0272 ss ren 042808

SUPPORTING STATEMENT
INDIVIDUAL FISHING QUOTAS FOR PACIFIC HALIBUT AND SABLEFISH
IN THE ALASKA FISHERY
OMB CONTROL NO. 0648-0272

INTRODUCTION
The Halibut and Sablefish Individual Fishing Quota (IFQ) Program was developed to reduce
fishing capacity that had increased during years of management as an open access fishery, while
maintaining the social and economic character of the fixed gear fishery that is relied on as a
source of revenue for coastal communities in Alaska. The Halibut and Sablefish IFQ Program
provides economic stability for the commercial hook-and-line fishery while reducing many of
the conservation and management problems commonly associated with open access. The IFQ
Program for sablefish and Pacific halibut fixed gear provides each fisherman a catch quota that
can be used any time during the open season. Individual shares are intended to allow fishermen
to set their own pace and adjust their fishing effort. The program is intended to reduce the
premium that was traditionally placed on speed, allowing fishermen to pay more attention to
efficiency and product quality. The IFQ Program consists of three parts: IFQ halibut and
sablefish, Western Alaska Community Development Quota (CDQ) halibut, and Gulf of Alaska
(GOA) IFQ community quota share. This action is a request for renewal for the collection-ofinformation.
Individual Fishery Quota (IFQ) Program
The IFQ Program was implemented under the Magnuson Stevens Fishery Conservation and
Management Act (Magnuson-Stevens Act). The Fishery Management Plan (FMP) for the
Groundfish Fishery of the Bering Sea and Aleutian Islands Management Area (BSAI) and the
Fishery Management Plan for Groundfish of the Gulf of Alaska (GOA FMP) were prepared by
the North Pacific Fishery Management Council (Council) and are implemented by regulations at
50 CFR part 679.
The International Pacific Halibut Commission (IPHC) and National Marine Fisheries Service
(NMFS) manage fishing for Pacific halibut (Hippoglossus stenolepis) through regulations
established under the authority of the Convention between the United States Halibut Fishery of
the Northern Pacific Ocean and Bering Sea (Convention) and the Northern Pacific Halibut Act of
1982 (Halibut Act). The IPHC promulgates regulations pursuant to the Convention at 50 CFR
300.60 through 300.65.
Western Alaska Community Development Quota (CDQ) Halibut
The goals and purpose of the CDQ Program are to allocate a portion of the quotas for groundfish,
halibut, crab, and prohibited species in the BSAI to Western Alaska communities to provide the
means for starting or supporting commercial fisheries business activities that will result in an
ongoing, regionally-based, fisheries-related economy. This document supports required
permitting and reporting related to CDQ halibut allocations as described under 679.32(f). These
requirements include: electronic reporting of CDQ halibut; a CDQ halibut permit which must be
on board a CDQ halibut harvesting vessel; a CDQ hired master permit issued to individuals
making halibut CDQ landings; and a Registered Buyer permit issued to persons who are
receiving CDQ halibut from harvesters or for harvesters making their own landings under certain
1

conditions. The collections of information related to all other CDQ species is addressed in OMB
Control No.: 0648-0269.
Gulf of Alaska (GOA) Community Quota Share (QS) Program
The IFQ Program provides management measures designed to respond to chronic concerns about
effectively managing the halibut and sablefish commercial fixed-gear fisheries while maintaining
an efficient use of the resource. However, since the implementation of the IFQ Program and
initial issuance of QS, a substantial decline has occurred in the amount of QS and the number of
QS holders in rural communities that are located adjacent to the coast of the GOA. This trend
may have an effect on employment and reduce the diversity of fisheries to which fishermen in
rural communities have access.
To provide additional opportunities for community fishermen and indirectly address concerns
about the economic viability of those communities, a new group of non-profit entities was
specified to hold QS on behalf of residents of eligible communities. A non-profit corporate
entity that meets specific criteria receives transferred halibut or sablefish QS on behalf of an
eligible community and leases the resulting IFQ to fishermen who are residents of the eligible
community. Communities eligible to participate in this program need to meet all of the
following criteria:
♦
♦
♦
♦
♦

Have a population of less than 1,500 persons based on the 2000 United States Census;
Have direct saltwater access;
Lack direct road access to communities with a population greater than 1,500 persons;
Have historic participation in the halibut and sablefish fisheries; and
Be specifically designated on a list adopted by the Council.

The NMFS requires information to establish the eligibility of the Community Quota Entity
(CQE) to hold QS, monitor the participation of the eligible communities in this program, gather
information on the distribution of QS and IFQ among these communities, and receive an annual
report from each CQE. This information will be analyzed to determine whether the goals
envisioned by the Council are met. Regulations implementing the Halibut and Sablefish IFQ
Program are at 50 CFR part 679.
A.

JUSTIFICATION

1. Explain the circumstances that make the collection of information necessary.
The Council, under the authority of the Halibut Act (with respect to Pacific halibut) and the
Magnuson-Stevens Act (with respect to sablefish), adopted the IFQ Program in 1991. The
Halibut and Sablefish IFQ Program established a limited access system for managing the fixed
gear Pacific halibut fishery in Convention waters in and off Alaska and sablefish fisheries in
waters of the exclusive economic zone (EEZ), located between 3 and 200 miles off Alaska.
Fishing under the Halibut and Sablefish IFQ Program began on March 15, 1995, ending the open
access fisheries which preceded its implementation.
The Halibut and Sablefish IFQ Program was developed to reduce fishing capacity that had
increased during years of management as an open-access fishery, while maintaining the social
and economic character of the fixed-gear fisheries that coastal communities in Alaska rely on as
2

a source of revenue. The Council and the Secretary concluded that the Halibut and Sablefish
IFQ Program would provide economic stability for the commercial hook-and-line fishery while
reducing many of the conservation and management problems commonly associated with open
access fisheries.
The Council and NMFS also intended the IFQ Program to improve the long-term productivity of
the sablefish and halibut fisheries by further promoting the conservation and management
objectives of the Magnuson-Stevens Act and the Halibut Act while retaining the character and
distribution of the fishing fleets as much as possible. The IFQ Program includes several
provisions, such as ownership caps and vessel use caps that are intended to protect small
producers, part-time participants, and entry-level participants that otherwise could be adversely
affected by excessive consolidation. The IFQ Program also includes other restrictions intended
to prevent the halibut and sablefish fisheries from being dominated by large boats or by any
particular vessel class. These and other types of requirements were designed to maintain
predominantly owner-operated fisheries, which was a key characteristic of the halibut and
sablefish fisheries prior to the implementation of the IFQ Program.
Under the IFQ Program, quota share (QS) represents a harvesting privilege for a person. On an
annual basis, QS holders are authorized to harvest specified poundage which is issued by NMFS
as IFQ. The specific amount of IFQ held by a person is determined by the number of QS units
held, the total number of QS units issued in a specific regulatory area, and the total pounds of
sablefish or halibut allocated for the IFQ fisheries in a particular year. Fishermen may harvest
the IFQ over the entire fishing season, which in 2007 was March 10 through November 15 for
halibut and sablefish. Generally, an IFQ permit holder must be onboard a vessel at the time his
or her IFQ is fished.
IFQ regulations also restrict the type of QS and IFQ transfers that may occur including
restrictions against the transfer of most types of QS if the QS is subject to a lease or condition of
repossession or resale by the person transferring the QS. This effectively precludes temporary
transfers of QS and IFQ between parties. QS is categorized by vessel size and type. IFQ derived
from QS associated with processing vessels (vessel category A) may be temporarily transferred
or leased, while much of the IFQ derived from QS associated with catcher vessels (vessel
categories B, C, and D) may not be temporarily transferred or leased, with limited exception.
The requirements that catcher vessel QS holders be onboard a vessel while conducting IFQ
fishing operations and present during an IFQ landing, as well as the restrictions against
temporary transfers of IFQ, are conditionally excepted by other IFQ Program regulations.
2. Explain how, by whom, how frequently, and for what purpose the information will be
used. If the information collected will be disseminated to the public or used to support
information that will be disseminated to the public, then explain how the collection
complies with all applicable Information Quality Guidelines.
This collection-of-information describes permit applications and reports. The permits in this
program are free of charge.
Reports are required, when applicable, to monitor catches of halibut and sablefish to determine:
individual compliance; that the amount of fish being taken does not fall under the definition of
3

overfishing for the fishery; and that the program is effective in accomplishing the goal of
reducing fishing effort in the halibut and sablefish fisheries in the waters off Alaska. These
reports are prior notice of landing; landing report, shipment report, transshipment authorization,
vessel clearance, and departure report.
The IFQ Program was implemented to both maintain rigorous safeguards on use of fishing
privileges for a public resource and to provide safeguards for program constituents. Use of
notarized signatures (on certain applications) is the best way for NMFS to ensure that only
authorized persons are granted privileges and that NMFS can act in certainty in accordance with
requests for program services (such as issuance of a hired master permit) or commercial
transactions (for transfers). By employing this widely accepted means of unequivocally
establishing the identity of submitters, this requirement removes ambiguity about whether
constituents have specific knowledge of the terms and conditions of requested benefits. Notary
certification is especially helpful to program participants in that it bars unauthorized persons
from access to individual fishing and processing account privileges and business information,
and from conducting highly valuable transfers of privileges. The requirement has in fact proven
invaluable in enforcement investigations of fraud and in at least one adjudication about a highvalue commercial transaction for which a NMFS program action was defensible based on its
absolute certainty of the identity of the requestor afforded by the Notary signature.
a. Application for Eligibility to Receive QS/IFQ
Those persons who wish to receive QS/IFQ by transfer but did not have QS initially awarded to
them must submit this application to receive a Transfer Eligibility Certificate (TEC). Only those
who have 150 or more days of experience working as part of a harvesting crew in any United
States (U.S.) commercial fishery are eligible. Work in support of harvesting but not directly
related to it is not considered harvesting crew work.
Note: The currently approved Tax Identification Number (TIN) requirement is included on this
application form in this renewal request: Collection of TIN is necessary on program fee
submission forms (covered under OMB Control No. 0648-0398) to ensure that we are collecting
from the person who owes the debt. Collection of TIN is required also required on this
application for eligibility form because the debt is established prior to the time that the fee
submission forms are due to the agency. If the fee submission and payment are not received, the
agency must begin collection processes and those collection processes cannot be initiated or
accomplished without the TIN.
Because the TIN in this instance is collected for NMFS cost recovery, there is demonstrable
practical utility. In addition, cost recovery is mandated by the Magnuson-Stevens Act (16 U.S.C.
1852 et seq.) as amended in 2006, and the collection of TIN in such an instance is supported by
31 U.S.C. Section 7701. See also applicable NMFS Alaska Region regulations: 50 CFR
679.45(d) and 50 CFR 679.5(l).
Application for Eligibility to Receive QS/IFQ
Block A – Applicant Information
Name and NMFS Person ID
Taxpayer ID No. (Employer ID No. or Social Security Number (SSN))
Business mailing Address (indicate whether permanent or temporary address)
Business telephone number, fax number, and e-mail address

