1. PURPOSE

The reinspection of imported meat and poultry products at U.S. ports-of-entry helps the Food Safety and Inspection Service (FSIS) assess the effectiveness of a foreign government's inspection system and ensures that only wholesome, unadulterated, and properly labeled products enter U.S. commerce. To that end, FSIS is given the responsibility to randomly select samples of imported meat and poultry products and perform the following appropriate types of reinspection activities, including product examinations, net weight compliance, condition of container, incubation of shelf-stable products, special examinations, and laboratory analyses.

This instruction provides inspection personnel with general procedures for conducting the types of reinspection activities listed above, except for laboratory analyses. Reinspection procedures for laboratory analyses are contained in Part 3, "Laboratory Sampling" of the Import Manual of Procedures.

When assigned to perform a reinspection of imported meat and poultry products for reinspection activities, inspection personnel shall refer to the general procedures outlined in this section and in any other applicable section of this Part.

Section 2 – Documents Examination and Identification of the Product
Section 3 – Product Examination
Section 4 – Special Requirements
Section 5 – Net Weight
Section 6 – Condition of Container
Section 7 – Incubation
Section 8 – Alternative Packaging Procedures
Section 9 – Samples for Laboratory Examination, Research or Evaluative Testing
Section 10 – Personal Consumption Shipments
Section 11 – Rejected/Refused Entry Procedures

2. CANCELLATION

Part 4, Section 1, “General Procedures”, dated April 1, 2002

3. FORMS

FSIS Form 9510-2, “Inspection Assignment Sheet”, (see Table 12)

FSIS Form 9530-1, “Imported Meat and Poultry Product Reinspection Record", (see Table 13)

FSIS Form 9540-1, “Import Inspection Application and Report", (see Table 4)

FSIS Form 9540-2, “Certificate Guarantee”, (see Table 15)

4. DEFINITIONS

1. Automated Import Information System (AIIS) is the computerized system that receives and stores daily reinspection results from U.S. ports-of-entry and compiles histories for every foreign country exporting meat and/or poultry products to the United States. The AIIS generates the reinspection assignments.

2. Assignment is the reinspection instructions for a specific lot of imported meat or poultry product.

3. Level of Reinspection is the status indicating the compliance history of a particular foreign establishment and country with respect to a type of inspection (TOI) for that specific product. There are three possible levels of reinspection.

   1. Normal is a level of reinspection where the lot is randomly selected for reinspection from the annual allocation assigned to the country for the process category. Under the Normal level of reinspection, lots are not retained pending outcome of the physical reinspection.

   2. Increased is an increased level of sampling above the Normal level of sampling which occurs as a result of an Agency management decision rather than from a failed TOI. Under the Increased level of reinspection, the lot is not usually retained pending outcome of the physical reinspection.

   3. Intensified is a level of reinspection where a previous reinspection for a TOI has failed to meet U.S. requirements. This usually affects an individual establishment only. Under an Intensified level of reinspection, lots are held pending outcome of the physical TOI that is at the Intensified level.

4. Lot is a group of similarly processed/packaged product from one country, one establishment, and consisting entirely of the same species, process category, and product standard of identity (sub-category). A single lot can contain shipping cartons with varying sizes of immediate containers. Because canned and packaged (SP6/7) products may also be presented in this manner, inspection personnel shall refer to the following for data entry in the AIIS:

Example:

A 300 carton shipment of sliced bacon weighing 4,500 lb is packaged in 15 lb shipping containers. 150 of these shipping containers contain 30 immediate containers that weigh 8 oz each. 150 shipping containers have 15 immediate containers that weigh 1-lb each. These can all be entered as one lot into the AIIS.

Since the number of packages varies per shipping container, inspection personnel shall enter the information from the shipping containers containing the lowest number of units in the AIIS.

Example:
--Number of Units: Number of cartons in the shipment (300) (listed on Block 20 of the FSIS Form 9540-1).
--Package Amount: Number of units per carton (15) (listed on Block 21 of the FSIS Form 9540-1).

NOTE: Due to changes to Sampling Plans SP6 and SP7, presentation of lots with immediate packages varying in size as stated above is acceptable. However, the immediate containers in a designated lot must ALL be less than or equal to 5 lb each or all immediate containers must be greater than 5 lb. For example, if a lot is presented with immediate containers of varying sizes from 3 lb. to 7 lb., the lot must be broken into two lots. One lot will contain immediate containers less than or equal to 5 lb. and the other lot will contain the immediate containers greater than 5 lb.

When a product examination is assigned, the AIIS will generate random numbers for the shipping containers to be sampled, based on the number of containers and the number of packages per shipping container entered in the AIIS. Inspection personnel shall refer to Table 67 or 67A, as applicable, for sample sizes to be removed from each. When a net weight reinspection TOI is assigned, the net weight reinspection shall be performed on packages of uniform weight. If the net weight fails, the entire lot will be rejected.

1. Inspectors use the labeling information, such as the product name, handling statements and cooking/heating instructions to verify the foreign country’s classification of further processed products. Part 1, Section 2 of this manual contains guidance for determining if products have been placed in the appropriate process categories and sub-categories. It also includes the types of inspection (TOI) and previous AIIS product names by process category and sub-category and should be used as general guidance in determining if the foreign product has been placed in the correct category. The inspector should consult with the Office of International Affairs (OIA) supervisor for additional guidance. If there are questions related to the process category assigned to the product on FSIS Form 9540-1, the inspector should notify import plant management, who should try to resolve the issue with the Customs Broker, importer, or foreign establishment.

2. The AIIS assigns every lot a unique, system-generated identification number that is used to track import information. There can be multiple lots included on a single health certificate and each lot will be issued its own unique number.

3. Multi-packaged Product with Individual Units containing Different Species
   
   Meat and/or poultry products that contain multiple, individual units with different species will be entered into the AIIS3 as Combination species. The Contain Species field must reflect all species present in the container. The Dominant Species field should reflect the species that is most dominant. If there are an equal number of individual units with different species, then enter any species as dominant.
   
   As an example, a container of taquitos is labeled for retail sale, including 6 individual units of beef taquitos and 6 individual units of chicken taquitos. The Species selected is Combination; the Contain Species is beef and chicken; the Dominant Species can either be beef or chicken.
   
   An additional example, a case of 12 jars of gravy labeled for retail sale, containing six jars of chicken gravy, three jars of turkey gravy, and three jars of beef gravy. The Species selected is Combination; the Contain Species is chicken, turkey and beef; the Dominant Species would be poultry.

5. Process Categories are product classifications based on preparation procedures used in the foreign establishment.

03B Raw product – ground
03C Raw product – not ground
03D Thermally processed – commercially stable
03E Not heat treated – shelf stable
03F Heat treated – shelf stable
03G Fully cooked – not shelf stable
03H Heat treated but not fully cooked – not shelf stable
03I Products with secondary inhibitors – not shelf stable

If an inspector has doubts about the classification of the product into a category, he/she may contact the Technical Assistance and Correlation (TAC) staff at the Technical Service Center.

