Northeast Region Dealer Purchase Reports INCLUDING hagfish and lobster dealers

United States Department of Commerce
National Oceanic and Atmospheric Administration
National Marine Fisheries Service
Northeast Region
55 Great Republic Drive
Gloucester, MA 01930

Dear Federal Northeast Seafood Dealer,

November 27, 2012

Enclosed are the Federal Northeast seafood dealer permits (NE dealer permits) that were recently
issued to you. Your permits identify the fisheries for which you are permitted and include the dates of
issue and the dates of expiration of your permits. The attachments with this letter outline some of the
mandatory reporting requirements associated with those permits.
Federal dealer reporting requirements
Using an approved electronic reporting system, all federally-permitted Northeast seafood dealers (NE
dealers) are required to submit weekly trip-level reports of all receipts and purchases from all vessels.
Notice to American lobster dealers: All federally permitted lobster-only dealers are required to
provide NMFS with weekly, trip-level electronic reports of all lobster and fish purchased or received for a
commercial purpose. For questions on the Federal lobster dealer reporting requirements, contact Scott
McNamara at (207) 780-3322 or by email at scott.mcnamara@noaa.gov.
Notice to Atlantic tuna dealers:
Beginning January 1, 2013, NE Dealers with permits for only Atlantic tunas will also be required to
electronically report their purchases of BAYS tunas (bigeye, albacore, yellowfin and skipjack tunas) and
other highly migratory species (i.e., Atlantic swordfish and sharks). NE Dealers will receive separate
notification and additional information about this new requirement. Please contact the HMS
Management Division (301-427-8590) or your local port agent with any questions. Tuna dealers who
purchase Atlantic Bluefin tuna have separate reporting requirements that are not affected by this
change (see enclosure).
Failure to submit the reports required under 50 CFR § 648.7, § 622.5 or § 635.5 may bar the issuance
of any NE dealer permit. In addition, failure to report in an accurate and timely fashion may result in
enforcement action. Go to: http://www.nero.noaa.gov/dealer_er/ for important information on
reporting requirements.
Highly Migratory Species (HMS) International Trade Permit (ITP)
Dealers who internationally trade bluefin tuna, swordfish, southern bluefin tuna, or frozen bigeye tuna
internationally are required to obtain an HMS ITP. Information on the HMS ITP can be found at:
www.nmfs.noaa.gov/sfa/hms/ITP/index.htm
Contact your local Field Office for further information about your reporting requirements (list enclosed).
The field office list can be found at: www.nero.noaa.gov
Sincerely,

Enclosures

Ted Hawes
Section Chief
Permits and Limited Access Programs

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National Marine Fisheries Service
Fact Sheet for Dealers
Purchasing Atlantic Bluefin Tuna from U.S. Vessels
Who is affected? This document summarizes regulations that affect dealers who
receive, purchase, trade for, or barter for Atlantic bluefin tuna from a U.S. fishing vessel.
These regulations do not apply to dealers that import or export Atlantic or Pacific bluefin
tuna. For additional information on importing, exporting, or re-exporting of tunas and
swordfish, please see the Fact Sheet for International Trade of Swordfish and Tuna or
http://www.nmfs.noaa.gov/sfa/hms/ITP/HMS_ITP_final_fact_sheet.pdf.
What is the purpose of the regulations? The purpose of these regulations is to account
for commercial landings of Atlantic bluefin tuna. These data are critical for monitoring
quotas, stock assessments and meeting the United States’ reporting obligations to the
International Commission for the Conservation of Atlantic Tunas.
Where can I find the regulations? The regulations may be found by accessing the
website, http://ecfr.gpoaccess.gov, and selecting Title 50, and searching Part 635. Guides
for complying with the regulations for Atlantic tunas, swordfish, sharks, and billfish may
be accessed at www.nmfs.noaa.gov/sfa/hms (under the heading "Compliance Guides") or
a copy of the compliance guide may ordered from 301/427-8503. Any proposed changes
to the regulations may be found by searching the Federal Register at
http://www.regulations.gov/ with the exact keywords of “50 CFR Part 635.” A brief
summary of the current key provisions is given below. Please see the full regulatory text
for a complete review of the requirements.
What do the regulations require?
• Each dealer purchasing or receiving Atlantic bluefin tuna from a vessel
(i.e. first receiver) must obtain an Atlantic tunas dealer permit;
• Each Atlantic bluefin tuna must be tagged with a tail tag provided by
National Marine Fisheries Service (NMFS);
• Information about landings of each Atlantic bluefin tuna must be recorded
on a dealer report form and faxed to NMFS within 24 hours;
• Bi-weekly forms recording each landing and additional economic
information must be submitted twice per month.
How do I obtain an Atlantic tunas dealer permit? Permits are obtained from the
Northeast Regional Office (NERO) of NMFS. Download an application from the
website http://www.nero.noaa.gov/permits/inidlrltrappl.pdf and submit it with required
supporting documentation to NERO at the following address, or write to obtain an
Novemeber 2011

