Federal Atlantic HMS Exempted Fishing and Shark Research

FEDERAL ATLANTIC HMS EXEMPTED FISHING AND SHARK RESEARCH PERMIT
REQUIREMENTS AND APPLICATION

Applicant’s Name:
Address:

Phone Number:
Fax Number:
Email Address:

Atlantic Shark Research Fishery
Do not fill out this section if you are applying for an EFP, SRP, Display Permit, or LOA. If
submitting info for more than one vessel please provide separate information for each vessel.
Include additional sheets for more than three vessels.

1)
What type of commercial
permit do you possess?
Directed
Incidental
Other permits held
2)

Vessel 1
ID _________

Vessel 2
ID________

Vessel 3
ID________

Does your vessel meet all the requirements specified in 50 CFR 635.7 to carry
an observer during all shark fishing trips pursuant to these permits?
___Yes ___No

Does your vessel(s) have
the following?
Current USCG safety
inspection decal

Vessel 1
ID _________

Vessel 2
ID________

Vessel 3
ID________

Yes _______
No ________

Yes _______
No ________

Yes _______
No ________

Yes _______
No ________

Yes _______
No ________

Yes _______
No ________

Yes _______
No ________

Yes _______
No ________

Yes _______
No ________

(50 CFR 700.746 (d))

Survival craft to
accommodate observer
(50 CFR 600.746 (f) (6))

Appropriate bunk space/
sleeping accommodations
(50 CFR 635.7 (e) (1))

3a)

Have you been selected to carry an observer in the past 2 years? ___Yes ___No

3b)

If yes, have you carried an observer in the past 2 years? ____Yes ___No

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FEDERAL ATLANTIC HMS EXEMPTED FISHING AND SHARK RESEARCH PERMIT
REQUIREMENTS AND APPLICATION

4)

Have you been charged criminally or civilly (i.e., issued a Notice of Violation
and Assessment (NOVA) or Notice of Permit Sanction) for any HMS related
violation with such charges resulting in a final, adverse administrative or
judicial order, criminal conviction, settlement agreement or plea agreement?
___Yes ____No

5)

Have you fished for sharks commercially in the past 2 years? ____Yes ____No
If yes, approximately how many trips have you taken per year? ____________

6) Fishing gear typically
deployed from vessel(s)
Gillnet
Bottom Longline
Pelagic Longline
Handgear
Other (please specify)

Vessel 1
ID_________

Vessel 2
ID__________

Vessel 3
ID_________

7) Regions fished for
sharks in the past
Gulf of Mexico
South Atlantic
North Atlantic
Other (please specify)

Vessel 1
ID__________

Vessel 2
ID___________

Vessel 3
ID__________

8) Availability

Vessel 1
ID___________

Vessel 2
ID_________

Vessel 3
ID_________

In what month(s) is your
vessel(s) available?

In what area/region(s) is
your vessel available?

9)

Will you attend meetings required by NMFS to describe the objectives and/or
research protocols regarding the shark research fishery?
____Yes
____No

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FEDERAL ATLANTIC HMS EXEMPTED FISHING AND SHARK RESEARCH PERMIT
REQUIREMENTS AND APPLICATION

10)

Will you carry out the research objectives set forth by the Agency?
____Yes
____No

Exempted Fishing Program
Do not fill out this section if applying for the Shark Research Fishery Permit:
1)

Purpose/Goals of the Exempted Fishing Activity, include justification for issuance
of the EFP 1 :

2)

When will these activities occur (month(s) and year)?

3)

Where will these activities occur (lat, long, and/or general area description)? 2

1

Include additional sheets if more room is needed to describe the activities related to this request for an EFP.
The issuance of an EFP in no way confers any right to collect/harvest species in waters under state jurisdiction. The
appropriate state fish and wildlife agency must be contacted regarding any collection in state waters, as separate state permits
may be required for collection/harvest in state waters.
2

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FEDERAL ATLANTIC HMS EXEMPTED FISHING AND SHARK RESEARCH PERMIT
REQUIREMENTS AND APPLICATION

4)

Type, size, and amount of collection gear:

5)

Target Species (species name and number):

6)

Anticipated Non-Target Species (to be released or kept?):

7)

Protected Species Encounters Likely? When, Where, Why?

