Regulations for 0648-0335

Pertinent Statutes and Implementing Regulations for
Collection of Information 0648-0335
Marine Mammal Protection Act (MMPA; 16 U.S.C. 1361 et. seq.)
Title I - Conservation and Protection of Marine Mammals
Section 101. Moratorium on taking and importing marine mammals and marine
mammal products
16 U.S.C. 1371 Sec. 101.
(a) Imposition; exceptions There shall be a moratorium on the taking and importation of marine
mammals and marine mammal products, commencing on the effective date of this chapter,
during which time no permit may be issued for the taking of any marine mammal and no marine
mammal or marine mammal product may be imported into the United States except in the
following cases:
(1) Consistent with the provisions of section 1374 of this title, permits may be issued by the
Secretary for taking, and importation for purposes of scientific research, public display,
photography for educational or commercial purposes, or enhancing the survival or recovery of a
species or stock, or for importation of polar bear parts (other than internal organs) taken in sport
hunts in Canada. Such permits, except permits issued under section 1374 (c)(5) of this title, may
be issued if the taking or importation proposed to be made is first reviewed by the Marine
Mammal Commission and the Committee of Scientific Advisors on Marine Mammals
established under subchapter III of this chapter. The Commission and Committee shall
recommend any proposed taking or importation, other than importation under section 1374 (c)(5)
of this title, which is consistent with the purposes and policies of section 1361 of this title. If the
Secretary issues such a permit for importation, the Secretary shall issue to the importer
concerned a certificate to that effect in such form as the Secretary of the Treasury prescribes, and
such importation may be made upon presentation of the certificate to the customs officer
concerned.
(2) Marine mammals may be taken incidentally in the course of commercial fishing operations
and permits may be issued therefor under section 1374 of this title subject to regulations
prescribed by the Secretary in accordance with section 1373 of this title, or in lieu of such
permits, authorizations may be granted therefor under section 1387 of this title, subject to
regulations prescribed under that section by the Secretary without regard to section 1373 of this
title. Such authorizations may be granted under subchapter IV of this chapter with respect to
purse seine fishing for yellowfin tuna in the eastern tropical Pacific Ocean, subject to regulations
prescribed under that subchapter by the Secretary without regard to section 1373 of this title. In
any event it shall be the immediate goal that the incidental kill or incidental serious injury of

marine mammals permitted in the course of commercial fishing operations be reduced to
insignificant levels approaching a zero mortality and serious injury rate. The Secretary of the
Treasury shall ban the importation of commercial fish or products from fish which have been
caught with commercial fishing technology which results in the incidental kill or incidental
serious injury of ocean mammals in excess of United States standards. For purposes of applying
the preceding sentence, the Secretary—
(A) shall insist on reasonable proof from the government of any nation from which fish or fish
products will be exported to the United States of the effects on ocean mammals of the
commercial fishing technology in use for such fish or fish products exported from such nation to
the United States;
(B) in the case of yellowfin tuna harvested with purse seine nets in the eastern tropical Pacific
Ocean, and products therefrom, to be exported to the United States, shall require that the
government of the exporting nation provide documentary evidence that—
(i)
(I) the tuna or products therefrom were not banned from importation under this paragraph before
the effective date of section 4 of the International Dolphin Conservation Program Act; or
(II) the tuna or products therefrom were harvested after the effective date of section 4 of the
International Dolphin Conservation Program Act by vessels of a nation which participates in the
International Dolphin Conservation Program, and such harvesting nation is either a member of
the Inter-American Tropical Tuna Commission or has initiated (and within 6 months thereafter
completed) all steps required of applicant nations, in accordance with article V, paragraph 3 of
the Convention establishing the Inter-American Tropical Tuna Commission, to become a
member of that organization;
(ii) such nation is meeting the obligations of the International Dolphin Conservation Program
and the obligations of membership in the Inter-American Tropical Tuna Commission, including
all financial obligations; and
(iii) the total dolphin mortality limits, and per-stock per-year dolphin mortality limits permitted
for that nation’s vessels under the International Dolphin Conservation Program do not exceed the
limits determined for 1997, or for any year thereafter, consistent with the objective of
progressively reducing dolphin mortality to a level approaching zero through the setting of
annual limits and the goal of eliminating dolphin mortality, and requirements of the International
Dolphin Conservation Program;
(C) shall not accept such documentary evidence if—
(i) the government of the harvesting nation does not provide directly or authorize the InterAmerican Tropical Tuna Commission to release complete and accurate information to the
Secretary in a timely manner—

(I) to allow determination of compliance with the International Dolphin Conservation Program;
and
(II) for the purposes of tracking and verifying compliance with the minimum requirements
established by the Secretary in regulations promulgated under section 1385 (f) of this title; or
(ii) after taking into consideration such information, findings of the Inter-American Tropical
Tuna Commission, and any other relevant information, including information that a nation is
consistently failing to take enforcement actions on violations which diminish the effectiveness of
the International Dolphin Conservation Program, the Secretary, in consultation with the
Secretary of State, finds that the harvesting nation is not in compliance with the International
Dolphin Conservation Program.
(D) shall require the government of any intermediary nation to certify and provide reasonable
proof to the Secretary that it has not imported, within the preceding six months, any yellowfin
tuna or yellowfin tuna products that are subject to a direct ban on importation to the United
States under subparagraph (B);
(E) shall, six months after importation of yellowfin tuna or tuna products has been banned under
this section, certify such fact to the President, which certification shall be deemed to be a
certification for the purposes of section 1978 (a) of title 22 for as long as such ban is in effect;
and
(F)
(i) except as provided in clause (ii), in the case of fish or products containing fish harvested by a
nation whose fishing vessels engage in high seas driftnet fishing, shall require that the
government of the exporting nation provide documentary evidence that the fish or fish product
was not harvested with a large-scale driftnet in the South Pacific Ocean after July 1, 1991, or in
any other water of the high seas after January 1, 1993, and
(ii) in the case of tuna or a product containing tuna harvested by a nation whose fishing vessels
engage in high seas driftnet fishing, shall require that the government of the exporting nation
provide documentary evidence that the tuna or tuna product was not harvested with a large-scale
driftnet anywhere on the high seas after July 1, 1991. For purposes of subparagraph (F), the term
"driftnet" has the meaning given such term in section 4003 of the Driftnet Impact Monitoring,
Assessment, and Control Act of 1987 (16 U.S.C. 1822 note), except that, until January 1, 1994,
the term "driftnet" does not include the use in the northeast Atlantic Ocean of gillnets with a total
length not to exceed five kilometers if the use is in accordance with regulations adopted by the
European Community pursuant to the October 28, 1991, decision by the Council of Fisheries
Ministers of the Community.

Implementing MMPA regulations at 50 CFR 216.24:

PART 216 - REGULATIONS GOVERNING THE TAKING AND
IMPORTING OF MARINE MAMMALS
Authority: 16 U.S.C. 1361 et seq., unless otherwise noted.

Source: 39 FR 1852, Jan. 15, 1974, unless otherwise noted.

(f) Importation, purchase, shipment, sale and transport.
(1)
(i) It is illegal to import into the United States any fish, whether fresh, frozen, or otherwise
prepared, if the fish have been caught with commercial fishing technology that results in
the incidental kill or incidental serious injury of marine mammals in excess of that allowed
under this part for U.S. fishermen, or as specified at paragraph (f)(6) of this section.
(ii) For purposes of this paragraph (f), and in applying the definition of an “intermediary
nation,” an import occurs when the fish or fish product is released from a nation's Customs'
custody and enters into the commerce of the nation. For other purposes, “import” is defined
in § 216.3.
(2) Imports requiring a Fisheries Certificate of Origin and an International Fisheries
Trade Permit. Shipments of tuna, tuna products, and certain other fish products identified in
paragraphs (f)(2)(i) through (iii) of this section may not be imported into the United States
unless: a scanned copy of a properly completed Fisheries Certificate of Origin (FCO), NOAA
Form 370, associated certifications and statements described in § 216.91(a), and required
data set are filed electronically with U.S. Customs and Border Protection (CBP) at the time
of, or in advance of, importation as required under § 300.323; and the importer of record
designated on the entry summary (Customs Form 7501) holds a valid International Fisheries
Trade Permit as specified at § 300.322 of this title. “Required data set” has the same meaning
as § 300.321 of this title (see definition of “Documentation and data sets required”).
(i) Imports requiring a Fisheries Certificate of Origin, subject to yellowfin tuna embargo.
All shipments containing yellowfin tuna or yellowfin tuna products (other than fresh tuna)
imported into the United States must be accompanied by an FCO, including, but not limited
to, those imported under the following Harmonized Tariff Schedule of the United States
(HTS) numbers. Updated HTS numbers can be identified by referencing the most current
HTS in effect at the time of importation, available at www.usitc.gov. The scope of
yellowfin tuna embargoes and procedures for attaining an affirmative finding are described
under paragraphs (f)(6) and (f)(8) of this section, respectively.
(A) Frozen: (products containing Yellowfin).
0303.42.0020 Yellowfin tunas, whole, frozen

