50 CFR § 300.320-300.325 - International Trade Documentation and Tracking Programs

333 Int’l. Fishing and Related Activities § 300.321 (c) It is unlawful for any person, without prior authorization from the Assistant Administrator, to engage in commercial transactions with listed IUU vessels. Such transactions include, but are not limited to: (1) Transshipment; (2) Processing fish harvested or land ed by a listed IUU vessel or processing fish using a listed IUU vessel; (3) Joint fishing operations; (4) Providing supplies, fuel, crew, or otherwise supporting a listed IUU ves sel; or (5) Chartering or entering in a char tering arrangement with a listed IUU vessel. (d) The prohibitions listed in § 300.304(c) shall not apply when the As sistant Administrator has authorized a listed IUU vessel to access such port services or engage in such commercial transactions, in accordance with appli cable provisions of RFMO conservation and management measures, including in cases of force majeure and where the Assistant Administrator has deter mined that such services are essential to the safety, health, and welfare of the crew. Subpart Q—International Trade Documentation and Tracking Programs SOURCE: 81 FR 51137, Aug. 3, 2016, unless otherwise noted. § 300.320 Purpose and scope. The regulations in this subpart are issued under the authority of the At lantic Tunas Convention Act of 1975 (ATCA), the Magnuson-Stevens Fishery Conservation and Management Act, the Tuna Conventions Act of 1950, and the Antarctic Marine Living Resources Convention Act of 1984. These regula tions implement the applicable rec ommendations of the International Commission for the Conservation of Atlantic Tunas (ICCAT) for the con servation and management of tuna and tuna-like species in the Atlantic Ocean, the Inter-American Tropical Tuna Commission (IATTC) for the con servation and management of highly migratory fish resources in the eastern Pacific Ocean, and the Commission for the Conservation of Antarctic Marine Living Resources so far as they affect vessels and persons subject to the juris diction of the United States. These reg ulations are also issued under the Ma rine Mammal Protection Act of 1972, the Dolphin Protection Consumer In formation Act and the Security and Accountability for Every Port Act of 2006. The requirements in this subpart may be incorporated by reference in other regulations under this title. § 300.321 Definitions. ACE Implementation Guide for NMFS means the data set and document im aging requirements set forth in the Ap pendices to the Customs and Trade Automated Interface Requirements issued by Customs and Border Protec tion. Aggregated Harvest Report means a record made at a single collection point on a single calendar day for ag gregated catches by multiple small scale fishing vessels (20 measured gross tons or less or 12 meters length overall or less) offloaded at that collection point on that day, or for a landing by a vessel to which the catches of one or more small-scale vessels were trans ferred at sea. An Aggregated Harvest Report also means a record made at a single collection point or processing fa cility on a single calendar day for ag gregated deliveries from multiple small-scale aquaculture facilities, where each aquaculture facility deliv ers 1,000 kg or less to that collection point or processing facility on that day. An Aggregated Harvest Report may not be used for information for catches from vessels greater than 20 measured gross tons or 12 meters length overall, and deliveries of more than 1000 kg from aquaculture facili ties. AMLR trade program means the pro gram for monitoring trade in Antarctic marine living resources including, inter alia, Dissostichus species as set forth in subpart G of this part. Automated Commercial Environment (ACE) means, for purposes of this sub part, the central point through which import shipment data required by mul tiple agencies is filed electronically to Customs and Border Protection (CBP). Automated Export System (AES) means, for purposes of this subpart, the VerDate Sep<11>2014 14:05 Oct 24, 2022 Jkt 256246 PO 00000 Frm 00343 Fmt 8010 Sfmt 8002 Q:\50\50V11.TXT PC31kp ay ne o n V M O F R W IN 70 2 w ith $ $ JO B 334 50 CFR Ch. III (10–1–22 Edition) § 300.322 central point through which export shipment data required by multiple agencies is filed electronically to Cus toms and Border Protection (CBP). Catch and Statistical Document/Docu mentation means a document or docu mentation, in paper or electronic form, accompanying regulated seafood im ports and exports that is submitted by importers and exporters to document compliance with TTVP, AMLR trade program, and HMS ITP trade docu mentation programs or the Seafood Traceability Program as described in this subpart. CBP means U.S. Customs and Border Protection, Department of Homeland Security. Documentation and data sets required under this subpart refers to documenta tion and data that must be submitted by an importer or exporter to NMFS at the time of, or in advance of, import, export, or re-export, as applicable for those seafood products regulated under the TTVP, AMLR trade program, and HMS ITP or the Seafood Traceability Program as described in this