ALASKA LICENSE LIMITATION PROGRAM
FOR GROUNDFISH, CRAB, AND SCALLOPS
OMB CONTROL NO. 0648-0334
This request is for revision and extension of an existing information collection. One component of this information collection that was in effect for a specific period is removed.
National Marine Fisheries Service Alaska Region (NMFS) manages the fisheries in the exclusive economic zone (EEZ) off the coast of Alaska under the Fishery Management Plan for Groundfish of the Gulf of Alaska (GOA FMP), the Fishery Management Plan for Groundfish of the Bering Sea and Aleutian Islands Management Area (BSAI FMP), the Fishery Management Plan for Bering Sea/Aleutian Islands King and Tanner Crabs (Crab FMP), and the Fishery Management Plan for the Scallop Fishery off Alaska (Scallop FMP). The North Pacific Fishery Management Council (Council) prepared, and NMFS approved, the FMPs under the authority of the Magnuson-Stevens Fishery Conservation and Management Act, 16 U.S.C. 1801 et seq. These FMPs are implemented by regulations at 50 CFR parts 679 and 680.
The License Limitation Program (LLP) restricts access to the commercial groundfish, crab, and scallop fisheries in the EEZ off Alaska, except for certain areas where alternative programs exist. The intended effect of the LLP is to limit the number of participants and reduce fishing capacity in fisheries off Alaska. More information on the LLP can be found on the NMFS Alaska Region website1 and at 50 CFR 679.4(g) and (k), and 679.7(i).
In 1999, NMFS implemented the groundfish and crab LLP to limit the number, size, and specific operation of vessels that may be deployed in the crab and groundfish fisheries (other than sablefish managed under the Individual Fishing Quota Program and demersal shelf rockfish east of 140° W. longitude) in the Bering Sea and Aleutian Islands (BSAI) and Gulf of Alaska (GOA). The LLP was established by Amendment 39 to the BSAI FMP, Amendment 41 to the GOA FMP, and Amendment 5 to the Crab FMP and necessary to address concerns that the harvesting fleets had expanded beyond the size needed to efficiently harvest the optimum yield (63 FR 52642, October 1, 1998). The groundfish and crab LLP replaced the Vessel Moratorium Program, which had imposed a temporary moratorium on the entry of new vessels into the groundfish and crab fisheries off Alaska and expired December 31, 1999.
Under the groundfish and crab LLP, vessels participating in directed fishing for LLP groundfish species in the GOA or BSAI, or fishing in any BSAI LLP crab fisheries, must be named on a valid copy of the LLP license that is on board the vessel, with some exceptions. An LLP groundfish or crab license authorizes the license holder to deploy the vessel in fisheries in accordance with the specific area and species endorsements, the vessel and gear designations, the maximum length overall (MLOA) specified on the license, and any exemption from the MLOA specified on the license.
To receive an LLP groundfish or crab license, an eligible applicant needed to apply during the application period, which ran from September 13, 1999, through December 17, 1999 (64 FR 49104, September 10, 1999).
In 2001, NMFS implemented the scallop LLP to limit the number of participants and reduce fishing capacity in the scallop fishery off Alaska. The scallop LLP was established by Amendment 4 to the Scallop FMP and necessary to address concerns about excessive fishing capacity and exploitation in the scallop fishery, particularly if latent moratorium permits were activated (65 FR 78110, December 14, 2000). The scallop LLP replaced the federal moratorium program on the entry of new vessels to the scallop fishery, which had expired on June 30, 2000.
Under the scallop LLP, an LLP scallop license is required for vessels deployed in scallop fisheries in federal waters off Alaska (except for some diving operations). This license authorizes the person named on the license to catch and retain scallops in compliance with State of Alaska regulations using a vessel that does not exceed the MLOA specified on the license and the gear designation specified on the license. Unlike the LLP groundfish license, the scallop license is not vessel specific. A valid copy of the LLP scallop license must be on board the vessel.
To receive an LLP scallop license, an eligible applicant needed to apply during the application period, which ran from January 16, 2001, through February 12, 2001.
The LLP originally collected basic information so that NMFS could determine which owners of vessels were issued licenses and which were not. As the application periods and selection process for the LLP have ended, no new licenses will be issued. An LLP license may only be obtained through transfer. This collection of information currently supports transfer of LLP licenses for groundfish, crabs, and scallops. The transfer process for LLP licenses enables a license holder to request a transfer of an LLP license to a person who meets the eligibility requirements.
