U.S. Department of Commerce National Oceanic and Atmosp

National Marine Fisheries Service 

HMS 

Dealer and 

Importer/Exporter 

Compliance Guide

Guide for Complying with the 

Atlantic Tunas, Swordfish, 

Sharks, and Billfish 

Regulations 

Office of Sustainable Fisheries 

Highly Migratory Species 

Management Division 

(As of August 16, 2010)
See 50 CFR part 635 for the current Atlantic HMS regulations and 50 CFR part 3

regulations. Regulations may change, and if disparities with this guide exist, th

2 

Atlantic highly migratory species (HMS) including tunas, swo

and billfish are managed by the National Marine Fisheries Ser

under the authority of the Secretary of Commerce, with consid

domestic and international aspects of these fisheries. 

This document is meant to provide a summary of Atlantic HM

Importer/Exporter regulations per the 2006 Consolidated HMS 

Management Plan (FMP). This Dealer and Importer/Exporter 

all dealer and importer/exporter sections of previous guides an

compliance with section 212 of the Small Business Regulatory 

Fairness Act. This guide is intended to provide a plain-langua

how to comply with Federal regulations for Atlantic tunas, 

swordfish, sharks, and billfish. 

Since regulations frequently change, it is your responsibility a

become familiar with the latest regulatory updates and to comp

current official regulations. For a comprehensive list of updat

regulations, please refer to the ELECTRONIC CODE OF FED

REGULATIONS (http://ecfr.gpoaccess.gov). If there is a dis

between this summary and the regulations in 50 CFR part 

or 50 CFR part 635, the regulations will take precedence. 

Anyone who is a first receiver for Atlantic sharks must have 

Atlantic Shark Dealer permit. A first receiver, as defined in § 

entity, person, or company that takes, for commercial purpose

solely for transport), immediate possession of the fish, or any p

as the fish are offloaded from a fishing vessel of the United St

under § 600.10 of this chapter, whose owner or operator has be

should have been issued, a valid permit under this part. Prior t

obtaining a Federal Atlantic Shark Dealer permit, the dealer or 

must have attended an Atlantic Shark Identification worksho

a workshop certificate as proof of completing the workshop (s

workshop information). Anyone who receives Atlantic sword

vessels must have a Federal Atlantic Swordfish Dealer permit. 

Atlantic shark and swordfish dealer permits can be obtained by 

NMFS Southeast Region Permit Office (727) 824-5326 http://

sero.nmfs.noaa.gov/permits/permits.htm. Anyone who receive

tunas (bluefin, bigeye, albacore, yellowfin, or skipjack tunas) 

vessels must have a Federal Atlantic tunas dealer permit. Fede

permits can be obtained by calling the NMFS Northeast Regio

281-9370 http://www.nero.noaa.gov/permits. NOTE: The pur

Atlantic billfish is prohibited. 
See 50 CFR part 635 for the current Atlantic HMS regulations and 50 CFR part 

regulations. Regulations may change, and if disparities with this guide exist, 

3 

For updates affecting HMS Dealers and Importers/Exporters, pl

HMS Management Division at (301) 713-2347, or visit the HM

www.nmfs.noaa.gov/sfa/hms. To stay up-to-date on HMS regu

for the HMS email newsletter and listserve Atlantic HMS News 

http://www.nmfs.noaa.gov/sfa/hms/newslist/.

TABLE OF CONTENTS

I. PERMITS 

II. TUNAS 

III. SHARKS 

IV. SWORDFISH 

V. BILLFISH 

VI. IMPORTING, EXPORTING, AND RE-EXPOR

 HMS 

VII. CONTACT LIST 
See 50 CFR part 635 for the current Atlantic HMS regulations and 50 CFR part 3

regulations. Regulations may change, and if disparities with this guide exist, th

4 

p

albacore, yellowfin, and skipjack tunas from a vessel. Atlanti

Permits are available from the NMFS Northeast Regional Off

http://www.nero.noaa.gov/permits/forms.html or by calling (9

and are valid for one year. 

