All Things FSIS

NR: Recording Regulations


An establishment owner asks, “Can an inspector cite additional regulations in the narrative of an NR that are not included in the relevant regulations box of that NR?”

The simple answer is ‘yes,’ the inspector has the capability to cite additional regulations in the narrative; however, doing so is not consistent with FSIS employee performance policy.

FSIS Directive 5000.1 Verifying an Establishment’s Food Safety System, Chapter V, Documentation and Enforcement, Section II, Documenting Noncompliance instructs Inspection Program Personnel (IPP) todocument the noncompliance on FSIS Form 5400-4 Noncompliance Record (NR). The directive instructs IPP to record the relevant regulations in Block 6 and a description of the noncompliance in Block 10.

Primary Establishment Concern:

  1. Only the regulations listed in Block 6 are documented in PHIS as part of the establishment history; therefore, a regulation cited in the narrative is not technically part of the establishment history.  If the regulation cited in the narrative represents a valid noncompliance, it will not show up on any reports generated by the District Office.
  2. If the regulation cited in the narrative does not represent a valid noncompliance, then it represents an error on an official regulation that could negatively impact the establishment.  The establishment may want to appeal the erroneous information on the NR.

Other Considerations:

It is FSIS employee performance policy that IPP record regulations in the Block 6.  Recording regulations in the Block 10 description of the NR is a failure of IPP to properly perform their inspection duties.  This performance failure is of little significance to official establishments and generally ignored by FSIS supervisors.

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Michael Fisher

Husband of one. Father of three. Grandfather of six. Soldier. Traveler. Advisor. Friend.

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