4

Indicate YES or NO whether applicant is a U.S. citizen
If YES, enter date of birth
Indicate YES or NO whether applicant is a U.S. corporation, partnership, association, or other business entity
If YES, enter date of incorporation
Block B – Freezer Shares
Indicate YES or NO whether this TEC is intended for an entity that wishes to buy or lease only category A QS
If YES, and you are a corporation, partnership, association, or other non-individual entity,
complete and submit a QS holder: Identification of Ownership Interest form.
Block C – Notary Certification
Printed name and signature of applicant and date signed
If completed by an authorized agent, attach authorization
Signature, commission expiration date, and stamp of notary
Blocks D & E –Commercial Fishing Experience
Species
Gear type
Location
Begin date and end date of fishing experience
Number of actual days spent harvesting fish
Duties performed while directly involved in the harvesting of fish
Name and Alaska Department of Fish and Game (ADF&G) vessel registration number or U.S. Coast Guard
(USCG) documentation number of vessel
Name of vessel owner and name of operator
Reference name, reference’s relationship to applicant, business address, and telephone number

A person applies for eligibility only once, rather than annually or every three years. The total
number of Persons Eligible to Receive QS by Transfer from the beginning of the IFQ Program is
7,377. Dividing by 6 (to represent number of years), obtains 1,229.5. Therefore, the number
1,200 is used as a round number for the estimated number of participants for this form.
Application for Eligibility to Receive QS/IFQ, Respondent
Total number of respondents
Total annual responses
Number of responses per year = 1
Total Time burden (1200 x 2)
Time per response = 2 hr
Total personnel cost (2400 x$25)
Total miscellaneous cost
Postage (0.41 x 1200 = 492)
Photocopy (0.10 x 1200 = 120)
Notary (5 x 1200 = 6000)
Application for Eligibility to Receive QS/IFQ, Federal Government
Total annual responses
Total Time burden
Time per response = 0.5 hr
Total personnel cost (600 x$25)
Total miscellaneous costs

1200
1200
2400 hr
$60,000
$6,612

1200
600 hr
$15,000
0

b. IFQ/CDQ hired master permit (formerly IFQ/CDQ landing card)
This hired master permit is required for persons (hired masters or skippers) who are harvesting
IFQ halibut, IFQ sablefish, or CDQ halibut for a permit holder. This application must be used to
obtain Pacific halibut and sablefish Individual Fishing Quota/Community Development Quota
(IFQ/CDQ) permits for hired skippers and to obtain permits for halibut CDQ fishing. A separate
application must be completed for each vessel, each IFQ permit number, or CDQ permit number.
5

IFQ permit holders who are not individuals must designate a hired master to fish their IFQ or
obtain a permit to access their account. With few exceptions, persons holding catcher vessel
QS/IFQ hiring masters must own (either directly or indirectly) at least 20 percent of the vessel
upon which their hired master will fish the IFQ. Proof of vessel ownership is required to be
submitted each year. Federal regulations at 50 CFR 679.42(i) and (j) define acceptable proof of
ownership as:
♦ For a documented vessel, owns a minimum 20–percent interest in the vessel as shown by
the U.S. Abstract of Title issued by the U.S. Coast Guard that lists the permit holder as an
owner and, if necessary to prove the required percentage ownership, other written
documentation;
♦ For an undocumented vessel, owns a minimum 20–percent interest in the vessel as shown
by a State of Alaska vessel license or registration that lists the permit holder as an owner
and, if necessary to show the required percentage ownership interest,
♦ Category "A" (freezer vessel) permit holders do not need to send proof of vessel
ownership but must provide the vessel information requested in Block C of the
application.
♦ CDQ permit holders are not required to provide the vessel information requested in
Block C of the application.
The Abstract of Title is necessary to determine percentage of vessel ownership for purposes of
the hired master provisions of the IFQ program.
Application for IFQ/CDQ Hired Master Permit
Block A – Purpose of application
Indicate whether hired master is being added or removed
Indicate permit(s) that this action applies to
Sablefish permit number and category
Halibut permit number and category
Block B – Permit Holder Information
Name and NMFS person ID
Business mailing address (indicate whether temporary or permanent)
Business telephone number, fax number, and e-mail address
Block C – Identification of Vessel upon which IFQ/CDQ Halibut or Sablefish Will be Fished
Name, length overall, ADF&G vessel registration number, and USCG documentation number of vessel
Indicate YES or NO whether IFQ permit holder holds an ownership interest of at least 20% in the
named vessel
If YES, submit a current copy of USCG Abstract of Title or Documentation showing the
percentage of the permit holder’s ownership interest in the named vessel.
Block D – Hired Master Information
Name and NMFS person ID
Business mailing address (indicate whether temporary or permanent)
Business telephone number, fax number, and e-mail address
Block E – Certification of Permit Holder & Notary
Signature and printed name of applicant, and date signed
Signature, commission expiration date, and stamp of notary public

6

The number of hired master halibut/sablefish permits is estimated to be 200, with an estimated
500-600 CDQ halibut hired masters.
Application for IFQ/CDQ Hired Master Permit,
Respondent
Estimated number of respondents
IFQ = 200
CDQ halibut = 550
Total annual responses
Number of responses per year = 1
Total Time burden
Time per response (30 min/60 min = 0.5)
Total personnel cost (375 x$25)
Total miscellaneous cost (4132.50)
Postage (0.41 x 750 = 307.50)
Photocopy (0.10 x 750 = 75)
Notary ($5 x 750 = 3750)
Application for IFQ/CDQ Hired Master, Federal
Government
Total annual responses
Total Time burden (750 x 0.5)
Time per response (30 min/60 min = 0.5)
Total personnel cost (375 x $25)
Total miscellaneous cost

750

750
375
$9,375
$4,133

750
375
$9,375
0

c. Application for Registered Buyer Permit
This permit authorizes a person to receive IFQ halibut or sablefish or CDQ halibut from the
person that harvested the fish. The permit is also required of any person who harvests IFQ
halibut or sablefish or CDQ halibut and transfers such fish: in a dockside sale; outside of an IFQ
regulatory area; or outside of the State of Alaska. Permits are non-transferable, renewed
annually or issued on request, and at no cost. Each buying station, mothership, shoreside
processor, or stationary floating processor that receives IFQ fish or CDQ halibut is required to
have its own Registered Buyer permit. Entities receiving IFQ fish or CDQ halibut at locations
outside Alaska do not need these permits, because the deliverer is required to be a Registered
Buyer.
Application for Registered Buyer Permit
Indicate YES or NO whether this application a renewal
If YES, indicate Registered Buyer number
Block A -- Applicant Identification
Name and NMFS Person ID
Taxpayer ID No. (EIN or SSN)
Date of birth or date of incorporation
Name of contact person
Business mailing address (indicate whether permanent or temporary)
Physical location of facility
Business telephone number, business fax number, and e-mail address
Block B – Type of Activity
Check all that apply
Hired Master making dockside sales (catcher-seller)
Hired Master transferring IFQ/CDQ fish outside Alaska (permit holder or vessel operator)
Person receiving fish from harvester (check all that apply)
Block C – Password

7

Indicate YES or NO whether you currently have a password
If YES, provide password
Block D – Signature
Signature and printed name of applicant and date signed
If completed by an authorized agent, attach authorization

Note: The currently approved TIN requirement is included on this application form in this
renewal request: Collection of TIN is necessary on program fee submission forms (covered
under OMB Control No. 0648-0398) to ensure that we are collecting from the person who owes
the debt. Collection of TIN is required also required on this application for eligibility form
because the debt is established prior to the time that the fee submission forms are due to the
agency. If the fee submission and payment are not received, the agency must begin collection
processes and those collection processes cannot be initiated or accomplished without the TIN.
Because the TIN in this instance is collected for NMFS cost recovery, there is demonstrable
practical utility. In addition, cost recovery is mandated by the Magnuson-Stevens Act (16 U.S.C.
1852 et seq.) as amended in 2006, and the collection of TIN in such an instance is supported by
31 U.S.C. Section 7701. See also applicable NMFS Alaska Region regulations: 50 CFR
679.45(d) and 50 CFR 679.5(l).
452 Registered Buyer Permits are currently active, which changes the former estimate from 800
to read 500, rounded up to account for possible small increase.
Application for Registered Buyer Permit, Respondent
Estimated number of respondents
Total annual responses
Number of responses per year = 1
Total Time burden (500 x 0.5)
Time per response (30 min/60 min = 0.5)
Total personnel cost (250 x$25)
Total miscellaneous cost
Postage (0.41 x 500 = 205)
Photocopy (0.10 x 500 = 50)

500
500
250 hr
$6,250
$255

Application for Registered Buyer Permit, Federal Government
Total annual responses
500
Total Time burden (500 x 0.5)
250 hr
Time per response = 0.5
Total personnel cost (250 x$25)
$6250
Total miscellaneous cost
0

d. Application for Quota Share (QS) Permit [NO LONGER ISSUED]
QS was initially issued to persons who owned or leased vessels that made legal commercial
fixed-gear landings of Pacific halibut or sablefish during 1988-1990 off Alaska. QS is
transferable to other initial issues or to those who have become transfer-eligible on NMFS'
approval of an Application for Transfer Eligibility Certificate. Once issued to a person (at no
charge), QS is held by that person until it is transferred, suspended, or revoked.

