0648-0272 Supporting Statement Part A (BJ07)

SUPPORTING STATEMENT

U.S. Department of Commerce

National Oceanic & Atmospheric Administration

Individual Fishing Quotas for Pacific Halibut and Sablefish

in the Alaska Fisheries

OMB Control No. 0648-0272

This is a resubmission, with the final rule, of a request for revision of an existing information collection due to an associated rule (RIN 0648-BJ07). This request is also for a non-rule related revision to remove one report from this collection that is approved under another OMB control number. In addition, this revised supporting statement incorporates changes to this collection previously submitted under two change requests that have been approved by OMB. One change request merged two temporary collections (0648-0758 and 0648-0764). The second revised one instrument in this collection due to an associated rule (RIN 0648-BI65) that overlapped, and was slightly ahead of, the schedule for BJ07.

INTRODUCTION

The International Pacific Halibut Commission (IPHC) and National Marine Fisheries Service (NMFS) Alaska Region, manage fishing for Pacific halibut (Hippoglossus stenolepis) through regulations established under the authority of the Northern Pacific Halibut Act of 1982. The IPHC promulgates regulations governing the halibut fishery under the Convention between the United States and Canada for the Preservation of the Halibut Fishery of the Northern Pacific Ocean and Bering Sea (Convention). Regulations pursuant to the Convention are set forth at 50 CFR Subpart E.

The North Pacific Fishery Management Council (Council), under the authority of the Halibut Act (with respect to Pacific halibut) and the Magnuson-Stevens Fishery Conservation and Management Act (16 U.S.C. 1801 et seq.; Magnuson-Stevens Act) (with respect to sablefish), manages the fixed gear Pacific halibut and sablefish Individual Fishing Quota (IFQ) Program. The IFQ Program provides a limited access system for Pacific halibut in Convention waters in and off Alaska and sablefish fisheries in waters of the Exclusive Economic Zone off Alaska. Fishing under the IFQ Program began on March 15, 1995, ending the open-access fisheries that preceded its implementation.

NMFS and the Council developed the IFQ Program to reduce fishing capacity that had increased during years of management as an open-access fishery. The IFQ Program provides coastal Alaska communities a source of revenue, while maintaining the social and economic character of the fixed-gear sablefish and halibut fisheries. The IFQ Program provides economic stability for these fisheries while reducing many of the conservation and management problems commonly associated with open-access fisheries. The IFQ Program includes several provisions, such as ownership caps and vessel use caps that protect small producers, part-time participants, and entry-level participants that otherwise could be adversely affected by excessive consolidation.

An IFQ permit authorizes participation in fixed-gear harvests of Pacific halibut off Alaska and sablefish fisheries off Alaska. IFQ is not specific to vessels and is issued annually to persons holding fishable Pacific halibut and sablefish quota share (QS). The IFQ can be used any time during the annual IFQ season to allow each fisherman to set his or her own pace and fishing effort. Fishermen may harvest the IFQ over the entire fishing season, which extends approximately from March through November 15.

NMFS initially issued QS to persons who owned or leased vessels that made legal commercial fixed-gear landings of Pacific halibut or sablefish during 1988, 1989, or 1990 off Alaska. Currently, QS may only be obtained through transfer.

The NMFS Alaska Region website provides more information on the IFQ Program.

1. JUSTIFICATION

1. Explain the circumstances that make the collection of information necessary.

NMFS Alaska Region administers the IFQ Program. Regulations implementing the IFQ Program are set forth at 50 CFR part 679.

This information collection is necessary to manage the IFQ Program. The information collected is used to identify and authorize participants in the halibut and sablefish fisheries, to track and transfer quota share, to limit transfers to authorized participants, and to monitor quota share balances and harvest in these fisheries.

Revision due to associated rule (RIN 0648-BJ07)

This information collection is revised due to the associated rule (RIN 0648-BJ07) to modify the medical and beneficiary transfer provisions of the IFQ Program. This action is intended to simplify administration of the medical and beneficiary provisions while promoting the long-standing objective of maintaining an owner-operated fishery. The revisions will benefit respondents and NMFS by providing clear standards, reducing potential inconsistencies with definitions used for other state or Federal programs, and reducing administrative costs and burdens that may be required when applying existing regulatory provisions.

This rule changes the medical transfer provisions by removing definitions of “advanced nurse practitioner,” “licensed medical doctor,” and “primary community health aide,” and adding the definition of “health care provider” at 50 CFR 679.2. This will broaden the range of providers who may attest to a medical condition, and therefore increase the flexibility of a QS holder when choosing a health care provider for treatment and verifying the condition on the medical transfer application.

This rule also changes the medical transfer provisions by revising 50 CFR 679.42(d)(2) to allow a medical transfer in any 3 of the previous 7 calendar years for any medical condition rather than in any 2 of the previous 5 calendar years for the same medical condition. This removes the administrative step for NMFS staff to differentiate between medical conditions and reduces the information required to process a medical transfer application. NMFS staff will only need to verify that a medical condition exists and to apply the transfer provisions for a specific period.

This rule changes the beneficiary transfer provisions by adding a definition of “immediate family member” at 50 CFR 679.2 and adding estate representative at 50 CFR 679.41 to the list of who may receive IFQ held by the decedent for up to 3 years. The rule defines immediate family member using a definition established by the U.S. Office of Personnel Management that includes a more current definition of the range of relationships that comprise an immediate family member. This will provide greater flexibility to QS holders and their beneficiaries. These changes will improve and simplify the process of approving beneficiary transfers without causing undue negative impacts on a QS holder’s estate planning.

The Application for Medical Transfer and the QS/IFQ Beneficiary Designation Form are revised due to this rule. Appeals is reinstated because it was inadvertently removed from this collection in 2015, and QS holders may appeal medical and beneficiary transfers denied by NMFS. Along with the IFQ Program, other programs also reference the Appeals process at 15 CFR 906.

Incorporation of Change Request for OMB Control Numbers 0648-0758 and -0764

In May 2019, OMB approved the change request merging two temporary control numbers, OMB Control Numbers 0648-0758 and 0648-0764, into this collection.

OMB Control No. 0648-0758 was associated with a rule that allows establishment of a Recreational Quota Entity (RQE) that can hold commercial halibut QS to supplement the annual charter halibut fishery limit in Areas 2C and 3A under the Pacific Halibut Catch Sharing Plan (83 FR 47819, September 21, 2018). The regulatory changes necessitated the addition of two new applications—Application for a Non-profit Corporation to be Designated as a Recreational Quota Entity and Application for Transfer of Quota Share To or From a Recreational Quota Entity—and a new annual report, the Recreational Quota Entity Annual Report.

OMB Control No. 0648-0764 was associated with a rule that allows Western Alaska Community Development Quota (CDQ) groups to receive by transfer halibut IFQ in IFQ regulatory areas 4B, 4C, and 4D in years of low halibut catch limits (83 FR 52760, October 18, 2018). The regulatory changes necessitated the addition of a new application form and a new annual report. 0648-0764 split the existing Application for Transfer of QS/IFQ into two forms, Application for Temporary Transfer of Halibut/Sablefish Individual Fishing Quota and Application for Transfer of QS, and added the Annual Report for CDQ IFQ Transfers.

Incorporation of Change Request for RIN 0648-BI65

On October 24, 2019, OMB approved the change request associated with the rule for RIN 0648-BI65.

The schedules for BI65 and BJ07 (the rule associated with this revision) overlapped, and NMFS expected the final rule for BI65 to publish and be implemented ahead of BJ07. The final rule for BI65 published on January 8, 2020 (85 FR 840).

Typically, in a situation such as this, changes to a collection by the first rule are made through a revision, and changes by the second rule are made through a change request. In this case, the changes from the first rule, BI65, were minor (see below), and the second rule, BJ07, more substantively changes this collection. Therefore, a change request was used for the first rule and this revision is used for BJ07, the second rule.

BI65 implemented Amendment 118 to the Fishery Management Plan for Groundfish of the Bering Sea and Aleutian Islands Management Area, which authorizes retention of legal-size halibut in pot-and-line and longline pot gear used to fish for halibut or sablefish IFQ/CDQ in the BSAI, provided the IFQ/CDQ holder holds sufficient halibut IFQ/CDQ for that IFQ regulatory area. The regulatory changes necessitated the addition of three additional items that fishermen who choose to use pot gear instead of hook-and-line gear must report in their Prior Notice of Landing (PNOL) phone calls. This did not change the number of respondents, responses, time burden, or costs for the PNOL.

2. Explain how, by whom, how frequently, and for what purpose the information will be used. 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.

a. Application for Eligibility to Receive QS/IFQ by Transfer

Quota share represents a harvesting privilege for a person. Annually, NMFS issues IFQ to QS holders to harvest specified poundage. The specific amount of IFQ held by a person is determined by the number of QS units held, the total number of QS units issued in a specific regulatory area, and the total pounds of sablefish or halibut allocated for the IFQ fisheries in a particular year.

An applicant must be a United States (U.S.) citizen or U.S. corporation, partnership, or other non-individual business entity to receive QS/IFQ by transfer. Those persons applying to receive QS or IFQ by transfer must submit this application to obtain a Transfer Eligibility Certificate (TEC).

A person applies for eligibility only once. To be eligible, persons must have at least 150 days of experience working as part of a harvesting crew in any U.S. commercial fishery. Work in support of harvesting but not directly related to it is not considered harvesting crew work.

