Proposal for a Council Regulation establishing a Community system to prevent, deter and eliminate illegal, unreported and unregulated fishing {SEC(2007) 1310} {SEC(2007) 1312} {SEC(2007) 1336}
Date: 2007-10-17
Institutions: European Commission
Subjects: common fisheries policy, conservation of fish stocks, fishery management, fishing controls, fishing regulations, fraud

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 17.10.2007 
COM(2007) 602 final 

2007/0223 (CNS) 

Proposal for a 

COUNCIL REGULATION 

Establishing a Community system to prevent, deter and eliminate 
illegal, unreported and unregulated fishing 

(presented by the Commission) 

{SEC(2007) 1310} 
{SEC(2007) 1312} 
{SEC(2007) 1336} 

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EXPLANATORY MEMORANDUM 

1)  CONTEXT OF THE PROPOSAL 

110 

•  Grounds for and objectives of the proposal 

The general objective of the Proposal is to review and enhance the contribution of the 
Community to the fight against Illegal, Unreported and Unregulated fishing in order to 
increase the efficiency of action against this international plague and its environmental, 
economic and social consequences. 

120 

•  General context 

Illegal,  unreported  and  unregulated  (IUU)  fishing  is  one  of  the  most  serious  threats 
worldwide  to  the  sustainability  of  fish  stocks  and  to  marine  biodiversity.  There  is  a 
large consensus within the international community on the recognition of the particular 
gravity  of  this  problem  and  the  imperious  need  to  adopt  appropriate  measures  to 
prevent,  deter  and  eliminate  it.  This  consensus  has  been  expressed  in  various 
international  instruments  and  most  notably  in  the  voluntary  International  Plan  of 
Action on this matter adopted under the auspices of the FAO in 2001.  

The  Community  has  been  engaged  in  the  fight  against  IUU  for  more  than  10  years 
now. Its policy has been driven since 2002 by its own Action Plan. On this basis, the 
Community  has  been  very  active  over  the  last  years,  promoting  at  Community, 
regional  and  international  levels  the  implementation  of  an  ambitious  policy  to  deter, 
prevent and eliminate IUU fishing.  

This  policy  entailed  significant  progress.  The  creation  of  new  Regional  Fisheries 
Management Organisations, whether at the initiative of or with the firm support of the 
EU,  has  extended  the  geographical  coverage  of  high  seas  fishing  grounds  subject  to 
international regulation. At the same time, extensive arrays of new measures adopted 
within existing RFMOs has reinforced control at seas and in ports and made possible 
better  monitoring  of  trade  flows.  The  adoption  of  black  lists  of  IUU  vessels  has 
resulted  in  the  introduction  of  dissuasive  measures  aimed  at  vessels  identified  as 
committing  illegal  activities.  2004  saw  the  entry  into  force  of  the  new  Partnership 
approach guiding the relations of the EU with developing countries with which it has 
concluded  bilateral  fisheries  agreements.  Reinforcing  the  management  and  control 
capacities of these countries is one of the cornerstones of the Partnership approach, and 
significant  EU  funding  has  been  specifically  allocated  to  this  objective.  At  EU  level, 
meanwhile,  the  reform  of  the  Common  Fisheries  Policy  agreed  in  2002  has  focused 
attention  on  the  need  to  improve  compliance  with  the  rules  which  apply  to  EU 
fishermen and waters.  

While  much  has  been  done,  there  is  no  doubt  that  IUU  fishing  is  far  from  being 
eradicated.  The  Commission  considers  that  the  persistence  of  such  practices  despite 
Community  and  international  action  and  their  dramatic  environmental  and  socio-
economic consequences call for an urgent and firm reply by the Community.  

The  Community  has  one  of  the  largest  fishing  fleet  in  the  world  and  is  the  third 
catching  power  in  the  world.  It  is  also  the  biggest  market  and  the  first  importer  for 
fisheries products. The value of fisheries products imported into the Community rose to 

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nearly 14 billion € in 2005. In addition, Community operators are believed to feature 
among those registering a large number of fishing vessels in States hosting flags of non 
compliance. 