application from: NERO/NMFS Dealer Permits / 55 Great Republic Drive / Gloucester,
MA / 01930-2276.
How much will the permit cost? The Atlantic tunas dealer permit is issued free of
charge.
What are the reporting requirements? When a dealer purchases an Atlantic bluefin
tuna from a vessel, the dealer must affix a tail tag obtained from NMFS to the tuna, and
record the tag number and other required information on an Atlantic bluefin tuna landing
report, and FAX the completed report to NMFS (877-883-8001) within 24 hours of
purchase. (Dealers may only purchase Atlantic bluefin tuna that are 73 inches curved
fork length or greater.) In addition, dealers must submit bi-weekly reports twice per
month. One report includes the landings made during the first through the 15th of each
month, and the second report includes landings made from the 16th through the end of the
month. Bi-weekly reports for Atlantic bluefin tuna are not required for periods without
activity.
NOTE: Bluefin tuna must not be reported through SAFIS or other electronic reporting
methods, even if a dealer has another NERO permit that requires mandatory electronic
reporting. Bluefin tuna must be reported as described above.
How do I obtain reporting documents and tags, and more information about
reporting requirements? Contact the Highly Migratory Species Management Division
Office located at NERO/NMFS at the above address or call (978) 281-9140.

2

National Marine Fisheries Service (NMFS)
Fact Sheet for Dealers: International Trade of Swordfish,Tuna, and Shark Fins
Who is affected? Dealers who import, export or re-export bluefin tuna, southern bluefin tuna, swordfish,
frozen bigeye tuna or shark fins are affected by these regulations.
Where can I find the regulations? The regulations were published in the Federal Register on November
17, 2004 (69 FR 67268) and amended on June 2, 2008 (73 FR 31380) and are codified at 50 C.F.R. parts
300 subpart M and 635. They can be accessed at: http://www.gpoaccess.gov/fr/index.html or
http://www.nmfs.noaa.gov/sfa/hms/ITP/index.htm. A brief summary of the key provisions is given below.
Please see the full regulatory text for a complete review of the requirements.
What do the regulations require? Dealers who import, export, or re-export fresh or frozen bluefin
tuna, southern bluefin tuna, swordfish, and/or frozen bigeye tuna (NOT including fresh bigeye tuna)
regardless of ocean area of origin, must comply with the following permitting and reporting
requirements:
• hold a valid Highly Migratory Species (HMS) International Trade Permit;
• complete and submit consignment documents (statistical documents or catch documents) and reexport certificates (if applicable), including validation for exports and re-exports from the United
States, for each shipment of the named species;
• complete and submit summary bi-weekly reports of trade activity for the named species;
• comply with all applicable record-keeping and reporting requirements.
What is the purpose of the regulations? The purpose of these regulations is to help track the
catch and/or international trade of highly migratory species, thus reducing illegal, unreported and
unregulated fishing activities, improving conservation and management measures, and enhancing
the scientific evaluation of these stocks.
How do I obtain an HMS International Trade Permit? Download an application from the
following website: http://www.nmfs.noaa.gov/sfa/hms/ITP/indext.htm, or write to this address: NMFS
Permit Team, Southeast Regional Office, 263 13th Ave., South, St. Petersburg, FL, 333701; or call
this number: 727/824-5326.
How much does the permit cost? The permit costs $25.00 and may be purchased with a check or
money order made out to the U.S. Treasury.
What are the reporting requirements? Each import, export, and re-export of the named species (except shark fins)
must be accompanied by a consignment document (and re-export certificate when applicable) that
has been validated by an approved authority, and the original (imports) or a copy (exports) must be
provided to NMFS. Summary reports must be submitted at biweekly intervals, and copies of
consignment documents, re-export certificates, and summary reports must be maintained for two
years. For further information, including instructions for validation, please see the Compliance
Guide at http://www.nmfs.noaa.gov/sfa/hms/ITP/index.htm.
How do I obtain reporting documents? Reporting documents and complete instructions will be
distributed to dealers when they obtain an HMS International Trade Permit. These documents are also
posted on the website www.nmfs.noaa.gov/sfa/hms/ITP/index.htm