6. Sample consists of one or more units of product randomly selected from a lot that is used to determine whether or not the lot is acceptable. Sample size is the number of units of product in a sample.

7. Skipped Lot is a lot that is not assigned a TOI, but the inspector verifies the lot for general condition (including transportation damage), shipping container labeling, count, and accuracy of the product label and accompanying foreign health certificate. Note: Product imported from Canada receiving a skipped assignment is not staged and only has a cursory check at the rear of the truck.

8. Failure-to-Present (FTP) is when product has not been presented to the FSIS inspector for an AIIS assignment and enters commerce. Failure to present for FSIS inspection may result in penalties (see Enclosure 5).

5. REINSPECTION PROCEDURES

1. Data Entry – AIIS Assignments (or TOI)

   1. Information must be entered into the AIIS Initial Entry Screen from FSIS Form 9540-1 and the foreign health certificate.

      1. Custom Entry Number
         Only alpha/numeric characters shall be entered into the AIIS. Do not enter slashes/dashes/spaces, etc.

   2. The assignment(s) should be obtained only when the product is presented for reinspection. (i.e. for Canadian product, when the original health certificate arrives).

   3. Inspection personnel encountering difficulty pertaining to duplicate shipping marks should refer to Part 2, Section 2, Enclosure 2 of the Import Manual of Procedures for guidance and instruction.

   4. The inspector shall perform every TOI assigned by the AIIS, unless otherwise instructed.

   5. When the inspector suspects the authenticity, wholesomeness, or integrity of any product, he/she shall, upon approval from the supervisor, perform any appropriate TOI in addition to the AIIS assignment(s).

   6. When a delay in reinspection occurs due to unforeseen circumstances, inspection personnel shall refer to the list of establishments/TOI’s on Intensified inspection in the Outlook Import folder (outlook:\\Public Folders\All Public Folders\OIA\IID\Import Folder) and make any adjustments that may be necessary to the assignment before proceeding with the reinspection.

2. Presentation of the Lot

   1. Importers will designate each lot from the foreign health certificate on FSIS Form 9540-1, including the size of the lot to be presented for reinspection.

   2. The import facility shall present the lot in a manner that

      1. Its placement ensures the safety of the inspector;

      2. Each unit in the lot has an equal chance of being selected as a sample;

      3. The lot is distributed uniformly to facilitate the verification of the lot size. For example, when product is presented on pallets, each pallet shall contain the same number of cartons. However, if the number of shipping containers on each pallet is not the same, the facility will provide the inspector with a list indicating the number of pallets in the lot and the shipping container count for each pallet (see Enclosure 6);

      4. The panel of each shipping container subject to label approval or verification, is plainly visible by the inspector. That is, the inspector shall be able to easily read the required labeling features (name of product, country of origin, foreign est. number, shipping marks, name and address of either the foreign est. or distributor or importer; and when necessary, the special handling statement). In addition, the end panel of each shipping container shall be plainly visible so the inspector can determine whether it has sufficient space to apply the "mark of import reinspection" (except for Canada product); and

      5. Its placement allows adequate space for the inspector to select samples, visually perform label verification, and examine the lot for transportation damage and count.

      6. Its presentation is not intermixed with products from another lot.

Note: The requirements listed above (a-f) must be met. However, they do not necessarily preclude a facility from presenting lots in a manner that facilitates its operations, e.g., double stacking of product.

3. Routine Inspection

   1. The inspector shall conduct a routine inspection for every lot which includes general condition, label verification, count, and accuracy of the information specified on FSIS Form 9540-1 and the foreign health certificate.

   2. If the number of shipping units offered for reinspection differs from the amount of product certified on the foreign health certificate, the inspector follows Enclosure 3 of this section for guidance.

   3. The inspector shall identify, and cause to be sorted out of the lot, any container that has obvious transportation damage resulting in product being exposed to insanitary conditions. Such transportation-damaged product shall be refused entry in accordance with the procedures in Part 4, Section 11 of this Manual.

4. Sampling
   
   The AIIS3 is programmed to automatically generate random numbers for physical (product) examinations based on the sampling plan table, number of pallets and number of boxes per pallet entered into the system. In addition to the product examination, other types of inspection (TOI), such as net weight, condition of container (COC) or incubation, may be assigned that require additional samples exceeding the total number generated by the AIIS3 system.
   
   When multiple TOIs are assigned under Product/Physical TOI, the import inspector must generate the random sample numbers using the Random Number Generator program located on your computer (click on Start/FSIS Applications/Other Tools/Random Number Generator) rather than using the random numbers generated by the AIIS3. This will ensure randomization of the samples selected for all TOIs assigned.
   
   Example:
   A shipment of canned corned beef (29,280 pounds) containing 1220 cartons with 12 2-lb cans in each carton receives an inspection assignment for product examination and COC. Based on the sampling plan table SP6, the AIIS3 generates 18 random numbers from 1 to 1220. However, the COC examination requires a total of 315 cans to be examined (or 53 cartons, since 6 cans will be selected from each carton sampled). Rather than using the random numbers generated by the AIIS3, use the Random Number Generator program, ask for 53 numbers from 1 to 1220 and use these numbers to perform the reinspections. A total of 53 randomly selected cartons will then be used to perform the product examination and the COC TOIs required by the AIIS3.

   1. The inspector shall use the appropriate sampling plan for the TOI involved and shall use the random numbers generated by the AIIS, except when adjustments are made to the number of units in the lot or more random numbers are required. (see above).

   2. When assigning numbers to sample cartons, combo bin sites, etc., for sampling purposes, the inspector shall begin numbering at the lower left-hand corner of the first pallet or combo bin and number in either a clockwise or counter-clockwise pattern, circling each layer of the pallet or combo bin. Regardless of which direction is chosen, it shall be the same for each pallet or combo bin within that lot. For carcasses, quarters, and similar product hanging on rails, the inspector shall number the units in consecutive order beginning with the first unit approached. If a carton specified by the random numbers assigned by the AIIS has been removed, select the next available carton or, if the assigned numbers are not appropriate for the reduced lot size, request a new set of numbers.

   3. The inspector shall directly control the selection of samples and the stamping of each sample with the "USDA OFFICIAL IMPORT SAMPLE" stamp. Every sample shall be stamped once and second-step samples, if applicable, shall be stamped twice. Samples of non-packaged product (carcasses, quarters, etc.) may be selected without stamping, but if they are stamped, the inspector shall assure that only approved edible ink is used. Stamped tags to attach to the sample unit may also be used.

   4. The inspector shall require the establishment to remove all samples from the lot, including any second-step samples (NOTE: see Enclosure 4 for an alternative method for selecting second step samples), and present them in a manner that facilitates the further selection of specific sample units for the appropriate type of reinspection.

   5. The inspector shall maintain control of the samples at all times until the lot has been reinspected and passed or refused entry. When personal control is not possible, the samples shall be secured under official lock or seal.

