Transfer of crab QS or PQS

Revised: 07/10/2008

OMB Control No. 0648-0514
Expiration Date: 07/31/2011
U.S. Dept. of Commerce/NOAA
National Marine Fisheries Service NMFS)
Restricted Access Management (RAM)
P.O. Box 21668
Juneau, AK 99802-1668

APPLICATION FOR TRANSFER
OF
CRAB QS or PQS
Notes:

1. This application to transfer Quota Share (QS) or Processor Quota Share (PQS) will not be processed
between August 1 of any year and the date of issuance of the Individual Fishing Quota (IFQ) or Individual
Processor Quota (IPQ) in that Bering Sea or Aleutian Islands Management Area Crab Rationalization
Program
(CR Program) fishery.
2.

This application will not be processed or approved unless it is complete. In addition to providing the
information required in the application, a copy of the terms and conditions of the transfer agreement must be
attached. Such documentation may consist of a bill of sale, promissory note, or other document that reveals
the contraction terms between the parties.

3. Do not use this application to apply for a transfer of QS or PQS to, or from, an Eligible Crab Community
Organization or a Crab Harvesting Cooperative, or to conduct an annual lease of IFQ or IPQ.

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

]

CVO QS [

]

CPC QS [

]

CVC QS [

]

PQS [ ]

If applying to receive CVC or CPC QS by transfer, submit proof of at least one delivery of a crab species in
any CR crab fishery in the 365 days prior to submission to NMFS of the Application for Transfer of IFQ or IPQ.
Proof of this landing is:
• Signature of the applicant on an ADF&G Fish Ticket; or
• An affidavit from the vessel owner attesting to that individual’s participation as a member of a fish
harvesting crew on board a vessel during a landing of a crab QS species within the 365 days prior to
submission of an Application for transfer of crab QS or PQS.
2. If this is a transfer of PQS, will the PQS be used within the Eligible Crab Community (ECC) with which
the PQS is currently associated?
YES [

]

NO [

]

NOT APPLICABLE [ ]

If YES, indicate the name of the current ECC that has the Right of First Refusal (ROFR)
_____________ ______________________________
And attach an affidavit stating that the ECC wishes to permanently waive ROFR for the PQS or that the
proposed recipient of the PQS has completed a ROFR contract with the ECCE for the PQS that includes the
terms enacted under section 313(j) of the Magnuson-Stevens Act and referenced under § 680.40(f)(3).
Application for Transfer of Crab QS or PQS
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3. If this is a transfer of PQS, will the PQS be used outside the ECC with which the PQS is currently
associated?
YES [ ]
NO [ ]
NOT APPLICABLE [ ]
If requesting transfer of PQS for use outside an ECC that has designated an entity to represent it in exercise
of Right of First Refusal (ROFR) under § 680.41(l), the Regional Administrator will not act upon the
application for a period of 10 days. At the end of that time period, the application will be approved pending
meeting the criteria set forth in § 680.41(i).

1. Name:

BLOCK B – IDENTIFICATION OF TRANSFEROR (SELLER)
(The transferor is the person currently holding the QS or PQS)
2. NMFS Person ID:
3. Date of Incorporation:

4. Permanent Business Mailing Address:

6. Business Telephone No.:

5. Temporary Business Mailing Address:

7. Business Fax No.:

8. E-mail address (if available)

9. Has transferor submitted an EDR, if required to do so under § 680.6?
YES [__]

NO [__]

NOT APPLICABLE [ ]

10. Has transferor paid all fees, as required by § 680.44?
YES [__]

1. Name:

NO [__]

NOT APPLICABLE [ ]

BLOCK C – IDENTIFICATION OF TRANSFEREE (BUYER)
2. NMFS Person ID:
3. Date of Incorporation:

4. Permanent Business Mailing Address:

6. Business Telephone No.:

5. Temporary Business Mailing Address (see
instructions):

7. Business Fax No.:

8. E-mail address (if available)

9. Has transferee submitted an EDR, if required to do so under § 680.6?
YES [__]

NO [__]

