Application to transfer charter halibut permit

Revised: 01/30/2018

CHARTER
HALIBUT
LIMITED ACCESS
PROGRAM

OMB Control No. 0648-0592

Application for
TRANSFER OF
CHARTER HALIBUT
PERMIT (CHP)

Expiration Date: 03/31/2018

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

BLOCK A - REQUIRED DOCUMENTATION
Use this block to determine which forms and other information must be included with your transfer. Please check each
applicable box below to ensure that your application is complete and can be processed in a timely manner.
[ ] Completed Application

[ ] Current Original CHP(s) enclosed

[ ]

[ ]

Power of Attorney (if applicable)
[ ]

Transferee Ownership and affiliation

Copy of business sales contract (if applicable)

BLOCK B - IDENTIFICATION OF CHARTER HALIBUT PERMIT(S) TO BE TRANSFERRED
1. List Charter Halibut Permit Number(s):
2. Is this a transfer of a group of “grandfathered” Charter Halibut Permits initially issued together?
[ ] YES

[ ] NO

If YES, is the transfer of these permits part of the transfer of the transferor’s (sellers) entire charter halibut
business?
[ ] YES
[ ] NO
NOTE: Transferable charter halibut permits (CHPs) that were initially issued to the same person and are
“grandfathered” together over the ownership use caps may continue to transfer together provided that:
a. The transferor (seller) is transferring the entire charter halibut business to the transferee (receiver);
b. The receiver does not hold any other CHPs for that area. The transfer of “grandfathered” CHPs cannot be
approved if the receiver currently holds other CHPs.

BLOCK C – TRANSFEROR (SELLER) INFORMATION
1. Name of Transferor(s) (as it appears on the CHP):

2. NMFS Person ID(s):

3. Name of Business (as it appears on the CHP):

4. Permanent Business Mailing Address:

6. Business Telephone Number:

5. Temporary Business Mailing Address (if applicable):

7. Business Fax Number:

8. Business E-mail Address:

Application for Transfer of Charter Halibut Permit
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BLOCK D – TRANSFEREE (RECEIVER) INFORMATION
1. Name(s) of Transferee(s):

2. NMFS Person ID(s):

3a. Is the Transferee(s) an individual who is a U.S. Citizen?:
b. Is the Transferee(s) a U.S. Business with 75% U.S. ownership?

[ ] YES

[ ] NO

[ ] YES

[ ] NO

If NO, STOP here. This person(s) is not eligible to receive a permit.
If YES, Indicate type of U.S. Business below and complete Block E.
[ ] Sole Proprietorship

[ ] Corporation

[ ] Partnership or other Association

4. Name of charter halibut business owned by Transferee(s) (this name will appear on the CHP):

5. Business Mailing Address:

7. Business Telephone Number:

6. Temporary Business Mailing Address (if applicable):

8. Business Fax Number:

9. Business E-mail Address:

REQUIRED SUPPLEMENTAL INFORMATION
Application will NOT BE PROCESSED unless all information requested in Blocks E, F, and G is provided.

BLOCK E1 – OWNERSHIP DOCUMENTATION
To be completed by the Transferee
Provide the names of all persons, and the percentage ownership each person will hold in the receiver of the Charter Halibut
Permit(s) in this transfer. List the “first level Owners” of the receiver. If any of those owners are themselves businesses, list
each business and all its owners, and so on down each “level,” until all individuals in the ownership “chain” are identified.
Attach additional sheets if necessary. See instructions for example.
Name

% Ownership

Name

Application for Transfer of Charter Halibut Permit
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% Ownership

BLOCK E2—IDENTIFICATION OF AFFILIATION
To be completed by the Transferee
Provide the names of the persons with whom the applicant is affiliated at a 10 percent or greater level of ownership or
control. You do not need to repeat owner names provided in Block E1.
Duplicate this block as necessary to display all of the persons with whom the Transferee is affiliated.
Affiliation means a relationship between two or more entities in which one directly or indirectly owns or controls a 10% or
greater interest in, or otherwise controls, another; or a third entity directly or indirectly owns or controls a 10% or greater
interest in, or otherwise controls, both.
Name of Affiliate

% Interest

Name of Affiliate

% Interest

BLOCK F - TO BE COMPLETED BY THE TRANSFEROR
1. What is the total amount being paid for the permit(s) in this transaction, including all fees?
$ ____________________
2. Does this price include the price of any assets of the charter halibut business other than the transferred permits?
[

] YES

[

] NO

3. What is your reason(s) for transferring the permit? (check all that apply):
[ ] Retirement from the fishery(ies)

[ ] Enter other fishery(ies)

[ ] Pursue non-fishing activities

[ ] Health problems

[ ] Other (explain):

Application for Transfer of Charter Halibut Permit
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BLOCK G – TO BE COMPLETED BY THE TRANSFEREE
1. Is the permit being used as collateral for a loan?
[ ] YES

[ ] NO

If YES, name of party holding security interest or lien:

2. Does the transfer of this Charter Halibut Permit(s) include the sale of all assets of the transferor’s charter halibut
business?
[ ] YES
[ ] NO
If YES, identify Name of Business and attach a copy of the transfer sales or gift agreement.

