Application for transfer of QS, IFQ and IPQ

Alaska Region BSAI Crab Permits

0514 app to transfer IFQ_QS or IPQ_PQS

Application for transfer of QS, IFQ and IPQ

OMB: 0648-0514

⚠️ Notice: This form may be outdated. More recent filings and information on OMB 0648-0514 can be found here:

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Revised: 12/12/2007

OMB Control No.; 0648-0514
Expiration Date: 02/29/2008
U.S. Dept. of Commerce/NOAA
National Marine Fisheries Service (NMFS)
Restricted Access Management (RAM)
P.O. Box 21668
Juneau, AK 99802-1668

APPLICATION FOR TRANSFER OF
CRAB QS/IFQ or PQS/IPQ

Notes:
• Applications to transfer Quota Share (QS), Individual Fishing Quota (IFQ), Processing Quota Share (PQS), or Individual
Processing Quota (IPQ) will not be processed between August 1 of any year and the date of issuance of the IFQ or IPQ in
any given Bering Sea or Aleutian Island Crab Rationalization Fishery.
•

This form should not be used to apply for a transfer of QS/IFQ or PQS/IPQ to, or from, an Eligible Crab Community
Organization (ECCO) or to, or from, a Crab Harvesting Cooperative.

BLOCK A – TYPE OF TRANSFER
1. Indicate the type(s) of Quota for which a transfer is being sought:
CPO QS/IFQ [

]

CVO QS/IFQ [

CVO/CPO IFQ Lease [

]

CPC QS/IFQ [

]

CVC QS/IFQ [

]

CVC/CPC IFQ lease [

]

IPQ lease [

]

PQS/IPQ [ ]

2. If this is a transfer of PQS or IPQ, will the PQS or IPQ be used within the ROFR community with which the PQS is
currently associated?
YES [ ]
NO [ ]
If YES, indicate which community ______________________________
and provide an affidavit stating that the ECC wishes to permanently waive ROFR for the PQS or that the proposed
recipient of the PQS has completed a ROFR contract with the ECC for the PQS.
BLOCK B - TRANSFEROR (SELLER)
(The transferor is the person currently holding the QS, PQS, IFQ, or IPQ)

2. NMFS Person ID:

1. Name:

3. Permanent Business Mailing Address:

5. Business Telephone No.:

4. Temporary Business Mailing Address:

6. Business Fax No.:

7. E-mail address (if available)

Application for transfer of crab QS/IFQ or PQS/IPQ
Page 1 of 12

1. Name:

BLOCK C1 – IDENTIFICATION OF PROPOSED TRANSFEREE (BUYER)
2. NMFS Person ID:

3. Permanent Business Mailing Address:

5. Business Telephone No.:

4. Temporary Business Mailing Address (see
instructions):

6. Business Fax No.:

7. E-mail address (if available)

BLOCK C2 – ELIGIBILITY OF PROPOSED TRANSFEREE
(Does not pertain to those seeking to receive Processing Quota Share)

Depending on the type of harvesting QS that is being transferred, different eligibility standards pertain to a transferee.
These requirements are explained in detail in the Instructions to this form. Please read the Instructions and, having done
so, complete the following:
1. The proposed transferee is applying to receive CVO or CPO QS (and/or IFQ):

YES [ ] NO [ ]

If YES, is the proposed transferee an eligible recipient of QS or IFQ as explained in the Instructions?
YES [ ]

NO* [ ]

2. The proposed transferee is applying to receive CVC or CPC QS (and/or IFQ):

YES [ ] NO [ ]

If YES, is the proposed transferee an eligible recipient of QS or IFQ as explained in the Instructions?
YES [ ]

NO* [ ]

*If NO, a completed Application for BSAI Crab Eligibility to Receive QS/PQS or IFQ/IPQ by Transfer form
must be completed, submitted, and approved by NMFS before this Application for Transfer can be approved.

Application for transfer of crab QS/IFQ or PQS/IPQ
Page 2 of 12

BLOCK D1 – IDENTIFICATION AND COST OF QUOTA TO BE TRANSFERRED
If Transfer Application is for more QS/IFQ or PQS/IPQ than the space provided on this form allows, duplicate this
page as necessary to include all intended transfers with one application.
1. Identification of Quota Share or Processor Quota Share (QS/PQS) Quota (from Report of Quota Holdings):
Fishery

Sector*

Region

Beginning Serial Number

Ending Serial Number

________

_________

______________________

__________________

______

*Note: If transfer of CPO Quota, complete Questions 3 and 4 below
2. Are any current year IFQ/IPQ Pounds to transfer with the QS/PQS?
YES [ ]

NO [ ]

If YES, complete the following:
Permit Number: _________

Class (A or B): _______

Pounds: ____________

3. How is the CPO QS to be designated after the transfer?
CPO QS Only [ ]

CVO QS and PQS [ ]*

*Note: If CPO QS is transferred as both CPO QS and PQS, the resulting ratio of CVO shares to PQS shares will
be 1:0.9 (i.e., 1 CVO share to 0.9 PQS shares)
4. If intended to be designated as CVO QS and PQS, indicate the region (as appropriate for the fishery):
North [ ]

South [ ]

West [ ]

Undesignated [ ]

