are retained as 

part of the internal NIST policies and procedures. As internal or external 

publications are included in the Master List and this Administrative Procedure 

or Appendix A are published, updated, and posted, the versions on the Master 

List are automatically adopted. 

PT Operational (Administrative) Records and Completed Forms)

Ongoing quality management system records and forms from feedback, 

complaints, appeals, internal audits, management reviews, action items, and 

strategic planning are retained with the PT quality management system records 
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and tracked chronologically. Some records (e.g., a completed complaint form) 

may be duplicated with a specific PT if it is applicable to the technical operation 

or analysis of that PT. A master log of action items may cross over multiple 

annual cycles and be retained at a higher level in the filing structure so that it is 

readily available. Official files are retained electronically. Scanned files 

retained with records must be legible. 

PT Technical Records

Records retained by OWM are maintained on the NIST OWM network 

files that are regularly backed up and protected by NIST Information 

Technology staff. Directories are organized by region, year, and name 

of the PT so information is organized and readily available to all OWM 

Laboratory Metrology Program staff members. 

PT Plans. Draft, approved, updated, and final PT plans files are 

maintained with OWM PT records. The draft PT plan contains all 

information about the standard to be calibrated and instructions for care, 

handling, equilibration, shipping, and calibration. The PT Coordinator 

may keep the approved and updated versions as they are monitoring and 

controlling the operation of the PT. Because the final PT report 

introduction pages are based on this file, the must be kept up to date as 

the PT commences and is completed. OWM reviews and approves the 

draft PT plans and the final PT plans that are used to generate PT draft 

and Final Reports. Regional PT plans are maintained by OWM and by 

the Regional PT Coordinator. State laboratories may also submit copies 

of their regional PT Plans as part of their annual OWM recognition 

submissions. 

PT Analyses. The PT Analysis Template is used by the PT Analyst or 

NIST staff to analyze submitted PT data according to appropriate 

procedures. The PT Analyst may keep NIST staff copied on interim 

drafts or communications as a PT progresses. The PT Analyst may use 

the interim Summary Report worksheet to share interim En and Pn

results with participants to monitor shipping plans or immediate 

corrective actions if needed. The final PT Analysis will be approved by 

NIST OWM and used to generate the summary report, tables, and 

graphs for the PT Final Report. All copies of the PT Analysis files or 

Final Reports are maintained with applicable OWM PT records. 

PT Final Reports – Draft, Final, Amended, and Appended Reports are 

retained in applicable OWM electronic directories and distributed to 

participants to 1) review draft data entry for accuracy and 2) review final 

analysis and assessments (most often presented at the Regional 

Measurement Assurance Program meetings and provided electronically 

prior to or at the meetings). In the event that errors or discrepancies are 
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identified, OWM maintains records of the investigation and amends the 

PT Final Report if appropriate. An Amended PT Final Report is 

maintained with the rest of the PT records. 

PT Materials Submitted by Participants. Copies of all requested data, 

forms, communications, calibration certificates, amended calibration 

certificates, and interim records of corrected action identified during the 

PT are retained with the OWM PT records. 

PT Standard Artifact Records – Inventory and Calibration Certificate records 

are retained for standards used in PTs as long as the PT standard artifacts are in 

service. 

PT Record Retention – All files are retained in the PT records. In the event that 

NIST retention policies intervene with storage of records, the longer of either 

the latest ten years or all PTs related to a specific standard/artifact that remains 

in use will be retained. For example, the 100 gallon prover has been in 

circulation consistently since 1989 and all records will be retained for that 

standard artifact as well as PTs continuously conducted with that standard since 

that time. In cases where standards are no longer available, records will be 

retained for at least ten years. 

4 Appendix A – Master List