ATLANTIC SHARKS

The Federal Atlantic Shark Dealer permit is required for any e

company that is the “first receiver” of any Atlantic shark or pa

tic shark. A first receiver, as defined in 50 CFR 635.2, is any 

or company that takes, for commercial purposes (other than so

port), immediate possession of the fish, or any part of the fish

offloaded from a fishing vessel of the United States, as define

600.10, whose owner or operator has been issued, or should h

a valid permit under this part. Atlantic shark dealer permits ar

from the NMFS Southeast Regional Permits Office at (727) 8

are valid for one year. http://sero.nmfs.noaa.gov/permits/perm

ATLANTIC SWORDFISH

Atlantic swordfish dealers must obtain a Federal Atlantic Swo

permit in order to receive, purchase, trade for, or barter for At

from a vessel. Atlantic swordfish dealer permits are available 

NMFS Southeast Regional Permits Office at (727) 824-5326, 

for one year. http://sero.nmfs.noaa.gov/permits/permits.htm 

ATLANTIC BILLFISH

Atlantic billfish, including blue and white marlin, sailfish, and 

not be sold, traded, or bartered anywhere in the United States

INTERNATIONAL TRADE PERMIT

The HMS International Trade permit (ITP) is required for imp

ers, and re-exporters of Atlantic bluefin tuna, Southern bluefin 

bluefin tuna, frozen bigeye tuna, swordfish, and shark fins. In

Trade Permits are available from the NMFS Southeast Region

fice at (727) 824-5326, and are valid for one year. http://sero.n

permits/permits.htm 
See 50 CFR part 635 for the current Atlantic HMS regulations and 50 CFR part 

regulations. Regulations may change, and if disparities with this guide exist, 

5 

forms are distributed to dealers along with, or shortly after, the

Bluefin tuna biweekly reports may be obtained at the following 

website: http://www.nmfs.noaa.gov/sfa/hms/Linkpages/reporti

(scroll down to “Dealers”), or by emailing BFTReporting@no

information on additional reporting forms for bigeye, albacore

skipjack (BAYS) tunas, see below. 

Bi-weekly reports for any Atlantic tunas that are received by a 

Atlantic tunas dealer between the 1st and 15th of each month m

completed and received by the appropriate NMFS office by the 

month. Bi-weekly reports for tunas received between the 16th 

of each month must be completed and received by the appropr

office by the 10th day of the following month. NOTE: If no B

received during a reporting period, dealers must still submit a r

none of these tuna species were received for that period (i.e., “

requirement). This “no fish” requirement does not apply to blu

dealers. 

Dealers must keep copies of all reports for a period of two yea

that the report was required to be received by NMFS. 

BAYS tuna – Southeast region 

Dealers located in the Southeast Region (North Carolina throu

Rico, and the U.S. Virgin Islands) must fax (305) 361-4460, el

send (Heather.Balchowsky@noaa.gov), or mail completed rep

the Southeast Fisheries Science Center, 75 Virginia Beach Dr. 

33149, or in the pre-addressed envelopes included with reporti

Additional reporting forms for the dealers in the Southeast Reg

obtained at the following website: http://www.sefsc.noaa.gov/

flsformsdownload.jsp under “Dealer Logbook Forms” and sele

“HMS_Dealer.pdf” (bottom of the page), or by contacting the 

NMFS Southeast Fisheries Science Center at (305) 361-4581. 

BAYS tuna – Northeast region

Dealers located in the Northeast Region (Virginia through Mai

several methods to submit their information. Dealers that have 

permit issued by the Northeast Regional Office (NERO), and a

report electronically, must also report all landed fish through a

approved electronic reporting methods (to NERO or SAFIS). 

dealers that do not also have a NERO dealer permit must subm

report to their local port office. 

Additional reporting forms for dealers in the Northeast Region 
See 50 CFR part 635 for the current Atlantic HMS regulations and 50 CFR part 3

regulations. Regulations may change, and if disparities with this guide exist, th

6 

vessel authorized to harvest Atlantic tunas. Daily landing repo

obtained from the Northeast Regional Office (NERO) by emai

BFTReporting@noaa.gov or calling (978) 281-9260. Landing 

submitted via fax to (978) 281-9393 and must be received by N

than 24 hours after a dealer receives a bluefin tuna. Landing r

indicate both the permit number and name of the vessel that la

tuna and be signed by the vessel operator/owner. 

NMFS will issue numbered dealer tags to each permitted Atlan

One of these tags must be affixed to each bluefin tuna immedi

offloading. Tags must be attached the bluefin tuna between th

finlet and the caudal keel, and must remain on the bluefin tuna 

cut into portions. 