Complete the following for the Quota Share identified above. If the transfer is part of a group of transfers for one
consolidated price, determine the value of each segment and report it below. This information is being collected to
facilitate analysis of the performance of the Crab Rationalization Program and will be held in strictest confidence.
5. What is the total price of the Quota, including all fees and other transaction costs? $ ____________
6. What is the price per Unit of QS? $ _______________ What is the price per pound of crab? $ ________________
(Price divided by Units)

Application for transfer of crab QS/IFQ or PQS/IPQ
Page 3 of 12

(Price divided by Pounds)

BLOCK D2 – TRANSFER OF ANNUAL IFQ OR IPQ ONLY [“LEASE” OF IFQ/IPQ]
IDENTIFICATION AND COST OF IFQ/IPQ
If Transfer Application is for more IFQ or IPQ than the space provided on this form allows, duplicate this page as
necessary to include all intended transfers with one application.
1. Identification of Annual IFQ or IPQ Permit to be transferred (“Leased”) – complete for each separate permit:
Permit No.

Fishery

Sector*

Region

Class (A or B)

IFQ Pounds

________

_________

_______

____________

__________

Complete the following for the IFQ/IPQ identified above. If the transfer is part of a group of transfers for one consolidated
price, determine the value of each segment and report it below. This information is being collected to facilitate
analysis of the performance of the Crab Rationalization Program and will be held in strictest confidence.
2. What is the total price of the IFQ/IPQ, including all fees and other transaction costs?
a. Is the same price per pound applicable to both Class A and Class B IFQ?

$ ____________

YES [ ]

NO [ ]

b. If NO, please provide price per pound by class.
3. What is the price per Pound of IFQ/IPQ?

$ _______________
(Price divided by Units)

4. If the price is based on a percentage of the ex-vessel value, what is the percentage being charged?

_________%

1. Identification of Annual IFQ or IPQ Permit to be transferred (“Leased”) – complete for each separate permit:
Permit No.

Fishery

Sector*

Region

Class (A or B)

IFQ Pounds

________

_________

_______

____________

__________

$ ____________

YES [ ]

NO [ ]

b. If NO, please provide price per pound by class.
3. What is the price per Pound of IFQ/IPQ?

$ _______________
(Price divided by Units)

4. If the price is based on a percentage of the ex-vessel value, what is the percentage being charged?

Application for transfer of crab QS/IFQ or PQS/IPQ
Page 4 of 12

_________%

BLOCK E1 – SURVEY QUESTIONS FOR TRANSFEROR (SELLER)
Why are you proposing to transfer the Quota (check all reasons that apply)?
Retirement from fisheries

[ ]

Pursue non-fishing activities
Health problems

[ ]

Shares too small to fish

[ ]

Consolidation of shares

[ ]

Other (please describe)

[ ]

Hardship (please describe)

[ ]

Trading shares

Enter other fisheries

Describe “Hardship” or “Other” Reason (if applicable):

2. Is a Permit Broker being used for this transaction?

[ ] YES

[ ] NO

If YES,” how much is being paid in broker fees? $___________; or _______% of total price of Quota

BLOCK E2 -- SURVEY QUESTIONS FOR TRANSFEREE (BUYER)
1. Will the Quota to be transferred under this application be used as collateral for a loan? YES [ ]

NO [ ]

If YES, please identify the party with an interest in the Quota: __________________________________
2. What is your primary source of financing for Quota to be transferred under this application?
[ ] Self – Personal Resources

[ ] AK – CFAB

[ ] Gift (no financing)

[ ] Private Bank/Credit Union

[ ] Transferor/Seller

[ ] NOAA Fisheries Loan

[ ] AK Division of Investments

[ ] Processor/Fishing Company

[ ] Other (describe below)

Explain “Other” source of financing:

3. How was the Quota located (check all sources that apply)?
[ ] Advertisement/Public Notice

[ ] Direct Notice from Transferor

[ ] Permit Broker

[ ] Other (explain below)

Explain “Other” Source
4. What is the relationship, if any, between the proposed Transferor and the proposed Transferee?
[ ] No Relationship

[ ] Business Partner

[ ] Family Member

[ ] Friend or Acquaintance

[ ] Other (explain below)

Describe “Other” Relationship:

Application for transfer of crab QS/IFQ or PQS/IPQ
Page 5 of 12

BLOCK F1 – CERTIFICATION OF TRANSFEROR
Under penalty of perjury, I certify by my signature below that I have examined the information and the claims provided
on this application and, to the best of my knowledge and belief, the information presented here is true, correct, and
complete.
1. Signature of Transferor:

2. Date:

3. Printed Name Transferor (If completed by authorized representative, attach authorization):
4. Notary Public Signature:

ATTEST

5. Affix Notary Stamp or Seal Here:

6. Commission Expires:

BLOCK F2 – CERTIFICATION OF TRANSFEREE
Under penalty of perjury, I certify by my signature below that I have examined the information and the claims provided
on this application and, to the best of my knowledge and belief, the information presented here is true, correct, and
complete.
1. Signature of Transferee:
2. Date:
3. Printed Name of Transferee:
4. Notary Public Signature:

