Application for charter halibut permit

Revised: 02/20/09

CHARTER
HALIBUT
PROGRAM

OMB Control No. 0648-XXXX Expires: XX/XX/XXXX

Application
For
Charter Halibut Permit

U.S. Department of Commerce
NOAA National Marine Fisheries Service
Restricted Access Management
P.O. Box 21668
Juneau, AK 99802-1668
Fax: 907-586-7354
Telephone: 800-304-4646 toll Free or
907-586-7202 in Juneau

Applications must be received by XX XX, 2009
LATE APPLICATIONS WILL BE DENIED
Charter Halibut permits will be issued to persons who meet the following eligibility criteria:
♦

Makes timely application during the application period.

♦

Non-transferable permit. NMFS will issue a non-transferable charter halibut permit to a person who: the
ADF&G issued the ADF&G Business Owner Licenses that authorized logbook fishing trips during the
applicable time periods; reported five bottomfish logbook fishing trips or more during one year of the
qualifying period; and reported five halibut logbook fishing trips or more during the recent participation period.

♦

Transferable permit. NMFS will issue a transferable charter halibut permit to a person who: the ADF&G issued
one or more ADF&G Business Owner Licenses that authorized logbook fishing trips during the applicable time
periods; reported 15 bottomfish logbook fishing trips or more during one year of the qualifying period; and
reported 15 halibut logbook fishing trips or more during the recent participation period.

Exemptions under unavoidable circumstance and military service provisions may be allowed if required regulatory
criteria are met by the applicant. See Block D and instructions for more information.
Refer to 50 CFR Part 300.67 for specific regulatory criteria.
BLOCK A – APPLICANT INFORMATION
1. Applicant’s Name(s):
2. Business Mailing Address (Street or P.O. Box, City, State, Zip Code):

3. Business Telephone Number:

4. Business Fax Number:

6. Is the applicant an individual U.S. Citizen?
YES [ ]
If YES, enter date of birth:

5. Business E-mail Address:

7. Is the applicant a U.S. Corporation, partnership,
association, or other business entity?
YES [ ]

NO [ ]

NO [ ]

If YES, enter the date of incorporation:

8. Is the applicant a successor-in-interest to a deceased individual or to a dissolved non-individual?
YES [ ]
NO [ ]
If YES, attach evidence of death or dissolution and evidence supporting successor-in-interest status.
Charter Halibut Permit Application
Page 1 of 12

BLOCK B -- SELECTION OF BEST YEAR FOR DETERMINATION
OF CHARTER HALIBUT PERMIT ALLOCATIONS
[

]

I have reviewed the Official Charter Halibut Record summary sent me by NMFS.
For Area 2C: I am selecting
Area 3A: I am selecting

[ ] 2004
[ ] 2004

[
[

] 2005
] 2005

as my “best year.”
as my “best year.”

Only one year (2004 or 2005) may be selected for each Area. List any claims you may have to change the
charter halibut official record summary in Block C. Proceed to Block E and Block F.
[

]

I did not receive an Official Charter Halibut Record summary.
Area 2C: I am selecting [ ] 2004
Area 3A: I am selecting [ ] 2004

[
[

] 2005
] 2005

as my “best year.”
as my “best year.”

Only one year (2004 or 2005) may be selected for each Area. Complete Block C and Block D.
Provide evidence to support your claims to one or more charter halibut permits. Complete Block E.
Sign and date the application in Block F.
[

] I am claiming eligibility for one or more charter halibut permits on the basis of an unavoidable circumstance.
Complete Blocks C, D, and E. Sign and date the application in Block F.

BLOCK C1 -- CLAIMS
Please indicate the nature of your claim that the charter halibut permit official record is incorrect:
[ ]

I do not agree with the area(s) listed on my summary. My permits should be endorsed for area(s):
[ ] 2C

[ ]

[ ] 3A

[ ] Both

I do not agree with the transfer status the summary shows my permits will have.
I should have _____ number of transferable permits and ____ number of non-transferable permits

[

]

I do not agree with the number of anglers the summary shows my permits will be endorsed for.
My permits should have ____ number of angler Endorsements.

