Application for vessel upgrade, replacement and confirma

US Department of Commerce
NOAA/National Marine Fisheries Service
55 Great Republic Drive
Gloucester, MA 01930-2276

Application for Vessel Replacement, Upgrade,
and Confirmation of Permit History
Instructions
You can use this application to request a vessel replacement, a vessel upgrade, or a
confirmation of permit history. Each of these actions is defined below. Please read this
carefully and check the action(s) for which you are applying. You may apply for more
than one action on this application.
Which of the following actions are being requested?
G

Vessel replacement. (Section A) This is a replacement of one vessel by
another vessel and the transfer of fishing histories and limited access permit
eligibility from the old vessel to the new vessel. Please read the vessel
replacement information on page two of the instructions prior to
completing Section A.

G

Vessel Upgrade. (Section B) This is an increase in the vessel=s length,
tonnage, or horsepower as the result of alterations made to the vessel.
Note: There are no upgrade restrictions for vessels that hold only
limited access lobster, handgear permits, and/or limited access general
category (LAGC) scallop permits.

G

Confirmation of Permit History. (Section C) A confirmation of permit
history is required when a vessel that has been issued a limited access
permit has sunk, been destroyed, or been sold to another person without its
permit history and a new vessel has not been purchased. Possession of a
confirmation of permit history will allow the applicant to maintain
permit eligibility without owning a vessel. An application for a
confirmation of permit history must be received by the Regional
Administrator no later than 30 days prior to the end of the first full
fishing year in which a vessel=s permit cannot be issued.

Unless otherwise stated, the word Apermit@ means a limited access or moratorium permit.
You must complete and sign page 3, AGeneral Information@ or your application will
be returned. After completing page 3, also complete the appropriate section
applicable to your request. You must send all of the required verifying documents
or your application will not be processed. You will also need to submit an Initial
Vessel Application for the replacement vessel.

RUPH 11/08

1

Supplemental Information for Vessel Replacements and Upgrades
Vessel Baseline Specifications and Allowed Upgrades
For all vessels with limited access permits (except lobster, handgear, and/or LAGC scallop), the
vessel size and engine horsepower may only be increased once, either through upgrade or
replacement. A 10% increase in length overall, gross registered tonnage, and net tonnage, and a
20% increase in engine horsepower are allowed. Vessel size and engine horsepower upgrades
may be done separately. Any increase in vessel size, including length overall, gross registered
tonnage and net tonnage must be done at the same time. Note: If your vessel has only a lobster
limited access, handgear limited access, and/or LAGC scallop permit, there are no size
restrictions on the replacement vessel; however, if you have either of those permits and another
limited access permit, the replacement vessel is subject to the above restrictions.
A limited access permit cannot be Asplit@ from another limited access permit. This means if two
or more limited access permits are on one boat they may not be divided and put on two boats.
Please call 978-281-9315 for additional explanation if you have any questions about this
restriction.
To determine whether your new vessel (or upgraded vessel) may be issued a limited access
permit, the size of the new vessel is compared to the Avessel baseline.@ A vessel baseline is the
vessel=s length overall, gross registered tonnage, net tonnage, and engine horsepower as of:
A.
B.
C.

The date the vessel which was initially issued an Atlantic herring, a
multispecies, or a scallop permit applied for that permit; or
March 22, 1999, for the following limited access permits: Black sea bass,
Loligo squid/butterfish, Illex squid, scup, summer flounder, and Maine
mahogany quahog.
The effective date of the permit for subsequent limited access fisheries
(e.g., monkfish, tilefish, etc.).

If you have both a multispecies or limited access scallop permit and any one of the following
permits: Atlantic herring, Black sea bass, Loligo squid, Illex squid, scup, summer flounder,
monkfish, tilefish, or Maine mahogany quahog, you may have multiple baselines. The statement
of accuracy, on pages 3 and 4 of this package, is needed to verify the vessels= specifications.
Please be aware that fishing histories are directly related to the permits. If you wish to retain the
fishing history of a species for which there is NOT a specific permit then the bill of sale must
indicate this desire.
Scallop Trawl Net Authorization (Replacements Only)
Scallop vessels holding a permit authorization to fish for scallops with trawl nets can be
replaced, and the scallop trawl net authorization passed to the replacement vessel. However, the
replacement vessel must meet the same limitations on fishing for scallops with scallop dredges
that the vessel it is replacing met. If the limitations are not met then the replacement vessel may
have to relinquish the scallop trawl net authorization. These limitations include NOT having
fished for scallops with a scallop dredge after December 31, 1987; NOT having fished for
scallops with a scallop dredge on no more than 10 trips from January 1, 1988, through December
31, 1994; and having an engine with no greater than 450 horsepower.

