FSIS DIRECTIVE 2/19/10 - eAuthentication

1 UNITED STATES DEPARTMENT OF AGRICULTURE FOOD SAFETY AND INSPECTION SERVICE WASHINGTON, DC FSIS DIRECTIVE REVISION 2 2/19/10 IN-PLANT performance SYSTEM (IPPS) I. PURPOSE This DIRECTIVE provides revised policies and procedures for the Office of Field Operations (OFO) supervisors to conduct, document, and report on IPPS Assessments. II. CANCELLATION This DIRECTIVE cancels FSIS DIRECTIVE , Revision 1, dated 11/18/05. III. REASON FOR REISSUANCE This DIRECTIVE : A. Introduces a simplified version of the Guide for conducting In-plant performance System (IPPS) Assessments, for supervisors, who evaluate the performance of all non-supervisory in-plant personnel. B. Revises the instructions for completing the IPPS assessment sheets and using AssuranceNet for IPPS reporting.

2 C. Changes the timeframes for completing the IPPS assessments to coincide with the recent changes to the Agency performance rating cycle. D. Establishes a new organizational performance measure for Supervisory Public Health Veterinarian (SPHV) review of IPPS assessments conducted by Supervisory Consumer Safety Inspectors (SCISs). IV. REFERENCES AssuranceNet User Guide (OFO) September 2009 Guide for conducting In-Plant performance System (IPPS) Assessments FSIS DIRECTIVE , Personnel Records FSIS DIRECTIVE , performance Evaluation Plan DISTRIBUTION: OPI: Electronic OFO Regulatory Operations FSIS DIRECTIVE , Verifying An Establishment s Food Safety System Title5, Chapter 43 performance Appraisal V.

3 ABBREVIATIONS AND FORMS The following appear in their shortened form in this DIRECTIVE : DM District Management FLS Frontline Supervisor HACCP Hazardous Analysis Critical Control Point HIMP HACCP-Based Inspection Models Project IPPS In-Plant performance System LEARN Laboratory Electronic Application for Results Notification NRs Noncompliance Records OFO Office of Field Operations PBIS performance Based Inspection System PHV Public Health Veterinarian PREP Pathogen Reduction Enforcement Program SCSI Supervisory Consumer Safety Inspector SPHV Supervisory Public Health Veterinarian FSIS Form 4430-8A, In-Plant performance System assessment Sheet Food Inspector Slaughter FSIS Form 4430-8B.

4 In-Plant performance System assessment Sheet Food Inspector Exports FSIS Form 4430-8C, In-Plant performance System assessment Sheet Consumer Safety Inspector (with or without unique duties) FSIS Form 4430-8D, In-Plant performance System assessment Sheet Food Inspector Egg Products FSIS Form 4430-8E, In-Plant performance System assessment Sheet Lead Consumer Safety Inspector (HIMP) FSIS Form 4430-8F, In-Plant performance System assessment Sheet Public Health Veterinarian FSIS Form 4430-8G, In-Plant performance System assessment Sheet Consumer Safety Inspector (HIMP) FSIS Form 4430-10, performance Appraisal FSIS Form 4430-10a, performance Standard VI.

5 POLICY A. IPPS provides a first-hand, on-site observation of how well an employee conducts FSIS inspection and verification procedures in federally inspected establishments. IPPS assesses an employee s demonstrated knowledge of their job requirements, appropriate regulatory decision-making, and execution of inspection and verification procedures. IPPS does not assess plant compliance with regulatory requirements. Page 2 B. Supervisors must conduct at least two IPPS assessments for each employee covered by IPPS during the performance rating cycle. Typically, the first IPPS should be conducted between setting performance standards and the midyear progress review. The second IPPS assessment should be conducted between the midyear progress review and the completion of the annual performance rating.

6 EXCEPTION: If an employee is supervised for part of the year, it may not be feasible for that supervisor to conduct two assessments before the close of the rating cycle. C. Supervisors can conduct more than two IPPS assessments during the rating year and should do so if they cannot thoroughly assess all of the performance elements and sub-elements over two assessments, or if they have the need to follow up on issues identified in previous IPPS assessments. D. Supervisors who identify elements or sub-elements on which follow-up is required are to conduct a follow-up IPPS assessment on those elements within 60 days of the IPPS visit on which the need for follow-up was identified. FSIS DIRECTIVE REVISION 2 VII. APPLICABILITY This DIRECTIVE applies to OFO supervisors who rate the performance of non-supervisory in-plant inspection program personnel.

7 In-plant inspection positions that are subject to IPPS assessments are identified in Attachment 1. The supervisory positions that are required to conduct IPPS assessments include: A. FLS. B. Multi-IPPS supervisors. C. SPHV. D. SCSI. VIII. PROVISIONS IPPS is a tool that supervisors use to assess the work of non-supervisory in-plant inspection program personnel. IPPS benefits include: A. Encouraging effective communication between supervisors and their subordinates. B. Identifying and addressing the need to improve employees knowledge of job requirements. C. Encouraging correlation with employees to ensure consistency in inspection methods and applications. Page 3 2/19/10 D.

8 Identifying and addressing performance problems that are outlined in FSIS DIRECTIVE , performance Evaluation Plan. E. Recognizing and rewarding on-target or noteworthy employee performance . F. Assisting in measuring organizational performance through OFO s performance standards. G. Linking IPPS assessment results and work unit meeting topics to address common or group needs that are discovered during IPPS visits (example: areas in which supervisors find misunderstandings or lack of program execution among multiple inspection personnel). IX. OVERSIGHT AND MANAGEMENT CONTROLS OFO has established a management control system that provides multi-layered, in-depth management oversight of the public health and management activities carried out by OFO. It also provides OFO with the capability to demonstrate and verify its effectiveness in protecting the public health by achieving and maintaining specific levels of performance in its daily food safety, food defense, and management and supervisory operations.

9 To carry out this oversight, OFO managers and supervisors review IPPS assessment results and provide appropriate feedback using the AssuranceNet application, as follows: A. The SPHV reviews 25 percent of IPPS assessments conducted by the SCSI with at least two of these reviews accomplished by direct observation. B. The FLS reviews 10 percent of IPPS assessments conducted by the SPHV and SCSI with 1 percent of these reviews accomplished by direct observation. C. The DM team reviews 10 percent of IPPS assessments conducted by the FLS, SPHV, or SCSI, with 1 percent of these reviews accomplished by direct observation. D. The Executive Associate for Regulatory Operations reviews 2 percent of IPPS assessments that have been reviewed by the DM team. X. IPPS AND THE performance MANAGEMENT SYSTEM A. IPPS does not replace the Agency s performance management system, though there are similarities.

10 Both IPPS and the performance management system are designed to: 1. Encourage and maintain effective and on-going communication between supervisors and employees on the employee s job performance . Page 4 FSIS DIRECTIVE REVISION 22. Provide critical and constructive feedback to employees on achieving job requirements. 3. Assist supervisors and employees in identifying, addressing, and correcting performance problems or issues that hinder employee productivity. 4. Assist supervisors in identifying and recognizing individual performance contributions. B. OFO uses IPPS to assess the employee s knowledge of their job requirements. IPPS applies to non-supervisory in-plant occupations. IPPS: 1. Is designed to provide supervisors with a structured process to look at specific elements of the job and provide feedback to employees to identify, address, and correct areas where there is a need for improvement in performance .