0303.42.0040 Yellowfin tunas, head-on, frozen, except whole
0303.42.0060 Yellowfin tunas, other, frozen, except whole, head-on, fillets, livers and roes
0304.87.0000 Tuna fish fillets, frozen, not elsewhere specified or indicated (NESOI)
0304.99.1190 Tuna, frozen, in bulk or in immediate containers weighing with their contents over
6.8 kg each
(B) Airtight Containers: (products containing Yellowfin).
Tunas and skipjack, in oil, in airtight containers, in foil or other flexible
1604.14.1010
containers weighing with their contents not more than 6.8 kg each
1604.14.1099 Tunas and skipjack, in oil, in airtight containers, NESOI
Other tunas and skipjack, no oil, in foil/flexible airtight containers, not over 6.8
1604.14.2291
kg, 4.8% of U.S. consumption of canned tuna during preceding year
Tunas, NESOI and skipjack, not in oil, in other airtight containers not over 7 kg,
1604.14.2299
4.8% of U.S. consumption of canned tuna during preceding year
Tunas and skipjack, NESOI, not in oil, in foil or other flexible airtight containers,
1604.14.3091
weighing with their contents not more than 6.8 kg each
1604.14.3099 Other tunas and skipjack, not in oil, in airtight containers, NESOI
(C) Loins: (products containing Yellowfin).
Tunas and skipjacks, prepared or preserved, not in airtight containers, not in oil,
1604.14.4000
in bulk or immediate containers with their contents over 6.8 kg each
1604.14.5000 Tunas and skipjack, prepared or preserved, not in airtight containers, NESOI
(D) Other: (products containing Yellowfin).
0511.91.0090 Fish, shellfish products unfit for human consumption
1604.20.1000 Fish pastes
1604.20.1500 Fish balls, cakes and puddings, in oil
1604.20.2000 Fish balls, cakes and puddings, not in oil, less than 6.8 kg, in airtight containers
1604.20.2500 Fish balls, cakes and puddings, not in oil, not in airtight containers, in immediate
containers weighing with their contents not over 6.8 kg each
1604.20.3000 Fish balls, cakes and puddings, NESOI
1604.20.4000 Fish sticks, not cooked, nor in oil
1604.20.5010 Fish sticks, cooked and frozen

1604.20.5090 Fish sticks, NESOI
2309.10.0010 Dog or cat food, in airtight containers
(ii) Imports requiring a Fisheries Certificate of Origin, not subject to yellowfin tuna
embargo. All shipments containing tuna or tuna products (other than fresh tuna or
yellowfin tuna identified in paragraph (f)(2)(i) of this section) imported into the United
States must be accompanied by an FCO, including, but not limited to, those imported under
the following HTS numbers. Updated HTS numbers can be identified by referencing the
most current HTS in effect at the time of importation, available at www.usitc.gov.
(A) Frozen: (other than Yellowfin).
0303.41.0000 Albacore or longfinned tunas, frozen, except fillets, livers and roes
0303.43.0000 Skipjack tunas or stripe-bellied bonito, frozen, except fillets, livers and roes
0303.44.0000 Bigeye tunas, frozen, except fillets, livers and roes
0303.45.0110 Atlantic Bluefin, frozen, except fillets, livers and roes
0303.45.0150 Pacific Bluefin, frozen, except fillets, livers and roes
0303.46.0000 Southern bluefin tunas, frozen, except fillets, livers and roes
0303.49.0200 Tunas, frozen, except fillets, livers and roes, NESOI
0304.87.0000 Tuna fish fillets, frozen, NESOI
0304.99.1190 Tuna, frozen, in bulk or in immediate containers weighing with their contents over
6.8 kg each, NESOI
(B) Airtight Containers: (other than Yellowfin).
Tunas and skipjack, in oil, in airtight containers, in foil or other flexible
1604.14.1010
containers weighing with their contents not more than 6.8 kg each
1604.14.1091 Tunas, albacore, in oil, in airtight containers, NESOI
1604.14.1099 Tunas and skipjack, in oil, in airtight containers, NESOI
Albacore tuna, not in oil, in foil/flexible airtight containers, weighing not over 6.8
1604.14.2251
kg, 4.8% of U.S. consumption of canned tuna during preceding year
Albacore tuna, not in oil, in airtight containers weighing not over 7 kg, NESOI,
1604.14.2259
4.8% of U.S. consumption of canned tuna during preceding year
Other tunas and skipjack, no oil, in foil/flexible airtight containers, not over 6.8
1604.14.2291
kg, 4.8% of U.S. consumption of canned tuna during preceding year

Tunas, NESOI and skipjack, not in oil, in other airtight containers, not over 7 kg,
4.8% of U.S. consumption of canned tuna during preceding year
Tuna, albacore not in oil, in foil or other flexible airtight containers, weighing
1604.14.3051
with contents not more than 6.8 kg each, NESOI
1604.14.3059 Tuna, albacore not in oil, in airtight containers, NESOI
Tunas and skipjack, NESOI, not in oil, in foil or other flexible airtight containers,
1604.14.3091
weighing with their contents not more than 6.8 kg each
1604.14.3099 Other tunas and skipjack, not in oil, in airtight containers, NESOI
(C) Loins: (other than Yellowfin).
Tunas and skipjacks, prepared or preserved, not in airtight containers, not in oil,
1604.14.4000
in bulk or immediate containers with their contents over 6.8 kg each
1604.14.5000 Tunas and skipjack, prepared or preserved, not in airtight containers, NESOI
1604.14.2299

(D) Other: (only if the product contains tuna).
0511.91.0090 Fish, shellfish products unfit for human consumption
1604.20.1000 Fish pastes
1604.20.1500 Fish balls, cakes and puddings, in oil
1604.20.2000 Fish balls, cakes and puddings, not in oil, less than 6.8 kg, in airtight containers
1604.20.2500 Fish balls, cakes and puddings, not in oil, not in airtight containers, in immediate
containers weighing with their contents not over 6.8 kg each
1604.20.3000 Fish balls, cakes and puddings, NESOI
1604.20.4000 Fish sticks, not cooked, nor in oil
1604.20.5010 Fish sticks, cooked and frozen
1604.20.5090 Fish sticks, NESOI
2309.10.0010 Dog or cat food, in airtight containers
(iii) Exports from driftnet nations only, requiring a Fisheries Certificate of Origin and
official certification. The following HTS numbers identify categories of fish and shellfish,
in addition to those identified in paragraphs (f)(2)(i) and (f)(2)(ii) of this section, known to
have been harvested using a large-scale driftnet and imported into the United States.
Shipments exported from a large-scale driftnet nation, as identified under paragraph (f)(7)
of this section, and imported into the United States, including but not limited to those
imported into the United States under any of the HTS numbers listed in paragraph (f)(2) of

this section, must be accompanied by an FCO and the official statement described in
paragraph (f)(4)(xiii) of this section.
(A) Frozen:
0303.11.0000 Sockeye (red) salmon (Oncorhynchus nerka), frozen, except fillets, livers and roes
0303.12.0012 Chinook (King) salmon (Oncorhynchus tschawytscha), frozen, except fillets, livers
and roes
0303.12.0022 Chum (dog) salmon (Oncorhynchus keta), frozen, except fillets, livers and roes
0303.12.0032 Pink (humpie) salmon (Oncorhynchus gorbuscha), frozen, except fillets, livers and
roes
0303.12.0052 Coho (silver) salmon (Oncorhynchus kisutch), frozen, except fillets, livers and
roes
0303.12.0062 Pacific salmon (Oncorhynchus masou, Oncorhynchus rhodurus), frozen, except
fillets, livers and roes, NESOI
0303.13.0000 Atlantic salmon (Salmo salar) and Danube salmon (Hucho hucho), frozen, except
fillets, livers and roes
0303.14.0000 Trout (Salmo trutta; Oncorhynchus mykiss, clarki, aguabonita, gilae, apache, and
chrysogaster), frozen, except fillets, livers and roes
0303.19.0100 Salmonidae, frozen, except fillets, livers and roes, NESOI
0303.57.0010 Swordfish steaks, frozen, except fillets
0303.57.0090 Swordfish, frozen, except steaks, fillets, livers and roes
0303.81.0010 Dogfish (Squalus spp.), frozen, except fillets, livers and roes
0303.81.0090 Sharks, frozen, except dogfish, fillets, livers and roes
0303.89.0079 Fish, other, frozen, except fillets, livers and roes, NESOI
0304.81.5010 Atlantic Salmonidae (Salmo salar) fillets, frozen, NESOI
0304.81.5090 Salmonidae fillets, frozen, except Atlantic salmon, NESOI
0304.89.1090 Fish fillets, skinned, frozen blocks weighing over 4.5 kg each, to be minced,
ground or cut into pieces of uniform weights and dimensions, NESOI