LLP license holders use the transfer applications to request transfer of an LLP license to an eligible receiver. Each transfer request must include a completed transfer application and a copy of the sale or transfer agreement. The information collected is necessary for NMFS to determine the eligibility of the transfer to occur and transfer the license to the transferee. From the copy of the transfer contract or Bill of Sale for LLP licenses, NMFS can look up much of the same financial information if needed. The financial information requested on the applications is primarily used for research and program evaluation.
The transfer application for a groundfish or crab LLP license is submitted either by mail or delivery. The transfer application for a scallop LLP license is submitted by mail, fax, or delivery.
NMFS will approve transfer of a groundfish LLP license, an Aleutian Islands area endorsement, or crab LLP license if the transfer meets the provisions of 50 CFR 679.4(k)(7), and will approve transfer of a scallop LLP license if the transfer meets the provisions of 50 CFR 679.4(g)(5).
The groundfish and crab LLP license transfer application is changed to add the notary public certification requirement, which was inadvertently removed in 2016. Section 679.4(k)(7)(iii) requires a complete application to have notarized and dated signatures of the applicants. Blocks K and L on the application have been revised to include fields for the notary public’s signature, the notary stamp or seal, and the date the notary public’s commission expires. Additionally, minor editorial changes have been made to both applications.
Application for Transfer License Limitation Program Groundfish/Crab License
Block A – Required documentation
Use this block to determine which forms and other information must be attached to your transfer. Please check all that apply to ensure that your application is complete and can be processed in a timely manner.
Block B – Identification of license to be transferred
Indicate whether license to be transferred is groundfish, crab, or Aleutian Islands, and enter LLP license number.
Block C ─ Identification of Rockfish QS to be Transferred
This section applies only to Rockfish Quota Share (QS) assigned to an LLP license that exceeds a use cap specified in § 679.82 (a)(2). All other Rockfish QS is not severable from the LLP license on which it was initially allocated.
LLP license number on which Rockfish QS over the use cap is currently assigned
LLP license number to which the Rockfish QS is being transferred. This LLP license must already be assigned Rockfish QS.
Identification of Rockfish QS to be transferred (list number of QS units and Rockfish Species)
Block D – Identification of transferor (seller)
Name of transferor (as it appears on LLP license)
Business mailing address: indicate whether permanent or temporary
Business telephone number, business fax number, and e-mail address
Block E – Identification of transferee (receiver)
Indicate if transferee is a U.S. Citizen, or U.S. corporation, partnership, association, or other non-individual entity.
If NO, stop here. The person is not eligible to receive a license.
Name of transferee
Business mailing address: indicate whether permanent or temporary
Business telephone number, business fax number, and e-mail address
Block F ─ Vessel currently named on license
Name of vessel
Length overall (ft)
ADF&G vessel registration number
USCG documentation number
Block G ─ Vessel to be named on new license
Name of vessel
Length overall (ft)
ADF&G vessel registration number
USCG documentation number
Block H – LLP Ownership documentation
Provide the names of all persons, to the individual level, holding an ownership interest in the LLP License being transferred and the percentage ownership each person and individual will hold in the LLP License.
Block I ─ Transferor information
Enter total amount being paid for the license in this transaction, including all fees. Indicate whether this price includes the price of the vessel.
If YES, enter sales price of the license.
Reason for transferring the license (check all that apply)
Indicate whether a broker is employed to assist with this transaction.
If YES, enter price paid in brokerage fees or percent of total price.
Block J ─ Transferee information
Indicate whether license is used as collateral for a loan.
If YES, enter name of party holding security interest or lien.
Primary source of financing
How the license was located
Receiver’s relationship to the license holder
Indicate whether transfer of LLP license includes the sale of the fishing history of a vessel.
If YES, identify
Name of vessel
ADF&G number
USCG documentation number
Vessel LOA
Indicate whether transfer of this LLP license is part of an agreement that also transfers ownership of a vessel.
If YES, identify
Name of vessel
ADF&G number
USCG documentation number
Vessel LOA
Indicate whether there is an agreement to return the license to the transferor or to transfer it to any other person, or is there is any condition requiring the resale or conveyance of the license.
If YES, explain
Block K ─ Certification of transferor/seller
Printed name and signature of transferor or authorized representative, and date signed
If representative, attach authorization
Name and signature of notary public, notary stamp or seal, and date commission expires
Block L ─ Certification of transferee/receiver
Printed name and signature of transferee or authorized representative, and date signed
If representative, attach authorization
Signature of notary public, notary stamp or seal, and date commission expires.
Application for Transfer of Scallop LLP License
Block A – Identification of License to be transferred
License number
Total price to be paid for the license, including fees
Indicate whether this price includes the price of the vessel or other assets.
