Federal Northeast Region Seafood Dealer Permit Applicati

United States Department of Commerce
National Oceanic and Atmospheric Administration
National Marine Fisheries Service
Northeast Region
One Blackburn Drive
Gloucester, MA 01930
November 20, 2007
Dear Federal Northeast Seafood Dealer Permit Applicant:
Enclosed is a Federal Northeast Seafood Dealer Permit Application for permit year 2008 (January 1, 2008 –
December 31, 2008). A list of the species that require a Federal Northeast seafood dealer permit (NE dealer
permit) are listed on the reverse side of this letter. All dealers of species covered under a Federal Fisheries
Management Plan (FMP) or dealers purchasing from vessels permitted in the NE region, must have been
issued and have in their possession, a valid NE dealer permit for that species. All dealers must submit
detailed reports electronically for all receipts and purchases, with the exception of dealers holding only a NE
dealer permit for American lobster and/or Atlantic tunas.
Dealers who purchase Highly Migratory Species (HMS), specifically Atlantic bigeye, albacore, yellowfin, and
skipjack (BAYS) tunas, Atlantic shark, and/or Atlantic swordfish, must report these species electronically if
permits for NE species requiring electronic reporting are also held. If dealers do not have NE permits, reports
for HMS should be submitted to the local port agent or call John Mahoney at (508) 984-0063 if you have any
questions. Atlantic tuna dealers who purchase or receive domestic bluefin tuna have separate reporting
requirements. Call (978) 281-9140 if you have questions regarding bluefin tuna reporting.
¾

Existing dealers (Part 1, below) - If you already have a NE dealer permit, enclosed is a pre-printed
application.

¾

New dealers (Part 2, reverse side) – If you are a new seafood dealer and have not been issued a NE
dealer permit previously, an initial NE dealer permit application is enclosed.

¾

Federally regulated species (Part 3, reverse side) – A list of species that require a NE dealer permit.

Part 1
Information for existing dealers on renewing permits
To renew your NE dealer permit or to make a change to your existing NE dealer permits you must submit a
complete application, including all required reports, to Northeast Permits Operations. Enclosed is a preprinted application which is based on the most recent NE dealer permits issued to you.
™ To add a fishery not currently held, mark an “X” next to the desired fishery permit on the application.
™ To cancel a fishery which you currently hold, write “cancel” next to each fishery permit that you wish to
cancel.
Instructions for completing the NE dealer permit renewal application are enclosed. In most cases, the
answers to commonly asked application questions can be found in the instructions.
Application requirements
You must submit a complete and accurate application. All required receipt, purchase and Processed Products
reports must be received and accepted by NOAA Fisheries before we can issue you a NE dealer permit. NOAA
Fisheries will notify you by mail if your application is not complete and/or required reports have not been
received.

Part 2
Information for new dealers (initial applications)
To apply for NE dealer permits you must submit an initial application to Northeast Permits Operations.
Enclosed is an initial NE dealer permit application along with detailed instructions for completing the
application. In most cases, the answers to commonly asked application questions can be found in the
instructions. For information on Federal dealer permits for the South Atlantic and Gulf (including sharks and
swordfish), call (727) 824-5326.
Application requirements
You must submit a complete and accurate application before we can issue you a NE dealer permit. We will
notify you by mail if your application is not complete.

Part 3

List of regulated species requiring a NE dealer permit
American lobster
Northeast Multispecies continued NE Skate continued Atlantic bluefish
Atlantic Cod
Clearnose skate
Atlantic deep-sea red crab
Atlantic halibut
Little skate
Atlantic herring
Haddock
Rosette skate
Atlantic mackerel
Offshore hake
Smooth skate
Atlantic sea scallop
Ocean Pout
Thorny skate
Atlantic tunas Pollock
Winter skate
Atlantic bluefin tuna
Redfish (ocean perch)
Squids Albacore tuna
Red hake (ling)
Illex squid
Bigeye tuna
Silver hake (whiting)
Loligo squid
Skipjack tuna
White hake
Ocean quahog
Yellowfin tuna
Windowpane flounder (sand dab)
Scup
Black sea bass
Winter flounder (blackback)
Spiny dogfish
Butterfish
Witch flounder (grey sole)
Summer flounder

Monkfish
Northeast Multispecies American plaice (dab)

Yellowtail flounder
Northeast Skate complex
Barndoor skate

Surfclam
Tilefish
Atlantic Hagfish

Highly Migratory Species (HMS) International Trade Permit (ITP): Dealers that trade bluefin tuna,
swordfish, southern bluefin tuna, or frozen bigeye tuna internationally are required to obtain an HMS ITP.
Information on the HMS ITP can be found at: www.nmfs.noaa.gov/sfa/hms or by calling (727) 824-5326.
Follow the instructions carefully. Failure to meet all of the requirements of the application will
delay the issuance of your permit. If you have further questions regarding your dealer application,
contact Northeast Permit Operations at 978-281-9370.
Sincerely,

