1. PURPOSE

This memorandum provides inspection personnel with guidelines for

1. Accepting foreign inspection (health) certificates and FSIS Form 9540-1, "Import Inspection Application and Report;"

2. Distinguishing between acceptable and unacceptable certificates;

3. Handling certificate guarantees and delinquent certificates;

4. Stamping certificates;

5. Handling voided certificates; and .

6. Identifying imported meat and poultry products by comparing the data on the foreign inspection certificate to the product.

2. CANCELLATION

Part 4, Section 2, dated November 15, 2003

3. FORMS

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

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

“Certificate Guarantee E-mail Notification Worksheet” (see Table 16)

4. DOCUMENT'S EXAMINATION

Foreign inspection (health) certificates and FSIS Form 9540-1 must accompany each consignment of imported meat and/or poultry product and shall be examined for acceptability by the inspector prior to reinspection. The required contents of FSIS Form 9540-1 are explained in Enclosure 1.

1. Foreign Inspection (Health) Certificates
   
   There are three types of foreign inspection (health) certificates that are to accompany imported product: l) Fresh Meat and Meat Byproducts; 2) Meat Food Products; and 3) Poultry Products. The required contents of these certificates are explained in Enclosures 2, 3, and 4, respectively. Canada uses a combined certificate, which is acceptable. (Reference-9 CFR 327.4 (a), (b) and 381.197 (b)

   1. Acceptable and Unacceptable Certificates.
      
      Foreign inspection (health) certificates must be complete, accurate, and legible to be acceptable. However to some degree, exceptions are allowed. The following guidelines should help inspectors distinguish between acceptable and unacceptable foreign inspection (health) certificates.

      1. Only certificates with an original signature (including electronic signatures) of the foreign government official authorized to issue the certificate are acceptable. This document must state "ORIGINAL" on it. EXCEPTION: This is not required for poultry certificates (381.197). Photocopies and carbon copies of original, signed health certificates are not acceptable.

      2. Certificates are not acceptable if any of the item descriptions listed below are erased, altered, or changed by any other means. If this occurs, the certificate shall be stamped "VOID, USDA" and inspection will not proceed until an acceptable replacement certificate is received or the country's embassy provides a certificate guarantee through the Office of International Affairs (OIA), Import Inspection Division (IID).

         1. The name or kind of product,

         2. The species of livestock or poultry,

         3. The shipping marks,

         4. The number of pieces, containers, packages, etc.;

         5. The total net weight (Avoirdupois pounds),

         6. The foreign establishment number,

         7. The signature of the foreign government official, or

         8. The serial number of the health certificate.

      3. Certificates which contain obviously misspelled words are acceptable.

      4. Multiple establishments are allowed on health certificates. However, for the certificate to be acceptable when there is more than one foreign establishment's products certified on the certificate, inspection program personnel must be able to determine from the certificate which products are from which foreign establishment. A health certificate that does not clearly identify which product belongs to which foreign establishment is unacceptable.

      5. OIA-IID will not accept a guarantee for a replacement certificate for product that was never certified by the foreign inspection system before shipment to the United States. For example, if product in the shipment doesn't match the certificate and originates from a different producing establishment than what is declared on the health certificate, OIA-IID will not accept a guarantee. In such cases, the foreign inspection service would be required to issue a health certificate covering the uncertified product and different establishment plus provide the original documentation to inspection personnel before reinspection can proceed.

      6. OIA-IID will accept a guarantee for replacement of a lost certificate if a copy of the original certificate is presented to inspection personnel. If there is no evidence that a certificate has been issued, the foreign inspection service would be required to issue a replacement health certificate and forward the original certificate to inspection personnel before reinspection can proceed.

      7. Foreign health certificates that are not in compliance in regard to regulatory requirements (e.g., incorrect certificate being used, certification statement is not in compliance with regulations, other requirements) are to be copied and forwarded through supervisory channels to IID-HQ for resolution.

      8. Questionable guarantee request by inspection personnel are to be forwarded to the Deputy Director of Operations (DDO) for review, consultation and final resolution.

   2. Replacing Unacceptable Certificates and Certificate Guarantees

      Importers/brokers/applicants are responsible for obtaining a corrected replacement health certificate from the originating country. The foreign inspection system (or its designated representative; such as the Embassy or consulate) can guarantee the issuance of the replacement certificate. Inspection personnel must verify whether the foreign inspection system is eligible to obtain a guarantee by checking the "Delinquent Certificate List" located in the Import Folder in Outlook (Outlook:\\Public Folders\All Public Folders\OIA\IID\Import Folder). If the foreign country is identified on the Delinquent List, the foreign country is not eligible to receive a guarantee. Inspection program personnel must identify the unacceptable health certificate as "VOID, USDA" and advise the importer/ broker/applicant they have two (2) working days to:

      1. Decide whether or not to request a certificate guarantee or replace the certificate, and

      2. Notify inspection program personnel of the decision. Inspection program personnel will take the following action(s) based on the importer/broker/applicant notification:

         • When inspection personnel are notified that the certificate will not be replaced, the unacceptable certificate must be stamped "U.S. Refused Entry." FSIS Form 9840-3, "Refused Entry Notification" will be completed and distributed and the product must be controlled. This indicates the start of the 45 day period in which final disposition of the product must be accomplished.