0304.91.1000 Swordfish, frozen, in bulk or in immediate containers weighing over 6.8 kg each
0304.91.9000 Swordfish, frozen, NESOI
0304.99.9191 Fish fillets, ocean, frozen, NESOI
0307.49.0010 Squid fillets, frozen
0307.49.0022 Squid, Loligo opalescens, NESOI
0307.49.0024 Squid, Loligo pealei, NESOI
0307.49.0029 Squid, Loligo, other, NESOI
0307.49.0050 Squid, other, NESOI
(B) Canned:
1604.11.2020 Pink (humpie) salmon, whole or in pieces, but not minced, in oil, in airtight
containers
1604.11.2030 Sockeye (red) salmon, whole or in pieces, but not minced, in oil, in airtight
containers
1604.11.2090 Salmon NESOI, whole or in pieces, but not minced, in oil, in airtight containers
1604.11.4010 Chum (dog) salmon, not in oil, canned
1604.11.4020 Pink (humpie) salmon, not in oil, canned
1604.11.4030 Sockeye (red) salmon, not in oil, canned
1604.11.4040 Salmon, NESOI, not in oil, canned
1604.11.4050 Salmon, whole or in pieces, but not minced, NESOI
1604.19.2100 Fish, NESOI, not in oil, in airtight containers
1604.19.3100 Fish, NESOI, in oil, in airtight containers
1605.54.6020 Squid, Loligo, prepared or preserved
1605.54.6030 Squid, except Loligo, prepared or preserved
(C) Other:

0305.39.6080 Fish fillets, dried, salted or in brine, but not smoked, NESOI
0305.41.0000 Pacific salmon (Oncorhynchus spp.), Atlantic salmon (Salmo salar), and Danube
salmon (Hucho hucho), including fillets, smoked
0305.49.4041 Fish including fillets, smoked, NESOI
0305.59.0000 Fish, dried, whether or not salted but not smoked, NESOI
0305.69.4000 Salmon, salted but not dried or smoked; in brine
0305.69.5001 Fish in immediate containers weighing with their contents 6.8 kg or less each,
salted but not dried or smoked; in brine, NESOI
0305.69.6001 Fish, salted but not dried or smoked; in brine, NESOI
0305.71.0000 Shark fins, dried, whether or not salted but not smoked
0305.49.0010 Squid, frozen, fillets
0307.49.0022 Squid, Loligo opalescens, frozen (except fillets), dried, salted or in brine
0307.49.0024 Squid, Loligo pealei, frozen (except fillets), dried, salted or in brine
0307.49.0029 Squid, Loligo, frozen (except fillets), dried, salted or in brine, NESOI
0307.49.0050 Squid, other, frozen (except fillets), dried, salted or in brine, except Loligo squid
0307.49.0060 Cuttle fish (Sepia officinalis, Rossia macrosoma, Sepiola spp.), frozen, dried,
salted or in brine
(3) Disposition of Fisheries Certificates of Origin. The FCO described in paragraph (f)(4) of
this section may be obtained from the Administrator, West Coast Region, or downloaded
from the internet at https://www.fisheries.noaa.gov/national/marine-mammalprotection/noaa-form-370-fisheries-certificate-origin.
(i) A properly completed FCO, and its attached certifications and statements as described in
§ 216.91(a), must accompany the required CBP entry documents that are filed at the time
of, or in advance of, importation.
(ii) FCOs and associated certifications and statements as described in § 216.91(a) must be
provided electronically to CBP as indicated in paragraph (f)(2) of this section.
(iii) FCOs that accompany imported shipments of tuna destined for further processing in
the United States must be endorsed at each change in ownership and submitted to the

Administrator, West Coast Region, by the last endorser when all required endorsements are
completed. Such FCOs must be submitted as specified in § 216.93(d)(2).
(iv) Importers and exporters are required to retain their records, including FCOs, import or
export documents, invoices, and bills of lading for 2 years, and such records must be made
available within 30 days of a request by the Secretary or the Administrator, West Coast
Region.
(4) Contents of Fisheries Certificate of Origin. An FCO, certified to be accurate by the
exporter(s) of the accompanying shipment, must include the following information:
(i) CBP entry identification;
(ii) Date of entry;
(iii) Exporter's full name and complete address;
(iv) Importer's or consignee's full name and complete address;
(v) Species description, product form, and HTS number;
(vi) Total net weight of the shipment in kilograms;
(vii) Ocean area where the fish were harvested (ETP, western Pacific Ocean, south Pacific
Ocean, north Pacific Ocean, eastern Atlantic Ocean, western Atlantic Ocean, Caribbean
Sea, Indian Ocean, or other);
(viii) Type of fishing gear used to harvest the fish (purse seine, longline, baitboat, largescale driftnet, gillnet, pole and line/hook and line, or other);
(ix) Country under whose laws the harvesting vessel operated based upon the flag of the
vessel or, if a certified charter vessel, the country that accepted responsibility for the
vessel's fishing operations;
(x) Dates on which the fishing trip began and ended;
(xi) The name of the harvesting vessel;
(xii) Dolphin-safe condition of the shipment, described by checking the appropriate
statement on the form and attaching additional certifications as described in § 216.91(a) if
required;
(xiii) For shipments containing fish or fish products exported from, or harvested on the
high seas by vessels of a nation known to use large-scale driftnets, as determined by the
Secretary pursuant to paragraph (f)(7) of this section, the High Seas Driftnet Certification
contained on the FCO must be dated and signed by a responsible government official of the

large-scale driftnet nation, certifying that the fish or fish products were harvested by a
method other than large-scale driftnet; and
(xiv) Each importer, exporter, or processor who takes custody of the shipment must sign
and date the form to certify that the form and attached documentation accurately describes
the shipment of fish that they accompany.
(5) Dolphin-safe label. Tuna or tuna products sold in or exported from the United States that
include on the label the term “dolphin-safe” or any other term or symbol that claims or
suggests the tuna were harvested in a manner not injurious to dolphins are subject to the
requirements of subpart H of this part (§ 216.90 et seq.).
(6) Scope of embargoes (i) ETP yellowfin tuna embargo. Yellowfin tuna or products of yellowfin tuna harvested
using a purse seine in the ETP identified by an HTS number listed in paragraph (f)(2)(i) of
this section may not be imported into the United States if such tuna or tuna products were:
(A) Harvested on or after March 3, 1999, the effective date of section 4 of the IDCPA,
and harvested by, or exported from, a nation that the Assistant Administrator has
determined has jurisdiction over purse seine vessels of greater than 400 st (362.8 mt)
carrying capacity harvesting tuna in the ETP, unless the Assistant Administrator has
made an affirmative finding required for importation for that nation under paragraph
(f)(8) of this section;
(B) Exported from an intermediary nation, as defined in Section 3 of the MMPA, and a
ban is currently in force prohibiting the importation from that nation under paragraph
(f)(9) of this section; or
(C) Harvested before March 3, 1999, the effective date of Section 4 of the IDCPA, and
would have been banned from importation under Section 101(a)(2) of the MMPA at the
time of harvest.
(ii) Driftnet embargo. A shipment containing fish or fish products identified by an HTS
number listed in paragraph (f)(2) of this section may not be imported into the United States
if it is harvested by a large-scale driftnet, or if it is exported from or harvested on the high
seas by any nation determined by the Assistant Administrator to be engaged in large-scale
driftnet fishing, unless a government official of the large-scale driftnet nation completes,
signs and dates the High Seas Driftnet section of the FCO certifying that the fish or fish
products were harvested by a method other than large-scale driftnet.
(iii) Pelly certification. After 6 months of an embargo being in place against a nation under
this section, the Secretary will certify that nation under section 8(a) of the Fishermen's
Protective Act (22 U.S.C. 1978(a)). When such an embargo is lifted, the Secretary will
terminate the certification under Section 8(d) of that Act (22 U.S.C. 1978(d)).

