Export Certification - Revision 2
This directive provides instructions to inspection program personnel (IPP) for performing export certification of meat (including Siluriformes fish) and poultry products. The directive has been rewritten in its entirety to clarify information and incorporate instructions from various FSIS directives and notices. FSIS is also reissuing this directive to provide updates to the export certification of meat, poultry, and to include instructions for export certification of fish of the order Siluriformes.
- Provides updated information and instructions for IPP on the review of export applications, export certificates, and supplemental (letterhead certificates) documents
- Provides updated information and instructions for product re-inspection and export verification
- Provides updated information for issuing replacement certificates
- Provides updated information on the application of the USDA export mark
- Provides updated information on FSIS responsibilities at establishments operating under an Export Verification/Quality Systems Assessment (EV/QSA) Program.
FSIS Directive 9000.1, Revision 1, Export Certification, 3/1/06
FSIS Directive 9040.1, Revision 3, Re-inspection of Product Intended for Export, 3/1/06
A. All federally inspected and passed meat (including Siluriformes fish) and poultry products are eligible to receive an Export Certificate of Wholesomeness (Meat and Poultry Export Certificate of Wholesomeness-FSIS Form 9060-5 or Siluriformes Fish and Fish Products Export Certificate of Wholesomeness-FSIS Form 9060-5S), or equivalent country specific export certificate (e.g., FSIS Form 9135-3, Certificate for Export of Meat and Poultry Products to Canada, as noted in the FSIS Export Library), hereafter referred to as an “export certificate,” to accompany the product intended for export.
B. Many foreign countries maintain additional eligibility requirements and certification statements (attestations), or country-specific supplemental export certificates. Additional export requirements that have been officially communicated to FSIS by the importing country can be accessed in the FSIS Export Library, which is available on the FSIS website.
C. Not all countries that import U.S. meat and poultry products have additional requirements listed in the FSIS Export Library. If a country is not listed in the FSIS Export Library or a product is not included (as eligible or ineligible) on a specific country’s webpage in the Export Library, IPP are to issue the export certificate with no additional supplemental certificates, statements, or attestations.
D. When an application for export certification (FSIS Form 9060-6) is submitted to IPP, IPP are to verify the application is complete, correct, and the product is eligible for export before they sign the application, issue the USDA export mark, and issue (but not sign) an export certificate.
V. EXPORT CERTIFICATION TRAINING
A. IPP are to complete the export certification training referenced in Section B below prior to performing export verification and certification activities, including the issuance of signed export documents. The Inspector-In-Charge (IIC) at establishments that certify exports are to provide up to one hour of official time during the established tour of duty to each FSIS employee that performs these duties to review this directive.
B. In addition to allowing IPP time to review this directive, the IIC may conduct a work unit meeting with IPP that perform export certification duties to discuss this directive. Examples of export certification training are:
- Inspection Methods: Export Certification component of the FSIS Inspection Methods training; and
- AgLearn: Additional export training is available to IPP via AgLearn. Courses include: FSIS-Introduction to Export Certification; FSIS-Export Certification II: Letterhead, Transit, and Replacement Certificate; FSIS-6005 Export Verification; and FSIS-PHIS Export.
CHAPTER II – APPLICATION AND EXPORT LIBRARY
I. APPLICATION FOR EXPORT CERTIFICATE
NOTE: IPP are to follow the instructions in this directive for all non-PHIS (Public Health Information System) specific export certification related steps and procedures. See FSIS Directive 13,000.5, Public Health Information System Export Certification, for information relating to the review and processing of the application for export of meat and poultry products for countries active in PHIS.
A. IPP are to be aware that export applicants (anyone who submits an application for export) need to apply for an export certificate using FSIS Form 9060-6, Application for Export, for all meat, poultry, and Siluriformes fish exports.
B. IPP have the authority to issue an export certificate for meat, poultry and Siluriformes fish exports, provided an application has been submitted by the export applicant. IPP are to review the application to verify, using documentation and evidence provided by the applicant, that it is complete, correct, and that the requirements of the receiving country as listed in the FSIS Export Library have been met. It is the responsibility of the export applicant to demonstrate to FSIS that the requirements of the importing country have been met. IPP are to verify the accuracy of statements on the application and supplemental export documents (e.g., letterhead certificate) requiring FSIS signature, when necessary, by requesting appropriate supporting documentation from the applicant. IPP may inform the applicant that the process may be expedited if they provide any necessary documents with the application.
