Application for transfer of QS to or from an RQE

Revised: 10/05/2018

OMB Control Number 0648-0272 Expiration Date: 06/30/2021
U.S. Dept. of Commerce/NOAA
Application for
National Marine Fisheries Service (NMFS)
TRANSFER of QUOTA SHARE
Restricted Access Management (RAM)
P.O. Box 21668
To or From a
AK 99802-1668
RECREATIONAL QUOTA ENTITY Juneau,
(800) 304-4846 toll free / 586-7202 in Juneau
(RQE)
(907) 586-7354 fax

This transfer form is only used if a Recreational Quota Entity (RQE) is applying to permanently receive or permanently transfer
Quota Share (QS); if not, a different form must be used. The party to whom an RQE is seeking to transfer the QS must hold a
Transfer Eligibility Certificate (TEC). If the RQE is applying to permanently transfer QS, a representative of the RQE on whose
behalf the QS is held must sign the application.

1. Name:

BLOCK A – TRANSFEROR (Seller) INFORMATION
2. NMFS Person ID:



3. Business Mailing Address:

4. Business Telephone No.:

1. Name:



Permanent

Temporary

5. Business Fax No:

6. E-mail address:

BLOCK B – TRANSFEREE (Buyer) INFORMATION
2. NMFS Person ID:



4. Business Mailing Address:

5. Business Telephone No.:



Permanent

Temporary

6. Business Fax No.:

7. E-mail Address:

BLOCK C -- QUESTIONS FOR TRANSFEREE

1. Do you request that this quota share (QS) be included in a sweep up, if possible?



YES



NO

If YES, list the QS Group Number on the QS Holder Summary Report into which this new piece should be
combined.
_______________________________________________________________
2. If this is a transfer of Catcher Vessel CDQ Compensation QS and the vessel category has never been declared,
check the Catcher Vessel Category (D, C, or B) in which you would request your QS issued.



“D” (0' to 35' Length Over All)



“C” (35' to 60' Length Over All)



Application for Transfer of QS To or From an RQE

Page 1 of 8

“B” (greater than 60' Length Overall

BLOCK D -- IDENTIFICATION OF QS TO BE TRANSFERRED
1. Halibut Quota Share to be transferred:

2. IFQ Regulatory Area

3. Vessel Category

4. Total QS Units

5. Designation of QS, as shown on the Quota Share Holder Report:
Group ID: ______________________
Serial Numbers From: __________________ to _______________________

BLOCK E – REQUIRED TRANSFEROR SUPPLEMENTAL INFORMATION
1. If the RQE is the transferor complete this question. Indicate the reason(s) you are proposing this transfer (check all
that apply).






Generate revenue for additional halibut QS
Generate revenue to promote halibut resource
Dissolve the RQE

 Generate revenue for halibut conservation or research
Generate revenue to cover administrative costs for managing
the RQE
As a result of a court order, operation of law, or as part of a
security
agreement

Other (please describe):____________________________________________________________

2. Give the price per unit of QS

3. What is the total amount being paid for
the QS in this transaction, including all fees?

$_____________________________ /Unit of QS
(Price divided by QS units)
4. Is there a broker being used for this transaction?



$________________________________
____
YES
NO



If YES, how much is being paid in brokerage fees? $ ______________or____________ % of total price.
5. If the Transferor is not the RQE, complete this section. Indicate your reasons for transferring the QS (check
all that apply).





Retirement from Fisheries
Pursue Non-Fishing Activities
Other (explain):

Shares Too Small to Fish
Enter other Fisheries
 Trading

Shares Health Problems

 Consolidation of Shares

Application for Transfer of QS To or From an RQE
Page 2 of 8

BLOCK F -- REQUIRED TRANSFEREE SUPPLEMENTAL INFORMATION
(To be completed by proposed transferee)



1. Will the QS being purchased have a lien attached?



YES

NO

If YES, identify the person who will hold the lien: ______________________________
2. What is the primary source of financing for this transfer (check one)?