RUPH 11/08

2

General Information
This page must be completed by all applicants
Provide all verifying documentation, as requested (see Section D for acceptable forms).
Vessel Name:__________________________________________________________________
(for Replacements: old vessel; for Confirmation of Permit History: sold or sunken vessel;
for Upgrades: vessel information before the upgrade)
Federal Northeast Fisheries Permit Number:__________________________________________
Coast Guard (CG) Documentation or State Registration Number: ________________________
Current owner of vessel or permit history:___________________________________________
Supporting document required: You must supply proof that you own the vessel (See Section D,
Item 2) or that you own the fishing history and limited access permit eligibility of that vessel
(See Section D, Item 3).
Owner=s Address:______________________________________________________________
_________________________________________________________________
Owner=s Phone Number: ________________________________________________________
All vessels: You must submit documentation verifying the following (See Section D, Item 1):
-- Length Overall
-- Gross Registered Tonnage
-- Net tonnage
-- Engine Horsepower
Statement of Accuracy
Please mark the appropriate box for the baseline (old) vessel:
G

The information I am submitting in order to establish my vessel=s baseline accurately
represents the vessel specifications as of March 22, 1999 (and/or as of the date of my first
application for a limited access permit).

G

The information I previously submitted in order to establish the 1994 (or 1996 hook gear)
baseline for my vessel=s multispecies or scallop moratorium permit also represents the
vessel specifications as of March 22, 1999 (and/or as the date of my first application for a
limited access permit).

Signature of vessel owner or authorized agent:______________________________________
Printed Name: _________________________________

RUPH 11/08

3

Date: __________________

Section A--Replacement
Applicants requesting a vessel replacement must complete this section.
Replacement Vessel (new vessel to be permitted)
Vessel Name:__________________________________________________________________
Federal Northeast Permit Number (if issued): ______________________________________
Coast Guard (CG) Documentation or State Registration Number: _________________________
(Submit copy of CG documentation or State registration).
CG documented vessels: You must submit a copy of the CG documentation papers and proof
of engine horsepower (See Section D, Item 1).
Other vessels: You must submit documentation verifying the following (See Section D, Item 1):
-- Length Overall
-- Gross Registered Tonnage
-- Net tonnage
-- Engine Horsepower
Statement of Accuracy
Please mark the appropriate box for the replacement vessel:
G

The information I am submitting in order to establish my vessel=s size and horsepower
specifications accurately represents the vessel specifications as of today=s date.

G

Information previously submitted to NOAA Fisheries for the replacement vessel
accurately represents the vessel=s specifications as of today=s date.

Please mark the limited access permit histories that you are transferring. You may only select
the limited access permits for which the vessel being replaced is currently qualified. Please keep
in mind that all limited access permits must be transferred together and cannot be separated (See
the definition of splitting above).
G
Multispecies
G
Scup
G
Scallop (Full time, Part Time, or
Occasional)
G
Black Sea Bass
G
Lobster
G
Loligo squid/Butterfish
G
Summer Flounder
G
Illex Squid
G
Maine Mahogany Quahog
G
Monkfish
G
Red Crab
G
Tilefish
G
Multispecies Handgear A
G
Atlantic Herring
G

Scallop Type 7, 8, or 9 (authorized to use trawl nets). By checking this box you
are also indicating that you have read the supplemental vessel replacement
information regarding scallop trawl net authorizations on page 2 of the
application.

G

LAGC Scallop

RUPH 11/08

4

Section B--Upgrade
All applicants requesting a vessel upgrade must complete the following section.
The engine horsepower or size of a vessel with a limited access permit may be increased only
once. A 10% upgrade for length overall, gross registered tonnage, and net tonnage, and a 20%
upgrade for engine horsepower are allowed. Vessel size and engine horsepower upgrades may
be done separately. Any increase in vessel size, including length overall, gross registered
tonnage, and net tonnage must be done at the same time. Increases are compared to the
information required under the General Information section of this package (page 3).
All changes in vessel specifications indicated below require verifying documentation.
(See Section D, Item 1).
New Length Overall (LOA)_______________ New Gross Registered Tonnage (GRT)______________
New Net Tonnage (NT) __________________ New Horsepower (HP)_______________________

Note: Instead of gross registered tonnage and net tonnage information, you may submit
verification of vessel breadth and depth, and length overall. This information will then be used
to calculate GRT and NT using the simplified calculation method.

Section C--Confirmation of Permit History
All applicants requesting a Confirmation of Permit History (CPH) must complete the
following section.
Indicate the permits requiring issuance of a Confirmation of Permit History. The following are
the only fisheries for which CPH certificates are required or available. You may only apply for
those permits for which the vessel is currently qualified:
G
Multispecies
G
Multispecies Handgear A
G
Scallop (Full time, Part time,
G
Scup
or Occasional)
G
Black Sea Bass
G
LAGC Scallop
G
Loligo squid/Butterfish
G
Lobster
G
Illex Squid
G
Summer Flounder
G
Monkfish
G
Maine Mahogany Quahog
G
Tilefish
G
Red Crab
G
Atlantic Herring
Please check all that apply:
G Vessel sold, but I have retained the permit history in the Bill of Sale (Supporting
documentation required. See Section D, Item 3)
G Vessel destroyed (Supporting documentation required. See Section D, Item 4)

RUPH 11/08

5

Section D--Supporting Documentation Required
The following are acceptable forms of verification. You are only required to submit one of the
acceptable forms of documentation for any category.