   6. Samples shall be handled at all times in a manner that will maintain their wholesomeness and integrity.

   7. When practical, samples shall be returned to the lot following reinspection.

5. Sampling Products presented in combo bins or extremely large shipping containers

   1. Canned and Packaged Product (SP6 or SP7)(TOI 10) (e.g., Canned Hams) presented in Combo Bins/Pallets:

      1. In addition to the other requirements, the importer shall place an "X" in block "19" for cans or packages, as applicable, of FSIS Form 9540-1and enter the total number of combo bins in Block “20”. The importer shall also enter the number of units per combo bin/pallet in Block “21” of the same form to represent the number of units per combo.

      2. The inspector shall multiply the number of combos by the number of packages/cans in each combo and enter that number as the number of units and enter a 1 to designate the package amount in the AIIS.

      3. As an example, for a lot size of 30,000 pounds (15 combos @ 2,000 pounds each) assigned at the Normal monitoring level, inspection personnel should select SP6 (canned and packaged) when prompted and the AIIS will generate a sample size of 6 numbers which represents 6 of the sample selection sites.

      4. Sample selection sites of each combo bin shall be identified with the "USDA OFFICIAL IMPORT SAMPLE" stamp. The inspector shall randomly select the sample units from the entire combo bin (top, middle, and bottom).

   2. Bulk Packed Canned and Packaged Product (SP6 or SP7) (TOI 10) (e.g., Jerky, Chicken Nuggets) presented in Combo Bins or unusually large containers:

      1. In addition to the other requirements, the importer shall enter an "X" in block "19" for packages of FSIS Form 9540-1and enter the total number of combo bins in block “20”. The importer shall also enter the number 18 in block “21” of the same form to represent the number of sample selection sites per combo.

      2. The inspector shall multiply the number of combos by 18 and enter that number as the number of units and enter a 1 to designate the package amount in the AIIS.

      3. As an example, for a lot size of 30,000 pounds (15 combos @ 2,000 pounds each) assigned at the Normal monitoring level, inspection personnel should select SP6 (canned and packaged) when prompted and the AIIS will generate a sample size of 6 numbers which represents 6 of the possible 270 (15 x 18) sample selection sites.

      4. Sample selection sites of each combo bin shall be identified with the "USDA OFFICIAL IMPORT SAMPLE" stamp. Sites are identified as in (see Table 66B). If an identified sample is not on the top layer of the combo bin, the import facility shall remove product until the entire layer containing the sample area has been exposed. Product removed to provide access to the sample area shall be placed in a sanitary receptacle until it is returned to the combo bin following sample selection.

   3. Fresh Bone-In or Boneless Cuts (SP4) (TOI 6) or Boneless Manufacturing Meat including Tubes of Cooked Beef (SP5) (TOI 5) Presented in Combo Bins/Pallets

      1. In addition to the other requirements, the importer shall enter an "X" in block "19" (packages) of FSIS Form 9540-1 and enter the total number of combo bins in block “20”. The importer shall also enter the number 18 in block “21” of the same form to represent the number of sample selection sites per combo.

      2. The inspector shall enter multiply the number of combos by 18 and enter that number as the number of units and enter a 1 to designate the package amount in the AIIS.

      3. As an example, for a lot size of 30,000 pounds (15 combos @ 2,000 pounds each), the AIIS will generate a sample size of 30 numbers (15/15 for SP5 or 30 for SP6) which represents 30 of the possible 270 (15 x 18) sample selection sites.

      4. Sample selection sites of each combo bin shall be identified with the "USDA OFFICIAL IMPORT SAMPLE" stamp. Sites are identified as in (see Table 66B). If an identified sample is not on the top layer of the combo bin, the inspector shall require the import facility to remove product until the entire layer containing the sample has been exposed. Removed product shall be placed in a sanitary receptacle until it is returned to the combo bin following sample selection.
          

Enclosure 1

Instructions for Completing FSIS Form 9530-1
"IMPORTED MEAT AND POULTRY PRODUCT REINSPECTION RECORD"
 

1. COMPLETION PROCEDURES -- FRONT SIDE OF FORM

BLOCK 101	FSIS 9540-1 NUMBER - Enter the unique AIIS Lot Identification number from the system which was recorded on the FSIS Form 9540-1 in block 23.
BLOCK 102	LOT NUMBER - Enter the applicable lot number identified on the FSIS Form 9540-1.
BLOCK 103	DATE OF REINSPECTION and DATE OF 2ND STEP/TIGHTENED INSP. - Enter the date the lot was reinspected and, when applicable, the date the 2nd step or tightened inspection was conducted.
BLOCK 104	SAMPLE UNIT WT. - Enter the weight of one sample unit.
BLOCK 105	SAMPLE SIZE: 1ST STEP/2ND STEP - Enter the number of samples required for both lst step and 2nd step samples.
BLOCK 106	NAME OF PRODUCT - Enter the name of the product.
Blocks 110 through 119	Circle either "A" for accept or "R" for reject for each applicable test result conducted on a lot. Blocks 111, 115, and 116 are obsolete. Leave blank.
BLOCK 131	POUNDS REJECTED - Enter the total pounds refused entry. When a lot is rejected and was sorted, the entry in this block shall not represent the entire lot but only the sorted amount that was refused entry.
BLOCK 132	REJECTION CODE - Enter the appropriate rejection code.
BLOCK 133	LOT SORTABLE ON C OF C? “YES/NO” - Check the appropriate box “Yes” or “No”, indicating whether the lot is sortable or not (Condition of Container failure only).
BLOCK 140	SAMPLES SELECTED BY: (SIGNATURE) - The inspector who selected the samples for the original reinspection shall sign his/her name, and print his/her first initial, second initial, and last name in the applicable boxes.
BLOCK 141	INSPECTED BY: (SIGNATURE) - The inspector who performed the original reinspection shall sign his/her name, and print his/her first initial, second initial, and last name in the applicable boxes.
BLOCK 142	SAMPLES SELECTED BY: (SIGNATURE) - When applicable, the inspector who selected the samples for the 2nd step or tightened inspection shall sign his/her name, and print his/her first initial, second initial, and last name in the appropriate boxes.
BLOCK 143	INSPECTED BY: (SIGNATURE) - when applicable, the inspector who inspected the 2nd step or tightened inspection shall sign his/her name, and print his/her first initial, second initial, and last name in the appropriate boxes.
BLOCK 200	REINSPECTION/TIGHTENED INSP. - When performing a condition of container examination, check the appropriate box (Reinspection , Tightened Insp., or both) indicating the levels of inspection under which the condition of container examination is being performed.
BLOCK 201	SAMPLE SIZE - Enter the sample size in the appropriate box corresponding to the level of inspection being performed for the condition of container examination. See Part 4, Section 6.
BLOCK 202	NO. CONTAINER IN LOT - Enter the number of containers in the appropriate box corresponding to the level of inspection being performed for the condition of container examination.
BLOCKS 210-213	CRITICAL DEFECTS - For each level of inspection (Reinspection or Tightened Insp.) enter the number of cans in the lot which correspond to the applicable critical defect.
BLOCK 214	TOTAL CRITICAL(S) - For each level of inspection (Reinspection or Tightened Insp.), enter the total number of critical defects.
BLOCKS 220-227	MAJOR DEFECTS - For each level of inspection (Reinspection or Tightened Insp.), enter the number of cans in the lot which correspond to the applicable major defect.
BLOCK 228	TOTAL MAJOR(S) - For each level of inspection (Reinspection or Tightened Insp.), enter the total number of major defects.
BLOCKS 301, 304, 307, 310, 313, 316, 319, 322, 325, 328, AND 331	For each sample step (lst and 2nd), enter the number of defects in the appropriate defect column corresponding to the classification type (minor, major, or critical).
BLOCK 334	TOTAL - For each sample step (lst and 2nd), enter the total number of minor, major, and critical defects.
BLOCK 337	GRAND TOTAL - Enter the grand total number of minor, major and critical defects found in the lot by adding together the total number of lst and 2nd sample defects entered in Block 334.