subpart. The required data sets and document images to be submitted for specific pro grams and transactions are posted by CBP as indicated in § 300.323. Fish or fish products regulated under this subpart means species and products containing species regulated under this subpart, and the AMLR trade program, the HMS ITP, the TTVP, or the Sea food Traceability Program. Harvest Event means, for wild-capture fisheries, the landing of fish in port or offloading of fish from a fishing vessel that caught the fish to a carrier vessel at sea or in port, and for aquaculture production, the delivery of fish from the facility to a consolidator or a proc essor. For wild-capture fisheries, the harvest event is considered to occur at the fishing trip level, such that the harvest event concludes at the time catch is landed or offloaded from the catching vessel. For fishing trips oc curring in more than one area, each area fished during the trip must be identified in the report on the harvest event. HMS ITP means the Highly Migra tory Species International Trade Pro gram which includes trade monitoring and/or reporting and consignment doc umentation for trade of bluefin tuna, southern bluefin tuna, frozen bigeye tuna, swordfish, and shark fins as de scribed in subpart M of this part. Import has the same meaning as 16 U.S.C. 1802(22). Import includes, but is not limited to, customs entry for con sumption, withdrawal from customs bonded warehouse for consumption, or entry for consumption from a foreign trade zone. International Fisheries Trade Permit (or IFTP) means the permit issued by NMFS under § 300.222. Seafood Traceability Program means the data reporting and recordkeeping requirements established under § 300.324 and includes the permitting require ments of § 300.322, and the requirements under § 300.323 as they pertain to spe cies or species group subject to the Seafood Traceability Program. TTVP means the Tuna Tracking and Verification Program, which regulates trade in certain fishery products as set forth in § 216.24(f)(2) of this title. [81 FR 51137, Aug. 3, 2016, as amended at 81 FR 88996, Dec. 9, 2016] § 300.322 International Fisheries Trade Permit. (a) General. Any person, including a resident agent for a nonresident cor poration (see 19 CFR 141.18), who im ports as defined in § 300.321, exports, or re-exports fish or fish products regu lated under this sub-part from any ocean area, must possess a valid Inter national Fisheries Trade Permit (IFTP) issued under this section. Fish or fish products regulated under this subpart may not be imported into, or exported or re-exported from, the United States unless the IFTP holder files electronically the documentation and the data sets required under this subpart with U.S. Customs and Border Protection (CBP) via ACE at the time of, or in advance of, importation, ex portation or re-exportation. If author ized under other regulations under this title or other applicable laws and regu lations, a representative or agent of the IFTP holder may make the elec tronic filings. Only persons resident in the United States are eligible to apply for the IFTP. (b) Application. A person must apply for an IFTP electronically via a Web VerDate Sep<11>2014 14:05 Oct 24, 2022 Jkt 256246 PO 00000 Frm 00344 Fmt 8010 Sfmt 8002 Q:\50\50V11.TXT PC31kp ay ne o n V M O F R W IN 70 2 w ith $ $ JO B 335 Int’l. Fishing and Related Activities § 300.323 site designated by NMFS. The applica tion must be submitted electronically with the required permit fee payment, at least 30 days before the date upon which the applicant wishes the permit to be made effective. (c) Issuance. Except as provided in subpart D of 15 CFR part 904, NMFS will issue an IFTP within 30 days of re ceipt of a completed application. NMFS will notify the applicant of any deficiency in the application, including failure to provide information, docu mentation or reports required under this subpart. If the applicant fails to correct the deficiency within 30 days following the date of notification, the application will be considered aban doned. (d) Duration. An IFTP issued under this section is valid for a period of one year from the permit effective date. (e) Alteration. Any IFTP that is sub stantially altered, erased, or mutilated is invalid. (f) Replacement. NMFS may issue re placement permits. An application for a replacement permit is not considered a new application. An appropriate fee, consistent with paragraph (j) of this section, may be charged for issuance of a replacement permit. (g) Transfer. An IFTP issued under this section is not transferable or as signable; it is valid only for the permit holder to whom it is issued. (h) Inspection. The permit holder must keep the IFTP issued under this section at his/her principal place of business. The IFTP must be displayed for inspection upon request of any au thorized officer, or any employee of NMFS designated by NMFS for such purpose. (i) Sanctions. The Assistant Adminis trator may suspend, revoke, modify, or deny a permit issued or sought under this section. Procedures governing per mit sanctions and denials are found at subpart D of 15 CFR part 904. (j) Fees. NMFS will charge a fee to re cover the administrative expenses