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 (CPH). 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 or
CPH with another vessel and the transfer of fishing histories and limited
access permit eligibility from the old vessel or CPH to the new vessel.
Please read the vessel replacement information on page two of the
instructions prior to completing Section A. You must submit an Initial
Vessel Application for the replacement vessel.

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, Limited Access Northeast Multispecies Handgear,
and/or limited access general category (LAGC) scallop permits.

G

Confirmation of Permit History (CPH). (Section C) A CPH is required
when a vessel that has been issued a limited access permit has sunk, been
destroyed, or has been sold to another person without its permit history.
Possession of a CPH 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, “General 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.

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Supplemental Information for Vessel Replacements and Upgrades
Vessel Baseline Specifications and Allowed Upgrades
For all vessels with limited access permits (except lobster, Northeast Multispecies 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, Northeast
Multispecies 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. Generally, 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 first limited access permit issued for subsequent limited
access fisheries (e.g., monkfish, tilefish, etc.).

If you have both a limited access 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.
Note that open access permit history and open access fishing history are presumed to follow along when
limited access permit eligibilities move into and out of CPH or move to a new vessel through vessel
replacement. If you inform us that you intend to separate your open access fishing history from your
limited access fishing history and permits, we will keep your statement on file. However, we have no
formal process to track such statements of intent and we cannot provide any assurance that the open
access history separated from your limited access history may be used to qualify for a future limited
access program. Such open access histories may or may not be acceptable to determine future eligibility
because eligibility determinations for management programs can be made only after final regulations and
details are implemented, which would establish the eligibility criteria and review process for those
management actions. For these same reasons, NOAA Fisheries Service staff cannot provide advice about
the likelihood that a vessel will or will not qualify for a future limited access program.
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.

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General Information
This page must be completed by all applicants
Provide all verifying documentation, as requested (see Section E 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:___________________________________________
►Vessel Ownership Requirements: The qualifying vessel or CPH must be under the identical
ownership as the replacement vessel. (See Section D for explanation of requirements)
►Supporting document required: You must supply proof that you own the vessel (See Section
E, Item 2) or that you own the fishing history and limited access permit eligibility of that vessel
(See Section E, Item 3).
Owner=s Address:______________________________________________________________
_________________________________________________________________
Owner=s Phone Number: ________________________________________________________
All vessels (Except Limited Access Lobster, Northeast Multispecies Handgear, LAGC Scallop):
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: _________________________________

Date: __________________

I am the owner or legally authorized agent of the owner of the vessel named above. I affirm, subject to the penalties
provided in 18 USC 1001, that all the information that I have given in obtaining this permit is true and correct.

NOTE: 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.

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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.
(See Section E, Item 1).
State registered vessel: You must submit a copy of the state registration papers.
(See Section E, Item 1).
All vessels (Except Limited Access Lobster, Northeast Multispecies Handgear, LAGC Scallop):
You must submit documentation verifying the following (See Section E, Item 2):
-- 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
Atlantic Herring
G
Multispecies Handgear A
G
LAGC Scallop
G

Atlantic Mackerel
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.

NOTE: All active permits including open access on old vessel will be canceled upon
issuance of permits to new vessel. For further information please call the Permits
Division 978-282-8438.

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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 E, 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
Atlantic Herring
G
Red Crab
Atlantic Mackerel
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 E, Item 3)
G Vessel destroyed (Supporting documentation required. See Section E, Item 4)

Section D --Vessel Ownership Requirements
Explanation of requirements
The qualifying vessel or CPH must be under the identical ownership as the replacement vessel.
NMFS will not accept applications if one vessel or CPH is under the ownership of one
individual, while the other vessel is owned by a corporation (even if the corporation is under the
sole ownership and control of the same individual). Both are separate legal entities.
Example: John Smith to John Smith is acceptable
John Smith to Smith LLC is not acceptable
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Section E--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.

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

1.
2.
3.

You will need to submit an Initial Vessel Application for the replacement vessel.
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 E-Item 1)(not necessary for
vessels holding only limited access lobster and/or handgear permits)
<
Vessel/History ownership verification (See Section E-Items 2 or 3 as applicable)
or
proof of vessel destruction (See Section E-Item 4)

* 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 E-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 E-Item 3) or
proof of vessel destruction (See Section E-Item 4)

rev.1/2010

OMB Control No. 0648-0491

Expiration Date:5/31/2014

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.
--Any information collected on this form may be released to the public unless it is considered confidential as provided in Section
402(b) of the Magnuson-Stevens Act and in NOAA Administrative Order 216-100, Protection of Confidential Fishery Statistics.
--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.

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