Attach copy of sales contract or other agreement between the parties that sets out the terms and conditions of the proposed transfer.
Block B – Transferor information (seller)
Name(s) and NMFS Person ID of transferor
Business mailing address: indicate whether permanent or temporary
Business telephone number, business fax number, and e-mail address
Block C – Transferee information (buyer)
Indicate whether transferee is a U.S. Citizen or U.S. corporation, partnership, association, or other non-individual entity.
If NO, stop. The person is not eligible to receive this license.
Name and NMFS Person ID of transferee
Business mailing address: indicate whether permanent or temporary
Business telephone number, business fax number, and business e-mail address
Block D ─ Certification of transferor
Printed name and signature of transferor or authorized representative, and date signed
If signed by representative, attach authorization.
Title of representative, if applicable
Block E ─ Certification of transferee
Printed name and signature of transferee or authorized representative and date signed
If signed by representative, attach authorization.
Title of representative, if applicable
NMFS currently has issued 1,853 groundfish licenses and 348 crab licenses; of these, 197 are joint groundfish/crab licenses. The number of respondents in the table below reflects the number of groundfish/crab transfer applications received in 2014 (48), 2015 (50), and 2016 (42). An average of 47 respondents is used in this analysis.
Adjustments were made to reflect the current postage cost (0.49 instead of 0.45) and current Federal government personnel cost ($42/hr instead of $37/hr).
Groundfish and crab transfer application, Respondent |
|
Total respondents |
47 |
Total responses |
47 |
Frequency of response = 1 |
|
Total burden hours |
47 |
Time per response = 1 hr |
|
Total personnel cost ($37 x 47) |
$1,739 |
Total miscellaneous costs (500.08) |
$500 |
Postage (0.49 x 47 = 23.03) |
|
Photocopy (0.05 x 3pp x 47 = 7.05) |
|
Notary ($10 x 47 = 470) |
|
Groundfish and crab transfer application, Federal Government |
|
Total responses |
47 |
Frequency of response = 1 |
|
Total burden hours (23.50) |
24 |
Time per response = 30 minutes |
|
Total personnel costs (24 x $42) |
$1,008 |
Total miscellaneous costs |
0 |
NMFS currently has issued 9 scallop licenses. The number of respondents in the table below reflects the number of scallop transfer applications received in 2014 (0), 2015 (0), and 2016 (1). For purposes of this analysis, 1 response is used.
Notary public costs to the respondents have been removed. In 2016, the notary public certification fields were removed from the scallop license transfer application because this certification is not required to transfer an LLP scallop license. Adjustments were made to reflect the current postage cost (0.49 instead of 0.45) and current Federal government personnel cost ($42/hr instead of $37/hr).
Scallop transfer application, Respondent |
|
Total respondents |
1 |
Total responses |
1 |
Frequency of response = 1 |
|
Total burden hours |
1 |
Time per response = 1 hr |
|
Total personnel cost ($37 x 1) |
$37 |
Total miscellaneous costs (0.64) |
$1 |
Postage (0.49 x 1 = 0.49 ) |
|
Photocopy (0.05 x 3pp x 1 = 0.15) |
|
Scallop transfer application, Federal Government |
|
Total responses |
1 |
Frequency of response = 1 |
|
Total burden hours (0.5) |
1 |
Time per response = 30 minutes |
|
Total personnel costs ($42 x 1) |
$42 |
Total miscellaneous costs |
0 |
To apply for a transfer appeal, the applicant must provide a written statement in support of the appeal and show why the initial determination should be reversed.
In 2014, 2015, and 2016, no permits have been denied, and no appeals have been filed. For purposes of this analysis, 1 response is used. An adjustment was made to the respondent personnel cost to reflect the assumption that most people would hire an attorney to prepare an appeal. Adjustments were made to reflect the current postage cost (0.49 instead of 0.45) and current Federal government personnel cost ($125/hr instead of $75/hr).
Transfer appeals, Respondent |
|
Total respondents |
1 |
Total responses |
1 |
Frequency of response = 1 |
|
Total burden hours |
4 |
Time per response = 4 hr |
|
Total personnel cost ($37 x 4) |
$148 |
Total miscellaneous costs (502.56) |
$503 |
Attorney at $125 per hour: 500 Postage (0.49 x 4 = 1.96 ) |
|
Photocopy (0.05 x 3pp x 4 = 0.60) |
|
Scallop transfer application, Federal Government |
|
Total responses |
1 |
Frequency of response = 1 |
|
Total burden hours |
4 |
Time per response = 4 hr |
|
Total personnel costs ($125 x 4) |
$500 |
Total miscellaneous costs |
0 |
Request to Extinguish Pacific Cod Sideboard Limits for Hook-and-Line catcher/processors in the Western or Central GOA [REMOVED]
This component of the LLP information collection was in effect only between May 19, 2015, and May 18, 2016. The one-time application period for this action has ended. Therefore, this component of the information collection is removed.