3. Does the transferee currently hold other Charter Halibut Permits?
[ ] YES

[ ] NO

If YES, the transfer of “grandfathered” Charter Halibut Permits or the transfer of permits that would result in the
receiver holding more than five (5) Charter Halibut Permits for an area cannot be approved.

4. Is there an agreement to return the permit(s) to the transferor?
[ ] YES

[ ] NO

to transfer the permit(s) to any other person?
[ ] YES

[ ] NO

If YES to either question, please explain (use attachment if necessary):

5. Is there any condition requiring the resale or conveyance of the permit(s)?:
[ ] YES

[ ] NO

If YES, please explain (use attachment if necessary):

Application for Transfer of Charter Halibut Permit
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BLOCK H – CERTIFICATION OF TRANSFEROR
Under penalty of perjury, I hereby declare that I have examined this application, and the information presented herein is
true, accurate, and complete to the best of my knowledge and belief.
1. Signature of Transferor (Seller) or Authorized Representative:
2. Date:

3. Printed Name of Transferor (Seller) or Authorized Representative:

4. Notary Public Signature

ATTEST:

5. Affix Notary Stamp or Seal Here:

6. Commission Expires:

BLOCK I – CERTIFICATION OF TRANSFEREE
Under penalty of perjury, I hereby declare that I have examined this application, and the information presented herein is
true, accurate, and complete to the best of my knowledge and belief.
1. Signature of Transferee (Receiver) or Authorized Representative:
2. Date:

3. Printed Name of Transferee (Receiver) or Authorized Representative:

4. Notary Public Signature

ATTEST:

5. Affix Notary Stamp or Seal Here:

6. Commission Expires:

Application for Transfer of Charter Halibut Permit
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________________________________________________________________________________________
PUBLIC REPORTING BURDEN STATEMENT
Public reporting burden for this collection of information is estimated to average two hours per response, including the time for
reviewing the instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing
the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information,
including suggestions for reducing the burden, to Assistant Regional Administrator, Sustainable Fisheries Division, NOAA, 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 provisions 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 the form displays a currently valid OMB control number; 2) This information is
used to implement the Charter Halibut Limited Access Program (CHLAP) for International Pacific Halibut Commission regulatory
areas 2C and 3A; 3) Federal law and regulations require and authorize NMFS to manage charter halibut programs in Alaska; 4)
Submission of this information is mandatory for any entity participating in charter halibut fishing that wants to transfer or receive a
charter halibut permit; 5) This information is used to monitor the CHLAP under the Northern Pacific Halibut Act of 1982 and the
Magnuson-Stevens Fishery Conservation and Management Act, 16 U.S.C 1801 et seq.; 6) All information collections by NMFS,
Alaska Region, are protected under confidentiality provisions of section 402(b) of the Magnuson-Stevens Act as amended in 2006 (16
U.S.C. 1801, et seq.) and under NOAA Administrative Order 216-100, which sets forth procedures to protect confidentiality of fishery
statistics.
PRIVACY ACT STATEMENT
Authority: The collection of this information is authorized under the Northern Pacific Halibut Act of 1982 and the Magnuson-Stevens
Fishery Conservation and Management Act, 16 U.S.C 1801 et seq.
Purpose: In order to manage U.S. fisheries, the NOAA National Marine Fisheries Service (NMFS) requires the use of permits or
registrations by participants in the United States. A charter halibut permit (CHP) is required for vessel operators participating in the
guided sport fishery for Pacific halibut (charter halibut fishery) in International Pacific Halibut Commission regulatory areas 2C
(Southeast Alaska) and 3A (Southcentral Alaska). As the initial selection process for CHPs has ended, no new CHPs other than
military CHPs and community CHPs will be issued; a CHP may only be obtained through transfer. Transferor and transferee
information collected on this form is used to determine eligibility to transfer and receive the CHP.
Routine Uses: The Department will use this information to identify fishery participants and to determine transfer eligibility.
Disclosure of this information is permitted under the Privacy Act of 1974 (5 U.S.C. Section 552a), to be shared within NMFS offices,
in order to coordinate monitoring and management of sustainability of fisheries and protected resources, as well as with the applicable
State or Regional Marine Fisheries Commissions and International Organizations. Disclosure of this information is also subject to all
of the published routine uses as identified in the Privacy Act System of Records Notice COMMERCE/NOAA-19, Permits and
Registrations for the United States Federally Regulated Fisheries.
Disclosure: Furnishing this information is required to transfer a CHP under the Charter Halibut Limited Access Program. Failure to
provide complete and accurate information will prevent the determination of eligibility to transfer or receive the CHP.
___________________________________________________________________________________________________________