of permit issuance. The amount of the fee is calculated, at least annually, in ac cordance with the procedures of the NOAA Finance Handbook, available from NMFS, for determining the ad ministrative costs of each special prod uct or service. The fee may not exceed such costs and is specified on each ap plication form. The appropriate fee must be submitted via a Web site des ignated by NMFS at the time of appli cation. Failure to pay the fee will pre clude issuance of the permit. Payment by a commercial instrument later de termined to be insufficiently funded shall invalidate any permit. (k) Change in application information. Within 15 days after any change in the information contained in an applica tion submitted under this section, the permit holder must report the change to NMFS via a Web site designated by NMFS. If a change in permit informa tion is not reported within 30 days, the permit is void as of the 30th day after such change. (l) Renewal. Persons must apply an nually for an IFTP issued under this section. A renewal application must be submitted via a Web site designated by NMFS, at least 15 days before the per mit expiration date to avoid a lapse in permitted status. NMFS will renew a permit provided that: The application for the requested permit renewal is complete; all documentation and re ports required under this subpart and the Magnuson-Stevens Act, Atlantic Tuna Conventions Act, the Tuna Con ventions Act, the Marine Mammal Pro tection Act, the Dolphin Consumer Protection Information Act, and the Antarctic Marine Living Resources Act have been submitted, including those required under §§ 216.24, 216.93, 300.114, 300.183, 300.185, 300.186, 300.187 and 635.5 of this title; and the applicant is not subject to a permit sanction or denial under paragraph (i) of this section. § 300.323 Reporting and recordkeeping requirements. (a) Reporting. Any person, including a resident agent for a nonresident entity (see 19 CFR 141.18), who imports as de fined in § 300.321, exports, or re-exports fish or fish products regulated under this subpart must file all data sets, re ports, and documentation as required under the AMLR program, HMS ITP, TTVP and Seafood Traceability Pro gram, and under other regulations that incorporate by reference the require ments of this subpart. For imports, specific instructions for electronic fil ing are found in Customs and Trade VerDate Sep<11>2014 14:05 Oct 24, 2022 Jkt 256246 PO 00000 Frm 00345 Fmt 8010 Sfmt 8002 Q:\50\50V11.TXT PC31kp ay ne o n V M O F R W IN 70 2 w ith $ $ JO B 336 50 CFR Ch. III (10–1–22 Edition) § 300.324 Automated Interface Requirements (CATAIR) Appendix PGA (https:// www.cbp.gov/document/guidance/appen dix-pga). For exports, specific instruc tions for electronic filing are found in Automated Export System Trade Inter face Requirements (AESTIR) Appendix Q (https://www.cbp.gov/document/guid ance/aestir-draft-appendix-q-pga-record formats). For fish and fish products reg ulated under this subpart, an ACE entry filing or AES export filing, as ap plicable, is required, except in cases where CBP provides alternate means of collecting NMFS-required data and/or document images. (b) Recordkeeping. A paper or elec tronic copy of all documentation and data sets required under this subpart, and all supporting records upon which an entry filing or export declaration is made, must be maintained by the im porter of record or the exporting prin cipal party in interest as applicable, and made available for inspection, at the importer’s/exporter’s place of busi ness for a period of two years from the date of the import, export or re-export. [81 FR 88997, Dec. 9, 2016] § 300.324 Seafood Traceability Pro gram. This section establishes a Seafood Traceability Program which has data reporting requirements at the time of entry for imported fish or fish products and recordkeeping requirements for fish or fish products entered into U.S. commerce. The data reported and re tained will facilitate enforcement of section 307(1)(Q) of the Magnuson-Ste vens Act and the exclusion of products from entry into U.S. commerce that are misrepresented or the product of il legal or unreported fishing. The data reporting and recordkeeping require ments under the program enable verification of the supply chain of the product offered for entry back to the harvesting event(s). In addition, the permitting requirements of § 300.322 pertain to importers of products within the scope of the program. (a)(1) For species or species groups subject to this Seafood Traceability Program, data is required to be re ported and retained under this program for all fish and fish products, whether fresh, frozen, canned, pouched, or oth erwise prepared in a manner that al lows, including through label or dec laration, the identification of the spe cies contained in the product and the harvesting event. Data is not required to be reported or retained under this program for fish oil, slurry, sauces, sticks, balls, cakes, pudding and other similar fish products for which it is not technically or economically feasible to identify the species of fish comprising the product or the harvesting event(s) contributing to the product in the ship ment. (2) The