Application for QS transfer

Revised: 7/23/2018

OMB Control No. 0648-0272 Expiration Date: 06/30/2021

APPLICATION
FOR
TRANSFER OF QS

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

Does the Transferee (Buyer) hold a Transfer Eligibility Certificate (TEC)?

[ ] YES

[ ] NO

This application is for the permanent transfer of Pacific halibut or sablefish quota share (QS). A separate application must be
submitted for each group of QS being transferred. If you wish to sweep-up small blocks of QS that you already hold use the
“Application for Transfer of QS/IFQ by Self Sweep-up.” Please use this checklist to ensure your application is complete:
[
[
[

] Completed, signed, and notarized application
] Copy of signed & notarized sales agreement
] Documentation for Authorized Representative (if applicable)

NOTES: Original applications must be submitted (copies or facsimiles will not be accepted). Incomplete applications will not be processed.
This form is not for transfer of IFQ only.

BLOCK A – IDENTIFICATION OF TRANSFEROR (SELLER)
1. Name:

2. NMFS Person ID:
3. Date of Birth:

4. Permanent Business Mailing

5. Business Telephone Number:

[ ] Permanent

[ ] Temporary:

6. Business Fax Number:

7. E-mail Address (if available):

BLOCK B – IDENTIFICATION OF TRANSFEREE (BUYER)
1. Name:

2. NMFS Person ID:
3. Date of Birth:

4. Permanent Business Mailing Address

5. Business Telephone Number:

[ ] Permanent

[ ] Temporary

6. Business Fax Number:

Application for Transfer of QS
Page 1 of 9

7. E-mail address (if available):

BLOCK C – SWEEP-UP OR CDQ COMPENSATION
1.

Do you request that this quota share (QS) be included in a sweep up (see instructions for sweep-up limits):

[ ] YES

2.

If YES, list the QS Group Number from your QS Holder Summary Report into which this new QS group is to be
combined: ________________________________________

[ ] NO

3. If this is transfer of Catcher Vessel Western Alaska Community Development Quota (CDQ) Compensation QS and the vessel
category has never been declared, check the one Catcher Vessel Category in which you would like to have your QS issued:
[ ] Category D (0 ft to 35 ft length overall (LOA)
[ ] Category C (36 ft to 60 ft LOA)
[ ] Category B (greater than 60 ft LOA)
BLOCK D - IDENTIFICATION OF QS AND IFQ TO BE TRANSFERRED
You may transfer QS with associated IFQ or you may transfer QS without associated IFQ.
Note: You may not transfer IFQ only using this application form. See instructions for additional information.
1. [ ] Halibut

3. Vessel Category:

or

[ ] Sablefish

2. IFQ Regulatory Area:

4. Number of QS Units to be Transferred:

5. Transferor IFQ Permit Number:

6. Numbered To and From (Serial Numbers are shown on the QS Holder Summary Report):

7. Do you want all remaining pounds for the current fishing year transferred?
YES [ ]

NO [ ]

If NO, specify the number of pounds to be transferred:
•
•

Pounds transferred will include a pro-rata share of any overage based on the QS units held or transferred and
is non-negotiable.
Pounds transferred will include a pro-rata share of any underage based on the QS held and transferred
UNLESS OTHERWISE INSTRUCTED.

REQUIRED SUPPLEMENTAL INFORMATION
YOUR APPLICATION WILL NOT BE PROCESSED UNLESS YOU PROVIDE THE FOLLOWING INFORMATION

BLOCK E – REQUIRED TRANSFEROR SUPPLEMENTAL INFORMATION
1. Give the price per pound $_______________/#IFQ (Price divided by IFQ pounds including fees)
Give the price unit QS $______________/Unit of QS (Price divided by QS Unit)
2. What is the total amount paid for the QS/IFQ in this transaction, including fees? ____________________

Application for Transfer of QS
Page 2 of 8

3. What are the reasons for transferring the QS/IFQ? (check all that apply)
[ ] Retirement from Fisheries

[ ] Shares Too Small to Fish

[

] Enter other Fisheries

[ ] Pursue Non-Fishing Activities

[ ] Trading Shares

[

] Beneficiary of Deceased

[ ] Health Problems

[ ] Consolidation of Shares

[

] Other (please explain):