An application for eligibility may be submitted by mail or delivery to NMFS, Alaska Region, Restricted Access Management (RAM). Fax submittal is not accepted due to the notary requirements.

The following information is collected on the Application for Eligibility to Receive QS/IFQ by Transfer.

Block A – Applicant Information

Name and NMFS Person ID

Taxpayer ID No. (Employer ID No. or SSN)

Business mailing address (indicate whether permanent or temporary)

Business telephone number, business fax number, and business e-mail address

If applicant is a U.S. citizen, enter date of birth

If applicant is a U.S. corporation, partnership, association, or other non-individual business entity, enter date of incorporation

If a resident of Adak, Alaska, enter date residency began

Block B – Freezer Shares

If this TEC is for an entity that intends to buy or lease only category A QS and participant is a corporation, partnership, association, or other non-individual entity, attach QS holder: Identification of Ownership Interest form.

Block C – Commercial Fishing Experience

Species

Gear type

Location

Begin date and end date of fishing experience

Number of actual days spent harvesting fish

Duties performed while directly involved in the harvesting of fish

Vessel name

Alaska Department of Fish and Game (ADF&G) vessel registration number or U.S. Coast Guard (USCG) documentation number of vessel

Name of vessel owner and name of vessel operator

Reference

Name

Relationship to applicant

Business mailing address and business telephone number

Block D – Notary Certification

Printed name and signature of applicant or authorized representative and date signed

If authorized representative, attach authorization

Notary public signature, commission expiration date, and notary stamp or seal

b. Quota Share (QS) Holder: Identification of Ownership Interest

This form must be submitted annually to NMFS by corporations, partnerships, associations, and other non-individual entities that hold QS.

NMFS needs the requested information to determine compliance with IFQ Program requirements that include the following:

• determine if persons who hold QS have exceeded their allowable use limits under the “individually and collectively” language set out in the IFQ regulations at 50 CFR 679.42(e) and (f);

• determine if a corporation or partnership that holds catcher vessel QS has changed (i.e., the addition of a new member);

• identify first-time applicants;

• affirm an entity’s continuing existence;

• ensure corporations and partnerships are not erroneously issued annual IFQ resulting from the collectively held QS;

• determine indirect ownership of vessels for purposes of the hired master provisions of the IFQ Program.

An entity must notify NMFS of any change within 15 days of its effective date and must then transfer its QS to a qualified individual.

Proof of vessel ownership must be submitted by non-individual respondents each year. Federal regulations at 50 CFR 679.42(i) and (j) define acceptable proof of ownership as follows:

• For a documented vessel, owns a minimum 20-percent interest in the vessel as shown by the U.S. Abstract of Title issued by the USCG that lists the permit holder as an owner and, if necessary to prove the required percentage ownership, other written documentation;

• For an undocumented vessel, owns a minimum 20-percent interest in the vessel as shown by a State of Alaska vessel license or registration that lists the permit holder as an owner and, if necessary to show the required percentage ownership interest.

An ownership interest application may be submitted to NMFS RAM by mail, delivery, or fax.

The following information is collected on the form Quota Share Holder: Identification of Ownership Interest.

Block A – Identification of QS holder

Name of QS holder

Indicate whether this business is a publicly held corporation

If a corporation, association, partnership, or other non-individual entity indicate whether still active

If an estate that has been probated, provide date probate was finalized

Block B – Identification of Members, Shareholders, Partners, Joint Venturers, Successors-In-Interest

If ownership consists of separate or additional corporations or partnerships, the individual owners of those entities and the percentage of interest those individuals hold in their respective corporations/partnerships must be listed

Name of owner(s)

Percent of interest held

Indicate whether ownership percentages represent the addition of any new owners since QS was initially issued

Block C – Certification

Printed name and signature of applicant or authorized representative and date signed. Authorized representatives must submit proof of authorization from QS owner and state title.

c. Application for IFQ/CDQ Hired Master Permit

A hired master permit is required for harvest of IFQ halibut, IFQ sablefish, or Western Alaska Community Development Quota (CDQ) halibut on behalf of a permit holder. Non-individual IFQ permit holders (corporations, partnerships, associations, and other non-individuals) must designate a hired master to fish their IFQ or obtain a permit to access their account.

To obtain a hired master, non-individual permit holders must own (either directly or indirectly) at least 20 percent of the vessel their hired master will use to fish the IFQ. The applicant must complete a separate application for each vessel, each IFQ permit number, and each CDQ permit number.

To demonstrate percent of vessel ownership by IFQ permit holder, documentation of ownership must be included with this application, except for Category A IFQ permit holders and CDQ permit holders.

• Proof of vessel ownership by the IFQ permit holder:

• For USCG documented vessels, a complete copy of the USCG Abstract of Title

• For an undocumented vessel, a copy of the State of Alaska vessel license or registration

• If the IFQ permit holder is not the person named on the USCG Abstract of Title or State of Alaska vessel license or registration, documentation establishing indirect ownership, such as corporate annual reports, meeting minutes, or stock certificates.

A hired master permit is in effect from the date of issue through the end of the specified fishing year.

The application for a hired master permit may be submitted to NMFS RAM by mail, delivery, or fax.

The following information is collected on the Application for IFQ/CDQ Hired Master Permit.

Block A – IFQ/CDQ Permit Holder Information

Name and NMFS person ID of IFQ permit holder

Business mailing address (indicate whether temporary or permanent)

Business telephone number, business fax number, and business e-mail address

Block B – Purpose of Application

Indicate if adding or removing hired master

Indicate whether the hired master permit should be mailed directly to the hired master

Indicate permit number(s) and categories to which this action applies

Block C – Identification of Vessel upon which IFQ/CDQ Halibut or Sablefish will be Fished

Vessel name, length overall, ADF&G vessel registration number, and USCG documentation number of vessel

If IFQ permit holder holds an ownership interest of at least 20% in the named vessel, attachments are required.

Block D – IFQ Permit Holder for Quota Share in Category B, C, or D

Indicate if IFQ Permit Holder hold an ownership interest of at least 20% in the vessel named in Block C.

Attach documentation in support of your ownership interest in the vessel

Block E -- IFQ Permit Holders for Quota Share in Category B, C, or D: Individuals Only

Indicate if the IFQ permit holder held an ownership interest of at least 20% in the vessel named in Block C for the 12 months immediately preceding the date of this application.

If NO, indicate if the permit holder owner applying for a hired master permit and seeking an exemption from the 12-month vessel ownership requirement.

Block F – Hired Master Information

Name and NMFS person ID of hired master permit holder

Business mailing address (indicate whether temporary or permanent)

Business telephone number, business fax number, and business e-mail address

Block G – 12-month Ownership Exemption Request

Indicate type of exemption you are seeking

For Claim of Vessel Los or Irreparable Vessel Damage:

Name, ADF&G number, and USCG number of vessel

Date vessel lost or irreparably damaged

Indicate if USCG Form 2692 “Report of Marine Casualty” was submitted for the incident

Cause of vessel loss or damage (check all that apply)

Was the vessel used to harvest halibut or sablefish QS belonging to the IFQ permit holder before the vessel was lost or irreparably damaged?

For Claim of Temporary Vessel Disablement

Name, ADF&G number, and USCG number of vessel

Date vessel temporarily disabled

Indicate if USCG Form 2692 “Report of Marine Casualty” was submitted for the incident

Was the vessel temporarily disabled by an accident that materially and adversely affected the vessel’s seaworthiness or fitness for service?

Does the vessel require repairs from this incident that require at least 60 days to complete?

Was the vessel used to harvest halibut or sablefish QS belonging to the IFQ permit holder before the vessel was temporarily disabled?

Block H – Certification of Permit Holder

Signature and printed name of applicant or authorized representative, and date signed

If representative, attach authorization

d. Application for IFQ/CDQ Registered Buyer Permit

The Application for IFQ/CDQ Registered Buyer Permit is used to apply for, amend, or renew a registered buyer permit under the IFQ Program and the CDQ Program. A registered buyer permit authorizes the person identified on the permit to receive and make an IFQ landing by an IFQ permit holder or IFQ hired master permit holder, or to receive and make a CDQ halibut landing by a CDQ permit holder or CDQ hired master permit holder.

A registered buyer permit is required of the following:

• Any person who receives IFQ halibut, CDQ halibut, or IFQ sablefish from the person(s) who harvested the fish.

• Any person who harvests IFQ halibut, CDQ halibut, or IFQ sablefish and transfers such fish in a dockside sale, outside of an IFQ regulatory area, or outside the State of Alaska.

• A vessel operator who submits an IFQ Departure Report (see description of this report below at subsection p).

NMFS does not issue a registered buyer permit to entities receiving IFQ Pacific halibut, IFQ sablefish, or CDQ Pacific halibut at locations outside Alaska. In such cases, the vessel operator must be a registered buyer.

A registered buyer permit is non-transferable and is issued annually on request at no cost. Many registered buyers hold more than one permit.

A registered buyer permit is in effect from the first day of the year for which it is issued or from the date of issuance, whichever is later, through the end of the 1-year cycle that runs from March 1 through the last day of February, unless it is revoked, suspended, surrendered, or modified.

The application may be submitted to NMFS RAM by mail, fax, or delivery. An application to renew or amend the permit may also be submitted online using eFISH, the NMFS-approved electronic reporting system.

