:Permits PIA 2008

National Oceanic and Atmospheric Administration
(NOAA)
Permits and Registrations for Fisheries under the
Jurisdiction of the National Marine Fisheries Service
(NMFS)

Permits and Registrations for Fisheries under the Jurisdiction of the
National Marine Fisheries Service (NMFS)
Privacy Impact Assessment Statement
June 2008

Prepared by: Sarah Brabson, NOAA Office of the Chief Information Officer

Permits and Registrations for Fisheries under the Jurisdiction of the
National Marine Fisheries Service (NMFS)
Privacy Impact Assessment Statement
Project: Permits and Registrations for NMFS Commercial and Recreational
Fisheries and Protected Resources
ID Number: 006-48-01-14-02-3305-00
OMB information collection control numbers:
OMB
Control
No.
0648-0013
0648-0084

0648-0151
0648-0194
0648-0202
0648-0203
0648-0204
0648-0205
0648-0206
0648-0218
0648-0229
0648-0230
0648-0272
0648-0304
0648-0309
0648-0316
0648-0327
0648-0334
0648-0345
0648-0387
0648-0393
0648-0402
0648-0463
0648-0490
0648-0495
0648-0514
0648-0545
0648-0551
0648-0569

Title of Collection

Southeast Region Dealer Permit Family of Forms
Basic Requirements for Special Exception Permits and Authorizations to Take,
Import, and Export Marine Mammals and Endangered and Threatened Species and
for Maintaining a Captive Marine Mammal Inventory Under the Marine Mammal
Protection Act, the Fur Seal Act, and the Endangered Species Act
Applications and Reporting Requirements for Small Take of Marine Mammals by
Specified Activities Under the Marine Mammal Protection Act
Antarctic Marine Living Resources Conservation and Management Measures
Northeast Region Permit Family of Forms
Northwest Region Permit Family of Forms
Southwest Region Permit Family of Forms
Southeast Region Permit Family of Forms
Alaska Region Permit Family of Forms
South Pacific Tuna Act Permit Applications
Northeast Region Dealer Permit Family of Forms
Permits for Incidental Taking of Endangered or Threatened Species
Individual Fishing Quotas for Pacific Halibut and Sablefish in the Alaska Fisheries
High Seas Fishing Permits
Scientific Research, Exempted Fishing, and Exempted Activity Submissions
Prohibited Species Donation Program
Atlantic Highly Migratory Species Vessels Permits
Alaska License Limitation Program for Groundfish, Crab, and Scallops
Southeast Region Bycatch Reduction Device Certification Family of Forms
International Dolphin Conservation Program
American Fisheries Act: Vessel and Processor Permit Applications
Application and Reports for Scientific Research and Enhancement Permits Under
the Endangered Species Act
Pacific Islands Region Coral Reef Ecosystems Permits
Pacific Islands Region Permit Family of Forms
Atlantic Highly Migratory Species Vessel Chartering Permits
Alaska Region BSAI Crab Permits
Alaska Rockfish Pilot Program
Southeast Region Gulf of Mexico Red Snapper IFQ Program
Alaska Individual Fishing Quota Temporary Transfers

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NOAA
Security
System
Number
NOAA4300
NOAA4800

NOAA4800
NOAA4020
NOAA4100
NOAA4800
NOAA4010
NOAA4300
NOAA4700
NOAA4010
NOAA4100
NOAA4800
NOAA4700
NOAA4020
NOAA4800
NOAA4700
NOAA4011
NOAA4700
NOAA4300
NOAA4010
NOAA4700
NOAA4800
NOAA4010
NOAA4010
NOAA4011
NOAA4700
NOAA4700
NOAA4300
NOAA4700

Project Description
In order to manage U.S. fisheries, the NOAA National Marine Fisheries Service (NOAA
Fisheries) requires the use of permits or registrations by participants in the United States.
Applications for permits and registrations are collected from individuals under the
authority of the Magnuson-Stevens Fisheries Conservation and Management Act; High
Seas Fishing Compliance Act; American Fisheries Act; Atlantic Coastal Fisheries
Cooperative Management Act; Atlantic Tunas Convention Authorization Act; Tuna
Conventions Act of 1950, Northern Pacific Halibut Act; Antarctic Marine Living
Resources Convention Act; Endangered Species Act; Marine Mammal Protection Act;
International Fisheries Regulations regarding U.S. Vessels Fishing in Colombian Treaty
Waters; and other international conventions and treaties to which the U.S. is a signatory.
NOAA Fisheries has established the National Permits System to accept and maintain all
permit applications and related data. All regional and other program systems are either
housed within this system, with mirror sites available at the region/program sites
(Southwest Region and Pacific Islands Region) or are in the process of being linked with
NPS.