ATTEST

5. Affix Notary Stamp or Seal Here:

6. Commission Expires:

________________________________________________________________________________________________
PUBLIC REPORTING BURDEN STATEMENT
Public reporting for this collection of information is estimated to average 2 hours per response, including the time for reviewing the
instructions, searching the existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of
information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for
reducing the burden, to Assistant Regional Administrator, Sustainable Fisheries Division, NOAA National Marine Fisheries Service, P.O.
Box 21668, Juneau, AK 99802-1668.
ADDITIONAL INFORMATION
Before completing this form please note the following: 1) Notwithstanding any other provision of law, no person is required to respond to, nor shall
any person be subject to a penalty for failure to comply with, a collection of information, subject to the requirements of the Paperwork Reduction
Act, unless that collection of information displays a currently valid OMB Control Number; 2) This information is mandatory and is required to
manage commercial fishing efforts under 50 CFR part 680, under section 402(a) of the Magnuson-Stevens Act (16 U.S.C. 1801, et seq.) and under
16 U.S.C. 1862(j); 3) Responses to this information request are confidential under section 104(b) of the Magnuson-Stevens Act. They are also
confidential under NOAA Administrative Order 216-100, which sets forth procedures to protect confidentiality of fishery statistics.

_________________________________________________________________________

Application for transfer of crab QS/IFQ or PQS/IPQ
Page 6 of 12

INSTRUCTIONS
Application for Transfer of Crab QS/IFQ or PQS/IPQ

GENERAL INFORMATION
This application can not be processed or approved unless both parties to the proposed transfer have met all the
requirements and conditions of the BSAI Crab Rationalization Program, including (as appropriate):
♦

Submission of an Economic Data Report (EDR) to Pacific States Marine Fisheries Commission, 205 SE
Spokane, Suite 100, Portland, OR 97202

♦

Payment of all outstanding fees to NMFS

The application will not be processed or approved unless it is complete; in addition to providing the information required
by the Application for Transfer form, a complete application will include:
♦

[for all applicants], a copy of the terms and conditions of the transfer agreement; such documentation may consist
of a bill of sale, promissory note, or other document that reveals the contraction terms between the parties;

♦

[for applicants seeking a transfer of IFQ to address a hardship], full documentation of the nature of the hardship
and the need for the requested transfer is provided; and,

♦

[for applicants seeking the transfer of PQS/IPQ for use outside an Eligible Crab Community (ECC) with a Right of
First Refusal (ROFR) agreement], an affidavit stating that notice of the proposed transfer has been provided to the
Eligible Crab Community Entity (ECCE) under civil contract terms for the transfer of any PQS or IPQ subject to
ROFR.

Additionally:
♦

Applications for the Transfer QS/IFQ, PQS/IPQ will not be processed between August 1 of any year and the date
of issuance of the IFQ or IPQ in any given Bering Sea or Aleutian Island Crab Rationalization Fishery.

♦

This form should not be used to apply for a transfer of QS/IFQ or PQS/IPQ to, or from, an Eligible Crab
Community Organization (ECCO) or to, or from, a Crab Harvesting Cooperative.

Please insure that all information provided on the form, or with the form, is clear and legible. Further, an application that
does not bear the original, notarized, signature of the proposed transferor and the proposed transferee (or their authorized
representatives) will not be processed.
Allow up to ten (10) working days for a transfer application to be reviewed, processed, and approved; the parties will be
notified upon approval of the transfer.

Application for transfer of crab QS/IFQ or PQS/IPQ
Page 7 of 12

When complete, mail the application to:
Alaska Region, NOAA Fisheries (NMFS)
Restricted Access Management (RAM)
P.O. Box 21668
Juneau, AK 99802-1668
Or deliver to:
NOAA Fisheries,
Alaska Region (NMFS/RAM)
Federal Building
709 W. 9th Street, Suite 713
Juneau, Alaska 99801
Items will be sent by first class mail, unless you provide alternate instructions and include a prepaid mailer with
appropriate postage or a corporate account number for express delivery. Additional information is available from RAM,
which may be reached at the above address or as follows:
Telephone (toll free): 800-304-4846 (press “2”)
Telephone (in Juneau): 907-586-7202 (press “2”)
Fax: 907-586-7354
E-Mail: [email protected]

COMPLETING THE FORM
BLOCK A – TYPE OF TRANSFER
Indicate the type(s) of Quota for which an Application to Transfer is being submitted. The different types of Quota that
may be transferred using this form as an Application include:
Catcher-Processor “Owner” Quota and annual Individual Fishing Quota

(CPO QS/IFQ)

Catcher-Processor “Captain/Crew” Quota and annual Individual Fishing Quota

(CPC QS/IFQ)

Catcher Vessel “Owner” Quota and annual Individual Fishing Quota

(CVO QS/IFQ)

Catcher Vessel “Captain/Crew” Quota and annual Individual Fishing Quota

(CVC QS/IFQ)

Processing Quota Share and annual Individual Processing Quota

(PQS/IPQ)

Catcher Vessel Owner or Catcher Processor Owner Individual Fishing Quota

(CVO/CPC IFQ Only)

Catcher Vessel “Captain/Crew” or Catcher-Processor “Captain/Crew”

(CVC/CPC IFQ Only)

