FSIS DIRECTIVE...

UNITED STATES DEPARTMENT OF AGRICULTURE FOOD SAFETY AND INSPECTION SERVICE

WASHINGTON, DC

FSIS DIRECTIVE 4430.5 9/29/09

SUPERVISORY TOOL FOR ASSESSMENT RESULTS (STAR)

I. PURPOSE

This directive:

A. Provides policy and procedures to implement the Supervisory Tool for Assessment Results (STAR).

B. Establishes a structured system for Office of Field Operations (OFO) supervisors to follow when conducting and documenting assessments of in-plant, subordinate supervisory personnel.

C. Provides guidance and step-by-step instructions for conducting, documenting, and when applicable, following up on assessment results. (See Attachment 1.)

D. Introduces FSIS Form 4430-11A, Supervisory Tool for Assessment Results (STAR) Guideline for the SPHV, SPHV (HIMP), SCSI, a tool that OFO supervisors use for conducting the supervisory assessment. (See Attachment 2.)

E. Introduces FSIS Form 4430-11, Supervisory Tool for Assessment Results (STAR) for SPHV, SPHV (HIMP), SCSI, a tool that OFO supervisors use for documenting results of the supervisory assessment. (See Attachment 3.)

F. Establishes the minimum number of required STAR assessments to at least one in-person assessment for each covered supervisory employee during the performance rating cycle.

II. (RESERVED) III. (RESERVED)

DISTRIBUTION: OPI: Electronic OFO – Regulatory Operations

IV. REFERENCES

FSIS Directive 4293.1, Personnel Records FSIS Directive 4430.1, Performance Evaluation Plan Guide for Conducting In-Plant Performance System (IPPS) Assessments U.S.C. Title 5, Chapter 43 – Performance Appraisal

V. ABBREVIATIONS AND FORMS

The following appear in their shortened form in this directive:

EO/CR Equal Opportunity/Civil Rights FLS Frontline Supervisors HIMP HACCP-Based Inspection Models Project IPPS In-plant Performance System OFO Office of Field Operations SCSI Supervisory Consumer Safety Inspectors SPHV Supervisory Public Health Veterinarians STAR Supervisory Tool for Assessment Results

FSIS Form 4430-11A, Supervisory Tool for Assessment Results (STAR) Guideline for the SPHV, SPHV (HIMP), SCSI

FSIS Form 4430-11, Supervisory Tool for Assessment Results (STAR) for SPHV, SPHV (HIMP), SCSI

VI. POLICY

A. STAR requires OFO field-level supervisory personnel to determine if in-plant, subordinate supervisors perform both program activities and supervisory responsibilities, in accordance with applicable regulatory requirements and FSIS directives and notices.

B. OFO field-level supervisors must conduct a minimum of one in-person STAR assessment for each in-plant, subordinate supervisor during the performance rating cycle. Field-level supervisors have flexibility in determining when to conduct the assessment and whether to assess all elements and sub-elements during one visit or multiple visits over the course of the rating cycle. See Attachment 1 for the STAR supervisory guidance.

C. Some elements can be assessed separate from the onsite visit (example: those relating to communications). The majority of the mission support element must be assessed during the onsite visit.

D. Assessment results are noted on FSIS Form 4430.11A and summarized and documented on FSIS Form 4430-11. The summation should provide a description of observations and findings for each element and sub-element, and when applicable, any remedial action needed to improve performance.

FSIS DIRECTIVE 4430.5

VII. APPLICABILITY

A. This directive applies to OFO field-level supervisory personnel who rate the performance of in-plant, subordinate supervisory personnel. (NOTE: STAR is used by FLSs to assess SPHVs and for SPHVs to assess SCSIs). The supervisory positions covered by STAR include:

1. SPHV.

2. SCSI.

3. Supervisory personnel at HIMP plants.

B. STAR is not designed to assess FLSs, though FLSs will be evaluated on how well they carry out the STAR assessments.

VIII. PROVISIONS

STAR is a tool that supervisors use to assess the knowledge and proficiency of field-level supervisory personnel. STAR provides:

A. A firsthand, onsite observation of how well field-level supervisors conduct

and oversee the performance of FSIS inspection and verification procedures in federally inspected establishments.

