Application for Crab IFQ/IPQ permit

Revised: 07/18/2011

OMB Control No. 0648-0514 Expiration Date: 06/30/2014

APPLICATION FOR
ANNUAL CRAB PERMIT INDIVIDUAL
FISHING QUOTA(IFQ) OR
INDIVIDUAL PROCESSING QUOTA (IPQ)

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

Annual Application Deadline – August 1
♦ Applications received after August 1 may not be processed and IFQ/IPQ may not be issued to the applicant.
♦ This application will not be considered complete until NMFS verifies that applicant submitted the annual crab
Economic Data Report and paid all outstanding fee obligations.
♦ If Applicant has joined a crab harvesting cooperative, a copy of this application must be submitted with the
cooperative’s application(s) for annual crab harvesting cooperative IFQ permit.
BLOCK A –APPLICANT INFORMATION
1. Name of Applicant:

2. Applicant’s NMFS Person ID:
3. Date of Birth or Incorporation:

4. Permanent Business Mailing Address:

6. Business Telephone Number:

5. Temporary Business Mailing Address:

7. Business Fax Number:

8. Business E-mail Address:

BLOCK B – TYPE OF ANNUAL QUOTA FOR WHICH APPLICATION IS MADE
1. Individual Processing Quota (IPQ):

[ ] [Complete Blocks A , B, D, & F ]
[ ] ALL QS FISHERIES for which applicant holds PQS
[ ] Only those fisheries circled below:
BBR EBT WBT BSS EAG PIK

2. Individual Fishing Quota (IFQ):

SMB WAG WAI

[ ] [Complete Blocks A, B, (C), D, E, & F]
[ ] ALL QS FISHERIES for which applicant holds QS
[ ] Only those fisheries circled below:
BBR EBT WBT BSS EAG PIK

3. If an IFQ Applicant, do you intend to join
a Cooperative?

[ ] YES [ ] NO

SMB WAG WAI

(If YES, complete Block C below)

Application for Crab IFQ or IPQ Permit
Page 1 of 7

BLOCK C – COOPERATIVE IFQ ASSIGNMENT
Complete if some or all of the Applicant’s Annual Individual Fishing Quota is to be assigned to a crab harvesting cooperative

On the table below, enter the name of the crab harvesting cooperative(s) the Applicant has joined for each crab fishery. If
Applicant has joined the same crab harvesting cooperative for all crab fisheries for which the Applicant holds QS, list the
cooperative name in the row named ALL QS FISHERIES.
A copy of this application must be submitted with the cooperative’s annual application for crab harvesting cooperative
IFQ permit.

Fishery

Name of Cooperative to which crab fishery IFQ is to be assigned

ALL QS FISHERIES
BBR
BSS
EAG
EBT
WBT
PIK
SMB
WAG
WAI

BLOCK D – IDENTIFICATION OF OWNERSHIP INTEREST
To be completed by Applicants who are not individuals (i.e., corporations, partnerships, etc.)
If the Applicant identified in Block A is not an individual (i.e. is a corporation, partnership or some other entity) the name(s) of all
owners of the Applicant must be provided, together with the percent of ownership. If a listed owner is not an individual, provide the
same information for each owner until all owners and their percent of ownership are revealed to the individual level.

Name of Owner

%
Interest

Name of Owner

Duplicate this form as necessary to display all of the Applicant’s owners (and owners of owners)

Application for Crab IFQ or IPQ Permit
Page 2 of 7

%
Interest

BLOCK E – DECLARATION OF AFFILIATION
To be completed by Applicants for IFQ
Indicate whether the Applicant is “affiliated” with an entity that holds Processing Quota Share (PQS) and/or Individual Processing Quota
(IPQ). Information regarding affiliation is required to determine the correct allocation of “A” and “B” category IFQ to the Applicant.
Note that this Declaration of Affiliation is valid for the entire Crab Fishing Year for which the Applicant is seeking IFQ.

Having read and understood the Regulatory definition of “Affiliation” as set out below, the Applicant declares as follows:
[

] YES, the Applicant is affiliated with one or more entity(ies) that holds PQS or IPQ

[

] NO, the Applicant is not affiliated with any entity that holds PQS or IPQ

If YES, the Applicant must identify all holders of PQS or IPQ with which it is affiliated. Provide the name, business address, and
telephone number on a separate sheet of paper.

