§ 680.41 Transfer of QS, PQS, IFQ and IPQ. ( a ) *General.* ( 1 ) Transfer of crab QS, PQS, IFQ, or IPQ means any transaction, approved by NMFS, requiring QS or PQS, or the use thereof in the form of IFQ or IPQ, to pass from one person to another, permanently or for a fixed period of time, except that:
( 2 ) A crab IFQ hired master permit issued by NMFS, as described in § 680.4, is not a transfer of crab QS or IFQ; and
( 3 ) The use of IFQ assigned to a crab harvesting cooperative and used within that cooperative is not a transfer of IFQ.
( b ) *Transfer applications* — ( 1 ) *Application.* An application is required to transfer any amount of QS, PQS, IFQ, or IPQ. A transfer application will not be approved until the necessary eligibility application has been submitted and approved by NMFS in accordance with paragraph (c) of this section. The Regional Administrator will not approve any transfers of QS, PQS, IFQ, or IPQ in any crab QS fishery from June 15 until either the date of the issuance of IFQ or IPQ for that crab QS fishery, or the date on which the State of Alaska announces that a crab QS fishery will not open for that crab fishing year.
( 2 ) *Notification of application approval or disapproval.* Persons submitting any application for approval under § 680.41 will receive notification of the Regional Administrator's decision to approve or disapprove the application, and if applicable, the reason(s) for disapproval.
( 3 ) *Reasons for disapproval.* Reasons for disapproval of an application include, but are not limited to: ( i ) Lack of U.S. citizenship, where U.S. citizenship is required;
( ii ) Failure to meet minimum requirements for sea time as a member of a harvesting crew;
( iii ) An incomplete application, including fees and an EDR, if required;
( iv ) An untimely application; or
( v ) Fines, civil penalties, or other payments due and owing, or outstanding permit sanctions resulting from Federal fishery violations.
( 4 ) QS, PQS, IFQ, or IPQ accounts. ( i ) QS, PQS, IFQ, or IPQ accounts affected by a transfer approved by the Regional Administrator will change on the date of approval.
( ii ) For non-electronic submittals, any necessary IFQ or IPQ permits will be sent with the notification of approval if the receiver of the IFQ or IPQ permit has completed an annual application for crab IFQ or IPQ permit for the current fishing year as required under § 680.4.
( iii ) For electronic submittals, the parties to the transfer would access and print approvals and permits online.
( 5 ) Submittal. Submit applications and other documents to NMFS as instructed on the application. Forms are available on the NMFS Alaska Region website at *http://alaskafisheries.noaa.gov*, or by contacting NMFS at: 800-304-4846, Option 2.
( c ) *Eligibility to receive QS, PQS, IFQ, or IPQ by transfer.* Persons, other than persons initially issued QS or PQS, must establish eligibility to receive QS, PQS, IFQ, or IPQ by transfer. ( 1 ) To be eligible to receive QS, PQS, IFQ, or IPQ by transfer, a person must first meet the requirements specified in the following table: Quota type
Eligible person
Eligibility requirements (i) PQS not issued under § 680.40(e)(3)(i)
Any person
None. (ii) IPQ
Any person
None. (iii) CVO or CPO QS
(A) A person initially issued QS
No other eligibility requirements. (B) An individual
who is a U.S. citizen with at least 150 days of sea time as part of a harvesting crew in any U.S. commercial fishery. (C) A corporation, partnership, or other entity
with at least one individual member who is a U.S. citizen and who:(*1*) owns at least 20 percent of the corporation, partnership, or other entity; and(*2*) has at least 150 days of sea time as part of a harvesting crew in any U.S. commercial fishery. (D) An ECCO
that meets the eligibility requirements described under paragraph (j) of this section. (E) A CDQ group
No other eligibility requirements. (iv) Converted CPO QS
N/A
Converted CPO QS may not be transferred. (v) CPO IFQ derived from Converted CPO QS
N/A
CPO IFQ derived from Converted CPO may not be transferred. (vi) CVO or CPO IFQ
All eligible persons for CVO or CPO QS
according to the requirements in paragraph (c)(1)(iii) of this section. (vii) CVC or CPC QS
An individual
(A) Who is a U.S. citizen with: *(1)* At least 150 days of sea time as part of a harvesting crew in any U.S. commercial fishery, and *(2)* Recent participation as crew in at least one delivery of crab in a CR crab fishery in the 365 days prior to submission of the application for eligibility, (B) From May 1, 2015, until May 1, 2019, CVC or CPC QS also may be transferred to an individual who is a U.S. citizen with: *(1)* At least 150 days of sea time as part of a harvesting crew in any U.S. commercial fishery, and *(2)* Who either: *(i)* Received an initial allocation of CVC or CPC QS; or *(ii)* Participated as crew in at least one delivery of crab in a CR crab fishery in any 3 of the 5 crab fishing years starting on July 1, 2000, through June 30, 2005. (viii) CVC or CPC IFQ
All eligible individuals for CVC or CPC QS
According to the requirements in paragraph (c)(1)(vii) of this section.