In  line  with  its  international  commitments  and  its  overall  objective  to  improve 
management  and  avoid  overexploitation  of  natural  resources  (as  set  out  in  the  EU 
Sustainable  development  Strategy  agreed  at  the  European  Council  of  June  2006),  the 
Community  has  a  specific  responsibility  in  leading  international  efforts  on  the  fight 
against IUU fishing. 

The  Commission  considers  that  time  has  now  come  to  complete  the  existing 
framework,  to  improve  its  efficiency  and  place  the  focus  on  the  need  for  better 
enforcement and compliance with measures necessary to deter, prevent and eliminate 
IUU fishing.  

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•  Existing provisions in the area of the proposal 

In  the  current  system,  IUU  fishing  is  addressed  partly  via  Community  provisions  on 
control,  inspection  and  enforcement  applying  within  the  Community  (in  particular 
Council Regulation (EEC) No 2847/93 and Council Regulation (EC) No 2371/2002) as 
well  as  in  respect  of  areas  subject  to  the  rules  agreed  within  Regional  Fisheries 
Management Organisations (in particular Council Regulations (EC) No 1936/2001 and 
(EC) No 601/2004). 

140 

•  Consistency with the other policies and objectives of the Union 

living  aquatic  resources 

This  proposal  pursues  the  general  aim  of  the  Common  Fisheries  Policy  to  "ensure 
that  provides  sustainable  economic, 
exploitation  of 
environmental  and  social  conditions"  and,  more  generally,  contributes  to  the 
Sustainable Development Strategy agreed by the European Council in June 2006 via its 
focus on the protection of natural resources. It is also in line with the objectives set out 
at  the  World  Summit  on  Sustainable  Development  in  2002  regarding  fisheries 
management. 

Striving  for  better  ocean  governance  is  also  one  of  the  main  principles  guiding  the 
current reflections on a future Maritime Policy for the Community.  

2)  CONSULTATION OF INTERESTED PARTIES AND IMPACT ASSESSMENT 

•  Consultation of interested parties 

211 

Consultation methods, main sectors targeted and general profile of respondents 

A wide consultation process was held between January and March 2007, on the basis 
of  a  public  document  tabled  by  the  Commission  services  and  published  on  the 
Commission website. The consultation paper prepared by DG Fisheries and Maritime 
Affaires  to  guide  the  debate  presented  a  brief  analysis  of  the  problem  and  was 
structured on nine possible fields  of  action: (1) improve control of the legality of the 
activities of third country fishing vessels and of their catches accessing fishing ports of 
the  European  Community,  (2)  improve  control  of  compliance  with  conservation  and 
management measures by third country fishery products imported into the Community 

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by other means than fishing vessels, (3) close the EU market to IUU fisheries products, 
(4)  address  IUU  activities  carried  out  by  nationals  from  the  European  Community 
outside its territory, (5) improve the legal means to ascertain IUU fishing activities, (6) 
introduce  an  efficient  regime  of  penalties  aiming  to  deter  serious  infringements  to 
fisheries  measures,  (7)  Improve  action  against  IUU  fishing  within  Regional  Fisheries 
Management Organisations, (8) support the policy and means of developing countries 
against IUU fishing and (9) increase synergies in the field of Monitoring, Control and 
Surveillance. 

Numerous meetings were organised  and  several written  contributions received by the 
Commission as a result of this consultation. The issue was debated within an informal 
Council of Fisheries Ministers on 17 April 2007. In addition, the European Parliament 
passed a resolution on that matter on 15 February 2007.  

Contributions were received from a wide range of entities linked to the fisheries sector, 
notably the Advisory Committee for Fisheries and Aquaculture (ACFA), which gathers 
the main stakeholders involved in the fishing sector at Community level, European and 
national  fishing  organisations  (France,  Spain,  Greece),  processing  industry,  retailers, 
banks  and  consumers,  trade  unions,  numerous  NGOs,  (specialised  in  environmental 
and  development  matters)  public  authorities  from  Germany,  United  Kingdom,  a 
Member  of  a  national  Parliament  (Netherlands),  as  well  public  authorities  from 
Norway and the World Bank and one company specialised in traceability. 