Enclosures

Ted Hawes, Team Lead
Northeast Permit Operations

NATIONAL MARINE FISHERIES SERVICE
Northeast Regional Office / Fisheries Statistics Office
Application Instructions
Federal Fisheries Dealer Permit
Mail completed application packages to: National Marine Fisheries Service (NOAA Fisheries Service),
Northeast Permit Operations, One Blackburn Drive, Gloucester, MA 01930-2298. Note: There is a 30-day
processing period for all application packages. This 30-day processing period begins when a correct and
complete application package, including all required reports, is received in the NMFS Northeast (NE)
Permit Operations Office. Failure to provide the required information will delay processing of your dealer
permit.
For further information, call Northeast Permits Operations at (978) 281-9370

¾ Section 1 - Dealer Information
If you already have a NE dealer permit, enclosed is a pre-printed application, which is partially completed
for you.
If you are a new seafood dealer and have not been issued a NE dealer permit previously, an initial NE
dealer permit application is enclosed.
If you are applying for an Atlantic Mackerel or Atlantic Herring at Sea Processor permit, you must enter a
vessel name and hull number where indicated and include a copy of the vessel’s current Coast Guard
Documentation or State Registration.
Before submitting your application, review the dealer information placed in Section 1 to ensure it is
correct. Make any corrections on the lines provided. It is important to include your Southeast Dealer
Permit Number in Section 1 if you have been issued a dealer permit by the Southeast Region of NOAA
Fisheries Service.

¾ Section 1A - Additional Dealer Information
You must provide the address of each place of business where you purchase or receive the regulated
species for commercial purposes.
If regulated species are purchased or received for commercial purposes at more than one place of
business, each address must be listed on the application. Space is available on the back of the dealer
permit application form for the required listing of additional addresses.

¾ Section 2 - Selected Fisheries
If not already marked, place an ‘X’ next to each of the fisheries for which you are requesting a Federal
Fisheries Dealer Permit.

¾ Section 3 – Applicant’s Signature
Before mailing, carefully review the application form for accuracy and completeness. Sign and date the
application in Section 3 and return it to the address listed above.

Revised: November 7, 2007

OMB# 0648-0202

Expiration Date: November 30, 2009

Corporation, Partnership and Sole Proprietorship Information
Corporations
All dealer corporations submitting an initial application package must insure that it includes a copy of the
certificate of incorporation showing officers and shareholders owning 25% or more of the shares of the
corporation.
All dealer corporations submitting a renewal application package must insure that it includes information
listing all current officers, along with their addresses, and shareholders owning 25% or more of the shares
of the corporation, along with their addresses.
Partnerships
All dealer partnerships submitting an initial application package must insure that it includes a copy of the
partnership agreement.
All dealer partnerships submitting a renewal application package must insure that it includes a list of
the names and addresses of all current partners.
Sole Proprietorships
All dealer applicants who will be operating under a sole proprietorship must submit, with your initial
application only, a statement in writing that you are operating under a sole proprietorship and that the
business is not owned by a corporation or by a partnership.

Dealer Reports
An application is complete when all requested forms, information, and documentation have been received,
and the applicant has submitted all applicable reports specified in the Federal regulations including dealer
electronic weighout reports and processed products reports [CFR § 648.7, § 622.5 and § 635.5].
Failure to submit the reports required under either CFR § 648.7, § 622.5 and § 635.5 may bar issuance of any
Northeast dealer permit (except for American lobster). In addition, failure to report in an accurate and timely
fashion may result in enforcement action being taken. If you have any questions concerning your compliance
with the reporting regulations for Northeast managed species, please contact your local NMFS Field Office (list
enclosed). Questions concerning reporting for bluefin tuna [CFR § 635.5], should be directed to the Highly
Migratory Species Office at (978) 281-9140.
Failure to provide the applicable information above will delay processing of your dealer permit.