Bluefin tuna – import, export, and re-export

See Section VI – Importing, Exporting, and Re-Exporting HM

RESTRICTIONS 

Dealers may only receive Atlantic bluefin tuna ≥73” curved fo

see below) from permitted U.S. vessels fishing in the Atlantic, 

or Caribbean Sea. Dealers must keep copies of all reports for 

years from the date that the report was required to be received 

 Curved Fork Length (CFL)
See 50 CFR part 635 for the current Atlantic HMS regulations and 50 CFR part 

regulations. Regulations may change, and if disparities with this guide exist, 

7 

dealers following the receipt of their permits. For information 

reporting forms, see below. 

Bi-weekly reports for any Atlantic sharks that are received by 

Atlantic shark dealer between the 1st and 15th of each month m

completed and received by the appropriate NMFS office by th

month. Bi-weekly reports for sharks received between the 16th 

of each month must be completed and received by the appropr

office by the 10th day of the following month. Please note tha

has been added to the dealer reports which require dealers 

whether sharks were landed with their fins naturally attach

landing and offloading. Shark dealer reports must be species

report carcass weights and fin weights separately on the dealer 

In cases where different dealers handle the fins and the shark m

report required in §635.5 or the weighout slip required in §635

indicate which part of the sharks being landed (e.g., fins or me

by the dealer submitting the report. NOTE: If no sharks were 

a reporting period, dealers must still submit a report stating no 

were received for that period (i.e., “no fish” requirement). 

Dealers must keep copies of all reports for a period of two yea

that the report was required to be received by NMFS. 

Atlantic states (Maine through Florida) require all state dealer

Federal Shark Dealer permit per the Atlantic States Marine Fis

Commission (ASMFC) Shark Plan. For more information on 

Shark Plan, visit www.asmfc.org or call (202) 289-6400. 

Southeast region 

Dealers located in the Southeast Region (North Carolina throu

Rico, and the U.S. Virgin Islands) must fax (305) 361-4460, el

send (Heather.Balchowsky@noaa.gov), or mail completed rep

the Southeast Fisheries Science Center, 75 Virginia Beach Dr. 

33149, or in the pre-addressed envelopes included with reporti

Additional reporting forms for the dealers in the Southeast Reg

obtained at the following website: http://www.sefsc.noaa.gov/

flsformsdownload.jsp under “Dealer Logbook Forms” and sele

“HMS_Dealer.pdf” (bottom of the page) or by contacting the N

Fisheries Science Center at (305) 361-4581. 

Northeast region

Dealers located in the Northeast Region (Virginia through Mai

several methods to submit their information. Dealers that have 
See 50 CFR part 635 for the current Atlantic HMS regulations and 50 CFR part 3

regulations. Regulations may change, and if disparities with this guide exist, th

8 

Additional reporting forms for dealers in the Northeast Region 

by contacting their local port office or by email to: reporting.n

RESTRICTIONS 

Federal shark dealers cannot receive the following prohibited s

from any federally-permitted vessel. 

* Sandbar sharks are prohibited, with the exception of vessels 

the shark research fishery while carrying a NMFS-approved ob

below). 

A dealer may not purchase shark fins from an owner or operat

vessel issued a Federal Atlantic commercial shark permit who 

an Atlantic coastal port, unless such fins are naturally attached 

corresponding carcass through landing and their combined we

than five percent of the dressed weight of the corresponding ca

Sandbar sharks

The only federally permitted vessels that are authorized to pos

sharks are those vessels with a valid shark research fishery per

a NMFS-approved observer onboard during the trip when sand

landed. Dealers must verify that the product they are purchasi

vessel that has the shark research fishery permit, which author

trip limit for sandbar sharks, and that the vessel carried an obse

particular trip. If the vessel did not carry an observer durin

sandbar sharks taken are illegal and may not be 

received even if the vessel has a valid shark research fisher

Vessels that possess only a state permit and do not have a Fed

incidental shark permit and were fishing in accordance with st

Atlantic angel Basking

Bigeye sand tiger Bigeye sixgill

Bigeye thresher Bignose

Caribbean reef Caribbean sharpnose

Dusky Galapagos

Longfin mako Narrowtooth

Night Sandbar*

Sand tiger Sevengill

Sixgill Smalltail

Whale White
See 50 CFR part 635 for the current Atlantic HMS regulations and 50 CFR part 

regulations. Regulations may change, and if disparities with this guide exist, 

9 

permit and 3 nonsandbar LCS per vessel per trip from a fisher

federal incidental shark limited access permit if their facility is 

region that is open. Federally permitted dealers who also poss

appropriate state dealer permits can buy non-sandbar LCS shar

fishermen who do not have a Federal shark limited access perm

fishermen fish exclusively in state waters and are following sta

NOTE: Atlantic states (Maine through Florida) mirror federal 

regulations per the Atlantic States Marine Fisheries Commissi

Shark Plan. Visit www.asmfc.org or call (202) 289-6400 for m

information. 

