Import Refusals – Data Documentation

Overview

These data are the import refusals for products regulated by FSIS. Federal law requires every 

commercial shipment of imported meat, poultry, and egg products to be inspected prior to product 

entering U.S. commerce. FSIS inspects each shipment to verify labeling, proper certification, general 

condition, any signs of tampering and to identify product adulterated by transportation damage. FSIS 

also performs additional activities on a random and/or for-cause basis such as physical product 

examination and laboratory sampling for pathogens and chemical residues. (See Notes and Limitations 

section for additional information.)

Any product that does not meet FSIS requirements is refused entry, and the importer has up to 45 days 

(30 days for egg products) to have the product destroyed for use as human food, re-exported/returned 

to the foreign country, converted to animal food, or brought into compliance with FSIS requirements, if 

applicable (e.g. relabeled, remarked, replacement certificate). Additional information can be found on 

the FSIS website at: https://www.fsis.usda.gov/wps/wcm/connect/e8e98073-d957-43bb-bf3f2397a11ae31f/9900.8.pdf?MOD=AJPERES.

Depending on the report execution date and the point of the disposition process a particular refused 

shipment is in, the data are subject to change. To accommodate the changing nature of this data, there

will be two data sets provided, archived and current. The archived data set will provide data starting 

from October 1, 2015 up to the beginning of the previous fiscal quarter of the report execution date. 

The archived data set will be updated quarterly. The current data set will provide data starting from the 

beginning of the subsequent month of the final date available in the archived data set through the end 

of the previous month of the report execution date. The current data set will be updated monthly. 

Each row in this data set represents one refused shipment showing the received lot date, exporting 

establishment number, exporting establishment name, HACCP code, product category, species, final 

weight refused, all refusal reasons, the failed Types of Inspection (TOIs) if the refusal reason is “Failed 

Type of Inspection,” and defect descriptions.

Data Dictionary

• AppLotNum

o Definition: The unique identifier that is used to identify the lot number of an import 

application across data tables in the FSIS databases. This is the concatenation of the 

application number and lot number with a “-” between the two numbers.

• Country
o Definition: The name of the country that issued the inspection certificate for the 

imported product on the FSIS 9540-1 Import Inspection Application.

• ReceivedLotDate

o Definition: The date the FSIS inspector received the shipment in PHIS.

o The value is subject to change depending on the report execution date. Please see the 

Notes and Limitations section.

• ExportEstab

o Definition: The official number and/or letter combination of the foreign establishment 

for the imported product that was written in the inspection certificate on the FSIS 9540-

1 Import Inspection Application.

• ExportEstName

o Definition: The name of the foreign establishment on the FSIS 9540-1 Import Inspection 

Application.

• HACCPCode

o Definition: The code associated with the nine process categories used for imported 

products.

 03B = Raw – Non Intact

 03C = Raw – Intact

 03D = Thermally Processed/Commercially Sterile

 03E = Not Heat Treated – Shelf Stable

 03F = Heat Treated – Shelf Stable

 03G = Fully Cooked – Not Shelf Stable

 03H = Heat Treated – Not Fully Cooked – Not Shelf Stable

 03I = Product with Secondary Inhibitors – Not Shelf Stable

 EGG = Eggs/Egg Products

• ProductCategory

o Definition: Further describes process category to include species name.

• SpeciesName

o Definition: The name of the predominant species in the product. 

 Beef

 Veal

 Goat

 Lamb

 Mutton

 Pork

 Chicken

 Duck

 Goose

 Guinea

 Squab

 Turkey
 Emu

 Ostrich

 Rhea

 Siluriformes – Other (See Notes and Limitations section.)

 Siluriformes – Ictaluridae (See Notes and Limitations section.)

• FinalWeightRefused

o Definition: The net weight of lot in pounds that is refused entry.

o The value is subject to change depending on the report execution date. Please see the 

Notes and Limitations section.

• RefusalReasons

o Definition: Describe reasons for refusal.

• FailedTOI

o Definition: The name(s) of the failed Type of Inspection (s) if the refusal reason is “Failed 

Type of Inspection.”

• DefectDescriptions

o Definition: Information to further describe the refusal reasons of the lot.

Relationship to Other Data

This data can be combined with other FSIS datasets using the AppLotNum variable. However, you must 

concatenate application number and lot number from other FSIS datasets first in order to combine.

Notes and Limitations

This dataset is in response to the demand for easier access to information that is frequently 

requested under the Freedom Of Information Act (FOIA). Domestic establishment datasets are 

available on the FSIS website. Please visit the FSIS website for more information on available 

datasets and the Establishment-Specific Data Release Strategic Plan. 

(https://www.fsis.usda.gov/wps/portal/fsis/topics/data-collection-and-reports/data)

During the transition period (March 1, 2016 – August 31, 2017) FSIS is selecting a subset of 

imported shipments of Siluriformes fish for reinspection based on specific targeting criteria 

including past compliance history provided by the U.S. Food and Drug Administration.

Information about the FSIS Product Categorization can be found on the FSIS website.

https://www.fsis.usda.gov/wps/wcm/connect/abbf595d-7fc7-4170-b7be-37f812882388/ProductCategorization.pdf?MOD=AJPERES

ReceivedLotDate data is as of the report execution date. This data is subject to change whenever a FSIS 

inspector re-receives the lot. This may occur if the inspector re-opens the application. 
FinalWeightRefused data is as of the report execution date. This data is subject to change due to the 

time period for disposition. Information about refused entry and time period for disposition can be 

found on the FSIS website.

https://www.fsis.usda.gov/wps/wcm/connect/e8e98073-d957-43bb-bf3f2397a11ae31f/9900.8.pdf?MOD=AJPERES

A FinalWeightRefused value of 0 indicates that the entire amount of initially refused product was 

rectified.

NULL values indicate that the specific variable is not available for that record. 

Prior Analysis

These data provide a variety of variables that can be used in analysis; however this dataset, as a whole, 

has not been previously used for analysis.