1. What information is to be collected (e.g., nature and source)?
All NOAA Fisheries Regions collect and maintain information needed to issue fisheries
permits and registrations. There are six NOAA Fisheries Regions: Northeast, Southeast,
Northwest, Southwest, Alaska, and Pacific Islands. Each of these Regions issues
fisheries permits and registrations programs.
Additionally, there are three NMFS Headquarters Offices that issue permits. The Office
of International Affairs (IA) issues permits as part of its responsibility to administer
international fisheries agreements. Under a 1982 international convention, IA issues
Antarctic Marine Living Resources (AMRL) Trade Permits to protect and conserve the
marine living resources in the waters surrounding Antarctica. IA also issues high sears
fishing permits under the High Seas Fishing Compliance Act.
The Office of Protected Resources issues endangered species permits pursuant to
Endangered Species Act and marine mammal permits under the Marine Mammal
Protection Act.
The Office of Sustainable Fisheries, Highly Migratory Species Division issues Atlantic
Highly Migratory Species Vessel Permits as part of its responsibility to manage highly
migratory species.
Information collected and maintained by all the NMFS Regions and Headquarters Offices
includes the name, contact information and date of birth for the applicant and other
individuals (e.g., vessel owner) on the application; information about the vessel (e.g.,

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identification numbers and physical characteristics); and current permit number, status,
and expiration date.
The Tax Identification Number (TIN), which may be either the Employer Identification
Number (EIN) or a sole proprietor’s Social Security Number (SSN), is required for all
permits, under the authority of the Debt Collection Improvement Act, 31 U.S.C. 7701.
Individual NMFS Regions and Headquarters Offices may require additional information
from the applicant, e.g., photograph of applicant, depending upon specific regulatory or
program requirements. The specific data elements collected by each are identified in the
Appendix.
2. Why is the information being collected (e.g., to determine eligibility)?
This information is necessary to evaluate the qualifications of fisheries permit applicants,
maintain a record of participants in the fisheries, and manage the fisheries in accordance
with U.S. laws and international treaties and conventions.
3. What is the intended use of the information (e.g., to verify existing data)?
This information will allow NMFS to identify owners and holders of permits and nonpermit registrations and vessel owners and operators, evaluate permit applications, and
document agency actions relating to the issuance, renewal, transfer, revocation,
suspension or modification of a permit or registration.
4. With whom the information will be shared (e.g., another agency for a specified
programmatic purpose)?
A Privacy Act system of records notice (SORN), COMMERCE/NOAA #19, Permits and
Registrations for United States Federally Regulated Fisheries, was published in the
Federal Register on April 17, 2008 (73 FR 20914) and became effective on June 11, 2008
(73 FR 33065). COMMERCE/NOAA #12, Marine Mmmals, Endangered and Threatened
Species, Permits and Exempted Applicants has been revised to include the collection of
the TIN and date of birth, and the revision is under review at NMFS.
The SORNs provide, where applicable, that the records may be shared under the
following circumstances:
a. In the event that a system of records maintained by the Department of Commerce to
carry out its functions indicates a violation or potential violation of law or contract, or the
necessity to protect an interest of the Department of Commerce, the relevant records may
be referred to the appropriate agency, whether federal, state, local or foreign, charged
with the responsibility of investigation or prosecuting such violation or charged with
enforcing or implementing the statute or contract, or rule, regulation or order issued
pursuant thereto, or protecting the interest of the Department of Commerce.