NOT APPLICABLE [ ]

Application for Transfer of Crab QS or PQS
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10. Has transferee paid all fees, as required by § 680.44?
YES [__]

NO [__]

NOT APPLICABLE [ ]

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

Different eligibility standards pertain to a transferee depending on the type of harvesting QS that is being
transferred. Please read the Instructions for complete details.
1. The proposed transferee is applying to receive CVO or CPO QS (with or without IFQ):
YES [ ]

NO

[ ]

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

NO* [ ]

2. The proposed transferee is applying to receive CVC or CPC QS (with or without IFQ):
YES [ ]

NO

[ ]

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

NO* [ ]

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

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

Sector*

Region

Beginning
Serial Number

Ending
Serial Number

Number
of QS Units

______

______

______

___________

____________

_________

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

]

NO [

]

If YES, complete the following:
Permit Number: _________

Class (A, B, R, or U): _______

Pounds: ____________

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

]

CVO QS and PQS* [

]

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

]

South [

]

West [

]

Undesignated [

]

5. What is the total price of the QS or PQS, including all fees and other transaction costs?
$ __________________
6. What is the price per unit of QS or PQS? $ ________________
(Price divided by Units)

7. What is the price per pound of IFQ or IPQ crab Transferred with the QS or PQS
$ ________________
(Price divided by Pounds)

8. Is a permit broker being used to facilitate this transfer?

YES [

]

NO [

]

If YES, how much was paid in broker fees? $ _________; or ________ % of total price of QS or PQS

BLOCK F – CERTIFICATION OF TRANSFEROR
Under penalty of perjury, I certify by my signature below that I have examined the information and the claims
provided on this application and, to the best of my knowledge and belief, the information presented here is true,
correct, and complete.
1. Signature of Transferor:
2. Date:
3. Printed Name Transferor: (if authorized representative, attach authorization)
ATTEST:

NOTARY STAMP OR SEAL

Signature of Notary Public
Commission Expires:

Application for Transfer of Crab QS or PQS
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BLOCK G – CERTIFICATION OF TRANSFEREE
Under penalty of perjury, I certify by my signature below that I have examined the information and the claims
provided on this application and, to the best of my knowledge and belief, the information presented here is true,
correct, and complete.
1. Signature of Transferee:

2. Date:

3. Printed Name of Transferee:
ATTEST:

NOTARY STAMP OR SEAL

Signature of Notary Public
Commission Expires:

__________________________________________________________________________________
PUBLIC REPORTING BURDEN STATEMENT
Public reporting for this collection of information is estimated to average 2.5 hours per response, including the time for
reviewing the instructions, searching the existing data sources, gathering and maintaining the data needed, and completing
and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this
collection of information, including suggestions for reducing the burden, to Assistant Regional Administrator, Sustainable
Fisheries Division, NOAA National Marine Fisheries Service, P.O. Box 21668, Juneau, AK 99802-1668.
ADDITIONAL INFORMATION
Before completing this form please note the following: 1) Notwithstanding any other provision of law, no person is required
to respond to, nor shall any person be subject to a penalty for failure to comply with, a collection of information, subject to
the requirements of the Paperwork Reduction Act, unless that collection of information displays a currently valid OMB
Control Number; 2) This information is mandatory and is required to manage commercial fishing efforts under 50 CFR part
680, under section 402(a) of the Magnuson-Stevens Act (16 U.S.C. 1801, et seq.) and under 16 U.S.C. 1862(j); 3) Responses
to this information request are confidential under section 104(b) of the Magnuson-Stevens Act 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 Crab QS or PQS
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Instructions
APPLICATION FOR TRANSFER OF CRAB QS OR PQS

