Quota Share Initial Issuance/QS Permit Application

OMB Control No. 0648-xxxx
Expiration Date: xx/xx/xxxx

QUOTA SHARE INITIAL
ISSUANCE/QS PERMIT
APPLICATION
PACIFIC COAST GROUNDFISH

UNITED STATES DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
National Marine Fisheries Service, Northwest Region
Fisheries Permits Office
7600 Sand Point Way NE, Bldg. 1
Seattle, WA 98115-0070
Phone (206) 526-4353

Fax (206) 526-4461

www.nwr.noaa.gov

INSTRUCTIONS
TRAWL RATIONALIZATION PROGRAM
APPLICATION DEADLINE: XX/XX/2010
Quota Share (QS) and QS Permits will be issued under the Shorebased Individual Fishing Quota (IFQ) part of the
Trawl Rationalization Program. This form must be completed and submitted to the National Marine Fisheries
Service (NMFS) at the address above in order to apply for an initial issuance of groundfish quota share (QS) and
a QS Permit. This application, including any required supplemental documentation must be postmarked or hand
delivered no later than XX/XX/.2010 [insert date 60 days after publication of the final rule]. An application
postmarked or hand delivered after that date will not be considered or reviewed by NMFS. This is a one-time
opportunity to apply for these permits.
Prequalified Applicant: For prequalified applicants, some of the sections in this application form have fields that
have been prefilled by NMFS. The intent of pre-filling some sections is to make the application process more
efficient and provide the information NMFS already has on record. The data presented in the sections below are
presumed to be correct as of the date provided. However, this information is preliminary and may be amended by
NMFS as more information becomes available. Publication of this preliminary data in this application does not
represent a guarantee that the applicant will qualify for an initial issuance of QS, for a specified amount of QS, or
a QS permit. The applicant must still complete and submit the prequalified application in a timely manner
to NMFS in order to be considered for initial issuance of QS or a QS permit.
Request for an Application: If a current limited entry trawl permit owner or shorebased first receiver does not
receive a prequalified application for initial issuance of QS and QS permit yet believes they are eligible, they must
submit a completed application, including any supplemental documentation, to NMFS by the deadline shown
above.
Section A - Applicant (Permit Owner or Shorebased Whiting First Receiver) Information
Only an owner of a valid trawl endorsed Pacific Coast groundfish limited entry permit or a shorebased whiting first
receiver is eligible for initial issuance of QS. NMFS will pre-fill Section A if it determines that the permit owner or
shorebased first receiver may qualify for an initial issuance of QS. If the permit owner or first receiver is a
business entity, please provide the tax identification number (TIN) for the entity. If the permit owner or first
receiver is an individual (or has an individual given as part of the ownership group), please provide the date of
birth for the individual(s). If any of the information provided by NMFS in Section A is not correct, please cross out
the erroneous information and make the necessary changes on the form. If a business entity is listed in Section
A, list the state where that entity was established and is currently recognized as active If an applicant did not
receive a pre-filled application, they must complete this section.
Section B - Shorebased First Receiver Recent Participation Qualifying Data
This section pertains only to whiting first receivers that are applying for initial issuance of whiting QS. In
order to qualify for an initial issuance of whiting QS, a first receiver must have received one (1) metric ton or more
of whiting from whiting trips in each of any two years from 1998-2004.
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OMB Control No. 0648-xxxx
Expiration Date: xx/xx/xxxx