If the application is submitted to NMFS online using eFISH, the NMFS Person ID, password, and transfer key take the place of a signature and certify that all information is true, correct, and complete.

Upon acceptance by NMFS of an online submission, the registered buyer may print a paper copy of the new permit and maintain this copy for inspection. NMFS will mail permits to applicants applying by mail, delivery, or fax.

For the application to be considered complete, all observer fees due to NMFS (see § 679.55) must be paid. Observer fees are authorized under OMB control number 0648-0711.

The following information is collected on the Application for IFQ/CDQ Registered Buyer Permit.

Indicate type of permit requested: New, Renew, or Amended

If renewing or amending a permit, enter registered buyer permit number

Block A -- Applicant Identification

Name and NMFS Person ID of registered buyer

Name of contact person

Business mailing address (indicate whether permanent or temporary)

Physical location of facility

Business telephone number, fax number, and e-mail address

Block B – Type of Activity

Check all activities that apply

Block C – Signature

Signature and printed name of applicant or authorized representative and date signed

If authorized representative, attach authorization

e. Application for Transfer of QS [previously added by change request that merged OMB Control Number 0648-0764]

Any person that received QS/IFQ as an Initial Issue or that holds a Transfer Eligibility Certificate (TEC) is eligible to receive QS/IFQ by transfer.

The Application for Transfer of QS is used to permanently transfer QS.

An Application for Transfer of QS must be approved by the NMFS Regional Administrator before a person may use IFQ that results from a direct transfer to harvest IFQ halibut or IFQ sablefish. The IFQ Program does not permit transfer of QS subject to any conditions of repossession or resale to the transferor except by court order, operation of law, or security agreement.

The information required by this application is necessary to ensure that QS and IFQ are transferred in compliance with the regulations governing the buying and selling of QS and the leasing of IFQ.

A separate application must be submitted for each group of QS being transferred.

An Application for Transfer of QS may be submitted to NMFS RAM by mail or delivery. Fax submittal is not accepted due to the notary requirements.

The information collected by the Application for Transfer of QS was collected by the Application for Transfer of QS/IFQ before it was removed by the change request that merged OMB Control Number 0648-0764 into this collection of information. To facilitate recordkeeping and reporting requirements for the rule (RIN 0648-BG94) associated with 0764, the Application for Transfer of QS/IFQ was split into two new forms: Application for Transfer of QS and the Application for Temporary Transfer of Halibut/Sablefish Individual Fishing Quota.

The following information is collected on the Application for Transfer of QS.

Indicate whether transferee has a TEC

Checklist

Use this list to ensure application is complete.

Block A – Identification of Transferor (Seller)

NMFS Person ID

Date of birth

Business mailing address (indicate whether permanent or temporary)

Business telephone number, Business fax number, and business e-mail address

Block B – Identification of Transferee (Buyer)

Name and NMFS Person ID

Date of birth

Business mailing address (indicate whether permanent or temporary)

Business telephone number, business fax number, and business e-mail address

Block C – Sweep-up or CDQ Compensation

If QS is to be included in a sweep-up, list the QS Group Number on the QS Holder Summary Report into which this new piece should be combined.

If this is a transfer of Catcher Vessel CDQ Compensation QS and the vessel category was never declared, indicate the vessel category in which you would like to have your QS issued.

Block D – Identification of QS and IFQ to be Transferred

Whether halibut or sablefish

IFQ Regulatory area

Vessel category

Number of QS units to be transferred

Transferor IFQ permit number

Start and end serial numbers of QS to be transferred

Indicate whether all remaining pounds for the current fishing year should be transferred

If NO, number of pounds to be transferred

Block E – Required Transferor Supplemental Information

Price per pound of IFQ

Price per unit of QS

Total amount paid for the QS/IFQ, including all fees

Reasons for transferring the QS/IFQ (check all that apply)

If a broker is used for this transaction, enter amount paid in brokerage fees or % of total price

Block F – Required Transferee Supplemental Information

Indicate whether QS/IFQ being purchased will have a lien attached

If YES, name of lien holder

Primary source of financing for this transfer (check one)

How the QS/IFQ was located (check all that apply)

Buyer’s relationship to the QS/IFQ Holder (check all that apply)

If agreement exists to return QS/IFQ to Transferor or other person, or a condition placed on resale, explain

Block G – Certification of Transferor

Printed name and signature of Transferor or Authorized Representative and date signed

If authorized representative, attach authorization

Signature, commission expiration date, and stamp of notary

Block H – Certification of Transferee

Printed name and signature of Transferee or Authorized Representative and date signed

If authorized representative, attach authorization.

Signature, commission expiration date, and stamp of notary

Two people, the transferor and the transferee, complete one application for a transfer.

f. Application for Temporary Transfer of Halibut/Sablefish Individual Fishing Quota [previously added by change request that merged OMB Control Number 0648-0764]

IFQ is eligible to be temporarily transferred in limited exceptions. The Application for Temporary Transfer can be used for several temporary transfers, including Category A IFQ transfer, surviving beneficiary transfer, military service transfer, and the newest justification, transfers to CDQ groups in Areas BCD in times of low halibut abundance.

Specific regulatory criteria must be met before any of these transfers are approved. A temporary IFQ transfer is valid only for the calendar year in which it is approved.

The information required by this application is necessary to ensure that IFQ are transferred in compliance with the regulations governing the buying, selling, or gifting of IFQ.

This application may be submitted to NMFS by mail or delivery. NMFS will not accept a fax submittal because a notarized signature is required.

The following is collected on the Application for Temporary Transfer of Halibut/Sablefish Individual Fishing Quota:

Block A – Type of Temporary IFQ Transfer Requested

Please indicate the type of temporary IFQ transfer requested (Category A IFQ transfer, surviving beneficiary, temporary military service transfer, IFQ transfer to CDQ groups during year of low halibut abundance)

Block B –Transferor Information

Name and NMFS Person ID

Date of Birthday

Business mailing address (indicate whether permanent or temporary)

Business telephone number, business fax number, and business e-mail address

Block C –Transferee Information

Name and NMFS Person ID

Date of Birthday

Business mailing address (indicate whether permanent or temporary)

Business telephone number, business fax number, and business e-mail address

Block D – Identification of IFQ to be Transferred

Indicate halibut or sablefish

Indicate IFQ Regulatory Area

Number of IFQ Pounds

From IFQ Permit Number

For Fishing Year

Block E – Required Transferor Supplemental Information

Price per pound

Total Amount paid for IFQ in this transaction, including all fees

Block F – Required Transferee Supplemental Information

Indicate the primary source of financing for this transfer

How was the IFQ located?

What is the Transferee’s relationship to the IFQ Holder?

Block G – Temporary Military Transfer

Does the Transferor qualify to hire a master under regulatory provisions at 50 CFR 679.42(i)(1)? See instructions for more information.

Is the Transferor a member of a branch of the National Guard or a member of a reserve component under a call to active service or, in the case of a member of the reserve component, been ordered to report for military service beginning on the date of the member’s receipt of the order and ending on the date on which the member reports for active duty military service?

If YES, you must provide documentation of active military mobilization or deployment. This documentation must include the following:

A copy of official documentation such as valid military orders or call that direct the transferor to report to active duty military service, to mobilize for a military deployment, or to report to active service.

A concise description of the nature of the military deployment or active duty military service, including verification that the applicant is unable to participate in the IFQ fishery for which he or she holds IFQ permits during the IFQ season because of his/her active duty military service.

Block H -- Certification of Transferor

Printed name and signature of Transferor and date signed

If authorized representative, attach authorization

Signature, commission expiration date, and stamp of notary

Block I -- Certification of Transferee

Printed name and signature of Transferee and date signed.

If authorized representative, attach authorization.

Signature, commission expiration date, and stamp of notary

The number of respondents is based on IFQ transfer activity for 2017. Two people, the transferor and the transferee, complete one application for a transfer.

g. Application for Transfer of QS/IFQ by Self Sweep-up [separated from Application for Transfer of QS/IFQ by the change request that merged OMB Control Number 0648-0764]

The Application for Transfer of QS/IFQ by Self Sweep-up is for use by a person who wishes to combine (sweep-up) two blocks. Blocked QS may be combined into one block if the total amount of QS being combined is less than or equal to established amounts of QS units per area. To be combined, QS must be in the same vessel category, and the resulting block size must not exceed the sweep-up limits.

An application for transfer by sweep up may be submitted to NMFS RAM by mail or delivery. Fax submittal is not accepted due to the notary requirements.

The following information is collected on the Application for Transfer of QS/IFQ by Sweep-up.

Block A – Applicant information

Applicant name and NMFS Person ID

Date of birth

Business mailing address (indicate whether permanent or temporary)

Business telephone number, business fax number, and business e-mail address

Block B –- First Quota Shore Block

Halibut or sablefish

IFQ Regulatory area

Vessel category

Number of QS units to be combined

Start and end serial numbers of QS

Block C –- Second Quota share Block

Halibut or sablefish

IFQ Regulatory area

Vessel category

Number of QS units to be combined

Start and end serial numbers of QS

Block D – Certification of Notary and Applicant

Signature and printed name of QS holder and date signed

If authorized representative, attach authorization

Signature, commission expiration date, and stamp of notary public

h. Annual Report for CDQ IFQ Transfers [previously added by change request that merged OMB Control Number 0648-0764]

In years of low halibut catch limits in regulatory areas 4B and 4CDE, CDQ groups are allowed to lease halibut catcher vessel IFQ in regulatory areas 4B, 4C, and 4D. A CDQ group is required to submit an annual report for CDQ IFQ transfers only in years in which the CDQ group received catcher vessel halibut IFQ by transfer.

