US Environmental Protection Agency
Office of Pesticide Programs

Office of Pesticide Programs

Microbiology Laboratory

Environmental Science Center, Ft. Meade, MD

Standard Operating Procedure for
Maintaining, Tracking and Archiving of Records

SOP Number: ADM-03-06

Date Revised: 12-23-14


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SOP No. ADM-03-06
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SOP Number

ADM-03-06

Title

SOP for Maintaining, Tracking and Archiving of Records

Scope

This SOP provides guidance for maintaining, tracking, labeling and
archiving of records generated by the Office of Pesticide
Programs/Biological and Economic Analysis Division/Microbiology
Laboratory Branch (OPP/BEAD/MLB) located at the Environmental
Science Center, Fort Meade, Maryland.

Application

This procedure applies to all records generated by the laboratory
staff and the quality assurance unit.





Approval Date

SOP Developer:



Print Name:

SOP Reviewer



Print Name:

Quality Assurance Unit



Print Name:

Branch Chief



Print Name:





Date SOP issued:



Controlled copy
number:



Date SOP withdrawn:




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The National Archives and Records Administration, which has responsibility for establishing
recordkeeping requirements for federal records, issues the General Records Schedules (GRS).
The GRS provides authority to destroy/recycle temporary, administrative records common to
several or all federal agencies (for example, official personnel folders). Recently, approximately
350 records schedules were combined into 21 "consolidated" records schedules. For example, 23
schedules covering security records were combined into schedule 1008; 10 schedules covering
acquisitions and contracts were combined into schedule 1004.

At this time, approximately one-third of the consolidated schedules are "final" with EPA and
NARA approval and the remaining two-thirds are "draft" and awaiting NARA approval.
Consequently, the Microbiology Laboratory Branch will wait to revise this SOP until all lab-
associated schedules are finalized.


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TABLE OF CONTENTS

Contents	Page Number

1.

DEFINITIONS

4

2.

HEALTH AND SAFETY

4

3.

PERSONNEL QUALIFICATIONS AND TRAINING

4

4.

INSTRUMENT CALIBRATION

4

5.

SAMPLE HANDLING AND STORAGE

4

6.

QUALITY CONTROL

5

7.

INTERFERENCES

5

8. NON-CONFORMING DATA

5

9.

DATA MANAGEMENT

5

10.

CAUTIONS

6

11.

SPECIAL APPARATUS AND MATERIALS

6

12.

PROCEDURE AND ANALYSIS

6

13.

DATA ANALYSIS/CALCULATIONS

9

14.

FORMS AND DATA SHEETS

9

15.

REFERENCES

9


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1. Definitions

1.	Record: All books, papers, maps, photographs, machine readable
materials, or other documentary materials, regardless of physical form or
characteristics, made or received by an Agency of the United States
Government under Federal law or in connection with the transaction of
public business and preserved or appropriate for preservation by that
Agency or its legitimate successor as evidence of the organization,
functions, policies, decisions, procedures, operations, or other activities of
the Government or because of the informational value in them (see section
15.1).

2.	Electronic Versions of the Record Copy: Electronic versions of records
may be created with office automation applications. Electronic versions
may be deleted when the paper record copy is generated. The retention of
the electronic version of the record copy shall not exceed the retention of
the paper copy.

3.	Records Schedule or Series: EPA's official policy for records and
information retention and disposal which provides mandatory instructions
for what to do with records no longer needed for current agency business
(see section 15.1).

4.	File Closure: When a record is no longer actively in use, it may be closed,
designating the record as inactive. To close a file, record the closing date
on the file itself. Files are typically closed at the end of a calendar year
unless otherwise specified in MLB's File Structure (see section 15.10).

a. File closure marks the beginning of the record retention

schedule (e.g., the amount of time closed/inactive records must
be retained before they may be destroyed; see section 15.10,
Disposition Instructions). The laboratory may store closed
records on-site in room D217 or transfer them to an off-site
storage facility (see section 5) until such time as the documents
may be destroyed.

5.	NARA: National Archives and Records Administration

2. Health and
Safety

Not applicable.

3. Personnel
Qualifications
and Training

1. Refer to SOP ADM-04, OPP Microbiology Laboratory Training.

4. Instrument
Calibration

Not applicable.

5. Sample

1. Each analyst is responsible for filing raw data sheets, transmittal memos or


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Handling and
Storage

report folders associated with specific tests or analyses in the appropriate
binder of file cabinet in D217.

6. Quality Control

1.	The records management practices of the Microbiology Laboratory
Branch conform to the Agency's records schedules and to the policies of
the Agency's National Records Management Program.