C. If IPP have concerns that the products listed on the application are ineligible for export to the designated country (e.g., the product is adulterated, unwholesome, or does not meet Export Library criteria), they are not to sign the application and are to:
- Raise such concerns with the applicant;
- Document in a memorandum of interview (MOI) the concerns discussed, and whether the concerns were adequately addressed;
- Provide a copy of the MOI to the applicant and print a copy for the government file; and
- If the products are adulterated or unwholesome, IPP are to also issue a non-compliance report (NR) documenting the non-compliance and apply a USDA retain/reject tag to retain control of the product until a final disposition is made.
D. When IPP verify product eligibility and that all export requirements are met, IPP are to follow the steps below for paper export applications and certificates issued outside of PHIS. See FSIS Directive 13,000.5, Public Health Information System Export Certification, for guidance on issuing export certificates through PHIS.
- Sign the application;
- Retain a copy of the application and any accompanying documents for filing;
- Return the original application to the applicant;
- Provide the unsigned export certificate for completion by the exporter;
- Provide the official rubber export stamp and permit the establishment to apply the USDA export mark; or
- Permit other means of applying the export mark to the product containers, pallets, or closed means of conveyance transporting the consignment (e.g., truck, rail car, or ocean container) associated with the export application as described in Chapter III of this directive. Pallet and conveyance stamping is only permitted when it is specifically allowed in the FSIS Export Library for the importing country.
E. Once the establishment applies the USDA export mark via the rubber export stamp, IPP are to secure the rubber stamp under FSIS control.
F. IPP are to ensure any excess computer-generated export stickers are given to IPP for disposal; or verify any extra cartons or containers containing the inkjet export mark are either destroyed or the export mark is removed or completely and permanently covered or defaced.
II. EXPORT LIBRARY
NOTE: IPP can use the FSIS e-mail subscription service, located at: govdelivery to sign up for e-mail notifications whenever there is an update to the FSIS Export Library for meat and poultry products.
A. IPP are to consult the FSIS Export Library prior to certifying each export certificate to ensure there are no new product restrictions or updates to previous country requirements. The FSIS Export Library is available on FSIS’ website and contains country-specific requirements that have been officially communicated to FSIS by the importing country. These requirements may include, but are not limited to:
- Certificate requirements;
- Foreign country animal health and food safety certification requirements (e.g., letterhead certificates or transit certificates);
- Facility requirements;
- Labeling requirements;
- Chemical residue testing requirements;
- Microbiological testing requirements;
- Public Health Veterinarian (PHV) signature requirements;
- Other commercial requirements and information provided expressly for the exporter;
- Establishment requirements to become eligible to export; and
- Lists (if applicable) of establishments eligible to export.
B. A foreign country may require products to be produced under an Animal and Plant Health Inspection Service (APHIS) or Agricultural Marketing Service (AMS) Process Verified Program (PVP) or EV/QSA Program. When a country requires U.S. product intended for export to be produced at an establishment participating in one of these programs, IPP are to be familiar with the establishment’s written PVP or EV/QSA program and be able to attest that the program is being implemented as required. IPP are to conduct export certification and verification of PVP and EV/QSA programs as voluntary reimbursable services in accordance with Chapter VII Section I of this directive.
1. If based on their verification activities, IPP have reason to believe that an AMS-approved EV/QSA establishment is not properly executing its EV/QSA or APHIS program (e.g., attempting to ship product that is not eligible for the importing country), they are not to sign the export application for the product in question, are to document observations in an MOI, and are to notify AMS via e-mail at QAD.AuditService@ams.usda.gov, or for APHIS programs, notify the District Office (DO), who will notify the local APHIS Veterinary Center and the Import Export Policy Development Staff (IEPDS) at ImportExport@fsis.usda.gov. IPP are to provide the following information in the notification:
- a. Establishment name, address, and number;
- b. Product type, product code, and quantity of product;
- c. Date of production, lot number, and shift;
- d. Date and nature of the observation;
- e. Name of country for which product is intended;
- f. Export certificate number (if applicable);
- g. Any other information necessary to verify claim and specific concerns; and
- h. Name of IPP documenting concerns.