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A record may also be disclosed:
b. In the course of presenting evidence to a court, magistrate or administrative tribunal,
including disclosures to opposing counsel in the course of settlement negotiations.
c. To a Member of Congress submitting a request involving an individual when the
individual has requested assistance from the Member with respect to the subject matter of
the record.
d. To the Department of Justice in connection with determining whether the Freedom of
Information Act (5 U.S.C. 552) requires disclosure.
e. To the Department of Treasury for the purpose of reporting and recouping delinquent
debts owed the United States pursuant to the Debt Collection Improvement Act of 1996.
f. To the Department of Homeland Security for the purposes of determining the
admissibility of certain seafood imports into the United States.
g. To a contractor of the Department of Commerce having need for the information in the
performance of the contract.
h. To approved persons at the state or interstate level within the applicable Marine
Fisheries Commission for the purpose of co-managing a fishery or for making
determinations about eligibility for permits when state data are all or part of the basis for
the permits.
i. To the applicable Fishery Management Council (Council) staff and contractors tasked
with development of analyses to support Council decisions about Fishery Management
Programs.
j. To the applicable NMFS Observer Program for purposes of identifying current permit
owners and vessels and making a random assignment of observers to vessels in a given
fishing season.
k. To the applicable Regional or International Fisheries Management Body for the
purposes of identifying current permit owners and vessels pursuant to applicable statutes
or regulations and/or conservation and management measures adopted by a Regional or
International Fisheries Management Body; the Food and Agriculture Organization of the
United Nations; Commission for the Conservation of Antarctic Marine Living Resources;
Inter-American Tropical Tuna Commission; International Pacific Halibut Commission;
and International Commission for the Conservation of Atlantic Tunas.
l. To appropriate agencies, entities, and persons when: (1) it is suspected or confirmed
that the security or confidentiality of information in the system of records has been
compromised; (2) the Department has determined that, as a result of the suspected or
confirmed compromise, there is a risk of harm to economic or property interests, identity
theft or fraud, or harm to the security or integrity of this system or other systems or
programs (whether maintained by the Department or another agency or entity) that rely
upon the compromised information; and (3) the disclosure made to such agencies,
entities, and persons is reasonably necessary to assist in connection with the
Department’s efforts to respond to the suspected or confirmed compromise and prevent,
minimize, or remedy such harm.

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5. What opportunities do individuals have to decline to provide information (i.e.,
where providing information is voluntary) or to consent to particular uses of the
information (other than required or authorized uses), and how can individuals
grant consent?
The personal information is collected when the individual completes the appropriate
application. Prior to completion of the application, the individual is advised that
providing the information is voluntary. However, NMFS will not be able to issue a
permit if the individual does not provide each item of information requested. The
individual may choose to decline to provide the required personal information or to
consent to the particular use of his/her personal information at that time.
6. How will the information be secured (e.g., administrative and technological
controls)?
Management Controls:
Databases are located either at NOAA Headquarters in Silver Spring, Maryland, or in
regional offices or science centers, in building with doors that are locked during and after
business hours. Visitors to all buildings must register with security guards and be
accompanied by a federal official at all times. Paper records are stored in locked file
cabinets.
Operational Controls:
Electronic records are protected by a user identification/password. The user
identification/password is issued to NMFS employees that have a need to access the
system as part of their duties and as approved by the appropriate authorizing official.
Technical Controls:
All NMFS Permit systems are currently considered to have “adequate security”, through
the Certification and Accreditation process, as defined in OMB Circular A-130.
Certification and Accreditation (C&A) is the process of formal assessment, testing
(certification), and acceptance (accreditation) of system security controls that protect IT
systems and data stored in and processed by those systems. It is a process that
encompasses the system’s life cycle and ensures that the risk of operating a system is
recognized, evaluated, and accepted.
Information by region/program in response to the OMB requirement in
Memoranda M-06-16 and M-07-16 that operating units must log all computerreadable data extracts from databases holding sensitive information and verify that
each extract including sensitive data has been erased within 90 days or determine
that its use is still required (see next page).