( 2 ) *Application for eligibility to receive QS/IFQ and PQS/IPQ by transfer.* ( i ) This application is required to establish a person's eligibility to receive QS, PQS, IFQ, or IPQ by transfer, if the person is not an ECCO. See paragraph (j) of this section for eligibility to transfer of QS/IFQ to or from an ECCO. The Regional Administrator shall provide an application to any person on request or on the Internet at *http://www.fakr.noaa.gov/ .*
( ii ) *Contents.* A complete Application for Eligibility to Receive QS/IFQ or PQS/IPQ by Transfer must include the following: ( A ) Type of QS, IFQ, PQS, or IPQ for which the applicant is seeking eligibility. Indicate type of QS, IFQ, PQS, IPQ for which applicant is seeking eligibility. ( 1 ) If seeking CVO or CPO QS/IFQ, complete paragraphs (c)(2)(ii)(B), (c)(2)(ii)(D) if applicable, (c)(2)(ii)(E), and (c)(2)(ii)(F) of this section;
( 2 ) If seeking CVC or CPC QS/IFQ, complete paragraphs (c)(2)(ii)(B), (c)(2)(ii)(C), (c)(2)(ii)(E), and (c)(2)(ii)(F) of this section;
( 3 ) If seeking PQS/IPQ, complete paragraphs (c)(2)(ii)(B) and (c)(2)(ii)(F) of this section;
( B ) *Applicant information.* ( 1 ) Enter applicant's name and NMFS Person ID, applicant's date of birth or, if not an individual, date of incorporation; applicant's social security number or tax ID number; applicant's permanent business mailing address and any temporary business mailing address the applicant wishes to use, and the applicant's business telephone number, business facsimile number, and e-mail address (if available).
( 2 ) Indicate (YES or NO) whether the applicant is a U.S. citizen or U.S. corporation, partnership or other business entity. Applicants for CVO, CPO, CVC or CPC QS (and associated IFQ) must be U.S. Citizens or U.S. Corporations, Partnerships or Other Business Entity. Applicants for PQS (and associated IPQ) are not required to be U.S. Citizens.
( C ) *Eligibility for CVC or CPC QS/IFQ.* Indicate (YES or NO) whether this application is intended for a person who wishes to buy CVC or CPC QS/IFQ. If YES, provide evidence demonstrating that the applicant meets the criteria set forth in paragraph (c)(1)(vii) of this section. Acceptable evidence is limited to an ADF&G fish ticket imprinted with the applicant's State of Alaska permit card and signed by the applicant, an affidavit from the vessel owner, or a signed receipt for an IFQ crab landing on which the applicant was acting as the permit holder's crab IFQ hired master.
( D ) *U.S. Corporations, partnerships, or business entities.* ( 1 ) Indicate (YES or NO) whether this application is submitted by a CDQ Group. If YES, complete paragraph (c)(2)(ii)(F) of this section;
( 2 ) Indicate (YES or NO) whether this application is submitted on behalf of a corporation, partnership or other business entity (not including CDQ groups). If YES: At least one member of the corporation, partnership or other business entity must submit documentation showing at least 20 percent interest in the corporation, partnership, or other entity and must provide evidence of at least 150 days as part of a harvesting crew in any U.S. commercial fishery. Identify the individual member and provide this individual's commercial fishing experience, name, NMFS person ID, and social security number, and business mailing address, business telephone number, and business facsimile number.