4. Is there a broker being used for this transaction?
[ ] Yes

[ ] No

If YES, how much is being paid in brokerage fees? $ ______________ or ____________% of total price.
BLOCK F – REQUIRED TRANSFEREE SUPPLEMENTAL INFORMATION
1. Will the QS/IFQ being purchases have a lien attached?
[ ] Yes
[ ] No
IF YES, name of lien holder:_________________________________________
2. What is the primary source of financing for this transfer (check one)?

[ ] Received as a Gift

[ ] Personal Resources (cash)

[ ] AK Com. Fish & Ag. Bank

[ ] NMFS Loan Program

[ ] Private Bank/Credit Union

[ ] Transferor/Seller

[ ] Processor/Fishing Company

[ ] Alaska Dept. of Commerce

[ ] Other (explain): _______________________________________

3. How was the QS/IFQ located (check all that apply)?
[ ] Relative

[ ] Advertisement/Public Notice

[ ] Broker

[ ] Personal Friend

[ ] Other (explain):_________________________________________

4. What is the Buyer’s relationship to the QS/IFQ Holder (check all that apply)?
[ ] Unrelated

[ ] Family Member

[ ] Business Partner

[ ] Friend

[ ] Other (explain):_________________________________________

5. Is there an agreement to return the QS or IFQ to the Transferor, or any other person, or a condition in placed on resale?
[ ] Yes

[ ] No

If YES, please explain: ________________________________________________________________________

NOTE: This Application for Transfer must be completed, signed, and notarized by both parties. Failure to
have signatures properly notarized will result in delays in the processing of this application.
BLOCK G – CERTIFICATION OF TRANSFEROR
Under penalties of perjury, I declare that I have examined this application, and to the best of my knowledge and belief, the
information presented here is true, correct, and complete.
1. Signature of Transferor or Authorized Representative:
2. Date:

Application for Transfer of QS
Page 3 of 8

3. Printed Name Transferor or Authorized Representative Note: If representative, attach authorization

4. Notary Public Signature:

ATTEST

5. Affix Notary Stamp or Seal Here:

6. Commission Expires:

BLOCK H – CERTIFICATION OF TRANSFEREE
Under penalties of perjury, I declare that I have examined this application, and to the best of my knowledge and belief, the
information presented here is true, correct, and complete.
1. Signature of Transferee or Authorized Representative:

2. Date:

3. Printed Name Transferee or Authorized Representative Note: If representative, attach authorization

4. Notary Public Signature:

ATTEST

5. Affix Notary Stamp or Seal Here:

6. Commission Expires:

PUBLIC REPORTING BURDEN STATEMENT
Public reporting for this collection of information is estimated to average 2.0 hours per response, including the time for reviewing the
instructions, searching the existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of
information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for
reducing the burden, to Assistant Regional Administrator, Sustainable Fisheries Division, NOAA National Marine Fisheries Service, Alaska
Region, P.O. Box 21668, Juneau, AK 99802-1668.
ADDITIONAL INFORMATION
Before completing this form please note the following: 1) Notwithstanding any other provision of 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; 2) This information is
mandatory and is required to manage commercial fishing efforts under 50 CFR part 679 and under section 402(a) of the Magnuson- Stevens
Act (16 U.S.C. 1801, et seq.); 3) Responses to this information request are confidential under section 402(b) of the Magnuson- Stevens Act
as amended in 2006. They are also confidential under NOAA Administrative Order 216-100, which sets forth procedures to protect
confidentiality of fishery statistics.
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: This information is used to accurately retrieve confidential records related to federal permits, including
individual fishing quota and quota share records specific to the Halibut and Sablefish Individual Fishing Quota Program. This program
requires private information collections that were used in quota transactions under in this program. Routine Uses: The Department will use
this information to identify fishery participants in order to retrieve confidential records related to IFQ permits. Disclosure of this
information is permitted under the Privacy Act of 1974 (5 U.S.C. Section 552a), to be shared within NMFS offices, in order to coordinate
monitoring and management of sustainability of fisheries and protected resources, as well as with the applicable State or Regional Marine
Fisheries Commissions and International Organizations. Disclosure of this information is also subject to all of the published routine uses as
identified in the Privacy Act System of Records Notice COMMERCE/NOAA-19, Permits and Registrations for the United States Federally
Regulated Fisheries. Disclosure: Furnishing this information is required to retain the benefit of participation in the Halibut and Sablefish
Individual Fishing Quota Program.
Application for Transfer of QS
Page 4 of 8