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National Permits System
All regional and other program systems are either housed within this system, with mirror
sites available at the region/program sites (currently Southwest Region and Pacific
Islands Region) or are in the process of being linked with NPS.
The Certification and Accreditation (C&A) for this system is current and is in force. The
C&A certifies that the system meets Department of Commerce Minimum IT Security
Standards, and must be approved before the system can go into operation. Also, all
related IT security plans are current.
The NMFS National Permits System (NPS) is an information system for
administering and processing commercial fishing permits, housed in an Oracle database
at the NMFS Office of the CIO (OCIO) in Silver Spring. Access to the NPS environment
at the OCIO includes permit processing managers and staff from NMFS regional offices
along with limited IT staff who are maintaining the system. Future plans will extend use
access to law enforcement and other pertinent data users. When Permit processors
complete online application forms (from paper forms mailed by the applicant) they are
accessing or providing PII information as part of the online permit application processes.
Although the NPS system does not directly support a database extract by the end-users,
information (name, address, masked/encrypted SSN) can be viewed online, in reports,
and through a letter generator module. The reports and letter generator information can be
saved outside of the NPS database.
A user's access to NPS information is limited, based on hjs/her role or set of privileges.
Different areas of the system are restricted based on these privileges, and only users with
the appropriate role/privilege can obtain access. For instance, the Data-User role cannot
access the letter generator or view unmasked SSN.
Excluding the process of applying for a permit, the permit holder's SSN remains masked
and encrypted. Other PII information such as name and address are used for several tasks
such as generate letters to permit holders for sending pre-filled renewal form via postal
mail. The users of the system are trained on the sensitivity of information they are
handling.
NPS does not conduct any automated follow up to investigate if information has been
destroyed. In many cases the information has been mailed to the applicant or filed. We
will add a notice that says "Personally Identifiable information must be destroyed after 90
days if no longer needed" on the report and letter generator pages.
Certain users of the system are considered "Regional Administrators". They are
responsible for creating and monitoring their users and their activities on this system.
The system is backed up every day and each transaction is recorded.

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Northeast Region
A C&A was completed for this system and is current and in force.
Data extracts are defined in this context as records of information that are downloaded or
copied from a NMFS Northeast Regional Office (NERO) database system, such as the
Electronic Document Management System (EDMS) or hard copy records of information
that are accessed by NERO staff and maintained in electronic format outside of the
originating system. Actions described here are limited to data extracts that contain
personally identifiable information (PII) that is considered to be very sensitive in nature,
such as SSNs, credit card and bank account numbers, medical information, and certain
information from charges, complaints, or cases that are not yet filed in court.
NERO is attempting to reduce the number of data extracts that are subject to this
requirement by reducing the amount of sensitive information, including sensitive PII, in
its databases and by limiting users’ ability to perform extracts from databases with
sensitive information. NERO will also grant only authorized users access to the scanned
and hard copy permit documents.
Redaction
NERO will use data scrubbing techniques to remove sensitive information from scanned
documents before they are made accessible to authorized staff. Data scrubbing (redaction
of PII) will remove sensitive information permanently from electronic scanned
documents prior to posting on the NERO EDMS (Docushare). Docushare will be used as
the primary method for data access of NERO records. Thus, data accessed through
Docushare will not contain sensitive information. PII contained on the original hard copy
documents will not be redacted and will thus remain unchanged. However, the hard copy
documents will not be maintained on site and will be archived periodically with the
National Archives and Records Administration (NARA).
Prior to redaction, Permit staff will have temporary access to electronic records that
contain PII during the document conversion process (scanning). Unredacted electronic
files will not be maintained on the NERO network longer than 90 days. Permit staff will
perform all redaction and extracts containing sensitive information in a central and secure
location so that other general users cannot directly access extracts containing PII. Once a
document has been scanned, it will be reviewed for PII and if found, PII will be
permanently redacted from the original scanned document. This redacted document will
then be made available to the authorized users of the electronic permit files. Redaction
responsibilities will be limited to one or two Permit staff.
There is a possibility that sensitive PII will be missed during the review and redaction
process and will thus be accessible through the DocuShare system. To minimize the
effects of this, users of the Docushare system will be required to sign a statement of nondisclosure which will contain rules about not downloading files to their computer and
other devices and not disseminating electronic files. If PII is detected in the documents
available through DocuShare, a system will be established to alert the Permit office of
potential PII and procedures to fix the issue if necessary.
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Hard copy records
There may be an infrequent need for NERO staff to access the official hard copy
documents. When a data extract of a hard copy document is requested, the Permit office
will maintain a log for requested and extracted hard copy records that contain sensitive
PII. The log will include the date the data was extracted and removed from NARA
archive box and provided to the requestor, a description of the data extracted, the purpose
of the extract, the expected date of disposal or return, and the actual date of return or
deletion. Requestors will conduct their review of the hard copy records within the Permit
office domain and extracted hard copy records will not be physically removed from the
Permit office when they are received from NARA. The Permit office will also ensure
that any extract which is no longer needed is returned to NARA premises and that this
activity is recorded on the log.
Alaska Region
A C&A was completed for this system and is current and in force.
Data extracts are performed only on an infrequent basis, usually when formally requested
by the State of Alaska or another federal government agency such as the Internal
Revenue Service. When an extract must be generated, Restricted Access Management
staff develops the extract routine and generates the data, provides the appropriate nondisclosure notices, and formally transmits the data to the requesting party. Currently, this
logging process is entirely manual. In those cases where an extract that contains sensitive
PII data is required, the extract is tracked via manual entry and a determination is made
up front to verify the duration of the extracted data.
A notice is provided that the data on NMFS computers must be destroyed after 90 days if
it is no longer required. The manual logs of who currently has extracted PII data are
reviewed monthly.
Northwest Region
A C&A was completed for this system and is current and in force.
No data extracts are made. Only the system administrator has the capability of extracting
data, but there is currently no reason to do so. If the status changes, an update will be
provided. The audit logs described above are reviewed by the system administrators
daily, and are kept for at least one year.
Office of International Affairs
A C&A was completed for this system and is current and in force.