[ ]

I do not agree you have given me credit for all charter halibut fishing businesses I owned and/or all vessels
operated by charter halibut fishing businesses I have owned.
Complete Blocks C2 and C3 as appropriate.

[ ]

I purchased the entire qualifying history of a charter halibut guide business.
Complete Blocks C and D listing the charter halibut fishing business you purchased.

[

]

I am claiming eligibility based an unavoidable circumstance that occurred in 2004 or 2005.
Complete Block D.
Charter Halibut Permit Application
Page 2 of 12

[

]

I am claiming eligibility based on an unavoidable circumstance that occurred in 2007 (the recent participation
year) Complete Block D.

[

]

I am claiming eligibility based on active duty military service that prevented my participation as the owner of a
charter halibut guide business in 2004 or 2005. Complete Block D.

[ ]

Other (describe):

C2 -- CHARTER HALIBUT FISHING BUSINESS(ES) OWNED IN 2004, 2005 AND 2007
Provide the following information for all charter halibut fishing businesses you owned in 2004, 2005 and 2007 that you
believe qualify you for charter halibut permit(s) (attach additional pages if necessary)
Name of Business

Year(s) of
Operation
(2004, 2005 and 2007)

State of Alaska
Business
License Number

Charter Halibut Permit Application
Page 3 of 12

Charter halibut
Guide
License Number

C3 -- VESSELS OPERATED BY CHARTER HALIBUT FISHING BUSINESS(ES)
YOU OWNED IN 2004, 2005 AND 2007
Vessel Name

ADF&G
Vessel
Registration
No.

USCG
Documentation
No.

Saltwater
Charter Vessel
Logbook No.

Year of
Operation
(check all that
apply)

Number of
Trips
(per year)

2004: ______

2004

[ ]

2004 ____

2005: _______

2005

[ ]

2005 ____

2007: _______

2007

[ ]

2007 ____

2004: ______

2004

[ ]

2004 ____

2005: _______

2005

[ ]

2005 ____

2007: ______

2007

[ ]

2007 ____

2004:_______

2004

[ ]

2004 ____

2005: ______

2005

[ ]

2005 ____

2007: ______

2007

[ ]

2007 ____

2004: _______

2004

[ ]

2004 ____

2005: _______

2005

[ ]

2005 ____

2007: ______

2007

[ ]

2007 ____

2004: _______

2004

[ ]

2004 ____

2005: _______

2005

[ ]

2005 ____

2007: ______

2007

[ ]

2007 ____

2004: _______

2004

[ ]

2004 ____

2005: _______

2005

[ ]

2005 ____

2007: ______

2007

[ ]

2004: _______

2004

[ ]

2004 ____

2005: _______

2005

[ ]

2005 ____

2007: ______

2007

[ ]

Charter Halibut Permit Application
Page 4 of 12

2007 ____

2007 ____

BLOCK D1 – UNAVOIDABLE CIRCUMSTANCE CLAIM
[ ]

I am applying for a charter halibut permit based on an unavoidable circumstance that occurred
in 2004 or 2005. You must provide documentation in support of your claim.
I certify that to the best of my knowledge I do not otherwise qualify for a charter halibut permit.
I owned a charter halibut fishing business that met the participation requirements (a minimum of five
bottomfish logbook trips) in 2007.
I have attached documentation that demonstrates:
♦ I had a specific intent to operate a charter halibut business that would participate in the charter halibut
in 2004 or 2005.

[ ]

♦

My intent was thwarted by a circumstance that was:
• Unavoidable;
• Unique to the owner of the charter halibut business, or unique to the charter halibut vessel; and
• Unforeseen and reasonably unforeseeable to the owner of the charter halibut business;

♦

The circumstance that prevented the owner from operating a charter halibut business that participated
in the charter halibut fishery actually occurred;

♦

Under the circumstances, the owner of the charter halibut business took all reasonable steps to
overcome the circumstance that prevented the applicant from operating a charter halibut business in
the charter halibut fishery in 2004 or 2005.

