Statistical Documents, Catch Documents and Re-export Certificates

OMB CONTROL NO.: 0648-0040
Expiration Date: 10/31/2010

June XX, 2008

Dear Permit Holder,
This letter summarizes new reporting requirements for Highly Migratory Species
International Trade Permit (HMS ITP) holders. Please note that this summary is not a
replacement for the regulations governing reporting requirements (50 CFR 300. 183-187
and 189), and the regulations hold precedence.
These requirements are established under international agreements and domestic law.
The United States must implement recommendations of the International Commission for
the Conservation of Atlantic Tunas (ICCAT) and Inter-American Tropical Tuna
Commission (IATTC), both of which have adopted statistical document programs for
frozen bigeye tuna. In addition, ICCAT has adopted bluefin tuna and swordfish
consignment document programs. A statistical document program for southern bluefin
tuna under the Commission for the Conservation of Southern Bluefin Tuna (CCSBT) has
also been implemented by the United States.
The bluefin tuna statistical document program (BSD) that has been in effect since the
mid-1980’s will be changed to a catch documentation program under these new
regulations. Tags will still be used for bluefin tuna landed in the United States, and
validation is not necessary for tagged bluefin.
Several documents are attached to this letter for your use and information. These
documents may be reproduced locally for use in satisfying reporting and documentation
requirements. These documents may also be accessed at
http://www.nmfs.noaa.gov/sfa/hms/ITP/International_Trade_Permit.htm. The
attached documents are as follows:
ICCAT Statistical Documents for swordfish and frozen bigeye tuna;
ICCAT Re-export Certificates for swordfish, frozen bigeye tuna and bluefin tuna;
IATTC Statistical Document & Re-export Certificate for frozen bigeye tuna;
CCSBT Statistical Document & Re-export Certificate for southern bluefin tuna;
HMS International Trade Biweekly Report
Covered Species
Reporting requirements are applicable for trade of bluefin tuna, southern bluefin tuna,
swordfish and frozen bigeye tuna. (Note that there are some exceptions to bluefin
reporting due to the previously implemented BSD program.)

Imports
An import of any covered species that comes into the country as an “entry for
consumption” must be accompanied by a correctly completed consignment document
(and foreign re-export certificate if applicable) from the country of export (or re-export).
If the product is consumed in the United States, the permit holder must complete the
Import Section of the consignment document (Box 8), and mail the original to NMFS
within the required timeframe (see below), at the address indicated below. The shipment
entry number assigned by US Customs and Border Protection (CBP, e.g entry number
from CBP form 7501) must be noted at the top of the document (there is no box for it –
just write it in). The permit holder must retain a copy of the consignment document on
file for two years.
If the product is then re-exported from the United States, the U.S. importer must
complete the Import Section of the consignment document. If the shipment remains
intact (i.e., is not subdivided), it can be exported with the original consignment document
as completed by the importer, without need for another document or validation. A copy
of this consignment document must be provided to NMFS within the required timeframe
(see below). If the shipment is subdivided, a re-export certificate must be completed by
the U.S. exporter, and validated (see below). The original re-export certificate and the
original consignment document must accompany the re-export. An individual re-export
certificate is necessary for each sub-shipment, and a copy of the original consignment
document may be used in the event more than one sub-shipment is exported. A copy of
the re-export certificate and consignment document must be provided to NMFS within
the specified time period.
Imports and re-exports must be recorded on biweekly reports (see below).
Exports
Each export of a covered species from the United States must be accompanied by a
complete consignment document. In order to be complete, Boxes 1-6 must be correctly
completed and the consignment document must be validated and numbered (see below).
The consignment documents provided in this mailing may be reproduced, or blank
consignment documents are available at the website mentioned above. A copy of each
validated consignment document must be provided to NMFS within the specified time
period (see below). Exports must be recorded on biweekly reports (see below).
Validation
Each consignment document accompanying an export, and each re-export certificate
accompanying a re-export, must be validated and numbered by NMFS or an entity
authorized by NMFS (Catch documents and re-export certificates for tagged bluefin tuna
do not require validation). Validation and numbering is obtained by faxing the document
to 866/252-3751. NOTE: Return fax number and phone number MUST be specified,
and the document MUST be complete. Validation services are available on a 24 hour/7
days-per-week basis. Your numbered and validated statistical document will be faxed
back to you within approximately 2 hours of receipt. If you experience a delay, please