following species or species groups are subject to this Seafood Traceability Program: Atlantic Cod; Pacific Cod; Blue Crab; Red King Crab; Dolphinfish (Mahi Mahi); Grouper; Red Snapper; Sea Cucumber; Sharks; Swordfish; Tunas (Albacore, Bigeye, Skipjack, Yellowfin, and Bluefin). The harmonized tariff schedule (HTS) num bers applicable to these species or spe cies groups are listed in the documents referenced in paragraph (c) of this sec tion. Compliance with the require ments of the Seafood Traceability Pro gram for these species or groups of spe cies is mandatory beginning January 1, 2018. (3) The following species or species groups are also subject to this Seafood Traceability Program: Abalone and Shrimp. The harmonized tariff sched ule (HTS) numbers applicable to these species or species groups are listed in the documents referenced in paragraph (c) of this section. The Seafood Traceability Program for these species or species groups consists of two com ponents: (i) The data reporting requirements of paragraphs (b)(1) through (3) and (c) of this section in conjunction with § 300.323(a); and (ii) The permit requirements of § 300.322, the IFTP number reporting re quirement in paragraph (b)(4) of this section in conjunction with § 300.323(a), and the recordkeeping requirements of § 300.323(b) which includes the record keeping of all information specified in paragraphs (b) and (e) of this section. (b) In addition to data reporting re quirements applicable, pursuant to other authorities and requirements set out elsewhere in U.S. law and regula tion (e.g., under other NMFS programs VerDate Sep<11>2014 14:05 Oct 24, 2022 Jkt 256246 PO 00000 Frm 00346 Fmt 8010 Sfmt 8002 Q:\50\50V11.TXT PC31kp ay ne o n V M O F R W IN 70 2 w ith $ $ JO B 337 Int’l. Fishing and Related Activities § 300.324 or U.S. Customs and Border Protection (CBP) requirements), to the particular commodity offered for entry, the im porter of record is required to provide the following data set in ACE at the time of entry for each entry containing the species or species groups listed under paragraph (a) of this section: (1) Information on the entity(ies) harvesting or producing the fish: Name and flag state of harvesting vessel(s) and evidence of fishing authorization; Unique vessel identifier(s) (if avail able); Type(s) of fishing gear used to harvest the fish; Name(s) of farm or aquaculture facility. Vessel-, farm-, or aquaculture facility-specific informa tion is not required if the importer of record provides information from an Aggregated Harvest Report, unless the product offered for entry is subject to another NMFS program that requires data reporting or documentation at an individual vessel, farm, or aquaculture facility level. (2) Information on the fish that was harvested and processed: Species of fish (Aquatic Sciences Fishery Information System 3-alpha code as listed at http:// www.fao.org/); Product form(s) at the point of first landing whether unproc essed or processed prior to landing/de livery; Quantity and/or weight of the product(s) as landed/delivered. When an Aggregated Harvest Report is used, the importer must provide all of the infor mation under this paragraph (b)(2), but may provide the total quantity and/or weight of the product(s) as landed/de livered on the date of the report. (3) Information on where and when the fish were harvested and landed: Area(s) of wild-capture or aquaculture location; Location of aquaculture facil ity; Point(s) of first landing; Date(s) of first landing, transshipment or deliv ery; Name of entity(ies) (processor, dealer, vessel) to which fish was landed or delivered. When an Aggregated Har vest Report is used, the importer must provide all of the information under this paragraph (b)(3). Some product of fered for entry may be comprised of products from more than one harvest event and each such harvest event rel evant to the contents of the shipment must be documented; however, specific links between portions of the shipment and a particular harvest event are not required. (4) The NMFS-issued IFTP number for the importer of record. (c) The importer of record, either di rectly or through an entry filer, is re quired to submit the data under para graph (b) of this section through ACE as a message set and/or image files in conformance with the procedures and formats prescribed by the NMFS Im plementation Guide and CBP and made available at: http://www.cbp.gov/trade/ ace/catair. All harvest events contrib uting to the inbound shipment must be reported, but links between portions of the shipment and particular harvest events are not required. (d) Import shipments of fish or fish products subject to this program may be selected for inspection and/or the in formation or records supporting entry may be selected for audit, on a pre- or post-release basis, in order to verify the information submitted at entry. To support such audits, the importer must retain records of the information re ported at entry under paragraph (b) of this section in electronic or paper for mat, and make them available for in spection, at the importer’s place of business for a period of two years from the date of the import. (e) In addition to the entry record keeping