         • When inspection personnel do not receive notification from the importer/broker/applicant within the 2-day period, inspection personnel must take official control of the involved product with FSIS Form 6502-1, "U.S. Rejected - U.S. Retained Tag" as outlined below. The tear-off stubs must be attached to the case file as a record that the product has been officially controlled. If inspection personnel do not receive a response within 14 days after requesting import establishment management to contact the importer/broker/applicant, inspection personnel will contact their supervisor for guidance in proceeding with disposition of the lot.
            

         • " When inspection personnel are notified that a request for a certificate guarantee will be made to the foreign country's embassy, inspection personnel will complete  FSIS Form 9540-2, "Certificate Guarantee" or the Certificate Guarantee E-mail Notification Worksheet (see Enclosure 6 for instructions on submission of requests via e-mail). If inspection personnel do not receive confirmation of the guarantee from OIA-IID within 5 working days, inspection personnel will take official control of the involved product with FSIS Form 6502-1, "U.S. Rejected - U.S. Retained Tag." The tear-off stubs must be attached to the case file as a record that the product has been officially controlled. If inspection personnel do not receive a guarantee or response within 5 more days after requesting import establishment management to contact the importer/broker/ applicant, inspection personnel will contact their supervisor for guidance in proceeding with disposition of the lot.

         • " When inspection personnel are notified that a request for a replacement certificate will be made to the foreign country, inspection personnel will take official control of the involved product with FSIS Form 6502-1, "U.S. Rejected - U.S. Retained Tag." The tear-off stubs must be attached to the case file as a record that the product has been officially controlled. If inspection personnel do not receive the replacement certificate within 14 days, inspection personnel will inform import establishment management and request that management contact the importer/broker/applicant to resolve the situation concerning the issuance of a replacement certificate. If inspection personnel do not receive a response or replacement certificate within 7 days after requesting import establishment management to contact the importer/broker/applicant, inspection personnel will contact their supervisor for guidance in proceeding with disposition of the lot.

      3. Control of the product - The involved product must be properly controlled. Control is accomplished by the use of an FSIS Form 6502-1, "U.S. Rejected - U.S. Retained Tag" or by identifying the containers with a "United States Refused Entry" stamp or placard. Inspection personnel will consult with import establishment management prior to having the cartons identified with the refused entry stamp. If import establishment management requests identification of the lot with FSIS Form 6502-1 rather than stamping the containers refused entry, inspection personnel will grant this request. The tear off stubs from FSIS Form 6502-1 must be attached to the case file to alert other inspection personnel that the product has not been stamped "United States Refused Entry". Any refused entry product moving from the import establishment in its original container must be stamped United States Refused Entry prior to removal from the import establishment (includes off-premise storage).

      4. Release of control - Should the importer/broker/applicant provide an acceptable health certificate or sufficient documentation as required, import inspection personnel will release the control action and proceed with reinspection of the product. If a refused entry notification was issued, inspection personnel will identify the refused entry disposition as Negotiated on FSIS Form 9840-3.

      5. Re-inspection is performed when either a certificate guarantee is obtained by OIA-IID from the originating country's embassy or a replacement certificate is provided to inspection personnel where the affected product is located.

      6. Guaranteed health certificates must be delivered to inspection personnel at the import establishment where the product was inspected within 30 days from the date of the guarantee. If the certificate has not been delivered in this timeframe, the country may be placed on the Delinquent list which is posted in the OIA-IID Outlook Public Folder. No certificate guarantees are accepted from a country on the Delinquent list.

   3. Delinquent Certificates

      1. A country is delinquent when a guaranteed replacement certificate has not been received within 30 days. Import inspection personnel will monitor the status of each guarantee to assure it is received within the 30 days. If the certificate is not received within the 30 days, inspection personnel must notify OIA-IID by e-mail ( ( (importinspection@fsis.usda.gov) . OIA-IID may place the involved country on a nationwide certificate delinquent list. OIA-IID will post the following information in the "Import Folder" in Outlook:
         
         (1) Name of foreign country
         
         (2) Foreign establishment number
         
         (3) Name of importer
         
         (4) Date the guarantee was authorized
         
         OIA-IID will track which countries are on the delinquent list in order to monitor guarantee request.

      2. OIA-IID will not accept certificate guarantees from any country identified on the nationwide delinquent list.

      3. Foreign countries placed on the delinquent list will be removed from the delinquent list once all outstanding delinquent certificates are received by OIA-IID.

      4. OIA-IID will monitor all changes in the status of outstanding certificates.

   4. Stamping Certificates
      
      Inspection personnel will legibly stamp each inspection certificate in accordance with one of the following:

      1. When all the product on the certificate is accepted, the certificate will be stamped "U.S. INSPECTED & PASSED" with the round import stamp that includes the import establishment number.

      2. When all the product on the certificate is rejected or refused entry, the certificate must be stamped "U.S. REFUSED ENTRY, AMOUNT_____". The amount rejected must be completed in pounds.