212 

Summary of responses and how they have been taken into account 

The  initiative  of  the  Commission  received  a  very  positive  feedback  from  the 
participants  of  the  consultation  process.  Almost  all  the  contributions  stressed  the 
appropriateness  for  reinforcing  the  Community  action  in  this  field.  They  generally 
considered  as  the  relevant  the  field  of  actions  identified  by  the  Commission  in  its 
consultation paper. 

One divergent point amongst the stakeholders related to the scope of the initiative. A 
part of the fishing extractive sector considered that the initiative should not cover the 
Community fishing fleet, which is subject to a comprehensive control regime, and can 
not  be  considered  as  carrying  out  IUU  fishing.  Most  of  the  respondents  however 
supported the idea that the initiative should be broad and encompass fishing activities 
by all fishing fleets (Community and non Community).  

There  were  also  concerns  expressed  by  some  stakeholders  about  the  problems  which 
could  result  from  the  adoption  by  the  Community  of  a  uniform  approach  to  the 
problem, ignoring the specificities of fisheries and regions affected by IUU fishing and 
producing unnecessary new constraints. The fact that the Community should focus its 
future action toward the most serious breaches of fisheries law was underlined.  

Some stakeholders insisted that the priority should relate to a better implementation of 
the existing framework, and that new regulatory initiatives should only be introduced 
where needed. 

Another important concern expressed was that the potential negative impacts of trade 
measures  on  developing  countries  and  the  need  for  an  in-depth  analysis  on  this  issue 
was underlined. 

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213 

An  open  consultation  was  conducted  over  the  internet  from  15  January  2007  to  12 
March  2007.  The  Commission  received  around  30  written  contributions.  The  results 
are  available  on  The  contributions  received  by  the  Commission  are  available  at  the 
following address: 
http://ec.europa.eu/fisheries/cfp/governance/consultations/consultation_150107_en.htm 

The  outcomes  of  the  consultation  process  have  been  summarized  in  a  document 
annexed to the Impact Assessment Report on the Proposal tabled by the Commission. 

•  Collection and use of expertise 

221 

Scientific/expertise domains concerned 

The  Commission  services  made  use  of  external  expertise  to  support  some  of  the 
elements relating to the present Proposal.  

The purpose of the Specific Convention no. 36/2006 was to analyse the usefulness and 
impact of trade measures envisaged by the Commission as an instrument against IUU 
fishing.  The  specific  Contract  no.  5/2007  was  assigned  to  provide  other  necessary 
external  elements  and  input  that  could  be  used  by  the  Commission  in  the  final 
preparation of the impact assessment pertaining to the measures that might be part of 
the future proposals of the Commission against IUU fishing.  

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Methodology used 

The  two  Specific  Conventions  were  concluded  within  the  framework  contracts 
(respectively FISH/2003/02 and FISH/2006/20) in force between the Commission and 
the external consultancy firm Océanic Développement. 

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Main organisations/experts consulted 

External consultancy firm Océanic Développement. 

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Summary of advice received and used 

The existence of potentially serious risks with irreversible consequences has not been 
mentioned. 

The  first  study  provides  information  as  to  the  current  situation  of  the  European 
Community as first actor in the trade of fisheries products, describes the vulnerability 
of  the  Community  market  to  the  imports  of  fisheries  products  stemming  from  IUU 
fishing and analyses the various means which could be set up by the Community to put 
an end to those imports.  

The second study presents notably the problems generated by the insufficient level of 
sanctions applied by Member States towards serious infringements against the rules of 
the Common Fisheries Policy. It also stresses the wide variety of the levels of sanctions 
existing  in  the  national  legislations,  resulting  in  the  absence  of  level  playing  field  at 
Community level and encouraging the continuation of illicit practices. 

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Means used to make the expert advice publicly available 

The  studies  will  be  made  available  on  the  Internet  web  site  of  DG  Fisheries  and 
Maritime Affairs.  

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•  Impact assessment 

The Commission carried out an Impact assessment of the Proposal, resulting in a report 
which will be accessible on the web site of DG Fisheries and Maritime Affairs within 
the European Commission.  