8

e. Request for Application for Quota Share (Forms A through D) [NO LONGER
AVAILABLE]
Prior to the end of the application period for IFQ Quota Share which ended July 15, 1994, the
“QS Application” was used to assess eligibility to receive QS. That form was replaced by the
“Request for Application for Quota Share (Forms A through D)” and is used by persons who still
may wish to claim eligibility, while providing NMFS with a means to issue an initial
administrative determination on such claims. No persons are expected to file this application
because the application period has passed. Applicants submit Form D plus one of Forms A, B,
or C, depending on the type of “person” represented by each applicant.
Request for Application for Quota Share
Form A: Form for Individuals
Name, social security number (SSN), and date of birth of applicant
Business address, telephone number, and fax number
Signature of Applicant, date signed
If this application is made on behalf of the estate of a deceased fishermen:
Date of death
SSN of decedent
Name and address of Estate’s authorized representative
Signature of Estate representative, date signed
Form B: Form for Existing Corporations or Partnerships
Name of corporation or partnership and Federal Tax ID number
Business mailing address, telephone number, fax number
Date of incorporation or partnership agreement
Name and signature of registered agent or partner and date signed
Form C: Form for Dissolved Corporations or Partnerships
Business name and Tax ID number
Whether business was a corporation or partnership
Date of incorporation or partnership agreement
Date of dissolution
Names, SSNs, Business addresses, and ownership percentage shareholders or partners
Name and signature of applicant, Date signed
Form D: Vessel Information Form
Vessel name, ADF&G vessel number, USCG vessel number
Registration number in other states: state and registration number
Owner’s name and business address
Vessel purchase date, if sold, date of sale, length overall
Whether vessel is a processor
Freezer capacity (in cubic feet)
Whether leased to or by the applicant
Lessees’ name, address, and telephone number
Begin and end date of lease
Name and signature of applicant and date signed
Request for Application for Quota Share (Forms
A through D), Respondent
Estimated number of respondents
0
Total annual responses
0
Total Time burden
0
Total personnel cost
0
Total miscellaneous cost
0

9

Request for Application for Quota Share (Forms
A through D), Federal Government
Total annual responses
0
Total Time burden
0
Total personnel cost
0
Total miscellaneous cost
0

f. Letter of Appeal
New information in the QS application is compared with data compiled by NMFS. If any new
data presented in an application are not consistent with the NMFS-compiled data, the applicant is
notified of insufficient documentation and is provided 90 days opportunity to support his or her
claim. The applicant is offered 60 days in which to appeal. This appeals process provides the
necessary due process for aggrieved applicants. A printed form is not used for an appeal. The
applicant is required to request by letter that the IFQ Appeals Officer review the case of the QS
applicant. NMFS’ Office of Administrative Appeals recently completed the last received IFQ
appeal and no new appeals have been submitted in several years.
Letter of Appeal, Respondent
Estimated number of respondents
Total annual responses
Number of responses per year = 1
Total Time burden (2 x 4)
Time per response = 4 hr
Total personnel cost (8 x$25)
Total miscellaneous cost ($0.94)
Postage (0.41 x 2= 0.82)
Photocopy (0.10 x 2 = 0.20)

2
2
8 hr
$200
$1

Letter of Appeal, Federal Government
Total annual responses
Total Time burden (2 x 4)
Time per response = 4 hr
Total personnel cost (4 x$75)
Total miscellaneous cost

2
8 hr
$300
0

g. QS/IFQ Designated Beneficiary Form
The Designated Beneficiary form provides options for survivorship privileges of QS and IFQ to
immediate family members. QS holders may provide NMFS with the name of a designated
beneficiary to receive survivorship transfer privileges in the event of the QS holder’s death. If
the QS holder does not leave a surviving spouse, he/she may name an immediate family member
to be the beneficiary.
NMFS allows the transfer of IFQ only (lease) of any QS/IFQ transferred to the beneficiary by
right of survivorship, for a period of 3 years following the death of the original QS holder. This
information is necessary to provide temporary transfer privileges to families of deceased QS
holders in the absence of a surviving spouse.
QS/IFQ Designated Beneficiary Form
Block A – Instructions
Block B – Identification of QS holder

10

Name and NMFS Person ID
Business mailing address
Business telephone number, business fax number, and business e-mail address
Block C – Name of beneficiary
Name and NMFS person ID
Business mailing address
Business telephone number and fax number
Block D – Relationship of Beneficiary to QS Holder
Indicate YES or NO whether beneficiary named on this form is the spouse of the QS holder
If NO, provide immediate relationship of the beneficiary to the QS holder
Block E – Signature
Signature and printed name of QS holder, and date signed
If completed by an authorized agent, attach authorization
Signature, commission expiration date, and stamp of notary public
QS/IFQ Designated Beneficiary Form, Respondent
Estimated number of respondents
Total annual responses
Number of responses per year = 1
Total Time burden (500 x 0.5)
Time per response = 0.5 hr
Total personnel cost (250 x$25)
Total miscellaneous cost
Postage (0.41 x 500= 205)
Photocopy (0.10 x 2 x 500 = 100)

500
500
250 hr
$6,250
$305

QS/IFQ Designated Beneficiary Form, Federal Government
Total annual responses
500
Total Time burden (500 x 0.5)
250 hr
Time per response = 0.5 hr
Total personnel cost (250 x$25)
$6250
Total miscellaneous cost
0

h. QS Holder Form: Identification of Ownership Interest
Corporations, partnerships, and other non-individual entities are required to submit the ownership form
annually [679.42(j)(8)]. The information is necessary for the application of the individual and collective
quota share use caps [679.42(e) and (f)] as well as to monitor whether changes have occurred
[679.42(j)9)].
The information requested in this form is needed by Restricted Access Management Program (RAMP) to
determine compliance with two IFQ program requirements:
♦

Limitations On Use of QS and IFQ. This information is needed to determine if persons who
hold QS have exceeded their allowable use limits under the “individually and collectively”
language set out in the IFQ regulations at 50 CFR 679.42(e) and (f); and,

♦

Changes in corporations or partnerships. This information is also needed to determine if a
Corporation or Partnership has changed. Under Sec. 679.42(j)(1) - (4), upon a “change” (i.e., the
addition of a new member) to a corporation or partnership that holds catcher vessel QS, the entity
may no longer hire a master to fish the IFQ resulting from the QS it holds; further, such an entity
must notify NMFS of the change within 15 days of its effective date and must then transfer its QS
to a qualified individual.

11

In addition to the information needs to identify first-time applicants, collection of ownership
interest information enables NMFS to determine compliance with the following requirements:
♦ to affirm the entity’s continuing existence;
♦ to ensure corporations and partnerships are not erroneously issued annual IFQ resulting
from the collectively held QS; and
♦ to determine indirect ownership of vessels for purposes of the hired skipper provisions of
the IFQ program.
QS Holder form: Identification of Ownership Interest
Indicate name of QS holder
Block A – Identification of QS holder
Indicate YES or NO whether this business is a publicly held corporation
Indicate YES or NO whether this is a corporation, association, or partnership
If YES, indicate YES or NO whether this corporation or partnership is still active
Indicate YES or NO whether this is an estate that has been probated
If YES, provide date probate was finalized
Block B – Identification of Members, Shareholders, Partners, Joint Venturers, Successor-In-Interests
If ownership consists of separate or additional corporations or partnerships, the individual owners of those entities
and the percentage of interest those individuals hold in their respective corporations or partnerships must also be
listed
Name
Percent of interest held
Indicate Yes or NO whether these ownership percentages represent the addition of any new
owners since QS was initially issued
Block C – Signature Block
Signature, printed name, title, and date of signature
Signature, commission expiration date, and stamp of notary public

Although the requirement is to notify NMFS within 15 days, we usually find out about changes
with the annual submission of the ownership form. The ownership form can be used to provide
us with changes; or a letter can be submitted. The estimated number of respondents is estimated
to be 150-200 per year; the number used in the analysis below is 175.
QS Holder Form: Identification of Ownership Interest
and Status Update, Respondent
Estimated number of respondents
175
Total annual responses
175
Number of responses per year = 1
Total Time burden (25 x 2)
350 hr
Time per response = 2 hr
Total personnel cost (350 x$25)
$8,750
Total miscellaneous cost (964.25)
$964
Postage (0.41 x 175 = 71.75)
Photocopy (0.10 x 175 = 17.50)
Notary (5 x 175 = 875)
QS Holder Form: Identification of Ownership Interest
and Status Update, Federal Government
Total annual responses
175
Total Time burden
175 hr
Time per response = 1 hr
Total personnel cost (175 x$25)
$4,375
Total miscellaneous costs
0