      3. When part of the product on the certificate is rejected, the certificate must be stamped "U.S. INSPECTED & PASSED" with the round import stamp that includes the import establishment number and "U.S. REFUSED ENTRY, AMOUNT____". The amount rejected must be completed in pounds.

      4. For voided certificates, the certificate must be stamped "VOID, USDA".

      5. When stamping health certificates, try to place the stamps in a blank area. If that is not possible, place it over information that is not relevant to the shipment. Stamping over the product name, number of cartons, weight, species, etc. reduces the legibility of the information that may be needed (e.g., recalls).

   5. Handling Voided Certificates

      1. Upon request by the foreign inspection system or the foreign country's embassy, import inspection personnel shall provide the original voided certificate to the (applicant or (person(s) representing requestor…. import establishment) requestor. This request should be honored regardless of whether a "Certificate Guarantee" or "Replacement" health certificate was issued by the foreign country. In some cases the "VOIDED" certificate must be returned prior to the foreign country issuing a replacement certificate.

      2. A copy of the original voided certificate shall be made prior to releasing the original document, and be placed in the case file, along with a notation as to whom the original was given.

      3. Upon request by the foreign inspection system or foreign country's embassy (e.g., Brazil/ Argentina/Uruguay, others), the original health certificate stamped "U.S. Refused Entry" due to non-compliance with U.S. requirements will be provided to the requestor for refused shipments that are re-exported. In these cases, it has been noted by the country's embassy or inspection system that the refused entry shipment will not be allowed entry into the country of origin without the original stamped health certificate. A copy of the original certificate must be attached to the in-plant case file.

   6. Entering Replacement Health Certificate Numbers in the AIIS
      
      When inspection personnel receive a replacement health certificate, no changes will be made to the health certificate number entered in the AIIS. The replacement certificate should identify the health certificate number it is replacing, and will be attached to the case file. When filing the case file, the health certificate number that is in the AIIS is the number that should be used. Case files are to be filed by country and health certificate number.

   7. Cancellation or Corrections of Guarantees
      
      Import inspection personnel will send an e-mail to IID Headquarters when a guaranty request needs to be canceled or corrected (importinspection@fsis.usda.gov). The cancellation or correction request should reference the same subject line in the guaranty e-mail followed by the words, "canceled" or "corrected".

2. FSIS Form 9540-1 "Import Inspection Application and Report"
   
   FSIS Form 9540-1 is generated by the broker/applicant and accompanies the foreign inspection (health) certificate. Inspection personnel shall assure it is completed as per Enclosure 1. Both documents shall have the following nine item descriptions completed with the same information.

   1. Country of origin,

   2. Foreign establishment (producing) number that is present on the product,

   3. Name or kind of product (description of product as labeled),

   4. Shipping mark,

   5. Number of units (pieces, containers, packages, etc.),

   6. Number of units per carton, when applicable,

   7. Net weight (Avoirdupois pounds), and

   8. Species (or meat derived from the species)

   9. Health certificate number

If there are differences in these nine items between the two documents, the foreign health certificate will take precedence. Errors on FSIS Form 9540-1 should be corrected and initialed by the broker/applicant or the representative prior to inspection personnel performing the reinspection.

5. IDENTIFICATION OF PRODUCT

Inspectors shall review each foreign inspection (health) certificate to assure that the product(s) described on the certificate closely coincides with the product presented for re-inspection (e.g., minor deviations are permitted …. "Beef Lips" on certificate while "Beef Offal-Lips" is on the immediate/shipping container label).

Inspection personnel will review each foreign inspection (health) certificate to assure that the product(s) described on the certificate closely coincides with the product(s) presented for reinspection. Inspection personnel will accomplish this by reviewing the health certificate and making certain that the descriptions for the items listed below match the markings on the shipping container. In the case of carcasses, the markings should be on the product, on a tag firmly attached to the product, a placard (for Canada), or on the package encasing the product. These item descriptions are:

• Shipping Mark - a unique mark that is used to link the product to the foreign health certificate.

• Name or similar descriptive designation of the Product (name of product as labeled on immediate/shipping container ….minor deviations are permitted)

• Foreign Establishment (producing) Number - the establishment number assigned by the foreign meat inspection system and certified to FSIS.

• Name of the Country of Origin, preceded by "Product of." However, if the name of the country appears in the mark of inspection of the foreign country or the shipping container contains fully labeled immediate containers, the phrase "Product of" need not appear.

Single ingredient products, such as meat cuts or poultry parts should be grouped by process category/sub-category, such as 03C Cuts; 03C Bone-in Cuts, 03C Carcasses; or, 03C Organs/Offal/By-products when presented for reinspection.

NOTE: Foreign health certificates and immediate/shipping containers are to coincide as follows:

1. Bone-in product identified on the foreign health certificate as bone-in cuts can be labeled on the immediate/shipping container by the actual type of cut (e.g., bone-in wholesale or retail; bone-in primal; sub-primal and portion cuts, etc.). 

2. Boneless product identified on the foreign health certificate as boneless cuts can be labeled on the immediate/shipping container by the actual cut (e.g., boneless wholesale or retail; bone-in primal, sub-primal and portion cuts, etc.). 