This component established a process for a voluntary fishing cooperative to be formed. If the authorized representative notified NMFS within the 1-year deadline that all required freezer longline sector participants were members of the cooperative and that the regulatory provisions for sideboard limit removal had been met, upon approval, NMFS would permanently remove annual sideboard harvest limits for Pacific cod apportioned to catcher/processors using hook-and-line gear in the GOA regulatory area associated with the agreement, effective upon the start of the next fishing year.
If the information collected will be disseminated to the public or used to support information that will be disseminated to the public, then explain how the collection complies with all applicable Information Quality Guidelines
Section 515 of Public Law 106-554 (the Information Quality Act) requires NMFS to ensure the quality, objectivity, utility, and integrity of information it publicly disseminates. Public dissemination of data collected by this information collection is governed by NOAA's information quality guidelines, which were issued on October 30, 2014 (http://www.cio.noaa.gov/services_programs/IQ_Guidelines_103014.html).
It is anticipated that the information collected will be disseminated to the public or used to support publicly disseminated information. NMFS will retain control over the information and safeguard it from improper access, modification, and destruction, consistent with NOAA standards for confidentiality, privacy, and electronic information. See response to Question 10 of this Supporting Statement for more information on confidentiality and privacy. The information collection is designed to yield data that meet all applicable information quality guidelines. Prior to dissemination, the information will be subjected to quality control measures and a pre-dissemination review pursuant to Section 515 of Public Law 106-554.
The transfer applications may be accessed on the NMFS Alaska Region website at http://alaskafisheries.noaa.gov, completed electronically, then downloaded, printed, and submitted. The scallop LLP license transfer application may be submitted by fax. The transfer application for a groundfish or crab LLP license cannot be submitted electronically because the application must be notarized. NMFS is working toward a method whereby all of the information will be entered online and submitted directly and automatically into a database.
None of the information collected as part of this information collection duplicates other collections.
This information collection impacts some small entities. NMFS has attempted to minimize the burden of the LLP transfer requirements on small entities. The transfer applications are available online as fillable pdfs. The scallop LLP license transfer application may be submitted by fax; this option is not available for the transfer application for a groundfish or crab LLP license due to the notary requirement. A toll-free phone number is available for participants to contact RAM (Restricted Access Management) staff for help or information.
No special circumstances are associated with this information collection.
A Federal Register notice published on July 27, 2017 (82 FR 34930), solicited public comments. No comments were received.
Additionally, a questionnaire was emailed to 10 randomly selected license holders; one was returned because of an incorrect address. Two responses were received. One is from a person who works for a company that sells LLP licenses and helps the holders transfer those licenses. The second is from a license holder. The comments are summarized and responded to below.
Comment 1: Like most other transfers that NMFS/RAM handles, we're required to get both transferee and transferor to sign the transfer application before a notary and submit that application with original, notarized signatures. We have to physically mail that paperwork to each party in turn and then mail the completed application to NMFS. This takes quite a bit of time, and commercial fishing is a very time sensitive business. The Commercial Fisheries Entry Commission transfers title to limited entry permits, and the National Vessel Documentation Center redocuments vessels and records Bills of Sale, Preferred Ship Mortgages, and other related instruments. Although each of these agencies requires that signatures be notarized, they both accept scanned and emailed submissions. Virtually all of our business with each of those agencies is done electronically, and we're also able to email the documents back and forth between buyer and seller. This results in a tremendous savings of time and expense. The permits that are being transferred routinely exceed $100,000.00 in value, and the Coast Guard routinely deals with vessels worth many millions of dollars. All by electronic submission. They're able to avoid being buried in paperwork and the associated costs of physically handling and storing all of those documents. If faxed or emailed transfer documents are good enough for those agencies, it should work for NMFS as well. And, when the new permit is issued, rather than mailing copies of everything to us, those documents could be emailed to us and we could print them out, or we could email to the transferor or transferee and they could print them out.
I believe that if NMFS/RAM accepted electronic submissions for transferring LLPs, CHPs, IFQs, etc., it would greatly benefit the commercial fishing industry and also result in lower operating costs for that agency.