12

i. Application to Become a Community Quota Entity (CQE)
A non-profit corporate entity that meets specific criteria to receive transferred halibut or
sablefish QS on behalf of an eligible community may lease the resulting IFQ to fishermen who
are residents of the eligible community. Communities eligible to participate in this program
would need to meet all of the following criteria:
♦ Have a population of less than 1,500 persons based on the 2000 United States Census;
♦ Have direct saltwater access;
♦ Lack direct road access to communities with a population greater than 1,500 persons;
♦ Have historic participation in the halibut and sablefish fisheries; and
♦ Be specifically designated on a list adopted by the Council.
NMFS requires information to establish the eligibility of the CQEs to hold QS, monitor the
participation of the eligible communities in this program, gather information on the distribution
of QS and IFQ among these communities, and receive an annual report from each CQE. This
information is used both to evaluate the ability of the specific CQE to represent an Eligible GOA
community and to augment fisheries management efforts.
This application procedure is required for each non-profit entity seeking to become a CQE
representing a specific community. The Application to Become a CQE is submitted prior to the
transfer of any QS to a CQE representing any community. This application is due only once,
unless a particular eligible community withdraws support from a specific CQE. For purposes of
estimating burden hours, this situation is unlikely to arise, and the application process would not
need to be resubmitted more than once every five years.
Application for a Non-profit Corporation to be Designated as a Community Quota Entity (CQE)
Block A–Identification of applicant
Name of nonprofit organization
Permanent business mailing address
Name of contact person
Business telephone number, fax number, and e-mail address
Name of community represented by nonprofit organization
Name of contact for community governing body
Block B – Required Information
Checklist of required attachments
The non-profit organization applying to become a Community Quota Entity must provide all of the documentation
listed in this section. This information is used both to evaluate the ability of the non-profit applicant to represent
an Eligible GOA community and to ensure the non-profit has the support of the community’s government body.
Applicant’s Articles of Incorporation
Applicant’s Corporate By-laws
A list of the applicant’s key personnel, including its Board of Directors and Officers
The applicant’s Organizational Chart or, at a minimum, a written explanation that fully reveals the applicant’s
line and staff responsibilities and relationships
A statement designating the eligible Gulf of Alaska coastal community(ies) that the entity seeks to represent
An explanation of how the applicant will manage QS/IFQ on behalf of the community(ies) it seeks to represent
An explanation of the applicant’s administrative stability and competence, including the resumes of
key management personnel
A statement that explains the procedures that will be used to solicit requests from community residents to use
(lease) annual IFQ held by the applicant and that sets out the criteria and procedures to be used to select from
among those who have expressed a desire to use the IFQ
Formal resolution from the community governing body (i.e., the city council if a municipality, the tribal
governing body if not a municipality, or the non-profit community association if neither a municipality or
a tribe) that unambiguously designates the applicant as the community’s representative and CQE

13

Block C -- Certification
Printed name, signature, and date signed
Signature, date when commission expires, and stamp of Notary

The current number of CQEs is 20, down from the estimate of 42. And, because this analysis is
done every 3 years, the annual number is determined by dividing by 3.
Application to Become an CQE, Respondent
Estimated number of respondents (20/3 = 6.67)
Total annual responses
Number of responses per year = 1
Total Time burden
Time per response = 200 hr
Total personnel cost ($150 x 1400)
Total miscellaneous cost (43.61)
Postage (7 x 1.23 = 8.61)
Photocopy (7 x 50 pages x 0.10 = 35)

7
7
1,400 hr
$210,000
$44

Application to Become an CQE, Federal Government
Total annual responses
Total Time burden
Time per response = 4 hr
Total personnel cost (28 x $25)
Total miscellaneous cost

7
28 hr
$700
0

j. Application for Transfer of QS/IFQ to or from a Community Quota Entity (CQE)
This application form is only used to apply for a transfer of QS or IFQ to or from a CQE. Any
party to whom the QS/IFQ is proposed to be transferred must hold a Transfer Eligibility
Certificate (TEC). If the application is to permanently transfer QS from a CQE to another party,
the application must be signed by a representative of the community for whom the CQE holds
the QS.
The following determinations are required for each eligible community represented by that CQE:
♦ An individual applying to receive IFQ from QS held by a CQE is an eligible community
resident of the eligible community in whose name the CQE is holding QS;
♦ The CQE applying to receive or transfer QS, has submitted a complete annual report(s);
♦ The CQE applying to transfer QS has provided information on the reasons for the
transfer;
♦ The CQE applying to receive QS is eligible to hold QS on behalf of the eligible
community in the halibut or sablefish regulatory area designated for that eligible
community in Table 21 to 50 CFR part 679;
♦ The governing body of the eligible community has authorized the transfer of QS; and
♦ The CQE applying to receive QS has received notification of approval of eligibility to
receive QS/IFQ for that community
Application for Transfer of QS/IFQ to or from a CQE
Block A – General Requirements
Block B – Identification of Proposed Transferor (Seller)
Full name as it appears on QS Certificate or TEC and NMFS Person ID number
If proposed transferor is a CQE, name of community represented by the CQE
Business mailing address (indicate whether permanent or temporary)
Business telephone number, fax number and e-mail address

14

Block C – Identification of Proposed Transferee (Buyer)
Name and NMFS Person ID number
If proposed transferee is a CQE, name of community represented by the CQE
Business mailing address (indicate whether permanent or temporary)
Business telephone number, fax number, and e-mail address
Block D – Questions for Transferee (Buyer)
Indicate YES or NO whether QS is to be included in a sweep-up
If YES, list the identifier on the QS certificate into which this new piece should be combined
If this is a transfer of Catcher vessel CDQ compensation QS that has not been assigned a catcher vessel length,
designate the category. Indicate the QS vessel length to which you wish the QS assigned.
Block E – Identification of QS/IFQ to be Transferred
Complete Block E if QS and IFQ are to be transferred together or to transfer QS only.
Number of QS units to be transferred
Designation of QS, as shown on the QS certificate: from and to
Indicate YES or NO whether all remaining IFQ pounds from the current fishing year should be
transferred with the QS
If NO, indicate the number of pounds to be transferred
Block F – Transfer of IFQ only (lease of IFQ)
Pertains only to proposed transfers from CQEs to qualifying community members
Identification of IFQ to be transferred: Permit number and year
Name of the community to which QS are currently assigned
Block G – Required Supplemental Information
(to be completed by proposed transferor, if a CQE)
Indicate the reason(s) transfer being proposed
(check all that apply and provide a brief explanation on a separate sheet)
Block H – Required Supplemental Information
(to be completed by proposed transferor, if a CQE)
Provide the price per unit of QS and the price per pound of IFQ
Indicate total amount paid for the QS/IFQ in this transactions, including all fees
Indicate YES or NO whether a broker is used for this transaction
If YES, indicate amount paid in brokerage fees or percentage of total price
Indicate reason applying to transfer QS/IFQ (check all that apply)
Block I – Required Supplemental Information
(to be completed by proposed transferee)
Indicate YES or NO whether the QS/IFQ will have a lien attached
If YES, identify the person who will hold the lien
Indicate primary source of financing for this transfer (check one)
Indicate how the QS/IFQ was located (check all that apply)
Indicate relationship to the transferor (check all that apply)
Indicate YES or NO whether an agreement exists to return the QS or IFQ to the transferor or any other
person or a condition place on resale.
If YES, explain
Certification of Transferor (Seller)
Printed name and signature of Transferor and date signed
If completed by an authorized agent, attach authorization
Signature, commission expiration date, and stamp of notary
Certification of Transferee (Buyer)
Printed name and signature of Transferee and date signed.
If completed by an authorized agent, attach authorization.
Signature, commission expiration date, and stamp of notary
Certification of CQE Community Representative
(required when CQE proposes to permanently transfer QS)
Printed name, title, and signature of Community Representative and date signed
Signature, commission expiration date, and stamp of notary

The current number of CQEs is 20, down from the previous estimate of 42.

15

Application for Transfer of QS/IFQ to or from a CQE,
Respondent
Estimated number of respondents
20
Total annual responses
40
Number of responses per year = 2
Total Time burden (40x 2)
80 hr
Time per response = 2 hr
Total personnel cost (80 x $25)
$2,000
Total miscellaneous cost (224.20)
$224
Postage (20 x .41 = 8.20)
Photocopy (4 pages x 0.10 x 40 = 16)
Notary ($5 x 40 = 200)
Application for Transfer of QS/IFQ to or from a CQE,
Federal Government
Total annual responses
40
Total Time burden (40x 0.5)
20 hr
Time per response = 0.5 hr
Total personnel cost (42 x $25)
$1,050
Total miscellaneous cost
0

k. Application for Transfer of QS/IFQ
The information required by this application is necessary to ensure that quota share (QS) and
individual fishing quota (IFQ) are transferred in compliance with the regulations governing the
buying and selling of QS and the leasing of IFQ. This application for transfer must be
completed, signed by both the buyer and seller, and notarized. Collectively held QS must be
transferred to a qualified individual upon any change in a corporation or partnership.
The form allows NMFS to monitor the transfer of QS, both purchased and sold. Transfers of QS
and IFQ are regulated:
♦ to prevent over-consolidation,
♦ to accommodate divestiture requirements at 50 CFR part 679.42(j),
♦ to promote an owner-operator IFQ fleet, and
♦ to allow new entrants into the fishery.
Transfer Upon Deceased QS Holder (Formerly Notification of Inheritance of QS). Any person
that receives title to QS by inheritance or court order must notify NMFS and provide an affidavit,
court order, or some other form of substantiating evidence supporting the transaction. Any
person that receives title to QS in this manner may not use the IFQ resulting from it to harvest
sablefish or halibut with fixed gear until the QS transfer is approved by NMFS. Any person that
wishes to substantiate the death or dissolution of a QS holder, or that receives title to QS by
inheritance or court order and that wishes to transfer title to the QS on behalf of the deceased
person or his/her estate, must:
♦ Request a transfer to NMFS for approval under rules that govern the IFQ program;

