NE Region Dealer Permit Application

United States Department of Commerce
National Oceanic and Atmospheric Administration
National Marine Fisheries Service
Northeast Region
55 Great Republic Drive
Gloucester, MA 01930
October 25, 2010

Dear Federal Northeast Seafood Dealer Permit Applicant:
Enclosed is a Federal Northeast Seafood Dealer Permit Application for permit year 2011 (January 1,
2011 – December 31, 2011). 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 to NOAA Fisheries Service (NMFS) trip-level electronic reports of all
lobster, shellfish, and fish purchased or received, with the exception of dealers holding only a NE
dealer permit for Atlantic tunas. Go to: http://www.nero.noaa.gov/dealer_er/ for important
information on reporting requirements.
Notice to American lobster dealers: All federally permitted lobster-only dealers are required to
provide NMFS with trip-level electronic reports on a weekly basis of all lobster and fish purchased or received for a
commercial purpose. For questions on the Federal lobster dealer reporting requirements, contact Scott
McNamara at (207) 780-3322 or by email at [email protected].
Dealers who purchase Highly Migratory Species (HMS), specifically Atlantic bigeye, albacore,
yellowfin, and skipjack (BAYS) tunas, Atlantic sharks, 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 dealer 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. All required reports for all transactions must be received
and accepted by NMFS before your permit will be issued. 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 these 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 NMFS before we can issue you a NE dealer permit. NMFS 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 these 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
Atlantic bluefish
Atlantic deep-sea red crab
Atlantic herring
Atlantic mackerel
Atlantic sea scallop
Atlantic tunas Atlantic bluefin tuna
Albacore tuna
Bigeye tuna
Skipjack tuna
Yellowfin tuna
Black sea bass
Butterfish
Monkfish
Northeast Multispecies American plaice (dab)

Northeast Multispecies continued Atlantic Cod
Atlantic halibut
Haddock
Offshore hake
Ocean Pout
Pollock
Redfish (ocean perch)
Red hake (ling)
Silver hake (whiting)
White hake
Windowpane flounder (sand dab)
Winter flounder (blackback)
Witch flounder (grey sole)
Yellowtail flounder
Northeast Skate complex
Barndoor skate

NE Skate continued Clearnose skate
Little skate
Rosette skate
Smooth skate
Thorny skate
Winter skate
Squids Illex squid
Loligo squid
Ocean quahog
Scup
Spiny dogfish
Summer flounder
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 978-282-8438.
Sincerely,

Ted Hawes, Operations Manager
Northeast Region Permit Office
Enclosures

National Marine Fisheries Service
Northeast Regional Office / Fisheries Statistics Office
Application Instructions
Federal Fisheries Dealer Permit
Mail completed application packages to: NOAA Fisheries Service (NMFS), 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) 282-8438

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 NMFS.

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: If you are issued any of the Northeast dealer permits on this
application, with the exception of the Atlantic tunas permits, you must provide NMFS with weekly,

trip-level electronic reports of all lobster, shellfish, and fish purchased or received for a
commercial purpose.
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.

NOTICE
Revised: November 1, 2010

PLEASE READ INPORTANT INFORMATION
ON THE REVERSE
BEFORE SIGNING YOUR APPLICATION
OMB# 0648-0202 - Expiration Date: April 30, 2013

Corporations, Partnerships and Sole Proprietorships

Failure to provide the applicable information below
WILL DELAY processing of your application.
Corporations
All dealer corporations and LLCs submitting an initial application package must submit the following
documentation with the initial application:
A copy of the certificate of incorporation listing the names and addresses of all officers and
shareholders of the corporation / LLC.
All dealer corporations and LLCs submitting a renewal application package must submit the following
documentation with the renewal application:
A list of the names and addresses of all officers and shareholders of the corporation / LLC.

Partnerships
ll dealer partnerships submitting an initial application package must submit the following
documentation with the initial application:

A copy of the Partnership Agreement.
All dealer partnerships submitting a renewal application package must submit the following
documentation with the renewal application:

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 the following
documentation 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, LLC, or 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 either CFR § 648.7, § 622.5 and § 635.5 may bar issuance of
any Northeast dealer permit [CFR § 648.6]. 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.
Be aware: The Fisheries Statistics Office may report dealers to the NOAA Fisheries Service Office of Law
Enforcement for failure to submit all reports or for failure to report in a timely fashion. Activities that do
not comply with the provisions of the Magnuson-Stevens Act may subject the violator to fines and/or
permit sanctions.
Revised: November 1, 2010

OMB# 0648-0202

Expiration Date: April 30, 2013

National Marine Fisheries Service
Northeast Regional Office / Fisheries Statistics Office

Review Checklist
Dealer Permit Application
IMPORTANT: READ BEFORE CONTINUING
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 DELAY processing of
your application.

1. Review your address and contact information - make any necessary
changes on your application.
2. Check the dealer permits you have selected – do they represent the type
of fish and shellfish you buy?
3. If you conduct business under the same company name in more than
one location, list the addresses of those locations on back of application.
4. Sign and date your application.
5. Include the names of officers, shareholders, or partners in your
corporation, LLC, or partnership (see application instructions for
additional information).
6. If you are a Sole Proprietorship, include operating statement once with
initial application.

Revised November 16, 2010

THIS PAGE INTENTIONALLY LEFT BLANK FOR THE PURPOSE OF
TWO-SIDED PRINTING

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:

All corporations, LLCs,
and partnerships must
provide a copy of the
Certificate of Incorporation listing the
names of all partners,
officers, and/or shareholders in the company.
Failure to provide this
information WILL DELAY
___processing of your
the
application.

___

**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 January 26, 2011

OMB# 0648-0202

Expiration Date April 30, 2013

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
Owner name, business officers and members, address, phone number, fax number, and permit information may be
released via a NOAA Fisheries website. All other data submitted will be handled as confidential material in
accordance with NOAA Administrative Order 216-100, Protection of Confidential Fishery Statistics.
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 for a commercial purpose, other than
solely for transport on land, 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 Magnuson-Stevens 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 and / or required reports), (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 January 26, 2011

OMB# 0648-0202

Expiration Date

April 30, 2013