UNITED STATES DEPARTMENT OF AGRICULTURE 

FOODSAFETY AND INSPECTIONSERVICE 

WASHINGTON, DC 

13,000.3 FSIS DIRECTIVE 12/14/22 

Rev. 2 

RESPONDING IN PHIS TO INDUSTRY APPEAL OF A NONCOMPLIANCE RECORD 

NOTE: DO NOT IMPLEMENT THIS DIRECTIVE UNTIL: DECEMBER 19, 2022 

I. PURPOSE 

A. This directive provides instructions to supervisory personnel responsible for addressing appeals from 

official meat and poultry establishments, egg products plants, official import inspection establishments,

identification (ID) warehouses, and other facilities where FSIS provides inspection service. The directive 

provides instructions to supervisory personnel regarding how to respond to an appeal of a noncompliance 

record (NR) that has been presented to FSIS by an establishment representative through the Public 

Health Information System (PHIS), or has been presented orally, or in writing. The directive also provides 

instructions to inspection program personnel (IPP) regarding how to delete or modify an NR in PHIS. 

NOTE: Appeals related to other noncompliances or enforcement actions (e.g., Notices of Intended 

Enforcement (NOIEs), Office of Investigations, Enforcement and Audit (OIEA) actions, laboratory results) 

are to be appealed through the applicable supervisory chain of command. 

B. FSIS has revised this directive to include the regulatory changes in the final rule, Establishing a Uniform

Time Period Requirement and Clarifying Related Procedures for the Filing of Appeals of Agency Inspection 

Decisions or Actions, (87 FR 63420) and references to 9 CFR 500.9, that requires establishments to appeal 

inspection decisions or actions within 30 calendar days of receipt of written notification (including e-mail and 

PHIS communication) of the contested decision or action and to also submit any subsequent appeals within 

30 calendar days. 

C. For the purposes of this directive, “supervisory personnel” refers to any Office of Field Operations 

(OFO) personnel, at any level, that supervise IPP who conduct verification activities in official 

establishments or other facilities. This term includes Supervisory Public Health Veterinarians (SPHVs), 

Supervisory Consumer Safety Inspectors (SCSIs), Inspectors-in-Charge (IICs), Frontline Supervisors 

(FLSs), District Managers (DMs) and Deputy District Managers (DDMs). 

KEY POINTS: 

• Provides instruction to supervisory personnel regarding the decision process when responding to 

industry appeals; how to address industry appeals submitted through PHIS; and how to address

industry appeals submitted orally or in writing (i.e., not submitted through PHIS) 

• Provides instruction to IPP regarding how to delete an NR in PHIS when an appeal has been 

granted and how to modify a denied appeal based on instruction from the supervisor 

• Clarifies that there is a 30-calendar day timeframe in which an initial appeal and subsequent 

appeals are to be made by establishments. 

• Provides instructions to IPP and supervisory personnel regarding how to get references to 

appeals excluded from establishment meeting agendas and weekly meeting MOIs once the 

appeals have been resolved 

DISTRIBUTION: Electronic OPI: OPPD 
II. CANCELLATION 

FSIS Directive 13,000.3, Responding in PHIS to Industry Appeal of Noncompliance Records, Rev. 1, 

11/16/16. 

III. BACKGROUND 

A. FSIS regulations provide that any establishment adversely affected by a decision or action of an 

inspector or other Agency employee related to an inspection activity may appeal the decision or action. This 

includes inspection decision including enforcement actions taken in accordance with 9 CFR 500. 

NOTE: Appeals are to be submitted to an immediate supervisor for a determination. IPP are not to 

address appeals except as instructed by their immediate supervisor and explained in this directive. 

B. If an establishment decides to appeal an inspection decision it is important that it submit the appeal as 

soon as possible but no longer than 30 calendar days after receiving written notification of the contested 

decision or action, as required under 9 CFR 500.9. The appeal is to be submitted to IPP’s immediate 

supervisor, with any supporting information explaining why the appeal should be granted. 

C. IPP are to notify establishment management submitting an appeal using PHIS that once they submit 

their appeal in PHIS they cannot alter or adjust the information. However, if an establishment wants to 

augment an appeal entered into PHIS in writing, FSIS will accept the additional information in writing, 

scan it, and upload it into PHIS. 

D. An inspected establishment or its representative may submit an appeal, verbally or in writing, to the 

immediate supervisor of any program employee if they believe the establishment has been adversely 

affected by an applicable decision or action. FSIS officials can verbally respond to a verbal appeal 

unless it is being denied then the response needs to be in writing. 

NOTE: IPP are to be aware that the appeals process begins with their immediate supervisor. However, 

as a means to encourage open communication and good business relationships, the author of the NR 

should be available and open to discuss any concerns regarding NRs with the establishment. Such 

discussions are not an appeal or part of the appeals process but instead serve as a means to resolve 

issues at the lowest possible level. 