16

♦ Establish the death or dissolution of the QS holder; and
♦ Provide proof of representation to conduct such business as authorized by the Court or
other appropriate authorizing body.
Transfer Sweep-up. A separate “Sweep-up” Form is to be used by a single person who wishes to
combine his/her own individual holdings by sweeping them together -- a "self sweep-up". The
regular transfer form is for two different parties who are transferring from one person to another.
They can request on this form that QS be swept up with QS already held by the buyer
(transferee).
Application for Transfer of QS and IFQ
Block A -- Transfer Eligibility Certificate (TEC)
Indicate YES or NO whether transferee (buyer) holds a TEC
Block B – Attachment Checklist
Use this list to ensure application is complete.
Block C – Transferor (Seller) Information
Full name as it appears on QS Certificate or TEC and NMFS Person ID number
Date of birth
Business mailing address (indicate whether permanent or temporary)
Business telephone number, Business fax number, and business e-mail address
Block D – Transferee (Buyer) Information
Name and NMFS Person ID number
Date of birth
Business mailing address (indicate whether permanent or temporary)
Business telephone number, business fax number, and business e-mail address
Block E – Questions for Transferee (Buyer)
Indicate YES or NO whether QS is to be included in a sweep-up
If YES, list the identifier on the QS certificate into which this new piece should be combined
If this is a transfer of Catcher vessel CDQ compensation QS and the vessel category was not declared,
indicate the QS vessel category in which you would like to have your QS issued.
Block F – Identification of QS and IFQ to be Transferred
Complete Block F if QS and IFQ are to be transferred together or to transfer QS only.
Whether Halibut or sablefish
IFQ Regulatory area
Vessel category
Number of QS units to be transferred
Seller IFQ permit number
Start and end serial numbers of QS to be transferred
Indicate YES or NO whether all remaining pounds for the current fishing year should be transferred
If NO, number of pounds to be transferred
Block G – Transfer of IFQ only
Complete Block G if requesting transfer of IFQ only (applies only to Category A and surviving Spouse IFQ)
Whether Halibut or sablefish
IFQ regulatory area
Number of units to be transferred
Start and end serial numbers of IFQ to be transferred
Actual number of IFQ pounds being transferred
Seller IFQ permit number
Fishing year
Block H – Required Supplemental Information (completed by seller)
Indicate YES or NO whether a broker is used for this transaction
If YES, how much is paid in brokerage fees or % of total price
Total amount being paid for the QS/IFQ in this transaction, including all fees
Price per unit of QS

17

Price per pound of IFQ
Reasons for transferring the QS/IFQ (check all that apply)
Block I – Required supplemental information (completed by buyer)
Indicate YES or NO whether QS/IFQ being purchased will have a lien attached
Indicate primary source of financing for this transfer (check one)
Indicate how the QS/IFQ was located (check all that apply)
Indicate Buyer’s relationship to the QS/IFQ Holder (check all that apply)
Indicate YES or NO whether an agreement exists to return QS or IFQ to Seller
or any other person, or a condition placed on resale
If YES, explain
Block J – Transferor (Seller) Signature Block
Printed name and signature of Transferor and date signed
If completed by an authorized agent, attach authorization
Signature, commission expiration date, and stamp of notary
Block K –- Transferee (Buyer) Signature Block
Printed name and signature of Transferee and date signed.
If completed by an authorized agent, attach authorization.
Signature, commission expiration date, and stamp of notary

Application for Transfer of QS/IFQ by Sweep-up (short form)
This form is a short form of the Application for Transfer of QS/IFQ to be used by persons who
wish to combine (sweep-up) the transferred block together with a block already held. Blocked
QS may be swept up into one block if the total amount of QS being combined is less than or
equal to established amounts of QS units per area. To be combined, QS must be in the same
vessel category, and the resulting block size must not exceed the sweep-up limits.
Application for Transfer of QS/IFQ by Sweep-up (short form)
Block A -- Instructions
Block B -- Sweep-up limits
Block C –- Applicant information
Applicant name and date of birth
Business mailing address (indicate whether permanent or temporary)
Business telephone number, business fax number, and business e-mail address
Block D –- First Quota Shore Block
Halibut or sablefish
IFQ Regulatory area
Vessel category
Number of QS units to be swept up
Start and end serial numbers of QS to be transferred
Block E –- Second Quota share Block
Halibut or sablefish
IFQ Regulatory area
Vessel category
Number of QS units to be swept up
Start and end serial numbers of QS to be transferred
Block F – Signature Block
Signature and printed name of QS holder and date signed
If completed by an authorized agent, attach authorization
Signature, commission expiration date, and stamp of notary public

In 2007, the following transfers occurred in the halibut fishery: 209 in Area 2C; 326 in Area 3A;
90 in Area 3B; 83 in Area 4A; 19 in Area 4B; 14 in Area 4C; and 10 in Area 4D. This totals
751 transfers in the IFQ Halibut fishery.

18

In 2007, the following transfers occurred in the sablefish fishery: 14 in Aleutian Islands; 18 in
Bering Sea; 63 in Central Gulf of Alaska; 78 in Southeast Gulf of Alaska; 45 in Western Gulf of
Alaska; and 41 in West Yakutat. This totals 259 transfers in the IFQ Sablefish fishery.
Application for Transfer of QS and IFQ, Respondent
Estimated number of respondents
1010
751 halibut transfers
259 sablefish transfers
Total annual responses
1010
Number of responses per year = 1
Total Time burden
2020 hr
Time per response = 2 hr
Total personnel cost (2020 x $25)
$50,500
Total miscellaneous cost
$5,868
Postage (1010 x .41 = 414.10)
Photocopy (4 pages x 0.10 x 1010 = 404)
Notary ($5 x 1010 = 5050)
Application for Transfer of QS and IFQ, Federal
Government
Total annual responses
Total Time burden (1010x 0.5)
Time per response = 0.5 hr
Total personnel cost (505 x $25)
Total miscellaneous cost

1010
505 hr
$12625
0

l. Application for replacement of certificates, permits, or licenses
This form allows for replacement of Certificates, Permits, or Licenses in the IFQ program as
well as replacement of all other management programs permits or licenses offered by NMFS
Alaska Region.
Application for replacement of certificates, permits, or licenses
Block A – Identification of Applicant
Name, date of birth, NMFS Person ID
Business mailing address (indicate whether temporary or permanent)
Business telephone number, business fax number, and business e-mail address
Block B – Replacement Request
Indicate certificates, permits, or licenses to be replaced (check only items that apply)
Part I – BSAI Crab Permits and Scallop Permits
Crab QS Reports
Units and Fishery
Indicate whether this QS Report is requested for a pending QS/IFQ transfer
Crab PQS Report
Units and Fishery
Indicate whether this PQS Report is requested for a pending PQS/IFQ transfer
Crab Annual IFQ Fishing Permit: Permit Number
Crab Annual IPQ Fishing Permit: Permit Number
Registered Crab Receiver: Permit Number
Crab Federal Vessel Permit
Permit Number and Vessel ADF&G Number
Crab IFQ Hired Master Permit
Permit Number and Skipper Name
Crab QS or PQS Transfer Eligibility Certificate
Crab License Limitation License (LLP): License Number
Scallop License Limitation License (SLLP): License Number

19

PART II – Pacific Halibut and Sablefish IFQ Program Permits
Halibut/Sablefish QS Certificate
Units, Area, and Species
Indicate whether this QS Certificate is requested for pending QS/IFQ transfer
Halibut/Sablefish IFQ Fishing Permit: Permit Number
Halibut/Sablefish IFQ/CDQ hired master permit for individual permit holder
Permit Number and Species
Halibut/Sablefish Transfer Eligibility Certificate (TEC): NMFS Person ID
Registered Buyer Permit: Permit Number
PART III – Federal Groundfish Permits
Federal Fisheries Permit (FFP): Permit Number
Federal Processor Permit (FPP):
Permit Number
Vessel ADF&G Number (if stationary floating processor)
Groundfish License Limitation License (LLP)
American Fisheries Act (AFA) Inshore Cooperative: Permit Number
AFA Catcher Vessel Permit:
Permit Number
Vessel USCG No., ADF&G No., and Name
AFA Catcher/Processor Permit
Permit Number
Vessel USCG No., ADF&G No., and Name
AFA Inshore Processor: Permit Number
AFA Mothership:
Permit Number
Vessel USCG No., ADF&G No., and Name
PART IV – Halibut Subsistence
Subsistence Halibut Registration Certificate (SHARC)
Tribal SHARC Number
Rural Resident SHARC Number
Subsistence Halibut Ceremonial Permit: Permit Number
Block C – Reason for replacement Request
Check one; if checked “other” describe
Block D – Certification of Applicant
Signature and printed name of applicant and date signed
If completed by authorized agent, attach authorization
Signature, commission expiration date, and stamp of notary public

The number of replacement requests currently is estimated to be 300 for IFQ permits, and 250 for the
other permits. No records are kept of the requests.
Application for Replacement of Certificates, Permits, or
Licenses, Respondent
Estimated number of respondents
550
Total annual responses
550
Number of responses per year = 1
Total Time burden (550 x 0.5)
275 hr
Time per response = 0.5 hr
Total personnel cost (275 x$25)
$6,875
Total miscellaneous cost (3030.50)
$3,031
Postage (0.41 x 550= 225.50)
Photocopy (0.10 x 550 = 55)
Notary (5 x 550 = 2750)

20

Application for Replacement of Certificates, Permits, or
Licenses, Federal Government
Total annual responses
550
Total Time burden (550 x 0.5)
275 hr
Time per response = 0.5 hr
Total personnel cost (275 x$25)
$6,875
Total miscellaneous cost
0

m. Request for Automated Transaction Terminal/Printer [REMOVED]
n. IFQ Administrative Waiver
A request for an administrative waiver is received by telephone at a Government-provided tollfree number (or, in rare cases, by marine radio) from fishermen participating in IFQ fisheries.
No form exists for this item. A waiver is completed by NMFS, Office of Law Enforcement
(OLE), Juneau to document a request for an administrative waiver from one of the following
requirements. The waiver is granted at the discretion of the clearing officer:
♦ Six-hour Prior of Notice of Landing: issued to a vessel to land fish before the required 6
hours
♦ 12-hour IFQ Landing Window: issued to a vessel that lands fish after hours: after 1800
and before 0600.
♦ Electronic Landing Report requirement -- issued due to eLandings failure.
♦ IFQ hired master onboard requirement -- issued for the IFQ hired master to not be on
board in extreme personal emergencies.
IFQ Administrative Waiver
Toll-free telephone call to OLE; completed by OLE
Date and time of waiver
Vessel name and ADF&G vessel registration number
All IFQ permit numbers
Prior Notice confirmation number (if applicable)
Registered Buyer name and permit number (if applicable)
Requirement being waived.