3. Boneless product identified on the foreign health certificate as trimmings or boneless for manufacturing can be labeled on the shipping container by the actual product name (e.g., boneless pork trimmings; boneless beef for manufacturing, etc.). 
   
   If the product has both meat and poultry in the formulation, inspection personnel will accept either the "Meat Food Products" or the "Poultry Product" certificate. However, if the product is solely meat (i.e., ham) or poultry (i.e., turkey ham), the product must be certified with the appropriate certificate(s), even if they are shipped together.... they would be separate lots anyway, due to the species. Further, it is not acceptable to allow the use of the "Fresh Meat and Meat Byproducts" or "Meat Food Products" certificates for poultry.

Inspection personnel must refer to Part 2, Section 2 "Label Compliance for Imported Meat and Poultry Products;" Part 1, Section 2, "Process Categories, Sub-categories, and TOIs for AIIS; and IID Message, "Standardized Product Descriptions in AIIS" of the import manual of procedures for additional procedures concerning labeling and product description requirements.

 

Enclosure 1

Instructions for Completing
FSIS Form 9540-1, "Import Inspection Application and Report"

The broker or applicant is responsible for preparing the FSIS Form 9540-1 and submitting it to the inspector at the time of reinspection. This form must accompany the original foreign inspection (health) certificate.
 

Prior to reinspection, inspectors shall carefully review FSIS Form 9540-1 to ensure proper completion by the broker/applicant. This form should accompany the foreign inspection (health) certificate and contain, as applicable, the same information as the health certificate. If corrections are required, they are the responsibility of the broker/applicant, and must be made prior to inspection personnel drawing an inspection assignment for a given lot. Note that the information on the health certificate takes precedence in determining acceptability.

Inspectors will review FSIS Form 9540-1 to assure:
 

1. The eight item descriptions listed in IV.B of this memo reflect the same information as the foreign inspection (health) certificate.

2. The Custom Entry Number consists of eleven (11) alphanumeric characters. If the custom entry number contains less than or more than eleven (11) alphanumeric characters, it must be corrected prior to proceeding. Exception: this requirement does not apply to import establishments in American Samoa, Guam, and Saipan.

3. All applicable sections of the form have been completed, are accurate, and the form is signed by the broker/applicant. If not, the form will be returned for correction. Any corrections or adjustments on FSIS Form 9540-1 will be initialed by the broker/applicant or their representative prior to the inspector requesting an inspection assignment from the AIIS.

The FSIS inspector completes blocks 23, 27, 28, 29, 30, and 31.

DISTRIBUTION

The distribution of the FSIS Form 9540-1 is outlined below.

1. Prior to submission to the inspector, the broker/ applicant should have distributed a copy to the U.S. Customs official at the port of entry, (if applicable). The import supervisor or import surveillance liaison inspector should verify this process with U.S. Customs at each port-of-entry.

2. After reinspection, the inspector shall distribute copies as follows.
    

   1. Original Copy - Retain the original or copy at the import establishment with the original health certificate in the official file. If a copy, it shall have the same information (stamps & signatures) on it as the one that was provided to the broker/applicant/trucker.

   2. Photocopy - Submit a photocopy to the broker/applicant, if requested. Import plant management may make a copy of FSIS Form 9540-1 (stamped and/or signed) and return the document with the original signature and stamps to the inspector.
       

Enclosure 2

FRESH MEAT AND MEAT BYPRODUCTS

Review each certificate to verify that it

1. Is in both the English language and in the language of the foreign country of origin;

2. Bears the official seal of the national government agency responsible for the inspection of the product;

3. Contains the word "ORIGINAL” and the heading: "Official Meat-Inspection Certificate for Fresh Meat and Meat Byproducts";

4. Contains a serial number;

5. Contains the statement from 9 CFR 327.4 (a) in the exact wording;
   
   “I hereby certify that the meat and meat byproducts herein described were derived from livestock which received ante-mortem and post-mortem veterinary inspection at time of slaughter in plants certified for importation of their products into the United States and are not adulterated or misbranded as defined by the regulations governing meat inspection of the U.S. Department of Agriculture; and that said products have been handled in a sanitary manner in this country and are otherwise in compliance with requirements equivalent to those in the Federal Meat Inspection Act and said regulations.”

6. Contains the place (city and country) where the certificate was issued;

7. Contains the date (month, day, year, not necessarily in that order) when the certificate was issued;

8. Contains the wording or similar to "kind of product" and the name or descriptive designation of the product as it appears on the immediate and/or shipping container label. Refer to Part 2, Section 2 of the Import Manual of Procedures for clarification on labeling and certification issues.
    

9. Contains the wording or similar to "Species of livestock derived from" and the applicable information. This is limited to bovine, cattle, calf, beef, swine, porcine, pig, equine, horse, ovine, lamb, sheep, caprine, goat, and kid or the meat derived from these species.

10. Contains the wording or similar to "Number of pieces or containers" and the applicable information;

11. Contains the wording or similar to "Weight" and the applicable information. Weights must be identified in Avoirdupois pounds and ounces. Kilograms may be entered on the certificate in addition to pounds and ounces, but not in lieu of.