Any IFQ transferred to a CDQ group under this provision is available for use in conjunction with halibut CDQ and intended for use by residents that have traditionally harvested halibut CDQ. The annual report allows CDQ groups to demonstrate how this opportunity is benefiting its residents without the Council or NMFS needing to define who is a resident.

The reporting requirement at § 679.5(l)(10) requires the CDQ groups to submit an annual report on the criteria used to select IFQ holders to receive IFQ transfers from, the criteria used to determine who can receive transferred IFQ, and the amount and type of IFQ transferred.

The report is submitted to NMFS and the Council through mail or email no later than January 31 after the transfer activity was completed. A CDQ group is not be eligible to lease halibut IFQ until a timely and complete report is submitted. There is no form for this report.

This program is voluntary and is limited to small vessels (under 51 feet length overall). There are six CDQ groups. Since this program is implemented only in times of low halibut abundance and not all vessels will opt to participate, NMFS anticipates 0 respondents and responses at this time. However, in the long term, we expect an average 2 responses per year.

i. Application for Temporary Military Transfer of IFQ

The Application for Temporary Military Transfer of IFQ is for use by members of the National Guard and military reserves who are unable to participate in the IFQ fishery for which they hold QS because of a military mobilization or activation to duty status. This transfer of annual halibut and sablefish IFQ to other eligible IFQ recipients allows these QS holders to accrue some economic benefit from their annual IFQ if unable to harvest halibut or sablefish.

A QS holder who has received an approved military transfer may transfer the IFQ derived from his or her own QS to an individual eligible to receive IFQ. Any person that received QS/IFQ as an Initial Issuee or that holds a Transfer Eligibility Certificate (TEC) is eligible to receive QS/IFQ by transfer.

To be eligible to receive a temporary military transfer, a QS holder must—

• Be a member of a branch of the U.S. National Guard or other U.S. military reserve.

• Possess one or more catcher vessel IFQ permit.

• Not qualify for a hired master exception under § 679.42(i). Persons who qualify for a hired master exception are ineligible to receive a temporary military transfer.

An application for temporary military transfer may be submitted to NMFS RAM by mail or delivery. Fax submittal is not accepted due to the notary requirements.

The following information is collected on the Application for Temporary Military Transfer of IFQ.

Qualifying Questions

Indicate if the Transferor (Military) qualifies for a hired master exception

If YES, the military transfer application will be denied

Indicate if the Transferee (Not Military) holds a Transfer Eligibility Certificate (TEC)

If NO, the transferee (buyer) must apply for a TEC

Attachments

Use this list to determine necessary attachments

Block A -- Transferor (Seller) Information

Full name as it appears on QS Certificate and/or TEC

NMFS Person ID

Birth date of applicant

Business Mailing Address: Include street or P.O. Box number, city, state, and zip code

Indicate whether permanent or temporary.

Temporary only if you want the transfer documentation sent other than to the permanent address.

Business telephone number, business fax number (include area codes), and business E-mail address (if any)

Block B -- Transferee (Buyer) Information

Full name as it appears on QS Certificate and/or TEC

NMFS Person ID

Birth date of applicant

Business Mailing Address: Include street or P.O. Box number, city, state, and zip code

Indicate whether permanent or temporary.

Temporary only if you want the transfer documentation sent to other than to the permanent address

Business telephone number, business fax number, and business E-mail address (if any)

Block C – Identification of IFQ to be Transferred

Indicate whether halibut or Sablefish IFQ

IFQ Regulatory Area

Number of Units

Numbered To and From (Serial Numbers are shown on the QS Certificate)

Actual Number of IFQ Pounds

Transferor IFQ Permit Number

Fishing Year

Block D -- Certification Of Transferor

Printed name and signature of transferor and date signed

If completed by a representative, attach authorization

Notary Public Attest, affix Notary Stamp, and provide date commission expires

The Notary Public cannot be the person(s) submitting this application.

Block E - Certification Of Transferee

Printed name and signature of transferor and date signed

If completed by a representative, attach authorization

Notary Public Attest, affix Notary Stamp, and provide date commission expires

The Notary Public cannot be the person(s) submitting this application.

The transferor and transferee are included in the number of respondents, since both must complete and sign a section of the application; therefore, there are two respondents per response (the transfer application).

j. Application for Medical Transfer of IFQ

Revision: This application is revised due to the associated rule. The following changes have been made to the form.

• The rule adds “or other method of compensation” to the list of items a complete application must include at 50 CFR 679.42(d)(2)(iii). Block D (Transferor Supplemental Information) has been revised to include a field for “other method of compensation” because compensation is given as a percentage of the total pounds harvested.

• The rule removes definitions of “advanced nurse practitioner,” “licensed medical doctor,” and “primary community health aide.” All references to these have been removed. The rule adds a definition of “health care provider” at 50 CFR 679.2. All references to “medical professional” have been changed to “health care provider.”

• The instructions for Block F (Medical Declaration) are revised to state that it must be completed by a health care provider as defined at 50 CFR 679.2. Defining a health care provider is necessary because it determines who is allowed to attest that a QS holder is not physically able to fish his or her IFQ.

• Block F, Field 4, is revised to enter the type of health care provider. Previously, it consisted of three checkboxes: licensed medical doctor, advanced nurse practitioner, and primary community health aide.

• The rule revises 50 CFR 679.42(d)(2) to extend the number of years a medical transfer could be used from 2 of the 5 most recent calendar years to 3 of the 7 most recent calendar years, which increases flexibility for those who need it. The rule removes the requirement that the medical transfers be for the same medical condition and will allow the medical transfers for any medical condition. This removes the need for medical information to be reviewed by NMFS staff. Block F, Field 5, is revised to remove the requirement to attach documentation of the medical condition and a description of the care required.

• The application’s instructions have been revised to reflect these changes due to the rule.

• Minor technical edits have been made to the form and instructions.

The description of this instrument and the list of information collected by this form (see below) have been revised.

These revisions did not change the respondents, responses, burden, or costs. Postage and photocopy costs have been adjusted to account for increased rates.

QS holders not eligible to hire a skipper and who (or an immediate family member) have a medical condition preventing them from fishing their catcher vessel IFQ may lease out the IFQ. This provision is intended to allow IFQ to be fished while the QS holder or their immediate family member has a short-term medical condition. For this reason, a written declaration from a health care provider is required, and the number of times a person may use a medical transfer for any medical condition is limited. NMFS will not approve a medical transfer if the applicant has received a medical transfer in any 3 of the previous 7 years for any medical condition. A medical transfer is valid only during the calendar year of the transfer.

The requirement for an IFQ permit holder to be aboard the vessel during fishing operations and to sign the IFQ landing report may be waived. A medical transfer may be approved if the applicant demonstrates that he or she is unable to participate in the IFQ fishery for which he or she holds IFQ—

• because of a severe medical condition that precludes participation; or

• because of a severe medical condition involving an immediate family member that requires the IFQ holder’s full time attendance.

The application is available on the NMFS website or by calling NMFS RAM. The original application must be mailed or delivered to RAM.

The following information is collected on the Application for Medical Transfer of IFQ.

Indicate if the Transferor (medical condition) qualifies for a hired master exception

If YES, the medical transfer application will be denied.

Indicate if the Transferee (no medical condition) holds a Transfer Eligibility Certificate (TEC)

If NO, the transferee (buyer) must apply for a TEC.

Block A – Transferor Information (Medical Condition)

Name of Transferor

NMFS Person ID

Birth date of applicant

Business Mailing Address (indicate if permanent or temporary): street or P.O. box number, city, state, and zip code

This is address where transfer documentation will be sent

Business telephone number, fax number, and E-mail address

Block B – Transferee Information (No Medical Condition)

Name of Transferee

NMFS Person ID

Birth date of applicant

Business Mailing Address (indicate if permanent or temporary): street or P.O. box number, city, state, and zip code

This is address where transfer documentation will be sent

Business telephone number, fax number, and E-mail address

Block C – Identification of IFQ to be Transferred

Indicate whether halibut or sablefish

Fishing Year

Transferor IFQ Permit Number

IFQ Regulatory Area

IFQ Pounds Transferring

Block D – Transferor Supplemental Information

Price per pound, including fees, or other method of compensation

Total amount paid for the IFQ, including fees

Block E – Transferee Supplemental Information

Primary source of financing for this transfer

Indicate how IFQ was located

Transferee's relationship to the IFQ Holder

Block F – Medical Declaration (must be completed by a health care provider as defined at 50 CFR 679.2)

Name and Title of Treating Health Care Provider

Business Telephone Number and Permanent Mailing Address

Type of Health Care Provider

Brief description of the primary medical condition affecting the applicant or applicant’s family member that prevents participation in the fishery for this calendar year.