E. Under 9 CFR 500.9, initial appeals of an applicable decision or action, as well as subsequent appeals 

of denied appeals through final Agency action, are to be made within 30 calendar days of receiving 

written notification of the contested decision or action. 

F. The following outlines the chain-of-command for appeal decisions concerning NRs: 

1. Immediate Supervisor (i.e., IIC or PHV of IPP who made the original noncompliance 

determination or the FLS if that is the immediate supervisor); 

2. FLS; 

3. DM/DDM; 

4. Executive Associate for Regulatory Operations (EARO); 

5. DeputyAssistant Administrator/Assistant Administrator for Office of Field Operations (OFO); and 

6. Administrator for FSIS. 

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NOTE: The staffs in the Office of Public Health Science and the Office of Policy and Program 

Development are not part of the supervisory chain-of-command regarding the resolution of NR appeals. 

Sample results and regulatory interpretations provided by these staffs can be used to support or refute an 

NR but are not to be considered as denying or granting an appeal. 

IV. IPP RESPONSIBILITIES - WHEN INSTRUCTED BY SUPERVISOR TO MODIFY AN NR IN PHIS 

A. Login using normal login procedures 

B. Prepare to modify (i.e., edit) 

1. On the left menu click “Inspection Verification”; 

2. Click the “Select Establishment” option to access the Domestic Inspection page; 

3. From the Domestic Inspection page, select the establishment by clicking on the adjacent 

radio button; 

4. Once an establishment is selected, select the “Noncompliance Records” option from the 

left Navigation Menu under “Inspection Verification”; 

5. Locate the NR requiring modification using the Appeal Status column (Appealed by Plant) and click 

on the “Edit” pencil icon to open the Noncompliance Record (NR) page; 

6. If the status of the NR subject to appeal is “NR Completed,” when the NR page opens, the 

message “This Noncompliance record has been completed” displays at the top of the page with a 

hyperlink (if the status is “Open” skip to step 13 below); 

NOTE: An NR identified as “NR Completed” is “locked” for editing and requires a justification to “unlock.” 

7. Select the “Click here” hyperlink to access the “Reason to Edit” on the NR page; 

8. Unlock the NR for editing by selecting a justification from the dropdown list (Mandatory field) 

(i.e., Instructed by supervisor) and entering additional descriptive text within the text box

(e.g., appeal granted, deleting per instructions by supervisor); 

9. Click the “Unlock” button to save the justification and return to the NR page; 

NOTE: The “Noncompliance Finalized?” checkbox will now be blank and the General tab will show the 

status of the NR as Open 

9. The newly added justification is displayed at the bottom of the page, with a message above the 

grid; 

10. If the NR has been finalized, once the Noncompliance Record (NR) page opens, select the 

noncompliance tab and then the Edit pencil icon to open the Noncompliance page; 

11.The following message will be displayed at the top of the Noncompliance page: 

“This noncompliance has been finalized. To unlock it, select “Click here” and provide a 

justification.” 

12. Select the “Click here” hyperlink to access the NR page to unlock the finalized Noncompliance; 

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13. Select from the dropdown list the appropriate reason and enter any additional descriptive text for

the reason to Edit NR, and; 

14. Click “Unlock” button and nowthe Noncompliance page can be modified. 

C. Modify (i.e. edit) the NR. 

1. Once the justification has been entered as above, make the changes to the NR as required by the 

supervisor; 

2. Once all the information has been entered, click “Save” button at the bottom of the page. Then 

check the “Noncompliance Finalized?” box and click “Save” button again; 

3. At the bottom of the Noncompliance page will appear the Justification, Reason to Edit, Edited By, 

and Edited Date; 

4. Click “Cancel” and it will return you to the Noncompliance Record (NR) page. If you select the 

Noncompliance tag, you will see the “Finalized” status of the noncompliance; and 

5. To complete the NR, place a check in the “NR Completed” checkbox and click Save. This returns 

you to the Noncompliance Records page and the NR status will now display as “Completed”. 

D. If the establishment uses the Industry Module in PHIS, they can review changes to the NR and decide 

whether or not to “Accept FSIS’s decision.” If they accept the modification, then the NR status will no 

longer show it is under appeal. 

NOTE: If the establishment has elected not to use PHIS, the next line of OFO supervisory chain-ofcommand is to enter the information for the establishment in PHIS. 

E. If IPP observe that an NR number continues to be included on the weekly meeting MOI after the NR 

appeal has been resolved (e.g., the establishment chooses not to further appeal the NR), they are to 

inform their immediate supervisor. The supervisor is to follow the instructions in Section VI.F below to 

resolve the issue. 