Individual Fishing Quota
Annual Individual Processing Quota Only

(IPQ) Only

If a transfer of PQS, indicate whether the PQS will be used within the Right of First Refusal (ROFR) community within
which the PQS is currently associated; if “YES,” provide an affidavit stating that the Eligible Crab Community wishes to
permanently waive ROFR for the PQS or that the proposed recipient of the PQS has completed a ROFR contract with the
ECC for the PQS.
BLOCK B – IDENTIFICATION OF PROPOSED TRANSFEROR (SELLER)
1. Enter the full, legal, business name of the person that holds Quota and wishes to transfer it;
2. Enter the person’s NMFS Person ID;
Application for transfer of crab QS/IFQ or PQS/IPQ
Page 8 of 12

3. Enter the person’s Permanent Business Mailing Address;
4. Enter the person’s Temporary Business Mailing Address (this is the address, if different from #3, to which the
applicant wishes materials to be sent);
5 – 7. Enter the person’s business telephone number, business fax number, and e-mail address.

BLOCK C1 – IDENTIFICATION OF PROPOSED TRANSFEREE (BUYER)
1. Enter the full, legal, business name of the person that wishes to receive the Quota by transfer;
2. Enter the person’s NMFS Person ID;
3. Enter the person’s Permanent Business Mailing Address.
4. Enter the person’s Temporary Business Mailing Address (this is the address, if different from #3, to which the
applicant wishes materials to be sent);
5 – 7. Enter the person’s business telephone number, business fax number, and e-mail address.
BLOCK C2 – ELIGIBILITY OF PROPOSED TRANSFEREE
The following standards pertain to eligibility to receive BSAI Crab Rationalization Quota by transfer:
Quota Type
PQS
IPQ
CVO or CPO QS

Eligible Person
Any Person
Any Person
a) A person who
received QS by initial
issuance
b) An Individual
c) A corporation,
partnership,
association or other
non-individual entity

CVC or CPC QS

d) An ECCO
e) A CDQ Group
All persons eligible
for CVO or CPO QS
An Individual

CVC or CPC IFQ

An Individual

CVO or CPO IFQ

Eligibility Standards
No other requirements
No other requirements
No other requirements
who is a U.S. citizen and who has at least 150 days experience as part of the
harvesting crew in any U.S. commercial fishery
that has at least one individual member (owner) who is a U.S. citizen and
who:
a) owns at least 20% of the entity, and
b) has at least 150 days experience as part of the harvesting crew in any
U.S. commercial fishery
that meets other regulatory requirements
No other requirements
No other requirements
who is a U.S. citizen and who has
a) at least 150 days experience as part of the harvesting crew in any U.S.
commercial fishery and,
b) recent participation in a BSAI Crab Rationalization fishery in the 365
days prior to submitting an application for eligibility, and at time of transfer
who satisfies the eligibility requirements for receiving CVC or CPC QS by
transfer

Application for transfer of crab QS/IFQ or PQS/IPQ
Page 9 of 12

1. Indicate whether the proposed transferee is seeking to receive CVO or CPO (and associated IFQ, if applicable) by
transfer.
If YES, indicate whether the transferee is eligible to receive the CVO/CPO QS/IFQ according to the standards
above and has verification to that effect issued by RAM;
If NO, the proposed transferee must apply for eligibility to receive CVO/CPO QS/IFQ by transfer and such
application must be approved by RAM before the transfer application can proceed through processing.
2. Indicate whether the proposed transferee is seeking to receive CVC or CPC (and associated IFQ, if applicable) by
transfer;
If YES, indicate whether the transferee is eligible to receive the CVC/CPC QS/IFQ according to the standards
above and has verification to that effect issued by RAM;
If NO, the proposed transferee must apply for eligibility to receive CVC/CPC QS/IFQ by transfer and such
application must be approved by RAM before the transfer application can proceed through processing.
BLOCK D1 – IDENTIFICATION AND COST OF QUOTA TO BE TRANSFERRED
Each unit of BSAI Crab Rationalization QS and PQS is identified by an alpha-numeric code. The alphabetical portion of
the code indicates the Fishery, the Type, and the Region for which the Quota will yield annual IFQ or IPQ. The possible
combinations include:
Crab Fishery

Code

Sector of QS

Code

Region

Code

Bristol Bay red king
Bering Sea snow
Bering Sea Tanner
Eastern Aleutian Golden
Pribilof red and blue king
St. Matthew blue king
Western Aleutian golden
Western Aleutian red
king

BBR
BSS
BST
EAG
PIK
SMB
WAG
WAI

Catcher Vessel Owner
Catcher/Processor Owner
Catcher Vessel Captain/Crew
Catcher/Processor Captain/Crew
Processor Quota

CVO
CPO
CVC
CPC
PQS

North
South
West
Undesignated

N
S
W
U

1. Enter the correct Fishery, Sector, and Region Code, as well as the beginning serial number and the ending serial
number as set out on the Report of Quota Holding issued by RAM.
2. Indicate whether any current year IFQ or IPQ pounds are intended to transfer with the QS or PQS.
If YES, Enter the IFQ or IPQ Permit Number, the Class of IFQ (“A” - if delivery restrictions apply, or “B” - if
such restrictions do not apply), and the number of Pounds from that Permit that are intended to transfer.
3. Indicate whether CPO QS will be re-designated upon transfer.
Note that, if CPO QS is being transferred, the prospective transferee may choose to re-designate the QS as CVO
QS and PQS. If such an election is made, the resulting QS will transfer in the ratio of 1:0.9 [i.e., 1 CVO share to
0.9 PQS shares].
4. If the choice is made to re-designate the QS as CVO QS and PQS, indicate the Region to which the resulting redesignated Quota will be assigned.
Application for transfer of crab QS/IFQ or PQS/IPQ
Page 10 of 12