Signature of Treating Health Care Provider and date signed

Block G – Certification Of Transferor

Printed name and signature of transferor and date signed

If completed by a representative, attach authorization

Block H – Certification Of Transferee

Printed name and signature of transferor and date signed

If completed by a representative, attach authorization

The transferor, transferee, and the health care provider are included in the number of respondents, since all must complete and sign a section of the application. Therefore, there are three respondents per response for the medical transfer application.

k. QS/IFQ Beneficiary Designation Form

Revision: This form is revised due to the associated rule and because the notary requirement is no longer necessary. The following changes have been made to the form.

• The rule adds a definition of “immediate family member” at 50 CFR 679.2. The form’s instructions were revised to state that a beneficiary is the surviving spouse or an immediate family member as defined at 50 CFR 679.2. The definition of immediate family member has been added to the form’s instructions to clarify who is considered a beneficiary.

• The notary public certification fields have been removed. Instead of notary certification, the signature of the QS holder is sufficient because it is signed under penalty of perjury that the information is true and correct. The notary was confirming that the person signing the form is the person that appeared before them, not that the information is true and correct.

These changes will improve and simplify the process of approving a beneficiary.

The description of this instrument and the list of information collected by this form (see below) have been revised.

The change associated with the rule did not change the respondents, responses, burden, or costs. Removing the notary requirement slightly decreased the QS holder’s miscellaneous costs.

QS holders may provide NMFS with the name of a designated beneficiary to receive survivorship transfer privileges in the event of the QS holder’s death. A beneficiary is the surviving spouse or an immediate family member as defined at 50 CFR 679.2.

NMFS allows the transfer of IFQ only (lease) to the beneficiary by right of survivorship, for a period of 3 years following the death of the original QS holder. This information collected is necessary to provide temporary transfer privileges to the family of a deceased QS holder in the absence of a surviving spouse.

A designated beneficiary form may be submitted to NMFS by mail or delivery.

The following information is collected on the QS/IFQ Beneficiary Designation Form.

Block A – Identification of QS holder

Name and NMFS Person ID

Business mailing address

Business telephone number, business fax number, and business e-mail address

Block B – Identification of beneficiary

Name and NMFS person ID

Business mailing address

Business telephone number, business fax number, and business e-mail address

Block C – Relationship of Beneficiary to QS Holder

If beneficiary is not the spouse of the QS holder, explain family relationship of the beneficiary to the QS holder

Block D – Signature

Signature and printed name of beneficiary, and date signed

If authorized representative, attach authorization

k. Appeals

Appeals was inadvertently removed from this collection in 2015. An appeals process is provided for a QS holder who receives an adverse initial administrative determination (IAD) related to their transfer application. If NMFS denies a transfer, a QS holder may appeal this denial under the appeals procedures set out at 15 CFR part 906.

Administrative appeals of adverse decisions made by NMFS Alaska Region must be submitted to the NMFS National Appeals Office (NAO) in Silver Spring, Maryland. Instructions for submitting an appeal are provided on the NAO website at https://www.fisheries.noaa.gov/national/rules-and-regulations/appeals. The appeal may be submitted by fax (307-713-2384) or by mail or commercial carrier to National Appeals Office, 1315 East-West Highway, Silver Spring, MD 20910.

The appeal must be filed not later than 45 days after the date the IAD is issued unless a shorter or longer filing timeframe is explicitly specified in the regulations governing the initial administrative determination.

No appeals have been filed since 2015; however, one IAD was issued in 2016 and one in 2019. For purposes of this analysis, one response is used in the tables in questions 12 and 13.

l. Application for replacement of certificates, permits, or licenses

This form is used to request a replacement for a certificate, permit, or license that was previously issued by NMFS and that subsequently was lost, destroyed, or stolen.

An application for replacement may be submitted to NMFS RAM by mail, delivery, or fax.

The following information is collected on the Application for Replacement of Certificates, Permits, or Licenses.

Block A – Identification of Applicant

Name and NMFS Person ID

Date of birth, if an individual; Date of incorporation, if a corporation, association, partnership, or other non-individual entity

Business mailing address (indicate whether temporary or permanent)

Business telephone number, business fax number, and business e-mail address

Block B – Replacement Request

Indicate certificate, permit, or license to be replaced (check only items that apply)

Block C – Reason for replacement request

Check one; if checked “other,” describe

Block D – Certification of Applicant

Signature and printed name of applicant or authorized representative and date signed

If authorized representative, attach authorization

m. Registered Buyer Landing Report

The Registered Buyer Landing Report has been removed from this collection because it was inadvertently approved under two collections. This report is also approved under OMB Control Number 0648-0515 (Alaska Interagency Electronic Reporting System) and will remain in that collection, under which it is a better fit, as that collection contains landing reports.

n. IFQ Administrative Waiver

Participants in IFQ fisheries request an administrative waver by calling NOAA Office for Law Enforcement (OLE) using a NMFS-provided toll-free number or, in rare cases, by marine radio. No form exists for this waiver.

OLE completes the waiver to document the participant’s request for an administrative waiver from one of the following requirements. The waiver is granted at the discretion of the clearing officer:

• Six-hour Prior of Notice of Landing: issued to a vessel to land fish before the required 6 hours

• 12-hour IFQ Landing Window: issued to a vessel that lands fish after hours: after 1800 and before 0600

• Electronic Landing Report: issued due to eLandings failure

• IFQ hired master on board: issued for the IFQ hired master to not be on board in extreme personal emergencies

The following information is collected in an IFQ Administrative Waiver.

Toll-free telephone call to OLE

Date and time of waiver

Vessel name and ADF&G vessel registration number

All IFQ permit numbers

Prior Notice confirmation number (if applicable)

Registered Buyer name and permit number (if applicable)

Requirement being waived.

Revision: The change request associated with the rule for Amendment 118 (RIN 0648-BI65) adds three things that fishermen who choose to use pot gear in the BSAI must report in their PNOL calls: number of pots set, number of pots lost, and number of pots left deployed on the fishing grounds. Vessels who choose to use longline pot gear in the Gulf of Alaska sablefish IFQ fishery already are required to report this additional information under Amendment 101.

The description of this instrument and the list of information submitted (see below) have been revised.

As NMFS currently requires all vessels in the IFQ or CDQ halibut and IFQ sablefish fisheries to submit a PNOL to NMFS, these additional reporting requirements do not change the number of respondents or responses, or change the burden or costs already incurred by the respondents.

o. Prior Notice of Landing (PNOL) [Revised text due to change request for RIN 0648-BI65]

The operator of any vessel making an IFQ landing must submit a PNOL to OLE no fewer than 3 hours before landing IFQ halibut, CDQ halibut, or IFQ sablefish, unless permission to commence an IFQ landing within 3 hours of notification is granted by a clearing officer. No form exists for this item.

The operator of any vessel wishing to make an IFQ landing before the date and time (A.l.t.) reported in the PNOL or later than 2 hours after the date and time (A.l.t.) reported in the PNOL must submit a new PNOL.

Vessel operators call OLE using a toll-free number to submit a PNOL. An OLE data clerk types the data directly into the system. The system generates a PNOL confirmation number, which the data clerk provides to the fisherman.

The PNOL alerts the IPHC monitoring personnel and OLE personnel to legal landings. In addition, the submittal of a PNOL allows OLE—

• to query the IFQ data center to determine if the permit holder has enough IFQ pounds available in the account to cover the amount being landed;

• to observe the offload; and

• to monitor longline pot gear retrieval in the Gulf of Alaska.

Data on gear type are necessary to ensure compliance with the PNOL requirement because some reporting exemptions are gear-based.

• Halibut: An IFQ landing of halibut of 500 lb or less of IFQ weight and concurrent with a legal landing of salmon harvested using hand troll gear or power troll gear is exempt from the PNOL.

• Lingcod: An IFQ landing of halibut of 500 lb or less of IFQ weight and concurrent with a legal landing of lingcod harvested using dinglebar gear is exempt from the PNOL.

IPHC uses gear type data to assist with harvest monitoring. NMFS and the Council use gear information to project bycatch rates for non-IFQ fish in the IFQ fishery and support analyses for seasonal apportionments and other allocation proposals.

The following information is collected in the PNOL.

Toll-free telephone call to OLE

Vessel Information

Vessel name

ADF&G vessel registration number

Landing information

Port of landing and port code

Exact location of landing within the port (dock name, harbor name, facility name, or geographical coordinates)

Date and time (A.l.t.) that the landing will take place

Species and estimated weight (lb) of IFQ halibut, CDQ halibut, or IFQ sablefish that will be landed

IFQ regulatory area(s) where IFQ halibut, CDQ halibut, or IFQ sablefish were harvested

IFQ permit numbers used to land IFQ halibut, CDQ halibut, or IFQ sablefish

Gear type used to harvest the IFQ sablefish or IFQ halibut

If using longline pot gear in the Gulf of Alaska or pot gear in the BSAI, report the following:

• number of pots set,

• number of pots lost, and

• number of pots left deployed on the fishing grounds.

Comments

p. IFQ Departure Report

A vessel operator who intends to make a landing of IFQ halibut, CDQ halibut, IFQ sablefish, or Crab Rationalization Program (CR) crab at any location other than in an IFQ regulatory area for halibut and sablefish or in a crab fishery for CR crab in the State of Alaska must submit an IFQ Departure Report, by telephone, to OLE (800-304-4846 or 907-586-7163) between 0600 hours, A.l.t., and 2400 hours, A.l.t. No form exists for this report.