2. IPP are to send a courtesy copy (cc) of the notification to their immediate FSIS Supervisor and to IEPDS, and maintain a copy of the message in the inspection office export file.
3. IPP are to take the appropriate enforcement actions and issue an NR if the violation of the EV/QSA or APHIS program requirement is also an FSIS regulatory non-compliance. IPP are to document the NR in a PHIS Task, other than the export task, applicable to the observed noncompliance and based on the establishment’s food safety system.
C. IPP requiring additional assistance after consulting the FSIS Export Library and this directive can search the askFSIS website. IPP may also contact the Office of Policy and Program Development (OPPD) IEPDS personnel through askFSIS or by calling 1-800-233-3935 and selecting the menu option for the export of meat and poultry for further assistance.
D. If the FSIS Export Library directs IPP to verify information regarding the U.S. animal health status, the instructions to do so will also be contained in the Export Library.
E. All official establishments and all facilities paying for voluntary services listed in the Meat, Poultry and Egg Product Inspection Directory are eligible to export meat (including Siluriformes fish) and poultry products. However, some countries have additional establishment requirements and require pre-approval or registration of eligible establishments before they can be included on an “eligible plants list”. When required in the FSIS Export Library, this registration or pre-approval is usually accomplished via an Establishment Application for Export, FSIS Form 9080-3. The FSIS Export Library will provide necessary information on the requirements for a specific country for a U.S. establishment to become eligible to export to that particular country. If the U.S. establishment has questions on how to obtain approval for voluntary reimbursable inspection service for exporting product, IPP are to direct the establishment to the District Office Grant Curator. Grant curator contact information can be found at: Office Locations and Phone Numbers.
F. Effective on June 29, 2018, all FSIS Form 9080-3 requests must be processed through PHIS. See FSIS Directive 13,000.5 for additional guidance on how IPP are to approve the FSIS Form 9080-3 in PHIS.
G. Before signing the export application, IPP are to consult the FSIS Export Library to verify that an establishment is approved and registered, if required, and on the eligible plants list for the importing country. If establishments are required to appear on an eligible plant list for a particular country and the establishment is not listed, IPP are not to sign the application or issue the export certificate.
CHAPTER III - MARKING PRODUCT
I. EXPORT MARK
A. IPP are to be aware that the applicant may apply the export mark through various methods. These methods may include the use of the rubber export stamp, which is kept under FSIS control when not in use, the use of a computer-generated export mark (pressure-sensitive one-time use stickers), or the application of an export mark by direct printing (i.e., inkjet application) to the box.
B. Computer-generated export marks are allowed, provided that IPP verify that the computer-generated mark:
- Is equal in size and an exact impression of the FSIS rubber export stamp in 9 CFR 312.8, 9 CFR 381.104, or 9 CFR 590.407(e);
- Is not printed until authorized by IPP and based on an assigned export certificate number;
- Is only printed in the quantity needed for application to the consignment, and IPP are notified in advance of the quantity of stickers to be printed;
- Is applied in such a manner that prevents the possibility of re-use of the stickers;
- Is legible and placed uniformly in such a manner as to be visible when the product is palletized or presented for export verification; and
- Any excess stickers are given to IPP for disposal.
C. Direct inkjet printing of the export mark to the carton or container is allowed, and IPP are to verify that the inkjet mark:
- s equal in size and an exact impression of the FSIS rubber export stamp in 9 CFR 312.8, 9 CFR 381.104, or 9 CFR 590.407(e);
- Is not printed on the cartons or containers until authorized by the IPP based on an assigned export certificate number;
- Is only applied in the quantity needed for application to the consignment, and IPP are notified in advance of the quantity of cartons or containers to be printed;
- Is carried out under the supervision of a designated, responsible plant employee;
- Is legible and placed in such a manner as to be visible when the product is palletized or presented for export verification; and
- Is accountable to IPP. IPP are to verify that all extra cartons or containers containing the inkjet export mark are either destroyed or the export mark is removed or completely and permanently covered or defaced to where no parts of the mark are visible.