IFQ administrative waivers were issued as follows: 2004, 726; 2005, 757; 2006, 720; and 2007, 772.
The rounded-up number used in the analysis is 745.
IFQ Administrative Waiver, Respondent
Estimated number of respondents
Total annual responses
Number of responses per year
Total Time burden (745 x 0.1)
Time per response = 0.1 hr (6 min)
Total personnel cost (75 x$25)
Total miscellaneous cost

21

745
745
75 hr
$1,875
0

IFQ Administrative Waiver, Federal Government
Total annual responses
745
Total Time burden (745 x 0.1)
Time per response = 0.1 hr
75 hr
Total personnel cost (75 x$25)
$1875
Total miscellaneous cost
0

o. Prior Notice of Landing (PNOL)
The objective of the PNOL is to provide the IPHC monitoring personnel and NMFS, Office for
Law Enforcement (OLE) personnel advance notice of vessel IFQ landings. Unless an
administrative waiver is granted by a clearing officer, no fewer than three hours prior to making
an IFQ landing, the operator of any vessel intending to make a landing of IFQ halibut, CDQ
halibut, or IFQ sablefish must submit a PNOL to OLE. The PNOL alerts OLE of legal landings
and allows monitoring personnel to query the IFQ data center to determine if the permit holder
has enough IFQ pounds available in the account to cover the amount being landed and to afford
the opportunity to observe the offload. No form exists for this item.
A PNOL is submitted to OLE by toll-free telephone number 800-304-4846 or 1-907-586-7163
between the hours of 0600 hours, Alaska Standard Time (AST), and 2400 hours, AST
The operator of any vessel wishing to make an IFQ landing before the date and time (AST)
reported in the PNOL or later than 2 hours after the date and time (AST) reported in the PNOL
must submit a new PNOL.
Data on gear type are necessary to ensure compliance with the PNOL requirement, because some
reporting exemptions are gear-based. Also, such data are used by the International Pacific
Halibut Commission to assist with harvest monitoring, and by NMFS and the Council to show
gear use, project bycatch rates for non-IFQ fish in the IFQ fishery, and to support analyses for
seasonal apportionments and other allocation proposals.
Prior notice of landing (PNOL)
Toll-free telephone call to OLE
Vessel name and ADF&G vessel registration number
Landing information
Port of landing
Exact location of landing within the port
(dock name, harbor name, facility name, or geographical coordinates)
Date and time that the landing will take place
Estimated halibut weight
Estimated sablefish weight
IFQ regulatory area(s) in which the IFQ halibut or IFQ sablefish were harvested;
IFQ or CDQ permit number(s) that will be used to land the IFQ halibut or IFQ sablefish
Gear type reported by the hired master

PNOL were submitted as follows: 2004, 8012; 2005, 9154; 2006, 9068; and 2007, 9854. The average of
these four years is used, 9022. The number used below is 9000. Each IFQ permit holder must submit a
PNOL prior to landing. The number of IFQ permit holders is different from the number of permits; some
people have multiple IFQ permits. Currently, there are approximately 2,250 active IFQ fishermen.

22

Prior notice of landing, Respondent
Estimated number of respondents
Total annual responses
Number of responses per year = 4
Total Time burden (9000 x 0.2)
Time per response = 0.2 hr
Total personnel cost (1800 x$25)
Total miscellaneous cost

2250
9,000
1,800 hr
$45,000
0

Prior notice of landing, Federal Government
Total annual responses
9000
Total Time burden (9000 x 0.2)
1,800 hr
Time per response = 0.2 hr
Total personnel cost (1800 x$25)
$45,000
Total miscellaneous cost
0

p. Electronic Landing report
The IFQ hired master must initiate a landing report of sablefish and halibut landed upon arrival
at the dock by using his or her own magnetic card and personal identification number (PIN). A
properly concluded transaction terminal receipt or manual landing report receipt received by
FAX from OLE, Juneau, constitutes confirmation that NMFS received the landing report and
that the cardholder’s account was properly debited. After the Registered Buyer enters the
landing data in the transaction terminal and a receipt is printed, the IFQ hired master must sign
the receipt. Legible copies of the receipt must be retained by both the Registered Buyer and the
IFQ hired master.
The automated template module (ATM) information is automatically provided to the NMFS
database for timely fishery monitoring driven by custom-designed software, provided and/or
specified by NMFS, Alaska Region. The ATMs are equipped with printers so that copies of the
transaction are available for the Registered Buyer. Some information is automatically derived
from the IFQ card, CDQ halibut card, or the IFQ/CDQ database when the ATM procedure is
used. This electronic system enables immediate confirmation that adequate IFQ pounds exist in
the account to cover the landing and affords the cardholder instant access to updated account
information.
The fish ticket number provides important management information. ADF&G vessel number is
used for enforcement of the regulations imposing a cap on the amount of IFQ that may be used
by any one vessel. The ADF&G statistical area information is needed so that the fisherman may
verify that IFQ species were harvested only in areas for which cardholders making the landing
have IFQ. Information on gear-type is necessary to distinguish long-liners from trollers, who in
certain instances are exempt from the Six-hour Prior Notice of IFQ Landing Requirement and the
12-hour IFQ landing window.
The ATM system with card swipe was replaced completely by use of Internet reporting February
2005.
Electronic landing report
Date and time (AST) of landing
Location of IFQ landing (port code or if at sea, latitude and longitude)
Name, permit number, and PIN number of IFQ hired master or CDQ hired master

23

Name, permit number, and password of Registered Buyer receiving the IFQ halibut, IFQ sablefish,
or CDQ halibut
Harvesting vessel’s name and ADF&G vessel registration number
Initial accurate scale weight (lb or nearest 0.001mt) with or without ice and slime
at the time of offloading
Gear code used to harvest IFQ species
ADF&G statistical area of harvest
Species and product codes
ADF&G Fish ticket number
If vessel operator is the Registered Buyer reporting the landing, accurate weight of IFQ sablefish processed
product obtained before the offload may be substituted for the initial accurate scale weight
Registered Buyer and IFQ hired master or CDQ hired master must sign printed receipt
Manual landing report
If a waiver from use of an electronic landing report is granted by OLE, Juneau, AK, the manual landing report must
contain the following information
Whether manual landing report is original or revised
Date, time, and location (lat and long if at sea) of the IFQ landing
Name of the IFQ hired master and Registered Buyer
Halibut IFQ/CDQ permit number, Sablefish IFQ/CDQ Permit No., and Registered Buyer permit number
Harvesting vessel’s name, ADF&G vessel registration number, and gear code
ADF&G statistical area of harvest
If ADF&G statistical area is bisected by a line dividing two IFQ regulatory areas, the IFQ regulatory area
of harvest reported by the IFQ cardholder
For each ADF&G statistical area
Whether ice and slime is present
Whether halibut is incidental
Alaska State fish ticket number(s)
Species code and product code,
Product weight sold (lb), and
Product weight retained (lb)
Registered Buyer signature, FAX number, and contact number
IFQ/CDQ hired master’s signature
NMFS Enforcement signature
Electronic Landing Report, Respondent
Estimated number of respondents
Total annual responses
Number of responses per year = 15
Total Time burden (33750 x 0.3)
Time requirement for each report = 0.3 hr
Total personnel cost (10125 x$25)
Total miscellaneous cost
33,700 Internet submittal ($0.5 x 33,700=16850)
50 FAX submittal ($6 x 50=300)
Electronic Landing Report, Federal Government
Total annual responses
Total Time burden (33750 x 0.1)
Time requirement for each report = 0.1 hr
Total personnel cost (3375 x$25)
Total miscellaneous cost

2250
33,750
10,125 hr
$253,125
$17,150

33,750
3375 hr
$84,375
0

q. IFQ Departure Report
The IFQ Departure Report may be submitted only after completion of all IFQ fishing and prior to
departing the waters of the EEZ adjacent to the jurisdictional waters of the State of Alaska, the
territorial sea of the State of Alaska, or the internal waters of the State of Alaska. If intending to
24

make an IFQ landing at any location other than in an IFQ regulatory area or in the State of
Alaska, the vessel operator must submit an IFQ Departure Report to OLE by toll-free telephone.
IFQ Departure report
Intended date, time (AST), and location of landing
Vessel name and ADF&G vessel registration number
Halibut IFQ, halibut CDQ, and Sablefish IFQ permit numbers
Vessel operator’s name and IFQ Registered Buyer permit number
Estimated total weight of IFQ halibut or CDQ halibut on board (lb/kg/mt)
Estimated total weight of IFQ sablefish on board (lb/kg/mt)
Halibut Regulatory Areas or Sablefish Regulatory Areas of harvest or both