Enter the same information for all CPO QS for which application is being made to transfer.
If necessary, duplicate the pages to include segments of CPO QS to be transferred.
Note that the IFQ and the IPQ that the re-designated QS will yield will not be issued until the crab fishing year
following the year in which the transfer and re-designation was approved.
5. Enter the total price of the Quota, including all fees and other transaction costs.
6. Indicate the price/unit of QS and the price/pound of IFQ or IPQ crab.

BLOCK D2 – TRANSFER OF ANNUAL INDIVIDUAL FISHING QUOTA OR INDIVIDUAL PROCESSING
QUOTA (IFQ OR IPQ) ONLY [“LEASE” OF IFQ/IPQ]
Enter the Permit Number, the Fishery Code, the Quota Type Code, the Regional Code, and the Quota Class
associated with the Permit, and the number of pounds to be transferred.
Enter the requested information on the amount being paid for the IFQ/IPQ in the space provided.
BLOCK E1 – SURVEY QUESTIONS FOR TRANSFEROR (SELLER)
the information provided on this section of the Application for Transfer is used to analyze, and report on, BSAI
Crab Rationalization Program performance. All information provided on this survey is confidential under the
Privacy Act and will not be publicly released except as aggregated data such that the identity of the submitter can
not be determined.
Complete the survey question; check all that apply. Provide an explanation if the proposed transfer is requested
pursuant to a “hardship” (IFQ resulting from CVC or CPC QS) and/or if the proposed transfer is requested
pursuant to some “other” reason.
Indicate whether a permit broker was used to facilitate this transfer; if so, enter the broker fees as either a “lump
sum” (how much was paid to the Broker) or as a percentage of the total price of the Quota.
BLOCK E2 – SURVEY QUESTIONS FOR TRANSFEREE (BUYER)
The information provided on this section of the Application for Transfer is used to analyze, and report on, BSAI Crab
Rationalization Program performance. All information provided on this survey is confidential under the Privacy Act and
will not be publicly released except as aggregated data such that the identity of the submitter can not be determined.
1. Indicate whether the Quota to be transferred will be used as collateral for a loan.
If YES, identify the party with an interest in (“lien” against) the Quota.
RAM, as a courtesy, will enter the name of the party that has asserted an interest in the Quota on the Report of
Quota Holdings that is provided to QS Holders; recording the asserted interest does not create a valid lien against
the Quota, does not indicate that a valid lien exists; likewise, the absence of a recorded interest does not mean that
no lien exists.
2. Indicate the major source of financing for the Quota; describe “Other” source of financing in the space provided.
3. Indicate how the Quota was located; i.e., how did the proposed transferee know that the Quota was available for
Application for transfer of crab QS/IFQ or PQS/IPQ
Page 11 of 12

transfer?
4. Indicate the relationship, if any, between the proposed Transferor and the proposed Transferee; describe any
“Other” relationship.

BLOCKS F1 AND F2 – SIGNATURE OF THE PROPOSED TRANSFEROR AND PROPOSED TRANSFEREE
1 – 3. Complete the Signature Blocks as prompted on the Form.
Note that, to be considered, the application must bear original signatures of the Proposed Transferor and the Proposed
Transferee (or their respective agents) and the signatures must be witnessed by a Notary Public.

Application for transfer of crab QS/IFQ or PQS/IPQ
Page 12 of 12

Revised: 12/04/2007

OMB Control No.: 0648-0514
Expiration Date: 2/29/2008

Application for Transfer of CRAB QS/IFQ
to or from a
Eligible Crab Community Organization (ECCO)

U.S. Dept. of Commerce/NOAA
National Marine Fisheries Service
Restricted Access Management (RAM)
P.O. Box 21668
Juneau, AK 99802-1668

BLOCK A B GENERAL REQUIREMENTS
•
•
•

This form may only be used if an Eligible Crab Community Organization (ECCO) is the proposed transferor (Aseller@) or the proposed
transferee (Abuyer@) of the Quota Share (QS) or Individual Fishing Quota (IFQ). If that is not the case, a different RAM form must be
used.
The party to whom an ECCO is seeking to transfer the QS/IFQ must hold a Transfer Eligibility Certificate (TEC) issued by RAM.
If the ECCO is applying to permanently transfer QS, a representative of the community on whose behalf the QS is held must sign the
application.

•

Attach a copy of the terms of agreement for the transfer, the bill of sale for QS or PQS, or lease agreement for IFQ or IPQ. This
application will not be approved until the Regional Administrator has reviewed and approved the transfer agreement signed by the parties
to the transaction.

•

If authorized representative represents either the transferor or transferee, proof of authorization to act on behalf of transferor or transferee
must be attached to the application.