I am applying for a charter halibut permit based on an unavoidable circumstance that occurred
in the recent participation year. You must provide documentation in support of your claim.
I certify that to the best of my knowledge I do not otherwise qualify for a charter halibut permit.
I owned a charter halibut fishing business that met the participation requirements (a minimum of five
bottomfish logbook trips) in 2004 or 2005.
I have attached documentation that demonstrates:
♦ I had a specific intent to operate a charter halibut business that would participate in the charter halibut
fishery in the recent participation year;
♦

Signature

My intent was thwarted by a circumstance that was:
• Unavoidable;
• Unique to the owner of the charter halibut business, or unique to the charter halibut vessel; and
• Unforeseen and reasonably unforeseeable to the owner of the charter halibut business;

♦

The circumstance that prevented the owner from operating a charter halibut business that participated
in the charter halibut fishery actually occurred;

♦

Under the circumstances, the owner of the charter halibut business took all reasonable steps to
overcome the circumstance that prevented the applicant from operating a charter halibut business in
the charter halibut fishery in the recent participation year.
Date Signed
Charter Halibut Permit Application
Page 5 of 12

BLOCK D2 –MILITARY SERVICE CLAIM
[ ]

I am applying for a charter halibut permit based on orders to report for military service as a member of a branch
of the National Guard or military reserve that prevented my intent to participate as a charter halibut business
owner in the charter vessel fishery in 2004 or 2005.
You must provide documentation in support of your claim.
♦

I certify that to the best of my knowledge I do not otherwise qualify for a charter halibut permit.

♦

I certify that I owned a charter halibut business that met the participation requirement (a minimum
of five bottomfish logbook trips) in 2007

♦

I have provided documentation supporting my claim to have been ordered to report for military service as
a member of a branch of the National Guard or military reserve in 2004 or 2005

♦

I have provided documentation that demonstrates my specific intent to participate as a charter halibut
business owner in the charter halibut fishery in 2002 or 2003.

Signature

Date Signed

BLOCK E1 – IDENTIFICATION OF OWNERSHIP
Duplicate this block as necessary to display all of the Applicant’s owners (and owners of owners)
If the Applicant identified in Block A is not an individual (i.e. is a corporation, partnership or some other entity),
provide the name(s) of all owners of the Applicant together with the percent of ownership in the space below. If a
listed owner is not an individual, provide the same information for each such owner, including the percent of
ownership.
%
%
Name of Owner
Name of Owner
Interest
Interest

Charter Halibut Permit Application
Page 6 of 12

BLOCK E2 -- IDENTIFICATION OF AFFILIATION
Duplicate this block as necessary to display all of the persons with whom the applicant is affiliated.
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.
Provide the names of the persons with whom the applicant is affiliated at 10 percent or greater level of ownership or
control. Enter percent of interest. You do not need to repeat owner names provided in Block E1.
Name of Affiliate

% Interest

Name of Affiliate

% Interest

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, all statements in the application are true. The applicant complied
with all legal requirements that pertained to the bottomfish logbook fishing trips in 2004 and 2005 and/or the halibut
logbook fishing trips in 2007 that were reported under the applicant’s ADF&G Business License.
1. Signature of Applicant:

2. Date:

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

Charter Halibut Permit Application
Page 7 of 12

_________________________________________________________________________________
PUBLIC REPORTING BURDEN STATEMENT
Public reporting burden for this collection of information is estimated to average two 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 Assistant Regional Administrator, Sustainable Fisheries Division, Alaska Region, NMFS, P.O.
Box 21668, Juneau, AK 99802-1668.

ADDITIONAL INFORMATION
Before completing this form please note the following: 1) NMFS may not conduct or sponsor this information request, and you are not
required to respond to this information request, unless the form displays a currently valid OMB control number; 2) This information is
being used to implement the Charter Halibut Vessel Program for IPHC Regulatory Areas 2C or 3A; 3) Federal law and regulations
require and authorize NMFS to manage charter halibut programs in Alaska; 4) Submission of this information is mandatory for any entity
participating in charter halibut fishing; 5) This information is used to monitor the charter vessel program under the Northern Pacific
Halibut Act of 1982; 6) Responses to this information request are not confidential.

