Based on our experience reviewing a number of noncompliance records, we recommend that when USDA’s Food Safety and Inspection Service (FSIS) documents regulatory noncompliance at your facility, you review it with a “fine tooth comb.” To successfully review a noncompliance record (NR), you must first know your food safety programs and the governing regulations. You should review each noncompliance to determine if your program failed, if you failed to follow your program, or if you have a basis to appeal all or part of the noncompliance.
The description of the noncompliance should be clear and concise while accurately describing the regulatory failure. If there are inaccurate facts, these should be appealed. If there is a repeat occurrence or a developing trend of noncompliance, this will be documented as well. Preventive measures that were previously proffered and not implemented will be documented in the NR, and should be a red flag that FSIS is documenting management has failed to follow through on previous commitments.
FSIS documents each regulation that pertains to the noncompliance. The establishment should review each citation and ensure that it pertains to the documented noncompliance. FSIS will use these failed regulations to determine future inspection activity at the establishment. If the citations are accurate, the establishment needs to determine the root cause of the failure and make necessary corrections. If there are citations that do not belong, they can be appealed.
FSIS will also include any linkage to previously issued NRs. Again, the establishment should verify the accuracy of the linkages. If the linkages are correct, the establishment needs to determine the root cause of the failure and make necessary corrections. If there are linkages that are not correct, they can be appealed.
Anytime the establishment appeals, they should use supporting information to dispute the facts or the conclusions in the NR. Scientific articles, written statements, information from the manufacturer, previous AskFSIS questions, photographs, and other support should be included. Absent a basis, factual, scientific or regulatory, the Agency will not rescind an NR on appeal.
Reviewing noncompliance records can be very helpful for an establishment. They can serve as an early warning tool in preventing repetitive noncompliance. Establishments can objectively appeal inaccurate information in a timely manner. Establishment management can stay current on Agency information by staying engaged with the latest regulatory information.
