Application for transfer of QS/IFQ to or from a CQE

Revised: 02/01/2008

OMB Control No.: 0648-0272
Expiration Date: 04/30/2008

APPLICATION FOR
TRANSFER OF QS/IFQ

U.S. Dept. of Commerce/NOAA
National Marine Fisheries Service (NMFS)
Restricted Access Management (RAM)
P.O. Box 21668
Juneau, AK 99802-1668
(800) 304-4846 toll free / 586-7202 in Juneau
(907) 586-7354 fax

NOTE: A separate application must be submitted for each Quota Share (QS) or IFQ Transfer.
If you want to do a self sweep-up, please use the self sweep-up form.
BLOCK A -- TEC
Does the Transferee (Buyer) hold a Transfer Eligibility Certificate (TEC)?

YES [ ]

NO [ ]

BLOCK B -- CHECKLIST
USE THIS LIST TO ENSURE YOUR APPLICATION IS COMPLETE. INCOMPLETE APPLICATIONS WILL NOT BE
PROCESSED. NOTE: Faxed Applications Are Not Acceptable. Please Submit Originals.

[__]
[__]
[__]
[__]
[__]

Completed, signed, and notarized application
Copy of signed & notarized sales or gift agreement
QS/IFQ Transfer: Seller’s original QS Certificate
Documentation for Authorized Agent (if applicable)
Sweep Up Transfer: Buyer’s and seller's original QS Certificate

[__] Transfer of IFQ (Category "A" Shares, Surviving Spouse Lease): Copy of permit or QS Certificate

BLOCK C - TRANSFEROR (SELLER)
1. Name:

2. NMFS Person ID:

3. Date of Birth:

5. Temporary Business Mailing Address (see instructions):

4. Permanent Business Mailing Address:

6. Business Telephone No.:

7. Business Fax No.:

Application for Transfer of QS/IFQ
Page 1 of 8

8. E-mail address (if available):

BLOCK D - TRANSFEREE (BUYER)
1. Name:

2. NMFS Person ID:
3. Date of Birth:

4. Permanent Business Mailing Address:

5. Temporary Business Mailing Address (see instructions):

6. Business Telephone No.:

7. Business Fax No.:

8. E-mail address (if available):

BLOCK E - QUESTIONS FOR TRANSFEREE (BUYER)
1. Do you request that this QS be included in a sweep up, if possible?

YES [ ]

NO [

]

2. If YES, list the identifier on the QS Certificate into which this new piece should be combined
(Example H-2C-B-B-123,456,789

through

H-2C-B-B-123,458,789):

_________________________________________________________________________________________
Reminder: For Sweep Up, attach both the buyer’s and seller’s original QS Certificates to this application.
3. If this is Catcher Vessel CDQ Compensation QS and the vessel category has never been declared, check the one Catcher Vessel
Category in which you would like to have your QS issued.
Length Overall:

0' to 35'

Vessel Category:

D [

or

]

36' to 60'
C [

or

greater than 60'

]

B [

]

BLOCK F - IDENTIFICATION OF QS AND IFQ TO BE TRANSFERRED
Complete Block F if QS and IFQ are to be transferred together or if you want to transfer QS only.

1. Halibut [

]

3. Vessel Category:

or Sablefish [

]

2. IFQ Regulatory Area:

4. Number of QS Units to be Transferred:

5. Transferor (Seller) IFQ Permit Number:

6. Numbered To and From (Serial Numbers are shown on the QS Certificate):

7. Do you want all remaining pounds for the current fishing year transferred?

Yes [ ]

No [ ]

If no, specify the number of pounds to be transferred:
-Pounds transferred includes a pro-rata share of any overage based on the QS units held or transferred and is non-negotiable.
-Pounds transferred includes a pro-rata share of any underage based on the QS held and transferred UNLESS OTHERWISE
INSTRUCTED

Application for Transfer of QS/IFQ
Page 2 of 8

BLOCK G - TRANSFER OF IFQ ONLY
Complete this Block if you want to Transfer IFQ Only (Applies only to Category "A" & Surviving Spouse IFQ)