(iv) Coordination. The Assistant Administrator will promptly advise the Department of
State and the Department of Homeland Security of embargo decisions, actions, and finding
determinations.
(7) Large-scale driftnet nation: determination. Based upon the best information available,
the Assistant Administrator will determine which nations have registered vessels that engage
in fishing using large-scale driftnets. Such determinations will be published in the Federal
Register. A responsible government official of any such nation may certify to the Assistant
Administrator that none of the nation's vessels use large-scale driftnets. Upon receipt of the
certification, the Assistant Administrator may find, and publish such finding in the Federal
Register, that none of that nation's vessels engage in fishing with large-scale driftnets.
(8) Affirmative finding procedure for nations harvesting yellowfin tuna using a purse
seine in the ETP.
(i) The Assistant Administrator will determine, on an annual basis, whether to make an
affirmative finding based upon documentary evidence provided by the government of the
harvesting nation or by the IDCP and the IATTC, and will publish the finding in the
Federal Register. A finding will remain valid for 1 year or for such other period as the
Assistant Administrator may determine. An affirmative finding will be terminated if the
Assistant Administrator determines that the requirements of this paragraph are no longer
being met. Every 5 years, the government of the harvesting nation must submit such
documentary evidence directly to the Assistant Administrator and request an affirmative
finding. Documentary evidence must be submitted by the harvesting nation for the first
affirmative finding application. The Assistant Administrator may require the submission of
supporting documentation or other verification of statements made in connection with
requests to allow importations. An affirmative finding applies to yellowfin tuna and
yellowfin tuna products that were harvested by vessels of the nation after March 3, 1999.
To make an affirmative finding, the Assistant Administrator must find that:
(A) The harvesting nation participates in the IDCP and is either a member of the IATTC
or has initiated (and within 6 months thereafter completed) all steps required of applicant
nations, in accordance with article V, paragraph 3, of the Convention establishing the
IATTC, to become a member of that organization;
(B) The nation is meeting its obligations under the IDCP and its obligations of
membership in the IATTC, including all financial obligations;
(C)
(1) The annual total dolphin mortality of the nation's purse seine fleet (including
certified charter vessels operating under its jurisdiction) did not exceed the aggregated
total of the mortality limits assigned by the IDCP for that nation's purse seine vessels
for the year preceding the year in which the finding would start; or
(2)

(i) Because of extraordinary circumstances beyond the control of the nation and the
vessel captains, the total dolphin mortality of the nation's purse seine fleet (including
certified charter vessels operating under its jurisdiction) exceeded the aggregated total
of the mortality limits assigned by the IDCP for that nation's purse seine vessels; and
(ii) Immediately after the national authorities discovered the aggregate mortality of its
fleet had been exceeded, the nation required all its vessels to cease fishing for tuna in
association with dolphins for the remainder of the calendar year; and
(D)
(1) In any years in which the parties agree to a global allocation system for per-stock
per-year individual stock quotas, the nation responded to the notification from the
IATTC that an individual stock quota had been reached by prohibiting any additional
sets on the stock for which the quota had been reached;
(2) If a per-stock per-year quota is allocated to each nation, the annual per-stock peryear dolphin mortality of the nation's purse seine fleet (including certified charter
vessels operating under its jurisdiction) did not exceed the aggregated total of the perstock per-year limits assigned by the IDCP for that nation's purse seine vessels (if any)
for the year preceding the year in which the finding would start; or
(3)
(i) Because of extraordinary circumstances beyond the control of the nation and the
vessel captains, the per-stock per-year dolphin mortality of the nation's purse seine
fleet (including certified charter vessels operating under its jurisdiction) exceeded the
aggregated total of the per-stock per-year limits assigned by the IDCP for that nation's
purse seine vessels; and
(ii) Immediately after the national authorities discovered the aggregate per-stock
mortality limits of its fleet had been exceeded, the nation required all its vessels to
cease fishing for tuna in association with the stocks whose limits had been exceeded,
for the remainder of the calendar year.
(ii) Documentary Evidence and Compliance with the IDCP (A) Documentary Evidence. The Assistant Administrator will make an affirmative
finding under paragraph (f)(8)(i) of this section only if the government of the harvesting
nation provides directly to the Assistant Administrator, or authorizes the IATTC to
release to the Assistant Administrator, complete, accurate, and timely information that
enables the Assistant Administrator to determine whether the harvesting nation is
meeting the obligations of the IDCP, and whether ETP-harvested tuna imported from
such nation comports with the tracking and verification regulations of subpart H of this
part.

(B) Revocation. After considering the information provided under paragraph (f)(8)(ii)(A)
of this section, each party's financial obligations to the IATTC, and any other relevant
information, including information that a nation is consistently failing to take
enforcement actions on violations that diminish the effectiveness of the IDCP, the
Assistant Administrator, in consultation with the Secretary of State, will revoke an
affirmative finding issued to a nation that is not meeting the obligations of the IDCP.
(iii) A harvesting nation may apply for an affirmative finding at any time by providing to
the Assistant Administrator the information and authorizations required in paragraphs
(f)(8)(i) and (f)(8)(ii) of this section, allowing at least 60 days from the submission of
complete information to NMFS for processing.
(iv) The Assistant Administrator will make or renew an affirmative finding for the period
from April 1 through March 31 of the following year, or portion thereof, if the harvesting
nation has provided all the information and authorizations required by paragraphs (f)(8)(i)
and (f)(8)(ii) of this section, and has met the requirements of paragraphs (f)(8)(i) and
(f)(8)(ii) of this section.
(v) Reconsideration of finding. The Assistant Administrator may reconsider a finding
upon a request from, and the submission of additional information by, the harvesting
nation, if the information indicates that the nation has met the requirements under
paragraphs (f)(8)(i) and (f)(8)(ii) of this section.
(9) Intermediary nation. Except as authorized under this paragraph, no yellowfin tuna or
yellowfin tuna products harvested by purse seine in the ETP classified under one of the HTS
numbers listed in paragraph (f)(2)(i) of this section may be imported into the United States
from any intermediary nation.
(i) An “intermediary nation” is a nation that exports yellowfin tuna or yellowfin tuna
products to the United States and that imports yellowfin tuna or yellowfin tuna products
that are subject to a direct ban on importation into the United States pursuant to Section
101(a)(2)(B) of the MMPA.
(ii) Shipments of yellowfin tuna that pass through any nation (e.g. on a 'through Bill of
Lading') and are not entered for consumption in that nation are not considered to be imports
to that nation and thus, would not cause that nation to be considered an intermediary nation
under the MMPA.
(iii) The Assistant Administrator will publish in the Federal Register a notice announcing
when NMFS has determined, based on the best information available, that a nation is an
“intermediary nation.” After the effective date of that notice, the import restrictions of this
paragraph shall apply.
(iv) Changing the status of intermediary nation determinations. Imports from an
intermediary nation of yellowfin tuna and yellowfin tuna products classified under any of
the HTS numbers in paragraph (f)(2)(i) of this section may be imported into the United

States only if the Assistant Administrator determines, and publishes a notice of such
determination in the Federal Register, that the intermediary nation has provided
certification and reasonable proof that it has not imported in the preceding 6 months
yellowfin tuna or yellowfin tuna products that are subject to a ban on direct importation
into the United States under Section 101(a)(2)(B) of the MMPA. At that time, the nation
shall no longer be considered an “intermediary nation” and these import restrictions shall
no longer apply.
(v) The Assistant Administrator will review decisions under this paragraph upon the
request of an intermediary nation. Such requests must be accompanied by specific and
detailed supporting information or documentation indicating that a review or
reconsideration is warranted. For purposes of this paragraph, the term “certification and
reasonable proof” means the submission to the Assistant Administrator by a responsible
government official from the nation of a document reflecting the nation's customs records
for the preceding 6 months, together with a certification attesting that the document is
accurate.
(10) Fish refused entry. If fish is denied entry under paragraph (f)(2) of this section, the Port
Director of CBP shall refuse to release the fish for entry into the United States.
(11) Disposition of fish refused entry into the United States. Fish that is denied entry under
paragraph (f)(2) of this section and that is not exported under CBP supervision within 90
days shall be disposed of under CBP laws and regulations at the importer's expense.
Provided, however, that any disposition shall not result in an introduction into the United
States of fish caught in violation of the MMPA.
(12) Market Prohibitions.
(i) It is unlawful for any person to sell, purchase, offer for sale, transport, or ship in the
United States, any tuna or tuna products unless the tuna products are either:
(A) Dolphin-safe under subpart H of this part; or
(B) Harvested in compliance with the IDCP by vessels under the jurisdiction of a nation
that is a member of the IATTC or has initiated, and within 6 months thereafter completes,
all steps required by an applicant nation to become a member of the IATTC.
(ii) It is unlawful for any exporter, transshipper, importer, processor, or
wholesaler/distributor to possess, sell, purchase, offer for sale, transport, or ship in the
United States, any tuna or tuna products bearing a label or mark that refers to dolphins,
porpoises, or marine mammals unless the label or mark complies with the requirements of
16 U.S.C. 1385(d).