In this report, the following options were considered: 

- Improve the implementation of the current framework within Community waters, and 
enhance  the  policy  of  the  Community  against  IUU  fishing  within  multilateral  and 
bilateral  bodies  to  address  the  external  part  of  the  problem.  This  option  would  not 
require the adoption of any new regulatory instrument. It would however not bring a 
sufficient reply to the urgency of the situation, as well as to the most serious problems 
which  harm  the  current  system,  namely  the  vulnerability  of  the  Community  market 
against  the  importation  of  IUU  products  and  the  persistence  of  fishing  activities  by 
vessels  flying  flags  of  non  compliance.  Those  two  problems  require  the  adoption  of 
new  legal  tools.  This  option  would  simply  mean  that  the  Community  places  more 
emphasis  on  the  need  to  fight  against  IUU  fishing,  but  without  putting  in  place  the 
instruments  required  to  this  end.  There  is  real  risk  that  this  option  only  results  in 
declarations of good will, does not entail substantial changes and solely perpetuates the 
status quo; 

- Develop a policy based on a case by case approach, which would be adapted to the 
specific  features  of  the  various  fish  species  and  areas  subject  to  important  levels  of 
IUU fishing. Under this option, a targeted approach should be pursued, which  would 
focus  on  the  most  tangible  manifestations  of  IUU  fishing,  and  provide  for  specific 
replies depending on the particularities of stocks or areas concerned.  

The changing and clandestine nature of the IUU phenomenon renders the efficiency of 
this option uncertain. There is a high risk that this option delivers solutions which are 
no more adapted to the actual problem by the time of their adoption, and finally misses 
the real targets. It would also appear difficult to transpose this approach to IUU fishing 
in  waters  of  developing  countries.  In  addition,  this  option  would  not  be  cost-free.  Its 
implementation  would  translate  into  the  adoption  of  a  set  of  regulatory  instruments 
specific  to  each  of  the  situations  to  be  covered.  Costs  for  compliance  would  also  be 
high, and, in respect to the specific import certification schemes applying to a limited 
number of species, possibly even higher than the costs of a general certification scheme 
applying to imports of all fisheries products. 

-  Undertake  a  new  and  comprehensive  initiative,  covering  both  Community  and  non 
Community  waters,  relying  on  clear  political  principles  and  regulatory  measures, 
which  would  complete  the  current  framework  and  ensure  better  compliance  with 
applicable  rules,  as  well  as  allow  the  EC  to  adopt  unilateral  ambitious  measures  to 
fulfil its international commitments when multilateral measures are not able to achieve 
a  satisfactory  outcome.  This  option  would  require  the  adoption  of  an  ambitious 
regulatory instrument answering the three main challenges which the Community has 

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to  face  in  relation  to  IUU  fishing:  halt  the  importation  of  IUU  fishing  into  the 
Community,  address  the  problem  posed  by  fishing  vessels  flying  flags  of  non 
compliance outside Community waters and improve compliance with the rules of the 
CFP within Community waters.  

The  implementation  of  this  option  would  be  demanding  and  would  require 
considerable  changes.  It  implies  in  the  first  place  that  the  Community  adopts  a 
substantial  regulatory  instrument.  It  would  also  generate  new  tasks  and  costs,  which 
should  however  be  mitigated  through  various  mechanisms  and  accompanying 
measures.  Those  costs  appear  to  be  proportionate  to  the  need  for  the  Community  to 
substantially improve the efficiency of its policy against IUU fishing.  

3)  LEGAL ELEMENTS OF THE PROPOSAL 

305 

•  Summary of the proposed action 

The  Proposal  relies  on  the  principle  that  an  efficient  strategy  against  IUU  fishing 
should  be  comprehensive  and  cover  all  the  facets  of  the  problem,  along  the  whole 
supply chain.  

The Proposal puts in place a system designed to halt the import of fisheries products 
stemming  from  IUU  fishing  into  the  Community.  To  this  end,  a  certification  scheme 
would  be  established.  According  to  this  scheme,  the  import  of  all  fisheries  products 
(including  processed  products)  into  the  Community  would  be  made  conditional  upon 
the  certification  by  the  flag  state  concerned  that  they  have  been  legally  caught.  As  a 
complement to this measure, the monitoring of landing by third country fishing vessels 
should be improved via new conditions applying to access to Community ports and to 
transhipments. 