Shark Fins - import, export, and re-export

See Section VI Importing, Exporting, and Re-Exporting HMS 

WORKSHOPS 

Federally permitted Atlantic shark dealers, or a proxy for each 

first receives sharks, must attend an Atlantic Shark Identifica

in order to renew their Atlantic shark dealer permit. The objec

workshops is to reduce the number of unknown and improperl

sharks reported in the dealer reporting form, and to increase th

species-specific dealer reported information, quota monitoring

used in stock assessments. These workshops will train shark d

holders, or their proxies, to properly identify Atlantic shark car

Shark dealer proxies are persons employed at a location that 

sharks under a shark dealer permit. This proxy must be the pri

in identification, weighing, and/or first receiver of fish as they 

from the vessel. The proxy must also be involved in completin

reports. If a dealer opts to send a proxy to the workshop, the d

designate at least one proxy from each place of business listed 

permit which first receives Atlantic sharks. 

Persons holding an expired Atlantic shark dealer permit, and p

intend to apply for a new Atlantic shark dealer permit, will be 

“participant” certificate in their name upon successful complet

Atlantic shark identification workshop. A participant certificat

only to apply for an Atlantic shark dealer permit. An Atlantic 

may not first receive, purchase, trade, or barter for Atlantic sha

valid “dealer” or “proxy” Atlantic shark identification worksho

issued to the dealer or proxy. After an Atlantic shark dealer pe

a person using an Atlantic shark identification workshop partic

such person may obtain an Atlantic shark identification worksh
See 50 CFR part 635 for the current Atlantic HMS regulations and 50 CFR part 3

regulations. Regulations may change, and if disparities with this guide exist, th

10 

throughout the Atlantic and Gulf coast. More information on w

locations and dates can be found on the workshops page of the 

HMS Management Division’s webpage at http://www.nmfs.no

To pre-register for the shark identification workshops, please c

at (386) 852-8588 and fax a completed pre-registration form to 

(386) 756-1756, attached in an email to esander@peoplepc.com

completed form with you to the workshop. 
See 50 CFR part 635 for the current Atlantic HMS regulations and 50 CFR part 

regulations. Regulations may change, and if disparities with this guide exist, 

11 

dealers following the receipt of their permits. For information 

reporting forms, see below. 

Bi-weekly reports for any Atlantic swordfish that are received 

Atlantic swordfish dealer between the 1st and 15th of each mon

completed and received by the appropriate NMFS office by th

month. Bi-weekly reports for swordfish received between the 

day of each month must be completed and received by the app

office by the 10th day of the following month. NOTE: If no sw

received during a reporting period, dealers must still submit a 

swordfish species were received for that period (i.e., “no fish” 

Dealers must keep copies of all reports for a period of two yea

that the report was required to be received by NMFS. 

Southeast region 

Dealers located in the Southeast Region (North Carolina throu

Puerto Rico, and the U.S. Virgin Islands) must fax (305) 361-4

electronically send (Heather.Balchowsky@noaa.gov), or mail 

reports to NMFS at the Southeast Fisheries Science Center, 75 

Dr. Miami, FL 33149, or in the pre-addressed envelopes includ

reporting supplies. 

Additional reporting forms for the dealers in the Southeast Reg

obtained at the following website: http://www.sefsc.noaa.gov/

flsformsdownload.jsp under “Dealer Logbook Forms” and sele

“HMS_Dealer.pdf” (bottom of the page) or by contacting the N

Fisheries Science Center at (305) 361-4581. 

Northeast region

Dealers located in the Northeast Region (Virginia through Ma

several methods to submit their information. Dealers that have 

Federal permit issued by the Northeast Regional Office (NERO

required to report electronically, must also report all landed fis

of the 

approved electronic reporting methods (to NERO or SAFIS). 

swordfish dealers that do not also have a NERO dealer permit 

-weekly report to their local port office. 