B. A consistent structured approach to assessing the effectiveness of in-

plant, subordinate supervisory personnel with respect to both program activities and supervisory and administrative responsibilities. (NOTE: STAR does not assess plant compliance with regulatory requirements.) Potential benefits include:

1. Encouraging effective communication between supervisors and subordinates through the assessment and feedback process.

2. Identifying and addressing the need to improve field-level supervisors’ knowledge of job requirements.

3. Encouraging correlation with supervisors to ensure consistency in inspection methods and applications.

4. Identifying and addressing performance problems in accordance with policies and procedures that are outlined in FSIS Directive 4430.1, Performance Evaluation Plan.

5. Recognizing and rewarding on-target or noteworthy supervisory performance.

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6. Addressing common or group needs identified through STAR assessment results, such as at a work unit or district meetings (example: areas in which multiple supervisors are having difficulty understanding or executing job requirements).

IX. STAR OVERSIGHT

To ensure consistency and effectiveness in performing daily food safety, food defense, and management and supervisory activities, OFO executives, managers, and field-level supervisory personnel must conduct an oversight review of STAR assessments and provide appropriate feedback. To carry out this oversight, minimum expectations for review of assessment results are as follows:

A. The FLS reviews 50 percent of the STAR assessments conducted by the SPHV.

B. The district management team reviews at least 1 assessment per circuit performed by the FLS.

C. The Executive Associate for Regulatory Operations reviews 5 percent of the district management team reviews. X. STAR AND THE PERFORMANCE MANAGEMENT SYSTEM

A. STAR does not replace the Agency’s Performance Management System, though there are similarities. Both STAR and the Performance Management System are designed to:

1. Encourage and maintain effective on-going communication between supervisors and employees on the employees’ job performance.

2. 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. Performance management is mandated by U.S.C. Title 5, Chapter 43, and is a statutory requirement for Federal agencies. Every Federal agency is required to have a performance management system for all employees that identifies and sets performance expectations and monitors performance. FSIS monitors performance by way of midyear progress review and rates performance annually by assigning a summary level rating. Summary level ratings are expressed as outstanding, superior, fully successful, marginal, or unacceptable.

FSIS DIRECTIVE 4430.5

C. OFO uses STAR to assess OFO in-plant field supervisors’ knowledge of the job requirements and to ensure competency in program and supervisory activities. STAR assessment results are combined with other information and observations the supervisor makes during the rating year to determine the annual performance rating. STAR does not provide or assign a performance rating nor does it replace or serve as an additional mid-year progress review. The assignment of ratings and the mid-year progress review is a performance management responsibility as described in subparagraph X. B.

XI. ADDITIONAL INFORMATION

FSIS Forms 4430-11A and FSIS Form 4430-11 can be accessed at Outlook/Public Folders/All Public Folders/Agency Issuances/Forms/FSIS 4,000 Series. Direct all questions on conducting STAR assessments to the OFO, Regulatory Operations staff at 202–720–3697.

Attachments

1 Supervisory Tool for Assessment Results (STAR) Guidance 2 Sample FSIS Form 4430-11A, Supervisory Tool For Assessment

Results (STAR) Guideline for the SPHV, SPHV (HIMP), SCSI 3 Sample FSIS Form 4430-11, Supervisory Tool For Assessment Results

(STAR) For SPHV, SPHV (HIMP), SCSI

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FSIS DIRECTIVE 4430.5 ATTACHMENT 1

SUPERVISORY TOOL FOR ASSESSMENT RESULTS (STAR) GUIDANCE

Responsibilities

Office of Field Operations (OFO) field-level supervisory personnel play a key role in assuring that the decisions made and the duties carried out by in-plant field-level supervisory personnel are uniform, consistent, and in accordance with applicable statutes, regulations, issuances, and other Agency policy. This guidance outlines OFO field-level supervisors’ role regarding the STAR assessment and provides instructions for carrying out the assessment.

