Application for Annual Registration of Charter Halibut P

Revised: 10/25/2019

CHARTER
HALIBUT
LIMITED ACCESS
PROGRAM

OMB Control No. 0648-0592

Application for
ANNUAL
REGISTRATION OF
CHARTER HALIBUT
PERMIT (CHP)

Expiration Date: 5/31/2021

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 registration. Please check each
applicable box below to ensure that your application is complete and can be processed in a timely manner.
[ ] Completed Application
[ ]

[ ] Ownership and Affiliation information

Power of Attorney (if applicable)

BLOCK B – PERMIT HOLDER INFORMATION
1. Name of Permit Holder (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:

BLOCK C - IDENTIFICATION OF CHARTER HALIBUT PERMITS TO BE REGISTERED
List the charter halibut permit(s) being registered that are held by the permit holder listed in Block B, and answer the
following question for each permit: During the previous fishing year, was financial compensation received for allowing
another person to use the permit?
NOTE: Only CHPs with the same owner(s), ownership percentage(s), affiliate(s), and interest percentage(s) can be
registered on the same registration form. Complete separate registration forms for each CHP with unique
ownership or affiliation information.
Charter Halibut Permit Number:

Charter Halibut Permit Number:

Charter Halibut Permit Number:

Financial Compensation Received?
Yes [ ]

No [

]

Financial Compensation Received?
Yes [ ]

No [ ]

Financial Compensation Received?
Yes [ ]

Application for Annual Registration of Charter Halibut Permit
Page 1 of 8

No [ ]

Financial Compensation Received?

Charter Halibut Permit Number:

Yes [ ]

No [ ]

Financial Compensation Received?

Charter Halibut Permit Number:

Yes [ ]

No [ ]

Financial Compensation Received?

Charter Halibut Permit Number:

Yes [ ]

No [ ]

BLOCK D – OWNERSHIP DOCUMENTATION
Provide the names and percentage ownership of each person or entity that holds in the Charter Halibut Permit(s) identified
in Block C. List the “first level Owners” and, 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.
NOTE: If ownership of a CHP has changed, then an Application for Transfer of Charter Halibut Permit form must
be completed and submitted to NMFS prior to registration. For example, CHP ownership changes if a new owner is
added. See Federal regulations at 50 CFR 300.67 for complete permit ownership limitations and transfer
considerations.
Name

% Ownership

Name

Application for Annual Registration of Charter Halibut Permit
Page 2 of 8

% Ownership

BLOCK E – IDENTIFICATION OF AFFILIATION
Indicate whether the CHP holder is affiliated with an individual, business, or other entity not listed in Block D at a 10
percent or greater level of ownership or control. Information regarding affiliation is required to enforce CHP ownership caps
for entities that may directly or indirectly control the use of CHPs through subsidiaries or other means.
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. See instructions for the full definition.
Control may include:
♦ 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;
♦ The responsibility to procure insurance or assume liability for the entity; or
♦ The right to direct the operation of the CHP holder’s business.
The term "control" does not include the right to simply participate in the above actions.
Having read and understood “Affiliation” as defined at 50 CFR 679.2, the applicant declares as follows:
[

] YES, the permit holder is affiliated with one or more entities.

[

] NO, the permit holder is not affiliated with any other entities.

If YES, provide the names of the persons or entities that the permit holder is affiliated with at a 10 percent or greater level
of ownership or control and their percentage of interest. Names already provided in Block D do not need to be repeated.
If NO, the remainder of Block E can be left blank.
Duplicate this block as necessary to display all of the persons affiliated with the permit holder listed in Block B.
Name of Affiliate

% Interest

Name of Affiliate

Application for Annual Registration of Charter Halibut Permit
Page 3 of 8

% Interest

BLOCK F – SIGNATURE AND DECLARATION OF PERMIT HOLDER
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 Permit Holder or Authorized Representative:
2. Date:

3. Printed Name of Permit Holder or Authorized Representative:

______________________________________________________________________________________
PUBLIC REPORTING BURDEN STATEMENT
Public reporting burden for this collection of information is estimated to average fifteen minutes 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 registering 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). This annual registration of CHPs will improve the enforcement of CHP transfer
limitations and ownership caps, as well as provide additional information to NMFS and the North Pacific Fishery Management
Council on changes in CHP ownership and participation.
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 register CHPs under the Charter Halibut Limited Access Program. Failure to
provide complete and accurate information will result in a denial to issue a valid CHP.
___________________________________________________________________________________________________________

Application for Annual Registration of Charter Halibut Permit
Page 4 of 8

Instructions For
APPLICATION FOR ANNUAL REGISTRATION OF CHARTER HALIBUT PERMIT (CHP)
GENERAL INFORMATION
To be valid for use, Charter Halibut Permits must be registered annually.
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

♦

or facsimile to:

(907) 586-7354

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 applicable 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 registration
request and issuance of a valid CHP.

♦

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
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 registration application.
BLOCK B – PERMIT HOLDER INFORMATION
1.
2.
3.
4.
5.
6–7.
8.

Enter the full name of current CHP holder as appears on the CHP.
Enter NMFS Person ID of the CHP holder.
Enter the name of the charter halibut business 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 your permits
sent somewhere other than to your permanent address.
Enter the business telephone and fax numbers, including area code.
Enter the business e-mail address.