A vessel operator who intends to make an IFQ landing at a location different from the location named on the IFQ Departure report must submit a revised report naming the new location at least 12 hours in advance of the offload. Revisions must be submitted by telephone, to OLE (800-304-4846 or 907-586-7163) between the hours of 0600 hours, Alaska local time (A.l.t.), and 2400 hours, A.l.t.

The IFQ Departure Report is submitted only after completion of all IFQ fishing and prior to departing the waters of the exclusive economic zone adjacent to the jurisdictional waters of the State of Alaska, the territorial sea of the State of Alaska, or the internal waters of the State of Alaska.

A vessel operator submitting an IFQ Departure Report for CR crab must have a Registered Crab Receiver permit.

A vessel operator submitting an IFQ Departure Report for IFQ halibut, CDQ halibut, or IFQ sablefish must have a registered buyer permit and must submit IFQ landing reports for all IFQ halibut, CDQ halibut, and IFQ sablefish on board at the same time and place as the first landing of any IFQ halibut, CDQ halibut, or IFQ sablefish.

The following information is collected in an IFQ Departure Report.

Toll-free telephone call to OLE

Intended date, time (Alaska local time), and location of landing

Vessel name and ADF&G vessel registration number

Halibut IFQ, halibut CDQ, sablefish IFQ, and CR crab permit numbers of IFQ and CDQ permit holders on board

Vessel operator's name

Registered Buyer permit or Registered Crab Receiver permit number

Area of harvest.

If IFQ or CDQ halibut, provide halibut regulatory areas (Figure 15 to 50 CFR part 679)

If IFQ sablefish, provide sablefish regulatory areas (Figure 14 to 50 CFR part 679)

If CR crab, provide CR fishery code (Table 1 to part 680)

Estimated total weight as appropriate of IFQ halibut, CDQ halibut, IFQ sablefish, or CR crab on board (lb/kg/mt)

q. Transshipment Authorization

No person may transship processed IFQ halibut, CDQ halibut, IFQ sablefish, or CR crab between vessels without authorization by a local clearing officer. Authorization from a local clearing officer must be obtained for each instance of transshipment at least 24 hours before the transshipment is intended to commence.

The authorization is requested from OLE by telephone at 800-304-4846. No form exists for this item.

To obtain a Transshipment Authorization, the vessel operator must provide the following information to the clearing officer.

The following information is collected in a Transshipment Authorization.

Toll-free telephone call to OLE

Time and date of transshipment

Location of transshipment

Name and ADF&G vessel registration number of vessel offloading transshipment

Name of vessel receiving the transshipment

Product destination

Species code and product type code

Total product weight

Time (A.l.t.) and date of request

Name, telephone number, fax number for person making the request

r. Dockside Sales Receipt

The purpose of reporting the amount of IFQ fish involved in a dockside sale is to provide OLE with the ability to monitor and inspect the shipment of IFQ fish to determine whether there was proper accounting for all IFQ fish landed.

A person holding a valid IFQ permit or IFQ hired master permit, and a registered buyer permit may conduct a dockside sale of IFQ halibut or IFQ sablefish with a person who has not been issued a registered buyer permit after all IFQ halibut and IFQ sablefish have been landed and reported.

A person holding a valid halibut CDQ hired master permit and registered buyer permit may conduct a dockside sale of CDQ halibut with a person who has not been issued a registered buyer permit after all CDQ halibut have been landed and reported.

A registered buyer conducting dockside sales must issue a receipt to each individual receiving IFQ halibut, CDQ halibut, or IFQ sablefish in lieu of a product transfer report (see OMB control number 0648-0213). No form exists for this item.

The dockside sales receipt must include the following information.

Date of sale

Registered buyer permit number

Weight by product of the IFQ halibut, CDQ halibut, or sablefish IFQ transferred

s. Application for a Non-profit Corporation to be Designated as a Recreational Quota Entity (RQE) [previously added by change request that merged OMB Control Number 0648-0758]

An RQE is authorized to purchase and hold a limited amount of commercial halibut quota share that will yield additional pounds of recreational fishing quota on an annual basis to augment the amount of halibut available for harvest in the charter halibut fishery. The RQE provides a mechanism for a compensated reallocation of a portion of commercial halibut quota share to the charter halibut fishery.

A non-profit organization that intends to establish itself as an RQE and participate in the IFQ Program must complete an Application for a Non-profit Entity to be Designated as a Recreational Quota Entity (RQE) for approval by NMFS. This application collects information necessary for NMFS to determine eligibility of the entity to be designated an RQE.

NMFS will approve only one entity as the RQE. Upon approval by NMFS, the RQE may buy, sell, and hold halibut QS in Areas 2C and 3A.

This application is due only once.

The application may be submitted to NMFS by mail or delivery. Fax submittal is not accepted due to the notary requirements.

The Application for a Non-profit Corporation to be Designated as a Recreational Quota Entity collects the following information.

Application for a Non-profit Corporation to be Designated as a CQE

Block A–Identification of applicant

Name of nonprofit organization

Tax ID Number

NMFS ID Number

Name of contact person

Permanent business mailing address

Business telephone number, fax number, and e-mail address

Block B – Required Attachments -- Checklist of required attachments

Applicants Articles of Incorporation

Applicant’s Corporate By-laws

List of applicant’s key personnel, including its Board of Directors, officers, representatives, and managers

Applicant’s organizational chart or, at minimum, a written explanation that fully reveals the applicants line and staff responsibilities and relationships

Block C – Notary Certification

Printed name and signature of applicant or authorized representative and date signed. If representative, attach authorization.

Signature, date when commission expires, and stamp of notary

t. Application for Transfer of Quota Share To or From a Recreational Quota Entity [previously added by change request that merged OMB Control Number 0648-0758]

An RQE is eligible to receive QS by transfer and to transfer QS.

An RQE is limited to holding no more than 10 percent of the 2015 commercial QS pool in Area 2C and no more than 12 percent of the 2015 commercial QS pool in Area 3A. An RQE may not annually transfer more than 1 percent of the commercial QS units in Area 2C or more than 1.2 percent of the commercial QS units in Area 3A based on the 2015 QS pool.

An RQE may not purchase any D class QS in Area 3A and may not purchase more than 10 percent of the D class QS in Area 2C based on the D class QS pool in 2015. An RQE is also limited to purchasing no more than 10 percent of the B class QS in Area 2C based on the B class QS pool in 2015.

If an RQE transfers QS to another person, the quota class and block designation of the QS is retained. Any person that holds a TEC is eligible to receive QS by transfer from the RQE. The IFQ Program does not permit transfer of QS subject to any conditions of repossession or resale to the transferor except by court order, operation of law, or security agreement.

The Application for Transfer of Quota Share To or From a Recreational Quota Entity is used by an RQE to permanently receive or transfer QS. This application collects information necessary for NMFS to ensure that QS are transferred in compliance with regulations governing the buying and selling of QS.

This application may be submitted to NMFS RAM by mail or delivery. Fax submittal is not accepted due to the notary requirements.

The Application for Transfer of Quota Share To or From a Recreational Quota Entity collects the following information.

Application for Transfer of QS To or From a Recreational Quota Entity

Block A –Transferor Information (Seller)

Name and NMFS Person ID

Business mailing address (indicate whether permanent or temporary)

Business telephone number, Business fax number, and business e-mail address

Block B –Transferee Information (Buyer)

Name and NMFS Person ID

Business mailing address (indicate whether permanent or temporary)

Business telephone number, business fax number, and business e-mail address

Block C – Questions for Transferee

If QS is to be included in a sweep-up, list the identifier on the QS Group Number into which this new piece should be combined.

If this is a transfer of Catcher vessel CDQ compensation QS and the vessel category has never been declared, designate the catcher vessel category in which QS should be issued.

Block D – Identification of QS to be Transferred

Quota Share to be transferred

IFQ Regulatory Area

Vessel Category

Total QS units

Designation of QS, as shown on the QS Holder Report

Block E – Required Transferor Supplemental Information

Indicate the reason(s) transfer being proposed.

Price per unit of QS

Total amount paid for the QS in this transaction, including all fees

If a broker is used for this transaction, indicate amount paid in brokerage fees or percentage of total price.

Indicate reason for transferring QS.

Block F – Required Transferee Supplemental Information

If QS will have a lien attached, identify the lien holder

Primary source of financing for this transfer

How was the QS located

Relationship to the transferor

If an agreement exists to return the QS to the transferor or any other person or a condition placed on resale, explain.

Block G -- Certification of Transferor

Printed name and signature of Transferor and date signed

If authorized representative, attach authorization.

Signature, commission expiration date, and stamp of notary

Block H -- Certification of Transferee

Printed name and signature of Transferee and date signed.

If authorized representative, attach authorization.

Signature, commission expiration date, and stamp of notary

u. Recreational Quota Entity Annual Report [previously added by change request that merged OMB Control Number 0648-0758]

The RQE must submit a complete annual report on its administrative activities and business operation for each calendar year that it holds halibut recreational fishing quota (RFQ) and QS. The RQE may combine annual reports on its holdings of halibut QS and RFQ for IFQ regulatory areas 2C and 3A into one report. The RQE must submit annual report data for the halibut QS and RFQ it held during the calendar year.

The RQE is not required to submit an annual report for any calendar year in which it did not hold any halibut QS or RFQ.