1.

Vessel specification documentation (Please Note: All documentation must include the
name and documentation number of the vessel)
<
For all vessels, you must verify total engine horsepower by providing one of the
following:
--Marine survey documentation showing the name and location of the marine
surveyor;
--Mechanic certification on the mechanic=s letterhead; or
--Engine manufacturer specification and proof that the engine is installed on your
vessel.
<
For Coast Guard documented vessels, you must provide a copy of the
documentation papers.*
<
For State registered vessels, you must verify length overall, gross registered
tonnage, and net tonnage by providing one of the following:
--Marine survey documentation showing the name and location of the marine
surveyor (survey may indicate either gross and net tons or provide information
on the vessel=s breadth and depth (not draft), and length overall); or
--US Bureau of Shipping document.

2.

Vessel ownership documentation
<
To verify the ownership of a vessel, please provide a copy of one of the
following:
--Current Coast Guard documentation; or
--Current State registration.
--Scallop vessel owners must include a list of all vessel names and permit
numbers in which you have an ownership interest.

3.

Vessel permit history ownership
<
To verify that you have retained the permit history of a vessel you no longer own,
please provide one of the following:
--A bill of sale or document stating that the permit history has been retained by
you (the seller) and signed by you and the buyer; or
--A copy of the confirmation of permit history.

4.

Vessel destruction
<
To verify that the vessel has been destroyed or is no longer seaworthy, please
provide one of the following:
--Coast Guard accident report;
--Insurance adjustor=s report; or
--Verification from certified marine surveyor that vessel is no longer seaworthy.

* By submitting this documentation, you confirm that the vessel length overall is correct as
indicated on the CG documentation. If it is not, please submit additional documentation to
confirm the length overall of the vessel.

NOTE:

RUPH 11/08

Submission of fraudulent or inaccurate information could result in
enforcement action, up to and including fines, permit sanctions, or the
revocation of limited access permits.

6

YOUR COMPLETED APPLICATION SHOULD INCLUDE THE FOLLOWING:
APPLICATION FOR VESSEL REPLACEMENT

1.
2.

3.

You should complete and submit:
<
Page 3 - General Information
<
Page 4 - Section A--Replacement
You should submit the following supporting documentation for BOTH* the vessel being
replaced (old vessel) and the replacement vessel:
<
Vessel specification documentation (See Section D-Item 1)(not necessary for
vessels holding only limited access lobster and/or handgear permits)
<
Vessel/History ownership verification (See Section D-Items 2 or 3 as applicable)
or
proof of vessel destruction (See Section D-Item 4)
You will need to submit an Initial Vessel Application for the replacement vessel.

* Note: If you have already established a baseline for the old vessel by submitting information
verifying your vessel=s baseline specifications, you will not need to submit additional
verification. You should submit information about the replacement vessel.
APPLICATION FOR A VESSEL UPGRADE
1.
You should complete and submit:
<
Page 3 - General Information
<
Page 5 - Section B--Upgrade
2.
You should submit the following supporting documentation:
<
Vessel specification documentation (See Section D-Item 1)
APPLICATION FOR A CONFIRMATION OF PERMIT HISTORY
1.
You should complete and submit
<
Page 3 - General Information
<
Page 5 - Section C--Confirmation of Permit History
2.
You should submit the following supporting documentation:
<
History ownership verification (See Section D-Item 3) or
proof of vessel destruction (See Section D-Item 4)
rev.04/2008

OMB # 0648-0202 Expires 11/30/2009
OMB #0648-0491 Expires 3/31/2011
Request for a replacement, upgrade notification, or history retention:
The application to allow the respondent to request a replacement of one vessel by another, change vessel specifications due to an
upgrade, or retain a vessel=s history, and is meant to aid in the administration and enforcement of the regulations that relate to
these programs. This form will save the respondent time and effort in that all the requirements relating to the interrelated actions
are included on one form. These requirements have been adopted as part of the effort reduction programs under the Fishery
Management Plans (FMPs) that govern the fisheries involved, and are consistent with the conservation goals of the FMPs. The
information provided on this application will allow industry members to replace older vessels with new vessels or retain
histories, in a manner consistent with the effort reduction requirements of the FMPs. The information provided through any
requests to upgrade a vessel specification will be used for the purposes of monitoring compliance with effort reduction programs.
--The information requested on this form is not confidential and will be available to the general public.
--BURDEN STATEMENT: Public reporting burden for this collection of information is estimated to average three hours per
response for vessel replacements and upgrades, and 30 minutes for vessel history retention. These estimated response times
include the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information. Send comments regarding this burden estimate or suggestions for
reducing this burden to National Marine Fisheries Service, Sustainable Fisheries Division, 55 Great Republic Drive, Gloucester, MA
01930-2276.
--Notwithstanding any other provision of law, no person is required to respond to nor shall a person be subject to 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 current valid OMB Control Number.

RUPH 11/08

7