Application for transfer of crab QS/IFQ to or from an EC

Revised: 08/05/2014

OMB Control No. 0648-0514 Expiration Date: 07/31/2017

Application for Transfer of
Crab QS/IFQ to or from a
Eligible Crab Community
Organization (ECCO)

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

This form may only be used if an Eligible Crab Community Organization (ECCO) is the proposed transferor (seller) or
the proposed transferee (buyer) of the Quota Share (QS) or Individual Fishing Quota (IFQ).
♦

The party to whom an ECCO is seeking to transfer the QS/IFQ must hold a Transfer Eligibility Certificate
(TEC) issued by RAM.

♦ This application will not be considered complete until NMFS verifies that applicant submitted the annual crab
Economic Data Report and paid all outstanding fee obligations.

♦

ATTACHMENTS
A copy of the terms of agreement for the transfer, the bill of sale for QS or PQS, or lease agreement for
IFQ or IPQ.

♦

An affirmation that the individual receiving IFQ from an ECCO has been a permanent resident in the ECC
for a period of 12 months prior to the submission of this application to or from an ECCO on whose behalf
the ECCO holds QS.

♦

ECCO verification that he/she submitted a completed annual report.

♦

Applications involving the permanent transfer of PQS outside the community in which the processing
facility resides must include a statement by an authorized representative of that community indicating that
the community was offered the right of first refusal on the sale of this PQS.

1. Name:

BLOCK A – IDENTIFICATION OF TRANSFEROR (SELLER)
2. NMFS Person ID:

3. Permanent Business Mailing Address:

5. Business Telephone Number:

4. Temporary Business Mailing Address (if applicable):

6. Business Fax Number:

7. E-mail address:

8. Is transferor an ECCO?
YES [ ]

NO [ ]

9. If YES, provide name of Community represented by the ECCO ________________________________________
10. Has transferor submitted an EDR, if required to do so under § 680.6?
YES [ ]

NO [ ]

NOT APPLICABLE [ ]

Application for Transfer of Crab QS/IFQ to or from an ECCO
Page 1 of 11

11. Has transferor paid all fees, as required by § 680.44?
YES [ ]

NO [ ]

NOT APPLICABLE [ ]

BLOCK B B IDENTIFICATION OF TRANSFEREE (BUYER)
2. NMFS Person ID:

1. Name

3. Permanent Business Mailing Address:

5. Business Telephone Number:

4. Temporary Business Mailing Address (see
instructions):

6. Business Fax Number:

7. Business E-mail Address:

8. Is transferee an ECCO?
YES [ ]

NO [ ]

9. If YES, provide name of Community represented by the ECCO
10. Has transferee submitted an EDR, if required to do so under § 680.6?
YES [ ]

NO [ ]

NOT APPLICABLE [ ]

11. Has transferee paid all fees, as required by § 680.44?
YES [ ]

NO [ ]

NOT APPLICABLE [ ]

Application for Transfer of Crab QS/IFQ to or from an ECCO
Page 2 of 11

BLOCK C -- IDENTIFICATION OF QS/IFQ TO BE TRANSFERRED
(Complete Block E if QS and IFQ are to be transferred together or if you are applying to transfer QS only)
1. QS Species:
2. QS Type:
[__] BBR

[__] EBT

[__] WBT

[__ ] CPO

[__] CVO

[__] BSS

[__] EAG

[__] PIK

[__] CPC

[__] CVC

[__] SMG

[__] WAG

[__] WAI

3. Number of QS or IFQ to be
transferred:

4. Number of IFQ pounds:

[__] PQS

5. Total QS units:

6. Range of serial numbers to be transferred (shown on QS certificate):
To
From

7. Name of community to which QS are currently assigned:
8. Should remaining IFQ pounds for the current fishing
year be transferred?
YES [__]

If NO, specify number of pounds to be transferred

NO [__]

9. Reason for transfer (check all that apply)
[ ] ECCO management and administration

[ ] Fund additional QS purchase

[ ] Dissolution of ECCO

[ ] Participation by community residents

[ ] Other (specify)

BLOCK E - TRANSFER OF IFQ ONLY (LEASE OF IFQ)
This block should only be completed if the ECCO is applying to transfer IFQ to a permanent resident
of the community on whose behalf the ECCO holds the QS.

IFQ Permit Number:

Year of Permit:

Number of IFQ pounds:

Note: If the ECCO is applying to permanently transfer QS, a representative of the community on whose behalf the QS
is held must sign the application.
Additionally, attach a statement by an authorized representative of that community indicating that the
community has been offered the right of first refusal on the sale of this PQS.