Additional reporting forms for dealers in the Northeast Region 

by contacting their local port office or by email to: reporting.n

RESTRICTIONS 

From U.S. vessels, Atlantic swordfish dealers may only receiv

are of the legal size limit for commercial swordfish. There are 
See 50 CFR part 635 for the current Atlantic HMS regulations and 50 CFR part 3

regulations. Regulations may change, and if disparities with this guide exist, th

12 

jaw fork length (LJFL): Straight line measurement from the tip 

to the fork of the tail. 

If the head is removed prior to or at the time of landing, the fish 

29" (73 cm) cleithrum to caudal keel (CK): Curved length meas

cleithrum to caudal keel. 

 

 Lower Jaw Fork Length (LJFL) 

 

 Cleithrum to Caudal Keel (CK) 

A dealer who holds an ITP (see section VI) may only import int

States and Atlantic swordfish or parts of Atlantic swordfish that 

33 lb dw. 
See 50 CFR part 635 for the current Atlantic HMS regulations and 50 CFR part 

regulations. Regulations may change, and if disparities with this guide exist, 

13 

(COE) indicating that the fish is not an Atlantic billfish. The 

with the fish through commerce. Billfish COEs are available a

HMS Management Division’s website at: 

http://www.nmfs.noaa.gov/sfa/hms/Linkpages/reporting_form

permit is not required in order to buy Pacific billfish. 

VI. IMPORTING, EXPORTING, AND RE-EXP

HMS

INTERNATIONAL TRADE PERMIT

Importers, exporters and re-exporters of Atlantic bluefin tuna, 

tuna, Pacific bluefin tuna, frozen bigeye tuna, swordfish, and s

obtain an HMS International Trade Permit (ITP). NMFS will 

notification and a prefilled application approximately 60 days 

the permit is scheduled to expire. 

ITP applications are available on the ITP homepage at: 

http://www.nmfs.noaa.gov/sfa/hms/ITP/index.htm. Applicatio

obtained from the NMFS Permits Team, Southeast Regional O

Avenue, South, St. Petersburg, FL 33701, or by calling (727) 8

An importer is the principal party responsible for the import o

country (see 50 CFR 300 subpart M). For imports into the Un

“importer” means the consignee as identified on entry docume

authorized, equivalent electronic medium required for release 

from the customs authority of the United States or the separate 

territory of a U.S. insular possession. If a consignee is not dec

importer of record is considered to be the consignee. 

An exporter is defined as the principal party in interest, mean

receives the primary benefit, monetary or otherwise, of the exp

For exports from the United States, the exporter is the U.S. Pri

interest, as identified in Part 30 of title 15 of the CFR. An exp

to all of the requirements outlined in subpart M of Part 300 of 

exports are exempt from statistical reporting requirements und

title 15 of the CFR. 

A re-export is defined as the export of goods that were previo

consumption into the customs territory of a country. 

ATLANTIC BLUEFIN TUNA

HMS trade regulations for bluefin tuna apply to bluefin from b

and Pacific oceans. The International Commission for the Con
See 50 CFR part 635 for the current Atlantic HMS regulations and 50 CFR part 3

regulations. Regulations may change, and if disparities with this guide exist, th

14 

with the new ICCAT bluefin tuna catch document (BCD) progr

Importing Atlantic bluefin tuna 

Each consignment of Atlantic bluefin tuna imported into the Un

be accompanied by an approved, original, uniquely numbered, c

validated BCD issued by the country of the vessel that harveste

bluefin tuna (one vessel per BCD). Please note that it is the im

responsibility to ensure that each BCD for an imported cons

complete and accurate. Importers are prohibited from accept

that is not accompanied by an approved, original, complete, and 

The sections of the BCD that are completed for an imported blu

depend upon whether the bluefin tuna was caught wild immedia

landing, or transferred through a farming operation. Full instru

completing a BCD are available on the HMS ITP homepage list

The following links may be helpful to importers in determining 

BCD: 

ICCAT IUU Vessel List http://www.iccat.int/IUU.htm 

ICCAT Record Number http://www.iccat.int/vesselsrecord.asp 

ICCAT Validation Authorities http://www.iccat.int/SDP%20su

The importer must sign the BCD at the bottom of the document 

the Importer/Buyer’s section of the document. The customs ent

ITP (permit) number must be written in the upper right-hand co

document. A copy of the completed, signed document must be 

NMFS within 24 hours of import. In addition, all necessary inf

be included on a bi-weekly form which must be received by NM

days after the end of the reporting period. Bi-weekly reports ar

the ITP homepage. 