( E ) *Commercial fishing experience.* ( 1 ) Species; enter any targeted species in a U.S. commercial fishery;
( 2 ) Gear Type; enter any gear type used to legally harvest in a U.S. commercial fishery;
( 3 ) Location; enter actual regulatory, statistical, or geographic harvesting location;
( 4 ) Starting date and ending date of claimed fishing period (MMYY);
( 5 ) Number of actual days spent harvesting;
( 6 ) Duties performed while directly involved in the harvesting of (be specific):
( 7 ) Name and ADF&G vessel registration number or USCG documentation number of the vessel upon which above duties were performed;
( 8 ) Name of vessel owner;
( 9 ) Name of vessel operator;
( 10 ) Reference name. Enter the name of a person (other than applicant) who is able to verify the above experience;
( 11 ) Reference's relationship to applicant;
( 12 ) Reference's business mailing address and telephone number.
( F ) *Applicant certification.* ( 1 ) Printed name and signature of applicant and date signed;
( 2 ) [Reserved]
( G ) Verification that the applicant applying for eligibility to receive crab QS/IFQ or PQS/IPQ by transfer has submitted an EDR, if required to do so under § 680.6;
( H ) A non-profit entity seeking approval to receive crab QS or IFQ by transfer on behalf of a ECC must first complete an Application to Become an ECCO under paragraph (j) of this section.
( d ) *Transfer of CVO, CPO, CVC, CPC QS or PQS* — ( 1 ) *General.* PQS or QS may be transferred, with approval of the Regional Administrator, to persons qualified to receive PQS or QS by transfer. However, the Regional Administrator will not approve a transfer of any type of PQS or QS that would cause a person to exceed the maximum amount of PQS or QS allowable under the use limits provided for in § 680.42, except as provided for under paragraph (f) of this section.
( 2 ) *CVO QS.* CVO QS may be transferred to any person eligible to receive CVO or CPO QS as defined under paragraph (c) of this section.
( 3 ) *CPO QS.* Persons holding CPO QS may transfer CPO QS as CVO QS and PQS to eligible recipients under the following provisions: ( i ) Each unit of CPO QS shall yield 1 unit of CVO QS, and 0.9 units of PQS; and
( ii ) The CVO QS and PQS derived from the transfer of CPO QS may be transferred separately, except that these shares must receive the same regional designation. The regional designation shall be determined at the time of transfer by the person receiving the CVO QS.
( 4 ) *CVC or CPC QS.* CVC or CPC QS may be transferred to any person eligible to receive CVC or CPC QS as defined under paragraph (c) of this section. CVC and CPC QS may only be used in the sector for which it is originally designated.
( e ) *Transfer of IFQ or IPQ by Lease* — ( 1 ) *IFQ derived from CVO or CPO QS.* IFQ derived from CVO or CPO QS may be transferred by lease until June 30, 2010. IFQ derived from CVO or CPO QS must be leased: ( i ) If the IFQ will be used on a vessel on which the QS holder has less than a 10 percent ownership interest; or
( ii ) If the IFQ will be used on a vessel on which the QS holder or the holder of a crab IFQ hired master permit, under § 680.4, is not present.
( 2 ) Ownership of a vessel, for the purposes of this section, means: ( i ) A sole proprietor; or
( ii ) A relationship between 2 or more entities in which one directly or indirectly owns a 10 percent or greater interest in a vessel.
( 3 ) *IFQ derived from CVC QS or CPC QS.* IFQ derived from CVC or CPC QS may be transferred by lease on an annual basis.
( 4 ) *IPQ derived from PQS.* IPQ derived from PQS may be leased.
