Application for Transfer of Pacific Cod Trawl Cooperativ

Created: 06/14/2023

OMB Control No. 0648-0811

Application for Transfer of
Pacific Cod Trawl Cooperative
Program Quota Share (QS)
for Processors

Expiration Date: xx/xx/20xx

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

This application is used to request transfer of a Pacific Cod Trawl Cooperative Program (PCTC Program) quota share
(QS) permit and any QS assigned to that permit or to request transfer of excess PCTC Program QS separate from that
permit. To transfer PCTC Program QS, a timely and complete application must be submitted to NMFS using the
methods described on the application. The transferee must be a person and a processor with an active FPP or FFP as
defined in 50 CFR 679.130. This application will not be processed or approved unless it is complete.
NOTE: In addition to providing the information required in the application, a copy of the terms and conditions of the
transfer agreement must be attached. Such documentation may consist of a bill of sale, promissory note, or other
document that reveals the contract terms between the parties.
BLOCK A – REQUIRED DOCUMENTATION
Use this block to determine which forms and other information must be attached to this transfer. Please
check all that apply to ensure that your application is complete and can be processed in a timely manner.
☐ Copy of Sale/Transfer Agreement
☐ Completed Application
A legible copy of a contract or sales agreement that
☐ Power of Attorney (if applicable)
specifies the PCTC Program QS permit to be
transferred, the processor, the designated transferee,
the monetary value or the terms of the PCTC Program ☐ Processor Ownership Information provided by the
Transferee/Receiver
QS permit transfer, and the signature of the processor
and the designated transferee must be attached to this
application.

BLOCK B – IDENTIFICATION OF TRANSFEROR
2. NMFS Person ID:

1. Name of Transferor:

3. Federal Processor Permit or Federal Fisheries Permit Number:
4. Business mailing address:

5. Business Telephone Number:

☐ Permanent ☐ Temporary

6. Business E-mail Address:

Application for Transfer of PCTC Program QS Permit for Processors
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BLOCK C – IDENTIFICATION OF TRANSFEREE
Applicant must be a person, and an eligible processor as defined in § 679.130.
1. Name of Transferor:
2. NMFS Person ID:
3. Federal Processor Permit Number or Federal
Fisheries Permit Number:
5. Business mailing address:

6. Business Telephone Number:

4. ADF&G Number:

☐ Permanent ☐ Temporary

7. Business E-mail Address:

BLOCK D – PCTC PROGRAM QS PERMIT OWNERSHIP DOCUMENTATION
To be completed by the Transferee/Receiver

Provide the names of all persons, to the individual level, holding an ownership interest in the PCTC Program QS
permit and the percentage ownership each person and individual will hold in the PCTC Program QS permit.
3. Percentage of
1. Name of Owner(s)
2. NMFS ID
Ownership

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BLOCK E – TRANSFERS OF PCTC PROGRAM QS PERMITS TO ANOTHER PERSON
Identify PCTC Program QS permit(s) being transferred:
PCTC Program QS Permit Number

QS Units

Will this processor-held QS be added to an existing processor-held PCTC Program QS permit held by the
transferee?
☐ YES ☐ NO
If YES, list the PCTC Program QS permit number(s) that this QS is to be added below.
PCTC Program QS Permit Number

BLOCK F – SALE INFORMATION FOR PCTC PROGRAM QS PERMIT TRANSFER
1. What is the total amount being paid for the PCTC Program QS permit in this transaction, including all
fees? $
2. What was the reason for transferring the PCTC Program QS permit?
3. Is the PCTC Program QS permit being used as collateral for a loan?
☐ YES ☐ NO
If YES, name of party holding security interest or lien:
4. Is the transfer of this PCTC Program QS permit part of an agreement that also transfers ownership of a
processing plant?
☐ YES ☐ NO
If YES, enter name of processing plant and/or company:

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5. Is there an agreement to return the permit to the transferor or to transfer it to any other person, or is there any
condition requiring the resale or conveyance of the permit?
☐ YES ☐ NO
If YES, please explain (use attachment if necessary):

BLOCK G – SIGNATURE OF TRANSFEROR
Pursuant to 28 U.S.C. § 1746, I declare under penalty of perjury that the foregoing is true and correct.
Signature of transferor or authorized representative:

Date:

Printed name of transferor or authorized representative. If representative, attach authorization:

BLOCK H – SIGNATURE OF TRANSFEREE
Pursuant to 28 U.S.C. § 1746, I declare under penalty of perjury that the foregoing is true and correct.
Signature of transferee or authorized representative:

Date:

Printed name transferee or authorized representative. If representative, attach authorization:

Public Reporting Burden Statement
A Federal agency may not conduct or sponsor, and a person is not required to respond to, nor shall a person be subject to a
penalty for failure to comply with an information collection subject to the requirements of the Paperwork Reduction Act of
1995 unless the information collection has a currently valid OMB Control Number. The approved OMB Control Number
for this information collection is 0648-0811. Without this approval, we could not conduct this information collection. Public
reporting for this information collection is estimated to be approximately 2 hours per response, including the time for
reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and
reviewing the information collection. All responses to this information collection are required to obtain benefits. Send
comments regarding this burden estimate or any other aspect of this information collection, including suggestions for
reducing this burden to the Assistant Regional Administrator, Sustainable Fisheries Division, NMFS Alaska Region, P.O.
Box 21668, Juneau, AK 99802-1668.
Privacy Act Statement
Authority: The collection of this information is authorized under the Magnuson-Stevens Fishery Conservation and
Management Act, 16 U.S.C. 1801, et seq.
Purpose: In order to manage U.S. fisheries, the NOAA National Marine Fisheries Service (NMFS) requires the use of permits or
registrations by participants in the United States. A QS permit is required for processors participating in the PCTC Program in the
Bering Sea and Aleutian Islands (BSAI). As the selection process for the QS holders has ended, no new QS permits will be
issued; a QS permit may only be obtained through transfer. The information requested on this form is used to manage the QS
permit. The information requested is for the express purpose of ensuring that transfers of QS permits are properly executed as
requested by the parties to the transfer and to ensure that all provisions of the Federal regulations governing the transfer of such
licenses (50 CFR 679.130) have been met.
Routine Uses: Disclosure of this information is permitted under the Privacy Act of 1974 (5 U.S.C. Section 552a) to be shared
among authorized staff for work-related purposes. Disclosure of this information is also subject to the published routine uses
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identified in the Privacy Act System of Records Notice COMMERCE/NOAA-19, Permits and Registrations for the United States
Federally Regulated Fisheries. 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.
Disclosure: Furnishing this information is required to obtain or retain benefits. Failure to provide complete and accurate
information will prevent NMFS from transferring the QS permit and any QS assigned to that permit or transferring the PCTC
Program QS that exceeds the use cap separate from that permit.

Instructions for the
Application for Transfer of PCTC Program QS Permit for Processors
A PCTC Program processor who wishes to transfer their PCTC Program permit and any QS assigned to that permit or
wishes to transfer their PCTC Program QS that exceeds the use cap separate from that permit must submit a complete
application that is approved by NMFS.
NMFS will approve a request for transfer of a PCTC Program QS permit to another processor and any QS assigned to
that permit if that PCTC Program QS permit is not in excess of the use cap specified in § 679.133 at the time of
transfer provided the persons are qualified to receive QS by transfer. However, the Regional Administrator will not
approve a transfer of any type of QS that would cause a person to exceed the maximum amount of QS allowable
under the use limits.
NMFS will process a request for transfer of a PCTC Program QS permit provided that an application is completed,
with all information fields accurately filled in, and all required additional documentation is attached.
NOTE: In addition to providing the information required in the application, a copy of the terms and conditions of the
transfer agreement must be attached. Such documentation may consist of a bill of sale, promissory note, or other
document that reveals the contract terms between the parties.

GENERAL INFORMATION
Please allow at least 10 working days for this application to be processed. The parties will be notified upon
approval of the transfer. It is important that all blocks are completed and attachments provided. Failure to answer any
of the questions, provide any of the required documents, or to have signatures could result in delays in the processing
of your request for a transfer.
Forms are available on the NMFS Alaska Region website at https://www.fisheries.noaa.gov/region/alaska.
Print information in the application legibly in ink or type information.
Retain a copy of completed application for your records.
When completed, submit the application —
By mail to:

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

By delivery to: Room 713, Federal Building
709 West 9th Street
Juneau, AK 99801
Or, by fax to:

907-586-7354

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If you need additional information:
Contact RAM at: (800) 304-4846 (Option #2) or (907) 586-7202 (Option #2)
E-mail address: [email protected]
Website: https://www.fisheries.noaa.gov/region/alaska
COMPLETING THE APPLICATION
BLOCK A – REQUIRED DOCUMENTATION
Use the checklist to ensure your application is complete. Incomplete applications will not be processed.
Submit all required documentation including the completed application; Power of Attorney document (if
applicable); Processor ownership information provided by the Transferee/Receiver; and the copy of
Sale/Transfer Agreement. A legible copy of a contract or sales agreement that specifies the PCTC Program
QS permit to be transferred, the processor, the designated transferee, the monetary value or the terms of the
PCTC Program QS permit transfer, and the signature of the processor and the designated transferee must be
attached to this application.
BLOCK B – IDENTIFICATION OF TRANSFEROR (seller)
1.
2.
3.
4.

Enter the full, legal, business name of the person that holds QS to be transferred.
Enter the transferor’s NMFS Person ID number.
Enter Federal Processor Permit or Federal Fisheries Permit Number.
Enter the business mailing address for use with this transaction. Indicate if this is a permanent change to your
business mailing address or if this is a temporary business mailing address for this transaction only.
5. Enter the business telephone number.
6. Enter the business email address.
BLOCK C – IDENTIFICATION OF TRANSFEREE (buyer)
1. Enter the full, legal, business name of the person who is to receive the QS by transfer.
2. Enter the transferee’s NMFS Person ID number.
3. Enter Federal Processor Permit or Federal Fisheries Permit Number. Permits issued to shoreside processors can
only be transferred to other shoreside processors that hold an FPP. The owner of a catcher/processor authorized to
act as a mothership in the BSAI Pacific cod fishery may transfer their QS permit to an FPP holder or an FFP
holder authorized to act as a mothership in the BSAI Pacific cod fishery, subject to eligibility requirements under
BSAI Amendment 120 to limit catcher/processors acting as motherships.
4. Enter the ADF&G Number.
5. Enter the business mailing address for use with this transaction. Indicate if this is a permanent change to your
business mailing address or if this is a temporary business mailing address for this transaction only.
6. Enter the business telephone number.
7. Enter business email address.
BLOCK D – PROCESSOR OWNERSHIP DOCUMENTATION
1. Enter the names of all persons, to the individual level, holding an ownership interest in the processor being
transferred.
2. Enter the NMFS ID number for each person holding ownership interest.
3. Enter the percentage of ownership interest that each constituent member holds; for example, if there are three
equal owners, enter "33-1/3%" for each.
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4. Indicate if this processor-held QS will be added to an existing processor-held PCTC Program QS permit held by
the transferee.
5. If YES, list the PCTC Program QS permit number(s) that this QS is to be added below.
BLOCK E – TRANSFERS OF PCTC PROGRAM QS PERMITS TO ANOTHER PERSON
Identify the PCTC Program QS permit(s) to be transferred, including each original PCTC Program QS permit with
this application. List the PCTC Program QS permit numbers and how much QS is attached to each permit.
BLOCK F – SALE INFORMATION FOR PCTC Program QS PERMIT TRANSFER
1. Enter the total amount being paid for the permit in this transaction, including all fees.
2. Enter the reason for transferring the PCTC Program QS permit.
3. Indicate whether the PCTC Program QS permit to be transferred will be used as collateral for a loan. If yes, list
the party holding the security interest or lien.
4. Indicate whether the transfer of this PCTC Program QS permit is part of an agreement that also transfers
ownership of a processing plant. If yes, list the name of processing plant and/or company
5. Indicate if there an agreement to return the permit to the transferor or to transfer it to any other person, or is there
any condition requiring the resale or conveyance of the permit. If yes, please explain (use attachment if
necessary).
BLOCK G – SIGNATURE OF TRANSFEROR
Applicant must print and sign their name and enter the date the application was signed. If the application is completed
by the Applicant’s authorized representative, attach proof of authorization. The application will be considered
incomplete without your signature and will not be processed.
BLOCK H – SIGNATURE OF TRANSFEREE
Applicant must print and sign their name and enter the date the application was signed. If the application is completed
by the Applicant’s authorized representative, attach proof of authorization. The application will be considered
incomplete without your signature and will not be processed.

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