Further Information: HMS Management Division, Northeast Branch (978) 281-9260
November 2008

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Science, Service, Stewardship
Revised May 24, 2011

Federally Permitted Seafood Dealer Reporting Requirements
Any person or company that purchases or receives for a commercial purpose other than solely for
transport on land one of the species or species groups listed in Table 1 from the owner or operator
of a vessel permitted by the Northeast Regional Office (NERO) must be issued a seafood dealer
permit from NERO and must submit trip-level reports for all species purchased (see Sections 5
and 6 for exceptions) on a weekly basis to NOAA Fisheries Service, using one of the approved
electronic means described further below (50 C.F.R. §648.7 & 50 C.F.R. §697.6).
1. Submitting Dealer Reports and Corrections
Dealers must submit all reports for a reporting week (Sunday to
Saturday) by midnight the following Tuesday. Corrections can be
made to reports up to 90 business days following the submission
deadline of the initial report. Corrections can be made after that
point by contacting the Dealer Reporting Help Desk (978) 281-9212.

2. Submitting Negative Reports

Table 1: Species Requiring a NERO Permit
American Lobster
Atlantic Bluefish
Atlantic Deep-Sea Red Crab
Atlantic Hagfish
Atlantic Herring
Atlantic Mackerel
Atlantic Sea Scallop
Black Sea Bass
Butterfish
Golden Tilefish

Monkfish
Northeast Multispecies
Ocean Quahog
Scup
Skate
Spiny Dogfish
Squid (Illex or Loligo)
Summer Flounder
Surf Clam

If no purchases are made or landings are received during a reporting
week (Sunday-Saturday), a negative report must be submitted, by
midnight of the following Tuesday. Negative reports may be submitted up to 3 months in advance if you believe that you
will not be making any purchases or receiving fish or shellfish during that time period. These reports will subsequently be
overwritten with positive reports if you do report purchases.

3. Compliance
NOAA Fisheries Service staff will work with dealers to resolve technical and reporting issues; however, it is a dealer’s
responsibility to report completely, accurately and on time. Dealers not submitting complete and accurate electronic
reports within the required timeframe will be considered out of compliance and may be referred to the NOAA Fisheries
Office of Law Enforcement for further action.

4. Reporting Methods
The acceptable methods for submitting reports electronically are:
‡‡ Web-based SAFIS system
‡‡ File upload from an existing software application (such as accounting software) used by your business
‡‡ File upload using the Bluefin Tuna Data Inc. Trip Ticket software system
For more information about installing and utilizing any of these methods, contact the Dealer Reporting Help Desk at 978281-9212.

U.S. Department of Commerce | National Oceanic and Atmospheric Administration | National Marine Fisheries Service

Science, Service, Stewardship

5. Required Information
The following information is required to be reported for each purchase or receipt of fish or shellfish from a vessel
(exceptions discussed below) regardless of where or how it was harvested (inshore or federal waters), or who
harvested it (federally permitted or state-only permitted). This is a requirement for all vessels purchased from,
regardless of whether the vessel has a federal permit.
For each trip the dealer must report the following information:
‡‡ Your dealer name and permit number
‡‡ Vessel name and permit number or hull number (state registration or USCG documentation number) of the vessel
from which fish are purchased or received
‡‡ Date of purchase or receipt
‡‡ Unique trip identifier supplied to the dealer by the vessel operator
ŠŠ

This is the serial number from the first vessel trip report (VTR) page used by the harvesting vessel for each trip

ŠŠ

Required for all trips made by those vessels permitted under 50 C.F.R. §648

ŠŠ

Vessels are not required to provide the trip identifier if they only hold state permits or if they are federally
permitted only under other parts of this regulation such as American lobster (50 C.F.R. §697)

ŠŠ

The trip identifier (VTR serial number) must be submitted with the initial purchase report

‡‡ Amount of each species by market category and unit of measure being reported (e.g., pounds, bushels, or count
‡‡ Disposition (e.g., human food, bait, pet food or reduction)
‡‡ Price per unit of each species or total value by species per unit by market category
ŠŠ

Price and disposition may be submitted up to 16 days after purchase or receipt

‡‡ Port and state where the fish were landed
‡‡ Cage tag numbers for surf clams and ocean quahogs harvested under a NOAA Fisheries Service ITQ allocation

6. Out-of-Region Purchases
Dealers purchasing or receiving fish from a vessel landing outside the Northeast Region (Maine to North Carolina) are
required to report only those species managed by the Northeast Region (Table 1).