GENERAL INFORMATION
In order for an inter-cooperative transfer of QS or PQS to be approved, both parties must be already established and
recognized by NMFS as a cooperative. NMFS will notify the transferor and transferee once the application has been
received and approved. A transfer of CQ is not effective until approved by NMFS.
Do not use this application to apply for a transfer of QS or PQS to, or from, an Eligible Crab Community Organization or
to, or from, a Crab Harvesting Cooperative.
This Application for the Transfer of Crab QS or PQS will not be processed between August 1 of any year and the date of
issuance of the IFQ or IPQ in that Bering Sea and Aleutian Islands Management Area Crab Rationalization Program (CR
Program) fishery.
This application will not be processed or approved unless it is complete; in addition to providing the information required
in the application, a copy of the terms and conditions of the transfer agreement must be attached. Such documentation
may consist of a bill of sale, promissory note, or other document that reveals the contraction terms between the parties.
This application cannot be processed or approved unless both parties to the proposed transfer have met all the
requirements and conditions of the CR Program, including (as appropriate):
♦

Submit an Economic Data Report (EDR).
An EDR is required from any owner or leaseholder of a vessel or processing plant that harvested or
processed crab in specified CR Program crab fisheries during the prior calendar year. The annual EDR
submission deadline is June 28.
To request that a printed EDR be mailed to you (at no cost), contact
Pacific States Marine Fisheries Commission
205 SE Spokane, Suite 100
Portland, OR 97202
Telephone: 1-877-741-8913
e-mail [email protected].

♦

Payment of all outstanding fees to NMFS on or before July 31.

ADDITIONALLY
♦

Print information in the application legibly in ink or type information.

♦

Retain a copy of completed application for your records.

Application for Transfer of Crab QS or PQS
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♦

Do not wait until right before an opening to apply for your permit, as you may not receive it on time. Please allow
up to ten working days for a transfer application to be reviewed, processed, and approved; the parties will be
notified upon approval or disapproval of the transfer.

♦

Submit the completed application:
By mail to:

Alaska Region, NOAA Fisheries (NMFS)
Restricted Access Management (RAM)
P.O. Box 21668
Juneau, AK 99802-1668

By fax to:

RAM at 907-586-7354

Applications may be faxed to RAM at (907) 586-7354; however, permits will not be returned by fax. The
original, signed permit must be on board the vessel.
Or, hand deliver to:
NOAA Fisheries
Alaska Region (NMFS/RAM)
Federal Building
709 W. 9th Street, Suite 713
Juneau, Alaska 99801
Items will be sent to you by first class mail, unless you provide alternate instructions and include a prepaid mailer with
appropriate postage or a corporate account number for express delivery. Additional information is available from RAM,
as follows:
Website: http://www.alaskafisheries.noaa.gov/ram/default.htm
Telephone (toll free): 800-304-4846 (press “2”)
Telephone (in Juneau): 907-586-7202 (press “2”)
e-Mail: [email protected]
COMPLETING THE FORM
BLOCK A – TYPE OF TRANSFER
1. Indicate the type(s) of Quota Share (QS) for which this Application to Transfer Crab QS or PQS is being submitted.
The different types of QS that may be transferred using this Application include:
Catcher/Processor “Owner” Quota and annual Individual Fishing Quota
Catcher Vessel “Owner” Quota and annual Individual Fishing Quota
Catcher/Processor “Captain/Crew” Quota and annual Individual Fishing
Quota
Catcher Vessel “Captain/Crew” Quota and annual Individual Fishing Quota
Processor Quota Share

Application for Transfer of Crab QS or PQS
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CPO QS/IFQ
CVO QS/IFQ
CPC QS/IFQ
CVC QS/IFQ
PQS