2.	Records associated with all EPA Records Schedule or Series numbers
identified in Section 12 will be archived in notebooks or file folders and
kept in secured file cabinets in D217. Only authorized personnel have
access to the secured files.

7. Interferences

None.

8. Non-
conforming
Data

1. Any instances of non-compliance with this SOP will be corrected upon
discovery.

9. Data

Management

1.	Inactive records archived in D217 must be labeled with the following,
according to NARA guidelines: EPA Records Schedule or Series number,
Function number, and NARA disposition number. For closed or inactive
records, the closing date must be clearly written on the file. Additional
information may be found in section 14 and on the US EPA National
Records Management Program EPA Series Website (see ref 15.1).

a.	EPA Records Schedule or Series #:

Function #:

NARA Disposition #:

2.	All records shall be retained according to the Agency's records schedules
and to the policies of the Agency's National Records Management
Program.

3.	Records shall be retained on-site for a minimum period of three years.
After the three year period and at the discretion of the Branch Chief,
records may be labeled as in section 9.1a and shipped to the appropriate
Federal Records Center (FRC) for off-site storage.

b.	Records shipped off-site for storage must be removed from binders
and placed in an accordion folder. The accordion folder is labeled
with the EPA Records Schedule or Series number, Function number
and NARA disposition number. The closing date for each record
must also be clearly identified, either written on the accordion folder
or on an itemized list of documents to be contained within the box
(section 11.2). Any box sent off-site must be entirely filled with only
one EPA records schedule or series number to be accepted by the
FRC.


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4. Consult the US EPA National Records Management Program EPA Series
Website (see ref 15.1) for guidance on how to send records to the FRC
(e.g., paperwork to complete, etc.).

10. Cautions

1. Confidential business information (CBI) is not filed in room D217. CBI is
retained by the individual in a secure location, following OPP standard
procedures.

11. Special

Apparatus and
Materials

1.	3" or 5" accordion folders

2.	Fiberboard Box Special, Purpose (Records Retiring); purchase through
GSA

12. Procedure and
Analysis



12.1

Document Control

a.	To control the documents, MLB uses a Master List (Excel
spreadsheet) that has been created to capture all current active
records of the MLB.

b.	The Master List spreadsheet is used to populate standard operating
procedures, equipment, quality records (e.g. QMP, QAPP and
QAARWP), procurement records, contract records and external
documents (e.g. AO AC and ASTM standard methods). Maintain the
Master list on the G drive as an attachment to the SOP ADM-03:
SOP for maintaining, tracking and archiving of records.

c.	Specify location of documents in the Master List.

d.	Use stickers to identify hard copies of the documents with the
appropriate document number.

e.	For electronically kept documents, add each document in the
electronic directory identified by year (e.g. QMP, QAPP etc.).

f.	When a new piece of equipment is received, place a sticker on the
manual with the current date (month/year) and update the Master
List.

g.	Place the manual in the file cabinet or keep it next to the equipment.

h.	To remove a piece of equipment from use, remove the manual and
equipment and update the list accordingly.

i.	Add additional tabs to the Master List, as necessary.

j. Update the spreadsheet as changes are made to the records. If
records are retired, it is reflected in the spreadsheet.

12.2 Laboratory Test
Reports and

a. Laboratory test reports and supporting documentation for the

laboratory shall be maintained following EPA Records Schedule No.


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Supporting
Documentation -
EPA Records
Schedule No. 337

337, Laboratory Test Reports and Supporting Documentation.
Laboratory test reports include product performance, Antimicrobial
Testing Program (ATP) test reports, Virology Program reports,
Biofilm Program reports, Homeland Security Program reports, all
supporting documentation for the aforementioned reports (e.g.,
quality and control records, chain of custody documents, study
protocols, etc.), and other test reports produced by MLB (see section
15.2).

b. Laboratory Test Reports and Supporting Documentation records may
be destroyed 10 years after file closure. Close inactive records at the
end of the calendar year (see section 1.4).

12.3 Test Method
Evaluation Records
- EPA Records
Schedule No. 339

a.	Records related to the review, evaluation, collaboration, modification
and validation of test methods used for analysis of environmental
samples and pesticides products shall be maintained under EPA
Records Schedule No. 339, Test Method Evaluation Records.

Method reports include method evaluation, collaboration and
validation reports associated with research and development, as well
as all essential laboratory raw data and original test method data
submitted by companies or collaborating agencies (see section 15.3).

b.	Test method evaluation records may be destroyed 25 years after file
closure. Close inactive records at the end of the fiscal year.