II. UNIQUE IDENTIFIER (UI)
A. A UI is an alternate export mark that may be used for export consignments instead of using the standard USDA export mark that contains the export certificate number. The UI may be any combination of numbers or letters. IPP are not to certify export consignments marked with a UI unless the importing country allows containers to be marked with a UI instead of the standard USDA export mark, and the acceptance of UI marking is specifically noted in the FSIS Export Library. If the applicant has chosen to use a UI to mark the consignment for export during the export application process, the export consignment will not require the USDA export stamp. Anytime a UI is used to mark the containers, pallets, or closed means of conveyance transporting the consignment, the UI is to link the consignment to the corresponding export certificate and account for all boxes or containers identified on the export certificate. To link a UI to the corresponding export certificate, IPP are to verify that the applicant has included the following statement in the remarks section of the export certificate or on FSIS Form 9060-5B (remarks continuation page): “The products covered by this certificate are marked with the Unique Identifier X#X#X#X#X#X#X#X#.”
NOTE: FSIS Form 9060-5B is a continuation of the remarks section of the export certificate. This form may contain attestations, other information, or replacement certificate information that will not fit in the remarks section of the associated export certificate. The continuation sheet is to be prepared in quadruplicate and is to have the same date as the associated export certificate.
B. Depending on the foreign country’s requirements listed in the FSIS Export Library, exporters may apply the export mark to the consignment in different manners. IPP are to be aware that the exporter may apply the export mark to the export consignment by marking one of the following:
- Each outside container within a consignment (default method unless option two or three below are specifically allowed according the FSIS Export Library for that country);
- A securely enclosed pallet or pallets within the consignment (e.g., shrink-wrapped or other effective means); or
- The closed means of conveyance transporting the consignment (e.g. truck, rail car, or ocean container)
C. If the importing country allows pallet or closed means of conveyance marking, the export mark should be a single mark on every pallet or closed means of conveyance included within the consignment. Unless otherwise indicated in the FSIS Export Library, the export mark may be applied to a placard that is visible under the shrink-wrap that encloses the pallet; to the shrink-wrap directly; or to a single box within the pallet. The export mark may be affixed securely to the closed means of conveyance itself, or to a placard that is placed in a conspicuous location within the conveyance that is transporting the consignment. IPP are not to certify export consignments where individual pallets or a closed means of conveyance bear the export mark unless the FSIS Export Library for the importing country specifically permits this application of the export mark.
D. If an exporter wishes to split a shipment with marked pallets or a closed conveyance into multiple shipments, or consolidate the shipment into another shipment, and the original pallet or closed conveyance export mark no longer links the shipment to the certificate, IPP are to treat the split or consolidated shipment request as a new consignment, requiring a new application, new export certificate, and new export mark.
III. EXPORT PRE-STAMPING PROGRAM
A. IPP may permit an establishment to apply the export mark and complete the export certificate when he or she is on duty but not present at the establishment. This practice is known as pre-stamping and needs to have prior approval from FSIS. Establishments requesting to pre-stamp products intended for export are to have a written pre-stamping program approved by FSIS (IIC in coordination with the local FSIS supervisory chain). IPP are to be aware that the establishment’s pre-stamping program should identify how the controlled stamping of product will be accomplished. IPP are to perform product re-inspection as specified in this section anytime they determine that it is necessary. IPP are to deny the release of the official rubber export stamp or deny permission to print the export mark if they determine the establishment cannot implement the export mark pre-stamping program as written.
B. An export pre-stamping program needs to ensure that:
- The application of the rubber export stamp, stickers, or inkjet export marks is performed by designated establishment personnel;
- The application of the export mark, stickers, or inkjet export marks is performed during the establishment’s hours of operation and when IPP are assigned to the establishment. IPP therefore may not be present during all stamping activities;
- The export mark is applied in a uniform, clear, legible manner that is visible when the product is palletized or presented for export verification;
- The export mark, stickers, or inkjet export mark is applied only to a specified number of cartons or containers that are in sound condition and specifically covered by the export certificate; and
- Accountable items such as the rubber export stamp, printing of export stickers, and the printing process for application of the ink jet are controlled by designated establishment personnel while pre-stamping program procedures take place.