  
The lower right hand corner of the form has blocks for the inspector to enter the date the information on this form was entered into the AIIS, and the name of the inspector who entered the information.

2. COMPLETION PROCEDURES -- BACKSIDE OF FORM
    

   BLOCKS 401, 404, 407, 410, 413, 416, 419, 422, 425, 428	Enter the number of defects in the appropriate defect column corresponding to the classification type, i.e., minor, major, or critical.
   BLOCK 431	TOTAL(S) - Enter the total number of minor, major and critical defects.
   BLOCKS 1-15	Enter the tare weight of each sample container (up to 15 units) selected for establishing the tare weight. NOTE: The sample size for pate products other than pork and pork liver pate shall be one container. TOTAL TARE WT. - Enter the total tare weight of all sample units selected. AVERAGE TARE WT. - Enter the average tare weight of the total sample units selected for establishing the tare weight.

Import inspection personnel shall refer to FSIS Directive 7240.1, “Compliance Testing for Net Weight Labeling of Meat and Poultry Products”, for instructions concerning net weight calculations.

Enclosure 2

CANADIAN ESTABLISHMENT ENTRY PROCEDURES

1. U.S. IMPORT ESTABLISHMENT FACILITY REQUIREMENTS

Import establishments in existence as of August 10, 1992, and located on the U.S. Canada border are not required to have either sufficient refrigerated or freezer space to properly hold perishable product that is stored or retained. NOTE: Shipments that are on Intensified reinspection level or on Voluntary HOLD by the importer cannot be moved from the import establishment’s premises while on HOLD, but may be stored under refrigeration in a truck or trailer on premises pending the outcome of inspection results.

2. CANADIAN ESTABLISHMENT REQUIREMENTS

1. Import Inspection Application

   1. Prior to entry into the United States, an employee of the Canadian establishment exporting meat or poultry to the United States will

      1. Complete FSIS Form 9540 1, "Import Inspection Application and Report and fax it directly to the U.S. import facility of its choice.

      2. In case of questions concerning completion of the form or where to fax the form, the contact is

Office of International Affairs, Import Inspection Division
Washington, DC
Phone:  (202) 720-9904
FAX: (202) 720-7900
Hours of Operation: 0700 – 1630 ET, Monday through Friday, excluding
holidays.

Canadian exporters desiring information on how to export to the United States should contact the Canadian Food Inspection Agency for guidance.  (http://www.inspection.gc.ca/english/anima/meavia/mmopmmhv/mane.shtml)

2. Amendments.
   
   Canadian exporters are encouraged to fax the application (FSIS Form 9540-1) as close as possible to the time of shipment to the U.S. to avoid the need for an amendment.

   1. The faxed copy of FSIS Form 9540-1 serves as advance notification that a shipment is proceeding to the United States. Additional lots may be added to the Canadian health certificate; however, an amended FSIS Form 9540-1 must be presented to FSIS with the shipment. NOTE: This may result in delays in inspection at the import establishment.

   2. Regardless where the shipment is, once FSIS Form 9540-1 has been faxed, any amendment of the designated import establishment on FSIS Form 9540-1 is not allowed except in emergency situations only (see FSIS Directive 4791.6) or the closing of the designated U.S. Point of Entry border crossing (block 3) by U.S. or Canadian authorities that would result in unusual delays for shipments.

   3. OIA must be consulted prior to amending any application for the reasons stated in b. On weekends and holidays, callers to OIA are referred to emergency contacts and numbers.

   4. After receiving permission to amend FSIS Form 9540-1, shipments will proceed to the newly designated import establishment.

   5. Any establishment placed on Intensified inspection while shipments are in transit will be permitted to amend FSIS Form 9540-1 to reflect the actual weights. The shipment is to proceed to the designated U.S point of entry or import facility for reinspection. The Canadian exporter must submit the amended 9540-1 with the actual weights directly to the designated import establishment.

3. Cancellations
   
   The Canadian exporter must notify the inspector at the designated import establishment in writing prior to the expiration of the 3-day limit if the shipment is to be cancelled. Failure to notify FSIS of a cancelled shipment may result in delays for subsequent shipments. When a shipment is cancelled, the health certificate cannot be used again. Product must be re-certified by the Canadian inspection service prior to shipping.

4. Once the 9540-1 has been faxed, the shipment must be presented for FSIS reinspection within 72 hours (3 working days), or the exporting establishment must notify the designated import establishment when the shipment will arrive. A signed copy of the FSIS Form 9540-1 and the original health certificate must accompany the shipment to the United States.

2. Intensified for Laboratory Failures

   1. Canadian establishments on Intensified for any laboratory TOI have two (2) options in regard to sampling. They are

      1. The Canadian Food Inspection Agency (CFIA) may certify the results on the health certificate, in which case, the health certificate would need to be faxed with the FSIS Form 9540-1 to the FSIS inspector. If the inspector finds the certification acceptable for the laboratory TOI(s) assigned at the Intensified level, the inspector shall access the laboratory screen in the AIIS and identify the laboratory result as accepted.

      2. The Canadian plant may elect to have FSIS sample and hold the product at the designated import establishment pending outcome of the laboratory analysis.

3. Selecting an Import Establishment
   
   Any approved FSIS Import Establishment can be identified on the FSIS Form 9540-1 by the Canadian exporting establishment for conducting the inspection, provided it has the capability to inspect the particular product being shipped. However, the inspection assignment MUST be obtained at a border inspection facility if the shipment is moving by land. EXCEPTION: Rail car shipments moving “in bond” for transloading to a ship destined to an island state (Hawaii) or a U.S. territory (e.g., Puerto Rico, Guam) shall obtain the inspection assignment at the designated import establishment. The most current, up-to-date copy of import establishments is available through OIA. Exporters should contact the specific import facility to determine its capabilities.

4. Reboxing of imported products
   
   FSIS and CFIA have an agreement that imported products from another country cannot be repackaged and placed in Canadian containers without the product being further processed. Additionally, shipping imported products in original containers from another country to the U.S. is not allowed. Inspection personnel should place the product on hold and contact the supervisor if these types of products are being presented for reinspection.

5. Placement of Containers on Trucks
   
   Shipping containers at the rear of the truck must be loaded on the truck so that the labeling features face the rear of the truck allowing the USDA-FSIS inspector to conduct the verification required in section VI.B. of this Enclosure. Label verification will be performed only on products visible at the rear of the vehicle.

