Objectives 

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Introduction to AER 

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EIAO Training

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Upon completion of this module, you will be

able to:

• Describe the purpose of the AER system.

• Describe the primary role of the EIAO in the

AER system.

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• The AER system:

• was implemented to ensure all administrative

actions are fully supported. 

• provides a place to maintain accurate

documentation for administrative cases.

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Introduction to AER 

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AER Initiation 

AER Report and Exhibits 

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• FSIS Directive 5100.3

• Administrative Enforcement Action Decision

Making and Methodology

• FSIS Form 5400-9

• Administrative Enforcement Report

• The electronic 5400-9 is maintained in

AssuranceNet

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• The AER is prepared to include the

supporting documentation and evidence

that was used to support the action. 

Administrative

Enforcement

Report

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• Demonstrates FSIS had sound basis

• provides an outside reader such as a judge an

understanding of the key events associated

with the case

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Other Actions that Require an AER 

AssuranceNet 

During All Phases of Enforcement 

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• Recall effectiveness checks

• Prohibited activities as indicated FMIA Sec

610 & PPIA Sec 458-459

• Appeals to the District Manager

• Requests to withdraw custom exemption

• Requests to withdrawal of inspection services

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• The case management component of the

AssuranceNetis used to:

• Maintain an “electronic” copy of the AER including:

• FSIS Form 5400-9

• A list and description of each exhibit

• The exhibit documents

• Search and review of AER information

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• Develop and compile supporting

documents for decisions reached

• Examples

• Noncompliance Records

• Food Safety Assessments

• Establishment Records

• Lab Reports

• Photographs

• Letters/MOIs

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Supporting Documents 

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AER Case File 

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Appeals 

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• Described in the AER system in a way that

make the facts of the case clear

• Who

• What

• When

• Where

• and How of the alleged violation

• For enforcement actions, the documents are

to link the alleged violations with FSIS

statutory and regulatory requirements

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• For each administrative action:

• One “hardcopy” is prepared and maintained in

the District Office including:

• Signed copies of Agency enforcement letters

• Other FSIS letters pertaining to action

• Any responses from establishment officials

• Any responses to the establishment

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• If an establishment appeals

• Decision will be made based on the appeal and

the AER in support of the action/decision

• A copy of decision to deny or sustain the

appeal along with supporting documentation

must be included as an exhibitin the AER

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District Case Specialist 

Entering the AER in AssuranceNet 

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Entering the AER in AssuranceNet 

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• DCS has primary responsibility to ensure:

• All AER information is entered in AssuranceNet

• Official hardcopy of the report is maintained

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• The procedure for entering information

into AssuranceNet may vary.

• If an EIAO has the necessary computer

equipment and internet access, they may enter

AER information directly into the system.

• Other times, it may be more efficient for the

DCS to enter the information into the system in

the District Office . 

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• The DCS will discuss with you the method

used in your District for entering cases into

AssuranceNet.

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Time Frames for Entry 

AER Numbering System 

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AER Report Types 

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• FSAs that result in enforcement action

should be entered into AssuranceNet

within 48 hours of the exit conference.

• As new information is gathered; this

information should be added to keep the

AER up to date

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• Numbered by Report Type

• Examples

• NOIE AER

• 80-16-N003

District FY NOIE

3rd NOIE that

was created

nationally

during the FY

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• N NOIE 80-16-N003

• S Suspension 80-16-S001

• R Reinstatement 80-16-R001

• A Appeals to DM

• REC Recall Effectiveness Checks

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AER Report 

EIAO Role - Perform FSA 

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EIAO Role - Communicate Findings 

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NOIE Suspension Reinstatement

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• Performs PHREs, FSAs, investigations, and

administrative activities, analyzes and

documents findings

• Recommends appropriate enforcement

action

• Collects all relevant information and

evidence to support the AER

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• Communicates findings to the IPP, FLS,

SEIAO, District Case Specialist, DDM/DM, 

and establishment

• Information used to support enforcement must

be documented in one of the following:

• PHRE

• FSA Report

• MOI

• Other documents

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EIAO Role - Seek Expert Advice 

EIAO Role - Draft Letters 

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• For clarification of scientific or technical

issues prior to recommendation

• Contact OPPD or OPHS, use “Ask FSIS”

• Document guidance and include in AER

• For expedited help in any unusual cases

contact the District Office

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• Draft NOIE and Suspension letters or other

documents associated with an AER

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NOTICE OF INTENDED ENFORCEMENT

Mr. Joe,

This serves as official notification by the Food Safety and

Inspection Service (FSIS) of the United States Department

of Agriculture (USDA) of its intent to withhold the marks of

inspection and suspend the assignment of inspection

program personnel at Joe’s BBQ, Establishment 12345 M/P,

located at 62 Joe’s Industrial Blvd., Joetown, JO 12345.

BACKGROUND/AUTHORITY

The Federal Meat Inspection Act (FMIA) (21 U. S. C. 601 et seq.) and Poultry Products InspectionAct (PPIA)

(21 U.S.C. 451 et.seq.) providesthatit is essential in the public interestthat the health and welfare of

consumers be protected by assuring that meat and poultry,and meat and poultry food products distributed

to them are wholesome, not adulterated, and properly marked, labeled, and packaged.

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EIAO Role - Verification Plan 

EIAO Role - Follow-up Visits 

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District Case Specialist 

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• Develop a Verification Plan when a deferral

or abeyance decision is made

• Discuss the VP with the DCS, FLS, IPP, and

establishment

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• Conduct follow-up visits at 30, 60, and 90

day intervals

• Evaluate generated data

• Determine if corrective actions are effective

• Provide recommendations and decide next

steps

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• The DCS takes the lead in developing the

AER strategy and assuring that the AER has

all documents to support enforcement or

other action

• The DCS communicates with EIAOs as AER 

cases are in progress

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District Case Specialist 

District Case Specialist 

District Manager 

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• Serves as the designed Evidence Officer

and maintains AER system

• Ensures the integrity of all documentation

• Reviews PHRE and FSA and ensures

recommendations are supportable

• Responsible for the final AER

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• Ensures proper distribution of the

enforcement letters

• Includes all relevant documents are in AER 

case file

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• Ensures administrative enforcement

actions are consistent with policy

• Communicates with the DCS and EIAO

about case strategy

• Correlates with the OFO AERO

• Refers the case to ELD/CID for violations

that require administrative enforcement

action, seizure, or other issues as needed

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Exhibit Examples 

- rd·er-of-Exhibits 

Example NOIE AER 

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• FSIS Form 5400-9 and accompanying exhibit list

• FSA Report

• Copies of HACCP, SSOP, prerequisite records

• Decision documents, MOIs

• Guidance from OPHS, OPPD or AskFSIS

• Lab results

• Relevant photographs

• Establishment responses to agency letters

• Communications regarding actions

• Any document that supports decisions

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• First exhibit should be the letter to

establishment notifying them of the action

or intended action

• Last exhibit should be the document

closing out the action

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• Initial Exhibit - NOIE letter

• Final Exhibit

• Letter of Warning

• Notice of Suspension

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Example Suspenion AER 

Evidence Procedures 

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Workshop - Directive 5100.3 

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• Initial Exhibit – Notice of Suspension

• Final Exhibit

• Letter of Warning

• Notice of Reinstatement of Suspension

• Referral Letter

• Voluntary Withdrawal of Inspection Letter

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• EIAOs must collect, maintain, and

safeguard evidence.

• Follow FSIS Directive 8010.3, Procedures

for Evidence Collection, Safeguarding and

Disposal, when sending evidence you

collect that is associated with an AER to

the District Office/ District Case Specialist.

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1. List types of enforcement letters

EIAOs may draft

2. Describe the exhibits that may

close a Reinstatement AER

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Questions 

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