•

An affirmation must be attached to this applicant that the individual receiving IFQ from an ECCO has been a permanent resident in the
ECC for a period of 12 months prior to the submission of this application to or from an ECCO on whose behalf the ECCO holds QS.

•

The ECCO applying to receive or transfer crab QS must submit verification that he/she submitted a completed annual report.

•

Prior to approving a transfer, NMFS must be able to verify that the person applying to make or receive the QS, PQS, IFQ or IPQ transfer
has submitted an EDR, if required, and paid all fees.

BLOCK B B TRANSFEROR (SELLER) INFORMATION
1. Name:

2. NMFS Person ID:

3. Permanent Business Mailing Address:

5. Business Telephone Number:

4. Temporary Business Mailing Address (if applicable):

6. Business Fax Number:

7. E-mail address:

8. Is transferor an ECCO?
YES [ ]

NO [ ]

If YES, provide name of Community represented by the ECCO
9. Name of Community:

Application for Transfer of Crab QS/IFQ to or from an ECCO
Page 1 of 9

BLOCK C B TRANSFEREE (BUYER) INFORMATION
1. Name

2. NMFS Person ID:

3. Permanent Business Mailing Address:

4. Temporary Business Mailing Address (see instructions):

5. Business Telephone Number:

6. Business Fax Number:

7. Business E-mail Address:

8. If transferee is an ECCO, Name of Community represented by the ECCO:

BLOCK D -- IDENTIFICATION OF QS/IFQ TO BE TRANSFERRED
(Complete Block F if QS and IFQ are to be transferred together or if you are applying to transfer QS only)
1. QS Species
[__] BBR

[__] EBT

[__] WBT

[__] BSS

[__] EAG

[__] PIK

[__] SMG

[__] WAG

[__] WAI

3. Number of QS or IFQ to be transferred

2. QS Type:
[__ ] CPO
[__] CPC

4. Number of IFQ pounds

[__] CVO

[__] PQS

[__] CVC

5. Total QS units

6. Range of serial numbers to be transferred (shown on QS certificate): To

From

7. Name of community to which QS are currently assigned:

8. Should remaining IFQ pounds for the current fishing year
be transferred?
YES [__]
NO [__]
Transfer of IFQ only
9. IFQ permit number

If NO, specify number of pounds to be transferred

10. Year of permit

11. Actual number of IFQ pounds to be transferred

12. Reason for transfer (check all that apply)
[ ] ECCO management and administration

[ ] Dissolution of ECCO

[ ] Fund additional QS purchase

[ ] Other (specify)

[ ] Participation by community residents

Application for Transfer of Crab QS/IFQ to or from an ECCO
Page 2 of 9

BLOCK E – PRICE PAID FOR QS, PQS, AND/OR IFQ, IPQ (TRANSFEROR)
1. Is a broker being used for this transaction?

[__] YES

[__] NO

If YES, how much is being paid in brokerage fees? $_____________________or__________________% of total price.
2. What is the total amount being paid for the QS/IFQ or QS/IPQ in this transaction, including all fees?
3. Give both the price per unit of QS and the price per pound of IFQ or IPQ:
$______________________________/Unit of QS IFQ/IPQ

$________________________________/#

(Price divided by QS Units)
4. Reason for transfer (check all that apply):

(Price divided by IFQ pounds)

[ ] ECCO management and administration

[ ] Dissolution of ECCO

[ ] Fund additional QS purchase

[ ] Other (specify)

[ ] Participation by community residents

BLOCK F B METHOD OF FINANCING FOR THE QS, PQS AND/OR IFQ, IPQ (TRANSFEE)
1. Will the QS/IFQ being purchased have a lien attached?
YES [ ] NO [ ]
If YES, provide the name of lien holder
2. What is the primary source of financing for this transfer? (check one)
[__] Personal resources (cash)

[__] AK Com. Fish & Ag. Bank

[__] Received as a gift

[__] Private bank/credit union

[__] Transferor/seller

[__] NMFS loan program

[__] Alaska Dept. Of Commerce

[__] Processor/fishing company

[__] Other (explain)

3. How was the QS/IFQ located (check all that apply)?
[__] Relative

[__] Advertisement/public notice

[__] Broker

[__] Personal friend

[ __ Casual acquaintance

[__] Other (explain)

4. What is the relationship, if any, between the transferor and the transferee? (check all that apply)
[__] No relationship

[__] Business partner

[__] ECCO Community Member

[__] Other (please explain)
5. Is there an agreement to return the QS or IFQ to the transferor, or any other person, or with a condition placed on resale?
YES [ ]

NO [ ]

If YES, please explain:

Attach a copy of the terms of agreement for the transfer, the bill of sale for QS, or lease agreement for IFQ
Application for Transfer of Crab QS/IFQ to or from an ECCO
Page 3 of 9

This application for transfer must be completed, signed, and notarized by both parties. Failure to have signatures properly
notarized will result in delays in the processing of this application. Additionally, applications involving the permanent transfer of
Processor QS (PQS) outside the community in which the processing facility resides must include a statement by an authorized
representative of that community indicating that the community has been offered the right of first refusal on the sale of this PQS.