6. Entry into the U.S.
   
   Upon entry into the United States, the official documents must be presented to the FSIS inspector at any U.S. import establishment along the U.S.-Canadian border. This establishment may differ from the designated reinspection establishment identified in Blocks 12 and 13 on FSIS Form 9540-1. However, if any part of the shipment is designated as an “inspect”, the shipment must proceed to the FSIS facility designated on the original fax copy of the FSIS Form 9540-1 for reinspection.

3. U.S. IMPORT ESTABLISHMENT (Plant Responsibility)

The import establishment representative can, but is not required to acknowledge receipt of the FSIS Form 9540-1. However, plant management is expected to deliver the form to the FSIS inspector on the day it is received. In cases involving failure-to-presents (FTP), the designated import establishment shall make every effort to track the product and secure its return for reinspection. This may include contacting the exporter and notifying him/her that the shipment is overdue. Any subsequent information shall be provided to the assigned FSIS inspector.

4. OBTAINING THE ASSIGNMENT

1. The assignment shall be obtained from an FSIS inspector at any import establishment at the U.S.-Canadian border, once the shipment has arrived at the import establishment. Inspection personnel will verify the accuracy of the information entered into the AIIS from the advance (faxed) copy of the FSIS Form 9540-1 and the health certificate arriving with the shipment, prior to drawing the assignment. Inspection assignments will NOT to be drawn prior to product arrival, unless there is scheduled downtime for the AIIS during the shift of operation. In this case, assignments can be obtained but will not be shared with the exporter or import plant management until the shipment has arrived on the premises. Inspection personnel shall keep a file documenting the down time and the assignments that were drawn in advance of the scheduled AIIS down time.

   1. If the assignment is a Skipped, the inspector will check the shipment and documents according to the procedures in VI.D.

   2. If the assignment is an Inspection, the shipment must proceed to the U.S. import establishment designated in block 12 on the FSIS Form 9540-1, if different than where the shipment is located. The inspector will complete block 27 of FSIS Form 9540-1, and forward the shipment in the AIIS to the designated import establishment where the shipment is destined for reinspection.

2. Shipments that are not presented to an FSIS inspector at the U.S.– Canadian border for an assignment are considered a failure-to-present (FTP) (see Enclosure 5). The product must return to either the designated U.S.-Canadian border facility or to the nearest FSIS import facility where the shipment entered the U.S. for an assignment/ reinspection. Refer to II.F.

5. DESTINATION INSPECTION (U.S. Establishment's Responsibilities)

1. A grant of inspection for destination facilities is applicable only to Canadian shipments. Establishments desiring to receive a grant of inspection for destination facilities should make application to OIA.

2. The destination import facility is responsible for providing OIA with sufficient notification including date and time of arrival of Canadian shipments. This facilitates the scheduling of inspectors. The shipment owner/importer is responsible for making arrangements to receive assignments outside of normal working hours.

3. All shipments going to destination establishments must stop at an U.S. import establishment along the U.S.-Canadian border to receive an inspection assignment. If a skipped inspection reveals transportation damage, health certificate irregularities, or improper labeling, corrections must be accomplished at the border location before the shipment may proceed.

4. Exporting plants under Intensified inspection cannot have re-inspection conducted at a destination facility.

6. USDA IMPORT INSPECTOR RESPONSIBILITIES

1. Failures-to-present (FTP) (see Enclosure 5).

2. Upon arrival of the shipment, the inspector will:

   1. Review the original Canadian health certificate in accordance with current verification procedures (see Part 4, Section 2.)

   2. Review FSIS Form 9540 1 and compare it to the faxed copy.

   3. If either of these documents does not accompany the shipment, the inspector should not proceed with import reinspection until proper documentation is provided. Information provided on the FSIS Form 9540-1 accompanying the shipment should agree with the information on the Canadian health certificate. If necessary, the inspector shall correct the information which was entered into the Automated Import Information System (AIIS) from the advance copy of the FSIS Form 9540-1 before an inspection assignment is requested form the AIIS.

   4. If the designated import establishment has been changed on the FSIS Form 9540-1, verify the emergency situation (as listed in FSIS Directive 4791.6) or the border closure causing the amendment. If it is not a valid reason to change designated import establishments, shipments receiving an assignment for reinspection will be directed to the import facility identified on the original fax copy of FSIS Form 9540-1. Inspectors may need to verify the emergency situation or border closure with inspection personnel at the original designated I-house or with OIA staff.
      
      If the emergency situation can be verified, the import inspector obtains the inspection assignment from the AIIS.

   5. Meat carcass shipments that are not presented in a shipping container (other than the trailer)will have the samples selected and identified by CFIA. These shipments are to be sealed by CFIA and the seal numbers are to be identified on the health certificate. Inspection personnel shall verify the seals are intact and match those identified on the health certificate. If the seal is broken, missing or the wrong type, the load shall be rejected unless sufficient evidence can be presented to the FSIS inspector that the shipment should not be rejected. Example: APHIS/Customs/CBP broke the seal and the inspector verifies this prior to obtaining an assignment.
      
      It is possible that a seal other than a CFIA seal will be used on the shipment and not match what is on the certificate. If the seal is from another branch of the Canadian Government or from another U.S. Government Agency, the shipment should be accepted.

3. Forwarding of shipments
   
   When import inspection personnel receive a FSIS Form 9540-1 with different locations identified in Blocks 3 and 12/13, they should be guided by the following procedures:

   1. If Block 3 of FSIS Form 9540-1 indicates a different border crossing than the one indicated in Blocks 12/13 of the form, the shipment entry into the AIIS3 should be forwarded to an import establishment at the location identified in Block 3. This will enable access to the initial entry of the inspection record by import inspection personnel at that location. NOTE: Import inspection personnel within a Region should have access to all AIIS inspection records within the circuit. If not, please contact your OIA supervisor for assistance.

   2. Import inspection personnel at the “Forwarded To” location should, upon arrival of the shipment, schedule an inspection assignment. If the assignment is an “Inspection” or an “Intensified”, the shipment must proceed to the import establishment designated in block 13 of the FSIS Form 9540-1. If the assignment is a “Skipped” lot, the shipment should be inspected as such.

At times, the trucker will cross the border at a point of entry other than what is identified on FSIS Form 9540-1, block 3 and attempt to obtain an inspection assignment. When this occurs, the Canadian exporter can submit a corrected FSIS Form 9540-1 to the import establishment designated on the original form in blocks 12/13, designating this border point of entry. Upon receiving the corrected FSIS Form 9540-1, import inspection personnel should forward the shipment entry in the AIIS to an import establishment at the new location (to enable access to the initial entry of the inspection record).

If import inspection personnel at the location designated in Block 13 of the form are not available to forward the shipment information in the AIIS3, the shipment can either proceed to the import establishment designated in Block 13 of the original fax copy of FSIS Form 9540-1, or remain at the border point of entry until import inspection personnel are available at the original designated import establishment to forward the shipment in the AIIS3.