INSTRUCTIONS
APPLICATION FOR TRANSFER OF QS

Any person that received Quota Share/Individual Fishing Quota (QS/IFQ) as an Initial Issue or that holds a Transfer
Eligibility Certificate (TEC) is eligible to receive QS/IFQ by transfer. A transferee that does not have a TEC will need to
contact RAM for instructions on eligibility procedures and a TEC application form.
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.

GENERAL INFORMATION
o

Please submit a separate application for each proposed QS transfer.

o Submit the original application -- an application sent by fax will not be processed.
o

Complete the entire application, and include all attachments; failure to do so could result in delays
in the processing of your application.

o

Please insure that signatures on the application are original and are notarized. RAM will not
process an application that does not bear original signatures. All signatures must be witnessed by a
Notary Public (or, in some remote areas, the community Postmaster or Postmistress). The Notary
Public cannot be the person(s) submitting this application.

o

If you wish to apply for an IFQ Only Transfer please use the “Application for Emergency Medical
Transfer of IFQ” or “Application for Temporary Transfer of Halibut/Sablefish Individual Fishing
Quota (IFQ). Please contact our office if you need assistance determining which form to use.

o

If you want to apply for a “self sweep-up,” please use the Self Sweep-Up Form.

When completed, submit the original application:
By mail to

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

or deliver to:

Room 713, Federal Building
709 West 9th Street
Juneau, AK 99801

Please allow at least ten working days for your application to be processed. Items will be sent by first class mail,
unless you provide alternate instructions and include a prepaid mailer with appropriate postage or corporate account
number for express delivery.

Application for Transfer of QS
Page 5 of 8

If you need additional information:
Call RAM: 1 (800) 304-4846 (#2) or (907) 586-7202 (#2)
E-Mail Address: RAM.Alaska@noaa.gov

Web Site: https://alaskafisheries.noaa.gov

COMPLETING THE APPLICATION
Indicate whether the Transferee (Buyer) holds a Transfer Eligibility Certificate (TEC).
Use the checklist to ensure your application is complete. Incomplete applications will not be
processed.
NOTE: It is important that all blocks are completed and all necessary documents are attached. Failure to
answer any of the questions, provide attachments, or to have signatures notarized could result in delays in the
processing of your application.
BLOCK A – IDENTIFICATION OF TRANSFEROR (SELLER)
1. Full name as it appears on QS Holder Summary Report and/or TEC.
2. NMFS Person ID: As found on QS Holder Summary Report or TEC.
3. Date of Birth.
4. Business Mailing Address. Indicate whether permanent or temporary. Include street or P.O. Box
number, city, state, and zip code. Use a temporary address to send transfer documentation
somewhere other than to the permanent address.
5–7. Business Telephone Number, Business Fax Number, and Business E-mail address
BLOCK B – IDENTIFICATION OF TRANSFEREE (BUYER)
1. Full name as it appears on QS Holder Summary Report and/or TEC.
2. NMFS Person ID: As found on QS Holder Summary Report or TEC.
3. Date of Birth.
4. Business Mailing Address. Indicate whether permanent or temporary. Include street or P.O. Box
number, city, state, and zip code. Use a temporary address to send transfer documentation
somewhere other than to the permanent address.
5–7. Business Telephone Number, Business Fax Number, and Business E-mail address