Application for Transfer of Crab QS/IFQ to or from an ECCO
Page 3 of 11

BLOCK F – PRICE PAID FOR QS, PQS, AND/OR IFQ, IPQ (TRANSFEROR)
1. Is a broker being used for this transaction?

[__] YES

[__] NO

If YES, how much is being paid in brokerage fees?
$_____________________
or
__________________% of total price.
2. What is the total amount being paid for the QS/IFQ or QS/IPQ in this transaction, including all fees?
3. Give both the price per unit of QS and the price per pound of IFQ or IPQ:
$______________________________/Unit of QS IFQ/IPQ $________________________________/#
(Price divided by QS Units)
(Price divided by IFQ pounds)
4. Reason for transfer (check all that apply):
[__] ECCO management and administration

[__] Fund additional QS purchase

[__] Participation by community residents

[__] Dissolution of ECCO

[ ] Other (specify) ___________________________________________________________________

BLOCK E -- METHOD OF FINANCING FOR THE QS, PQS AND/OR IFQ, IPQ (TRANSFEE)
1. Will the QS/IFQ being purchased have a lien attached?

YES [__]

NO [__]

If YES, provide the name of lien holder ___________________________________________________________
2. What is the primary source of financing for this transfer? (check one)
[__] Personal resources (cash)

[__] AK Com. Fish & Ag. Bank

[__] Received as a gift

[__] Private bank/credit union

[__] Transferor/seller

[__] NMFS loan program

[__] Alaska Dept. Of Commerce

[__] Processor/fishing company

[__] Other (explain)

_____________________________________________________________________________________________
3. How was the QS/IFQ located (check all that apply)?
[__] Relative

[__] Advertisement/public notice

[__] Broker

[__] Personal friend

[__] Casual acquaintance

[__] Other (explain)

____________________________________________________________________________________________

Application for Transfer of Crab QS/IFQ to or from an ECCO
Page 4 of 11

4. What is the relationship, if any, between the transferor and the transferee? (check all that apply)
[__] No relationship

[__] Business partner

[__] ECCO Community Member

[__] Other (please explain) ____________________________________________________________________
5. Is there an agreement to return the QS or IFQ to the transferor, or any other person, or with a condition placed
on resale?
[__] YES

[__] NO

If YES, please explain: ___________________________________________________________________
Attach a copy of the terms of agreement for the transfer, the bill of sale for QS, or lease agreement for IFQ

This application for transfer must be completed, signed, and notarized by both parties. Failure to have
signatures properly notarized will result in delays in the processing of this application.
BLOCK F – CERTIFICATION OF TRANSFEROR
Under penalties of perjury, I declare that I have examined this application, and to the best of my knowledge and belief,
the information presented here is true, correct, and complete
1. Signature of Transferor or Authorized Representative:

2. Date:

3. Printed Name Transferor or Authorized Representative Note: If completed by representative, attach authorization:

4. Notary Public Signature:
ATTEST

5. Affix Notary Stamp or Seal Here:

6. Commission Expires:

Application for Transfer of Crab QS/IFQ to or from an ECCO
Page 5 of 11

BLOCK G – CERTIFICATION OF TRANSFEREE
Under penalties of perjury, I declare that I have examined this application, and to the best of my knowledge and belief,
the information presented here is true, correct, and complete.
1. Signature of Transferee or Authorized Representative:

2. Date:

3. Printed Name Transferee or Authorized Representative Note: If completed by representative, attach authorization:

4. Notary Public Signature:
ATTEST

5. Affix Notary Stamp or Seal Here:

6. Commission Expires:

Applications involving the permanent transfer of processor quota share (PQS) outside the community in which
the processing facility resides must include a statement by an authorized representative of that community
indicating that the community has been offered the right of first refusal on the sale of this PQS.
BLOCK H – CERTIFICATION OF ECCO COMMUNITY REPRESENTATIVE
(Required only when ECCO proposes to permanently transfer Quota Share)

I am a duly authorized representative of the community (listed in Block C or Block D) on whose behalf the ECCO is
proposing to transfer QS; by my signature below, I attest that the applicant ECCO has the approval of our community
to complete this permanent QS transfer, for the reasons set out on this application.
1. Signature of Community Representative:
2. Date:
3. Printed Name and Title of Community Representative:

4. Notary Public Signature:

ATTEST

5. Affix Notary Stamp or Seal Here:

6. Commission Expires:

Application for Transfer of Crab QS/IFQ to or from an ECCO
Page 6 of 11

Instructions
APPLICATION TO TRANSFER QS/IFQ TO, OR FROM,
AN ELIGIBLE CRAB COMMUNITY ORGANIZATION (ECCO)
In the Crab Rationalization (CR) program, eligible cities and boroughs may hold and fish quota share
(QS) and individual fishing quota (IFQ). Such communities may be represented by an Eligible Crab
Community Organization (ECCO) to provide for transfers of QS/IFQ to and from (and between) ECCOs.
Use this application to apply for a transfer of QS or IFQ to or from an ECCO.
Any party to whom the QS/IFQ is proposed to be transferred must hold a Transfer Eligibility Certificate
(TEC). If the application is to permanently transfer QS from an ECCO to another party, the application
must be signed by a representative of the community for whom the ECCO holds the QS.
This application must be approved by the Regional Administrator before the transferee may use the IFQ
to harvest crab QS species.
NMFS will not process or approve this application unless both parties to the proposed transfer have met
all the requirements and conditions of the CR Program, including (as appropriate):
♦

Submit an Economic Data Report (EDR).
An EDR is required from any owner or leaseholder of a vessel or processing plant that harvested
or processed crab in specified CR Program crab fisheries during the prior calendar year. The
annual EDR submission deadline is June 28.
To request that a printed EDR be mailed to you (at no cost), contact
Pacific States Marine Fisheries Commission
205 SE Spokane, Suite 100
Portland, OR 97202
Telephone: 1-877-741-8913
e-mail: [email protected]

♦

Payment of all outstanding fees to NMFS on or before July 31.
All CR allocation holders and Registered Crab Receiver (RCR) permit holders are subject to a fee
liability for any CR crab debited from a CR allocation during a crab fishing year, except for crab
designated as personal use or deadloss, or crab confiscated by NMFS or the State of Alaska. The
annual cost recovery fee submission deadline is on or before July 31.

This Application for the Transfer of Crab QS or PQS to or from an ECCO will not be processed between
August 1 of any year and the date of issuance of the IFQ or IPQ in CR Program fishery.
Complete the entire application and submit to NMFS, including all attachments; failure to do so could
result in delays in the processing of your application.
Please submit an original application only -- a photocopy of an application, or an application submitted by
fax will not be processed. Also, ensure that signatures on the application are original and are notarized.
RAM will not process an application that does not bear original signatures (faxed applications are not
Application for Transfer of Crab QS/IFQ to or from an ECCO
Page 7 of 11

accepted). All signatures must be witnessed by a Notary Public (or, in some remote areas, the community
Postmaster or Postmistress).
Please allow at least ten working days for your application to be processed. Without exception,
RAM processes applications in the order in which they are received.
ADDITIONALLY
♦

Print information in the application legibly in ink or type information.

♦

Retain a copy of completed application for your records.

Upon completion, submit the original application,
By mail to:

National Marine Fisheries Service, Alaska Region
Restricted Access Management (RAM)
P.O. Box 21668
Juneau, AK 99802-1668

or deliver to:

NMFS Alaska Region
Attn : RAM
Room 713, Federal Building
709 West 9th Street
Juneau, AK 99802-1668

Items will be sent to you by first class mail, unless you provide alternate instructions and include a
prepaid mailer with appropriate postage or corporate account number for express delivery.
If you have any questions, or if you need any assistance in completing the application, please contact
RAM as follows:
Telephone (toll Free):
Telephone (Juneau):
E-Mail Address:
Web Site:

1-800-304-4846 (press A2")
907-586-7202
[email protected]
www.alaskafisheries.noaa.gov/ram

COMPLETING THE APPLICATION
BLOCK A B TRANSFEROR (SELLER) INFORMATION
1. Enter the name of the transferor; this should be the full name as it appears on the Quota Share
Holder Summary Report or the TEC.
2. Enter the NMFS Person ID (as set out on the Quota Share Holder Summary Report or TEC).
3. Enter the permanent business mailing address including P.O. Box number or street, city,
state, and zip code.
Application for Transfer of Crab QS/IFQ to or from an ECCO
Page 8 of 11

4. If appropriate, enter the temporary business mailing address (the address to which the transfer
documentation should be sent, if different from the permanent address).
5-7. Enter business telephone number, business fax number, and E-mail address.
8. Indicate whether transferor is an ECCO.
9. If transferor is an ECCO, enter the name of the community on whose behalf the ECCO is applying.
10. Indicate whether transferor paid all fees, as required by § 680.44.
11.