8)

Authorized Samplers:

9)

Holding Facility (if for display):

10)

If activities are Federally funded, type, amount, and source:

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FEDERAL ATLANTIC HMS EXEMPTED FISHING AND SHARK RESEARCH PERMIT
REQUIREMENTS AND APPLICATION

Atlantic Shark Research Fishery and Exempted Fishing Program
Applications will be deemed incomplete if vessel documentation is not included.
Participating Vessel(s) 3 :
1. Vessel Name

Owner’s Name:

Phone Number:

Owner’s Address:

Operator’s Name:
Vessel Documentation Included? Yes

No 4

Vessel ID #:

2. Vessel Name

Owner’s Name:

Phone Number:

Owner’s Address:

______

Operator’s Name:
Vessel Documentation Included? Yes

No

_

Vessel ID#:

3. Vessel Name

Owner’s Name:

Phone Number:

Owner’s Address:

______

______

Operator’s Name:
Vessel Documentation Included? Yes

No

Applicant’s
Signature:

____________

Vessel ID#:

Date:

_________

PAPERWORK REDUCTION ACT NOTICE: Collection of information through an exempted fishing permit program provides essential information for the
conservation and management of Atlantic tunas, swordfish, and billfish. Information on distribution and migratory patterns will be used for stock assessment
and in developing international catch sharing agreements. Public reporting burden for this collection of information is estimated to average 5 minutes per
response, Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden
to: NMFS, Highly Migratory Species Management Division (F/SF1), 1315 East-West Highway, Silver Spring, MD 20910. Reporting of exempted fishing
permit activity is required under the authority of the Atlantic Tunas Convention Act. It is NOAA policy to preserve the confidentiality of information
submitted under this reporting requirement, except that NMFS may release such information in aggregate or summary form, such that individual identifiers are
not disclosed (NAO 216-100). Notwithstanding any other provision of the law, no person is required to respond to, nor shall any person be subject to a penalty
for failure to comply with a collection of information subject to the requirements of the Paperwork Reduction Act, unless that collection of information
displays a currently valid OMB Control Number. OMB Control #0648-0471 Expires 02/28/2009

3

Include additional sheets if more than three vessels are needed for the exempted fishing activity or shark research fishery.
Application will not be deemed complete until all information is provided to NMFS. Please attach documentation (U.S.
Coast Guard documentation, state license, or registration, and HMS permit) for each vessel to this application.