Received as a Gift Personal
NMFS Loan Program
Processor/Fishing Company






Private Bank/Credit Union

Alaska Dept. of Commerce


Resources (cash)

3. How was the QS located (check all that apply)?
Relative
Advertisement/Public Notice







Broker



AK Com. Fish & Ag. Bank
Transferor/Seller
Other (explain):
Personal Friend



Other (explain):

4. What is the Buyer’s relationship to the QS/IFQ Holder (check all that apply) ?



Unrelated



Family Member



Business Partner



Friend



Other (explain):

5. Is there an agreement to return the QS to the Transferor, or any other person, or a condition placed on resale?

 YES

 NO

If YES, please explain: _______________________________________________________________________
___________________________________________________________________________________________

Application for Transfer of QS To or From an RQE
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BLOCK G -- CERTIFICATION OF TRANSFEROR
Under penalty of perjury, I swear, or affirm, that I have examined this application and, to the best of my
knowledge and belief, the information presented hereon is true, correct, and complete.
1. Signature of transferor or authorized representative:
2. Date:

3. Printed name of transferor or authorized representative (If an authorized representative, attach authorization):

4. ATTEST (Signature of Notary Public):

6. Affix Notary Stamp or Seal Here:

5. Commission Expires:

BLOCK H -- CERTIFICATION OF TRANSFEREE
Under penalty of perjury, I swear, or affirm, that I have examined this application and, to the best of my
knowledge and belief, the information presented hereon is true, correct, and complete.
1. Signature of transferee or authorized representative:
2. Date:

3. Printed name of transferee or authorized representative (If an authorized representative, attach authorization):

4. ATTEST (Signature of Notary Public):

6. Affix Notary Stamp or Seal Here:

5. Commission Expires:

Application for Transfer of QS To or From an RQE
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Instructions
APPLICATION TO TRANSFER QS To, or From, A
RECREATIONAL QUOTA ENTITY (RQE)
This application is to be used ONLY to apply for a transfer of permanent quota share (QS) to or from an RQE.
If an RQE is not a party to the proposed transfer, another application should be used.
Any party to whom the QS is proposed to be transferred must hold a Transfer Eligibility Certificate (TEC).

GENERAL INFORMATION
The halibut and sablefish IFQ Program is administered by the Restricted Access Management (RAM) Program
of the Alaska Region, National Marine Fisheries Service (NMFS). The RQE program allows a qualified nonprofit entity to purchase and hold halibut QS for use by the guided halibut sector. Transfers of all QS must be
approved, in advance, by RAM.
These instructions are designed to help you to use this transfer application form. Some general rules pertain, as
follows:
♦

Please submit a separate application for each proposed QS transfer.

♦

Please complete the entire application, 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 facsimile will not be processed.

♦

RAM will not process an application that does not bear original signatures (faxed
applications will be returned). All signatures must be witnessed by a Notary Public
(or, in some remote areas, the community Postmaster or Postmistress).

♦

An application submitted and signed by an authorized representative for a party to the
transfer will not be processed unless clear and unambiguous certification of the
representative’s authority to do so is provided

When completed, submit the original application
By mail to:

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

or deliver to:

Room 713, Federal Building
709 West 9th Street

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.
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.

Application for Transfer of QS To or From an RQE
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If you have any questions, or if you need any assistance in completing the application, please contact
RAM as follows:
Telephone (toll Free): 1-800-304-4846 (press “2")
Telephone (Juneau): 907-586-7202
E-Mail Address: [email protected]
Web Site: https://alaskafisheries.noaa.gov/fisheries-applications

COMPLETING THE APPLICATION
BLOCK A – TRANSFEROR (LESSOR) INFORMATION
1. Name of the transferor proposing to transfer the QS as it appears on the Quota Share Holder Report or
the TEC
2. NMFS Person ID (as set out on the Quota Share Holder Report or the TEC)
3. Business mailing address. Indicate whether permanent or temporary address.
If permanent address, include street or P.O. Box, city, state, and zip code.
If temporary address, include street or P.O. Box, city, state, and zip code. This address will be used to
send the transfer documentation, if different from the permanent address.
4-6. Enter business telephone number, business fax number, and e-mail address (if available).
BLOCK B – TRANSFEREE (LESSEE) INFORMATION
1. Name of the party proposing to receive the transfer of QS.
2. NMFS Person ID (as set out on the Quota Share Holder Report or the TEC)
3. Business mailing address. Indicate whether permanent or temporary address.
If permanent address, include street or P.O. Box, city, state, and zip code.
If temporary address, include street or P.O. Box, city, state, and zip code. This address will be used to
send the transfer documentation, if different from the permanent address.
4-6. Enter business telephone number, business fax number, and e-mail address.
BLOCK C – QUESTIONS FOR TRANSFEREE
1. Indicate if you intend to combine (“sweep up”) the transferred QS with a block that is currently held.
Blocked QS may be combined into one block if the resulting total amount of QS is less than or equal to
the following amounts of QS units:

Halibut

Area
2C
3A

Units
33,320
46,520

NOTE: if you intend to sweep up the QS into an existing block, you must fully identify the QS
block into which you wish to combine the transferred QS; to do so, complete the blanks by entering
the letters and numbers as set out on your QS Holder Summary Report.
Application for Transfer of QS To or From an RQE
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2. If this is a transfer of Catcher Vessel “CDQ compensation QS” that has not yet been assigned a catcher
vessel length category, you may designate the category. To do so, check the appropriate box (indicating
vessel length) to which you wish the QS assigned (note that this will be a permanent assignment of vessel
length category).
BLOCK D – IDENTIFICATION OF QS TO BE TRANSFERRED
1. Halibut quota share to be transferred.
2. IFQ Regulatory Area
3. Vessel Category
4. Total QS units to be transferred.
5. Designation of those QS units (as set out on the Quota Share Holder Report).
BLOCK E – REQUIRED TRANSFEROR SUPPLEMENTAL INFORMATION
1. If transferor is an RQE, indicate the reason(s) transfer is being proposed. Check all that apply and
provide a brief explanation on a separate sheet.
2. Provide the price per unit of QS.
3. Indicate total amount paid for the QS in this transactions, including all fees.
4. Indicate whether a broker is used for this transaction.
If YES, indicate amount paid in brokerage fees or percentage of total price.
5.
Indicate reason(s) for transferring QS (check all that apply)
BLOCK F – REQUIRED TRANSFEREE SUPPLEMENTAL INFORMATION
1. Indicate whether the QS will have a lien attached
If YES, identify the person who will hold the lien
2. Indicate primary source of financing for this transfer (check one)
3. Indicate how the QS was located (check all that apply)
4. Indicate relationship to the transferor (check all that apply)
5. Indicate whether an agreement exists to return the QS to the transferor or any other person or a
condition placed on resale.
If YES, explain
BLOCK G -- CERTIFICATION OF TRANSFEROR
Enter printed name and signature of Transferor and date signed
If completed by an authorized representative, attach authorization
Signature, commission expiration date, and stamp of notary public
BLOCK H -- CERTIFICATION OF TRANSFEREE
Enter printed name and signature of Transferee and date signed
If completed by an authorized representative, attach authorization
Signature, commission expiration date, and stamp of notary public

Application for Transfer of QS To or From an RQE
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____________________________________________________________________________________________
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, NOAA National Marine Fisheries Service, P.O. Box 21668, Juneau, AK 998021668.
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 679 and under
section 402(a) of the Magnuson-Stevens Act (16 U.S.C. 1801, et seq.); 3) The information collected
is confidential under section 402(b) of the Magnuson-Stevens Act, as amended in 2006. They are also
confidential 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 by the Magnuson-Stevens Fishery
Conservation and Management Act, 16 U.S.C. 1801 et seq.
PURPOSE: NMFS uses the information provided on this application to transfer quota share (QS) to
or from a recreational quota entity. The information required by this application is necessary to ensure
that QS are transferred in compliance with the regulations governing the buying and selling of QS.
ROUTINE USES: Disclosure of this information is subject to the published routine uses identified in
the Privacy Act System of Records Notice COMMERCE/NOAA-19, Permits and Registrations for
the United States Federally Regulated Fisheries. NMFS may post some information from this form on
its public website (www.alaskafisheries.noaa.gov). In addition, NMFS may share information
submitted on this form with other State and Federal agencies or fishery management commissions,
including staff of the North Pacific Fishery Management Council and Pacific States Marine Fisheries
Commission.
DISCLOSURE: Providing this information is voluntary; however, the failure to provide complete and
accurate information will prevent NMFS from transferring the QS.

Application for Transfer of QS To or From an RQE
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