12. Contains the wording or similar to "Identification marks on products and containers." Information for this line must include the producing establishment number, which must appear as the producing establishment number on FSIS Form 9540-1, on the shipping containers and, where applicable, on the product. The establishment number that produced the product shall be entered into the AIIS system. Information on this line may contain the slaughtering plant number and, where applicable, the cold storage number, as well, though the slaughtering plant and cold storage numbers are not necessary for the AIIS system.
    
    NOTE: On occasion, imported product has different foreign establishment numbers on the protective covering/immediate container than on the shipping container label. 
    
    In these cases, the foreign establishment number on the protective covering/immediate container represents the establishment where the last HACCP processing operation was performed (slaughtered/cut up, boned, etc.). This establishment number is entered into the Automated Import Information System (AIIS) as the producing establishment. 
    
    The foreign establishment number on the shipping container represents the establishment where the imported product was packed for export to the United States. This establishment number is entered into the AIIS as the exporting establishment. 
    
    Inspection personnel must verify that the foreign establishment number from which the product was certified for export to the United States is entered on the foreign health certificate; and, that the health certificate displays the number of the foreign producing establishment if it is different from the certifying/exporting establishment, along with the words similar to "Produced by Establishment _____."

13. Contains the wording or similar to "Consignor”, "Address", and "Establishment number" and the applicable information for each. This information pertains to the person or company exporting the product. Accordingly, the "Consignor" is the person or company, "Address" is the business address, and the "Establishment number" is the official establishment number of exporting establishment, if different from the producing establishment, which will be entered into the AIIS.

14. Contains the wording or similar to "Consignee" and "Destination", and the applicable information for both. This information pertains to the person or company receiving the exported product. Accordingly, "Consignee” is the person or company, and "Destination" is usually the port of entry, but may indicate the consignee's business address. (NOTE: The consignee may differ from the importer of record (IR) identified on FSIS Form 9450-1, which is the importer on file with U.S. Customs Service.)

15. Contains the wording or similar to "Shipping marks" and the applicable information. This information may vary between countries as well as within a country for each shipment, provided the same unique identifying mark is used on both the certificate and on the matching products and/or containers. Note: a shipping mark may be used only once per calendar year per foreign establishment.

16. Contains the signature (including electronic signatures) of an official authorized by the foreign government to issue inspection certificates; and

17. Identifies the official title of the signer.

Enclosure 3

MEAT FOOD PRODUCTS

Review each certificate to verify that it

1. Is in both the English language and in the language of the foreign country of origin;

2. Bears the official seal of the national government agency responsible for the inspection of the product;

3. Contains the word "ORIGINAL" and the heading: "Official Meat-Inspection Certificate for Meat Food Products";

4. Contains a serial number;

5. Contains the statement from 9 CFR 327.4 (b) in the exact wording;
   
   “I hereby certify that the meat food products herein described were derived from livestock which received ante-mortem and post-mortem veterinary inspections at time of slaughter in plants certified for importation of their products into the United States, were handled in a sanitary manner, and were prepared under the continuous supervision of an inspector under control of the national meat inspection system and that said meat food products are not adulterated or misbranded as defined by the regulations governing meat inspection of the U.S. Department of Agriculture, and are otherwise in compliance with requirements equivalent to those in the Federal Meat Inspection Act and said regulations.
   
   I further certify that all products herein described that are prepared customarily to be eaten without cooking and contain muscle tissue of pork were treated for destruction of trichinae as prescribed in §318.10 of the Meat Inspection Regulations of the U.S. Department of Agriculture.”

6. Contains the place (city and country) where the certificate was issued;

7. Contains the date (month, day, year, not necessarily in that order) when the certificate was issued;

8. Contains the wording or similar to "kind of product" and the name or descriptive designation of the product as it appears on the immediate and/or shipping container label. Refer to Part 2, Section 2 of the Import Manual of Procedures for clarification on labeling and certification issues.

9. Contains the wording or similar to "Species of livestock derived from" and the applicable information. This is limited to bovine, cattle, beef, calf, swine, porcine, pork, pig, equine, horse, ovine, lamb, sheep, caprine, goat and kid.

10. Contains the wording or similar to "Number of pieces or containers" and the applicable information;

11. Contains the wording or similar to "Weight" and the applicable information. Weights must be identified in Avoirdupois pounds and ounces. Kilograms may be entered on the certificate in addition to pounds and ounces, but not in lieu of.

12. Contains the wording or similar to "Identification marks on products and containers." Information for this line must include the producing establishment number, which must appear as the establishment number on FSIS Form 9540-1, on the shipping containers and, where applicable, on the product. The establishment number that produced the product shall be entered into the AIIS system. Information on this line may contain the slaughtering plant number and, where applicable, the cold storage number, as well, though the slaughtering plant and cold storage number is not necessary for the AIIS system.
    
    NOTE: On occasion, imported product has different foreign establishment numbers on the protective covering/immediate container than on the shipping container label. 
    
    In these cases, the foreign establishment number on the protective covering/immediate container represents the establishment where the last HACCP processing operation was performed (slaughtered/cut up, boned, etc.). This establishment number is entered into the Automated Import Information System (AIIS) as the producing establishment. 
    