BLOCK G – CERTIFICATION OF TRANSFEROR
Under penalties of perjury, I declare that I have examined this application, and to the best of my knowledge and belief, the
information presented here is true, correct, and complete
1. Signature of Transferor or Authorized Agent:

2. Date:

3. Printed Name Transferor or Authorized Agent Note: If completed by an agent, attach authorization:

4. Notary Public Signature:

ATTEST

5. Affix Notary Stamp or Seal Here:

6. Commission Expires:

BLOCK H – CERTIFICATION OF TRANSFEREE
Under penalties of perjury, I declare that I have examined this application, and to the best of my knowledge and belief, the
information presented here is true, correct, and complete.
1. Signature of Transferee or Authorized Agent:

2. Date:

3. Printed Name Transferee or Authorized Agent Note: If completed by an agent, attach authorization:

4. Notary Public Signature:

ATTEST

5. Affix Notary Stamp or Seal Here:

6. Commission Expires:

Application for Transfer of Crab QS/IFQ to or from an ECCO
Page 4 of 9

BLOCK I – CERTIFICATION OF ECCO COMMUNITY REPRESENTATIVE
(Required only when ECCO proposes to permanently transfer Quota Share)

I am a duly authorized representative of the community (listed in Block C or Block D) on whose behalf the ECCO is proposing to
transfer QS; by my signature below, I attest that the applicant ECCO has the approval of our community to complete this
permanent QS transfer, for the reasons set out on this application.
1. Signature of Community Representative:
2. Date:
3. Printed Name and Title of Community Representative:
4. Notary Public Signature:

ATTEST

5. Affix Notary Stamp or Seal Here:

6. Commission Expires:

______________________________________________________________________________________________________________________
PUBLIC REPORTING BURDEN STATEMENT
Public reporting for this collection of information is estimated to average 2 hours per response, including the time for reviewing the
instructions, searching the existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection
of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including
suggestions for reducing the burden, to Assistant Regional Administrator, Sustainable Fisheries Division, NOAA National Marine
Fisheries Service, P.O. Box 21668, Juneau, AK 99802-1668.
ADDITIONAL INFORMATION
Before completing this form please note the following: 1) Notwithstanding any other provision of law, no person is required to respond
to, nor shall any person be subject to a penalty for failure to comply with, a collection of information, subject to the requirements of the
Paperwork Reduction Act, unless that collection of information displays a currently valid OMB Control Number; 2) This information is
mandatory and is required to manage commercial fishing efforts under 50 CFR part 680, under section 402(a) of the Magnuson-Stevens
Act (16 U.S.C. 1801, et seq.), and 16 U.S.C. 1862(j); 3) Responses to this information request are confidential under section 104(b) of the
Magnuson-Stevens Act. They are also confidential under NOAA Administrative Order 216-100, which sets forth procedures to protect
confidentiality of fishery statistics.
________________________________________________________________________________________________________________________

Application for Transfer of Crab QS/IFQ to or from an ECCO
Page 5 of 9

Instructions
APPLICATION TO TRANSFER QS/IFQ TO, OR FROM,
AN ELIGIBLE CRAB COMMUNITY ORGANIZATION (ECCO)

The Crab Individual Fishing Quota (IFQ) program is administered by the Restricted Access Management
(RAM) Program of the Alaska Region, National Marine Fisheries Service (NMFS). Transfers of all Quota
Share (QS) and it associated annual IFQ must be approved, in advance, by RAM.
In 2005 the Secretary of Commerce adopted the Crab IFQ program, this program provides that cities and
boroughs may hold, and to fish, QS and IFQ. Such communities are represented by an Eligible Crab
Community Organization (ECCO), who must use a special application form to provide for transfers of
QS/IFQ to and from (and between) ECCOs. These instructions are designed to help you to use that special
transfer application form. Some general rules pertain, as follows:
An application submitted and signed by an authorized representative for a party to the transfer will not be
processed unless clear and unambiguous certification of the representative=s authority to do so is
provided.
$

Please submit a separate application for each proposed QS or IFQ permit transfer.

Please complete the entire application, including all attachments; failure to do so could result
in delays in the processing of your application.

Please submit an original application only -- a photocopy of an application, or an application
submitted by facsimile will not be processed.

Please ensure that signatures on the application are original and are notarized. RAM will not
process an application that does not bear original signatures (fax=d applications will be returned);
all signatures must be witnessed by a Notary Public (or, in some remote areas, the community
Postmaster or Postmistress).

Please allow at least ten working days for your application to be processed. Without exception,
RAM processes applications in the order in which they are received.

When completed, mail the original application to:
Alaska Region, National Marine Fisheries Service
Restricted Access Management (RAM)
P.O. Box 21668
Juneau, AK 99802-1668

OR
$

When completed, deliver the original application to:
Alaska Region, National Marine Fisheries Service
Restricted Access Management (RAM)
Room 713, Federal Building
709 West 9th Street
Juneau, AK 99802-1668
Application for Transfer of Crab QS/IFQ to or from an ECCO
Page 6 of 9

Items will be sent to you by first class mail, unless you provide alternate instructions and include
a prepaid mailer with appropriate postage or corporate account number for express delivery.