___________________________________________________________________________________________________

Charter Halibut Permit Application
Page 8 of 12

Instructions
APPLICATION FOR CHARTER HALIBUT PERMIT(S)
FOR IPHC REGULATORY AREAS 2C OR 3A
Applications must be received by (MON) (DAY), 2009.
LATE APPLICATIONS WILL BE DENIED.
General Permit Requirements
Charter halibut permit. In addition to other applicable permit and licensing requirements, any charter vessel
operator with one or more charter vessel anglers catching and retaining Pacific halibut onboard the charter
vessel must have onboard the vessel a valid charter halibut permit or permits endorsed for the regulatory area in
which the vessel is operating and endorsed for the number of charter vessel anglers catching and retaining
Pacific halibut.
Area endorsement. A charter halibut permit is valid only in the International Pacific Halibut Commission
regulatory area for which it is endorsed. Regulatory areas are defined in the annual management measures
published pursuant to § 300.62.
Charter vessel angler endorsement. A charter halibut permit is valid only for the maximum number of charter
vessel anglers for which the charter halibut permit is endorsed.
Charter Halibut permits will be issued to persons who meet the following eligibility criteria:
♦

Makes timely application during the application period.

♦

Non-transferable permit. NMFS will issue a non-transferable charter halibut permit to a person who: the
ADF&G issued the ADF&G Business Owner Licenses that authorized logbook fishing trips during the
applicable time periods; reported five bottomfish logbook fishing trips or more during one year of the
qualifying period; and reported five halibut logbook fishing trips or more during the recent participation
period.

♦

Transferable permit. NMFS will issue a transferable charter halibut permit to a person who: the
ADF&G issued one or more ADF&G Business Owner Licenses that authorized logbook fishing trips
during the applicable time periods; reported 15 bottomfish logbook fishing trips or more during one year
of the qualifying period; and reported 15 halibut logbook fishing trips or more during the recent
participation period.

Exemptions under unavoidable circumstance and military service provisions may be allowed if required
regulatory criteria are met by the applicant. See Block D and instructions for more information.
Refer to 50 CFR Part 300.67 for specific regulatory criteria.
Application forms are available from the National Marine Fisheries Service (NMFS) offices and on the NMFS,
Alaska Region, website at http://alaskafisheries.noaa.gov.
An application period of no less than 60 days will be specified by notice in the Federal Register during which
any person may apply for a charter vessel permit. Any application that is submitted by mail and postmarked, or
submitted by hand delivery or facsimile, after the last day of the application period will be denied.

Charter Halibut Permit Application
Page 9 of 12

♦

When completed, mail the application to:
NMFS Alaska Region
Restricted Access Management (RAM)
P.O. Box 21668
Juneau, Alaska 99802-1668
or deliver to:

709 West 9th Street Suite 713
Juneau, Alaska 99801

or fax to:

907-586-7354

♦

It is important that all blocks are completed and attachments provided. Failure to answer any of the
questions or provide any of the required documents could result in delays in the processing of your
request for a transfer.

♦

Direct any questions you may have to NMFS, RAM at 1-800-304-4846 (option 2) or
907-586-7202 (option 2).

BLOCK A – APPLICANT INFORMATION
1.
2.
3-5.
6.
7.

8.

Enter Applicant Name(s)
Enter business mailing address (street or P.O. Box, City, State, Zip Code)
Enter the business telephone number, business fax number, and business e-mail address
Indicate whether applicant is an individual U.S. Citizen. If YES, enter date of birth.
Indicate whether applicant is a U.S. Corporation, partnership, association or other business entity
Answer YES, if 75% U.S. owned. If YES, enter date of incorporation.
Answer NO, if less than 75% U.S. owned or is not a U.S. corporation, partnership or other business
entity.
Indicate whether the applicant is a successor-in-interest to a deceased individual or to a dissolved nonindividual entity. If YES, attach documentation of death or dissolution and evidence supporting
successor-in-interest status
NOTE: You cannot claim successor-in-interest status for an individual or entity that still exists.