IFQ Departure Reports were submitted as follows: 1996, 198; 1997, 147; 1998, 180; 1999, 156;
2000, 91; 2001, 72; 2002, 61; 2003, 60; 2004, 62; 2005, 65; 2006, 54; and 2007, 70. The rounded-up
average of the last four years is used in the analysis, 63.
IFQ Departure Report, Respondent
Estimated number of respondents
Total annual responses
Number of responses = 1
Total Time burden (63 x 0.25 = 15.75)
Time per response = 0.25 hr (15 min.)
Total personnel cost (16 x$25)
Total miscellaneous cost
IFQ Departure Report, Federal Government
Total annual responses
Total Time burden (63 x 0.25)
Time per response = 0.25 hr
Total personnel cost (16 x$25)
Total miscellaneous cost

63
63
16 hr
$400
0

63
16 hr
$400
0

r. Transshipment Authorization
If a person intends to transship processed IFQ halibut, IFQ sablefish, or CDQ halibut between
vessels, authorization from an OLE clearing officer to do so must be obtained for each instance
of transshipment. The authorization is requested from OLE by telephone at 1-800-304-4846.
The request should be made at least 24 hr before the transshipment is intended to commence.
Transshipment authorization
Time, date, and location of transshipment
Vessel name and ADF&G vessel registration number transshipment from
Vessel name transshipment to
Product destination
Registered Buyer name and number
IFQ/CDQ permit numbers
Species and Product type codes and product weight of transshipment
Request date and time
Requestor’s name, telephone number and fax number

Transshipment Authorization were issued as follows: 1999, 20; 2000, 26; 2001, 26; 2002, 19; 2003, 11;
2004, 5; 2005, 7; 2006, 11; and 2007, 15. The rounded-up average of the last four years is used in the
analysis, 10.

25

Transshipment Authorization, Respondent
Estimated number of respondents
Total annual responses
Number of responses per year = 1
Total Time burden (10 x 0.2)
Time per response = 0.2 hr
Total personnel cost (2 x$25)
Total miscellaneous cost

10
10
2 hr
$50
0

Transshipment Authorization, Federal Government
Total annual responses
10
Total Time burden (10 x 0.2)
2 hr
Time per response = 0.2 hr
Total personnel cost (2 x$25)
$50
Total miscellaneous cost
0

s. Dockside sales receipt
A person holding a valid IFQ permit, IFQ hired master permit, and Registered Buyer (RB)
permit may conduct a dockside sale of IFQ halibut or IFQ sablefish to a person who has not been
issued a Registered Buyer permit and must issue a dockside sales receipt in lieu of a shipment
report. The purpose of reporting the amount of IFQ fish involved in a dockside sale is to provide
OLE with the ability to monitor and inspect the shipment of IFQ fish to determine whether there
was proper accounting for all IFQ fish landed.
Dockside sales receipt
Date of sale or transfer
Registered buyer permit number
Fish product weight of the IFQ sablefish or IFQ/CDQ halibut transferred to each individual
Species code
Product type
Number of shipping units
Name of shipper
Details of the shipping means and route
Confirmation number issued by the credit card transaction

The estimated number of dockside Sales Receipts in 2007 is 235, based on a count of IFQ landings and
CDQ halibut landings received from RB permit holders as catcher-sellers.
Dockside Sales Receipt, Respondent
Estimated number of respondents
Total annual responses
Number of responses per year = 5
Total Time burden (1175 x 0.1 = 117.50)
Time per response = 0.1 hr
Total personnel cost (118 x$25)
Total miscellaneous cost
Dockside Sales Receipt, Federal Government
Total annual responses
Total Time burden
Total personnel cost
Total miscellaneous cost

26

235
1175
118 hr
$2,950
0

0
0
0
0

t. CQE Annual Report
Each CQE must submit an annual report by January 31 summarizing halibut and sablefish IFQ
activities for the prior fishing year, for each community represented by the CQE to NMFS and to
the governing body. This report will provide NMFS and the community with a means of
assessing the efficacy of the program on an annual basis and during the 5 year review scheduled
for this program. Much of the information on this report will be available for participants
through a review of the CQE records and should not require extensive new data collection or
gathering. A complete annual report must contain the following information:
CQE Annual Report
Identification of the eligible community, or communities, being represented by the CQE (optional);
Total amount of halibut QS and sablefish QS held by the CQE at the start of the calendar
year and at the end of the calendar year (optional);
Total amount of halibut QS and sablefish QS held by the CQE at the start of the calendar year and at the
end of the calendar year (optional)
Total amount of halibut and sablefish IFQ leased from the CQE (optional);
Name, business addresses, and amount of halibut and sablefish IFQ
received by each individual to whom the CQE leased IFQ (optional).
Name, ADF&G vessel registration number, USCG documentation number, length overall, and homeport of
each vessel from which the IFQ leased from community owned QS was fished.
Name and business addresses of those individuals employed as crew members when
fishing the IFQ derived from the QS held by the CQE.
Detailed description of the criteria used by the CQE to distribute IFQ leases among eligible community
residents;
Description of efforts made to employ crew members who are eligible community residents of the eligible
community aboard vessels on which IFQ derived from QS held by a CQE is being fished;
Description of the process used to solicit lease applications from eligible community residents of the eligible
community on whose behalf the CQE is holding QS;
Names and business addresses and amount of IFQ requested by each individual applying to receive
IFQ from the CQE
Any changes in the bylaws of the CQE, board of directors, or other key management personnel
Copies of minutes and other relevant decision making documents from CQE board meetings
The number of vessels that fished for IFQ derived from QS held by a CQE (optional)

The current number of CQEs is 20, down from the previous estimate of 42.
CQE Annual Report, Respondent
Estimated number of respondents
Total annual responses
Number of responses per respondent = 1
Total Time burden (20 x 40)
Time per response = 40 hr
Total personnel cost (800 x $50)
Total miscellaneous cost
Postage ($5 x 20 = 100)
Photocopy (0.10 x 20 x 10 = 20)

27

20
20
800 hr
$40,000
$120

CQE Annual Report, Federal Government
Total annual responses
Total Time burden (20 x 20)
Time per response = 20 hr
Total personnel cost (400 x $25)
Total miscellaneous cost

20
400 hr
$10,000
0

u. Approval of Transfer from governing body of the eligible community
As part of the transfer application, the governing body of the eligible community must provide
an authorization for the transfer (see 2i, above). This authorization is intended to ensure that the
community is fully aware of the transfer. Certain restrictions apply to future transfers if the
transfer of QS is for a reason other than to sustain, improve, or expand the program (i.e., the
CQE would be prohibited from holding QS on behalf of that community for a period of three
years, and the CQE must divest itself of all QS held on behalf of that community).
Approval of Transfer from Governing Body, Respondent
Estimated number of respondents
20
Total annual responses
40
Number of responses per respondent = 2
Total Time burden (40x 0.5)
20 hrs
Time per response = 0.5 hr
Total personnel cost (20 x $25)
$500
Total miscellaneous cost
$20
Postage ($0.41 x 40 = 16.40)
Photocopy (.10 x 2 x 20 = 4)
Approval of Transfer from Governing Body, Federal
Government
Total annual responses
40
Total Time burden
10 hr
Time per response = 0.25 hr
Total personnel cost (10 x $25)
$250
Total miscellaneous cost
0

It is anticipated that the information collected will be disseminated to the public or used to
support publicly disseminated information. As explained in the preceding paragraphs, the
information gathered has utility. NMFS will retain control over the information and safeguard it
from improper access, modification, and destruction, consistent with National Oceanic and
Atmospheric Administration (NOAA) standards for confidentiality, privacy, and electronic
information. See response #10 of this Supporting Statement for more information on
confidentiality and privacy. The information collection is designed to yield data that meet all
applicable information quality guidelines. Prior to dissemination, the information will be
subjected to quality control measures and a pre-dissemination review pursuant to Section 515 of
Public Law 106-554.
3. Describe whether, and to what extent, the collection of information involves the use of
automated, electronic, mechanical, or other technological techniques or other forms of
information technology.
Forms and applications are “fillable” on the computer screen at the NMFS Alaska Region Home
Page at www.alaskafisheries.noaa.gov, except for those forms completed by OLE officers.
28

These forms and applications may be completed on the computer screen by the participant,
downloaded, printed, and faxed to NMFS.
4. Describe efforts to identify duplication.
None of the information collected as part of this information collection duplicates other
collections. This information collection is part of a specialized and technical program that is not
like any other.
5. If the collection of information involves small businesses or other small entities, describe
the methods used to minimize burden.
This collection of information does not impose a significant impact on small entities.
6. Describe the consequences to the Federal program or policy activities if the collection is
not conducted or is conducted less frequently.
Without the specified reporting scheme described in this Support Statement, the IFQ Program
would be unable to proceed.
The lack of adequate information to manage the IFQ program would result in the fishery
management decision-making process being less objective, more political, and potentially less
equitable. This would decrease the credibility of the fishery management process and result in
an unnecessarily costly and ineffective management system. The cost of making decisions based
on inadequate information would adversely affect the viability of the IFQ fishing industry.
7. Explain any special circumstances that require the collection to be conducted in a
manner inconsistent with OMB guidelines.
Information is required annually or as frequently as vessels choose to transfer IFQ halibut, IFQ
sablefish, or CDQ halibut.
8. Provide information on the PRA Federal Register Notice that solicited public comments
on the information collection prior to this submission. Summarize the public comments
received in response to that notice and describe the actions taken by the agency in response
to those comments. Describe the efforts to consult with persons outside the agency to
obtain their views on the availability of data, frequency of collection, the clarity of
instructions and recordkeeping, disclosure, or reporting format (if any), and on the data
elements to be recorded, disclosed, or reported.
A Federal Register notice, published November 8, 2007 (72 FR 63166), solicited public
comments on the information collection. No comments were received.
9. Explain any decisions to provide payments or gifts to respondents, other than
remuneration of contractors or grantees.
No payment or gift will be provided under this program.