C. If the establishment fails to follow its pre-stamping program, IPP are to:
- Notify establishment management that the pre-stamping operations are suspended;
- Issue an MOI documenting any discussions and any planned corrective measures with establishment management;
- Provide a copy of the MOI to establishment management and retain a copy for the government file; and
- In consultation with the front-line supervisor (FLS), review all the evidence, trends, and any corrective measures regarding the export establishment’s pre-stamping program and decide whether pre-stamping can resume.
NOTE: If for any reason, a consignment intended for export is not to be exported, IPP are to ensure that any previously applied export mark is removed, permanently covered, or defaced to where no parts of the export mark are visible.
CHAPTER IV - ISSUING EXPORT CERTIFICATES AND REPLACEMENT EXPORT CERTIFICATES
I. ISSUING EXPORT CERTIFICATES
A. IPP are to be aware that the applicant or exporter is responsible for completing all parts of the export certificate except for the sections IPP are required to complete. IPP are to sign the export certificate and, if not already typed by the applicant, enter the district name or number, print or type their name (please refer to the FSIS Export Library for country specific instructions), and enter the current date. Instructions for completing the export certificate are available on the FSIS Export Library page of the FSIS website. See FSIS Directive 13,000.5 for issuing export certificates for exports processed through PHIS.
B. Before issuing a signed export certificate, IPP are to perform export verification activities on the export consignment by verifying the:
- 1. Export mark (rubber stamp, stickers, or ink jet export stamp) is equal in size and an exact impression of the FSIS export stamp as required in 9 CFR 312.8, 9 CFR 381.104, or 9 CFR 590.407(e) respectively;
- Correct export mark number is applied, legible, and links the certificate to the shipment;
- Export mark stickers are tightly adhered and applied in such a manner that prevents the possibility of reuse;
- Any excess export mark stickers are returned to IPP; and
- Excess boxes containing the inkjet export mark are destroyed or the export mark is removed or permanently and completely covered or defaced.
C. IPP do not need to perform export verification activities on the entire shipment. To determine the amount of product IPP are to perform export verification activities on, they are to use good judgment taking into consideration the history of any export related issues associated with the exporting establishment and follow supervisory instructions, when provided. IPP are to record the amount of product that they verified on the FSIS copy of the 9060-6, Application for Export. For example, verified 5 of 20 pallets, or verified 100 of 1,000 boxes. See Directive 13000.5 for guidance on how to record the amount of product verified for exports processed through PHIS.
D. Once IPP receive the appropriately completed export certificate and any completed supplemental export documents (e.g., letterhead certificate, foreign country certificate, manufacturer’s declaration) as required in the FSIS Export Library, they are to verify the accuracy of the export information.
E. IPP are to review the certificate and required supplemental export documents for accuracy and completeness based on the application and FSIS Export Library requirements for the receiving country. See Directive 13000.5 for guidance on how IPP are to review and issue export certificates and supplemental documents for exports processed through PHIS. Specifically, IPP are to:
1. Verify that only the required information or statements from the FSIS Export Library are entered in the remarks section of the export certificate or on any accompanying letterhead certificate or other required supplemental document;
NOTE: Exporter or importer requests for additional information or commercial statements that are not specifically included in the Export Library for the receiving country are not to be added in the remarks section or added to any other supplemental document.
2. Verify the appropriate box is checked indicating that the animals received ante- and post-mortem inspection on FSIS Form 9060-5 or that the Siluriformes fish have been inspected and passed on FSIS Form 9060-5S;
3. Verify that any unused space in the product grid and in the remarks section of the export certificate are lined out (a single diagonal line is acceptable); see Directive 13000.5, Public Health Information System Export Certification, for guidance on unused space for export certificates issued through PHIS;
4. Verify that the certificate number, applicant name and address, exporting plant number, product as labeled, shipping marks (if any), weights and package counts (for individual lots and the totals), and establishment number on the product listed on the application match those listed on the export certificate; and
5. Verify the establishment number on the shipping cartons of the product is a U.S. establishment, which may be the establishment number of the official import establishment, and that it corresponds with the “Est. No. on Product” listed on the export certificate.
F. IPP are not to sign the export certificate if the weight and package amounts on the application do not match those on the export certificate. IPP are to allow the exporter to amend an original application, or complete a new application (not an application for a replacement certificate) to correct the weight or package amount to align with the export certificate. However, IPP are not to allow an increase in package or weight count from that on the original application without performing export verification and product re-inspection as needed. See Section II of this chapter below for instructions regarding replacement certificates.