( f ) *Transfer of QS, PQS, IFQ or IPQ with restrictions.* If QS, PQS, IFQ or IPQ must be transferred as a result of a court order, operation of law, or as part of a security agreement, but the person receiving the QS, PQS, IFQ or IPQ by transfer does not meet the eligibility requirements of this section, the Regional Administrator will approve, with restrictions, an Application for transfer of crab QS/IFQ or PQS/IPQ. The Regional Administrator will not assign IFQ or IPQ resulting from the restricted QS or PQS to any person. IFQ or IPQ with restrictions may not be used for harvesting or processing species covered under the CR program. The QS, PQS, IFQ or IPQ will remain restricted until: ( 1 ) The person who received the QS, PQS, IFQ or IPQ with restrictions meets the eligibility requirements of this section and the Regional Administrator approves an application for eligibility for that person; or
( 2 ) The Regional Administrator approves the application for transfer from the person who received the QS, PQS, IFQ or IPQ with restrictions to a person who meets the eligibility requirements of this section.
( g ) *Survivorship transfer privileges.* ( 1 ) On the death of an individual who holds QS or PQS, the surviving spouse or, in the absence of a surviving spouse, a beneficiary designated pursuant to paragraph (g)(3) of this section, receives all QS, PQS and IFQ or IPQ held by the decedent by right of survivorship, unless a contrary intent was expressed by the decedent in a will. The Regional Administrator will approve an application for transfer to the surviving spouse or designated beneficiary when sufficient evidence has been provided to verify the death of the individual.
( 2 ) A QS or PQS holder may provide the Regional Administrator with the name of the designated beneficiary from the QS or PQS holder's immediate family to receive survivorship transfer privileges in the event of the QS or PQS holders death and in the absence of a surviving spouse.
( 3 ) The Regional Administrator will approve, for 3 calendar years following the date of the death of an individual, an Application for transfer of crab QS/IFQ or PQS/IPQ from the surviving spouse or, in the absence of a surviving spouse, a beneficiary from the QS or PQS holder's immediate family designated pursuant to this section, to a person eligible to receive IFQ or IPQ under the provisions of this section, notwithstanding the limitations on transfers of IFQ and IPQ in this section and the use limitations under § 680.42.
( h ) *Applications for transfer* — ( 1 ) *Application for transfer of crab IFQ.* NMFS will process a request for transfer of crab individual fishing quota (IFQ) provided that a paper application is completed, with all information fields accurately filled in, and all required additional documentation is attached. The transferor's and the transferee's designated representatives must sign and date the application certifying that all information is true, correct, and complete. The transferor's designated representative must submit the paper application as indicated on the application.
( 2 ) *Application for transfer of crab IPQ* — ( i ) *Completed application.* NMFS will process a request for transfer of crab individual processor quota (IPQ) provided that a paper or electronic request form is completed, with all information fields accurately filled in, and all required additional documentation is attached.
( ii ) *Certification of transferor* — ( A ) *Non-electronic submittal.* The transferor's designated representative must sign and date the application certifying that all information is true, correct, and complete. The transferor's designated representative must submit the paper application as indicated on the application.
( B ) *Electronic submittal.* The transferor's designated representative must log into the system and create a transfer request as indicated on the computer screen. By using the transferor's NMFS ID, password, and Transfer Key and submitting the transfer request, the designated representative certifies that all information is true, correct, and complete.
( iii ) *Certification of transferee* — ( A ) *Non-electronic submittal.* The transferee's designated representative must sign and date the application certifying that all information is true, correct, and complete.
( B ) *Electronic submittal.* The transferee's designated representative must log into the system and accept the transfer request as indicated on the computer screen. By using the transferee's NMFS ID, password and Transfer Key and submitting the transfer request, the designated representative certifies that all information is true, correct, and complete.
( 3 ) *Application for transfer of crab QS or PQS.* NMFS will process a request for transfer of crab quota share (QS) or crab processor quota share (PQS) provided that a paper request form is completed and notarized, with all information fields accurately filled in, and all required additional documentation is attached. The transferor's and the transferee's designated representatives must sign and date the application certifying that all information is true, correct, and complete.