4

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FEDERAL ATLANTIC HMS EXEMPTED FISHING AND SHARK RESEARCH PERMIT
REQUIREMENTS AND APPLICATION
Exempted Fishing Program
Regulations governing the issuance of Federal Exempted Fishing Permits (EFPs) for highly migratory species
(HMS) are contained in 50 CFR Part 635.32 and 50 CFR Part 600.745. In general, HMS EFPs are issued by the
National Marine Fisheries Service (NMFS) to authorize activities otherwise prohibited by the Atlantic HMS
regulations; to facilitate the conduct of scientific research; for the purpose of limited testing of fishing gear and
methods; for the acquisition of data for species that would otherwise be prohibited for harvesting, for the
enhancement of safety at sea; for the purpose of collecting animals for public education or display; or for
investigating means of reducing bycatch, economic discards or regulatory discards. HMS has the authority to issue
four different types of EFPS; these are described below:
Exempted Fishing Permits (EFPs): Under both the Magnuson-Stevens Fishery Conservation and Management
Act (Magnuson-Stevens Act) and the Atlantic Tunas Convention Act (ATCA), non-scientific activities may be
authorized under EFPs. EFPs are necessary to allow research conducted from a commercial or recreational fishing
vessel that would otherwise be prohibited by existing regulations.
Display Permit: Display permits are issued for the collection of HMS for the purpose of public display. Generally,
display permits are issued to commercial or recreational fishing vessels, capable of keeping fish alive from the time
of capture to the point of transfer to an approved aquarium or other facility.
Letter of Acknowledgements (LOAs): Technically, scientific research is exempted from regulation under the
Magnuson-Stevens Act, so NMFS does not issue EFPs for bona fide research activities (i.e., research conducted
from a research vessel and not a commercial or recreational fishing vessel) involving species regulated or
prohibited under Magnuson-Stevens Act Fishery Management Plans (FMPs). In such cases, NMFS issues an LOA
to researchers to indicate concurrence by NMFS that the proposed activity meets the definition of research and is
therefore exempt from regulation.
Scientific Research Permits (SRPs): ATCA confers regulatory authority over scientific research so that all
sources of mortality of species regulated by the International Commission for the Conservation of Atlantic Tunas
(ICCAT) can be reported by the Secretary. In cases where tunas, swordfish, and billfishes are being collected,
NMFS will issue an EFP if the research/collection occurs in conjunction with regulated commercial or recreational
fishing activity, or an SRP if the collection of regulated species occurs as part of a research cruise (e.g., NMFS or
university research vessel).
Chartering Permit: A 2002 ICCAT recommendation (02-21) states that at the time of a chartering arrangement,
the chartering and flag Contracting Parties shall provide specific information concerning the charter to the ICCAT
Executive Secretary, including vessel details, target species, duration, and consent of the flag Contracting Party or
Cooperating non-Contracting Party, Entity or Fishing Entity. In order to comply with this recommendation, NMFS
requires that vessel owners apply for and obtain a NMFS chartering permit before fishing under a chartering
arrangement with a foreign entity. A chartering permit would exempt the vessel from domestic regulations as
needed. U.S. vessels fishing under a chartering permit cannot concurrently land fish counted against U.S. quotas,
however, prohibited species takes are counted against the Incidental Take Statement from the relevant Biological
Opinion. The separate application for a chartering permit is covered under OMB 0678-0495. Please contact HMS
Management Division to request a chartering permit application.
Shark Research Fishery
Regulations governing the issuance of a Federal shark research permit are contained in 50 CFR Part 635. NMFS
will publish annually in the Federal Register a notice describing, for the following year, the expected research
objectives. In general, shark research permits are issued each year to qualified applicants who have submitted a
complete application to NMFS and are selected to participate. The shark research fishery would allow NMFS and
commercial shark fishermen to conduct cooperative research to collect fishery-dependent data for management of
the Atlantic shark fishery.

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FEDERAL ATLANTIC HMS EXEMPTED FISHING AND SHARK RESEARCH PERMIT
REQUIREMENTS AND APPLICATION
Shark Research Permit: A valid shark research permit is required to fish for, take, retain, or possess Atlantic
sharks, including sandbar sharks, in excess of retention limits described in 635.24 (a). A shark research permit is
only valid for the vessel, owner, and operator(s) specified and cannot be transferred to another vessel, owner, or
operator(s). A shark research permit is only valid for the retention limits, time, area, and gear specified on the
permit, and only when a NMFS-approved observer is on board. Issuance of a shark research permit does not
guarantee that the holder will be issued a NMFS-approved observer on any particular trip. Rather, issuance
indicates that a vessel may be issued a NMFS-approved observer for a particular trip and on such trips may be
allowed to harvest Atlantic sharks, including sandbar sharks, in excess of retention limits specified in 635.24 (a).
Requirements
Per the HMS regulations, a valid shark research permit, EFP, SRP, Display Permit or LOA must be on board the
harvesting vessel, must be available when animals are landed, and, in the case of capturing animals for display,
must be available when the animal is transported from the vessel to the display facility, and must be presented for
inspection upon request of an authorized officer.
An application will not be deemed complete until all of the information on the application is submitted to the HMS
Management Division in writing. NMFS has 60 days from the date the application is deemed complete to make a
determination on issuing the EFP, although the agency may take additional time to analyze the environmental,
economic, and social impacts of proposed research if the activity has not been previously analyzed. An incomplete
application will not be considered until corrected in writing.
A shark research permit, EFP, SRP, Display Permit or LOA is valid only for the specific authorized vessel(s),
samplers, time, area, gear, and species indicated on the permit. Except for the regulatory exemptions specifically
referenced on the permit, all HMS regulations at 50 CFR Part 635 shall apply during the conduct of the fishing
activity. All private vessels listed on a research permit, EFP, SRP, Display Permit or LOA should have a valid
HMS recreational or commercial HMS permit.
Once the public display and scientific quota has been reached based on reported landings from interim reports, no
additional EFPs, SRPs, or Display Permits will be issued. Once 80 percent of the commercial sandbar shark quota
(116.6 mt dw) has been reached based on scientific observer reports, the shark research fishery will be closed.
The issuance of a shark research permit, EFP, SRP, Display Permit or LOA in no way confers any right to
collect/harvest species in waters under state jurisdiction. The appropriate state fish and wildlife agency must be
contacted regarding any collection in state waters, as separate state permits may be required for collection/harvest
in state waters.
Within 5 days of the collection of any HMS under an EFP, SRP, LOA or Display Permit, an interim report,
supplied by NMFS, must be submitted to the address below. These forms include authorized sampler, date of
collection, species, fork length, total length, weight, sex, disposition, tag number, gear used, area caught, depth,
water temperature, vessel name, name of vessel master, signature, and date of signature. An annual report of all
fishing activities and disposition of all fish collected under the permit must also be submitted to NMFS at the
address below upon completion of the authorized activities. Both forms are supplied to permit holders at the time
the permit is issued and additional (or electronic) copies can be obtained upon request.
Fishermen carrying a shark research permit do not need to submit an interim or annual report. Fishermen with a
shark research permit should report their commercial catch in the appropriate logbook.
Collection of Shark for Display Purposes
Consistent with the 1999 HMS FMP and if deemed appropriate, NMFS will issue a Display Permit with tags, as
well as the interim and annual report forms. Each permit will be valid only for the number of animals and tags