2. If this is a transfer of PQS, indicate whether the PQS will be used within the Eligible Crab Community (ECC) with
which the PQS is currently associated?
If YES, indicate the name of the current ECC that has the Right of First Refusal (ROFR)
And attach an affidavit stating that the ECC wishes to permanently waive ROFR for the PQS or that the proposed
recipient of the PQS has completed a ROFR contract with the ECC Entity for the PQS that includes the terms enacted
under section 313(j) of the Magnuson-Stevens Act and referenced under § 680.40(f)(3).
3. If this is a transfer of PQS, indicate whether the PQS will be used outside the ECC with which the PQS is currently
associated.
If YES, and requesting transfer of PQS for use outside an ECC that has designated an entity to represent it in exercise
of ROFR under § 680.41(l), the Regional Administrator will not act upon the application for a period of 10 days. At
the end of that time period, the application will be approved pending meeting the criteria set forth in § 679.41(i).
BLOCK B – IDENTIFICATION OF TRANSFEROR (SELLER)
1. Enter the full, legal, business name of the person that holds Quota and wishes to transfer it.
2. Enter the transferor’s NMFS Person ID.
3. Enter date of incorporation.
4. Enter the permanent business mailing address.
5. Enter the temporary business mailing address (this is the address, if different from #4, to which the applicant
wishes materials to be sent).
6 – 8. Enter the business telephone number, business fax number, and e-mail address.
9. Indicate whether transferor has submitted an EDR, if required to do so under § 680.6.
10. Indicate whether transferor has paid all fees, as required by § 680.44.
BLOCK C – IDENTIFICATION OF TRANSFEREE (BUYER)
1. Enter the full, legal, business name of the person that wishes to receive the Quota by transfer.
2. Enter the transferee’s NMFS Person ID.
3. Enter date of incorporation.
4. Enter the permanent business mailing address.
5. Enter the temporary business mailing address (this is the address, if different from #4, to which the applicant
wishes materials to be sent).
6 – 8. Enter the person’s business telephone number, business fax number, and e-mail address.
9. Indicate whether transferee has submitted an EDR, if required to do so under § 680.6.
Application for Transfer of Crab QS or PQS
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10. Indicate whether transferee has paid all fees, as required by § 680.44.
BLOCK D – ELIGIBILITY OF TRANSFEREE
(Does not pertain to those seeking to receive Processing Quota Share).
Different eligibility standards pertain to a transferee depending upon the type of harvesting QS that is being transferred
(see below).
1. Indicate whether the proposed transferee is applying to receive CVO or CPO QS (with or without IFQ).
If YES, indicate whether the proposed transferee is an eligible recipient of QS or IFQ, is eligible to receive the
CVO/CPO QS/IFQ according to the standards below, and has verification to that effect issued by the Alaska
Region of NOAA Fisheries (RAM).
If NO, the proposed transferee must apply for eligibility to receive CVO/CPO QS/IFQ by completing and
submitting to RAM an Application for BSAI Crab Eligibility to Receive QS/PQS or IFQ/IPQ by Transfer. Upon
approval of eligibility, this Application for Transfer or Crab QS or PQS may be submitted for approval.
2. Indicate whether the proposed transferee is applying to receive CVC or CPC QS (with or without IFQ).
If YES, indicate whether the transferee is an eligible recipient of QS or IFQ, is eligible to receive the CVC/CPC
QS/IFQ according to the standards below, and has verification to that effect issued by the Alaska Region of
NOAA Fisheries (RAM).
If NO, the proposed transferee must apply for eligibility to receive CVC/CPC QS/IFQ by completing and
submitting to RAM an Application for BSAI Crab Eligibility to Receive QS/PQS or IFQ/IPQ by Transfer. Upon
approval of eligibility, this Application for Transfer or Crab QS or PQS may be submitted for approval.

Application for Transfer of Crab QS or PQS
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The following standards pertain to eligibility to receive CR Program Quota by transfer:
Quota Type
PQS not issued under
§ 680.40(e)(3)(i)
IPQ
CVO or CPO QS