Exporting Atlantic bluefin tuna

Each U.S. commercially-caught Atlantic bluefin tuna is require

by an Atlantic Tunas Dealer permit holder with a NMFS-issued 

must accompany product for export or re-export. NMFS taggin

and associated permitting and reporting requirements simplify e

requirements because BCDs for tagged fish do not need to be v

BCDs should be created and filed using the electronic reporting 

available at https://www.st.nmfs.noaa.gov/noaabcd/external/. E

use their ITP number and associated information to create a NO

account. After an account has been created, exporters can log in

generate BCDs for exporting. 
See 50 CFR part 635 for the current Atlantic HMS regulations and 50 CFR part 

regulations. Regulations may change, and if disparities with this guide exist, 

15 

exporter may need to contact the Atlantic Tunas Dealer permit 

received the bluefin to obtain vessel information such as the ve

Tunas Vessel Permit Number (ATVP No.) and the ICCAT Re

(for vessels over 24 meters in length). 

Paper export BCDs may also be used and can be downloaded f

ITP website. If a paper document is used, the document numbe

assigned using the following numbering convention: US Year–

(include numerals only)–sequential number. For example, an 

ITP number “SE 10543” who is exporting the first bluefin for 

would use the following document number:US2010-10543-1. 

The original document should accompany the shipment, and a 

document must be provided to NMFS within 24 hours of expo

information from this document must be included on the “Bi-w

Bluefin Tuna Dealer Landings and Trade Report” available on 

homepage, which must be received by NMFS within 10 days o

applicable reporting period. If the exporter also tagged the fish 

Atlantic Tunas Dealer permit, then only one bi-weekly report n

submitted. If the exporter does not hold a domestic Atlantic T

permit, as long as he provides the information required on the 

to the Atlantic Tunas Dealer permit holder who tagged the fish

a copy of the complete bi-weekly report submitted by the Atla

Dealer permit holder, then the exporter may forgo submitting a 

report to NMFS. Beginning in June 2009, the export BCD for

slightly to include a data field called “State of Destination” for 

product.

Re-exporting Atlantic bluefin tuna

Imported bluefin tuna that is to be re-exported from the United 

accompanied by a bluefin tuna re-export certificate and the ori

it leaves the United States. The re-exporter must complete the 

certificate according to the instructions on the back of the form

government validated, and attach it to the original BCD. For g

validation, see “Validation Services” below. Re-export certifi

available on the HMS ITP homepage. 

Re-exports of untagged fish must also be reported to the ICCA

and to the competent government authority of the importing na

days of export by email, fax, or mail. See the HMS ITP websi

specific addresses. However, the re-export certificate must sti

shipment. Beginning in June 2009, the re-export certificate wa

include a data field called “State of Destination” for the re-exp
See 50 CFR part 635 for the current Atlantic HMS regulations and 50 CFR part 3

regulations. Regulations may change, and if disparities with this guide exist, th

16 

for Pacific bluefin tuna. The information required for Pacific b

imports and exports on each BCD includes the area of harvest, 

information, and trade information, including government vali

“Validation Services” below). BCDs for U.S. exports of Pacif

are available on the HMS ITP website. 

Like Atlantic bluefin tuna, each re-export of Pacific bluefin tun

United States must be accompanied by a re-export certificate a

BCD, and must be validated prior to re-export. 

Copies of import and export BCDs, and re-export certificates, 

provided to NMFS within 24 hours of international trade. Orig

imports and bi-weekly reports must be received by NMFS with

the reporting period ends. The “HMS Trade Bi-Weekly Deale

be used for bi-weekly reports to NMFS. NOTE: Pacific bluef

and re-export certificates are not required to be submitted to th

Secretariat or the importing nation.

SOUTHERN BLUEFIN TUNA, FROZEN BIGEYE TUNA

SWORDFISH, SHARK FINS 

HMS trade regulations for swordfish, Southern bluefin tuna, an

tuna apply to United States trade of product that originated fro

area. ICCAT adopted statistical document (SD) trade-tracking 

swordfish and frozen bigeye tuna in 2001. The United States h

the ICCAT SD programs along with a SD program adopted by 

Commission for the Conservation of Southern Bluefin Tuna to 

and better understand the impact of the international market on 

Since the reporting and recordkeeping requirements are simila

species, they are addressed together below. Additionally, for t

export, and re-export of shark fins an ITP is required, but ITP 

requirements are not required for shark fin trade. 