V. IPP RESPONSIBILITIES - WHEN NOTIFIED BY SUPERVISOR TO DELETE AN NR IN PHIS 

A. Login using normal login procedures 

B. Prepare to delete 

1. Follow the instructions in Section IV. B above, to unlock the NR; 

2. Once the NR is unlocked, uncheck the regulations identified on the Noncompliance page; and 

3. Click “Save” and then Click “Cancel”. This returns the user to the NR page. 

C. Delete the NR 

1. Click on the “Noncompliances” tab; 

2. Select the NR to be deleted, the status should be ‘open’; 

3. Click on the “Trash can.” A warning message will appear: “This action will delete the 

Noncompliance. Are you sure?” 

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4. In the warning box click “OK” to permanently delete the noncompliance; 

NOTE: This action cannot be reversed once the noncompliance is deleted 

5. In the “Task Calendar,” if the task is “yellow,” it will now show that it is no longer noncompliant; 

6. Document that the task is completed by opening it and checking “Inspection Completed” box; and 

7. Click “Save” and then close. The task should now be displayed as “green” in the “Task Calendar” 

NOTE: Once the electronic copy of the NR is removed from PHIS, IPP are to remove the paper NR with any 

associated correspondences from the government file system. 

VI. SUPERVISORY PERSONNEL - GENERAL RESPONSIBILITIES 

A. Supervisory personnel will receive notification of an appeal in one of the following ways: 

1. The appeal will appear under the “My Tasks” tab on the supervisors Home Page in PHIS; or 

2. The supervisory personnel will receive written (including e-mail and PHIS communication) or oral 

notification from an establishment. 

B. The supervisor can grant the appeal in its entirety, because they believe that the NR, as written, does

not support regulatory noncompliance or they can deny the appeal because they believe that the entire 

NR, or some portion of it, supports regulatory noncompliance. 

NOTE: Granting the appeal does not remove the NR from the PHIS system. It removes the NR from view 

and no longer allows any changes. 

C. Supervisory personnel are to respond promptly to each appeal received by doing the following: 

1. Obtain all relevant factual information and review pertinent notices, directives, statutes, and

regulations; and 

2. Communicate the appeal decision to the establishment and to any IPP involved with the appeal. 

D. FSIS responses to appeals are to be provided as soon as possible, within the suggested timeframes 

below. However, because each appeal case presents a unique set of facts that require consideration, the 

response times may vary. 

NOTE: As indicated in PHIS, appeals to the EARO, OFO Deputy Assistant Administrator, OFO Assistant 

Administrator, or the FSIS Administrator are not conducted through PHIS and must be presented in writing 

directly to those officials. 

E. Supervisory personnel are to obtain the following information from the responsible establishment 

employee: 

1. The original NR under appeal, if the appeal was not made through PHIS; 

2. A narrative explanation of why establishment management disagrees with the inspection decision; 

3. Any supporting documentation that establishment management believes will assist supervisory 

personnel in evaluating the situation under appeal; 

4. Copies of any previous FSIS responses; and 

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5. Any records (e.g., HACCP, SSOP, or prerequisite program) that may contain relevant information 

on the issue being appealed. 

F. Due to the functionality of PHIS, any NR under appeal will continue to be included on the weekly 

meeting agenda and subsequent MOI until it is resolved and marked “accepted FSIS decision” in PHIS. If 

IPP observe that an NR number continues to be present on the weekly meeting agenda and MOI after the 

NR appeal has been resolved (e.g., the establishment chooses not to further appeal the NR), they are to 

notify their immediate supervisor. The immediate supervisor will then notify the supervisor that is next in 

the OFO chain-of-command who has not addressed the appeal is to do the following: 

1. Login using normal login procedures; 

2. Click on “Inspection Verification”; 

3. Click on “Select Establishment” and choose an establishment; 

4. Click on “Plant Management”; 

5. Select the NR in question; 

6. Click on the “Response” icon; 

7. Select the radio button “Accepted FSIS Decision.” Enter the name of the responsible 

establishment employee that indicated the establishment no longer wishes to appeal the NR 

further; and 

8. Click on “Save”, click “Submit” and then click “OK." 

NOTE: The responses to all appeals, (e.g. those provided to the establishment) are to be entered into 

PHIS using the following instructions and those in Section VII below. 

G. Supervisors at all levels are to include the following information within their written response to the 

establishment when addressing an NR appeal. 

1. Identify the PHIS NR number and the date the appeal was received; 

2. Identify each issue under appeal, the reasons the issue(s) is under appeal and the action 

requested; 

3. For each issue under appeal, provide the following: 

a. Information, details and facts used to formulate and support the decision; 

b. Identification of any misapplied policy; 

c. The final decision; and 

d. All actions to be taken as a result of the decision. 