( i ) *Approval criteria for an Application for transfer of crab QS/IFQ or PQS/IPQ.* Except as provided in paragraph (f) of this section, an application for transfer of QS/IFQ or PQS/IPQ will not be approved until the Regional Administrator has determined that: ( 1 ) The person applying to receive the QS, PQS, IFQ or IPQ meets the requirements of eligibility in paragraph (c) of this section;
( 2 ) The person applying for transfer and the person applying to receive QS or IFQ/IPQ have their signatures on the application;
( 3 ) No fines, civil penalties, or other payments due and owing, or outstanding permit sanctions, resulting from Federal fishery violations involving either party exist;
( 4 ) The person applying to receive QS, PQS, IFQ or IPQ currently exists;
( 5 ) The transfer would not cause the person applying to receive the QS, PQS, IFQ or IPQ to exceed the use limits in § 680.42;
( 6 ) The person applying to make or receive the QS, PQS, IFQ or IPQ transfer has paid all IFQ or IPQ fees described under § 680.44; or has timely appealed the IAD of underpayment as described under § 680.44;
( 7 ) The person applying to make or receive the QS, PQS, IFQ or IPQ transfer has submitted an EDR, if required to do so under § 680.6;
( 8 ) In the case of an application for transfer of PQS or IPQ for use outside an ECC that has designated an entity to represent it in exercise of ROFR under paragraph (l) of this section: ( i ) The Regional Administrator will not act upon the application for a period of 10 days. At the end of that time period, the application will be approved pending meeting the criteria set forth in paragraph (i) of this section.
( ii ) The person applying to transfer PQS subject to ROFR must include an affidavit certifying that the ECC entity was provided with notice of the proposed transfer at least 90 days prior to the date of the transfer application and that the ECC entity did not exercise its ROFR during that period.
( iii ) The person applying to receive the PQS must include an affidavit certifying that a ROFR contract that includes the ROFR contract terms specified in Chapter 11 section 3.4.4.1.2 of the Fishery Management Plan for Bering Sea/Aleutian Islands King and Tanner Crabs has been completed with an ECC entity eligible to hold a ROFR under paragraph (l) of this section and that represents an ECC within the region for which the PQS is designated.
( 9 ) In the case of an application for transfer of PQS for use within an ECC that has designated an entity to represent it in exercise of ROFR under paragraph (l) of this section, the Regional Administrator will not approve the application unless the proposed recipient of the PQS and the ECC entity provide an affidavit to the Regional Administrator certifying that either the ECC wishes to permanently waive ROFR for the PQS or that a ROFR contract that includes the ROFR contract terms specified in Chapter 11 section 3.4.4.1.2 of the Fishery Management Plan for Bering Sea/Aleutian Islands King and Tanner Crabs has been completed by the proposed recipient of the PQS and the ECC entity.
( 10 ) Other pertinent information requested on the application for transfer has been supplied to the satisfaction of the Regional Administrator.
( 11 ) The person applying to receive the CVC QS or IFQ or CPC QS or IFQ by transfer has submitted proof of at least one delivery of a crab species in any CR crab fishery in the 365 days prior to submission to NMFS of the Application for transfer of crab QS/IFQ or PQS/IPQ, except if eligible under the eligibility requirements in paragraph (c)(1)(vii)(B) of this section. Proof of this landing is— ( i ) Signature of the applicant on an ADF&G fish ticket; or
( ii ) An affidavit from the vessel owner attesting to that person's participation as a member of a fish harvesting crew on board a vessel during a landing of a crab QS species within the 365 days prior to submission of an Application for transfer of crab QS/IFQ or PQS/IPQ.
( j ) *Transfer of crab QS/IFQ to or from an ECCO* — ( 1 ) *Designation of an ECCO.* ( i ) The appropriate governing body of each ECC may designate a non-profit organization to serve as the ECCO for that ECC. To transfer and hold QS on the behalf of that ECC, this designation must be submitted by the non-profit organization in its Application to Become an ECCO.
( ii ) If the non-profit entity is approved by NMFS to serve as the ECCO, then the appropriate governing body of the ECC must authorize the transfer of any QS from the ECCO.