Prequalified Applicant: If an applicant is prequalified for whiting QS, NMFS will pre-fill Section B and provide the
amount of whiting from whiting trips received by the first receiver for each of the qualifying years. PacFIN data
extracted on July 1, 2010 will provide the basis for NMFS’ determination of years in which the first receiver met
the qualifying criteria.
Request for an Application:: If the applicant did not receive a pre-filled application, the applicant must provide in
Section B the amount of whiting from whiting trips received by the first receiver for each qualifying year (including
years with no landings received). The person must provide copies of PacFIN landing records and/or other
credible information to demonstrate that they meet qualifying criteria.
Section C – Preliminary Quota Share Allocation
The column Permit Landing History Amount provides the total permit landing history amount in pounds for all
qualifying year. The column Total Sector Amount is the total qualifying landings of the species for each qualifying
year for all qualifying permits. The relative landing history amount for a species is calculated by dividing the total
permit landing history for a qualifying year by the total sector amount for the year. The data provided in Section C
represent the best available data for determining quota share allocations and is subject to change based on other
information received by NMFS during the application process. PacFIN data extracted on July 1, 2010 is source of
the data provided in this section. Such data is provided on preliminary basis and is subject to change.
For a Prequalified Applicant - Current Permit Owner: NMFS will pre-fill Section C with the preliminary amount of
QS associated with the permit for each species category. Different initial issuance formulas are used for various
IFQ species and depend on whether data are derived from a non-whiting trip (where less than 50% of the
landings on the fish ticket are whiting) or a whiting trip and this is further explained in the small entity compliance
guide.
Attached to the application will be a series of summary sheets that present the preliminary data for each of the
qualifying years for each IFQ species, the total sector landed amount for each qualifying years for that species
and the relative landing history (%) for each qualifying year. The worst years are considered those years with the
lowest relative landing history (given as a percent) and will be shown on each species’ summary sheet attached
to the application and described below. Also, these summary sheets will provide a preliminary QS amount
expressed as a percentage for each species.
An applicant is required to indicate whether they accept, or do not accept, the data as provided by NMFS for each
IFQ species. Check the appropriate box to indicate your acceptance choice. If you do not accept the preliminary
data for any of the qualifying years, please check the appropriate box and provide a letter by the application
deadline detailing which data are not correct and/or if NMFS did not properly calculate the QS allocation as
prescribed by regulation, and include with the letter copies of state landing records or other credible information
that demonstrates NMFS did not properly extract, aggregate, and/or expand the PacFIN data or did not properly
calculate the QS allocation for a particular species.
For a Prequalified Applicant - Shorebased Whiting First Receiver: For shorebased whiting first receivers who met
the recent participation qualifying criteria in Section B, NMFS will pre-fill Section C with the preliminary whiting QS
for the first receiver. The preliminary QS is based on the relative landing history amount calculated from PacFIN
fish ticket data for the qualifying years of 1998-2004, as extracted by NMFS on July 1, 2010, dropping the two
years with the worst relative history. This calculation will be based on the 20% of whiting QS available to
shorebased whiting first receivers. For purposes of making an initial issuance of whiting QS to a shorebased first
receiver, NMFS will attribute landing history to the first receiver reported on the landing receipt (the entity
responsible for filling out the state landing receipt). History may be reassigned to a shoreside first receiver or
processor not on the state landings receipt as follows:
Reassignment of whiting history for first receivers: For shorebased whiting first receivers, the landing history
may be reassigned to another person that was in fact the first processor of the fish. In order for the applicant to
request that landing history be reassigned to another person, an authorized representative for the shoreside first
receiver displayed on the state landing receipt must submit to NMFS, by the application deadline, a written
request that the whiting landings history from the qualifying years be conveyed to another named person. The
letter must be signed and dated by both the authorized representative of the first receiver named on the state
landing receipt and the authorized representative of the person to which the whiting landing history will be
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OMB Control No. 0648-xxxx
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reassigned. The letter must contain the dates of the landings history that is being reassigned and include the legal
name of the person, their date of birth or tax identification number, business address, and business phone
number, fax number, and email address of the person receiving the Pacific whiting landing history. If a valid
agreement exists that demonstrates that the entity being reassigned the landing history was in fact the first
processor of the fish, that document must be provided to NMFS.
Attached to the application will be a summary sheet for whiting that presents the preliminary catch history data for
each of the qualifying years, the total sector landed amount for each qualifying years and relative history amount.
The worst year is considered those years with the lowest relative history amount (given as a percent). Also, the
summary sheet will provide a preliminary whiting QS amount expressed as a percentage.
A prequalified applicant is required to either accept or not accept the data as given. Check the appropriate box to
indicate your acceptance/non-acceptance of NMFS’ data If you do not accept the preliminary data for any of the
qualifying years, please check the appropriate box and provide a letter by the application deadline detailing which
data are not correct and/or if NMFS did not properly calculate the QS allocation as prescribed by regulation, and
include with the letter copies of state landing records or other credible information that demonstrates NMFS did
not properly extract, aggregate, and/or expand the PacFIN data or did not properly calculate the QS allocation for
a particular species.
Request for an Application: If the applicant did not receive a prefilled application, the applicant must provide in
Section C permit landing history amount for each species for all qualifying years combined. In addition, the
person must provide copies of PacFIN landing records and/or other credible documentation that support the
landing history claimed during the qualifying years.