NOTE: It is important that supervisory personnel include information that supports the decision for 

granting or denying an appeal. However, they only need to summarize the basis for their decision when 

entering information into PHIS to enable data analysis of NR appeal outcomes. 

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VII. SUPERVISORY PERSONNEL - RESPONDING TO AN APPEAL IN PHIS 

NOTE: If the establishment appeals in writing, FSIS supervisors are to include the information in PHIS 

either by scanning or including the written document, which could be an email, as an attachment. 

A. When the establishment management, or their representative, uses PHIS and submits an appeal 

electronically into PHIS, FSIS supervisory personnel are to do the following: 

1. Review the establishment’s response by accessing the Plant Management page within PHIS. 

Note: The appeal and response text boxes do not have a designated character limit to facilitate 

thorough and complete entries by establishment management and FSIS supervisory personnel. 

2. Respond to the establishment’s appeal in PHIS after evaluating the establishment’s reason for 

appeal, the initial inspection findings, and the pertinent regulatory provisions as they apply to the 

documented noncompliance. 

3. Follow the instructions below to Grant or Deny the appeal in PHIS: 

a. Log in using normal login procedures; 

b. Select establishment; 

c. Fromthe left menu, click “Inspection Verification” then “Plant Management”; 

d. Find the NR that was appealed and click the red arrow in “Response” column; 

e. View establishment’s appeal; and 

f. Grant or Deny using the instructions below 

4. Grant 

a. Click “Grant”; 

b. Enter an FSIS response regarding why the appeal is being granted in the text field or upload 

an attachment; 

c. Click the “Save” button to save the information; 

d. Click “Submit.” A message will display asking “Are you sure want to submit?”; 

NOTE: The same message is displayed for granting or denying, so be sure that the correctradio button is 

selected. 

e. Click “OK” if you are sure that you want to “Grant” the appeal; and 

NOTE: This action cannot be reversed once the appeal is granted. 

f. Notify the IPP author of the NR, through supervisory channels, that the appeal has been 

granted. IPP will follow the instructions in Section V to delete the NR. 

5. Deny 

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a. Click “Deny”; 

b. Enter an FSIS response regarding why the appeal is being denied in the text field or upload 

an attachment; 

NOTE: If an attachment is added, be sure that the radio button still indicates “Deny” and does not default 

to “Grant”. 

c. Click the “Save” button to save the information; 

d. Click “Submit.” A message will display asking “Are you sure want to submit?”; and 

e. Click “OK.” 

NOTE: If supervisory personnel determine that modifications need to be made to the denied NR, they are 

to notify the IPP author of the NR, through supervisory channels, regarding the necessary modifications.

The IPP author of the NR will follow the instructions in Section IV above to make the modifications in 

PHIS. 

6. If multiple issues are documented as separate noncompliances on the NR, supervisors are to: 

a. Deny the appeal if the supervisor decides that any part of an NR is supportable. 

b. Grant the appeal if the supervisor decides the entire NR, as documented is not 

supportable. 

B. When establishment appeals an NR but elects not to request access to PHIS (i.e., cannot submit an 

appeal electronically into PHIS), supervisory personnel are to do the following: 

1. Log in using normal login procedures; 

2. Click “InspectionVerification” then “Select Establishment”; 

a. From the left menu click “Plant Management “; 

b. Find the NR that was appealed and click the red arrow in “Response” column; 

c. Click “Appeal”; 

d. Enter the name of the establishment representative that is making the appeal in the text 

field. If there is an establishment appeal in writing, the supervisor will attach either a 

scanned copy or if it was electronically sent, the electronic version; 

e. Click “Save”; 

f. Click “Submit”; and 

g. At the “Are you sure want to submit?” prompt, click “OK.” 

3. Follow Steps 4 and 5 in Section VI A. above to “Grant” or “Deny” the appeal. 

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NOTE: When the DM or DDM denies an appeal, the following message will be visible at the top of the 

“Plant Management Response” page: 

“The District Manager/Deputy District Manager has denied your appeal. If you wish to continue the 

appeal process to the next level of supervision, please submit your appeal and any associated 

documents to the Executive Assistant for Regulatory Operations (EARO) for your district. For 

appeal guidance, please refer to the FSIS website.” 

VIII. QUESTIONS 

Refer questions regarding this directive to your immediate supervisor or to the Office of Policy and Program 

Development through askFSIS or by telephone at 1-800-233-3935. When submitting a question, complete 

the web form and select General Inspection Policy as appropriate as the Inquiry Type. 

NOTE: Refer to FSIS Directive 5620.1, Using askFSIS, for additional information on submitting questions. 

Assistant Administrator 

Office of Policy and Program Development 

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