When conducting an STAR assessment, OFO field-level supervisory personnel are engaged in fulfilling the critical Supervision performance element. In addition, OFO field-level supervisory personnel are also fulfilling requirements related to the critical Mission Support performance element in the STAR, by ensuring that in-plant field-level supervisory personnel are carrying out their critical mission-related work activities. For in-plant field-level supervisory personnel to be successful in these critical elements, they must successfully fulfill their responsibilities related to the STAR.

Performance Elements

The following performance elements outline requirements that OFO field-level supervisory personnel use to assess the in-plant field-level supervisors’ knowledge of job requirements and their competency in the program and supervisory activities. When conducting the STAR assessment, the supervisor must address each performance element and sub-element during the rating cycle. The performance elements include:

• Mission Support (Critical).

• Communications.

• Supervision (Critical).

• Individual Contribution To The Team.

• EO/CR (Critical).

Each in-plant field-level supervisory personnel’s performance standards consist of a performance element, standard (description of the Fully Successful level), and the performance goals and measures that OFO field-level supervisory personnel must consider when performing a STAR assessment.

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OFO field-level supervisory personnel must:

• Consider existing circumstances and situations and use judgment in selecting appropriate elements and sub-elements when assessing the supervisory employee’s competency. If an activity described herein is not one required to be performed by the subordinate supervisor, do not use the guidance associated with it to plan and conduct the STAR assessment. Only use the elements and sub-elements that apply.

• Use the FSIS Form 4430-11A, Supervisory Tool for Assessment Results

(STAR) Guideline for the SPHV, SPHV (HIMP), SCSI as a worksheet to record notes.

• Review in-plant records, electronic data, samples of written responses,

e-mail instructions, and information requests to ensure accuracy, thoroughness, consistency, and timeliness.

• Ask questions and discuss observations of in-plant field-level supervisors’

competence emphasizing strengths, weaknesses, and the need for improvement. NOTE: OFO field-level supervisory personnel may ask the in-plant, subordinate supervisor to demonstrate knowledge of job requirement by performing a specific activity while the supervisor observes.

• Provide feedback and note any on-target, off-target, and noteworthy

performance on the FSIS Form 4430-11, Supervisory Tool For Assessment Results (STAR) Form For SPHV, SPHV (HIMP), SCSI. OFO field-level supervisory personnel comments must be clear, concise, and describe what was reviewed, discussed, or observed.

• Identify and reach an agreement on what in-plant field supervisory

personnel should work on and address all areas that require improvement in work performance.

FSIS Form 4430-11A consists of providing a checklist to help OFO field-level supervisors pinpoint specific areas to cover and a section to record notes and observations during the assessment. Although the checklist is not all inclusive, the information provided is intended to stimulate questions, observations, and discussions with the subordinate supervisors about their knowledge of the job requirements, and provide assistance in conducting and completing the assessment. The notes taken by the supervisor during the assessment are summarized and transferred to FSIS Form 4430-11. FSIS Form 4430-11A is available in the electronic public folder and can be accessed at Outlook Public Folders/All Public Folders/Agency Issuances/Forms/FSIS 4,000 Series.

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Conducting a STAR assessment OFO field-level supervisory personnel must conduct at least one, in-person assessment for each covered employee during the rating cycle. All elements and sub-elements must be assessed during the rating cycle. Supervisors have flexibility in determining when to conduct the assessment and whether to assess all elements and sub-elements during one visit or multiple visits over the course of the rating cycle. (NOTE: Some elements are assessed separate from the onsite visit. The majority of mission support elements must be reviewed during the onsite visit.) Supervisors must use the following methods singularly, in combination, or all together when conducting STAR assessments:

• Records Review. Review in-plant, subordinate supervisory personnel

work products such as information in electronic records and office files to ensure accuracy, thoroughness, consistency, timeliness, and conformity with established policies and procedures.

• Discussion. Discuss program policies and procedures to assess

supervisor’s knowledge of inspection methods, regulatory decision-making abilities, and enforcement of policies and procedures. For further guidance on how to effectively assess knowledge and execution of these activities, see the Guide for Conducting In-Plant Performance System (IPPS) Assessments. (NOTE: The work methods outlined for assessing activities under the Mission Support element are applicable for assessing the same activities for the in-plant supervisory personnel, if they perform or supervise performance of those activities.)