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16 USC 1385: Dolphin protection
Text contains those laws in effect on April 4, 2022
From Title 16-CONSERVATION
CHAPTER 31-MARINE MAMMAL PROTECTION
SUBCHAPTER II-CONSERVATION AND PROTECTION OF MARINE MAMMALS
Jump To:
Source Credit
Miscellaneous
References In Text
Codification
Amendments
Change of Name
Effective Date

§1385. Dolphin protection
(a) Short title
This section may be cited as the "Dolphin Protection Consumer Information Act".
(b) Findings
The Congress finds that(1) dolphins and other marine mammals are frequently killed in the course of tuna fishing operations in the
eastern tropical Pacific Ocean and high seas driftnet fishing in other parts of the world;
(2) it is the policy of the United States to support a worldwide ban on high seas driftnet fishing, in part because
of the harmful effects that such driftnets have on marine mammals, including dolphins; and
(3) consumers would like to know if the tuna they purchase is falsely labeled as to the effect of the harvesting
of the tuna on dolphins.
(c) Definitions
For purposes of this section(1) the terms "driftnet" and "driftnet fishing" have the meanings given those terms in section 4003 of the
Driftnet Impact Monitoring, Assessment, and Control Act of 1987 (16 U.S.C. 1822 note);
(2) the term "eastern tropical Pacific Ocean" means the area of the Pacific Ocean bounded by 40 degrees
north latitude, 40 degrees south latitude, 160 degrees west longitude, and the western coastlines of North,
Central, and South America;
(3) the term "label" means a display of written, printed, or graphic matter on or affixed to the immediate
container of any article;
(4) the term "Secretary" means the Secretary of Commerce; and
(5) the term "tuna product" means a food item which contains tuna and which has been processed for retail
sale, except perishable sandwiches, salads, or other products with a shelf life of less than 3 days.
(d) Labeling standard
(1) It is a violation of section 45 of title 15 for any producer, importer, exporter, distributor, or seller of any tuna
product that is exported from or offered for sale in the United States to include on the label of that product the term
"dolphin safe" or any other term or symbol that falsely claims or suggests that the tuna contained in the product
were harvested using a method of fishing that is not harmful to dolphins if the product contains tuna harvested(A) on the high seas by a vessel engaged in driftnet fishing;
(B) outside the eastern tropical Pacific Ocean by a vessel using purse seine nets(i) in a fishery in which the Secretary has determined that a regular and significant association occurs
between dolphins and tuna (similar to the association between dolphins and tuna in the eastern tropical Pacific
Ocean), unless such product is accompanied by a written statement, executed by the captain of the vessel and
an observer participating in a national or international program acceptable to the Secretary, certifying that no
purse seine net was intentionally deployed on or used to encircle dolphins during the particular voyage on
which the tuna were caught and no dolphins were killed or seriously injured in the sets in which the tuna were
caught; or
(ii) in any other fishery (other than a fishery described in subparagraph (D)) unless the product is
accompanied by a written statement executed by the captain of the vessel certifying that no purse seine net
was intentionally deployed on or used to encircle dolphins during the particular voyage on which the tuna was
harvested;

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(C) in the eastern tropical Pacific Ocean by a vessel using a purse seine net unless the tuna meet the
requirements for being considered dolphin safe under paragraph (2); or
(D) by a vessel in a fishery other than one described in subparagraph (A), (B), or (C) that is identified by the
Secretary as having a regular and significant mortality or serious injury of dolphins, unless such product is
accompanied by a written statement executed by the captain of the vessel and an observer participating in a
national or international program acceptable to the Secretary that no dolphins were killed or seriously injured in
the sets or other gear deployments in which the tuna were caught, provided that the Secretary determines that
such an observer statement is necessary.
(2) For purposes of paragraph (1)(C), a tuna product that contains tuna harvested in the eastern tropical Pacific
Ocean by a vessel using purse seine nets is dolphin safe if(A) the vessel is of a type and size that the Secretary has determined, consistent with the International Dolphin
Conservation Program, is not capable of deploying its purse seine nets on or to encircle dolphins; or
(B)(i) the product is accompanied by a written statement executed by the captain providing the certification
required under subsection (h);
(ii) the product is accompanied by a written statement executed by(I) the Secretary or the Secretary's designee;
(II) a representative of the Inter-American Tropical Tuna Commission; or
(III) an authorized representative of a participating nation whose national program meets the requirements of
the International Dolphin Conservation Program,
which states that there was an observer approved by the International Dolphin Conservation Program on board
the vessel during the entire trip and that such observer provided the certification required under subsection (h);
and
(iii) the statements referred to in clauses (i) and (ii) are endorsed in writing by each exporter, importer, and
processor of the product; and
(C) the written statements and endorsements referred to in subparagraph (B) comply with regulations
promulgated by the Secretary which provide for the verification of tuna products as dolphin safe.
(3)(A) The Secretary of Commerce shall develop an official mark that may be used to label tuna products as
dolphin safe in accordance with this section.1
(B) A tuna product that bears the dolphin safe mark developed under subparagraph (A) shall not bear any other
label or mark that refers to dolphins, porpoises, or marine mammals.
(C) It is a violation of section 45 of title 15 to label a tuna product with any label or mark that refers to dolphins,
porpoises, or marine mammals other than the mark developed under subparagraph (A) unless(i) no dolphins were killed or seriously injured in the sets or other gear deployments in which the tuna were
caught;
(ii) the label is supported by a tracking and verification program which is comparable in effectiveness to the
program established under subsection (f); and
(iii) the label complies with all applicable labeling, marketing, and advertising laws and regulations of the
Federal Trade Commission, including any guidelines for environmental labeling.
(D) If the Secretary determines that the use of a label referred to in subparagraph (C) is substantially
undermining the conservation goals of the International Dolphin Conservation Program, the Secretary shall report
that determination to the United States Senate Committee on Commerce, Science, and Transportation and the
United States House of Representatives Committees on Resources and on Commerce, along with
recommendations to correct such problems.
(E) It is a violation of section 45 of title 15 willingly and knowingly to use a label referred to in subparagraph (C) in
a campaign or effort to mislead or deceive consumers about the level of protection afforded dolphins under the
International Dolphin Conservation Program.
(e) Additional prohibitions and enforcement
For additional prohibitions relating to this section 1 and enforcement of this section,1 see section 1826g of this
title.
(f) Regulations
The Secretary, in consultation with the Secretary of the Treasury, shall issue regulations to implement this
section,1 including regulations to establish a domestic tracking and verification program that provides for the
effective tracking of tuna labeled under subsection (d). In the development of these regulations, the Secretary shall
establish appropriate procedures for ensuring the confidentiality of proprietary information the submission of which
is voluntary or mandatory. The regulations shall address each of the following items:

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(1) The use of weight calculation for purposes of tracking tuna caught, landed, processed, and exported.
(2) Additional measures to enhance current observer coverage, including the establishment of criteria for
training, and for improving monitoring and reporting capabilities and procedures.
(3) The designation of well location, procedures for sealing holds, procedures for monitoring and certifying both
above and below deck, or through equally effective methods, the tracking and verification of tuna labeled under
subsection (d).
(4) The reporting, receipt, and database storage of radio and facsimile transmittals from fishing vessels
containing information related to the tracking and verification of tuna, and the definition of set.
(5) The shore-based verification and tracking throughout the fishing, transshipment, and canning process by
means of Inter-American Tropical Tuna Commission trip records or otherwise.
(6) The use of periodic audits and spot checks for caught, landed, and processed tuna products labeled in
accordance with subsection (d).
(7) The provision of timely access to data required under this subsection by the Secretary from harvesting
nations to undertake the actions required in paragraph (6) of this paragraph.2
The Secretary may make such adjustments as may be appropriate to the regulations promulgated under this
subsection to implement an international tracking and verification program that meets or exceeds the minimum
requirements established by the Secretary under this subsection.
(g) Secretarial findings
(1) Between March 1, 1999, and March 31, 1999, the Secretary shall, on the basis of the research conducted
before March 1, 1999, under section 1414a(a) of this title, information obtained under the International Dolphin
Conservation Program, and any other relevant information, make an initial finding regarding whether the intentional
deployment on or encirclement of dolphins with purse seine nets is having a significant adverse impact on any
depleted dolphin stock in the eastern tropical Pacific Ocean. The initial finding shall be published immediately in the
Federal Register and shall become effective upon a subsequent date determined by the Secretary.
(2) Between July 1, 2001, and December 31, 2002, the Secretary shall, on the basis of the completed study
conducted under section 1414a(a) of this title, information obtained under the International Dolphin Conservation
Program, and any other relevant information, make a finding regarding whether the intentional deployment on or
encirclement of dolphins with purse seine nets is having a significant adverse impact on any depleted dolphin stock
in the eastern tropical Pacific Ocean. The finding shall be published immediately in the Federal Register and shall
become effective upon a subsequent date determined by the Secretary.
(h) Certification by captain and observer
(1) Unless otherwise required by paragraph (2), the certification by the captain under subsection (d)(2)(B)(i) and
the certification provided by the observer as specified in subsection (d)(2)(B)(ii) shall be that no dolphins were killed
or seriously injured during the sets in which the tuna were caught.
(2) The certification by the captain under subsection (d)(2)(B)(i) and the certification provided by the observer as
specified under subsection (d)(2)(B)(ii) shall be that no tuna were caught on the trip in which such tuna were
harvested using a purse seine net intentionally deployed on or to encircle dolphins, and that no dolphins were killed
or seriously injured during the sets in which the tuna were caught, if the tuna were caught on a trip commencing(A) before the effective date of the initial finding by the Secretary under subsection (g)(1);
(B) after the effective date of such initial finding and before the effective date of the finding of the Secretary
under subsection (g)(2), where the initial finding is that the intentional deployment on or encirclement of dolphins
is having a significant adverse impact on any depleted dolphin stock; or
(C) after the effective date of the finding under subsection (g)(2), where such finding is that the intentional
deployment on or encirclement of dolphins is having a significant adverse impact on any such depleted stock.
( Pub. L. 101–627, title IX, §901, Nov. 28, 1990, 104 Stat. 4465 ; Pub. L. 105–42, §5, Aug. 15, 1997, 111 Stat. 1125
; Pub. L. 114–81, title I, §109, Nov. 5, 2015, 129 Stat. 659 .)
E�������� N����

R��������� �� T���
This section, referred to in subsecs. (d)(3)(A), (e), and (f), was in the original "this Act", and was
translated as referring to the Dolphin Protection Consumer Information Act, which is classified to this
section, to reflect the probable intent of Congress.