Application for Transfer of Charter Halibut Permit
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Instructions For
APPLICATION FOR TRANSFER OF
CHARTER HALIBUT PERMIT (CHP)
GENERAL INFORMATION
Additional application forms are available from NMFS, Alaska Region, website at https://alaskafisheries.noaa.gov/.
Electronic submittal of the application is not accepted because each application requires return of the original
permits and the original, notarized signature of the applicants to be complete.
♦

Both the proposed transferor(s) and the proposed transferee(s) or their authorized representatives must complete
and sign this application.

♦

Original current permits must be attached. If you have lost your original permit, you will need to complete a
replacement application form. This application is available on the NMFS, Alaska Region, website at
http://alaskafisheries.noaa.gov.
You may also call RAM at one of the numbers listed below and request the application be mailed or faxed to you;
or you may visit the RAM office (709 W 9th Street, 7th Floor, Suite 713, Juneau, Alaska) and pick up the
application.

When completed, submit application and attachments
♦

By mail to:

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

♦

or deliver to:

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

Please allow at least ten working days for your application to be processed. Items will be sent by first class mail,
unless you provide alternate instructions and include a prepaid mailer with appropriate postage or corporate account
number for express delivery.
♦

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

♦

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

COMPLETING THE APPLICATION
NOTE: Transferor is the seller or gifter of the charter halibut permit.
Transferee is the receiver or buyer of the charter halibut permit.
There may be multiple Transferors and Transferees. All must be listed on the Application for Transfer.

Application for Transfer of Charter Halibut Permit
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BLOCK A - REQUIRED DOCUMENTATION
Use this list as a guide to make sure you have included all the necessary items in the mailing of your application. This
will ensure timely processing of your transfer application.
BLOCK B - IDENTIFICATION OF CHARTER HALIBUT PERMIT(S) (CHPs) TO BE TRANSFERRED
1. List CHP number(s). Enter the permit number of each CHP to be transferred. You may use one application to
transfer multiple permits held by the same transferor(s) to the same transferee(s).
2. Indicate if this transfer is for a group of “grandfathered” transferable CHPs.
“Grandfathered” CHPs are a group of more than five (5) linked permits initially issued to a transferor whose
initial permit award exceeded the five (5) permit ownership cap. Only those permits that were initially issued as
“transferable” permits may be transferred to another party.
If YES, indicate whether the transfer of these permits is part of the transfer of the transferor’s entire charter
halibut business. The transfer of CHPs that were grandfathered together over the ownership use caps may
continue to transfer together provided that the transferor is selling the entire charter halibut business to the
transferee(s), and providing that the transferee is not currently holding any CHPs for that area. A copy of the
business sale contract or gift agreement that includes the entire charter halibut business must be provided.
If NO, this is not a transfer of “grandfathered” CHPs, continue completion of application form.
BLOCK C – TRANSFEROR (SELLER) INFORMATION
1.
2.
3.
4.
5.
6–7.
8.

Enter the full name(s) of current CHP holder(s) as appears on the CHP(s) listed in Block B.
Enter NMFS Person ID(s) of the Transferor(s).
Enter the name of the charter halibut business owned by the Transferor(s) (as it appears on the CHP).
Enter the permanent business mailing address (including city, state, and zip code).
Enter the temporary business mailing address (include city, state, and zip code), if you would like the transfer
documentation sent somewhere other than to your permanent address.
Enter the business telephone and fax numbers, including area code.
Enter the business e-mail address.

BLOCK D – TRANSFEREE (RECEIVER) INFORMATION
1.
2.
3a.

3b.