The annual report must be submitted to the NMFS-Alaska Regional Administrator and to the North Pacific Fishery Management Council by January 31 for the prior calendar year. There is no form for this annual report.

A complete RQE Annual Report contains the following information.

Recreational Quota Entity (RQE) Program Annual Report

General report requirements:

Any changes to the bylaws, board of directors, or other key management personnel of the RQE from the preceding year;

Amount and description of annual administrative expenses;

Amount and description of funds spent on conservation and research, including a summary of the results of those expenditures; and

Amount and description of all other expenses incurred by the RQE.

Information specific to IFQ regulatory areas 2C and 3A

For each IFQ regulatory area represented by the RQE, the RQE must annually report the following information:

The total amount of halibut QS by category and blocks held by the RQE at the start of the calendar year, on October 1, and at the end of the calendar year;

A list of all transfers (purchases or sales) of halibut QS, including the transaction price; and

A description of the number of charter halibut permits and number of angler endorsements purchased and held by the RQE.

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.

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 Information Quality Act), which 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.

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 Question 10 of this Supporting Statement for more information on confidentiality and privacy.

3. Describe whether, and to what extent, the collection of information involves the use of automated, electronic, mechanical, or other technological techniques or other forms of information technology.

Registered buyers may renew or amend their registered buyer permit online using eFISH at https://alaskafisheries.noaa.gov/webapps/efish/login.

Except for the dockside sales receipt and the information collected by OLE over the telephone, all of the forms and applications are available as fillable pdfs posted on the NMFS Alaska Region website at www.alaskafisheries.noaa.gov. These forms and applications may be completed electronically by the participant, downloaded, printed, and mailed or faxed to NMFS.

NMFS Alaska Region is working toward offering more on-line services.

4. Describe efforts to identify duplication.

None of the information collected as part of this information collection duplicates other collections. This information collection is part of a specialized and technical program that is not like any other.

5. If the collection of information involves small businesses or other small entities, describe the methods used to minimize burden.

NMFS attempts to minimize the burden of this collection on all respondents by collecting only information necessary to manage the IFQ Program, by providing and supporting the online data collection and reporting systems eFISH and eLandings, and by providing help to participants in writing and by phone. eFISH and eLandings include online help options and user guides at https://alaskafisheries.noaa.gov/services. NMFS also maintains documentation about eFISH in the eLandings Wiki (Confluence) at https://elandings.atlassian.net/wiki/spaces/doc/pages/31096857/eFISH+Web+Application. In addition, NMFS maintains a help/support call center with contractors available by phone Monday through Friday from 8:00 am to 4:30 pm Alaska time.

Additionally, most of the elements in this information collection are available online as fillable pdfs. A toll-free phone number is available for participants to contact NMFS RAM for help or information on these elements.

6. Describe the consequences to the Federal program or policy activities if the collection is not conducted or is conducted less frequently.

It would not be possible to effectively manage the IFQ Program or carry out the mandates of the Halibut Act and the Magnuson-Stevens Act if this collection were not conducted or conducted less frequently.

The lack of adequate information to manage the IFQ Program would result in the fishery management decision-making process being less objective, more political, and potentially less equitable. This would decrease the credibility of the fishery management process and result in an unnecessarily costly and ineffective management system. The cost of making decisions based on inadequate information would adversely affect the viability of the IFQ fishing industry.

7. Explain any special circumstances that require the collection to be conducted in a manner inconsistent with OMB guidelines.

There are no special circumstances that require the collection to be conducted in a manner inconsistent with OMB guidelines.

8. If applicable, provide a copy and identify the date and page number of publication in the Federal Register of the agency's notice, required by 5 CFR 1320.8 (d), soliciting comments on the information collection prior to submission to OMB. Summarize public comments received in response to that notice and describe actions taken by the agency in response to these comments. Specifically address comments received on cost and hour burden. Describe efforts to consult with persons outside the agency to obtain their views on the availability of data, frequency of collection, the clarity of instructions and recordkeeping, disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, or reported.

A proposed rule (RIN 0648-BJ07) soliciting public comments was published in the Federal Register on October 24, 2019 (84 FR 56991). The comment period ended on November 25, 2019. No comments were received on the collection-of-information requirements in this request.

9. Explain any decisions to provide payments or gifts to respondents, other than remuneration of contractors or grantees.

No payment or gift is provided under this program.

10. Describe any assurance of confidentiality provided to respondents and the basis for assurance in statute, regulation, or agency policy.

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. The System of Records Notice that covers this information collection is COMMERCE/NOAA-19, Permits and Registrations for United States Federally Regulated Fisheries. An amended Privacy Act system of records notice was published in the Federal Register on August 7, 2015 (80 FR 47457), and became effective September 15, 2015 (80 FR 55327).

11. Provide additional justification for any questions of a sensitive nature, such as sexual behavior and attitudes, religious beliefs, and other matters that are commonly considered private.

This information collection does not involve information of a sensitive nature.

12. Provide an estimate in hours of the burden of the collection of information.

Information Collection	Type of Respondent (e.g., Occupational Title)	# of Respondents (a)	Annual # of Responses / Respondent (b)	Total # of Annual Responses (c) = (a) x (b)	Burden Hrs / Response (d)	Total Annual Burden Hrs (e) = (c) x (d)	Mean Hourly Wage Rate (for Type of Respondent)3/ (f)	Total Annual Wage Burden Costs (g) = (e) x (f)
Application for Eligibility to Receive QS/IFQ by Transfer	QS/IFQ holders	100	1	100	2 hrs	200	$23.84	$4,768
Quota Share (QS) Holder: Identification of Ownership Interest	QS holders	150	1	150	2 hrs	300	$23.84	$7,152
Application for IFQ/CDQ Hired Master Permit	IFQ permit holders; CDQ permit holders	200	1	200	1 hr	200	$23.84	$4,768
Application for IFQ/CDQ Registered Buyer Permit	registered buyers	235	1	235	0.5 hr	118	$23.84	$2,813
Application for Transfer of QS	QS holders	8801/	1	440	2 hrs	880	$23.84	$20,979
Application for Temporary Transfer of Halibut/Sablefish Individual Fishing Quota	IFQ holders; CDQ group representatives	7421/	1	371	2 hrs	742	$23.84	$17,689
Application for Transfer of QS/IFQ by Self Sweep Up	QS/IFQ holders	58	1	58	2 hrs	116	$23.84	$2,765
Annual Report for CDQ IFQ Transfers	CDQ group representatives	2	1	2	40 hrs	80	$23.84	$1,907
Application For Temporary Military Transfer of IFQ	QS holders	21/	1	1	2 hrs	2	$23.84	$48
Application for Medical Transfer of IFQ	IFQ permit holders; health care provider	4202/	1	140	1.5 hrs	210	32.974/	$6,924
QS/IFQ Beneficiary Designation Form	QS/IFQ holders	12	1	12	30 minutes	6	$23.84	$143
Appeals	QS holders	1	1	1	4 hrs	4	$23.84	$95
Application for Replacement of Certificates or Permits	permit and license holders	50	1	50	30 minutes	25	$23.84	$596
IFQ Administrative Waiver	IFQ permit holders	235	avg 1.47	346	6 minutes	35	$23.84	$834
Prior Notice of Landing	vessel operators	2,418	avg. 2.3	5,594	15 minutes	1,399	$23.84	$33,352
IFQ Departure Report	vessel operators	26	1	26	15 minutes	7	$23.84	$167
Transshipment Authorization	vessel operators	1	1	1	12 minutes	1	$23.84	$24
Dockside sales	registered buyers	235	5	1,175	6 minutes	118	$23.84	$2,813
Application for a Non-profit Corporation to be Designated as a Recreational Quota Entity	RQE representative	1	1	1	200 hrs	67 hrs (annualized 200 hrs / 3)	$23.84	$1,597
Application for Transfer of Quota Share To or From a Recreational Quota Entity	RQE representative	1	20	20	2 hrs	40	$23.84	$954
Recreational Quota Entity Annual Report	REQ representative	1	1	1	40 hrs	40	$23.84	$954
Totals				8,924		4,590		$111,343

^1/ The application is completed by two respondents: the transferor and the transferee.

^2/ The application is completed by three respondents: the transferor, the transferee, and the health care provider.

^3/ Unless otherwise noted, this analysis uses the mean hourly wage for Occupation Code 45-0000 (Farming, Fishing, and Forestry Occupations), Sector 11 (Agriculture, Forestry, Fishing and Hunting). May 2018 Occupational Employment Statistics Research Estimates, Alaska.

^4/ The mean hourly wage was determined as follows: ($23.84 *2 [transferor and transferee] + $51 [healthcare provider])/3. The healthcare provider mean hourly wage is from Occupation Code 29-0000 (Healthcare Practitioners and Technical Occupations), Sector 62 (Heath Care). May 2018 Occupational Employment Statistics Research Estimates, Alaska.

13. Provide an estimate of the total annual cost burden to the respondents or record- keepers resulting from the collection (excluding the value of the burden hours in Question 12 above).