12.4 Program
Management Files
(including internal
and external audits)
- EPA Records
Schedule No. 006

a.	Records relating to the on-going management of programs and
routine projects within programs, including internal and external
audits, shall be maintained following EPA Records Schedule No.
006, Program Management Files. Records may include
correspondence, memoranda, staff meeting records, meeting minutes,
routine office procedures, reports relating to general policy, oversight
reviews (e.g., internal and external audit reports), interagency
activity, and project control files showing assignments, progress, and
completion of projects (see section 15.4).

b.	Program management files may be destroyed five years after file
closure. Close inactive records at the end of the calendar year.

12.5 Quality
Assurance Project
Plans (QAPPs) and
Quality

Management Plans
(QMPs) - EPA
Records Schedule
No. 185

a. QAPPs and QMPs shall be maintained following EPA Records
Schedule No. 185, Collections of Quality Assurance Project Plans.
QAPPs describe procedures used to plan, implement, and assess
environmental measurement activities to ensure that measurements of
the appropriate type and quality are made to support decisions. QMPs
document the quality system of the organization conducting
environmental and laboratory data collection activities (see section


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15.5). This schedule includes contractor QAPPs and QMPs.

b. QAPPs and QMPs may be destroyed 10 years after file closure.
Close inactive records at approval, or at last amendment or last
review.

12.6 Training
Material - EPA
Records Schedule
No. 200

a.	Records used by Agency personnel in planning, preparing, writing,
arranging, and conducting training programs for EPA and non-EPA
employees, including state and other federal agency on non-federal
personnel shall be maintained following EPA Records Schedule No.
200, Training Material. Records consist of working files generated
during development phase of training, workgroup meeting notes,
correspondence, memoranda, training participation surveys and
rosters, instructional materials, manuals, and other training aides (ref
15.6).

b.	Training provided by MLB is considered to be "routine training"
rather than EPA "mission-related" (see section 15.6). Routine
training material records may be destroyed 5 years after file closure.
Close inactive records after course or material is superseded.

12.7 Standard
Operating
Procedures - EPA
Records Schedule
No. 007

a.	Records that document EPA's policy decisions and program
operational procedures shall be maintained following EPA Records
Schedule No. 007, Directives and Policy Guidance Documents.
Records consist of official policy decisions, delegations of authority,
operating guidance, procedures manuals (e.g., standard operating
procedures), technical resource documents, regulatory interpretation
and implementation, and mandates for action (see section 15.7).

b.	Records published or released to the public (e.g., Copy 0 of SOP
placed on Agency's website) are to be transferred to the National
Archives in five-year blocks, 20 years after file closure. Close
inactive records upon issuance or publication or when superseded.

c.	Unpublished records or those not released to the public may be
destroyed 10 years after file closure. Close inactive records upon
decision to not publish or issue.

12.8 Routine
Procurement Files -
EPA Records
Schedule No. 036

a. Routine procurement files for MLB shall be maintained following
EPA Records Schedule No. 036, Routine Procurement Files. Routine
procurement files contain Agency procurement and supply records
documenting the acquisition of goods and non-personal services by
the MLB (see section 15.8). Documents include copies of purchase
documents (e.g., purchase requests, shipping airbills, travel
authorizations, training authorizations, contracts credit cards and
bank card slips), direct deposits forms for vendors, specifications,


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bids, schedules of delivery, initiating requisitions, receipt, inspection,
and payment. Related background material, such as computer
printouts, funding obligations reports, etc., are also covered by this
series.

b.	Transactions exceeding $3,000.00: Destroy records 6 years and 3
months after file closure. Close inactive records upon completion.

c.	Transactions at or below $3,000.00: Destroy records 3 years after file
closure. Close inactive records upon completion.

d.	Records containing confidential business information, such as
purchase card logs and procurement requests, must be shredded to
protect confidentiality.

12.9 Contract
Management
Records - EPA
Records Schedule
No. 202

a.	Routine contract management records for MLB shall be maintained
following EPA Records Schedule No. 202, Contract Management
Records (see section 15.9). Contract records include all
correspondence and related records pertaining to the award
administration, receipt, inspection and payment of any and all
contacts to which EPA is a party and which are maintained and used
by the Agency or Contracting Officer for contract documentation and
for performance and financial monitoring and oversight activities.
Also includes reviews and audits conducted by the Financial
Analysis and Rate Negotiation Service Center (FARSC).

b.	Contract-level Contracting Officer's Representative (COR): Destroy
records 6 years and 3 months after final payment for the overall
contract. Close inactive records upon filing of final invoice or
completion or termination of the task order or work assignment.

c.	Records containing personal or confidential business information
must be shredded to protect confidentiality.

d.	Contracts that are being audited, protested, or are in any other kind of
legal action cannot be destroyed until the case is closed.