Application for Annual Registration of Charter Halibut Permit
Page 5 of 8

BLOCK C – IDENTIFICATION OF CHARTER HALIBUT PERMIT(S) TO BE REGISTERED
Identify the Charter Halibut Permit(s) being registered held by the permit holder listed in Block B. Answer the following
question for each permit: During the previous fishing year, was financial compensation received for allowing another
person to use the permit? YES or NO.
If payment was received for allowing someone to use the listed CHP(s), then indicate “YES” that financial compensation
was received. If the CHP holder used the permit, employees of the entity holding the CHP used the permit, or no type of
payment was received for use of the CHP(s), then indicate “NO” that financial compensation was not received.
Note: If a CHP has different owners or affiliates, and/or different percentages of ownership or interest, then a separate
registration application must be completed for that permit.
BLOCK D – OWNERSHIP DOCUMENTATION
List the names of all persons and the percentage ownership of each person or entity that holds the CHP(s) listed in Block
D. List the “first level owners” of the permits. 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. Jim Chinook
25% (of 50%)
B. Sally Coho
25% (of 50%)
C. David Trout
25% (of 50%)
D. Mary Sculpin
25% (of 50%)

BLOCK E – IDENTIFICATION OF AFFILIATION
Indicate whether the CHP holder is affiliated with an individual, business, or other entity not listed in Block D at a 10
percent or greater level of ownership or control. Information regarding affiliation is required to enforce CHP ownership
caps for entities that may directly or indirectly control the use of CHP(s) through subsidiaries or other means.
After reading the definition of affiliation listed on page 7, answer whether the permit holder is affiliated with one or more
entities.
If NO affiliations exist, leave the remainder of Block E blank.
If YES, provide the names of the persons or entities that the permit holder is affiliated at a 10 percent or greater level of
ownership or control and their percentage of interest. You do not need to repeat owner names already provided in Block
D.
Duplicate this block as necessary to display all of the persons or entities with whom the permit holder is affiliated.

Application for Annual Registration of Charter Halibut Permit
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Excerpt of regulatory definition from 50 CFR § 679.2 – Definitions:
“Affiliation … means a relationship between two or more individuals, corporations, or other business
concerns, except CDQ groups, in which one concern directly or indirectly owns a 10 percent or greater
interest in another, exerts control over another, or has the power to exert control over another; or a third
individual, corporation, or other business concern directly or indirectly owns a 10 percent or greater
interest in both, exerts control over both, or has the power to exert control over both.
(1) What is 10 percent or greater ownership? For the purpose of determining affiliation, 10
percent or greater ownership is deemed to exist if an individual, corporation, or other business
concern directly or indirectly owns 10 percent or greater interest in a second corporation or other
business concern.
(2) What is an 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) What is control? For the purpose of determining affiliation, control is deemed to exist if an
individual, corporation, or other business concern has any of the following relationships or forms
of control over another individual, corporation, or other business concern:
(i) Controls 10 percent or more of the voting stock of another corporation or business
concern;
(ii) Has the authority to direct the business of the entity that owns the fishing vessel or
processor. The authority to direct the business of the entity does not include the right to
simply participate in the direction of the business activities of an entity that owns a
fishing vessel or processor;
(iii) Has the authority in the ordinary course of business to limit the actions of or to
replace the chief executive officer, a majority of the board of directors, any general
partner or any person serving in a management capacity of an entity that holds 10 percent
or greater interest in a fishing vessel or processor. Standard rights of minority
shareholders to restrict the actions of the entity are not included in this definition of
control provided they are unrelated to day-to-day business activities. These rights include
provisions to require the consent of the minority shareholder to sell all or substantially all
the assets, to enter into a different business, to contract with the major investors or their
affiliates, or to guarantee the obligations of majority investors or their affiliates;
(iv) Has the authority to direct the transfer, operation, or manning of a fishing vessel or
processor. The authority to direct the transfer, operation, or manning of a vessel or
processor does not include the right to simply participate in such activities;
(v) Has the authority to control the management of or to be a controlling factor in the
entity that holds 10 percent or greater interest in a fishing vessel or processor;
(vi) Absorbs all the costs and normal business risks associated with ownership and
operation of a fishing vessel or processor;
(vii) Has the responsibility to procure insurance on the fishing vessel or processor, or
assumes any liability in excess of insurance coverage;
(viii) Has the authority to control a fishery cooperative through 10 percent or greater
ownership or control over a majority of the vessels in the cooperative, has the authority
to appoint, remove, or limit the actions of or replace the chief executive officer of the
cooperative, or has the authority to appoint, remove, or limit the actions of a majority of
the board of directors of the cooperative. In such instance, all members of the
cooperative are considered affiliates of the individual, corporation, or other business
concern that exerts control over the cooperative; or
(ix) Has the ability through any other means whatsoever to control the entity that holds
10 percent or greater interest in a fishing vessel or processor.”
Application for Annual Registration of Charter Halibut Permit
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BLOCK F – SIGNATURE AND DECLARATION OF PERMIT HOLDER
Certify with signature and enter printed name and date signed. If completed by authorized representative, attach
authorization.

Application for Annual Registration of Charter Halibut Permit
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