requirements specified at 19 CFR part 163 and § 300.323(b), the im porter of record is required to maintain records containing information on the chain of custody of the fish or fish products sufficient to trace the fish or fish product from point of entry into U.S. commerce back to the point of harvest, including individual or Aggre gated Harvest Reports, if any, and in formation that identifies each custo dian of the fish or fish product (such as any transshipper, processor, storage fa cility or distributor). The latter may include widely used commercial docu ments such as declarations by the har vesting/carrier vessels or bills of lad ing. The importer must retain such chain-of-custody records in electronic or paper format, and make them avail able for inspection, at the importer’s/ exporter’s place of business for a period of two years from the date of the im port. [81 FR 88997, Dec. 9, 2016] VerDate Sep<11>2014 14:05 Oct 24, 2022 Jkt 256246 PO 00000 Frm 00347 Fmt 8010 Sfmt 8002 Q:\50\50V11.TXT PC31kp ay ne o n V M O F R W IN 70 2 w ith $ $ JO B 338 50 CFR Ch. III (10–1–22 Edition) § 300.325 § 300.325 Prohibitions. In addition to the prohibitions speci fied in §§ 300.4, 300.117, and 300.189 and 600.725 and 635.71 of this title, it is un lawful for any person subject to the ju risdiction of the United States to: (a) Violate any provision of this sub part, or the conditions of any IFTP issued under this subpart; (b) Import, export or re-export fish or fish products regulated under this sub part, including imports or exports oth erwise eligible for informal filing pro cedures or the de minimis value exemp tion from filing requirements under CBP procedures, without a valid IFTP as required under § 300.322 or without submitting complete and accurate in formation as required under § 300.323; and (c) Import species listed in § 300.324(a) without a valid IFTP or without sub mitting complete and accurate infor mation as required under § 300.324(b) and (c) or without maintaining for in spection records as required under § 300.324(d) and (e). [81 FR 88998, Dec. 9, 2016] Subpart R—High Seas Fisheries AUTHORITY: 16 U.S.C. 5501 et seq. SOURCE: 80 FR 62495, Oct. 16, 2015, unless otherwise noted. Redesignated at 81 FR 51137, Aug. 3, 2016. § 300.330 Purpose. This subpart implements the High Seas Fishing Compliance Act of 1995 (Act), which requires the Secretary to license U.S. vessels fishing on the high seas and to ensure that such vessels do not operate in contravention of inter national conservation and management measures recognized by the United States. § 300.331 Definitions. In addition to the terms defined in section 300.2 and those in the Act and the Agreement to Promote Compliance with International Conservation and Management Measures by Fishing Ves sels on the High Seas, adopted by the Conference of the Food and Agriculture Organization of the United Nations on November 24, 1993 (Agreement), the terms used in this subpart have the fol lowing meanings. If a term is defined differently in section 300.2, the Act, or the Agreement, the definition in this section shall apply. Bottom fishing means fishing using gear that is likely to contact the seafloor during the normal course of fishing operations. Enhanced mobile transceiver unit (EMTU) is defined in 50 CFR 600.1500. High seas means the waters beyond the territorial sea or exclusive eco nomic zone (or the equivalent) of any Nation, to the extent that such terri torial sea or exclusive economic zone (or the equivalent) is recognized by the United States. High seas fishing permit means a per mit issued under this subpart. High seas fishing vessel means any ves sel of the United States used or in tended for use on the high seas for the purpose of the commercial exploitation of living marine resources and as a har vesting vessel, mothership, or any other support vessel directly engaged in a fishing operation. Support vessels include vessels that process or trans ship fish on the high seas; provide sup plies, personnel or fuel on the high seas to other fishing vessels; or conduct other activities in support of, or in preparation for fishing. International conservation and manage ment measures means measures to con serve or manage one or more species of living marine resources that are adopt ed and applied in accordance with the relevant rules of international law, as reflected in the 1982 United Nations Convention on the Law of the Sea, and that are recognized by the United States. Such measures may be adopted by global, regional, or sub-regional fisheries organizations, subject to the rights and obligations of their mem bers, or by treaties or other inter national agreements. Observer means any person serving in the capacity of an observer employed by NMFS, either directly or under con tract with a third party, or certified as an observer by NMFS. Office Director means the director of the NMFS Office for International Af fairs and Seafood Inspection. Regional Administrator means any one of the Directors of a NMFS regional of fice, defined under § 300.2. VerDate Sep<11>2014 14:05 Oct 24, 2022 Jkt 256246 PO 00000 Frm 00348 Fmt 8010 Sfmt 8002 Q:\50\50V11.TXT PC31kp ay ne o n V M O F R W IN 70 2 w ith $ $ JO B