SECTION D - Certification of Applicant and Notary
The authorized representative must sign and date the form in the presence of a notary to certify that the
individual(s) signing the form have satisfactorily identified themselves. By signing and dating the form, the
authorized agent certifies that all information set forth in the form is true, correct, and complete to the best of the
applicant's knowledge and belief. The form will not be considered without the authorized representative’s
signature. If a single individual is listed in above, then that individual must sign. If two individuals are listed in
then both individuals must sign. If an individual and a business entity are listed then the individual and the
authorized representative for the business entity must both sign. The notary must sign and date this section, and
affix notary stamp or seal.

The authorized representative must include a copy of the corporate resolution or other
authorizing document allowing the authorized representative to sign and certify on
behalf of the business entity.
Supplemental Documentation
The applicant must provide a completed Trawl Ownership Interest form.
NMFS may require other documentation as it deems necessary to make a determination to approve or
disapprove the application
Quota Share Species Summary Sheets: (SEE ATTACHED)
The summary sheets will provide data and calculations made for Group 1, 2, and 3 species and halibut IBQ in
determining the preliminary QS allocation. These summary sheets further detail how NMFS calculated the data
provided in Section C for each of the species. PacFIN data extracted on July 1, 2010 is the source of the data
provided in these summary sheets. Such data is provided on preliminary basis and is subject to change. The
Small Entity Compliance Guide included with this application package will further explain data and calculations
used for the QS species summary sheets.
PLEASE NOTE ACTION REQUIRED: In order for the application to be considered complete, the applicant must
certify that they either accept all of the data and calculations provided on the attached species summary sheets or
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OMB Control No. 0648-xxxx
Expiration Date: xx/xx/xxxx

they do not accept part or all of the data and/or calculation. Please check the appropriate box on the attached
sheet entitled “Applicant Certification of Acceptance/Non-Acceptance of Quota Share, Overfished Species and
Halibut IBQ Summary Sheets”
If the applicant does not accept the data or calculations in part or whole, the applicant must check the appropriate
box. In addition, the applicant must provide with the application a letter that details which data was incorrectly
extracted from PacFIN and/or which calculations are not correct and provide PacFIN landing records, PacFIN
logbook data records and/or other credible information to correct the data and/or calculation of QS allocation. For
Group 1 species, NMFS has denoted which years are considered to have the lowest relative landing history by
use of an asterisk.

QS Permit Application Form – PAGE 4

OMB Control No. 0648-xxxx
Expiration Date: xx/xx/xxxx

QUOTA SHARE INITIAL
ISSUANCE/QS PERMIT
APPLICATION
PACIFIC COAST GROUNDFISH

UNITED STATES DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
National Marine Fisheries Service, Northwest Region
Fisheries Permits Office
7600 Sand Point Way NE, Bldg. 1
Seattle, WA 98115-0070
Phone (206) 526-4353