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Audits are conducted through the development of history tables. These tables track any
changes occurring to the database objects at any given time, by whom, and what has been
updated.
User access at the database level is manually checked by the system administrator daily.
Since there is not a need to extract data, the automatic audit at the database level has not
been activated.
Office of Protected Resources
Sensitive information, i.e. TINs, will not be stored electronically, but in locked cabinets
with access only by one staff member. Any extracts made for the purpose of submitting
debt checks to the Treasury Department will be destroyed as soon as the information is
transmitted.
Atlantic Highly Migratory Species
A C&A was completed for this system and is current and in force.
The system performs exports of the entire database three times daily. Logging of these
exports is reviewed weekly for unusual entries. The daily exports are currently posted to
a File Transfer Protocol (FTP) site which NMFS in turn pulls down and then imports into
their system. Development for a new method of posting and pulling these exports is
underway and scheduled to be released in the upcoming months. Daily exports are
programmatically overwritten, when downloading, by the next day’s export, so no export
is kept for more than 24 hours.
Additionally, all NOAA systems adhere to the standards in National Institute of
Standards and Technology (NIST) computer security publications, including NIST SP
800-18, Guide for Developing Security Plans for Federal Information Systems; NIST SP
800-26, Security Self-Assessment Guide for Information Technology Systems; and NIST
SP 800-53, Recommended Security Controls for Federal Information Systems.
7. Is a system of records being created under the Privacy Act, 5 U.S.C. 552a?
A Privacy Act system of records notice (SORN), COMMERCE/NOAA #19, Permits and
Registrations for United States Federally Regulated Fisheries, was published in the
Federal Register on April 17, 2008 (73 FR 20914) and became effective on June 11, 2008
(73 FR 33065). COMMERCE/NOAA #12, Marine Mammals, Endangered and
Threatened Species, Permits and Exempted Applicants has been revised to include the
collection of the TIN and date of birth, and the revision is under review at NMFS.

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8. Are these records covered by an approved records control schedule?
Yes. Fishing Vessel Permit Files are covered in the NOAA Records Disposition
Handbook, item 1504-11. Chapter 1500 was approved by NARA in September 2006
under Job Nos. N1-370-06-2 and 3. Permit files for foreign vessels authorized to fish in
the U.S. economic zone are destroyed 15 years after expiration or rejection of the permit
application. For U.S. vessels fishing in the U.S. zone or foreign zones, the retention
period is six years after expiration or rejection.
Program Contact Person:
Ted Hawes
Fishery Information Specialist, NMFS Northeast Regional Office
(978) 281-9296