4. Skipped Lot Procedures

   1. Skipped loads are not staged but the verification of the skipped lot must be performed on the official premises of the import establishment (shipping bay or loading dock).

      1. Without entering the vehicle, the inspector has the truck/trailer doors opened and observes the general condition of the portion of the shipment that is at the rear of the vehicle. Any obvious transportation damage is handled in accordance with Part 4, Section 11.

      2. Check the portion of the shipment at the rear of the vehicle to determine that it coincides with the applicable health certificate. Verify that the placard or shipping container label(s) of the products visible at the rear of the vehicle includes the shipping marks, name or kind of product, foreign establishment number, and the country of origin. If these labeling features cannot be seen, the inspector should request that a shipping container at the rear be removed from the vehicle or turned to reveal the label.

      3. The inspector refuses entry on the shipment if the vehicle contains other cargo with the potential to contaminate or adulterate edible product. Inspectors should consult with IID supervision before refusing entry.

5. Stamping of Health Certificate, Products and Containers

   1. Products and shipping containers from Canada are not stamped "U.S. Inspected & Passed."

   2. With the exception of meat carcasses, all products and shipping containers refused entry at import reinspection will be legibly stamped "U.S. Refused Entry." The location of the "U.S. Refused Entry" imprint must be such that the refused entry is easily identifiable.

   3. For “skipped” shipments or “inspected and passed” shipments, stamp the health certificate with the round I-house “U.S. Inspected & Passed” brand and file the health certificate with related documents in the inspector's file in numerical order by calendar year.

   4. For refused entry product, stamp the health certificate "Refused Entry" and refer to Part 4, Section 11 for complete instruction and guidance on refused entry.

6. Signing/Stamping FSIS Form 9540-1

   1. For lots that have passed reinspection, the inspector signs block 29 and stamps the FSIS Form 9540-1 with the round I-house “U.S. Inspected & Passed” stamp. The import establishment can make a copy of the signed and stamped FSIS Form 9540-1, and return the document to the inspector. The inspector files the stamped FSIS Form 9540-1 with the inspector’s original signature with related documents in the case file.

   2. For lots that have failed reinspection, the inspector stamps the FSIS Form 9540-1 "U.S. Refused Entry." The import establishment can make a copy of the stamped FSIS Form 9540-1, and return the document to the inspector. The inspector files the stamped FSIS Form 9540-1 with related documents in the case file.

ENCLOSURE 3

COUNT VERIFICATION

For each lot of imported product, inspectors count the number of shipping units (pieces, packages, containers) and compare it to the amount stated on the foreign inspection certificate. If the figures agree, inspectors shall accept the lot for count. If the figures differ, inspectors shall follow the procedures outlined below for underage or overage amounts.

1. Underage

When the number of shipping units is less than the amount stated on the certificate, inspectors shall

1. Accept the lot for count and change FSIS Form 9540-1, "Import Inspection Application and Report" by crossing out the incorrect count and net weight and entering the correct figures. Each correction shall be initialed by the broker/applicant or representative. A replacement certificate is not required.

2. When lots have an AIIS assignment, determine whether or not the corrected figures change the sample size. If so, inspectors shall adjust their sampling plans accordingly.

2. Overage

When the number of shipping units is more than the amount stated on the certificate, inspectors shall determine if

1. The lot is either accepted for count or ineligible for reinspection based on Table A.
    

   Table A
    

   LOT SIZE (SHIPPING UNITS)	OVERAGES ALLOWED (SHIPPING UNITS)
   50-UNDER 51-100 101-200 201-400 401-600 601-1200 1201-2000 2001-5000 5001-10,000 10001-OVER	0 1 2 4 6 12 20 50 100 150

    

2. The overage is within the limit stated in the table for the applicable lot size. If so, the lot is accepted for count and FSIS Form 9540-1 is corrected by crossing out the incorrect count and net weight and entering the correct figures. The broker/applicant or representative shall initial each correction. Replacement certificates are not required for overages within the limit.

3. The overage exceeds the allowable limit for the applicable lot size. If so, the lot (including the overages) is ineligible for import reinspection. However, the broker/applicant may request a replacement certificate listing the actual count and net weight. In such occurrences, inspectors shall retain the entire lot (including the overages) until a replacement certificate is obtained or the originating country's embassy provides a certificate guarantee to the Office of International Affairs (OIA).
   
   If the importer indicates he/she will contact the foreign country’s embassy to get a guarantee, inspection personnel shall complete FSIS Form 9540-2, (see Table 15) Certificate Guarantee, and fax it to OIA. Alternatively, inspection personnel shall complete the Certificate Guarantee E-Mail Notification Worksheet and e-mail the worksheet to ImportInspection@fsis.usda.gov.

4. The embassy guarantees a replacement certificate. When this is the case, the inspector shall change Form 9540-1 by crossing out the incorrect count and net weight and entering the correct figures. The broker/applicant or representative shall initial each correction.

5. The corrected figures change the sample size when lots have an AIIS assignment. If so, inspectors shall adjust the sample size and acquire new random numbers for inspection of the lot.

3. Examples of Underage and Overage

1. If the lot size is 450 units and the amount indicated on the certificate is 500 units, the lot is accepted for count.

2. If the lot size is 450 units and the amount indicated on the certificate is 445 units, the overage of 5 units is within the allowable amount specified in Table X and the lot is accepted for count.

3. If the lot size is 450 units and the amount stated on the certificate is 440 units, the overage of 10 units exceeds the allowable amount specified in Table X; therefore, the lot (450 units) is ineligible for import reinspection without a replacement certificate or certificate guarantee.

4. Stack Configurations

Chimney Stack	Angle View (Table 90)
Three Box Tie	Solid Stack (Table91)
Five Box Tie	Solid Stack (Table 92)
Chimney Stack	Top View (Table 93)
Eight Box Tie	Solid Stack (Table 94)
Stovepipe Stack	Top View (Table 95)
Twelve Stack Solid	Front View (Table 96)

ENCLOSURE 4

Alternative Method to Second Step Sample Selection of Imported Product

1. OBTAINING APPROVAL FOR ALTERNATE METHOD TO SECOND STEP SAMPLE SELECTION

Import establishments shall obtain approval for an alternate method to second step sample selection by submitting a request to the FSIS import inspector. The letter shall identify the establishment officials who will ensure compliance with the provisions listed below in II.

Once approved by the inspector, in consultation with the OIA supervisor, a copy of this letter shall be maintained in the government office. The original requesting letter is returned to the import establishment with the approval signature of the inspector.

2. PROVISIONS FOR ALTERNATE METHOD TO SECOND STEP SAMPLE SELECTION

1. All product examination lots subject to second step sampling are eligible for an alternate method to second step sample selection.

2. Import establishments may choose which lots will be selected for an alternate method to second step sample selection.
   
   One of the following methods may be used or the import establishment may develop one of its own.

   1. The inspector selects and stamps both first and second steps. The establishment is required to pull the first step samples only. The second step samples remain in the lot and must remain under direct visual control of the inspector.