    The foreign establishment number on the shipping container represents the establishment where the imported product was packed for export to the United States. This establishment number is entered into the AIIS as the exporting establishment. 
    
    Inspection personnel must verify that the foreign establishment number from which the product was certified for export to the United States is entered on the foreign health certificate; and, that the health certificate displays the number of the foreign producing establishment if it is different from the certifying/exporting establishment, along with the words similar to "Produced by Establishment _____."

13. Contains the wording or similar to "Consignor", "Address", and "Establishment number" and the applicable information for each. This information pertains to the person(s) or company exporting the product. Accordingly, the "Consignor" is the person(s) or company, "Address" is the business address, and the "Establishment number" is the exporting establishment, if different from the producing establishment, which will be entered into the AIIS;

14. Contains the wording or similar to "Consignee" and "Destination", and the applicable information for both. This information pertains to the person or company receiving the exported product. Accordingly, "Consignee" is the person or company, and "Destination" is usually the port of entry, but may indicate the consignee's business address. (NOTE: The consignee may differ from the importer of record (IR) identified on FSIS Form 9450-1, which is the importer on file with U.S. Customs Service.)

15. Contains the wording or similar to "Shipping marks" and the applicable information. This information may vary between countries as well as within a country for each shipment, provided the same unique identifying mark is used on both the certificate and on the matching products and/or containers. Note: a shipping mark may be used only once per calendar year per foreign establishment.

16. Contains the signature (including electronic signatures) of an official authorized by the foreign government to issue inspection certificates; and

17. Identifies the official title of the signer.
     

Enclosure 4

POULTRY PRODUCTS

Review each certificate to verify that it

1. Is in the English language, but does not have to be bilingual;

2. Contains the heading, "Foreign Poultry Product Inspection Certificate;"

3. Contains a serial number;

4. Contains the statement from 9 CFR 381.197 in the exact wording;
   
   “I hereby certify that the poultry products herein described were derived from poultry which received ante-mortem and post-mortem inspections at the time of slaughter; and that such poultry products are sound, healthful, wholesome, clean and otherwise fit for human food, and are not adulterated and have not been treated with and do not contain any dye, chemical, preservative, or ingredient not permitted by the regulations governing the inspection of poultry and poultry products of the U.S. Department of Agriculture, filed with me, and that said poultry products have been handled only in a sanitary manner in this country; and are otherwise in compliance with requirements at least equal to those in the Poultry Products Inspection Act and said regulations.”

5. Contains the place (city and country) where the certificate was issued;

6. Contains the date (month, day, year, not necessarily in that order) when the certificate was issued;

7. Contains the wording or similar to "kind of product" and the name or descriptive designation of the product as it appears on the immediate and/or shipping container label. Refer to Part 2, Section 2 of the Import Manual of Procedures for clarification on labeling and certification issues.

8. Contains the wording or similar to "Number of pieces or packages" and the applicable information;

9. Contains the wording or similar to “Weight” and the applicable information. Weights must be identified in Avoirdupois pounds and ounces. Kilograms may be entered on the certificate in addition to pounds and ounces but not in lieu of.

10. Contains the wording or similar to "Identification marks on containers." Information for this line must include the producing establishment number and may contain the slaughtering plant number and, where applicable, the cold storage number. The slaughtering plant is not necessary for the AIIS system but if the product was exported from the cold storage establishment, it will be entered into the AIIS.
    
    NOTE: On occasion, imported product has different foreign establishment numbers on the protective covering/immediate container than on the shipping container label. 
    
    In these cases, the foreign establishment number on the protective covering/immediate container represents the establishment where the last HACCP processing operation was performed (slaughtered/cut up, boned, etc.). This establishment number is entered into the Automated Import Information System (AIIS) as the producing establishment. 
    
    The foreign establishment number on the shipping container represents the establishment where the imported product was packed for export to the United States. This establishment number is entered into the AIIS as the exporting establishment. 
    
    Inspection personnel must verify that the foreign establishment number from which the product was certified for export to the United States is entered on the foreign health certificate; and, that the health certificate displays the number of the foreign producing establishment if it is different from the certifying/exporting establishment, along with the words similar to "Produced by Establishment _____."

11. Contains the wording or similar to "Consignor” and "Address", and the applicable information for each. This information pertains to the person or company exporting the product. Accordingly, the "Consignor" is the person or company, and "Address" is the business address.

12. Contains the wording or similar to "Consignee” and "Destination", and the applicable information for both. This information pertains to the person or company receiving the exported product. Accordingly, "Consignee" is the person or company, and "Destination" is usually the port of entry, but may indicate the consignee's business address. (NOTE: The consignee may differ from the importer of record (IR) identified on FSIS Form 9450-1, which is the importer on file with U.S. Customs Service.)

13. Contains the wording or similar to "Shipping marks" and the applicable information. This information may vary between countries as well as within a country for each shipment, provided the same unique identifying mark is used on both the certificate and on the matching products and/or containers. Note: a shipping mark may be used only once per calendar year per foreign establishment.