Revised: November 7, 2007

OMB# 0648-0202

Expiration Date: November 30, 2009

National Marine Fisheries Service
Northeast Regional Office / Fisheries Statistics Office

REVIEW CHECKLIST FOR YOUR DEALER PERMIT APPLICATION

Please review the information below to ensure that your application contains all of the proper
documentation needed to process your dealer permit application.
Failure to include this information with your application will result in processing delays and
or a possible return of your application.
Include with your signed and dated application:
Corporations
All dealer corporations submitting an initial application package must insure that it includes a copy of the
certificate of incorporation showing officers and shareholders owning 25% or more of the shares of the corporation.
All dealer corporations submitting a renewal application package must insure that it includes information listing all
current officers, along with their addresses, and shareholders owning 25% or more of the shares of the corporation,
along with their addresses. This information can be found in an annual report. If an annual report is unavailable,
this information can be submitted in the form of a signed and dated letter.
Partnerships
All dealer partnerships submitting an initial application package must insure that it includes a copy of the
partnership agreement.
All dealer partnerships submitting a renewal application package must insure that it includes a list of the names
and addresses of all current partners. This information can be submitted in the form of a signed and dated letter.
Sole Proprietorships
All dealer applicants who will be operating under a sole proprietorship must submit, with your initial application
only, a statement in writing that you are operating under a sole proprietorship and that the business is not owned by
a corporation or by a partnership.

FAILURE TO PROVIDE THIS INFORMATION WILL DELAY THE PROCESSING
OF YOUR DEALER PERMIT APPLICATION.

United States Department of Commerce

National Oceanic and Atmospheric Administration
National Marine Fisheries Service
Northeast Region
One Blackburn Drive
Gloucester, MA 01930

Federal Northeast Seafood Dealer
Initial Dealer Permit Application
SECTION 1 - DEALER INFORMATION
Southeast Dealer # (if available) _________
Company name:

__

Owner’s Name:

___

__

___

Mailing Address:

___
State:

City:

Zip Code:

___

Fax Number:

Telephone:

**Vessel Name:

___

**Vessel Hull Number: _____________

___

**(if you are applying for an Atlantic Mackerel at Sea Processor permit or an Atlantic Herring at
Sea Processor permit, you must enter a vessel name and hull number above and include a copy
of the vessel’s current Coast Guard Documentation or State Registration.)

If regulated species are purchased or received for commercial purposes at more than one place of business, each
address must be listed. List those additional addresses on the back of this form in Section 1A.

SECTION 2 - FISHERIES
Select the fisheries desired by placing an [X] in the boxes provided. Select all fisheries that apply.
    Atlantic bluefin tuna

           Northeast multispecies

Scup

     Other Atlantic Tunas
     (Yellowfin, Bigeye, Skipjack
Albacore)

           American lobster

Black sea bass

Surfclam/ Ocean quahog
      Dealer
     Surfclam/ Ocean quahog
Processor

Skate

Monkfish

**Atlantic mackerel at sea
processor

Atlantic bluefish

Squid, Atlantic mackerel
butterfish

Spiny Dogfish

     Summer flounder

        Atlantic herring – Dealer

     Atlantic sea scallop

          **Atlantic herring at sea
processor

Atlantic Hagfish

Tilefish
  Atlantic Deep-sea
Red crab

** (see note in Section 1)

SECTION 3 - OWNER'S NAME AND SIGNATURE
I affirm, subject to the penalties provided in 18 USC 1001, that all information I have given in obtaining this
permit is true and correct.
Print Name: __________________________
Date: _________________

Signature:
Revised May 25, 2007

OMB# 0648-0202

Expiration Date

11-30-2009

SECTION 1A - ADDITIONAL DEALER INFORMATION. If regulated species are purchased or received for
commercial purposes at more than one place of business, each address must be listed below.
Company Address
Street: ______________________________________________________
City:

State:

Zip Code: __________

Telephone:
Company Address
Street: ______________________________________________________
City:

State:

Zip Code: __________

Telephone:
Company Address
Street: ______________________________________________________
City:

State:

Zip Code: __________

Telephone:
Company Address
Street: ______________________________________________________
City:

State:

Zip Code: __________

Telephone:
For further information, call Northeast Permits Operations at (978) 281-9370
The information requested on this form is not confidential and will be available to the general public upon request.
The Paperwork Reduction Act requires potential respondents for a dealer/processor permit be notified of certain
information regarding their rights and the burden associated with applying for a Federal dealer/processor permit.
One of the regulatory steps taken by the National Marine Fisheries Service (NMFS) to carry out conservation and
management objectives is the requirement of a permit for users of the resources. All the fisheries included on this
application require a permit to purchase, or otherwise receive for transport, species harvested by the owner or
operator of a fishing vessel issued a Federal fisheries permit for these species. Section 303(b)(1) of the MagnusonStevens Fishery Conservation and Management Act (MSFCMA) specifically recognizes the need for permit issuance.
The purpose and use of permits is to: (1) register fish dealers and processor, (2) list the characteristics of
dealer/processor operations, (3) exercise influence over compliance (e.g. withhold issuance pending collection of
unpaid penalties), (4) provide a mailing list for the dissemination of important information to the industry, (5)
provide a universe for data collection samples, and (6) obtain first purchase information on landings to evaluate the
biological, economic and social implications of management measures.
Notwithstanding any other provision of the 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. Public reporting
burden for this collection of information is estimated to average 15 minutes per response, including time for
reviewing instructions, searching existing data sources, gathering and maintaining data needed, and completing and
reviewing the information. Send comments regarding this burden estimate or suggestions for reducing this burden
to: National Marine Fisheries Service, Permit Office, One Blackburn Drive, Gloucester, MA 01930-2298.
Revised May 25, 2007