   2. The inspector selects and stamps the first step samples only. If a second step is required, the inspector shall draws second step sample numbers based on the number of units remaining in the lot from the computer and selects and stamps the second step samples.

3. The import establishment shall, at the time the lot is staged, advise the inspector that the lot use the approved alternate method to second step sample selection.

4. The inspector shall advise the OIA supervisor of the import establishment's failure to maintain the provisions for alternate method to second step sample selection.

3. SUSPENSION OF ALTERNATE METHOD TO SECOND STEP SAMPLE SELECTION PRIVILEGES

1. An import establishment's alternate method to second step sample selection privileges may be suspended by the inspector whenever the establishment has failed to comply with the provisions for alternate method to second step sample selection. Accordingly, the following procedures are applicable.

   1. The inspector shall issue a warning letter to import establishments which fail to comply with alternate method to second step sample selection provisions. The warning letter shall state that the plant did not accept its responsibility and cite the specific incidences and indicate that future violations will warrant suspension of alternate method to second step sample selection privileges.

   2. The inspector shall suspend the alternate method to second step sample selection privileges at an import establishment that continues to violate the alternate method to second step sample selection provisions. The suspension shall be in writing and indicate the reasons for suspension. Alternate method to second step sample selection privileges may be reinstated once the import establishment has provided the inspector with written steps to bring about future compliance.

   3. If the establishment continues to violate the provisions of the alternate sample method, the inspector should consult with his/her supervisor about further suspensions/restrictions for the establishment.

ENCLOSURE 5

FAILURE-TO-PRESENT (FTP) SHIPMENTS

Definition

A failure-to-present (FTP) is defined as “any eligible shipment of meat or poultry products entering the United States that fails to stop for reinspection at an official FSIS import establishment.” For egg products, a FTP is defined as "any shipment of egg products that is not presented at either an official egg product establishment or import establishment, and enters U.S. commerce."

Responsibilities

Import inspection personnel must monitor incoming shipments closely, when advanced notification is provided, to ensure shipments are presented for reinspection within the established timeframe. FTP notifications must be forwarded by the import inspector to the Import Inspection Division (IID) at Headquarters (HQ) with a copy (cc) to the appropriate Regional Import Field Office (RIFO) or designee in a timely fashion. The FTP process will continue with the RIFO notifying and assigning an Import Surveillance Liaison Officer (ISLO) to investigate all potential FTP violations. FTP notifications should be made by phone, e-mail, or fax when a shipment is believed to have by-passed the import inspection process.

1. Import Inspectors will
    
   • review inspection documents (FSIS Form 9540-1) received in advance on a daily basis and provide feedback to supervisor if a shipment fails to present
   • review AIIS Web-application FTP report for shipments exceeding the defined time limits (FTP violation)
   • complete FTP Notification sheet when an FTP is identified and send to RIFO and IID headquarters staff
   • maintain FTP files at the import establishment
      
2. Regional Import Field Supervisors and Assistants will
    
   • review AIIS Web-application FTP report for potential FTP violations regularly
   • assign an ISLO to any identified FTP and monitor all surveillance activities
   • ensure the FTP notification worksheet and all supporting documentation is submitted to IID-HQ by the import inspector
   • request necessary assistance from other RIFO or FSIS program areas (OPEER or OFO) in controlling the FTP shipment
   • update IID-HQ on all FTP violation information and paperwork until the case is closed
   • initiate any recall activity as per IID Recall Procedures
      
3. Import Surveillance and Liaison Officer (ISLO) will
    
   • investigate all assigned FTP cases
   • document all details of the FTP investigation to RIFO and IID-HQ, using the Import Alert
   • follow up on the Redelivery Notice (copy sent to ISLO) with CBP and will clarify any issue with the redelivery request
   • liaison with brokers, distributors and other groups involved with the FTP to ensure FSIS procedures are understood and followed in the future

1. Canadian Shipments Presenting at the Border
   
   Each Canadian shipment presented at the border must:
    
   • have an Estimated Time of Arrival (ETA) noted on the faxed FSIS Form 9540-1 or other related paperwork and must designate an estimated time and date for the shipment to arrive at the import establishment;
   • must have the ETA within 72 hours from the date in block 26 of FSIS Form 9540-1;
   • arrive for reinspection at the FSIS import establishment within 72 hours, including weekends and holidays, from the time the FSIS Form 9540-1, “Import Inspection Application and Report” is received by import inspection personnel.
      
2. Canadian Shipments (Air, Water, Rail)
   
   The exporters of shipments by air, water, or rail car (including edible fats) to the U.S. are required to fax FSIS Form 9540-1 to the import facility designated in blocks 12 and 13. The exporter will include an estimated time of arrival (ETA) on the 9540-1 or other paperwork presented to the inspector at the designated import establishment.
   
   Canadian shipments that do not cross into the U.S. by truck are not expected to adhere to the 72 hour (3 days) rule. Import inspectors will use the ETA as the timeframe for air, water, and rail shipments to arrive at the designated import establishment.
    
3. Shipments from Other Countries
   
   The broker/importer/applicant will provide FSIS Form 9540-1 and the foreign health certificate to import inspection personnel at the import establishment designated in blocks 12 and 13. Shipments not presented for reinspection within 10 days of the ETA date identified in Block 31, “Remarks” of the FSIS Form 9540-1 or other open space by the broker/importer/applicant will be pursued as a FTP; unless, the location of the product is verified by the import establishment to the import inspector.
    
4. Estimated Time of Arrival (ETA)
   
   Import inspectors will monitor the shipment’s arrival by referring to the ETA on the FSIS Form 9540-1 or other paperwork for Canadian border shipments (ETA may be identified in block 31, “Remarks” or other open spaces of the 9540-1). If the shipment does not arrive by the ETA, import inspectors will notify the import establishment management and RIFO. Import establishments will verify the location of the product. If location cannot be confirmed then the product should be pursued as a FTP.
    
   1. Import inspection personnel, upon receipt of the FSIS Form 9540-1 from import establishment management, will verify the presence of an ETA on the form. If the ETA has not been declared or given on the faxed paperwork (Canadian shipments), the import inspector will return the form to the import establishment and have them request the ETA from the producing establishment, shipper, or applicant. The import establishment will declare the ETA on the 9540-1 after obtaining it.
      
      Note: If an ETA is still not obtained on Canadian shipments, the import inspector will e-mail the details of the shipment (producing establishment, product, etc) to IID- HQ at importinspection@fsis.usda.gov for follow-up with the Canadian Food Inspection Agency (CFIA).
       
   2. If the shipment has not arrived at the designated import establishment by the ETA, import inspection personnel will query the AIIS to verify that the shipment has not been reinspected at another import establishment.
       
      1. If a Canadian shipment received a skipped assignment at another import establishment, there will be no further action taken. If the shipment was not forwarded as outlined in Enclosure 2, VI. C. of Part 4, Section 1, General Procedures, the Regional Import Field Supervisor (RIFS) or designee will be notified of the details.
          
      2. If a Canadian shipment received an inspection other than skipped, import inspection personnel will confirm the status of the shipment with inspection personnel at the location where the assignment was drawn. If the shipment was reinspected at another import establishment, the RIFS or designee will be notified of the details.
          