“Affiliation” is defined in the Crab Rationalization regulations as follows (50 CFR § 680.2 – Definitions):

Affiliation means a relationship between two or more entities in which one directly or indirectly owns or controls a 10 percent or greater
interest in, or otherwise controls, another, or a third entity directly or indirectly owns or controls a 10 percent or greater interest in, or
otherwise controls, both. For purposes of this definition, the following terms are further defined:
(1) Entity. An entity may be an individual, corporation, association, partnership, joint-stock company, trust, or any other type of legal
entity, any receiver, trustee in bankruptcy or similar official or liquidating agent, or any organized group of persons whether
incorporated or not, that holds direct or interest in:
(i) Quota share (QS), processor quota share (PQS), individual fishing quota (IFQ), or individual processing quota (IPQ); or,
(ii) For purposes of economic data report (EDR), a vessel or processing plan operating in CR fisheries.
(2) Indirect interest. An indirect interest is one that passes through one or more intermediate entities. An entity’s percentage of
indirect interest in a second entity is equal to the entity’s percentage of direct interest in an intermediate entity multiplied by the
intermediate entity’s direct or indirect interest in the second entity.
(3) Controls a 10 percent or greater interest. An entity controls a 10 percent or greater interest in a second entity if the first entity:
(i) Controls a 10 percent ownership share of the second entity, or
(ii) Controls 10 percent or more of the voting stock in the second entity.
(4) Otherwise controls.
(i) A PQS or IPQ holder otherwise controls a QS or IFQ holder if it has:
(A) The right to direct, or does direct, the business of the entity which holds the QS or IFQ;
(B) The right in the ordinary course of business to limit the actions of or replace, or does limit or replace, the chief executive
officer, a majority of the board of directors, any general partner, or any person serving in a management capacity of the entity
which holds the QS or IFQ;
(C) The right to direct, or does direct, the transfer of QS or IFQ;
(D) The right to restrict, or does restrict, the day-to-day business activities and management policies of the entity holding the QS
or IFQ through loan covenants;
(E) The right to derive, or does derive, either directly, or through a minority shareholder or partner, and in favor of a PQS or IPQ
holder, a significantly disproportionate amount of the economic benefit from the holding of QS or IFQ;
(F) The right to control, or does control, the management of or to be a controlling factor in the entity holding QS or IFQ;
(G) The right to cause, or does cause, the sale of QS or IFQ;
(H) Absorbs all of the costs and normal business risks associated with ownership and operation of the entity holding QS or IFQ;
and
(I) Has the ability through any other means whatsoever to control the entity that holds QS or IFQ.
(ii) Other factors that may be indicia of control include, but are not limited to, the following:
(A) If a PQS or IPQ holder or employee takes the leading role in establishing an entity that will hold QS or IFQ;
(B) If a PQS or IPQ holder has the right to preclude the holder of QS or IFQ from engaging in other business activities;
(C) If a PQS or IPQ holder and QS or IFQ holder use the same law firm, accounting firm, etc.;
(D) If a PQS or IPQ holder and QS or IFQ holder share the same office space, phones, administrative support, etc.;
(E) If a PQS or IPQ holder absorbs considerable costs and normal business risks associated with ownership and operation of the
QS or IFQ holdings;
(F) If a PQS or IPQ holder provides the start up capital for the QS or IFQ holder on less than an arm's-length basis;
(G) If a PQS or IPQ holder has the general right to inspect the books and records of the QS or IFQ holder;
(H) If the PQS or IPQ holder and QS or IFQ holder use the same insurance agent, law firm, accounting firm, or broker of any PQS
or IPQ holder with whom the QS or IFQ holder has entered into a mortgage, long-term or exclusive sales or marketing
agreement, unsecured loan agreement, or management agreement.
Application for Crab IFQ or IPQ Permit
Page 3 of 7

BLOCK F – APPLICANT SIGNATURE
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 Applicant:

2. Date:

3. Printed Name of Applicant: (Note: If completed by an authorized representative, attach authorization.):

PUBLIC REPORTING BURDEN STATEMENT
Public reporting burden 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 the burden estimate
or any other aspect of this collection of information, including suggestions for reducing the burden estimate or any
other aspect of this collection of information, to Assistant Regional Administrator, Sustainable Fisheries Division,
NMFS, Alaska Region, 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
402(b) of the Magnuson-Stevens Act. They are also confidential under NOAA Administrative Order 216-100, which
sets forth procedures to protect confidentiality of fishery statistics.