Fax (206) 526-4461

www.nwr.noaa.gov

SECTION A – APPLICANT INFORMATION
1.Permit Number

GF
4. Name (Permit Owner or Shorebased Whiting First Receiver)

5. TIN or DOB

6. If a Business, State of Registration

7. Business Mailing Address (also list physical address for first receiver, if different)

8. Business Phone

(

Street or PO Box

)

9. Business Fax (optional)

(
City

State

Zip Code

)

10. Business Email (optional)

SECTION B – SHOREBASED WHITING FIRST RECEIVER RECENT PARTICIPATION QUALIFYING DATA
NOTE: This section pertains only to whiting Shorebased first receivers applying for whiting quota share.
Qualifying Criteria: In order to qualify for whiting QS, a first receiver must have received one (1) metric ton or more of
deliveries of whiting from whiting trips in each of two years from 1998 – 2004.
For a Prequalified Applicant: Based on data extracted from PacFIN, NMFS has determined that the first receiver
named in Section A meets the above qualifying criteria by having received one (1) metric ton of whiting from whiting
trips in the following years:
YEARS:

Amount of Whiting Received from Whiting Trips

1998
1999
2000
2001
2002
2003
2004

Note: If you did not receive a prequalified application, please provide the amount of whiting received from whiting trips
for each year.

QS Permit Application Form – PAGE 1

OMB Control No. 0648-xxxx
Expiration Date: xx/xx/xxxx

SECTION C – PRELIMINARY QS ALLOCATION
The landing history data below were extracted from PacFIN. For Non-Whiting and Overfished Species: The preliminary data
provided below are the total amount of non whiting trip landing history for all qualifying years (1993-2004) after dropping the three
worst years. For whiting: The preliminary data provided below is the total amount of whiting delivered in whiting trips for all
qualifying years (1998-2004) after dropping the two worst years. See the attached landing history summaries providing yearly
permit landing history amounts for each species category and which show which years were dropped from the calculation. This
preliminary data may be used to calculate the QS allocation for the applicant.
Species Category

Permit Landing History Amt (lbs)

Total Sector Amt.(lbs)

Relative History(%)

Lingcod
Pacific Cod
Pacific Whiting
Sablefish N. of 36°
Sablefish S. of 36°
Shortspine Thornyhead - N. of 34°27'
Shortspine Thornyhead - S. of 34°27'
Longspine Thornyhead - N. of 34°27
Chilipepper Rockfish
Splitnose Rockfish
Yellowtail Rockfish
Minor Rockfish North - Shelf Species
Minor Rockfish South - Shelf Species
Minor Rockfish North - Slope Species
Minor Rockfish South - Slope Species
Dover Sole
English Sole
Petrale Sole
Arrowtooth Flounder
Starry Flounder
Other Flatfish complex
Bocaccio
Cowcod
Darkblotched Rockfish
Pacific Ocean Perch (POP)
Widow Rockfish
Yelloweye Rockfish
Canary Rockfish
Pacific Halibut IBQ N. of 40°10'
[ ] I ACCEPT ALL of the preliminary landing history data as provided above. I understand that these data are subject to change
[ ] I DO NOT accept part or all of the preliminary landing history data provided above. I will provide to NMFS a letter specifying
which data amounts are not accepted. Further, I am providing copies of state landing tickets and other credible information to
NMFS to consider with this application. I understand that this is my only opportunity to provide such documentation to support my
application.

Note: If you did not receive a prequalified application, please provide the total permit landing history
amount for all years exclusive of the worst years, the total sector landed amount, and the relative
history (as a percent) for each species. If you do not have any landings history for a species please
show “0 lbs” for those species.

QS Permit Application Form – PAGE 2

OMB Control No. 0648-xxxx
Expiration Date: xx/xx/xxxx

SECTION D - CERTIFICATION OF APPLICANT AND NOTARY
This section must be completed by a notary to certify that the individual(s) have satisfactorily identified
themselves.
Under penalties of perjury, I hereby declare that I, the undersigned, am authorized to sign this form on behalf of the applicant and I completed this
form, and the information contained herein is true, correct, and complete to the best of my knowledge and belief.