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APPENDIX
All Permits and Registrations
The information collected and/or maintained by all NMFS Regions and Headquarters
Offices includes, where applicable, the current permit number, permit status, type of
permit applied for, name of applicant and other individuals on the application (vessel
owner(s), owner’s agent, operator, dealer, corporation members), Tax Identification
Number (Employer Identification Number or Social Security Number), dates of birth,
addresses, and telephone numbers (business, cellular, and/or fax), U.S. Coast Guard
Certificate of Documentation number or state vessel registration number and date of
expiration, name of corporation and articles and date of incorporation, and vessel name,
function, and characteristics, including length, breadth, external markings, hull or
superstructure color, gross and net tonnage, type of construction, fuel capacity and type,
horsepower of engine and pump, and product storage facility.
Additional information is collected and/or maintained by individual regions and permit
programs, as indicated below.
Northeast Region
For transferable permits: hair and eye color, height and weight, ID-sized photograph,
medical records for resolution of permit dispute, enforcement actions, court and legal
documents, and permit sanction notices files by General Counsel, credit card and
or/checking account numbers, cancelled checks, tax returns; internal permit number
specific to each limited entry permit, baseline specifications on limited entry permit;
country, captain’s license, State and Federal Dealer Numbers (if applicable), coast on
which dealer does business, processing sector, facilities where fish received, vessel
landing receipts and records, dealer purchase receipts, bills of sale; type of vessel
registration, NMFS unique vessel ID, year vessel built, hailing port, hailing port state,
principal port, principal state, vessel operations type (catching and/or processing: for atsea processing permit), fish hold capacity, passenger capacity, VMS status, crew size;
fishery type, fishery management plan and category, maximum days at sea, quota
allocation and shares, regional fishery management organization, species or species code;
type of gear, gear code and rank, buoy and trap/pot color, number of tags assigned to
vessel, number of traps, dredge size and number.
Southeast Region
Fee payment information; business e-mail address, website, gender, hair and eye color,
height and weight, ID-sized photograph, Dunn and Bradstreet Corporation Number,
NMFS internal identification number, county, country, marriage certificate, divorce
decree, death certificate, trust documents, probated will, enforcement actions, court and
legal documents, and permit sanction notices files by General Counsel; name of vessel
permit applicant if not owner, and relationship to owner, type of vessel ownership,
captain’s license, original permit, permit payment information, name of permit transferor

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and number of permit before transfer, permit and vessel sale price (for permit transfers),
date of permit transfer signature, notarized, sale and lease agreement with lease start and
end dates if applicable, income or license qualifier for certain fisheries, Income
Qualification Affidavit for income qualified fisheries; U.S. importer number, State and
Federal dealer numbers (if applicable), plant name and operator; hull identification
number, hailing port and hailing port state, year vessel built, location where vessel built,
fish hold capacity, live well capacity, radio call sign, vessel communication types and
numbers, crew size, passenger capacity; fishery type; quota shares, vessel landing
receipts and records, bills of sale, processing facility where fish are received; gear type,
species/gear endorsements, buoy/trap color code, number of traps, trap tag number
series, trap dimensions, trap mesh size, designated fishing zone; aquaculture reports: site
description, material deposited and harvested, value of material, Highly Migratory
Species workshop certificate, informational telephone calls recorded with member of
public's knowledge, for customer service evaluation and constituent statement records.
Northwest Region
Fee payment information; business e-mail address, NMFS internal identification number,
ownership rank if applicable; permit payment information, credit card and/or checking
account numbers, canceled checks, tax returns; divorce decree, marriage certificate, city
and state where married, death certificate, probated will, trust documents, medical
records for emergency transfer of certain permits only, enforcement actions, court and
legal documents, and permit sanction notices files by General Counsel; name of permit
transferor and number of permit before transfer, period of permit lease, permit price;
location where vessel built, fishery type, quota shares, species and gear endorsements;
gear code, amount of landed fish or processed fish product, operation as mother ship with
start and end date.
Southwest Region
Business e-mail address, applicant’s name and relationship to owner or owner manager if
not owner or operator, country, Dunn and Bradstreet Corporation Number, other federal,
state and commercial licenses held by operator, name of permit transferor and number of
permit before transfer; type of vessel (commercial fishing, charter), vessel photograph,
hull identification number, hailing port, hailing port state, principal port, principal port
state, year vessel built, where vessel built, maximum vessel speed, fish hold capacity,
processing equipment, passenger capacity, crew size, international radio call sign, Vessel
Monitoring System (VMS) status, dolphin safety gear on board, previous vessel flag,
previous vessel name and effective dates; species/gear endorsements, fishery type; type
of fishing gear, gear code, fishing status (active or inactive), intent to make intentional
purse seine sets on marine mammals, date, location, and provider of most recent tuna
purse seine marine mammal skipper workshop.