( iii ) The appropriate governing body for purposes of designating a non-profit organization for the Application to Become an ECCO, or acknowledging the transfer of any QS from an ECCO in each ECC is as follows: ( A ) If the ECC is also a community eligible to participate in the Western Alaska CDQ Program, then the CDQ group is the appropriate governing body;
( B ) If the ECC is not a CDQ community and is incorporated as a municipality and is not within an incorporated borough, then the municipal government is the appropriate governing body;
( C ) If the ECC is not a CDQ community and is incorporated as a municipality and also within an incorporated borough, then the municipality and borough jointly serve as the appropriate governing body and both must agree to designate the same non-profit organization to serve as the ECCO or acknowledge the transfer of QS from the ECCO; and
( D ) If the ECC is not a CDQ community and is not incorporated as a municipality and is in a borough, then the borough in which the ECC is located is the appropriate governing body.
( iv ) The appropriate governing body in each ECC may designate only one non-profit organization to serve as the ECCO for that community at any one time.
( 2 ) *Application to become an ECCO.* Prior to initially receiving QS or IFQ by transfer on behalf of a specific ECC, a non-profit organization that intends to represent that ECC as a ECCO must submit an application to become an ECCO and have that application approved by the Regional Administrator. The Regional Administrator shall provide an application to become an ECCO to any person on request or on the Internet at *http://www.fakr.noaa.gov/ .* ( i ) *Contents of application* — ( A ) *Applicant identification.* ( 1 ) Enter the name of the non-profit organization, taxpayer ID number, and NMFS Person ID, applicant's permanent business mailing address and any temporary business mailing address the applicant wishes to use, and the name of contact person, business telephone number, business facsimile number, and e-mail address (if available);
( 2 ) Name of community or communities represented by the non-profit organization; and
( 3 ) Name of contact person for the governing body of each community represented.
( B ) *Required attachments to the application.* ( 1 ) The articles of incorporation under the laws of the State of Alaska for that non-profit organization;
( 2 ) A statement indicating the ECC(s) represented by that non-profit organization for purposes of holding QS;
( 3 ) The bylaws of the non-profit organization;
( 4 ) A list of key personnel of the management organization including, but not limited to, the board of directors, officers, representatives, and any managers;
( 5 ) Additional contact information of the managing personnel for the non-profit organization and resumes of management personnel;
( 6 ) A description of how the non-profit organization is qualified to manage QS on behalf of the ECC it is designated to represent, and a demonstration that the non-profit organization has the management skills and technical expertise to manage QS and IFQ; and
( 7 ) A statement describing the procedures that will be used to determine the distribution of IFQ to residents of the ECC represented by that non-profit organization, including procedures used to solicit requests from residents to lease IFQ and criteria used to determine the distribution of IFQ leases among qualified community residents and the relative weighting of those criteria.
( C ) *Applicant certification.* ( 1 ) Printed name of applicant or authorized agent, signature, and date signed. If authorized agent, proof of authorization to act on behalf of the applicant must be provided with the application.
( 2 ) [Reserved]
( ii ) [Reserved]
( k ) *Application for transfer of crab QS/IFQ to or from an ECCO.* ( 1 ) An application for transfer of crab QS/IFQ to or from an ECCO must be approved by the Regional Administrator before the transferee may use the IFQ to harvest crab QS species.
( 2 ) An application for transfer of crab QS/IFQ to or from an ECCO will not be approved until the Regional Administrator has reviewed and approved the transfer agreement signed by the parties to the transaction. Persons who submit an application for transfer of crab QS/IFQ to or from an ECCO for approval will receive notification of the Regional Administrator's decision to approve or disapprove the application, and if applicable, the reason(s) for disapproval, by mail, unless another communication mode is requested on the application.
( 3 ) *Contents.* A complete application for transfer of crab QS/IFQ to or from an ECCO includes the following: ( i ) *General requirements.* ( A ) This form may only be used if an ECCO is the proposed transferor or the proposed transferee of the QS or IFQ.