The Proposal also foresees a set of measures designed to deter fishing operators from 
taking  advantages  of  the  failures  by  some  states  to  ensure  that  their  fishing  fleet 
complies  with  rules  on  management  and  conservation  of  fisheries  resources.  In  cases 
where no efficient solution can be found within RFMOs, the Community would be able 
to  designate  and  implement  penalties  towards  fishing  vessels  or  states  which  act 
outside  the  international  legality  and  undermine  the  sustainability  of  fisheries 
resources. 

The Proposal establishes a system for approximating the maximum levels of sanctions 
to be applied by Member States in relation to serious infringements to the rules of the 
CFP.  It  also  lays  down  provisions  strengthening  the  responsibility  of  Member  States 
towards  their  nationals  when  they  are  taking  part  in  or  supporting  fishing  activities 
outside the Community.  

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•  Legal basis 

Article 37 of the EC Treaty 

•  Subsidiarity principle 

The proposal falls under the exclusive competence of the Community. The subsidiarity 
principle therefore does not apply. 

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•  Proportionality principle 

The proposal complies with the proportionality principle for the following reason(s). 

Combating  clandestine  and  illicit  activities  like  IUU  fishing  require  the  adoption  of 
measures  commensurate  to  the  scale  and  adapted  to  the  nature  of  the  activities 
concerned. The action contained in the Proposal will generate some costs for economic 
operators and national administrations in EU Member States and third countries. This 
is in particular the case for the establishment of a certification scheme applying to all 
imports  of  fisheries  products  into  the  Community.  Those  costs  should  however  be 
relatively limited, and largely offset by the benefits resulting from the implementation 
of the measures.  

To assist control authorities from Member States in their tasks, an alert system would 
be set up, designed to inform them about the doubts pertaining to the compliance with 
conservation  measures  of  products  from  certain  fishing  vessels,  operators  or  states. 
This will allow control authorities to define priorities in their action and alleviate the 
workload  arising  from  other  measures  contained  in  the  Proposal.  The  new  strategy 
against  IUU  fishing  proposed  by  the  Commission  also  promotes  a  strengthening  of 
cooperation  between  control  authorities;  those  efforts,  to  be  led  by  the  Community 
Fisheries  Control  Agency,  should  help  pooling  control  means  and  improving  the 
overall efficiency of control action within the Community. 

The additional control requirements imposed on administrations and operators should 
be appropriate and proportionate with respect to ensuring the correct application of the 
measures concerned. 

•  Choice of instruments 

Proposed instruments: regulation. 

Other means would not be adequate for the following reason(s). 

The Common Fisheries Policy is an area of exclusive competence of the Community. 
The rules adopted at Community level should be uniform and binding in order to avoid 
the coexistence of different standards between Member States. It is therefore justified 
that the measures are contained in a Proposal for a Regulation.  

4)  BUDGETARY IMPLICATION 

The proposal has no implication for the Community budget. 

5)  ADDITIONAL INFORMATION 

•  Simplification 

The proposal provides for simplification of legislation. 

The proposal provides a simplification and an improvement of the control, inspection 
and  enforcement  framework  derived  from  decisions  adopted  within  RFMOs.  The 
Community  is  member  of  a  dozen  of  such  organisations.  Their  provisions  can  vary 

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substantially from one organisation to the other. They are currently implemented into 
Community law via various Council Regulations. This triggers two difficulties. Firstly, 
the volume of the RFMOs provisions and the frequency of their adoption and revision 
make it often hard to ensure a timely transposition into Community law. Secondly, the 
coexistence  of  diverse  rules  stemming  from  different  legal  orders  creates  confusion 
among Community operators and Member States.  

The Commission therefore suggests that the incorporation into Community law of the 
main  provisions  pertaining  to  control,  inspection  and  enforcement  adopted  within 
RFMOs  is  ensured  via  the  proposed  Regulation.  This  Regulation  would  integrate  the 
most ambitious standards adopted within the RFMOs to which the Community is party, 
and  extend  their  scope  to  all  waters  subject  to  a  RFMO.  This  would  contribute  to 
simplify the framework applying to Community operators and public authorities via a 
harmonization  of  rules  according  to  the  highest  existing  control,  inspection  and 
enforcement standards.  