14. Contains the signature (including electronic signatures) of an official authorized by the foreign government to issue inspection certificates; and

15. Identifies the official title of the signer.

NOTE: It is not acceptable to allow the use of the "Fresh Meat and Meat Byproducts" or "Meat Food Products" certificates for poultry.

Enclosure 5
 

Instructions for completing FSIS Form 9540-2, “Certificate Guarantee”

Items # 1-16 and 24-25 are completed by inspector - Import Inspectors will clearly identify in the subject line of the e-mail: Country, establishment number, health certificate number (e.g.Canada38HC222222).

Embassy Information
The Office of International Affairs (OIA), Import Inspection Division (IID), will place and “X” in each block, corresponding to item #’s 6-15, in which the information given by the embassy is the same as the inspector’s information. If the embassy information is different from the inspector’s, enter the embassy information in the applicable block(s).

Embassy Contact Information

Import Establishment Notification

 
Final Disposition

Enclosure 6

Instructions for completing Certificate Guarantee E-mail Notification Worksheet
(see Table 16)

This worksheet should be completed and e-mailed to IID in lieu of faxing FSIS Form 9540-2. Using this worksheet enables electronic handling of certificate guarantees. Because IID personnel are located in Omaha, College Station and Washington, DC, IID needs to have a form that is capable of being accessed by the staff at all locations. This form provides the means to accomplish that. However, if Outlook is not accessible, then this form or the FSIS Form 9540-2 should be completed and faxed to IID @ 202-720-7990.

1. Submission of Requests

1. FSIS import inspection personnel should verify the foreign country is not listed on the Foreign Country Delinquent List before completing Health Certificate Guarantee E-mail Worksheet or FSIS Form 9540-2 (Certificate Guarantee). The Foreign Country Delinquent List is posted at outlook:\\Public Folders\All Public Folders\OIA\IID\Import Folder.

2. 2. FSIS inspection personnel will complete the appropriate sections of the worksheet and e-mail the worksheet to IID. If e-mail is not operational, either the worksheet or FSIS Form 9540-2 will be faxed to IID @ (202) 720-6050.

3. To transmit the worksheet by e-mail, inspection personnel shall move the cursor to a block that is not fillable, then perform the following:

   •  Left click on File on the menu bar

   • Scroll the mouse over Send to

   • Scroll the mouse over to Mail Recipient (as Attachment) and left click it

   • An e-mail message should open. ImportInspection@fsis.usda.gov should be entered in the To: block

   • If a copy is to be sent to someone else, then enter that persons e-mail address in the CC: block

   • Using the mouse, highlight the current subject that is in the Subject block and replace it clearly in the subject line of the e-mail with the name of the country, foreign establishment number, health certificate number (e.g., Canada38HC222222). 

   • Left click on Send to transmit the worksheet

   When IID receives a guarantee from the foreign embassy, the worksheet will be reviewed for accuracy and if approved it will be e-mailed to the corresponding Regional E-mail folder located in Outlook: 
   
   Outlook:\\Public Folders\All Public Folders\OIA\IID\Detroit Region 
   Outlook:\\Public Folders\All Public Folders\OIA\IID\Los Angeles Region 
   Outlook:\\Public Folders\All Public Folders\OIA\IID\Miami Region 
   Outlook:\\Public Folders\All Public Folders\OIA\IID\Philadelphia region
   
   FSIS inspection personnel will check the Regional E-mail folder located in Outlook for guarantee approval from IID. NOTE: Approved guarantees will be sent to the Regional Import Field Office mailboxes; import inspection personnel shall access the mailboxes periodically to verify approval of a guaranty. 
   
   If there are discrepancies or inaccuracies, it will be rejected and sent to the same e-mail address. If the e-mail is down, the worksheet will be faxed back to the facsimile number identified on the worksheet. Faxed requests will be faxed back to the facsimile number identified on the form.

2. Instructions for Completing Health Certificate E-mail Notification Worksheet

Inspection personnel

1. Information on current health certificate

   • Inspector's Name 

   • Fax No. Enter I-house fax number

   • Date. 

   • Import Region. Enter appropriate Import Region name and number, circuit number (e.g., Miami 04-08).

   • Health Cert. #. Enter the number of the original health certificate accompanying the imported product. 

   • AIIS Lot Id No. Enter the number assigned by the AIIS system. 

   • 7. Import Est. No. Enter the import establishment number where the product is located. 

   • Country Name. Enter the name of the foreign country exporting the product. 

   • Foreign Est. No. Enter the foreign establishment number. 

   • Importer. Enter the name of the importer from on FSIS Form 9540-1. 

   • Kind of Product. Enter the kind of product in the lot being imported as described on the health certificate. 

   • Shipping Mark. Enter the shipping mark for the lot as identified on the original health certificate accompanying the imported product. 

   • Number of Cartons. Enter the number of cartons in the lot as identified on the original health certificate accompanying the imported product. 

   • Net Weight. Enter the net weight of the lot as identified on the original health certificate accompanying the imported product. 

   • Reason for Request. Enter a brief description of the reason(s) for request. (i.e., overage, incorrect shipping mark, missing or no original signature, no seal, etc.).