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Alaska Region
Business e-mail address, country, NMFS internal identification number, citizenship,
reference names, owner beneficiary, death certificate, marriage certificate, divorce
decree, trust documents, probated will, medical information for emergency transfer of
certain permits only, enforcement actions, court and legal documents, and permit sanction
notices files by General Counsel, credit card and/or bank account numbers, canceled
checks, tax returns; name of Alaska Native tribe; community of residence; fishery
community organization, community governing body contact person, nonprofit name,
community represented by nonprofit, cooperative representative; percent of ownership
interest; permit restrictions, quota type, names of other quota holders if affiliated with
any, cooperative member receiving quota against cap, names and relationship of permit
transferor and transferee, transfer eligibility certificate, sector and region before transfer;
relationship of transferor and transferee, reason for transfer, broker’s name and fee, lien
information (if applicable), quota transfer costs; permit financing source, permit fee,
sale/lease agreement, period of lease, agreement to return shares (if applicable), for crab
rationalization: affidavit that right of first refusal contracts were signed; number of units
and pounds of fish transferred; applicable dealer license numbers, processing plant name
and identification, operation type and operator; type of vessel registration, State of Alaska
registration number, NMFS vessel identification number, hull identification number,
hailing port and hailing port state, numbers of existing permits if applicable to current
application, documentation of loss or destruction of a vessel, list of vessels in a vessel
cooperative, vessel operations type in terms of catching and/or processing; species/gear
endorsements for fisheries requiring vessel monitoring systems, fishery type, species or
species code, fishery management plan, days at sea allocations, quota shares; type of
fishing gear, gear code; vessel landing receipts and records, bills of sale, delivery
receipts, dealer purchase receipts, processing sector and facility where fish are received,
statement from processor that there is a market for rockfish received from applicant for
entry level harvester permit.
Pacific Islands Region
Photograph identification, citizenship, credit card and/or checking account numbers,
cancelled checks, owner of checking account from which permit fees made, enforcement
actions, court and legal documents, and permit sanction notices files by General Counsel;
name of permit transferor and number of permit before transfer, International Maritime
Organization number, NMFS vessel identification number, international radio call sign,
year vessel built, location where vessel built; fishery type, percent of ownership interest,
ownership and catch history as basis for exemption eligibility, days at sea allocations,
quota shares; vessel landing receipts and records, dealer purchase receipts, bills of sale.
Office of International Affairs
High Seas Fishing Permits
Citizenship, internal identification number, percent/rank of ownership interest, hull
identification number, type of vessel registration, year vessel built, where vessel built,
fish hold capacity, hailing port, hailing port state, crew size, international radio call sign,

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previous vessel flag, previous vessel name, fishery type, fishery management plan,
regional fishery management organization, type of fishing gear, and gear code.

Antarctic Marine Living Resources Trade Permits
Nationality, type of vessel (commercial fishing, charter), where vessel built, year vessel
built, fish hold capacity, International Maritime Organization number, if issued, vessel
communication types and serial numbers, details of tamper-proof VMS elements, ice
classification, processing equipment, international radio call sign, foreign vessel flag,
previous vessel flag, previous vessel name, permit number of supporting foreign vessel,
crew size, species code, and type of fishing gear.
Office of Protected Species
Endangered Species and Marine Mammal Permits
Qualifications and e-mail addresses of individuals listed on the applications and a
description of proposed activities.
Office of Sustainable Fisheries
Atlantic Highly Migratory Species Vessel Permits
Business email, Website, Dunn and Bradstreet Corporation Number, percent/rank of
ownership interest, lease start/end date, income or license qualifier for certain fisheries,
U.S. Importer Number (dealers), state and federal Dealer Numbers if applicable,
processing facility where fish are received, type of vessel registration, hull identification
number, passenger capacity, crew size, hailing port, hailing port state, principal port,
principal port state, fish hold capacity, year vessel built, fishery type, species or species
code, type of fishing gear, and gear code.
National Saltwater Angler Registry Program
These categories only: name, TIN, address, telephone number, designation as owner or
operator of for-hire vessel, vessel name and registration/documentation number and a
statement of the region(s) in which the registrant fishes.

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