G. IPP are to perform export verification activities (e.g., verify documentation is legible, correct export mark number is applied and legible, labels meet the requirements of the receiving country) and, if required, product re-inspection (see Chapter V section I of this directive).
H. Using other than black ink, IPP are to sign and date (with the current date) the export certificate and any required supplemental export documents if there are no issues or concerns.
I. If a PHV signature is required by the importing country as specified in the FSIS Export Library, the certifying official is to include his or her professional degree.
J. IPP are to ensure the district name or number and the name of the FSIS certifying official are printed or typed, along with the signature of the certifying official, in the signature block on the export certificate.
K. IPP are not to stamp the export certificate with the USDA export mark unless required by the importing country as specified in the FSIS Export Library. Unless indicated otherwise in the Export Library, the export mark stamp applied to the export certificate is to be the number of the current export certificate associated with the shipment.
L. IPP are to maintain the triplicate copy of the export certificate and a copy of all signed supplemental or other supporting documents for the government file.
M. IPP are to give the remaining pages of the export certificate and the original copy of all supplemental or other supporting documents to the designated establishment personnel.
N. If IPP have questions about the information on the application, the export certificate, or other supplemental documents, they are not to sign the certificate until they have contacted the IPP who signed the application (if applicable) or the exporter for clarification. If IPP still have concerns about signing the export certificate after reviewing the completed export documents and performing product re-inspection (if required) or export verification activities, they are to:
- Discuss their concerns with establishment management to see if the concerns can be resolved;
- Document their concerns and discussion with establishment management in an MOI if the concerns cannot be resolved;
- Provide a copy of the MOI to establishment management and retain a copy for the government file;
- Document any regulatory non-compliances by issuing an NR; and
- Notify their supervisor of their concerns, the establishment’s plan to address the concerns, and not sign the export certificate.
O. If necessary, IPP are to inform the applicant that a product continuation sheet (FSIS Form 9060-5A, Meat and Poultry Export Certificate of Wholesomeness Continuation Sheet) is available at: FSIS Forms and is to be prepared by the exporter when multiple items in the shipment exceed the space available in the product grid on the face of the export certificate. The continuation sheet is to be prepared in quadruplicate and includes:
- The export certificate number of the associated export certificate;
- A product description – name, species, type and number of packages, weight, shipping marks, and establishment number on product;
- The certifying official’s printed name and signature, followed by the district number. The FSIS certifying official’s name and district number is to be the same as that on the associated export certificate; and
- The date signed, which is to be the same date as the associated export certificate.
P. For some export consignments, supplemental export documentation (e.g., letterhead certificate) is required in addition to the FSIS export certificate of wholesomeness. Any requirements for supplemental export documentation are specified in the individual country requirements found in the FSIS Export Library. If the exporter submits a letterhead certificate along with the export certificate, the FSIS certifying official is to verify that:
- The most current version of the letterhead certificate found in the FSIS Export Library was submitted;
- No statements on the letterhead certificate have been changed from the most current version;
- No additional statements have been added; and
- Any certification required by another USDA agency (e.g., AMS) is provided along with the completed letterhead.
Q. Each day IPP issue an export certificate at official establishments, they are to schedule and document one domestic Export Certification task in PHIS. Regardless of the number of export certificates issued or the number of IPP that issue certificates on a given day, IPP are only to record the task as performed once each day, per shift and not for each inspector or export certificate they issue. At a non-official establishment, such as an ID warehouse, IPP are to charge for the service as set out in FSIS Directive 12,600.1, Voluntary Reimbursable Inspection Services.
View full Directive for more Chapters :
- CHAPTER V - EXPORT RE-INSPECTION PROCEDURES, EXPORT OF PRODUCT FOR OTHER THAN COMMERCIAL PURPOSES, AND LABELING
- CHAPTER VI – AGRICULTURAL MARKETING SERVICE (AMS)- EXPORT VERIFICATION (EV)/QUALITY SYSTEM ASSESSMENT (QSA) PROGRAM
- CHAPTER VII – REIMBURSABLE SERVICES, SECURITY, AND SUPPLIES
- CHAPTER VIII – DATA ANALYSIS AND QUESTIONS