If you have any questions, or if you need any assistance in completing the application, please
contact RAM as follows:
Telephone (toll Free):
Telephone (Juneau):
E-Mail Address:
Web Site:

1-800-304-4846 (press A2")
907-586-7202
[email protected]
www.alaskafisheries.noaa.gov/ram

BLOCK A B GENERAL REQUIREMENTS
This application is only to be used to apply for a transfer of Quota Share (QS) or Individual Fishing Quota
(IFQ) to or from an Eligible Crab Community Organization (ECCO); if an ECCO is not a party to the
proposed transfer, another application form should be used.
Note, as well, that any party to whom the QS/IFQ is proposed to be transferred must hold a Transfer
Eligibility Certificate (TEC) and that, if the application is to permanently transfer QS from an ECCO to
another party, the application must be signed by a representative of the community for whom the ECCO holds
the QS.
BLOCK B B TRANSFEROR (SELLER) INFORMATION
1. Legibly (print or type) enter the name of the transferor; this should be the full name as it appears on
the QS Certificate or the TEC
2. Enter the ANMFS Person ID@ (as set out on the QS Certificate or the TEC).
3. Enter the permanent business mailing address including P.O. Box number or street, city, state,
and zip code.
4. If appropriate, enter the temporary business mailing address (the address to which the transfer
documentation should be sent, if different from the permanent address).
5-7. Enter business telephone number, business fax number, and E-mail address (if available).
8. If transferor is an ECCO, enter the name of the community on whose behalf the ECCO is applying.
BLOCK C B TRANSFEREE (BUYER) INFORMATION
1. Legibly print or type the name of the transferee; this should be the full name as it appears on the QS
Certificate or the TEC.
2. Enter the ANMFS Person ID@ (as set out on the QS Certificate or the TEC).
3. Enter the permanent business mailing address including P.O. Box number or street, city, state,
and zip code.
Application for Transfer of Crab QS/IFQ to or from an ECCO
Page 7 of 9

4. If appropriate, enter the temporary business mailing address (the address to which the transfer
documentation should be sent, if different from the permanent address).
5-7. Enter business telephone number, business fax number, and E-mail address (if available).
8. If the proposed transferee is an ECCO, enter the name of the community on whose behalf the ECCO
is applying.
BLOCK D B IDENTIFICATION OF QS/IFQ TO BE TRANSFERRED
1. Enter the QS species and QS type.
2. Enter the number of QS or IFQ units to be transferred, the total QS units, number of IFQ pounds, and
the range of serial numbers to be transferred (shown on the QS certificate).
3. If the transfer application is submitted on behalf of the community represented by the applicant
ECCO, enter the name of the community.
4. Indicate (YES or NO) whether all remaining IFQ pounds for the current fishing year are to be
transferred; if NO, specify the number of pounds to be transferred.
BLOCK E B TRANSFER OF IFQ ONLY (ALEASE@ OF IFQ)
This block should only be completed if the ECCO is applying to transfer IFQ to a permanent resident of
the community on whose behalf the ECCO holds the QS.
1. Identify the IFQ to be transferred by entering the IFQ Permit Number and Year
2. Enter the actual number of IFQ pounds to be transferred
BLOCK F B REQUIRED SUPPLEMENTAL INFORMATION
If the proposed transferor is an ECCO, indicate the reasons you are proposing this transfer (check all that
apply).
BLOCK G B PRICE PAID FOR QS, PQS, AND/OR IFQ, IPQ (TRANSFEROR)
Indicate (YES or NO) whether a broker was used for this transaction
If YES, enter total price paid to the broker or calculate how much was paid as a percentage of the
total price.
Enter total amount being paid for the QS/IFQ in this transaction, including all fees.
Price per unit of QS and the price per pound of IFQ
Indicate reasons (check all that apply) for transferring QS/IFQ

Application for Transfer of Crab QS/IFQ to or from an ECCO
Page 8 of 9

BLOCK H - METHOD OF FINANCING FOR THE QS, PQS AND/OR IFQ, IPQ (TRANSFEREE)
Indicate (YES or NO) whether the QS/IFQ being purchased will have a lien attached.
If YES, enter name of lien holder.
Indicate one primary source of financing for this transfer.
Indicate all that apply describing how the QS/IFQ was located.
Indicate the relationship, if any, between the transferor and the transferee.
Indicate (YES or NO) whether an agreement exists to return the QS or IFQ to the transferor or any other
person, or with a condition placed on resale; if YES, explain.
Attach a copy of the terms of agreement for the transfer, the bill of sale for QS, or lease agreement for
IFQ.

CERTIFICATION OF TRANSFEROR
Printed name and signature of transferor and date signed.
Signature of Notary Public, date commission expires, and notary seal or stamp.

CERTIFICATION OF TRANSFEREE
Printed name and signature of transferee and date signed.
Signature of Notary Public, date commission expires, and notary seal or stamp.
CERTIFICATION OF ECCO COMMUNITY REPRESENTATIVE
Printed name and signature of ECCO community representative and date signed.
Signature of Notary Public, date commission expires, and notary seal or stamp.

Application for Transfer of Crab QS/IFQ to or from an ECCO
Page 9 of 9

File Type	application/pdf
File Title	C:\PRA\OMB83I pre-ps.WP6.wpd
Author	rroberts
File Modified	2008-01-28
File Created	2008-01-28