Importing Southern bluefin tuna, frozen bigeye tuna, and s

Each consignment imported to the United States must be accom

approved, original, species-specific, completed SD, issued and 

country of the vessel of harvest. Instructions for completing S

species are available on the HMS ITP homepage. It is the imp

responsibility to ensure that each SD for an imported consi

complete and accurate. Importers are prohibited from accep

that is not accompanied by an approved, original, species-spec

and validated SD. 

The following links may be helpful to importers in determinin

a SD: 
See 50 CFR part 635 for the current Atlantic HMS regulations and 50 CFR part 

regulations. Regulations may change, and if disparities with this guide exist, 

17 

pg

Importer/Buyer’s section of the document. A copy of the com

document must be provided to NMFS within 24 hours of impo

necessary information relative to the import must be included 

form submitted to NMFS (see “Addresses” section below) wh

received within 10 days of the end of the reporting period. 

Exporting Southern bluefin tuna, frozen bigeye tuna, and s

Statistical documents (SDs) for use in exporting these species 

the HMS ITP homepage. All information should be entered fo

instructions on the back of the form. Please note that for swor

originating from the Pacific or Indian oceans, the description o

exporter certification are not required. All exports must be go

validated (see “Validation Services” below).

The original document should accompany the shipment, and a 

document should be provided to NMFS within 24 hours of exp

information from this document should be included on the “HM

Bi-Weekly Dealer Report” and received by NMFS within 10 d

of the applicable reporting period. 

Re-exporting Southern bluefin tuna, frozen bigeye tuna, an

The SD that accompanied the import is the only documentation 

re-export an imported consignment from the United States that 

subdivided or consolidated with another consignment. The re-

ensure that the intermediate importer certification is completed 

send the original statistical document with the re-exported con

copy of the SD must be received by NMFS within 24 hours of 

If an import has been subdivided or consolidated with another 

then a re-export certificate must be prepared. Re-export certifi

available on the HMS ITP website. The re-exporter must com

re-export certificate following the instructions on the reverse s

document, contact NMFS to have it validated, and attach it to 

to accompany the consignment. All necessary information rel

re-export must be included on a bi-weekly form submitted to N

address indicated below, and received within 10 days of the en

reporting period. 

GOVERNMENT VALIDATION OF FORMS RELATED 

Government validation is available 24 hours a day, seven days 

fax-in basis. To obtain validation, fax documents to (866) 252

document must be complete, and fax and phone numbers must 

Documents will be faxed back within approximately two hour
See 50 CFR part 635 for the current Atlantic HMS regulations and 50 CFR part 3

regulations. Regulations may change, and if disparities with this guide exist, th

18 

NMFS regulations also provide for validation by nongovernm

once the entities have been authorized as validating officials by 

apply for status as a validating official, please submit a reques

HMS Management Division, NMFS, 55 Great Republic Drive

MA, 01930. The request must specify the following informati

1) Names, addresses, and telephone/fax numbers of individual

perform validation; 

2) Procedures to be used to notify NMFS of validations; and 

3) An example of the stamp or seal to be applied. 

4) NMFS will then make a determination and notify the applic

granted an authorization as a validating official.

ITP REPORTING REQUIREMENTS 

Reporting to NMFS

Atlantic & Pacific Bluefin

BCDs, Re-export Certificates, 

Bi-weekly Reports 

 

NMFS Northeast Reg

Highly Migratory Spe

55 Great Republic Dr

Gloucester, MA 0193

FAX: (978) 281-9340 

Phone: (978) 281-914

Email: BFTReporting

Southern Bluefin Tuna, Frozen 

Bigeye Tuna, and Swordfish

SDs, Re-export Certificates, 

Bi-weekly Reports 

 

NMFS National Seaf

Laboratory 

P.O. Drawer 1207 

Pascagoula, MS 3956

Phone: (228) 762-740

Reporting to ICCAT Secretariat 

BCD (copy) for untagged re-exports 

 