( B ) The party to whom an ECCO is seeking to transfer the QS/IFQ must be eligible to receive QS/IFQ by transfer.
( C ) If the ECCO is applying to permanently transfer QS, a representative of the community on whose behalf the QS is held must sign the application.
( D ) If authorized representative represents either the transferor or transferee, proof of authorization to act on behalf of transferor or transferee must be attached to the application.
( ii ) *Transferor information.* Enter the transferor's (person currently holding the QS or IFQ) name, NMFS Person ID, social security number or Tax ID, permanent business mailing address, business telephone, business facsimile, and business e-mail address. If transferor is an ECCO, enter the name of ECC represented by the ECCO. The transferor may also provide a temporary address for each transaction in addition to the permanent business mailing address.
( iii ) *Transferee information.* Enter the transferee's (person receiving QS or IFQ by transfer) name, NMFS Person ID, social security number or Tax ID, permanent business mailing address, business telephone, business facsimile, and business e-mail. If transferee is an ECCO, name of the community (ECC) represented by the ECCO. The transferee may also provide a temporary address for each transaction in addition to the permanent business mailing address.
( iv ) *Identification* of QS/IFQ to be transferred. Complete the following information if QS and IFQ are to be transferred together or if transferring only QS: ( A ) QS species;
( B ) QS type;
( C ) Number of QS or IFQ units to be transferred;
( D ) Total QS units;
( E ) Number of IFQ pounds;
( F ) Range of serial numbers to be transferred (shown on QS certificate) numbered to and from;
( G ) Name of community to which QS are currently assigned; and
( H ) Indicate (YES or NO) whether remaining IFQ pounds for the current fishing year should be transferred; if NO, specify the number of pounds to be transferred.
( v ) *Transfer of IFQ only.* ( A ) IFQ permit number and year of permit, and
( B ) Actual number of IFQ pounds to be transferred.
( vi ) *Transferor Information, if an ECCO.* Reason(s) for transfer: ( A ) ECCO management and administration;
( B ) Fund additional QS purchase;
( C ) Participation by community residents;
( D ) Dissolution of ECCO; and
( E ) Other (specify).
( vii ) *Price paid for QS, PQS, and/or IFQ, IPQ (Transferor).* The transferor must provide the following information: ( A ) Whether (YES or NO) a broker was used for this transaction; If YES, provide dollar amount paid in brokerage fees or percentage of total price;
( B ) Provide the total amount paid for the QS/IFQ in this transaction, including all fees;
( C ) Provide the price per unit of QS (price divided by QS units) and the price per pound (price divided by IFQ) of IFQ; and
( D ) Indicate all reasons that apply for transferring the QS/IFQ.
( viii ) *Price paid for QS, PQS, and/or IFQ, IPQ (Transferee).* The transferee must provide the following information: ( A ) Indicate (YES or NO) whether QS/IFQ purchase will have a lien attached; if YES, provide the name of lien holder;
( B ) Indicate one primary source of financing for this transfer;
( C ) Indicate the sources used to locate the QS or IFQ being transferred;
( D ) Indicate the relationship, if any, between the transferor and the transferee;
( E ) Indicate (YES or NO) whether an agreement exists to return the QS or IFQ to the transferor or any other person, or with a condition placed on resale; If YES, explain; and
( F ) Attach a copy of the terms of agreement for the transfer, the bill of sale for QS, or lease agreement for IFQ.
( ix ) *Certification information* — ( A ) *Certification of transferor.* ( 1 ) Printed name and signature of transferor or authorized agent and date signed. If authorized agent, proof of authorization to act on behalf of the transferor must be provided with the application.
( 2 ) [Reserved]
( B ) *Certification of transferee.* ( 1 ) Printed name and signature of transferee or authorized agent and date signed. If authorized agent, proof of authorization to act on behalf of the transferee must be provided with the application.
( 2 ) [Reserved]
( C ) *Certification of authorized representative of community.* ( 1 ) Printed name, title and signature of authorized community representative, date signed, and printed name of community.