1. Halibut [

]

or Sablefish [

]

2. IFQ Regulatory Area:

3. Number of Units:

4. Numbered To and From (Serial Numbers are shown on the QS Certificate):
7. Fishing Year: 20______

6. Transferor (Seller) IFQ Permit No.

5. Actual Number of IFQ Pounds:

REQUIRED SUPPLEMENTAL INFORMATION
YOUR APPLICATION WILL NOT BE PROCESSED UNLESS YOU PROVIDE THE FOLLOWING INFORMATION

BLOCK H - TO BE COMPLETED BY THE TRANSFEROR
1. Give the price per pound (including leases) $ _________________/#IFQ (Price divided by IFQ pounds) Including fees
Give the price per unit of QS

$ _________________ /Unit of QS (Price divided by QS Units)

2. What is the total amount being paid for the QS/IFQ in this transaction, including all fees? _____________________________
3. What are your reasons for transferring the QS/IFQ? (check all that apply)
Retirement from fisheries

[ ]

Shares too small to fish

[ ]

Consolidation of shares

[ ]

Pursue non-fishing activities

[ ]

Trading shares

[ ]

Other (explain)

[ ]

Health problems

[

Enter other fisheries

[ ]

]

4. Is there a broker being used for this transaction?

[

] Yes

[

] No

If yes, how much is being paid in brokerage fees? $ ________________________ or __________________ % of total price.

BLOCK I - TO BE COMPLETED BY THE TRANSFEREE
1. Will the QS/IFQ being purchased have a lien attached?

[ ] Yes

[ ] No

If yes, name of lien holder_______________________________________________
2. What is the primary source of financing for this transfer (check one)?
Personal resources (cash)

[ ]

AK Com. Fish & Ag. Bank

[ ]

Received as a gift

[ ]

Private bank/credit union

[ ]

Transferor/seller

[ ]

NMFS loan program

[ ]

Alaska Dept. Of Commerce

[

Processor/fishing company

[

Other (explain)

[

]

]

]

3. How was the QS/IFQ located (check all that applies)?
Relative

[ ]

Advertisement/public notice

[ ]

Personal friend

[

Other (explain)

[

]

Broker

]

Application for Transfer of QS/IFQ
Page 3 of 8

[ ]

4. What is the Buyer's relationship to the QS/IFQ Holder (check all that applies)?
Unrelated

[

]

Family member

[

]

Friend

[

]

Other (explain)

[ ]

Business partner

[

]

5. Is there an agreement to return the QS or IFQ to the Transferor (seller), or any other person, or a condition placed on resale?
[

] Yes

[ ] No

If yes, please explain:
NOTE: This application for transfer must be completed, signed, and notarized by both parties. Failure to have signatures properly
notarized will result in delays in the processing of this application.

BLOCK J - TRANSFEROR (SELLER)
Under penalties of perjury, I declare that I have examined this application, and to the best of my knowledge and belief, the
information presented here is true, correct, and complete.
1. Signature of Transferor (Seller) or Authorized Agent:

2. Date:

3. Printed Name Transferor (Seller) or Authorized Agent Note: If this is completed by an agent, attach authorization:

4. Notary Public Signature:

ATTEST

5. Affix Notary Stamp or Seal Here:

6. Commission Expires:

BLOCK K - TRANSFEREE (BUYER)
Under penalties of perjury, I declare that I have examined this application, and to the best of my knowledge and belief,
the information presented here is true, correct, and complete.
1. Signature Transferee (Buyer) or Authorized Agent:

2. Date:

3. Printed Name Transferee (Buyer) or Authorized Agent Note: If this is completed by an agent, attach authorization:

4. Notary Public Signature:

ATTEST

5. Affix Notary Stamp or Seal Here:

5. Commission Expires:

Application for Transfer of QS/IFQ
Page 4 of 8

INSTRUCTIONS
Application for Transfer of QS/IFQ

Submit a separate application for each Quota Share (QS) or Individual Fishing Quota (IFQ) Transfer. If you want to
apply for a “self sweep-up,” please use the Self Sweep-Up Form.
The original application must be submitted — an application sent by fax will not be processed.
When completed, mail the original application form to:
NMFS Alaska Region
Restricted Access Management (RAM)
P.O. Box 21668
Juneau, AK 99802-1668
or deliver to:
Room 713, Federal Building
709 West 9th Street
Please allow at least ten working days for your application to be processed. Items will be sent by first class mail, unless
you provide alternate instructions and include a prepaid mailer with appropriate postage or corporate account number for
express delivery.
If you need assistance in completing this application or need additional information, call Restricted Access Management at
(800) 304-4846 (#2) or (907) 586-7202 (#2).
Note: It is important that all blocks are completed and all necessary documents are attached. Failure to answer any
of the questions, provide attachments, or to have signatures notarized could result in delays in the processing of your
application.
BLOCK A -- TEC
Any person that received QS/IFQ as an Initial Issuee or that holds a Transfer Eligibility Certificate (TEC) is eligible to
receive QS/IFQ by transfer. If you answer "No," the transferee (buyer) will need to contact RAM for instructions on
eligibility procedures and a TEC application form.
BLOCK B -- CHECKLIST
Use this list as a guide to make sure you have included all the necessary items in the mailing of your application. This will
ensure timely processing of your transfer application. If you have lost your original QS certificate, you will need to complete
an Application for Replacement of Certificates, Cards, or Permits.

Application for Transfer of QS/IFQ
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BLOCK C -- TRANSFEROR (SELLER)
1.

Name: Full name as it appears on QS Certificate and/or TEC.

2.

NMFS Person ID: As found on QS Certificate or TEC.

3.

Permanent Business Mailing Address: Include street or P.O. Box number, city, state, and zip code.

4.

Temporary Business Mailing Address: Address you want the transfer documentation sent if somewhere other
than to the permanent address. Include street or P.O. Box number, city, state, and zip code.

5-7. Business Telephone No., Business Fax No., and Business e-mail address (if available): Include the area codes.
BLOCK D -- TRANSFEREE (BUYER)
1.

Name: Full name as it appears on QS Certificate and/or TEC.

2.

NMFS Person ID: As found on QS Certificate or TEC.

3.

Permanent Business Mailing Address: Include street or P.O. Box number, city, state, and zip code.

4.

Temporary Business Mailing Address: Address you want the transfer documentation sent if somewhere other
than to the permanent address. Include street or P.O. Box number, city, state, and zip code.

5-7. Business Telephone No., Business Fax No., and Business e-mail address (if available): Include the area codes.
BLOCK E - QUESTIONS FOR TRANSFEREE (BUYER)
1.

Indicate if you wish to combine (“sweep up”) the transferred block together with a block you already hold. Blocked
QS’s may be swept up into one block if the total amount of QS being combined is less than or equal to the following
amounts of QS units per area.
Halibut

2.

Sablefish

Area

Units

Area

Units

2C

19,992

SE

33,270

3A

27,912

WY

43,390

3B

22,947

CG

46,055

4A

22,947

WG

48,410

4B

15,087

AI

99,210

4C

30,930

BS

91,275

4D

26,082

Starting and ending serial numbers to be swept up.

3. If this is a transfer of Catcher Vessel CDQ compensation QS, there is a one time opportunity at the time of the first
transfer to permanently designate the catcher vessel category of the QS being transferred.
Application for Transfer of QS/IFQ
Page 6 of 8

BLOCK F - IDENTIFICATION OF QS AND IFQ TO BE TRANSFERRED
This block should only be completed if you are transferring QS and the IFQ resulting from these shares. Persons
wishing to transfer IFQ only (Category “A” shares, lease), should fill out Block G.
1. Species: halibut or sablefish.
2. IFQ Regulatory Area.
3. Vessel Category.
4. Number of units to be transferred.
5. Transferor (seller) IFQ permit number.
6. Starting and ending serial number of shares to be transferred [For example, H-2C-C-B-123,456 THROUGH H-2C-CB-789,493]
7. A specific number of pounds must be indicated for each transfer. A pro-rata amount of IFQ (overage pounds) will be
debited from any IFQ transferred based on the QS unit held or transferred. The current QS holder may retain underage
pounds. However, unless otherwise specified, the underage associated with the QS will be transferred. Please indicate
your specific intention.
BLOCK G - TRANSFER OF IFQ ONLY
This box should be completed if IFQ pounds only are being transferred (leased) and the QS will remain with the
current holder of those shares. Only Category “A” or those shares received as a Surviving Spouse under the provisions in
50 CFR 679 may be transferred in this manner.
1. Species: halibut or sablefish.
2. IFQ Regulatory Area.
3

Number of units to be transferred.