• Observation. Observe and assess in-plant, subordinate supervisory

personnel conducting their mission support, supervisory, or communication activities. (EXAMPLES: Observing the supervisor conducting a verification procedure, conducting ante mortem or post mortem inspection activities, observing the in-plant supervisor conducting a work unit meeting, conducting an IPPS assessment, or interacting with plant officials.)

Documenting results When documenting STAR assessment results, OFO field-level supervisory personnel should:

• Share verbal feedback with the employee upon completing the assessment.

• Complete FSIS Form 4430-11, by summarizing the notes from FSIS Form

4430-11A and checking the block to identify the method(s) of assessment used (examples: records review, discussion, or observation).


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• Document the narrative by summarizing the notes from FSIS Form 4430-11A to FSIS Form 4430-11. The summation should provide a description of observations and findings for each element and sub-element, and when applicable, any remedial action needed to improve performance (example: require the completion of a training course, review FSIS Directive 5,000.1, Verifying an Establishment Food Safety System).

Follow-up on results OFO supervisors and field-level supervisory personnel, at the end of the STAR assessment, should be prepared to discuss follow-up items with in-plant, subordinate supervisory personnel. OFO supervisors must:

• Reassess agreements on work performance issues that in-plant supervisory personnel were required to work on between the current assessment and the agreed upon follow-up date.

• Indicate the follow-up training or additional visits needed, and ensure the

completion of these activities.

• Follow the procedures outlined in FSIS Directive 4430.1, Performance Evaluation Plan, if an employee’s performance is unacceptable in one or more critical elements at any time during the performance appraisal cycle.

• Report any identified misconduct issues during the STAR assessment by

contacting the district office for further guidance.

• Monitor follow-up items to ensure completion.

• Provide in-plant supervisory personnel with a copy of the completed assessment sheet within 2 weeks after the STAR assessment.

Assessment Form Use and Maintenance FSIS Form 4430-11, STAR Assessment Results Form, is an electronic form used to document the assessment process. After completing the assessment visit, the supervisor should:

• Summarize the information from FSIS Form 4430-11A to FSIS Form 4430-11.

• Share verbal feedback with the employee and send the employee a

completed FSIS Form 4430-11, in read-only format by e-mail, no later than 2 weeks after the assessment.

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• Retain an electronic copy in the electronic folder in the supervisor’s work files. FSIS Directive 4293.1, Personnel Records, requires retention of the electronic file for 1 year from the date of the completion of the last rating on record.

• Provide subsequent levels of supervision, up to and including district office

management, with the completed STAR assessment. (NOTE: FSIS Form 4430-11A and FSIS Form 4430-11 are not filed in the employee’s official personnel folder or the employee’s performance file in Human Resource Policy (HRP).)

• Use judgment when determining how to factor in results documented

during the STAR assessment into determinations made on the annual performance rating. The performance rating should reflect the employee’s performance for the entire rating cycle. (NOTE: The STAR results should not serve as the sole basis for performance appraisal determinations, but can be used to inform the ratings on various performance elements.) The Performance Management public folder in Outlook provides valuable information for making decisions on annual performance ratings. Access the Performance Management public folder by clicking on Outlook/Public Folders/All Public Folders/Personnel/Performance Management/Perf Mgmt Tools.

FSIS Form 4430-11 does not replace any existing performance appraisal processes or FSIS forms. FSIS Directive 4430-1, Performance Plan provides guidance and instructions for setting performance expectations, conducting progress reviews, and rating employees annually on performance. The STAR guide and form are available in the Agency Issuances Public Folder and can be assessed via Outlook by clicking on Outlook/Public Folders/All Public Folders/Agency Issuances/Forms/FSIS-4000 Series.

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SAMPLE FSIS FORM 4430-11A, SUPERVISORY TOOL FOR ASSESSMENT RESULTS (STAR) GUIDELINE FOR THE SPHV, SPHV

(HIMP), SCSI

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SAMPLE FSIS FORM 4430-11, SUPERVISORY TOOL FOR ASSESSMENT RESULTS (STAR) FOR SPHV, SPHV (HIMP), SCSI

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