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

Converted CPO QS
CPO IFQ derived from
Converted CPO QS
CVO or CPO IFQ

An ECCO
A CDQ Group
n/a
n/a

CVC or CPC QS

All persons eligible for
CVO or CPO QS
An Individual

CVC or CPC IFQ

An Individual

Eligibility Standards
No other requirements
No other requirements
No other eligibility requirements
who is a U.S. citizen and who has at least 150 days experience as part of the
harvesting crew in any U.S. commercial fishery
That has at least one individual member (owner) who is a U.S. citizen and
who:
a) owns at least 20% of the entity, and
b) has at least 150 days experience as part of the harvesting crew in any
U.S. commercial fishery
That meets other regulatory requirements
No other requirements
Converted CPO QS may not be transferred
CPO IFQ derived from Converted CPO may not be transferred
No other requirements
who is a U.S. citizen with at least 150 days experience as part of the
harvesting crew in any U.S. commercial fishery and,
recent participation in a CR crab fishery in the 365 days prior to submitting
an application for eligibility
who satisfies the eligibility requirements for receiving CVC or CPC QS by
transfer

BLOCK E – IDENTIFICATION AND COST OF QUOTA TO BE TRANSFERRED
Note: If Transfer Application is for more QS/IFQ or PQS/IPQ than the space provided on this form allows, duplicate this
page as necessary to include all intended transfers with one application. Refer to Report of Quota Holdings published by
RAM.
1. Identify the QS or PQS to be transferred. Each unit of BSAI Crab Rationalization QS and PQS is identified by
an alpha-numeric code, as indicated in the following table. The alphabetical portion of the code indicates the
Fishery, the Sector, and the Region for which the Quota will yield annual IFQ or IPQ. Enter the correct Fishery
Code, Sector Code, and Region Code, as well as the beginning serial number and the ending serial number as set
out on the Report of Quota Holding issued by RAM.
Crab Fishery

Code

Sector of QS

Code

Region

Code

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

BBR
BSS
BST
EAG
PIK
SMB
WAG
WAI

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

CVO
CPO
CVC
CPC
PQS

North
South
West
Undesignated

N
S
W
U

Note: If transfer of CPO Quota, also complete Questions 3 and 4 below.
Application for Transfer of Crab QS or PQS
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2. Indicate whether any current year IFQ or IPQ Pounds are intended to transfer with the QS or PQS.
If YES, provide the IFQ or IPQ Permit Number, the Class of IFQ (A, B, or C), and the number of Pounds from
that Permit that are intended to transfer.
3. Indicate whether CPO QS will be re-designated upon transfer -- as CPO QS Only or CVO QS and PQS
Note that if CPO QS is being transferred, the prospective transferee may choose to re-designate the QS as CVO
QS and PQS. If such an election is made, the resulting QS will transfer in the ration of 1:0.9 (i.e., one CVO share
to 0.9 PQS shares). Only whole Quota units will be transferred or retained.
4. If the choice is made to re-designate the CPO QS as CVO QS and PQS, indicate the Region to which the resulting
re-designated Quota will be assigned. Enter the same information for all CPO QS for which application is being
made to transfer. If necessary, duplicate the pages to include segments of CPO QS to be transferred. Note that
the IFQ and the IPQ that the re-designated AS will yield will not be issued until the crab fishing year following
year in which the transfer and re-designation was approved.
5. Enter the total price of the QS or PQS, including all fees and other transaction costs.
6. Indicate the price per unit of QS or PQS and the price per pound of IFQ or IPQ crab.
7. Indicate whether a permit broker is being used to facilitate this transfer.
If YES, enter the broker fees as either a “lump sum” (how much was paid to the Broker) or as a percentage of the
total price of the Quota.
BLOCK F – CERTIFICATION OF TRANSFEROR
Provide printed name, signature, and date signed of transferor. If completed by an authorized representative, attach
authorization. Note that, to be considered, the application must bear original signatures of the Authorized Representative
of the Proposed Transferor and the signatures must be witnessed by a Notary Public.
BLOCK G – CERTIFICATION OF TRANSFEREE
Provide printed name, signature, and date signed of transferee. If completed by an authorized representative, attach
authorization. Note that, to be considered, the application must bear original signatures of the Authorized Representatives
of the Proposed Transferee and the signatures must be witnessed by a Notary Public.

Application for Transfer of Crab QS or PQS
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