29

10. Describe any assurance of confidentiality provided to respondents and the basis for
assurance in statute, regulation, or agency policy.
The information collected is confidential under section 303(d) of the Magnuson-Stevens Act (16
U.S.C. 1801 et seq.); and also under NOAA Administrative Order (AO) 216-100, which sets
forth procedures to protect confidentiality of fishery statistics. Assurance of confidentiality
under these authorities is stated on all forms.
A Privacy Act System of Records Notice, COMMERCE/NOAA System-17, Permits and
Registrations for Fisheries of the Exclusive Economic Zone (EEZ) off the Coast of Alaska was
published in the Federal Register on March 3, 2005 (72 FR 10362).
A new Privacy Act System of Records Notice, COMMERCE/NOAA System-19, Permits and
Registrations for United States Federally Regulated Fisheries, was published for comment on
April 17, 2008 (73 FR 20914). If no comments need to be addressed, it is expected that the
system will become effective by the end of May, 2008. At that time, this System of Records will
supersede COMMERCE/NOAA System-17.
11. Provide additional justification for any questions of a sensitive nature, such as sexual
behavior and attitudes, religious beliefs, and other matters that are commonly considered
private.
This information collection does not involve information of a sensitive nature.
12. Provide an estimate in hours of the burden of the collection of information.
Estimated total respondents: 2,470, down from 2,877. Estimated total responses: 49,538, up
from 38,273. Estimated total burden hours: 20,364, up from 15,750. Estimated total personnel
costs: $704,100, up from $393,750. Personnel labor costs are estimated to the average wage
equivalent to a GS-9 employee in Alaska, including COLA, at $25 per hour.
13. Provide an estimate of the total annual cost burden to the respondents or recordkeepers resulting from the collection (excluding the value of the burden hours in #12
above).
Estimated total miscellaneous costs: $38,727, down from $44,491.
14. Provide estimates of annualized cost to the Federal government.
Estimated total burden hours: 8,164, up from 7,258 hours. Estimated total personnel costs:
$204,750, up from $181,450. Personnel labor costs are estimated to the average wage equivalent
to a GS-9 employee in Alaska, including COLA, at $25 per hour.

30

15. Explain the reasons for any program changes or adjustments reported in Items 13 or
14 of the OMB 83-I.
Adjustments are necessary as follows due to differences in numbers of respondents and in costs:
Request for Application for Quota Share (Forms A through D) [REMOVED]
a decrease of 6 respondents and responses, 0 instead of 6
a decrease of 6 hr burden, 0 instead of 6 hr
a decrease of $150 personnel costs, $0 instead of $150
a decrease of $3 miscellaneous costs, $0 instead of $3
Request for Automated Transaction Terminal/Printer (ATM) [REMOVED]
a decrease of 10 respondents and responses, 0 instead of 10
a decrease of 2 hr burden, 0 instead of 2 hr
a decrease of $50 personnel costs, $0 instead of $50
a decrease of $5 miscellaneous costs, $0 instead of $5
IFQ/CDQ hired master permit (formerly IFQ/CDQ landing card) application
a decrease of 250 respondents and responses, 750 instead of 1,000
a decrease of 125 hr burden, 375 instead of 500 hr
a decrease of $3,125 personnel costs, $9,375 instead of $12,500
a decrease of $1,337 miscellaneous costs, $4,133 instead of $5,470
Registered buyer application
a decrease of 1,100 respondents and responses, 500 instead of 1,600
a decrease of 550 hr burden, 250 instead of 800 hr
a decrease of $13,750 personnel costs, $6,250 instead of $20,000
a decrease of $4,438 miscellaneous costs, $255 instead of $4,693
Application for Eligibility to receive QS/IFQ (TEC)
an increase of 1,000 respondents and responses, 1200 instead of 200
an increase of 2,000 hr burden, 2400 instead of 400 hr
an increase of $50,000 personnel costs, $60,000 instead of $10,000
an increase of $5,518 miscellaneous costs, $6612 instead of $1094
Application for Transfer of QS/IFQ
an increase of 10 respondents and responses, 1,010 instead of 1,000
an increase of 20 hr burden, 2,020 instead of 2,000 hr
an increase of $500 personnel costs, $50,500 instead of $50,000
an increase of $98 miscellaneous costs, $5,868 instead of $5,770
Application of Transfer from Governing Body
A decrease of $11 miscellaneous costs, $20 instead of $31
Application for replacement of certificates, permits, or licenses
a decrease of 500 respondents and responses, 550 instead of 1,050
a decrease of 240 hr burden, 275 instead of 515 hr

31

a decrease of $6,000 personnel costs, $6,875 instead of $12,875
a decrease of $2,758 miscellaneous costs, $3,031 instead of $5,789
Application to become a CQE
a decrease of 35 respondents, 7 instead of 42
a decrease of 192 responses, 8 instead of 200
a decrease of 280 hr burden, 1,400 instead of 1,680 hr
a decrease of $42,000 personnel costs, $210,000 instead of $252,000
an increase of $30 miscellaneous costs, $44 instead of $14
Application for Transfer of QS/IFQ to or from a CQE
a decrease of 22 respondents, 20 instead of 42
a decrease of 44 responses, 40 instead of 84
a decrease of 88 hr burden, 80 instead of 168 hr
a decrease of $2,200 personnel costs, $2,000 instead of $4,200
a decrease of $261 miscellaneous costs, $224 instead of $485
CQE Annual Report
a decrease of 22 respondents and responses, 20 instead of 42
a decrease of 880 hr burden, 800 instead of 1,680 hr
a decrease of $44,000 personnel costs, $40,000 instead of $84,000
a decrease of $300 miscellaneous costs, $120 instead of $420
Letter of Appeal
Corrected multiplication error in respondent calculation
Corrected error in cost per hour for Federal government calculation
an increase of $100 personnel costs, $200 instead of $100
an increase of $1 miscellaneous costs, $1 instead of $0
QS/IFQ Designated Beneficiary Form
an increase of $20 miscellaneous costs, $305 instead of $285
QS holder form: Identification of Ownership Interest and Status Update
an increase of 150 respondents and responses, 175 instead of 25
an increase of 300 hr burden, 350 instead of 50 hr
an increase of $7,500 personnel costs, $8,750 instead of $1,250
an increase of $827 miscellaneous costs, $964 instead of $137
Annual Updates on the Status of Corporations and Partnerships QS [REMOVED]
a decrease of 500 respondents and responses, 0 instead of 500
a decrease of 250 hr burden, 0 instead of 250 hr
a decrease of $1,250 personnel costs, $0 instead of $1,250
a decrease of $360 miscellaneous costs, $0 instead of $361
IFQ Administrative Waiver
a decrease of 267 respondents and responses, 745 instead of 1,012
a decrease of 27 hr burden, 75 instead of 103 hr
a decrease of $675 personnel costs, $1875 instead of $2550
32

IFQ Electronic Landing Report
an increase of 1,208 respondents, 2,250 instead of 1,042
an increase of 18,120 responses, 33,750 instead of 15,630
an increase of 5,436 hr burden, 10,125 instead of 4,689 hr
an increase of $135,900 personnel costs, $253,125 instead of $117,225
a decrease of $1,630 miscellaneous costs, $17,150 instead of $18,780
IFQ Prior Notice of Landing (PNOL)
an increase of 1,208 respondents, 2,250 instead of 1,042
a decrease of 1,420 responses, 9,000 instead of 10,420
a decrease of 284 hr burden, 1,800 instead of 2,084 hr
a decrease of $7,100 personnel costs, $45,000 instead of $52,100
Departure Report
A decrease of 7 respondents and responses, 63 instead of 70
A decrease of 2 hr burden, 16 instead of 18 hr
A decrease of $50 personnel costs, $400 instead of $450
Transshipment Authorization
a decrease of 20 respondents and responses, 10 instead of 30
a decrease of 4 hr burden, 2 hr instead of 6 hr
a decrease of $100 personnel costs, $50 instead of $150
Dockside Sales Receipt
a decrease of 765 respondents, 235 instead of 1,000
a decrease of 3,825 responses, 1,175 instead of 5,000
a decrease of 382 hr burden, 118 hr instead of 500 hr
a decrease of $9,550 personnel costs, $2,950 instead of $12,500
The above changes account for all but 24 responses and 22 hours of the differences from current
responses and hours. This discrepancy is attributed to cumulative small errors.
16. For collections whose results will be published, outline the plans for tabulation and
publication.
The information collected will not be published, and no statistical sampling of the information is
planned.
17. If seeking approval to not display the expiration date for OMB approval of the
information collection, explain the reasons why display would be inappropriate.
In accordance with OMB requirements, the control number and the expiration date of OMB
approval are shown on the application forms. They are not found, however, on the
Administrative Waiver, PNOL, Departure Report, Transshipment Authorization, and Dockside
Sales Receipt which are submitted by telephone. The CQE Annual Report also does not have the
expiration date because it is not a form.

33

18. Explain each exception to the certification statement identified in Item 19 of the
OMB 83-I.
No exceptions.

B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS
This collection does not employ statistical methods.

34