Application for Crab IFQ permit

Revised: 01/26/2016

OMB Control No. 0648-0514

APPLICATION FOR ANNUAL
CRAB INDIVIDUAL FISHING QUOTA
(IFQ) PERMIT

Expiration Date: 07/31/2017

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 – June 15
♦

Applications received after June 15 may not be processed and IFQ may not be issued to the applicant.

♦ Applicants for a Catcher Vessel Crew (CVC) or Catcher/processor Crew (CPC) IFQ Permit must complete Block D
and provide acceptable evidence demonstrating participation for all “YES” answers, even if they are currently in, or
have in the past joined, a crab harvesting cooperative. See Block D.
♦

If Applicant has joined a crab harvesting cooperative, applicant must ensure that they are listed on the cooperative’s
application(s) for annual crab harvesting cooperative IFQ permit.

BLOCK A –APPLICANT INFORMATION
2. Applicant’s NMFS Person ID:

1. Name of Applicant:

3. Business Mailing Address

[ ] Permanent [ ] Temporary

4. Business Telephone Number:

5. Business Fax Number:

6. Business E-mail Address:

BLOCK B – TYPE OF ANNUAL IFQ FOR WHICH APPLICATION IS MADE
1. Place a check mark to indicate those fisheries for which applicant is applying for IFQ.
[ ] ALL QUOTA SHARE (QS) FISHERIES for which applicant holds QS
Only those fisheries checked below:
[ ] BBR

[ ] BSS

[ ] EAG

[ ] EBT

[ ] WBT

[ ] PIK

[ ] SMB

[ ] WAG

[ ] WAI

[ ] YES

[

2. Do you intend to join a Cooperative?
If YES, complete Block C below.

Application for Crab IFQ Permit
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] NO

BLOCK C – COOPERATIVE IFQ ASSIGNMENT
Complete if some or all of the Applicant’s Annual IFQ 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.
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 – CVC/CPC QS Holder Statement of Participation
CVC and CPC QS holders must answer the following questions. Although CVC and CPC QS holders must complete Block
D with each annual IFQ permit application, NMFS will not withhold issuance of a CVC or CPC IFQ permit for lack of
participation prior to the 2018-2019 crab fishing year. Beginning with the 2018-2019 crab fishing year and each crab
fishing year thereafter, a CVC or CPC QS holder will not be issued a CVC or CPC IFQ permit unless the CVC or CPC QS
holder demonstrates that he or she either (1) has participated in at least one delivery of crab in any CR crab fishery during
the three crab fishing years preceding the crab fishing year for which the individual is filing an annual crab IFQ permit
application, or (2) was an initial recipient of CVC or CPC QS and participated in at least 30 days of fishing in a commercial
fishery managed by the State of Alaska or in a U.S. commercial fishery in the U.S. Exclusive Economic Zone off Alaska
during the three crab fishing years preceding the crab fishing year for which the individual is filing an annual crab IFQ
permit application. CVC and CPC QS holders may combine participation in State and federal commercial fisheries to meet
this requirement. NMFS will use the information provided below to track recent participation for CVC and CPC QS
holders.
1.

Did you participate in at least one delivery of crab in any CR crab fishery during the crab fishing year immediately
preceding the crab fishing year for which you are applying?
[ ] YES

[

] NO

If YES, attach acceptable evidence* demonstrating this participation.

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2. If you were an initial recipient of CVC or CPC QS, did you participate in State of Alaska or Alaska Federal commercial
fisheries during the crab fishing year immediately preceding the crab fishing year for which you are applying?
[ ] YES: list the number of days of participation ______.
[ ] NO

[ ] NOT APPLICABLE

If YES, attach acceptable evidence* demonstrating this participation.
*Acceptable Evidence of Active Participation is required for any YES answer. Acceptable evidence includes:
♦ an Alaska Department of Fish and Game (ADF&G) fish ticket signed by an applicant and imprinted with
the applicant’s Commercial Fisheries Entry Commission (CFEC) permit card,
♦ an affidavit indicating date of landing of crab species from the owner of a vessel upon which fishing was done,
or

♦

a signed receipt for an IFQ crab landing on which the applicant was serving as a hired master for an IFQ
permit holder.

Note: Starting July 1, 2019, and each crab fishing year thereafter, NMFS will initiate proceedings to revoke all CVC or
CPC QS held by an individual who does not meet the above participation requirements for 4 consecutive crab fishing years.
BLOCK E – 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), list
the name(s) of all owners of the Applicant, 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

%
Interest

Duplicate this form as necessary to display all of the Applicant’s owners (and owners of owners)
BLOCK F – DECLARATION OF AFFILIATION
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

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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 below:
Business
PQS/IFQ Holder Name
Business Address
Telephone Number

“Affiliation” is defined in the CR crab 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 Permit
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BLOCK G – 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 Permit
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INSTRUCTIONS
APPLICATION FOR ANNUAL CRAB
INDIVIDUAL FISHING QUOTA (IFQ) PERMIT
GENERAL
IFQ permits are issued annually to eligible persons who hold Quota Share (QS). These permits authorize their
holders to harvest a specific amount of crab, under the terms and conditions set out on the permit. IFQ permits are
valid for one year -- the crab year for which they are issued.
Because issuance of the correct amount and type of IFQ is entirely dependent on information provided by QS
holders on their annual IFQ applications, an application that is received after June 15 may not be processed and
may not yield annual IFQ.
Completed application must be received by NMFS no later than June 15. Applications received after June 15
may not be processed, and IFQ may not be issued to the applicant.
This application cannot be processed or approved unless applicant has met all the requirements and conditions of
the Crab Rationalization Program, including (as appropriate) payment of all outstanding fees submitted to NMFS
on or before July 31.
Submit the completed application:
By mail to:

NMFS Alaska Region
Restricted Access Management (RAM)
P.O. Box 21668
Juneau, AK 99802-1668

By delivery to:

Room 713, Federal Building
709 West 9th Street
Juneau, AK 99801

Or, by fax to:

907-586-7354

If you need assistance in completing this application or need additional information, call Restricted Access
Management (RAM) 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/fisheries-applications

COMPLETING THE APPLICATION
BLOCK A – APPLICANT INFORMATION
1. Provide the Applicant’s name.
2. Provide the Applicant’s NMFS Person ID.
3. Enter the business mailing address for use with this transaction. Indicate if this is a permanent change to
your business mailing address or if this is a temporary business mailing address for this transaction only.
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4-6. Provide the business telephone number, business fax number, and business e-mail address for the Applicant
or the Applicant’s designated representative
BLOCK B – TYPE OF ANNUAL QUOTA FOR WHICH APPLICATION IS MADE
1. Place a check mark to indicate those fisheries for which applicant is applying for IFQ.
Check the box for only those fisheries applying for or
Check the box ALL QS FISHERIES if applying for all fisheries for which applicant holds QS.
2. Indicate whether you intend to join a Cooperative. If YES, complete Block C.
BLOCK C – COOPERATIVE IFQ ASSIGNMENT
Complete this block if some or all of the Applicant’s Annual Individual Fishing Quota is to be assigned to a crab
harvesting cooperative.
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 QS Fisheries for which the Applicant
holds quota share, list the cooperative name in the row named ALL QS FISHERIES.
NOTE: A completed application for an annual crab harvesting cooperative
IFQ permit must be submitted annually by each crab harvesting cooperative
and received by NMFS no later than June 15. Each member of the crab
harvesting cooperative is responsible for submitting an Application for
Annual Crab Individual Fishing Quota (IFQ) Permit to NMFS no later than
June 15.
BLOCK D – CVC/CPC QS HOLDER STATEMENT OF PARTICIPATION
CVC and CPC QS holders must demonstrate active participation in a CR fishery, a State of Alaska commercial
fishery or an Alaska federal commercial fishery. Beginning with the 2018-2019 crab fishing year, NMFS will not
issue annual IFQ to any holder of CVC or CPC QS that has not demonstrated the required recent participation.
NMFS will use the information in this application to track recent participation for CVC and CPC QS holders.
Indicate “YES” or “NO” that you participated in at least one delivery of crab in any CR crab fishery during the crab
fishing year immediately preceding the date of this application.
If YES, you must provide documentation supporting your participation. Acceptable documentation is
described below and includes ADF&G fish tickets with your name and signature and/or an affidavit from the
vessel owner.
If NO, see note below.
If you were an initial recipient of CVC or CPC QS, indicate “YES” or “NO” that you participated in State of
Alaska or Alaska federal commercial fisheries in the fishing season preceding the date of this application.
If YES, list the number of days participated and provide documentation supporting your statements.
Acceptable documentation is described below.

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If NOT APPLICABLE if you were not an initial recipient of CVC or CPC QS.
If NO, see note below.
Note: No allocation of annual CVC/CPC IFQ will be withheld for lack of participation until after the
submission of the Application for Annual Permit IFQ during the fourth crab fishing season (2018-2019). CVC
and CPC QS holders who do not meet the above active participation requirements for 4 consecutive years will
have their QS revoked by NMFS 5 years (beginning July 1, 2019) from implementation of this requirement.
Acceptable documentation of active participation is required for any YES answer.
Acceptable documentation includes:
♦

an ADF&G fish ticket signed by an applicant and imprinted with the applicant’s Commercial Fisheries
Entry Commission (CFEC) permit card,

♦

an affidavit indicating date of landing of crab species from the owner of a vessel upon which fishing
was done, or

♦

a signed receipt for an IFQ crab landing on which the applicant was serving as a hired master for an
IFQ permit holder.

BLOCK E – 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

% Interest

Joe Potpuller

25%

Alice Potpuller

25%

Quotaholder Family Holdings, Inc.

50%

C. Quotaholder

25% (of 50%)

R. Quotaholder

25% (of 50%)

A. Quotaholder

25% (of 50%)

B. Quotaholder

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 F – DECLARATION OF AFFILIATION
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.

Application for Crab IFQ Permit
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Note: this Declaration of Affiliation is valid for the entire Crab Fishing Year for which the Applicant is seeking
IFQ.
Indicate (YES or NO) whether the Applicant is affiliated with one or more entity(ies) that holds PQS or IPQ.
If YES, the Applicant must provide name, business address, and telephone number for all holders of PQS or
IPQ with which it is affiliated.
If NO, the Applicant is not affiliated with any entity that holds PQS or IPQ.
BLOCK G – 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.

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