520 

•  Repeal of existing legislation 

The adoption of the proposal will lead to the repeal of existing legislation. 

•  Review/revision/sunset clause 

The proposal includes a review clause. 

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2007/0223 (CNS) 

Proposal for a 

COUNCIL REGULATION 

Establishing a Community system to prevent, deter and eliminate 
illegal, unreported and unregulated fishing 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  establishing  the  European  Community,  and  in  particular 
Article 37 thereof, 

Having regard to the proposal from the Commission1, 

Having regard to the opinion of the European Parliament2, 

Having regard to the opinion of the European Economic and Social Committee3, 

Having regard to the opinion of the Committee of the Regions4, 

Whereas: 

(1) 

(2) 

(3) 

The Community is a Contracting Party to the United Nations Convention on the Law 
of the Sea, has ratified the Agreement on the implementation of the provisions of the 
United Nations Convention on the Law of the Sea of 10 December 1982 relating to the 
Conservation and Management of Straddling Fish Stocks and Highly Migratory Fish 
Stocks  (The  1995  UN  Fish  Stocks  Agreement)  and  has  accepted  the  Agreement  to 
promote  compliance  with  international  conservation  and  management  measures  by 
fishing vessels on the high seas. Those provisions set out notably the principle that all 
states have a duty to adopt appropriate measures to ensure sustainable management of 
marine resources and to cooperate with each other to this end. 

The objective of the Common Fisheries Policy, as set out in Council Regulation (EC) 
No  2371/2002,  is  to  ensure  exploitation  of  living  aquatic  resources  that  provides 
sustainable economic, environmental and social conditions. 

Illegal, Unreported and Unregulated (IUU) fishing constitutes one of the most serious 
threats against a sustainable exploitation of living aquatic resources which jeopardizes 
the  very  foundation  of  the  Common  Fisheries  Policy  and  of  international  efforts  to 
promote better ocean governance; IUU fishing also represents a major threat to marine 
biodiversity which needs to be addressed in accordance with the objectives set out in 

1 
2 
3 
4 

OJ C , , p. . 
OJ C , , p. . 
OJ C , , p. . 
OJ C , , p. . 

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(4) 

(5) 

the Communication from the Commission - Halting the loss of biodiversity by 2010 - 
and beyond (COM(2006) 216). 

In  line  with  its  international  commitments,  and  given  the  scale  and  urgency  of  the 
problem,  the  European  Community  should  substantially  enhance  its  action  against 
IUU fishing and adopt new regulatory measures designed to cover all the facets of the 
phenomenon. 

In  accordance  with  the  International  Plan  of  Action  to  prevent,  deter  and  eliminate 
illegal,  unreported  and  unregulated  fishing,  adopted  in  2001  by  the  Food  and 
Agriculture  Organisation  (FAO),  IUU  fishing  means  fishing  activities  considered  as 
illegal, unreported or unregulated, where: 

1. 

Illegal fishing refers to activities: 

– 

– 

– 

conducted by national or foreign vessels in waters under the jurisdiction 
of a state, without the permission of that state, or in contravention of its 
laws and regulations; 

conducted  by  vessels  flying  the  flag  of  states  that  are  parties  to  a 
relevant  regional  fisheries  management  organization  but  operate  in 
contravention  of  the  conservation  and  management  measures  adopted 
by  that  organization  and  by  which  the  states  are  bound,  or  relevant 
provisions of the applicable international law; or 

in violation of national laws or international obligations, including those 
undertaken  by  cooperating  states  to  a  relevant  regional  fisheries 
management organization. 

2.  Unreported fishing refers to fishing activities: 

– 

– 

which have not been reported, or have been misreported, to the relevant 
national authority, in contravention of national laws and regulations; or  

undertaken  in  the  area  of  competence  of  a  relevant  regional  fisheries 
management  organization  which  have  not  been  reported  or  have  been 
misreported,  in  contravention  of  the  reporting  procedures  of  that 
organization. 