Information Collection	# of Respondents (a)	Annual # of Responses / Respondent (b)	Total # of Annual Responses (c) = (a) x (b)	Cost Burden / Respondent* (h)	Total Annual Cost Burden (i)= (c) x (h)
Application for Eligibility to Receive QS/IFQ by Transfer	100	1	100	11 (postage, photocopy, notary)	$1,100
Quota Share (QS) Holder: Identification of Ownership Interest	150	1	150	avg $3.393/ (postage or fax, photocopy)	$509
Application for IFQ/CDQ Hired Master Permit	200	1	200	avg $1.413/ (postage or fax, photocopy)	$282
Application for IFQ/CDQ Registered Buyer Permit	235	1	235	avg $0.514/ (postage, fax, or online; photocopy)	$120
Application for Transfer of QS	8801/	1	440	11 x 2 (postage, photocopy, notary)	$9,680
Application for Temporary Transfer of Halibut/Sablefish Individual Fishing Quota	7421/	1	371	11 x 2 (postage, photocopy, notary)	$8,162
Application for Transfer of QS/IFQ by Self Sweep Up	58	1	58	11 (postage, photocopy, notary)	$638
Annual Report for CDQ IFQ Transfers	2	1	2	11 (postage, photocopy, notary)	$22
Application For Temporary Military Transfer of IFQ	21/	1	1	11 (postage, photocopy, notary)	$11
Application for Medical Transfer of IFQ	4202/	1	140	0.80 (postage, photocopy)	$112
QS/IFQ Beneficiary Designation Form	12	1	12	0.83 (postage, photocopy)	$10
Appeals	1	1	1	536 (attorney, fax)	$536
Application for Replacement of Certificates or Permits	50	1	50	avg $1.4033/ (postage or fax, photocopy)	$70
IFQ Administrative Waiver	235	avg 1.47	346	0	$0
Prior Notice of Landing	2,418	avg. 2.3	5,594	0	$0
IFQ Departure Report	26	1	26	0	$0
Transshipment Authorization	1	1	1	0	$0
Dockside sales	235	5	1,175	0	$0
Application for a Non-profit Corporation to be Designated as a Recreational Quota Entity	1	1	1	6 (postage, photocopy, notary)	$6
Application for Transfer of Quota Share To or From a Recreational Quota Entity	1	20	20	11.15 (postage, photocopy, notary)	$223
Recreational Quota Entity Annual Report	1	1	1	1 (postage, photocopy)	$1
TOTALS			8,924		$21,482

* Postage $ 0.55; fax $6; online; photocopy $0.15/page; notary $10; attorney $125.

^1/ The application is completed by two respondents: the transferor and the transferee.

^2/ The application is completed by three respondents: the transferor, the transferee, and the health care provider.

^3/ An average was used because this application may be submitted by mail or fax.

^4/ An average was used because this application may be submitted by mail, fax, or online.

14. Provide estimates of annualized cost to the Federal government.

A cost recovery program is in effect for the IFQ Program. Under this cost recovery program, NMFS is authorized to collect direct program costs from the permit holders. Therefore, the information collection requirements of the IFQ Program do not impose a cost on the Federal Government. Direct program costs are the costs NMFS incurs to manage, collect data from, and enforce the IFQ Program.

The direct program costs for the IFQ Program in 2017 were $4,659,859.

The following are examples of the types of tasks that were included under the 2017 IFQ direct program costs:

• analysis and rulemaking activities: regulations to authorize longline pot gear in the Gulf of Alaska sablefish IFQ fishery, and analysis of potential revisions to IFQ Program rules, including medical lease and right of survivorship provisions;

• maintenance of the electronic reporting systems, including the catch accounting system;

• programming and web design for online applications;

• issuance of IFQ and hired master permits, responding to questions about permits;

• transfers of QS and IFQ, responding to questions about transfers;

• annual transfer report;

• determine standard ex-vessel prices using value and volume reports submitted by IFQ registered buyers;

• fee determination and collection process;

• port sampling;

• processing North Pacific IFQ loan program applications; and

• inspections, boardings, investigations, outreach and education, and compliance assistance.

15. Explain the reasons for any program changes or adjustments.

The following tables show the changes in the number of respondents, responses, time estimates, labor costs, and miscellaneous costs, and explains the reasons for these changes.

Information Collection	Respondents		Responses		Burden Hours		Labor Costs ($)		Miscellaneous Costs ($)		Reason for Change or Adjustment
	Current	Previous	Current	Previous	Current	Previous	Current	Previous	Current*	Previous
Application for Eligibility to Receive QS/IFQ by Transfer	100	100	100	100	200	200	4,768	7,400	1,100	564	Updated labor and miscellaneous costs
Quota Share (QS) Holder: Identification of Ownership Interest	150	150	150	150	300	300	7,152	11,100	509	474	Updated labor and miscellaneous costs
Application for IFQ/CDQ Hired Master Permit	200	200	200	200	200	200	4,768	7,400	282	170	Updated labor and miscellaneous costs
Application for IFQ/CDQ Registered Buyer Permit	235	235	235	235	118	118	2,813	4,366	120	69	Updated labor and miscellaneous costs
Application for Transfer of QS	880	880	440	440	880	880	20,979	32,560	9,680	4,836	Updated labor and miscellaneous costs
Application for Temporary Transfer of Halibut/Sablefish IFQ	742	742	371	371	742	742	17,689	27,454	8,162	2,167	Updated labor costs and updated and corrected miscellaneous costs
Application for Transfer of QS/IFQ by Self Sweep Up	58	58	58	58	116	116	2,765	4,292	638	327	Updated labor and miscellaneous costs
Annual Report for CDQ IFQ Transfers	2	2	2	2	80	80	1,907	2,960	22	10	Updated labor and miscellaneous costs
Application For Temporary Military Transfer of IFQ	2	2	1	1	2	2	48	74	11	11	Updated labor costs
Application for Medical Transfer of IFQ	420	420	140	140	210	210	6,924	7,770	112	174	Updated labor and miscellaneous costs
QS/IFQ Beneficiary Designation Form	12	12	12	12	6	6	143	222	10	67	Updated labor and miscellaneous costs and removed notary cost.
Appeals	1	0	1	0	4	0	95	0	536	0	Change: Reinstated because it was inadvertently removed.
Application for Replacement of Certificates or Permits	50	50	50	50	25	25	596	925	70	57	Updated labor and miscellaneous costs
Registered Buyer Landing Report	0	235	0	5,774	0	1,155	0	42,883	0	0	Removed because it is also approved under OMB Control Number 0648-0515.
IFQ Administrative Waiver	235	235	346	346	35	35	834	1,295	0	0	Updated labor costs
Prior Notice of Landing	2,418	2,418	5,594	5,594	1,399	1,399	33,352	51,763	0	0	Updated labor costs
IFQ Departure Report	26	26	26	26	7	7	167	259	0	0	Updated labor costs
Transshipment Authorization	1	1	1	1	1	1	24	37	0	0	Updated labor costs
Dockside sales	235	235	1,175	1,175	118	118	2,813	4,366	0	0	Updated labor costs
Application for a Non-profit Corporation to be Designated as a Recreational Quota Entity	1	1	1	1	67	67	1,597	7,400	6	3	Updated and corrected labor costs (should have been annualized). Updated miscellaneous costs.
Application for Transfer of Quota Share To or From a Recreational Quota Entity	1	1	20	20	40	40	954	1,480	223	134	Updated labor and miscellaneous costs
Recreational Quota Entity Annual Report	1	1	1	1	40	40	954	1,480	1	1	Updated labor costs
Total for Collection	2,559**	2,794**	8,924	14,697	4,590	5,741	111,343	217,486	21,482	9,064
Difference	(235)		5,773 (Change: +1) (Adjustment: -5,774)		1,151 (Change: +4) (Adjustment: -1,155)		106,143 (Change: +95) (Adjustment: +106,048)		12,418 (Change: +536) (Adjustment: 11,882)

*Postage, photocopy, and notary costs were increased based on the most recent data for these costs.

**Unique respondents. Some participants in the IFQ Program submit more than one instrument in this information collection. Therefore, the number of unique respondents is used to show the estimated number of individual participants who are expected to annually submit information during the renewal period for this information collection. The estimated number of unique respondents consist of the following: 2,412 IFQ permit holders, 6 CDQ permit holders, 140 health care providers, and 1 RQE. This is a decrease of 235 registered buyers that are no longer respondents to this collection because the Registered Buyer Landing Report is being removed from this collection.

16. For collections whose results will be published, outline the plans for tabulation and publication.

NMFS publishes some information from this collection on the NMFS Alaska Region website, including lists of persons eligible to receive QS by transfer (business name and address, NMFS ID) and registered buyers (business name and address, NMFS ID, registered buyer permit number). Additionally a list of QS holders is posted that includes the business name and address, species, regulatory area, and number of QS units.

Final administrative appeal decisions with redactions are posted on the NMFS National Appeals Office website at https://www.fisheries.noaa.gov/national/rules-and-regulations/appeals. No other information collected will be published.

17. If seeking approval to not display the expiration date for OMB approval of the information collection, explain the reasons why display would be inappropriate.

The OMB control number and the expiration date are not found on the following, which do not have forms: IFQ Administrative Waiver, Prior Notice of Landing, IFQ Departure Report, Transshipment Authorization, and Dockside Sales Receipt. All but the Dockside Sales Receipt are submitted by telephone. The Dockside Sales Receipt is given by the permit holder to the buyer; the mode of this receipt is up to the permit holder.

18. Explain each exception to the certification statement.

There are no exceptions for compliance with provisions in the certification statement.

2. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS

This collection does not employ statistical methods.

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