BLOCK B -- SELECTION OF “BEST YEAR” FOR DETERMINATION OF CHARTER HALIBUT
PERMIT ALLOCATIONS
If you reviewed the Official Charter Halibut Permit Summary sent to you by NMFS, select either 2004 or 2005
as your “best year” For each Area (2C or 3A) identified on the summary. Only one year (2004 or 2005)
may be selected per Area. List any claims you may have to change the charter halibut official record
summary in Block C. Proceed to Block E and Block F.
If you did not receive an Official Charter Halibut Permit Summary, indicate the “best year” you are selecting
2004 or 2005, for each Area for which you are claiming a Charter Halibut Permit. Only one year (2004
or 2005) may be selected per Area. Complete Block C and Block D. Provide evidence to support your
claims to one or more charter halibut permits. Complete Block E. Sign and date the application in
Block F.
If you are claiming eligibility for one or more charter halibut permits on the basis of an unavoidable
circumstance, complete Block C, Block D, and Block E. Sign and date the application in Block F.

Charter Halibut Permit Application
Page 10 of 12

BLOCK C1 -- CLAIMS
Describe any claims you may have to change charter halibut official records.
•

Check the box that best describes the nature of your claims that the charter halibut permit official record
is inaccurate.

•

If “other”, describe the nature of your claims.

•

Provide documentation to support all claims.

BLOCK C2 -- CHARTER HALIBUT FISHING BUSINESS(ES) OWNED IN 2004, 2005 AND 2007
Provide the following information for all charter halibut guide businesses you owned in 2004, 2005 and 2007
that you believe qualify you for charter halibut permit(s). Use one line per business (attach additional pages if
necessary).
Name of Business
Year(s) of Operation (2004, 2005 or 2007)
State of Alaska Business License Number
Charter halibut Guide License Number
BLOCK C3-- VESSELS OPERATED BY CHARTER HALIBUT FISHING BUSINESS(ES) YOU
OWNED IN 2004, 2005 AND 2007
List the following information for all vessels operated by charter halibut guide business(es) you owned in 2004,
2005 and 2007. Use one row per vessel.
Vessel name
ADF&G vessel registration number.
United States Coast Guard (USCG) Documentation number.
Saltwater Charter Logbook number (by year)
Year of Operation (2004, 2005, and 2007) (check all that apply)
Number of Trips per year (check all that apply)
BLOCK D1 – UNAVOIDABLE CIRCUMSTANCE CLAIM
Make a check mark if you are applying for a charter halibut permit based on an unavoidable circumstance that
occurred in 2004 or 2005 or the recent participation year. You must provide documentation in support of your
claim.
Signature
Date signed
BLOCK D2 – ACTIVE DUTY MILITARY SERVICE CLAIM
Make a check mark if you are applying for a charter halibut permit based on active duty military service in the
National Guard or military reserves that occurred in 2004 or 2005. You must provide documentation, such as a
copy of the orders you received from the National Guard or military serves, in support of your claim.
Note: You cannot claim both unavoidable circumstances and activity duty military service.
Signature
Date signed
Charter Halibut Permit Application
Page 11 of 12

BLOCK E1 – IDENTIFICATION OF OWNERSHIP
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 its owners. If a listed owner is not an individual, provide the same
information for each such owner until all owners, and their percent of ownership, is reflected to the individual
level. Information should be provided to the individual level. See example below:

Name of Owner

% Interest

Joe Charter

25%

Alice Charter

25%

Charter Family Holdings, Inc.

50%

A. Charterholder

25% (of 50%)

B. Charterholder

25% (of 50%)

C. Charterholder

25% (of 50%)

D. Charterholder

25% (of 50%)

Duplicate the 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 E2 -- IDENTIFICATION OF AFFILIATION
Provide the names of the persons with whom the applicant is affiliated and percent interest.
♦

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.

♦

An indirect interest is one that passes through one or more intermediate entities. An entity's percentage
of indirect interest is equal to the entity's percentage of direct interest in an intermediate entity
multiplied by the intermediate entity's percentage of direct, or indirect, interest in the applicant.

♦

The term control includes:
Ownership of more than 10% of the entity;
The right to direct the business of the entity;
The right to limit the actions of 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; or
The right to direct the operation of the applicant’s business.
The term "control" does not include the right to simply participate in the above actions.

BLOCK F – APPLICANT SIGNATURE
Applicant must print name, sign and date the application. If completed by an authorized representative, attach
authorization.

Charter Halibut Permit Application
Page 12 of 12