C�����������
Section was not enacted as part of the Marine Mammal Protection Act of 1972 which comprises this
chapter.

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A���������
2015-Subsec. (e). Pub. L. 114–81 amended subsec. (e) generally. Prior to amendment, text read as
follows: "Any person who knowingly and willfully makes a statement or endorsement described in
subsection (d)(2)(B) that is false is liable for a civil penalty of not to exceed $100,000 assessed in an
action brought in any appropriate district court of the United States on behalf of the Secretary."
1997-Subsec. (d). Pub. L. 105–42, §5(a), amended heading and text of subsec. (d) generally. Prior to
amendment, text read as follows:
"(1) It is a violation of section 45 of title 15 for any producer, importer, exporter, distributor, or seller of
any tuna product that is exported from or offered for sale in the United States to include on the label of
that product the term 'Dolphin Safe' or any other term or symbol that falsely claims or suggests that
the tuna contained in the product was harvested using a method of fishing that is not harmful to
dolphins if the product contains"(A) tuna harvested on the high seas by a vessel engaged in driftnet fishing; or
"(B) tuna harvested in the eastern tropical Pacific Ocean by a vessel using purse seine nets
which do not meet the requirements for being considered dolphin safe under paragraph (2).
"(2) For purposes of paragraph (1)(B), a tuna product that contains tuna harvested in the eastern
tropical Pacific Ocean by a fishing vessel using purse seine nets is dolphin safe if"(A) the vessel is of a type and size that the Secretary has determined is not capable of
deploying its purse seine nets on or to encircle dolphin; or
"(B)(i) the product is accompanied by a written statement executed by the captain of the vessel
which harvested the tuna certifying that no tuna were caught on the trip in which such tuna were
harvested using a purse seine net intentionally deployed on or to encircle dolphin;
"(ii) the product is accompanied by a written statement executed by"(I) the Secretary or the Secretary's designee, or
"(II) a representative of the Inter-American Tropical Tuna Commission,
which states that there was an approved observer on board the vessel during the entire trip and that purse seine
nets were not intentionally deployed during the trip on or to encircle dolphin; and

"(iii) the statements referred to in clauses (i) and (ii) are endorsed in writing by each exporter,
importer, and processor of the product."
Subsec. (f). Pub. L. 105–42, §5(b), amended heading and text of subsec. (f) generally. Prior to
amendment, text read as follows: "The Secretary, in consultation with the Secretary of the Treasury,
shall issue regulations to implement this section not later than 6 months after November 28, 1990,
including regulations establishing procedures and requirements for ensuring that tuna products are
labeled in accordance with subsection (d) of this section."
Subsec. (g). Pub. L. 105–42, §5(c), added subsec. (g) and struck out former subsec. (g), which had
amended section 1371 of this title.
Subsecs. (h), (i). Pub. L. 105–42, §5(c), added subsec. (h) and struck out former subsecs. (h) and (i)
which read as follows:
"(h) N�����������.-The Secretary of State shall immediately seek, through negotiations and
discussions with appropriate foreign governments, to reduce and, as soon as possible, eliminate the
practice of harvesting tuna through the use of purse seine nets intentionally deployed to encircle
dolphins.
"(i) E�������� D���.-Subsections (d) and (e) of this section shall take effect 6 months after November
28, 1990."
S�������� N���� ��� R������ S�����������

C����� �� N���
Committee on Commerce of House of Representatives changed to Committee on Energy and
Commerce of House of Representatives, and jurisdiction over matters relating to securities and
exchanges and insurance generally transferred to Committee on Financial Services of House of
Representatives by House Resolution No. 5, One Hundred Seventh Congress, Jan. 3, 2001.

E�������� D��� �� 1997 A��������

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For effective date of amendment by Pub. L. 105–42, see section 8 of Pub. L. 105–42, set out as a note
under section 1362 of this title.
1 See References in Text note below.
2 So in original. Probably should be "this subsection".

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50 CFR 216 Subpart H - Dolphin Safe Tuna Labeling
Authority: 16 U.S.C. 1385.

§ 216.90 Purposes.
This subpart governs the requirements for using the official mark described in § 216.95 or an
alternative mark that refers to dolphins, porpoises, or marine mammals, to label tuna or tuna
products offered for sale in or exported from the United States using the term dolphin-safe or
suggesting the tuna were harvested in a manner not injurious to dolphins.
[69 FR 55307, Sept. 13, 2004]

§ 216.91 Dolphin-safe labeling standards.
(a) It is a violation of Section 5 of the Federal Trade Commission Act (15 U.S.C. 45) for any
producer, importer, exporter, wholesaler/distributor, or seller of any tuna products that are
exported from or offered for sale in the United States to include on the label of those products
the term “dolphin-safe” or any other term or symbol that claims or suggests that the tuna
contained in the products were harvested using a method of fishing that is not harmful to
dolphins if the products contain tuna harvested:
(1) ETP large purse seine vessel. In the ETP by a purse seine vessel of greater than 400 st
(362.8 mt) carrying capacity unless:
(i) The documentation requirements for dolphin-safe tuna under §§ 216.92 and 216.93 are
met;
(ii) No dolphins were killed or seriously injured during the sets in which the tuna were
caught; and
(iii) None of the tuna were caught on a trip using a purse seine net intentionally deployed
on or to encircle dolphins, provided that this paragraph (a)(1)(iii) will not apply if the
Assistant Administrator publishes a notification in the Federal Register announcing a
finding under 16 U.S.C. 1385(g)(2) that the intentional deployment of purse seine nets on
or encirclement of dolphins is not having a significant adverse impact on any depleted
stock.
(2) Driftnet. By a vessel engaged in large-scale driftnet fishing; or
(3) Other fisheries. By a vessel in a fishery other than one described in paragraph (a)(1) or
(2) of this section unless such product is accompanied as described in § 216.93(d), (e), or (f),
as appropriate, by:

(i) For tuna caught in a purse seine fishery outside the ETP by a vessel on a fishing trip that
began before July 13, 2013, a written statement executed by the Captain of the vessel
certifying that no purse seine net was intentionally deployed on or used to encircle dolphins
during the particular trip on which the tuna was harvested.
(ii) For tuna caught by a vessel on a fishing trip that began on or after July 13, 2013, and
before May 21, 2016, a written statement executed by the Captain of the vessel certifying:
(A) For a purse seine vessel outside the ETP, that no purse seine net was intentionally
deployed on or used to encircle dolphins during the fishing trip in which the tuna were
caught, and that no dolphins were killed or seriously injured in the sets in which the tuna
were caught;
(B) For a vessel other than one described in paragraph (a)(3)(ii)(A) of this section, that no
dolphins were killed or seriously injured in the sets or other gear deployments in which
the tuna were caught.
(iii) For tuna caught by a vessel on a fishing trip that began on or after May 21, 2016, a
written statement executed by the Captain of the vessel certifying that:
(A) No purse seine net or other fishing gear was intentionally deployed on or used to
encircle dolphins during the fishing trip in which the tuna were caught, and that no
dolphins were killed or seriously injured in the sets or other gear deployments in which
the tuna were caught; and
(B) The Captain of the vessel has completed the NMFS Tuna Tracking and Verification
Program dolphin-safe captain's training course. The NMFS Tuna Tracking and
Verification Program dolphin-safe captain's training course is available on the website of
the NMFS Tuna Tracking and Verification Program at
https://www.fisheries.noaa.gov/dolphin-safe.
(iv) For tuna caught in a fishery where the Assistant Administrator has determined that
observers participating in a national or international observer program are qualified and
authorized to issue observer statements for purposes of the dolphin-safe labeling program,
and where such an observer is on board the vessel, a written statement executed by the
observer, or by an authorized representative of a nation participating in the observer
program based on information from the observer. Any determination by the Assistant
Administrator shall be announced in a notice published in the Federal Register.
Determinations under this paragraph (a)(3)(iv) will also be publicized on the website of the
NMFS Tuna Tracking and Verification Program (https://www.fisheries.noaa.gov/dolphinsafe). The written statement shall certify:
(A) That no dolphins were killed or seriously injured in the sets or other gear
deployments in which the tuna were caught; and,