Signature of Authorized Representative
Date

Notary Public Signature

“ ATTEST

Affix Notary Stamp or Seal Here

Date Commission Expires

WARNING STATEMENT: A false statement on this form is punishable by permit sanctions (revocation, suspension, or modification) under 15 CFR 904, a civil
penalty of up to $140,000 under 16 USC 1858, and/or criminal penalties including, but not limited to, fines or imprisonment or both under 18 USC 1001.
PRIVACY ACT STATEMENT: Your DOB and/or TIN are confidential and protected under the Privacy Act. Provision of your DOB or TIN is mandatory as part of
this collection. The primary purpose for requiring the DOB and/or TIN is to verify the identity of individuals/entities doing business with the government to provide a
unique identification for assistance to comply with the Debt Collection Improvement Act of 1996 (Public Law 104-134) and for enforcement activities. The
information collected is part of a Privacy Act System of Records, COMMERCE/NOAA #19, Permits and Registration for United States Federally Regulated
Fisheries. A notice was published in the Federal Register on April 17, 2008 (73 FR 20914) and became effective on June 11, 2008 (73 FR 33065).
PRA STATEMENT: Public reporting burden for this collection of information is estimated to average 6 hours per response, including the time for reviewing the
instructions, searching 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 NOAA/National
Marine Fisheries Service, Northwest Region, Attn: Assistant Regional Administrator, Sustainable Fisheries Division, 7600 Sand Point Way NE, Seattle, WA 98115.
Some of the information collection described above is confidential under section 402(b) of the Magnuson-Stevens Act and under NOAA Administrative Order 216100, Protection of Confidential Fisheries Statistics. Phone number, fax, email, TIN, and DOB are not released to the public. The names of individuals who have
an ownership interest in an entity that owns a permit, vessel or processing plant and the actual percentage of ownership are considered business confidential and
are not released to the public.

QS Permit Application Form – PAGE 3

OMB Control No. 0648-xxxx
Expiration Date: xx/xx/xxxx

QUOTA SHARE INITIAL
ISSUANCE/QS PERMIT
APPLICATION
PACIFIC COAST GROUNDFISH

UNITED STATES DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
National Marine Fisheries Service, Northwest Region
Fisheries Permits Office
7600 Sand Point Way NE, Bldg. 1
Seattle, WA 98115-0070
Phone (206) 526-4353

Fax (206) 526-4461

www.nwr.noaa.gov

ACTION REQUIRED
APPLICANT CERTIFICATION OF ACCEPTANCE/NONACCEPTANCE OF QUOTA SHARE, OVERFISHED SPECIES
AND HALIBUT IBQ SUMMARY SHEETS
Attached are a series of species summary sheets that provide individual summary sheets for
the Group 1, 2, Group 3 species and Halibut IBQ. Please review the data and calculations
provided in each individual summary sheet. You must indicate whether you accept or do not
accept part or all of the data or calculations given in these summaries. Your application will
not be considered complete without this page.
Please check one box given below:
[ ] I ACCEPT ALL of the preliminary landing history data, relative history amount, the
designation of lowest relative history and calculations as provided. I understand that this
data is subject to change.
[ ] I DO NOT ACCEPT part or all of the preliminary landing history data, relative history
amount, the designation of lowest relative history and calculations as provided. I will provide
to NMFS a letter with the application that details which:
1. Species (Group 1,2,3, or Halibut) data or calculations are not accepted
2. Specific landing history amounts are not correct
3. NMFS computations are not correct
4. NMFS computation of the designated lowest relative history are not
correct
Further, I am providing copies of state landing tickets, log book data and other credible
information to NMFS that support each requested correction. I understand that this is my
only opportunity to provide such documentation to support my application.
NMFS may change landing amounts based on the requested corrections which may result
in revisions to the preliminary QS allocations.