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contact the validating official at 843/724-6425. Please note that assistance in preparing a
complete consignment document or re-export certificate, or in answering technical
questions is only available during business hours at the following number: 228/7698964.
NMFS validation of a consignment document or re-export certificate does not constitute
an exemption from requirements of the Magnuson-Stevens Fishery Conservation and
Management Act, Atlantic Tunas Convention Act, Tunas Convention Act, CBP
regulations, or other applicable law. In addition, validation does not exempt an ITP
holder, or any other person, from applicable requirements under 50 C.F.R. Parts 300 and
635, including prohibitions on the submission of false information.
Biweekly Reports
All imports, exports, and re-exports must be recorded on the HMS Trade biweekly report
and provided to NMFS to be received within 10 days of the close of a biweekly reporting
period. The biweekly report contained in this mailing may be reproduced, or blank forms
are available at the website mentioned above. Copies of biweekly reports must be
retained by permit holders for two years. (NOTE: Atlantic Bluefin tuna landings and
trade should be recorded on a separate form, the Bi-weekly Atlantic Bluefin Tuna
Landings and Trade Report, available on the above website or by calling 978/281-9140).
Reporting Timeframe
Imports - Within 24 hours of entry into the United States, original consignment
documents must be submitted to NMFS, or a copy must be mailed/faxed to NMFS. If a
copy is submitted or faxed, the original must be submitted with the biweekly report.
Exports – A copy of the consignment document (and re-export certificate, if applicable)
must be faxed or mailed to NMFS and postmarked within 24 hours of the time the
product was exported.
Biweekly reports - Biweekly reporting periods extend from the 1st of each month to the
15th of each month, and from the 16th of each month to the last day of each month.
Biweekly reports must be submitted within ten days of the close of each reporting period.
Reporting Addresses
Swordfish, Southern Bluefin tuna, and frozen
Bigeye tuna:
NOAA/NMFS/NSIL
P.O. Box 1207
Pascagoula, MS 39568-1207
Attn: Kim Dawson Guynn
FAX: 228/762-7144
Phone: 228/762-7402

Bluefin Tuna (Atlantic & Pacific)
NERO/NMFS/NOAA
One Blackburn Dr.
Gloucester, MA 01930-2298
Attn: Kathy Goldsmith
FAX: 978/281-9340
Phone: 978/281-9140

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Parties Responsible for Reporting
The permit holder is the party responsible for reporting. A permit must be held by all
importers (defined as the consignee as identified on CBP entry documentation, or the
importer of record if a consignee is not listed), and exporters (U.S. principal party in
interest) of covered species.
Additional Information
• To obtain the HMS ITP, download an application from the website or call
727/824-5326.
• Regulatory Questions: 978/281-9260
• Report Preparation:
228/762-7402
• Website:
http://www.nmfs.noaa.gov/sfa/hms/ITP/International_Trade_Permit.htm
It is unlawful to falsify or fail to record, report, or maintain information required to be
recorded, reported, or maintained, as specified in 50 C.F.R. § 300.183 (ITP reporting and
recordkeeping requirements) or § 300.185 (Requirements for statistical documents and
re-export certificates). See 50 C.F.R. § 300.189 for other prohibitions.

Sincerely yours,

Margo Schulze-Haugen
Chief
Highly Migratory Species Management Division
Attachments

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Paperwork Reduction Act Statement for Consignment Documents and
Re-Export Certificates
The following information is provided to you as required by the Paperwork
Reduction Act of 1955 (PL 104-13):
Under the provisions of the Paperwork Reduction Act and the Privacy Act of 1974
(PL 93-579), you are advised that disclosure of the information requested on statistical
documents and re-export certificates is mandatory for the purpose of managing the
bluefin tuna, swordfish, and bigeye tuna fisheries. The data is used to monitor trade
of these species. Reporting burden for the collection of information is estimated to
average 5 minutes per completed form, including time for reviewing instructions,
searching existing data sources, gathering and maintaining data needed, and
completing and reviewing the information. Pursuant to Section 402(b) of the
Magnuson-Stevens Act, and consistent with NOAA Administrative Order 216-100
(Confidentiality of Fisheries Statistics), the Agency does not release confidential
information submitted in compliance with provisions of the Act, other than in
aggregate form and under circumstances required or authorized by law. Whenever
data are requested or released to the general public, the Agency ensures that
information on the pecuniary business activity of a dealer is not identified. Because
you have been provided with a currently valid OMB control number for a collection
of information subject to the requirements of the Paperwork Reduction Act you are
required to respond to, or be subject to penalty for failing to comply with, this
collection of information. Send comments regarding this burden estimate or
suggestions for reducing this burden to: NMFS, Highly Migratory Species Division, 1
Blackburn Drive, Gloucester, MA 01930-2298.
OMB # 0648-0040 EXP 10/31/2010

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