13. Data Analysis/
Calculations

1. None.

14. Forms and Data
Sheets

1.	Attachment 1: Microbiology Laboratory Branch's File Structure.

2.	Attachment II: Microbiology Laboratory Branch: Master list of
Documents.

15. References

1.	US EPA National Records Management Program Website
(www.epa.gov/records/policy/schedule/number).

2.	US EPA Records Schedule, EPA Series No. 337, Laboratory Test Reports.


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3. US. EPA Records Schedule, EPA Series No. 339, Test Method Evaluation



Records.



4. US EPA Records Schedule, EPA Series No. 006, Program Management



Files.



5. US EPA Records Schedule, EPA Series No. 185, Collections of Quality



Assurance Project Plans (QAPPs).



6. US EPA Records Schedule, EPA Series No. 200, Training Material.



7. US EPA Records Schedule, EPA Series No. 007, Directives and Policy



Guidance Documents.



8. US EPA Records Schedule, EPA Series No. 036, Routine Procurement



Files.



9. US EPA Records Schedule, EPA Series No. 202, Contract Management



Records.


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ATTACHMENT #1

MICROBIOLOGY LABORATORY BRANCH'S FILE STRUCTURE

Schedule #

Function #

Disposition Item

Description/Type of Record: File Contents

337

108-025-06-01



LABORATORY TEST REPORTS & SUPPORTING DOCS.



NARA Disposition #
Nl-412-07-50/8

a

Disposition Instructions:

Close inactive records at end of year.

Destroy 10 years after file closure.



339

108-025-06-01



TEST METHOD EVALUATION RECORDS



NARA Disposition #
Nl-412-07-43

a

Disposition Instructions:

Close inactive records at end of fiscal year.

Destroy 25 years after file closure.



006

301-093



PROGRAM MANAGEMENT FILES



NARA Disposition #
Nl-412-06-6/2

b

Disposition Instructions:

Close inactive records at end of calendar year.

Destroy 5 years after file closure.



185

304-104-06



QUALITY ASSURANCE PROJECT PLANS (QAPPs)



NARA Disposition #
Nl-412-07-1/7

a

Disposition Instructions:

Approved or Accepted QAPPs.

Close inactive records at approval, or at last amendment or review.
Destroy 10 years after file closure.



NARA Disposition #
Nl-412-07-1/7

b

Disposition Instructions:
Approved or Accepted QMPs.


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Close inactive records when suspended or after completion of the last
review conducted under the plan, whichever is later.

Destroy 10 years after file closure.



200

305-109-02-04



TRAINING MATERIAL



NARA Disposition #
Nl-412-06-11

a

Disposition Instructions:

Routine Training Materials.

Includes training course plans and materials used for personnel and
management training unrelated to the environmental missions of the
Agency.

Close inactive records after course or material is superseded.
Destroy 5 years after file closure.



007

306-111



DIRECTIVES AND POLICY GUIDANCE DOCUMENTS



NARA Disposition #
Nl-412-06-7

a(l)

Disposition Instructions:

Published or Released to the Public.

Close inactive records upon issuance or publication or when superseded.
Transfer to the National Archives in 5 year blocks, 20 years after file
closure.



NARA Disposition #
Nl-412-06-7

b

Disposition Instructions:

Unpublished or Not Released to the Public.

Close inactive records upon decision to not publish or issue.

Destroy 10 years after file closure.



036

405



ROUTINE PROCUREMENT FILES



NARA Disposition #
GRS 3/3

a(l)(a)

Disposition Instructions:

Includes transactions and related oaoers that EXCEED the simplified
acquisition threshold and all construction contracts EXCEEDING $3000.


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Close inactive records upon completion.
Destroy 6 years, 3 months after file closure.



NARA Disposition #
GRS 3/3

a(l)(b)

Disposition Instructions:

Includes transactions and related oaoers that are AT OR BELOW the
simplified acauisition threshold and all construction contracts AT OR
BELOW $3000.

Close inactive records upon completion.

Destroy 3 years after file closure.





202

405



CONTRACT MANAGEMENT RECORDS



NARA Disposition #
N1-412-06-6/5

b

Disposition Instructions:

Includes all correspondence and related records pertaining to contracts to
which EPA is a party. Records containing sensitive information must be
shredded. Contracts that are being audited, protested, or are in any other
kind of legal action cannot be destroyed until the case is closed. For the
Contract-level Contracting Officer's Representative (COR).

Close inactive records upon payment for the overall contract.

Destroy 6 years, 3 months after file closure.


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