3.  Unregulated fishing refers to fishing activities: 

– 

– 

in  the  area  of  application  of  a  relevant  regional  fisheries  management 
organization  that  are  conducted  by  vessels  without  nationality,  or  by 
those  flying  the  flag  of  a  state  not  party  to  that  organization,  or  by  a 
fishing entity, in a manner that is not consistent with or contravenes the 
conservation and management measures of that organization; or 

in  areas  or  for  fish  stocks  in  relation  to  which  there  are  no  applicable 
conservation or management measures and where such fishing activities 
are conducted in a manner inconsistent with state responsibilities for the 
conservation of living marine resources under international law. 

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(6) 

(7) 

(8) 

(9) 

The action by the European Community should be primarily targeted at the behaviours 
coming under the definition of IUU fishing which create the most serious damages to 
the  marine  environment,  the  sustainability  of  fish  stocks  and  the  socio-economic 
situation  of  fishermen  abiding  by  the  rules  on  conservation  and  management  of 
fisheries resources. 

In line with the definition of IUU fishing, the scope of this Regulation should extend 
to  fishing  activities  carried  out  on  the  high  seas  and  in  maritime  waters  under  the 
jurisdiction  or  sovereignty  of  coastal  countries,  including  maritime  waters  under  the 
jurisdiction or sovereignty of Member States of the European Community. 

In order to properly address the internal  dimension of IUU  fishing,  it is vital  for the 
European  Community  to  adopt  the  necessary  measures  to  improve  compliance  with 
the rules of the Common Fisheries Policy; pending the revision of Council Regulation 
(EEC) No 2847/93 of 12 October 1993 establishing a control system applicable to the 
Common  Fisheries  Policy,  provisions  to  this  end  should  be  inserted  in  the  present 
Regulation. 

Community rules, and in particular Title II of Regulation (EEC) No 2847/93, provide 
for  a  comprehensive  system  designed  to  monitor  the  legality  of  catches  from 
Community  fishing  vessels;  the  current  system  applying  to  fisheries  products  caught 
by third country fishing vessels and imported into the Community does not ensure an 
equivalent  level  of  control;  this  weakness  constitutes  an  important  incentive  for 
foreign operators carrying out IUU fishing to trade their products into the Community 
and  increase  the  profitability  of  their  activities;  as  the  world's  largest  market  and 
importer of fisheries products, the Community has a specific responsibility in making 
sure  that  fisheries  products  imported  into  its  territory  do  not  originate  from  IUU 
fishing; a new regime should therefore be introduced to ensure a proper control of the 
supply chain for fisheries products imported into the Community. 

(10)  Community  rules  governing  access  to  Community  ports  of  fishing  vessels  flying  the 
flag  of  a  third  country  should  be  strengthened  with  a  view  to  ensuring  an  adequate 
control over the legality of the fisheries products landed by fishing vessels flying the 
flag  of  a  third  country;  this  should  notably  imply  that  access  to  Community  ports  is 
only authorised to fishing vessels flying the flag of a third country which are able to 
provide  accurate  information  on  the  legality  of  their  catches  and  to  have  this 
information validated by their flag state. 

(11)  Transhipments at sea escape any proper control by flag or coastal states and constitute 
a usual way for operators carrying out IUU fishing to dissimulate the illegal nature of 
their  catches;  it  is  therefore  justified  for  the  Community  to  authorise  only 
transhipments operations if they occur within designated port of Member States, or, as 
far  as  transhipments  involving  Community  fishing  vessels  are  concerned,  within 
Community waters or in ports of third countries. 

(12) 

It  is  appropriate  to  lay  down  the  conditions,  procedure  and  frequency  according  to 
which inspections at port pertaining to fishing vessels flying the flag of a third country 
shall be carried out by Member States. 

(13)  The importation into the Community of fisheries products stemming from IUU fishing 
shall  be  prohibited;  in  order  to  make  this  prohibition  effective  and  ensure  that  all 

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imported products have been harvested in compliance with international conservation 
and management measures and, where appropriate, other relevant rules applying to the 
fishing  vessel  concerned,  a  certification  scheme  applying  to  all  imports  of  fisheries 
products into the Community shall be put in place. 