ICCAT Secretariat 

Corazón de María, 8 

28002 

Madrid, SPAIN 

info@iccat.int

Reporting to Importing Nations 

 See HMS ITP websit

http://www.nmfs.noa

ITP/index.htm
See 50 CFR part 635 for the current Atlantic HMS regulations and 50 CFR part 

regulations. Regulations may change, and if disparities with this guide exist, 

19 

VII. CONTACT LIST 

NATIONAL MARINE FISHERIES SERVICE

HIGHLY MIGRATORY SPECIES MANAGEMENT DIVISION

Margo Schulze-Haugen, Chief

http://www.nmfs.noaa.gov/sfa/hms

(301) 713-2347

Topics Office Phone Number and AddressCommercial SwordfishSharksExempted fishing permits Atlantic HMS News ListPelagic and bottom longlineProtected Species

HMS

Headquarters

Office

Phone: (301) 713-2347;Fax: (301) 713-1917 

Address:

1315 East-West Highway, 

NMFS/SF1

Sil

S

i

MD 20910
See 50 CFR part 635 for the current Atlantic HMS regulations and 50 CFR part 3

regulations. Regulations may change, and if disparities with this guide exist, th

20 

Atlantic tunas Atlantic tunas dealer reportingBluefin tuna Catch Document ProgramCharter/Headboat operationsInternational Trade Permit

HMS

Gloucester

Office

Phone: (978) 281-9260;Fax: (978) 281-9340 

Address:

55 Great Republic Drive NMF

SF1

Gloucester, MA 01930-2298

Billfish SwordfishTournament registrationBillfish Certificate of EligibilityPelagic Longline

HMS

St. Petersburg

Office

Phone: (727) 824-5399Fax: (727) 824-5398 

Address:

263 13th Ave. South

St

Petersb

rg

FL 33701
See 50 CFR part 635 for the current Atlantic HMS regulations and 50 CFR part 

regulations. Regulations may change, and if disparities with this guide exist, 

21 

FISHING AND DEALER PERMITS

- Atlantic Shark and Swordfish Vessel and Dealer permits

NMFS Southeast Regional Permit 

Office 

Webpage: 

http://sero.nmfs.noaa.gov/

Phone: (727) 824-5326 

Address:

263 13th Ave. South

St. Petersburg, FL 3370

- Atlantic tunas, Atlantic HMS Charter/Headboat and HMS Angling Vessel Permits

Automated Permitting System 

Webpage: 

http://www

hmspermits

gov/

Phone: (888) 872-8862Please dial “0” to speak with a person.
See 50 CFR part 635 for the current Atlantic HMS regulations and 50 CFR part 3

regulations. Regulations may change, and if disparities with this guide exist, th

22 

- Atlantic tunas Dealer Permits

NMFS Northeast Region 

Permit Office 

Webpage: 

http://www.nero.noaa.gov/permits/

Phone: (978) 281-9370Fax: (978) 281-9366 

Address:

55 Great Republic Dri

Gloucester, MA O193

Vessel Monitoring Systems (VMS)

Kelly Spalding National VMS Program Manager (301) 427-2300Patrick O’Shaughnessy Southeast VMS Program Manager (727) 824-5358
See 50 CFR part 635 for the current Atlantic HMS regulations and 50 CFR part 

regulations. Regulations may change, and if disparities with this guide exist, 

23 

24-Hour Enforcement Hotline: (800) 853-196

The NMFS Office of Law Enforcement maintains a 24- hour h

public to report potential violations of Atlantic HMS regulatio

should be used only to report potential violations, not for gene

concerning Atlantic HMS. 

U.S. COAST GUARD 

Coast Guard Regulations

Commercial vessels are subject to the Fishing Vessel Safety A

information, contact one of the following local Coast Gu

Maine to New York (617)223-8440

Maryland Department of Natural Resources: (410) 21

Bellport, NY (631) 776-1734 New Bedford, MA 

Boston, MA (617) 884-5754 Newport News, VA 

Charleston, SC (843) 852-3343 Niceville, FL 

Ellsworth, ME (207) 664-0508 Ocean City, MD 

Galveston, TX (409) 770-0812 Portland, ME 

Gloucester, MA (978) 281-9213 Portsmouth, NH 

Guaynabo, PR (787) 749-4405 Slidell, LA 

Harlingen, TX (956) 423-3450 St. Petersburg, FL 

Marathon, FL (305) 743-3110 Titusville, FL 

Marmora, NJ (609) 390-8303 Wall, NJ 

Miami, FL (954) 746-4160 Woods Hole, MA 
National Marine Fisheries Service, F/SF1 

Highly Migratory Species Management Division 1315 East-West Highway Silver Spring, MD 20910