Indicate whether transferor paid all fees, as required by § 680.44.

BLOCK B B TRANSFEREE (BUYER) INFORMATION
1. Enter the name of the transferee; this should be the full name as it appears on the Quota Share
Holder Summary Report or the TEC.
2. Enter the NMFS Person ID (as set out on the Quota Share Holder Summary Report or the TEC).
3. Enter the permanent business mailing address including P.O. Box number or street, city, state,
and zip code.
4. If appropriate, enter the temporary business mailing address (the address to which the transfer
documentation should be sent, if different from the permanent address).
5-7. Enter business telephone number, business fax number, and E-mail address.
8. Indicate whether transferee is an ECCO.
9. If the proposed transferee is an ECCO, enter the name of the community on whose behalf the
ECCO is applying.
10. Indicate whether transferor paid all fees, as required by § 680.44.
11. Indicate whether transferor paid all fees, as required by § 680.44.
BLOCK C B IDENTIFICATION OF QS/IFQ TO BE TRANSFERRED
1-2. Enter the QS species and QS type.
3-5. Enter the number of QS or IFQ units to be transferred, the total QS units, and number of IFQ
pounds to be transferred.
6. Enter the range of serial numbers to be transferred.
7. If the transfer application is submitted on behalf of the community represented by the applicant
ECCO, enter the name of the community.
8. Indicate whether all remaining IFQ pounds for the current fishing year are to be transferred.
If NO, specify the number of pounds to be transferred.

Application for Transfer of Crab QS/IFQ to or from an ECCO
Page 9 of 11

BLOCK D - TRANSFER OF IFQ ONLY (LEASE OF IFQ)
This block should only be completed if the ECCO is applying to transfer IFQ to a permanent resident of
the community on whose behalf the ECCO holds the QS.
Additionally, applications involving the permanent transfer of PQS outside the community in which
the processing facility resides must include a statement by an authorized representative of that
community indicating that the community has been offered the right of first refusal on the sale of
this PQS.
1. Enter the IFQ Permit Number.
2. Enter the year of the IFQ permit.
3. Enter the actual number of IFQ pounds to be transferred
Note: If the ECCO is applying to permanently transfer QS, a representative of the community on
whose behalf the QS is held must sign the application.
BLOCK E B PRICE PAID FOR QS, PQS, AND/OR IFQ, IPQ (TRANSFEROR)
1. Indicate whether a broker was used for this transaction.
If YES, enter total brokerage fees paid to the broker or calculate how much was paid as a
percentage of the total price.
2. Enter total amount paid for the QS/IFQ in this transaction, including all fees.
3. Price per unit of QS and the price per pound of IFQ
4. Indicate reasons (check all that apply) for transferring QS/IFQ
BLOCK F - METHOD OF FINANCING FOR THE QS, PQS AND/OR IFQ (TRANSFEREE)
1. Indicate whether the QS/IFQ being purchased will have a lien attached.
If YES, enter name of lien holder.
2. Indicate one primary source of financing for this transfer.
3. Describe how the QS/IFQ was located; check all that apply.
4. Indicate the relationship, if any, between the transferor and the transferee.
5. Indicate whether an agreement exists to return the QS or IFQ to the transferor or any other person,
or with a condition placed on resale.
If YES, explain.
Attach
A copy of the terms of agreement for the transfer, the bill of sale for QS, or lease agreement for IFQ
BLOCK G - CERTIFICATION OF TRANSFEROR
Printed name and signature of transferor and date signed.
Signature of Notary Public, date commission expires, and notary seal or stamp.
If an authorized representative is submitting this application, attach proof of authorization to act on
behalf of transferor.
Application for Transfer of Crab QS/IFQ to or from an ECCO
Page 10 of 11

BLOCK H - CERTIFICATION OF TRANSFEREE
Printed name and signature of transferee and date signed.
Signature of Notary Public, date commission expires, and notary seal or stamp.
If an authorized representative is submitting this application, attach proof of authorization to act on
behalf of transferor.
BLOCK I - CERTIFICATION OF ECCO COMMUNITY REPRESENTATIVE
Printed name and signature of ECCO community representative and date signed.
Signature of Notary Public, date commission expires, and notary seal or stamp.

________________________________________________________________________________________________________

PUBLIC REPORTING BURDEN STATEMENT
Public reporting for this collection of information is estimated to average 2 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 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, 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 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 Transfer of Crab QS/IFQ to or from an ECCO
Page 11 of 11