Initial dealer permit application form

United States Department of Commerce
National Oceanic and Atmospheric Administration
National Marine Fisheries Service
Northeast Region
55 Great Republic Drive
Gloucester, MA 01930
November 13, 2008
Dear Federal Northeast Seafood Dealer Permit Applicant:
Enclosed is a Federal Northeast Seafood Dealer Permit Application for permit year 2009 (January 1, 2009 –
December 31, 2009). 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 to the Northeast Permit Office and all required reports must be received and accepted by
NMFS. Enclosed is a pre-printed 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 the Northeast Permit Office. 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/ITP/index.htm 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 the Northeast Permit Office at 978-281-9370.
Sincerely,

Enclosures

Ted Hawes, Team Lead
Northeast Permit Office

United States Department of Commerce

National Oceanic and Atmospheric Administration
National Marine Fisheries Service
Northeast Region
55 Great Republic 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,

American lobster

Black sea bass

Albacore)

Skate

Monkfish

Surfclam/Ocean quahog - Dealer

**Atlantic mackerel at sea
processor

Atlantic bluefish

Surfclam/Ocean quahog - Processor

Squid, Atlantic mackerel, butterfish

Spiny Dogfish

Summer flounder

Atlantic herring - Dealer

Tilefish

Atlantic sea scallop

**Atlantic herring At Sea Processor

Atlantic Deepsea Red Crab

Atlantic Hagfish

** (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:

State:

Zip:

State:

Zip:

State:

Zip:

Telephone:
Company Address
Street:
City:
Telephone:
Company Address
Street:
City:
Telephone:
Company Address
Street:
City:
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, 55 Great Republic Drive, Gloucester, MA 01930-2276.
Revised May 25, 2007

OMB# 0648-0202

Expiration Date

11-30-2009

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 Office, 55 Great Republic Drive, Gloucester, MA 01930. 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
has been received by the Northeast Permit Office and all required reports have been submitted and accepted by
NMFS. Failure to provide the required information will delay processing of your dealer permit.
For further information, call the Northeast Permit Office 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
If your company or business purchases or receives regulated species at more than one location, 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. You do not need a separate dealer number for the additional locations
as long as the businesses at these locations are all the same business entity.

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. Please note: 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.

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 13, 2008

OMB# 0648-0202

Expiration Date: November 30, 2009

Corporation, Partnership and Sole Proprietorship Information
Corporations
All dealer corporations submitting an initial application package must ensure 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 ensure 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 ensure that it includes a copy of the
partnership agreement.
All dealer partnerships submitting a renewal application package must ensure 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 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 13, 2008

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.

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Federally Permitted Dealer Reporting Requirements
♦ Does this affect me? All seafood dealers must report electronically if they are issued a
federal permit under 50 CFR part 648 to purchase fish in the following fisheries:
Atlantic
Atlantic
Atlantic
Atlantic
Atlantic

♦

Mackerel
Sea Scallop
Deep Sea Red Crab
Surfclam
Bluefish

Northeast Multispecies
Atlantic Herring
Spiny Dogfish
Northeast Skate
Summer Flounder

Black Sea Bass
Scup
Monkfish
Tilefish
Atlantic Hagfish

Ocean Quahog
Illex Squid
Loligo Squid
Butterfish

How do I report electronically? All reports must be submitted via an approved electronic
reporting system.

♦ What do I report? If you hold one of the permits listed above, the following information is

required to be reported for each purchase or receipt of fish or shellfish regardless of where or
how it was harvested, or who harvested it. This applies to all species, with the exception of bay
scallop, blood arc clam, soft clam, razor clam, blood worm, sand worm, blue crab, green crab,
hermit crab, Japanese shore crab, spider crab, blue mussel, oyster, and quahogs.
;
;
;
;
;
;
;

;
;

Dealer name and permit number
Vessel name and permit number or state registration or USCG documentation number
Date of purchase or receipt
Units of measure and amount by species (by market category, if applicable)
Price per unit by species (by market category, if applicable) or total value by species (by
market category, if applicable)
Port and state landed
Unique trip identifier supplied to the dealer by the vessel operator.
o This is required of those vessels permitted under 50 CFR part 648. Vessels are not
required to provide the unique identifier if they hold state permits only or if they are
Federally permitted vessels fishing under other parts and have reporting requirements
under those parts.
Disposition. For example: food, bait, pet food or reduction
Cage tag numbers for surf clams and ocean quahogs harvested under a National Marine
Fisheries Service ITQ allocation.