(B) In purse seine fisheries, that no purse seine net was intentionally deployed on or used
to encircle dolphins during the trip on which the tuna were caught.
(v) For tuna caught in a fishery in which the Assistant Administrator has determined that
either a regular and significant association between dolphins and tuna (similar to the
association between dolphins and tuna in the ETP) or a regular and significant mortality or
serious injury of dolphins is occurring, a written statement, executed by the Captain of the
vessel and an observer participating in a national or international program acceptable to the
Assistant Administrator, unless the Assistant Administrator determines an observer
statement is unnecessary. Determinations under this paragraph (a)(3)(v) will also be
publicized on the website of the NMFS Tuna Tracking and Verification Program
(https://www.fisheries.noaa.gov/dolphin-safe). The written statement shall certify that:
(A) No fishing gear was intentionally deployed on or used to encircle dolphins during the
trip on which the tuna were caught;
(B) No dolphins were killed or seriously injured in the sets or other gear deployments in
which the tuna were caught; and
(C) Any relevant requirements of paragraph (a)(4) of this section were complied with
during the trip on which the tuna were caught.
(4) Other fisheries - segregation. In a fishery other than one described in paragraph (a)(1) or
(2) of this section on a fishing trip that began on or after July 13, 2013 unless the tuna caught
in sets or gear deployments designated as dolphin-safe was stored physically separate from
tuna caught in a non-dolphin-safe set or other gear deployment by the use of netting, other
material, or separate storage areas from the time of capture through unloading. If tuna caught
in a set or other gear deployment where a dolphin was killed or seriously injured is not stored
physically separate from dolphin-safe tuna as stated in § 216.93(c)(2)(i) or (c)(3)(i), as
applicable, all tuna inside the storage well or other storage location shall be considered nondolphin-safe.
(5) Other fisheries - chain of custody recordkeeping. By a vessel in a fishery other than one
described in paragraph (a)(1) or (2) of this section unless:
(i) For tuna designated dolphin-safe that was harvested on a fishing trip that began on or
after May 21, 2016, in addition to any other applicable requirements:
(A) The importer of record or U.S. processor of tuna or tuna products, as applicable,
maintains information on the complete chain of custody, including storage facilities,
transshippers, processors, re-processors, and wholesalers/distributors to enable dolphinsafe tuna to be distinguished from non-dolphin-safe tuna from the time it is caught to the
time it is ready for retail sale;
(B) The importer of record or the U.S. processor, as appropriate, ensures that information
is readily available to NMFS upon request to allow it to trace any non-dolphin-safe tuna

loaded onto the vessel back to one or more storage wells or other storage locations for a
particular fishing trip and to show that such non-dolphin-safe tuna was kept physically
separate from dolphin-safe tuna through unloading.
(ii) For tuna designated dolphin-safe that was harvested in a fishery about which the
Assistant Administrator made a determination under paragraph (a)(3)(v) of this section, and
harvested on a fishing trip that begins on or after 60 days after the date of the Federal
Register notice of that determination, the tuna or tuna products are accompanied by valid
documentation signed by a representative of the vessel flag nation or the processing nation
(if processed in another nation) certifying that:
(A) The catch documentation is correct;
(B) The tuna or tuna products meet the dolphin-safe labeling standards under this section;
and
(C) The chain of custody information is correct.
(iii) The information referred to in paragraphs (a)(5)(i) and (ii) of this section is maintained
at the place of business of the importer of record or the U.S. processor, as applicable, for a
period of 2 years from the date of the import or receipt, and be made available to NMFS for
inspection upon request.
(b) It is a violation of section 5 of the Federal Trade Commission Act (15 U.S.C. 45) to
willingly and knowingly use a label referred to in this section in a campaign or effort to
mislead or deceive consumers about the level of protection afforded dolphins under the IDCP.
(c) A tuna product that is labeled with the official mark, described in § 216.95, may not be
labeled with any other label or mark that refers to dolphins, porpoises, or marine mammals.
[81 FR 15448, Mar. 23, 2016, as amended at 81 FR 15449, Mar. 23, 2016; 83 FR 3626, Jan. 26,
2018]

§ 216.92 Dolphin-safe requirements for tuna harvested in the
ETP by large purse seine vessels.
(a) U.S. vessels. Tuna products that contain tuna harvested by U.S. flag purse seine vessels of
greater than 400 st (362.8 mt) carrying capacity in the ETP may be labeled dolphin-safe only if
the following requirements are met:
(1) Tuna Tracking Forms containing a complete record of all the fishing activities on the trip,
certified by the vessel Captain and the observer, are submitted to the Administrator,
Southwest Region, at the end of the fishing trip during which the tuna was harvested;

(2) The tuna is delivered for processing to a U.S. tuna processor in a plant located in one of
the 50 states, Puerto Rico, or American Samoa that is in compliance with the tuna tracking
and verification requirements of § 216.93; and
(3) The tuna or tuna products meet the dolphin-safe labeling standards under § 216.91.
(b) Imported tuna.
(1) Yellowfin tuna or tuna products harvested in the ETP by vessels of greater than 400 st
(362.8 mt) carrying capacity and presented for import into the United States may be labeled
dolphin-safe only if the yellowfin tuna was harvested by a U.S. vessel fishing in compliance
with the requirements of the IDCP and applicable U.S. law, or by a vessel belonging to a
nation that has obtained an affirmative finding under § 216.24(f)(8).
(2) Tuna or tuna products, other than yellowfin tuna, harvested in the ETP by purse seine
vessels of greater than 400 st (362.8 mt) carrying capacity and presented for import into the
United States may be labeled dolphin-safe only if:
(i) The tuna was harvested by a U.S. vessel fishing in compliance with the requirements of
the IDCP and applicable U.S. law, or by a vessel belonging to a nation that is a Party to the
Agreement on the IDCP or has applied to become a Party and is adhering to all the
requirements of the Agreement on the IDCP Tuna Tracking and Verification Plan;
(ii) The tuna or tuna products are accompanied as described in § 216.24(f)(3) by a properly
completed FCO; and
(iii) The tuna or tuna products are accompanied as described in § 216.24(f)(3) by valid
documentation signed by a representative of the appropriate IDCP member nation,
containing the harvesting vessel names and tuna tracking form numbers represented in the
shipment, and certifying that:
(A) There was an IDCP approved observer on board the vessel(s) during the entire trip(s);
and
(B) The tuna contained in the shipment were caught according to the dolphin-safe
labeling standards of § 216.91.
[69 FR 55307, Sept. 13, 2004, as amended at 74 FR 1617, Jan. 13, 2009]

§ 216.93 Tracking and verification program.
The Administrator, Southwest Region, has established a national tracking and verification
program to accurately document the dolphin-safe condition of tuna, under the standards set forth
in §§ 216.91 and 216.92. The tracking program includes procedures and reports for use when
importing tuna into the United States and during U.S. fishing, processing, and marketing in the
United States and abroad. Verification of tracking system operations is attained through the

establishment of audit and document review requirements. The tracking program is consistent
with the international tuna tracking and verification program adopted by the Parties to the
Agreement on the IDCP.
(a) Tuna tracking forms. Whenever a U.S. flag tuna purse seine vessel of greater than 400 st
(362.8 mt) carrying capacity fishes in the ETP, IDCP approved Tuna Tracking Forms (TTFs),
bearing a unique number assigned to that trip, are used by the observer to record every set
made during that trip. One TTF is used to record dolphin-safe sets and a second TTF is used to
record non-dolphin-safe sets. The information entered on the TTFs following each set includes
the date, well number, weights by species composition, estimated tons loaded, and additional
notes, if any. The observer and the vessel engineer initial the entry as soon as possible
following each set, and the vessel captain and observer review and sign both TTFs at the end of
the fishing trip certifying that the information on the forms is accurate. TTFs are confidential
official documents of the IDCP, consistent with Article XVIII of the Agreement on the IDCP,
and the Agreement on the IDCP Rules of Confidentiality.
(b) Dolphin-Safe Certification. Upon request, the Office of the Administrator, Southwest
Region, will provide written certification that tuna harvested by U.S. purse seine vessels
greater than 400 st (362.8 mt) carrying capacity is dolphin-safe, but only if NMFS' review of
the TTFs for the subject trip shows that the tuna for which the certification is requested is
dolphin-safe under the requirements of the Agreement on the IDCP and U.S. law.
(c) Tracking fishing operations.
(1) ETP large purse seine vessel. In the ETP by a purse seine vessel of greater than 400 st
(362.8 mt) carrying capacity:
(i) During fishing trips, any part of which included fishing in the ETP, by purse seine
vessels greater than 400 st (362.8 mt) carrying capacity, tuna caught in sets designated as
dolphin-safe by the vessel observer must be stored separately from tuna caught in nondolphin-safe sets from the time of capture through unloading. Vessel personnel will decide
into which wells tuna will be loaded. The observer will initially designate whether each set
is dolphin-safe or not, based on his/her observation of the set. The observer will initially
identify a vessel fish well as dolphin-safe if the first tuna loaded into the well during a trip
was captured in a set in which no dolphin died or was seriously injured. The observer will
initially identify a vessel fish well as non-dolphin-safe if the first tuna loaded into the well
during a trip was captured in a set in which a dolphin died or was seriously injured. Any
tuna loaded into a well previously designated non-dolphin-safe is considered non-dolphinsafe tuna. The observer will change the designation of a dolphin-safe well to non-dolphinsafe if any tuna are loaded into the well that were captured in a set in which a dolphin died
or was seriously injured.
(ii) The captain, managing owner, or vessel agent of a U.S. purse seine vessel greater than
400 st (362.8 mt) returning to port from a trip, any part of which included fishing in the
ETP, must provide at least 48 hours' notice of the vessel's intended place of landing, arrival
time, and schedule of unloading to the Administrator, Southwest Region.