Enter the name(s) of all persons receiving the CHPs to be transferred.
Enter NMFS Person ID(s) of the Transferee(s).
Indicate if the transferee is a U.S. citizen.
IF NO, STOP. This person is not eligible to receive a CHP by transfer.
IF YES, indicate type of U.S. business.
Indicate if the transferee is a U.S. business with at least 75 percent U.S. ownership.
IF NO, STOP. This business is not eligible to receive a CHP by transfer.
IF YES, indicate the type of business entity
NOTE: Being an initial recipient of one or more CHPs does not entitle you to receive
additional permits by transfer if you do not meet the U.S. Citizen or U.S. business requirement.

4. Enter the name of the charter halibut business owned by the Transferee (this business name will appear
on the CHP).
5. Enter the permanent business mailing address (include city, state, and zip code).
6. Enter the temporary business mailing address (include city, state, and zip code), if you would like the transfer
documentation sent somewhere other than to your permanent address.
7-8. Enter the business telephone and fax numbers, including area code.
9. Enter the business e-mail address (if available).
Application for Transfer of Charter Halibut Permit
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REQUIRED SUPPLEMENTAL INFORMATION
Application will not be processed unless all information requested in Blocks E, F, AND G is provided.
BLOCK E1 – OWNERSHIP DOCUMENTATION (to be provided by the Transferee)
Provide the names of all persons, and the percentage ownership each person will hold in the receiver of the CHP in this
transfer. List the “first level Owners” of the receiver. If any of those owners are themselves businesses, list each business
and all its owners, and so on down each “level,” until all individuals in the ownership “chain” are identified. Attach
additional sheets if necessary
Information should be provided to the individual level. See example below:
Name of Owner
% Interest
Joe Charter
25%
Alice Charter
25%
CHP Family Holdings, Inc.
50%
A. CHP Holder
25% (of 50%)
B. CHP Holder
25% (of 50%)
C. CHP Holder
25% (of 50%)
D. CHP Holder
25% (of 50%)

BLOCK E2 -- IDENTIFICATION OF AFFILIATION (to be completed by the Transferee)
Provide the names of the persons and percent interest with whom the applicant is affiliated at a 10 percent or greater level
of ownership or control. You do not need to repeat owner names provided in Block E1.
Duplicate this block as necessary to display all of the persons with whom the Transferee is affiliated.
Affiliation
means a relationship between two or more entities in which one directly or indirectly owns or controls a
10 percent or greater interest in, or otherwise controls, another; or a third entity directly or indirectly
owns or controls a 10 percent or greater interest in, or otherwise controls, both.
Indirect Interest
is one that passes through one or more intermediate entities. An entity's percentage of indirect interest is
equal to the entity's percentage of direct interest in an intermediate entity multiplied by the intermediate
entity's percentage of direct, or indirect, interest in the applicant.
Control includes:
♦ Ownership of more than 10% of the entity;
♦ The right to direct the business of the entity;
♦ The right to limit the actions of or replace the chief executive officer, a majority of the board of
directors, any general partner, or any person serving in a management capacity of the entity; or
♦ The right to direct the operation of the applicant’s business.
The term "control" does not include the right to simply participate in the above actions.

Application for Transfer of Charter Halibut Permit
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BLOCK F - TO BE COMPLETED BY THE TRANSFEROR
1. Indicate the total amount being paid for the CHPs in this transaction, including all fees.
2. Indicate whether the price includes the price of any assets of the charter halibut business other than the
transferred permits.
3. Indicate reason(s) for transferring the permit(s). Please check all boxes that apply to this transaction and add
any required explanation.
BLOCK G - TO BE COMPLETED BY THE TRANSFEREE
1. Indicate if the Charter Halibut Permit(s) will be used as collateral for a loan.
If YES, enter the name of entity or person(s) who will hold the lien or security interest.
2. Indicate if the transfer of this Charter Halibut Permit(s) includes the sale of the charter halibut business.
If YES, identify the name of the business and attach a copy of the Sales or Gift Agreement
3. Indicate whether the transferee currently holds other Charter Halibut Permits.
If YES, the transfer of the entire set of “grandfathered” Charter Halibut Permits to this receiver cannot be
approved.
4. Indicate whether there is an agreement to return the permit(s) to the transferor or transfer the permit to any other
person.
If YES, provide details.
NOTE: Leasing of Charter Halibut Permits is prohibited.
5. Indicate whether there are any condition requiring the resale or conveyance of the permit(s).
If YES, please explain (use attachment if necessary).
BLOCKS H and I - CERTIFICATION OF TRANSFEROR AND TRANSFEREE
Certify with signature and enter printed name and date signed.
If completed by authorized representative, attach authorization.
A Notary Public must attest and affix a Notary Stamp or Seal.

Application for Transfer of Charter Halibut Permit
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