4. Starting serial number of shares to be transferred to the ending serial number of shares to be transferred.
5. Specific number of pounds being transferred.
6. Transferor's (seller's) IFQ permit number.
7. The fishing year is the current year or year in which IFQ should be transferred. A transfer of IFQ only cannot be
completed until the IFQ has been awarded for that year.
BLOCK H - REQUIRED SUPPLEMENTAL INFORMATION
(Completed by Transferor)
1.

The price per pound of IFQ must be entered, including IFQs only “leased”. (To derive the number of dollars per unit
of QS or pound of IFQ, divide the total amount paid, including fees, by the number of QS units or the number of IFQ
pounds being transferred.)

2.

The total amount entered should include any and all monies collected on behalf of the seller for the shares
involved, including any fees that will be paid out to other parties for the expenses of brokering or assisting in the
sale of these shares.
Application for Transfer of QS/IFQ
Page 7 of 8

3.

Please check all boxes that apply to this transaction.

4.

Are you paying a third party to assist with this transaction? If No, go to question #2. If Yes, put the total price paid to
the broker or calculate how much was paid to the third party as a percentage of the total sale price. (The percentage
can be derived by using this formula: divide the brokerage fee by the total price paid for the QS/IFQ, then multiply the
result by 100.)

BLOCK I - REQUIRED SUPPLEMENTAL INFORMATION
(Completed by Transferee)
1.

Indicate if the QS will be used as collateral. List the name of entity or person(s) who will hold the Security interest
lien. This name will appear on the QS Certificate.

2-4. Please check any and all boxes that apply to this transaction.
5.

Regulations governing the IFQ program do not permit transfer of QS subject to any conditions of repossession or resale
to the transferor except by court order, operation of law, or security agreement.
BLOCKS J & K
CERTIFICATION OF TRANSFEROR, TRANSFEREE, AND NOTARY PUBLIC

1.

Sign and print your name and date the application in the presence of a Notary Public. Application forms submitted to
RAM must bear the original signatures of the parties — RAM will not process faxed applications.

2.

Representatives signing for a Transferor or Transferee must submit proof of authorization to submit this application on
their behalf.

3.

A Notary Public must Attest and affix Notary Stamp. The Notary Public cannot be the person(s) submitting this
application.
________________________________________________________________________________________________
PUBLIC REPORTING BURDEN STATEMENT
Public reporting for this collection of information is estimated to average 2.0 hours per response, including the time for
reviewing the instructions, searching the existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information. Send comments regarding this burden estimate or any other
aspect of this collection of information, including suggestions for reducing the burden, to Assistant Regional
Administrator, Sustainable Fisheries Division, NOAA National Marine Fisheries Service, P.O. Box 21668, Juneau, AK
99802-1668.
ADDITIONAL INFORMATION
Before completing this form please note the following: 1) Notwithstanding any other provision of law, no person is
required to respond to, nor shall any person be subject to a penalty for failure to comply with, a collection of
information, subject to the requirements of the Paperwork Reduction Act, unless that collection of information displays
a currently valid OMB Control Number; 2) This information is mandatory and is required to manage commercial
fishing efforts under 50 CFR part 679 and under section 402(a) of the Magnuson-Stevens Act (16 U.S.C. 1801, et seq.);
3) Responses to this information request are confidential under section 104(b) of the Magnuson-Stevens Act as
amended in 2006. They are also confidential under NOAA Administrative Order 216-100, which sets forth procedures
to protect confidentiality of fishery statistics.
________________________________________________________________________________________________

Application for Transfer of QS/IFQ
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