      3. If the shipment does not have an assignment issued in the AIIS, the import inspector will request that import establishment management confirm the shipment’s status.
          
   3. The RIFO will assign an ISLO to liaison with the broker, shipper, CBP, or any
      other party in order to locate the shipment when necessary.
       
   4. If the shipment is in route, import inspection personnel will obtain an updated (ETA) from import establishment management. Import establishment management is responsible for tracking any missed ETA within the day (24 hours) the ETA was missed.
      
      Note: If the shipment is cancelled, the exporting or producing establishment
      representative must fax notification of the cancellation to the RIFO. The RIFO will cancel the shipment in the AIIS and forward notification of the shipment cancellation to the import establishment listed on the 9540-1. Import inspection personnel will file all paperwork associated with the shipment. In cases where the health certificate was forwarded prior to shipment arrival, the cancelled certificate will be returned at the request of the exporting country’s embassy through IID- HQ only.
       
   5. If the shipment is on premises at the import establishment, import inspection personnel will have import establishment management verify its location and will make note of the shipment’s presence on the FSIS Form 9540-1. Import establishment management must provide an estimated time for reinspection.
       
   6. If the shipment entered the U.S. without obtaining an inspection assignment, the shipment is considered a failure-to-present (FTP). Import inspection personnel must follow the procedures outlined in V. Failure-to-Present Procedures of this Enclosure.
       
5. Failure-To-Present Procedures
   
   The shipment is considered a FTP if it cannot be accounted for as in transit to the import establishment, in storage at the import establishment or has not arrived:
    
   • within 72 hours (3 days) and the ETA has not been amended (Canadian shipments at border);
   • by the established ETA (Canadian shipments air, water, rail);
   • within the 10 day ETA timeframe (all other countries).
      
   1. Initial Notification
      
      Once import inspection personnel have verified the shipment’s location, the import inspector at the designated location where the FTP occurred must complete the FTP Notification worksheet (Attachment 1).
       
      1. The FTP Notification worksheet is e-mailed to the RIFO and IID-HQ (importinspection@fsis.usda.gov). The e-mail subject line must include FTP, date, and import establishment number. A copy of the e-mail should be attached to the case file and another hard copy given to the import establishment.
          
      2. For all Canadian shipments
         
         IID-HQ will send FTP Notification Sheet via e-mail to CFIA headquarters.
          
      3. The RIFO will assign an ISLO to investigate all issues regarding the FTP and will facilitate notification to other RIFO or FSIS program areas, as necessary.
          
      4. The RIFO will coordinate faxing all paperwork associated with the FTP shipment to IID-HQ at (202) 720-6050 (and other program areas, as appropriate)
          
      5. Office of Program Enforcement, Evaluation and Review (OPEER) will assist IID with the tracking of shipments that are in commerce on an as need basis.
          
         • The background documents will allow the RIFO to coordinate activities between IID inspection personnel and the Compliance and Investigative Division (CID), OPEER personnel to locate the shipment.

         Note:  All paperwork or case files on FTP must be forwarded to IID-HQ.
         This includes any copies of case files obtained from OPEER or other programs.
          

   2. Controlling Shipments
      
      All FTP shipments found in commerce must be detained (or retained), if possible. FTP shipments that are returned to an import facility must be controlled, which may include sealing the shipment. The RIFO and IID-HQ must be notified of all shipments moving back to an import establishment (designated or alternate) for reinspection.
       
   3. Returned Shipments Fully Intact
      
      Shipments returned for reinspection at the import establishment designated on FSIS Form 9540-1, fully intact as described on the foreign health certificate, will not be considered a FTP. 
       
      1. The shipment will be subjected to a complete product examination.
          
      2. The shipment will be subjected to any food safety types of inspection (microbiological sampling) assigned by the AIIS or as determined by inspection personnel with supervisory concurrence.
          
      3. When the inspection assignment is generated by the AIIS, import inspection personnel will add all unscheduled types of inspection (product exam and microbiological sampling).
          
      4. FSIS will take no further action against the exporting establishment, importer of record, or U.S. customs broker.
          
   4. Returned Shipments Partially Intact
      
      Shipments returned for reinspection at the import establishment designated on FSIS Form 9540-1, but are only partially intact as described on the foreign health certificate, will be considered a FTP.
       
      1. The portion of the shipment that is returned will be subjected to an unscheduled product examination and any microbiological sampling. If the partial shipment passes reinspection, the portion of the shipment that returned will be released and no further action will be taken.
          
      2. Import inspection personnel will document in the remarks section on the 9540-1 and health certificate the number of containers that returned for
         reinspection.
          
      3. If the partial shipment fails reinspection, the partial shipment is refused entry. Import inspection personnel must immediately notify IID of the failure.
          
      4. IID Office Procedures for Recall will be initiated by the RIFO for portion of the shipment that has entered U.S. commerce.
          
      5. A redelivery notice will be issued with CBP on the portion of the product not returned to FSIS for reinspection.
          
   5. Shipments that cannot be Returned
       
      1. Shipments that cannot be located or the importer refuses to assist in the return of the shipment will be subject to Recall action. FSIS recall procedures will be implemented per the IID Office Procedures for Recall and FSIS Directive 8080-1., Revision 4.
          
      2. Shipments that cannot be returned in their original shipping containers, such as product that has been further processed in a U.S. federally-inspected establishment, will be considered a FTP and may be subject to destruction.
          
   6. AIIS
       
      1. No information will be removed from the AIIS for shipments that fail to present for inspection. A record must be maintained on the status of every shipment of meat and poultry products that are intended for entry into the U.S.
          
      2. The foreign establishment producing the product that failed to present at POE will be subjected to an increased level of reinspection for product examination and any applicable microbiological type of inspection. IID-HQ will be responsible for monitoring the next 15 consecutive shipments and removing the establishment from the increased level in the AIIS.
          
   7. Appeals by the importers and/or exporters whose shipments have moved inland a sufficient distance, that as a result, requiring the shipment to return to the designated border import establishment would cause undue stress to the product, will be handled on a case-by-case basis by OIA/IID.
       
      • Importers and/or exporters may appeal the requirement to return the product to the designated import establishment to IID-HQ (202) 720-9904.
         
   8. Case Files/Import Alerts
      
      The RIFO is responsible for ensuring that IID-HQ has the completed case file for all FTP shipments. This includes the import alert that has been written for all FTP.
       
   9. Notification to Foreign Countries
      
      OIA (Import Export Program) will provide official notification to the foreign country when a FTP occurs. OIA will request an investigation into the cause of the FTP and documentation of the appropriate corrective action taken by the responsible company.

ENCLOSURE 6

Instructions for completing FSIS Form 9510-2, “Inspection Assignment”

This form is used as necessary by import inspection personnel when the random numbers the AIIS issues cannot be used (e.g. uneven pallet count) for pulling samples. It basically substitutes for the pallet count and box number the AIIS uses. Import inspection personnel unsure of when to use this form or how to use this form should contact their supervisor for guidance.

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