7. Additional Requirements
All federally permitted processors (including surf clam and ocean quahog processors) are required to complete and
submit all sections of the Annual Processed Products Report, which is mailed out during the first quarter of each year.
This document does not contain all the regulatory provisions that pertain to dealers and consequently has no legal force or effect. A copy
of the complete reporting regulations can be obtained through the Office of the Federal Register or electronically through links on the
NERO website: www.nero.noaa.gov/nero/regs

Domestic Atlantic bluefin tuna and international
trade permit reporting: 978-281-9140
HMS reporting without electronic
reporting: 508-984-0063

Information on dealer electronic reporting
http://www.nero.noaa.gov/dealer_er/
NERO/Fisheries Data Services Division field offices
http://www.nero.noaa.gov/fso/portoff.pdf

NOAA Fisheries Service, Northeast Regional Office
55 Great Republic Drive
Gloucester, MA 01930

U.S. Department of Commerce | National Oceanic and Atmospheric Administration | National Marine Fisheries Service

Northeast Regional Office / Fisheries Data Services Division
55 Great Republic Drive, Gloucester MA 01930-2276

Phone: (978) 281-9264 Fax: (978) 281-9161

John Witzig, Ph.D., Division Chief
Systems Management & Development
Jim St. Cyr, Section Chief
978-281-9369
Data Quality
Tony Conigliari , Team Leader
978-281-9143

Sector Program
Barry Clifford
978-281-9148

Vessel Trip Reporting
Bethany Brosnan
978-281-9270

Fishery Information
Greg Power, Section Chief
978-281-9304

Northern NEW ENGLAND AREA
Portland ME
Fax

207-780-3322
207-780-3340

Mailing Address:
NOAA Fisheries
Box 15273
Portland, ME 04112
Gloucester MA
Fax

Scott McNamara*
(cell 978-609-7747)

Northern MID-ATLANTIC AREA
East Hampton NY 631-324-3569
Fax
631-324-3314

Building Address:
NOAA Fisheries
312 Fore St.
Portland, ME 04101

978-281-9338

Caleb Gilbert

978-281-9363
978-281-9372

Don Mason
(cell 978-609-7944)

62 Newtown Ln, # 203
East Hampton, NY 11937-2483

Southern MID-ATLANTIC AREA
Toms River NJ
Fax

55 Great Republic Drive
Gloucester, MA 01930-2276

508-945-5961
508-945-3793

Cape May NJ
Fax

Lorraine Spenle
(cell 978-609-4142)

P.O. Box 1197
1619 Main Street
West Chatham, MA 02669

Point Judith RI
Fax

*

Joanne Pellegrino
(cell 978-609-7980)

Ingo Fleming
(cell 978-609-8084)

757-723-3369
757-728-3947

Steve Ellis
(cell 978-609-4147)
George Mattingly
(cell 978-609-4149)

*

Walter Anoushian
(cell 978-609-4145)

P.O. Box 3356
83 State St 2nd Flr
Narragansett, RI 02882-0547

609-884-2113
609-884-4908

1382 Lafayette St
Cape May, NJ 08204-5226
Hampton VA
Fax

401-783-7797
401-782-2113

732-818-1311
732-349-3533
732-349-4319

26 Main St, Suite O
Toms River, NJ 08753-7460

Southern NEW ENGLAND AREA
Chatham MA
Fax

*

Victor Vecchio
(cell 978-609-4155)

P.O. Box 69172
1006N Settlers Landing Rd
Hampton, VA 23669-5103
* Team / State Partner Coordinator
Click on underlined staff name to email or port to go to Google Maps

Other Contact Information
Dealer Electronic Reporting

Email: reporting.ne@noaa.gov

Data Requests Email: NMFS.NER.Data.Requests@noaa.gov

978-281-9212

Fish-On-Line / Data Requests

978-281-9133

Fishery Regulations

978-281-9315

Dealer Data Corrections

978-675-2160

IVR Reporting

978-281-9209

Northeast Regional Office 978-281-9300

Permits

978-282-8438

Vessel Trip Reporting

978-281-9246

Communications / Media

Data Requests

978-281-9133

Vessel Monitoring System

978-281-9213

Communications / General 978-281-9103

Reporting Forms /Logbooks

978-281-9157

978-281-9175

Revised 05/07/2013

Web: http://www.nero.noaa.gov/fso