Application for Crab IFQ or IPQ Permit
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INSTRUCTIONS -- APPLICATION FOR ANNUAL CRAB PERMIT
INDIVIDUAL FISHING QUOTA (IFQ)
INDIVIDUAL PROCESSING QUOTA (IPQ)
IFQ or IPQ permits are issued annually to eligible persons who hold Quota Share (QS) or Processing Quota (PQS).
These permits authorize their holders to harvest or process a specific amount of crab, under the terms and
conditions set out on the permit. IFQ and IPQ permits are valid for one year -- the crab year for which they are
issued.
Because issuance of the correct amount and type of IFQ/IPQ is entirely dependent on information provided by
QS/PQS holders on their annual IFQ/IPQ applications, an application that is received after August 1 may not be
processed and may not yield annual IFQ/IPQ.
This application cannot be processed or approved unless applicant has met all the requirements and
conditions of the CR Program, including (as appropriate)
♦

Submit an crab Economic Data Report (EDR).
A crab 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 must be submitted to NMFS on or before July 31.

Submit the completed application, which must be received by NMFS no later than August 1:
by mail 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
Juneau, AK 99801

or fax to:

907-586-7354

If you need assistance in completing this application or need additional information, call Restricted Access
Management at (800) 304-4846 (Option 2) or (907) 586-7202 (Option 2).
RAM’s program information, applications, and reports can also be located on the Alaska Region Internet site at
http://alaskafisheries.noaa.gov.

Application for Crab IFQ or IPQ Permit
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COMPLETING THE APPLICATION
Block A – Applicant Information
1.

Provide the Applicant’s name.

2.

Provide the Applicant’s NMFS Person ID.

3.

Provide the Applicant’s date of birth or date of incorporation.

4.

Provide the Applicant’s permanent mailing address.

5.

Provide the Applicant’s temporary mailing address (if any); if this information is provided, it will be to this
address to which the IFQ/IPQ permit(s) will be mailed.

6-8. Provide the business telephone number, business fax number, and business e-mail address (if available) for
the Applicant or the Applicant’s designated representative
Block B – Type of Annual Quota for which Application is made
1. If applying for annual IPQ:
♦ Check the box for IPQ
♦ Check the box ALL QS FISHERIES if applying for all QS fisheries for which applicant holds PQS or
♦ Circle each crab fishery if applying for select QS fisheries.
2. If applying for annual IFQ:
♦ Check the box for IFQ
♦ Check the box ALL QS FISHERIES if applying for all fisheries for which applicant holds QS or
♦ Circle each crab fishery if applying for select QS fisheries
3. If an IFQ Applicant, indicate whether you intend to join a Cooperative. If YES, complete Block C.
Block C – Cooperative IFQ Assignment
Enter the name of the crab harvesting cooperative(s) the Applicant has joined for each crab QS fishery.
If Applicant has joined the same crab harvesting cooperative for all crab QS Fisheries for which the Applicant
holds quota share, list the cooperative name in the row named ALL QS FISHERIES.
NOTE: If the Applicant has joined a cooperative, a copy of this IFQ application must
be submitted by the Cooperative, together with the Cooperative’s completed
application for annual Crab Harvesting Cooperative IFQ permit.

Application for Crab IFQ or IPQ Permit
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Block D – Identification of Ownership Interest
If the Applicant is a non-individual (i.e., a corporation, partnership or other entity), provide the names of and the
percentage of ownership held by all of its owners. Provide information to the individual level.
See example below:

Name of Owner
Joe Potpuller
Alice Potpuller
Quotaholder Family Holdings, Inc.

% Interest
25%
25%
50%

C. Quotaholder

25% (of 50%)

R. Quotaholder

25% (of 50%)

A. Quotaholder
B. Quotaholder

25% (of 50%)
25% (of 50%)

Duplicate this form, or attach a separate sheet of paper if necessary to display all of the Applicant’s owners (and
owners of the Applicant’s owners to the individual level).
Block E – Declaration of Affiliation
Note: the Declaration of Affiliation is valid for the entire crab fishing year for which the application has been
submitted. Any change in affiliation status must be reported on the following year’s IFQ/IPQ application.
After reviewing the definition of “Affiliation” on the application form, declare (by checking the box) whether
the Applicant is Affiliated.
If YES (affiliated), provide the name, business address, and business telephone number of the PQS/IPQ holder
with which the Applicant is affiliated. (Use a separate page).
An annual IFQ Permit will not be issued if this block is not completed.
Block F – Applicant Signature
Applicant must print and sign his or her name and enter the date the application was signed.
If the application is completed by the Applicant’s authorized representative, attach proof of authorization.

Application for Crab IFQ or IPQ Permit
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