OMB# 0648-0202

Expiration Date

11-30-2009

Northeast Regional Office / Fisheries Statistics Office
One Blackburn Dr., Gloucester MA 01930 Phone: (978) 281-9264 Fax: (978) 281-9161

Hannah Goodale, Acting Office Director
Systems Management & Development
Jim St. Cyr, Section Chief
978 281-9369

Fishery Analysis & Monitoring
Stanley Wang, Ph.D., Section Chief
978 281-9225

VESSEL REPORTING
Barry Clifford
978 281-9246

FISHERY PERMITS
Ted Hawes
978 281-9370

Fishery Information
Greg Power, Section Chief
978 281-9304 cell 978 609-4154
NEW ENGLAND AREA

MID-ATLANTIC AREA

Portland ME
207 780-3322
Fax
207 780-3340
Marine Trade Ctr Suite 212
2 Portland Fish Pier
Portland, ME 04101-4633

Scott McNamara*
(cell 207 318-2111)
Merrie Cartwright, Ph. D.
(cell 978 875-0378)
Casey Macisso©
(cell 978 609-4146)

Gloucester MA

Don Mason
(cell 978 609-7944)
Caleb Gilbert
(cell 401 862-2057)

978 281-9363

978 281-9338
Fax
978 281-9372
11-15 Parker St.
Gloucester MA 01930-2298
New Bedford MA 508 984-0063
508 999-2452
Fax
508 990-2506
37 N. Second St
New Bedford, MA 02740-6329

John Mahoney
(cell 978 609-8205)
John Pereira©
(cell 978 609-4144)
Katie Almeida©
(cell 207 653-9108)

Chatham MA
508 945-5961
Fax
508 945-3793
1619 Main Street
P.O. Box 1197
West Chatham, MA 02669

Lorraine Spenle
(cell 978 609-4142)

Point Judith RI
401 783-7797
Fax
401 782-2113
83 State St 2nd Flr
P.O. Box 547
Narragansett, RI 02882-0547

Walter Anoushian *
(cell 978 609-4145)
Chris Zanni©
(cell 978 609-7921)
Elizabeth Kordowski ©
(cell 978 609-7821)

East Hampton, NY (631) 324-3569
Fax
(631) 324-3314
62 Newtown Ln, # 203
East Hampton, NY 11937

Victor Vecchio*

Patchogue NY
631 475-6988
Fax
631 289-8361
50 Maple Av
P.O. Box 606
Patchogue, NY 11772-98

David McKernan
(cell 978 609-4151)

Riverhead NY
631 727-7850
Fax
631 727-7130
423 Griffing Av Suite 100
Riverhead, NY 11901-3071

Kristin Knobloch©
(cell 631 965-0509)

Toms River NJ
732 349-3533
Fax
732 349-4319
26 Main St, Suite O
P.O. Box 143
Toms River, NJ 08754

Joanne Pellegrino
(cell 978 609-7980)
Anna Macan©
(cell 978-609-8085)

Cape May NJ
609 884-2113
Fax
609 884-4908
1382 Lafayette St
P.O. Box 624
Cape May, NJ 08204-0624

Walt Makowski *
(cell 978 609-4148)
Ingo Fleming
(cell 978 609-8084
Alissa Wilson©
(cell 978-609-8085)

Hampton VA
757 723-3369
Fax
757 728-3947
1006N Settlers Landing Rd
P.O. Box 69043
Hampton, VA 23669

David Ulmer*
(cell 978 609-7643)
Steve Ellis
(cell 978 609-4147)
George Mattingly
(cell 978-860-4149)

* team leader & state partner coordinator / © Contract Staff

Other Contact Information

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

Email: [email protected] or [email protected]
Help Desks

Dealer Electronic Reporting: 978 281-9212
IVR Reporting: 978 281-9209
Vessel Trip Reporting: 978 281-9246
Permits: 978 281-9370
Reporting Forms: 978 281-9157
Revised 11/13/07