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FEDERAL ATLANTIC HMS EXEMPTED FISHING AND SHARK RESEARCH PERMIT
REQUIREMENTS AND APPLICATION
specified, and each animal must be tagged immediately to be considered an authorized collection. The animal must
be tagged aboard the collection vessel and maintained in the animal during the acclimation holding period.
However, the tag may be removed once the animal is transported to the facility where it will be displayed. Should
an animal be deemed unsuitable for public display during the acclimation period, the animal must be released with
the tag intact in a manner that ensures the maximum probability of survival, and the annual report should be
returned indicating that the animal has been released. NMFS may issue replacement tags for such released animals.
NMFS will consider accreditation in the American Zoo and Aquarium Association, or equivalent standards, as
meeting the requirement of providing adequate facilities for an animal.
HMS EFP Contact Information
Please submit any EFP applications with all of the required information, interim reports, and annual reports to:
Michael Clark
Highly Migratory Species Management Division (F/SF1)
National Marine Fisheries Service
1315 East-West Highway
Silver Spring, MD 20910
Michael.Clark@noaa.gov
For additional HMS EFP information, contact Michael Clark at 301-713-2347 or 301-713-1917 (fax).
Atlantic Shark Research Fishery Contact Information
Please submit any Shark Research Fishery applications with all required information to:
LeAnn Southward Hogan
Highly Migratory Species Management Division (F/SF1)
National Marine Fisheries Service
1315 East-West Highway
Silver Spring, MD 20910
LeAnn.Southward-Hogan@noaa.gov
For additional Shark Research Fishery Information please contact LeAnn Southward Hogan at 301-713-2347 or
301-713-1917 (fax).

PAPERWORK REDUCTION ACT NOTICE: Collection of information through an exempted fishing permit program provides essential information for the
conservation and management of Atlantic tunas, swordfish, and billfish. Information on distribution and migratory patterns will be used for stock assessment
and in developing international catch sharing agreements. Public reporting burden for this collection of information is estimated to average 5 minutes per
response, Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden
to: NMFS, Highly Migratory Species Management Division (F/SF1), 1315 East-West Highway, Silver Spring, MD 20910. Reporting of exempted fishing
permit activity is required under the authority of the Atlantic Tunas Convention Act. It is NOAA policy to preserve the confidentiality of information
submitted under this reporting requirement, except that NMFS may release such information in aggregate or summary form, such that individual identifiers are
not disclosed (NAO 216-100). Notwithstanding any other provision of the law, no person is required to respond to, nor shall any person be subject to a penalty
for failure to comply with a collection of information subject to the requirements of the Paperwork Reduction Act, unless that collection of information
displays a currently valid OMB Control Number. OMB Control #0648-0471 Expires 02/28/2009.

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