Comment 2: I think in general RAM is mired in the world of paper and printed forms and mailed documents when it could be modernized. Efficient, timely, expedited transfers of all kinds could be easily accomplished if RAM would allow notarized scanned, notarized emailed, and notarized faxed documents. Electronic forms in many cases could be used with users printing their own documents and licenses. RAM has become, in my opinion as a customer, a bad experience for polite, professional, efficient public service. There are many times when a phone call or email could get to a quick resolution to an application complication. Instead a letter is sent via U.S. mail back to the applicant. Signing in counter-parts is another idea that would help ease the burden of slow turn arounds on applications. Alaska fishermen operate in remote locations where mail is slow. Email scans and faxes should be utilized to alleviate unnecessary delays. For example, at a minimum when a new permit is issued, rather than mailing copies, those documents could be mailed and emailed, and we could print them out and also have a mailed printed copy from the agency for our records.
Response to Comments 1 and 2: NMFS, Alaska Region is working toward offering more on-line services. Current holders of groundfish and crab LLP licenses may print these permits on-line through eFISH, the NMFS, Alaska Region online service portal. Once a transfer application has been reviewed and approved by NMFS, the new holder of the license may also access these permits on-line through eFISH. As allowable by federal statute, regulation, or departmental policy, NMFS will accept application forms by facsimile. Regulatory requirements sometimes prohibit electronic submission of the documents, especially in cases where confidential or business identifying information (BII) or Personally Identifiable Information (PII) is required on the application form. As a government agency, we are required to protect BII and PII from being improperly accepted through our e-mail or other electronic submissions.
No payment or gift will be provided under this program.
The information collected is mandatory and is required to manage commercial fishing efforts under 50 CFR part 679 and under section 402(a) of the Magnuson-Stevens Act (16 U.S.C. 1801, et seq.). As stated on the forms, responses to this information request are confidential under section 402(b) of the Magnuson-Stevens Act as amended in 2006 and under NOAA Administrative Order 216-100, which sets forth procedures to protect confidentiality of fishery statistics.
The System of Records Notice that covers this information collection is COMMERCE/NOAA-19, Permits and Registrations for United States Federally Regulated Fisheries. A notice was published in the Federal Register on August 7, 2015 (80 FR 47457), and became effective September 15, 2015 (80 FR 55327).
This information collection does not involve information of a sensitive nature.
Estimated total respondents and responses: 49, decreased from 79. Estimated total burden: 52, decreased from 130 hours. Estimated total personnel costs: $1,924 decreased from $4,810.
Estimated total miscellaneous costs: $1,004, increased from $657.
Estimated total responses: 49, decreased from 79. Estimated total burden: 29 hr, decreased from 130 hr. Estimated total personnel costs: $1,550, decreased from $4,810.
Adjustments
The adjustments reflect increased postage cost, the assumption that most people would hire an attorney to file an administrative appeal, and the most recently available data (2014 through 2016) for transfers and appeals.
Applications to transfer groundfish, crab, and scallop licenses
a decrease of 13 respondents and responses, 48 instead of 61
a decrease of 13 burden hours, 48 hr instead of 61 hr
a decrease of $481 in personnel costs, $1,776 instead of $2,257
a decrease of $146 in miscellaneous costs, $501 instead of $647
Transfer appeals
a decrease of 16 respondents and responses, 1 instead of 17
a decrease of 64 burden hours, 4 hr instead of 68 hr
a decrease of $2,368 in personnel costs, $148 instead of $2,516
a increase of $494 in miscellaneous costs, $503 instead of $9
Request to remove Pacific cod sideboard limits [REMOVED]
a decrease of 1 respondent and responses, 0 instead of 1
a decrease of 1 burden hour, 0 hr instead of 1 hr
a decrease of $37 in personnel costs, 0 instead of $37
a decrease of $1 in miscellaneous costs, 0 instead of $1
NMFS Alaska Region posts LLP license information on the web at http://alaskafisheries.noaa.gov/ram/llp.htm#list. The lists contain groundfish, crab, and scallop LLP licenses issued as of the indicated date. Data are updated daily. Under current regulations, groundfish and crab vessels must be designated on the licenses, and the identities of original qualifying vessels are provided for reference only.
Not Applicable.
Not Applicable.
This collection does not employ statistical methods.
1 Groundfish and crab LLP ─ https://alaskafisheries.noaa.gov/fisheries/llp; scallop LLP ─ https://alaskafisheries.noaa.gov/fisheries/sllp
| File Type | application/vnd.openxmlformats-officedocument.wordprocessingml.document |
| File Title | C:\PRA\OMB83I pre-ps.WP6.wpd |
| Author | rroberts |
| File Modified | 0000-00-00 |
| File Created | 2021-01-21 |