(iii) If the trip terminates when the vessel enters port to unload part or all of its catch, new
TTFs will be assigned to the new trip, and any information concerning tuna retained on the
vessel will be recorded as the first entry on the TTFs for the new trip. If the trip is not
terminated following a partial unloading, the vessel will retain the original TTFs and
submit a copy of those TTFs to the Administrator, Southwest Region, within 5 working
days. In either case, the species and amount unloaded will be noted on the respective
originals.
(iv) Tuna offloaded to trucks, storage facilities, or carrier vessels must be loaded or stored
in such a way as to maintain and safeguard the identification of the dolphin-safe or nondolphin-safe designation of the tuna as it left the fishing vessel.
(v) The handling of TTFs and the tracking and verification of tuna caught in the
Convention Area by a U.S. purse seine vessel greater than 400 st (362.8 mt) carrying
capacity shall be conducted consistent with the international tuna tracking and verification
program adopted by the Parties to the Agreement on the IDCP.
(2) Purse seine vessel other than ETP large purse seine vessel. This paragraph (c)(2)
applies to tuna product labeled dolphin-safe that includes tuna harvested on a fishing trip that
began on or after July 13, 2013, in the ETP by a purse seine vessel of 400 st (362.8 mt) or
less carrying capacity or by a purse seine vessel outside the ETP of any carrying capacity.
(i) Tuna caught in sets designated as dolphin-safe must be stored separately from tuna
caught in non-dolphin-safe sets from the time of capture through unloading. Tuna caught in
sets where a dolphin died or was seriously injured must be stored in a well designated as
non-dolphin-safe by the captain or, where applicable, by a qualified and authorized
observer under § 216.91. Any tuna loaded into a well previously designated non-dolphinsafe is considered non-dolphin-safe tuna. The captain or, where applicable, a qualified and
authorized observer under § 216.91, will change the designation of a dolphin-safe well to
non-dolphin-safe if any tuna are loaded into the well that were captured in a set in which a
dolphin died or was seriously injured. If a purse seine vessel has only one well used to store
tuna, dolphin-safe tuna must be kept physically separate from non-dolphin-safe tuna by
using netting or other material. If a purse seine vessel has more than one well used to store
tuna, all tuna inside a well shall be considered non-dolphin-safe, if at any time nondolphin-safe tuna is loaded into the well, regardless of the use of netting or other material
inside the well.
(ii) Tuna offloaded to trucks, storage facilities, or carrier vessels must be loaded or stored
in such a way as to maintain and safeguard the identification of the dolphin-safe or nondolphin-safe designation of the tuna as it left the fishing vessel.
(3) Other vessels. This paragraph (c)(3) applies to tuna product labeled dolphin-safe that
includes tuna harvested by a vessel on a fishing trip that began on or after July 13, 2013 other
than ones described in paragraphs (c)(1) or (2) of this section:

(i) Tuna caught in sets or other gear deployments designated as dolphin-safe must be stored
separately from tuna caught in non-dolphin-safe sets or other gear deployments from the
time of capture through unloading. Dolphin-safe tuna must be kept physically separate
from non-dolphin-safe tuna by using netting, other material, or separate storage areas. The
captain or, where applicable, a qualified and authorized observer under § 216.91, must
designate the storage areas for dolphin-safe and non-dolphin-safe tuna.
(ii) Tuna offloaded to trucks, storage facilities, or carrier vessels must be loaded or stored
in such a way as to maintain and safeguard the identification of the dolphin-safe or nondolphin-safe designation of the tuna as it left the fishing vessel.
(d) Tracking cannery operations.
(1) Whenever a U.S. tuna canning company in the 50 states, Puerto Rico, or American
Samoa receives a domestic or imported shipment of tuna for processing, a NMFS
representative may be present to monitor delivery and verify that dolphin-safe and nondolphin-safe tuna are clearly identified and remain segregated. Such inspections may be
scheduled or unscheduled, and canners must allow the NMFS representative access to all
areas and records.
(2) Tuna processors must submit a report to the Administrator, Southwest Region, of all tuna
received at their processing facilities in each calendar month whether or not the tuna is
actually canned or stored during that month. Monthly cannery receipt reports must be
submitted electronically or by mail before the last day of the month following the month
being reported. Monthly reports must contain the following information:
(i) Domestic receipts: whether the tuna is eligible to be labeled dolphin-safe under §
216.91, species, condition (round, loin, dressed, gilled and gutted, other), weight in short
tons to the fourth decimal, ocean area of capture (ETP, western Pacific, Indian, eastern and
western Atlantic, other), catcher vessel, gear type, trip dates, carrier name, unloading dates,
and location of unloading. Where the processor indicates the tuna is eligible to be labeled
dolphin-safe under § 216.91, it must enclose the certifications required by that section.
(ii) Import receipts: In addition to the information required in paragraph (d)(2)(i) of this
section, a copy of the FCO for each imported receipt must be provided.
(3) Tuna processors must report on a monthly basis the amounts of ETP-caught tuna that
were immediately utilized upon receipt or removed from cold storage. This report may be
submitted in conjunction with the monthly report required in paragraph (d)(2) of this section.
This report must contain:
(i) The date of removal from cold storage or disposition;
(ii) Storage container or lot identifier number(s) and dolphin-safe or non-dolphin-safe
designation of each container or lot; and

(iii) Details of the disposition of fish (for example, canning, sale, rejection, etc.).
(4) During canning activities, non-dolphin-safe tuna may not be mixed in any manner or at
any time during processing with any dolphin-safe tuna or tuna products and may not share
the same storage containers, cookers, conveyers, tables, or other canning and labeling
machinery.
(e) Tracking processor operations other than cannery operations. U.S. tuna processors other
than cannery operations engaged in processing tuna products, including frozen, dried, or
smoked tuna products, must submit a report to the Administrator, Southwest Region that
includes the information set out in § 216.93(d)(2) and (3) on a monthly basis for all tuna
received at their processing facilities that will be included in any tuna product labeled dolphinsafe.
(f) Tracking imports. All tuna products, except fresh tuna, that are imported into the United
States must be accompanied as described in § 216.24(f)(3) by a properly certified FCO as
required by § 216.24(f)(2). For tuna tracking purposes, copies of FCOs and associated
certifications and statements must be submitted by the importer of record to U.S. Customs and
Border Protection as described in and required by § 216.24(f)(2).
(g) Verification requirements.
(1) Record maintenance. Any exporter, transshipper, importer, processor, or
wholesaler/distributor of any tuna or tuna products must maintain records related to that tuna
for at least 2 years. These records include, but are not limited to: FCOs and required
certifications, any reports required in paragraphs (a), (b), (d) and (e) of this section, invoices,
other import documents, and trip reports.
(2) Record submission. At the time of, or in advance of, importation of a shipment of tuna or
tuna products, any importer of tuna or tuna products must submit all corresponding FCOs
and required certifications and statements for those tuna or tuna products as required by §
216.24(f)(2).
(3) Audits and spot checks. Upon request of the Administrator, Southwest Region, any
exporter, transshipper, importer, processor, or wholesaler/distributor of tuna or tuna products
must provide the Administrator, Southwest Region, timely access to all pertinent records and
facilities to allow for audits and spot-checks on caught, landed, stored, and processed tuna.
(h) Confidentiality of proprietary information. Information submitted to the Assistant
Administrator under this section will be treated as confidential in accordance with NOAA
Administrative Order 216-100 “Protection of Confidential Fisheries Statistics.”
[78 FR 41002, July 9, 2013, as amended at 81 FR 51133, Aug. 3, 2016]

§ 216.94 False statements or endorsements.

Any person who knowingly and willfully makes a false statement or false endorsement required
by § 216.92 is liable for a civil penalty not to exceed $100,000, that may be assessed in an action
brought in any appropriate District Court of the United States on behalf of the Secretary.
[61 FR 27794, June 3, 1996. Redesignated at 69 FR 55307, Sept. 13, 2004]

§ 216.95 Official mark for “Dolphin-safe” tuna products.
(a) This is the “official mark” (see figure 1) designated by the United States Department of
Commerce that may be used to label tuna products that meet the “dolphin-safe” standards set
forth in the Dolphin Protection Consumer Information Act, 16 U.S.C. 1385, and implementing
regulations at §§ 216.91 through 216.94:

(b) Location and size of the official mark. The official mark on labels must allow the
consumer to identify the official mark and be similar in design and scale to figure 1. A full
color version of the official mark is available at
https://www.fisheries.noaa.gov/national/marine-mammal-protection/dolphin-safe-officialmark.

[65 FR 34410, May 30, 2000. Redesignated at 69 FR 55307, Sept. 13, 2004, as amended at 83
FR 3626, Jan. 26, 2018]