( 2 ) [Reserved]
( 4 ) *Attachments to the application and other conditions to be met.* ( i ) Indicate whether the person applying to make or receive the QS, PQS, IFQ or IPQ transfer has submitted an EDR, if required to do so under § 680.6, and paid all fees, as required by § 680.44.
( ii ) A copy of the terms of agreement for the transfer, the bill of sale for QS or PQS, or lease agreement for IFQ or IPQ.
( iii ) An affirmation that the individual receiving IFQ from an ECCO has been a permanent resident in the ECC for a period of 12 months prior to the submission of the Application for Transfer QS/IFQ to or from an ECCO on whose behalf the ECCO holds QS.
( 5 ) *Approval criteria for an application for transfer of crab QS/IFQ to or from an ECCO.* In addition to the criteria required for approval under paragraph (i) of this section, the following criteria are also required: ( i ) The ECCO applying to receive or transfer crab QS has submitted a complete annual report(s) required by § 680.5;
( ii ) The ECCO applying to transfer crab QS has provided information on the reasons for the transfer as described in paragraph (e) of this section; and
( iii ) An individual applying to receive IFQ from an ECCO is a permanent resident of the ECC in whose name the ECCO is holding QS.
( l ) *Eligible crab community right of first refusal (ROFR)* — ( 1 ) *Applicability* — ( i ) *Exempt Fisheries.* PQS and IPQ issued for the EBT, WBT, WAG, or WAI crab QS fisheries are exempt from ROFR provisions.
( ii ) *Eligible Crab Communities (ECCs).* The ROFR extends to the ECCs, other than Adak, and their associated governing bodies. The ROFR may be exercised by the ECC entity representing that ECC.
( 2 ) *Community representation* — ( i ) *CDQ Communities.* ECC entity for purposes of exercise of ROFR for any ECC that is also a CDQ community shall be the CDQ group to which the ECC is a member.
( ii ) *Non-CDQ communities.* ( A ) Any ECC, other than Adak, that is a non-CDQ community may designate an ECC entity that will represent the community in the exercise of ROFR at least 30 days prior to the ending date for the initial application period for the crab QS program specified in the Federal Register.
( B ) The ECC entity eligible to exercise the right of first refusal on behalf of an ECC will be identified by the governing body(s) of the ECC. If the ECC is incorporated under the laws of the State of Alaska, and not within an incorporated borough, then the municipality is the governing body; if the ECC is incorporated and within an incorporated borough, then the municipality and borough are the governing bodies and must agree to designate the same ECC entity; if the ECC is not incorporated and in an incorporated borough, then the borough is the governing body.
( C ) Each ECC may designate only one ECC entity to represent that community in the exercise of ROFR at any one time through a statement of support from the governing body of the ECC. That statement of support identifying the ECC entity must be submitted to the Regional Administrator, NMFS, Post Office Box 21668, Juneau, Alaska 99802, at least 30 days prior to the ending date of the initial application period for the crab QS program under § 680.40.
( D ) The ECC ROFR is not assignable by the ECC entity.
( 3 ) *Restrictions on transfer of PQS or IPQ out of North Gulf of Alaska communities* — ( i ) *Applicability.* Any community in the Gulf of Alaska north of a line at 56°20′ N. lat.
( ii ) *Notification of PQS or IPQ transfer.* A PQS holder submitting an application to transfer PQS or IPQ for use in processing outside any community identified under paragraph (l)(3)(i) must notify the ECC entity designated by the City of Kodiak and Kodiak Island Borough under paragraph (l)(2) of this section 10 days prior to the intended transfer of PQS or IPQ for use outside the community. At the end of that time period, the application will be approved pending meeting the criteria set forth in paragraph (i) of this section.
[70 FR 10241, Mar. 2, 2005, as amended at 71 FR 32864, June 7, 2006; 73 FR 29983, May 23, 2008; 74 FR 51520, Oct. 7, 2009; 80 FR 15898, Mar. 26, 2015; 81 FR 1561, Jan. 13, 2016; 81 FR 24518, Apr. 26, 2016; 86 FR 70754, Dec. 13, 2021; 89 FR 47877, June 4, 2024]