   • 15a. Additional Explanation. Enter additional information as necessary to clarify the problem

2. Replacement Health Certificate Should Indicate: Enter the information that is needed for a corrected certificate to accurately reflect the lot.
   

IID-HQ

3. Contact Information

   • Foreign Embassy. Enter the foreign country's embassy name

   • Embassy Official. Enter the official name of the embassy representative giving the certificate guarantee.

   • Notification Sent. Identify the form of communication used to notify inspection personnel and the RIFO that a guarantee has been received. (i.e., phone, fax, or e-mail). 

   • OIA-IID Staff Officer. Name of the IID Staff Officer that approved the guarantee.

   • Date Approved. Enter the date that the guarantee was approved and RIFO and inspector notified.

   • Date Corrected Health Certificate Received. If available, enter the date the health certificate was received by inspection personnel.

Enclosure 7

Instructions for completing Replacement Certificate E-mail Notification Worksheet 

(see Table 17)

This worksheet is to be used only for countries which FSIS receives health certificate data electronically into the AIIS. The form should be completed and e-mailed to IID in lieu of faxing. Using this worksheet enables electronic handling of replacement certificates.

A.         Submission of Requests

1.          FSIS inspection personnel shall complete the appropriate sections of the worksheet and e-mail the worksheet to IID. If e-mail is not operational, the worksheet should be faxed to IID @ (202) 720-0465.

2.          To transmit the worksheet by e-mail, inspection personnel shall move the cursor to a block that is not fillable, then perform the following:

·         Left click on file on the menu bar

·         Scroll the mouse over Send to

·         Scroll the mouse over to Mail Recipient (as Attachment) and left click it

·         An e-mail message should open. lmportInspection@fsis.usda.gov should be entered in the To: block

·         If a copy into be sent to someone else, then enter that persons e-mail address in the CC: block

·         Using the mouse, highlight the current subject that is in the Subject block and replace it with the name of the country and the foreign establishment number

·         Left click on Send to transmit the worksheet

IID will e-mail a copy of the electronic replacement certificate upon receipt to the inspector. Inspections may proceed once the inspector receives the copy from IID, but an original hard copy is still required to complete the lots in the AIIS. If e-mail is down, a copy of the electronic certificate will be faxed to the facsimile number identified on the worksheet. If the country denies the replacement certificate, IID will notify the inspector to refuse entry on the product.

B.         Instructions for Completing Replacement Health Certificate E-mail Notification Worksheet

Inspector

Complete Name, Date, and Fax #.

Complete Blocks Al-12a and Bl-3

·         Al. Import Region. Enter appropriate Import Region (02, 03, 04, 05, 06, 07, 08, 09).

·            A2 Health Cert. #. Enter the original health certificate as it appears on the paper copy

·            A3. AIIS Lot Id No. Enter the number assigned by the AIIS system, if available.

·            A4. Import Est. No. Enter the import establishment number where the product is located.

·         A5. Country Name. Enter the name of the foreign country exporting the product.

·         A6. Foreign Est. No. Enter the foreign establishment number.

·         A7. Importer. Enter the name of the importer from FSIS Form 9540-1.

·         A8. Kind of Product. Enter the kind of product in the lot being imported as described on the health certificate.

·         A9. Shipping Mark. Enter the shipping mark for the lot as identified on the original health certificate accompanying the imported product.

·         AlO. Number of Cartons. Enter the number of cartons in the lot as identified on the original health certificate accompanying the imported product.

·         All. Net Weight. Enter the net weight of the lot as identified on the original health certificate accompanying the imported product.

·         A12. Reason for Request. Enter a brief description of the reason(s) for request. (i.e., overage, incorrect shipping mark, missing or no original signature, no seal, etc.).

·         A12a. Additional Explanation. Enter additional information as necessary to clarify what the problem is.

Replacement Certificate should indicate

NOTE: IID-HQ enters the information that inspection program personnel provide into the e-cert website to request a replacement certificate. They do not speak with anyone from the embassy regarding these replacements. Therefore, the information that is provided here must be clear, concise, and detail' every change that is required for FSIS to obtain a correct replacement certificate, not just a partially correct certificate. For example, if Lot A and Lot B on a certificate have the shipping mark interchanged and everything else is acceptable, then state "Lot A mark - 1010A and Lot B mark = 1010B"; if Lot C is under 10 cartons, and Lot D is over 10 cartons, then state the correct amounts and the revised weight of both lots. 11D-HQ cannot determine what the weight is; that is the broker/importer/applicant's responsibility to provide when the cartons are catch weights.

·         B1. Correct Information. Enter the information that is needed to obtain a correct replacement certificate.

·         B2. Important: Enter yes or no, as applicable, if any lot on the certificate has had an assignment pulled.

·         B3. Inspector receiving the original paper replacement certificate enters the date and their initials.

IID

Tracking Information

·         C1. Enter the date the request for the replacement certificate was entered on the E-cert site, and initial.

·         C2. Enter the date notification of a replacement was received, and initial.

·         C3. Enter "No" when a replacement certificate was denied.

·         C4. Enter the date that either the replacement certificate was sent to the inspector or the inspector was notified to refuse entry, and initial.

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