Application for Transfer of QS
Page 6 of 8

BLOCK C – SWEEP-UP OR CDQ COMPENSATION
1. Indicate if you wish to combine (“sweep up”) the transferred block together with a block you already
hold. Blocked QS may be swept up into one block if the total amount of QS being combined is less than
or equal to the following amounts of QS units per area.
Halibut

Sablefish

Area

Units

Area

Units

2C

33,320

SE

33,270

3A

46,520

WY

43,390

3B

44,193

CG

46,055

4A

22,947

WG

48,410

4B

15,087

AI

99,210

4C

30,930

BS

91,275

4D

26,082

2. QS Group Number
3. If this is a transfer of Catcher Vessel Western Alaska Community Development Quota (CDQ)
compensation QS, there is a one-time opportunity at the time of the first transfer to permanently
designate the catcher vessel category of the QS being transferred. CDQ compensation QS is QS
issued as compensation for halibut and sablefish harvest privileges foregone due to the CDQ
Program
Persons issued CDQ compensation QS in a catcher vessel category and in an IFQ regulatory area
in which they do not hold QS other than CDQ compensation QS, may use that CDQ compensation
QS on any catcher vessel. This exemption from catcher vessel categories ends upon the first
transfer of the CDQ compensation QS. CDQ compensation QS being transferred will be
permanently assigned to a specific catcher vessel category as designated by the person receiving
the transfer.
BLOCK D – IDENTIFICATION OF QS AND IFQ TO BE TRANSFERRED
1. Species: halibut or sablefish
2. IFQ Regulatory Area
3. Vessel Category
4. Number of units to be transferred
5. Transferor IFQ permit number
6. Starting and ending serial number of shares to be transferred
[For example, H-2C-C-B-123,456 THROUGH H-2C-C-B-789,493]
7. A specific number of pounds must be indicated for each transfer. A pro-rata amount of IFQ
(overage pounds) will be debited from any IFQ transferred based on the QS unit held or transferred.
The current QS holder may retain underage pounds. However, unless otherwise specified, the
underage associated with the QS will be transferred. Please indicate your specific intention.
Application for Transfer of QS
Page 7 of 8

BLOCK E - REQUIRED TRANSFEROR SUPPLEMENTAL INFORMATION
1. The price per pound of IFQ must be entered. To derive the number of dollars per unit of QS or
pound of IFQ, divide the total amount paid, including fees, by the number of QS units or the number
of IFQ pounds being transferred.
2. The total amount entered should include any and all monies collected on behalf of the seller for
the shares involved, including any fees that will be paid out to other parties for the expenses of
brokering or assisting in the sale of these shares.
3. Please check all boxes that apply to this transaction.
4. Are you paying a third party to assist with this transaction?
If NO, go to question #2 in Block F.
If YES, put the total price paid to the broker or calculate how much was paid to the third
party as a percentage of the total sale price. (The percentage can be derived by using
this formula: divide the brokerage fee by the total price paid for the QS/IFQ, then
multiply the result by 100.)
BLOCK F - REQUIRED TRANSFEREE SUPPLEMENTAL INFORMATION
1. Indicate whether the QS/IFQ will have a lien attached (used as collateral). If YES, provide the
name of the lien holder. This name will appear on the QS Certificate.
2. Indicate the primary source of financing for this transfer (check one).
3. Explain how the QS/IFQ was located (check all that apply).
4. Indicate Transferee’s relationship to the QS/IFQ holder (check all that apply).
5. Indicate whether there is an agreement to return the QS or IFQ to the Transferor, or any other
person, or a condition placed on resale. If YES, please explain.
BLOCK G – CERTIFICATION OF TRANSFEREE
Printed name and signature of Transferor and date signed.
If authorized representative, attach authorization. If signing for an individual, a power of attorney is
required to demonstrate authorization.
Signature, commission expiration date, and stamp of notary.
BLOCK H – CERTIFICATION OF TRANSFEROR
Printed name and signature of Transferor and date signed
If authorized representative, attach authorization. If signing for an individual, a power of attorney is
required to demonstrate authorization.
Signature, commission expiration date, and stamp of notary

Application for Transfer of QS
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