Out-of-Region Purchases: dealers purchasing or receiving fish from a vessel landing outside the NE
Region (Maine to North Carolina) are required to report only those species managed by the NE
Region (listed above) and American lobster, to the NE Region.
Purchases of Atlantic bluefin tuna are not required to be reported under 50 CFR part 648. (See 50
CFR part 635.5(b)(2) instead.) However, purchases of other Highly Migratory Species (HMS),
specifically Bigeye, Albacore, Yellowfin and Skipjack tunas, Atlantic shark, and/or Atlantic swordfish,
must be reported electronically if permits for Northeast (NE) species requiring electronic reporting
are also held. If dealers do not have NE permits, reports for these other HMS should be submitted
to the local port agent.

Revised November 13, 2008
OMB # 0648-0202 Expires November 30, 2009

♦ When do I submit reports?
; All NE federally-permitted seafood dealers must submit electronic purchase reports
weekly, by midnight of the first Tuesday following the end of the reporting week. A
reporting week is from Sunday through Saturday. This includes negative reports.
; Price and disposition information may be submitted after the initial data. However, these
must be submitted within 16 days of the end of the reporting week.

♦ Editing submitted data?
; Dealers have access to all landings data they submit electronically.
; Corrections may be made to reports within 3 business days after submission of data.
; If corrections are needed after this time you must contact your local NMFS field staff
office.

♦ Negative Reports
; If no fish or shellfish are purchased or received in an entire reporting week, an electronic
negative report so stating this must be submitted.
; Negative reports may be filed electronically up to 3 months in advance if the dealer knows
they will not be purchasing or receiving fish or shellfish during that time.
; If a purchase is made for a day during that time period the negative report for that week
is voided.

♦ Dealer Electronic Reporting Information
Where can I get help if I need it? You may contact your local NMFS field staff office. This is
the best place to start. You may also contact the Regional Office with any technical questions.
Information on dealer electronic reporting may be found online at:
¾ http://www.nero.noaa.gov/dealer_er/
Locations and phone numbers of the 10 NE field offices may be found online at:
¾ http://www.nero.noaa.gov/ro/fso/portoff.pdf
¾ Questions may be e-mailed to: [email protected]
¾ Additional system information may be found at http://safis.accsp.org/
Other Contacts
¾ SAFIS Help Line – (978) 281-9212
¾ Vessel Reporting Information – (978) 281-9246
¾ Northeast Permit Office – (978) 281-9370
¾ Domestic Atlantic Bluefin tuna and Iternational Trade permit reporting (978) 281-9140
¾ HMS reporting without electronic reporting – (508) 984-0063

Revised November 13, 2008
OMB # 0648-0202 Expires November 30, 2009

Northeast Regional Office / Fisheries Statistics Office
55 Great Republic Drive, Gloucester MA 01930-2276

Phone: (978) 281-9264 Fax: (978) 281-9161

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

Fishery Analysis, Monitoring & Permit Operations
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
David Ulmer, Acting Section Chief
757-723-0303

Gloucester MA

978 281-9363

978 281-9338
Fax
978 281-9372
55 Great Republic Drive
Gloucester, MA 01930-2276
New Bedford MA 508 984-0063
508 999-2452

Fax
508 990-2506
37 N. Second St
New Bedford, MA 02740-6329

MID-ATLANTIC AREA

Scott McNamara*
(cell 207 318-2111)
Merrie Cartwright, Ph. D.
(cell 978 875-0378)
Casey Macisso©
(cell 978 609-4146)
Don Mason
(cell 978 609-7944)
Caleb Gilbert
(cell 978 609-4143)

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

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

Victor Vecchio*
(cell 978 609-4155)

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 Gerbino©
(cell 631 965-0509)
Tara Froehlich©
(cell 207-653-9039)

Toms River NJ

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

732 818-1311

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

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)

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 978-875-0595)

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 978-609-4149)

* team leader & state partner coordinator / © Contract Staff

Other Contact Information

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

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

Dealer Electronic Reporting: 978 281-9212
Vessel Trip Reporting:
978 281-9246

IVR Reporting: 978 281-9209
Permits:
978 281-9370

Data Requests: 978 281-9133
Reporting Forms: 978 281-9157

Revised 11 / 14 / 2008

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