(14)  The  Community  shall  take  into  account  the  capacity  constraints  of  developing 

countries in the implementation of the certification scheme. 

(15) 

(16) 

It is appropriate that, under this scheme, a certificate is required as a pre-condition for 
the  import  of  fisheries  products  into  the  Community.  Such  certificate  should  contain 
information allowing to demonstrate the legality of the products concerned; it should 
be validated by the flag state of the fishing vessels which caught the fish concerned, in 
line with its duty under international law to ensure that vessels flying its flag comply 
with international rules on conservation and management of fisheries resources. 

It is essential that this certification scheme applies to all imports of fisheries products 
into  the  Community,  including  those  products  which  have  been  transported  or 
processed  in  a  country  other  than  the  flag  state  before  reaching  the  territory  of  the 
Community.  Specific  requirements  shall  therefore  apply  with  respect  to  those 
products,  in  order  to  guarantee  that  the  products  arriving  into  the  territory  of  the 
Community  are  not  different  from  those  the  legality  of  which  has  been  validated  by 
the flag state. 

(17)  The exportation of catches from vessels flying the flag of Member State for processing 

purpose should also be subject to the certification scheme. 

(18)  Member  States  in  which  the  products  is  intended  to  be  imported  should  be  able  to 
verify  the  validity  of  the  catch  certificates  accompanying  the  consignment  and  be 
entitled  to  refuse  the  importation  where  the  conditions  laid  down  in  the  Regulation 
with respect to the catch certificate are not met. 

(19) 

In order to assist control authorities within Member States in their tasks to monitor the 
legality  of  fisheries  products  imported  into  the  Community,  as  well  as  to  warn 
Community  operators,  a  Community  alert  system  should  be  established,  designed  to 
spread  information  about  reasonable  doubts  as  to  compliance  from  certain  third 
countries with applicable conservation and management rules. 

(20) 

It is essential that the Community adopts dissuasive measures towards fishing vessels 
carrying out IUU fishing and which are not subject to appropriate action by their flag 
state in response to those activities. 

(21)  To  this  end,  the  Commission,  in  collaboration  with  Member  States,  the  Fisheries 
Control  Agency,  third  states  and  other  bodies,  should  identify  fishing  vessels 
suspected of carrying out IUU fishing, and the Commission should seek information 
from the competent flag state as to the accuracy of the findings. 

(22) 

In order to facilitate enquiries  pertaining to fishing vessels  presumed to  have carried 
out IUU fishing and prevent the continuation of the alleged infringement, those vessels 
shall be subject to specific control and inspection requirements by Member States. 

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(23)  When,  on  the  basis  of  the  information  obtained,  there  are  sufficient  grounds  to 
consider that fishing vessels have been engaged in IUU fishing and that the competent 
flag states has not taken effective action in response to those activities, it is appropriate 
for the Commission to place those vessels on a List of IUU vessels. 

(24)  With a view to remedying the absence of effective action by flag states towards fishing 
vessels  flying  their  flags  and  placed  on  the  List  of  IUU  vessels,  and  to  restrict  the 
continuation  of  fishing  activities  by  those  vessels,  Member  States  should  apply 
specific measures towards those vessels. 

(25)  To safeguard the rights of the vessels placed on the List of IUU vessels and of their 
flag states, the procedure for the listing should give the flag state and, where possible, 
the  owner  or  operators  concerned  the  possibility  of  being  heard  at  each  stage  of  the 
procedure and allow for the delisting of a vessel when the criteria for its listing are no 
longer met. 

(26) 

In  order  to  provide  for  a  single  framework  within  the  Community  and  avoid 
proliferation  of  lists  pertaining  to  fishing  vessels  involved  in  IUU  fishing,  fishing 
vessels  included  in  the  IUU  lists  adopted  by  Regional  Fisheries  Management 
Organisations should automatically be included in the corresponding list drawn up by 
the Commission. 

(27)  The  failure  by  some  states  to  discharge  their  duty  incumbent  on  them  under 
international law as Flag, Port, coastal or market state, to take appropriate measures to 
ensure compliance by their fishing vessels or nationals with rules on the conservation 
and management of fisheries resources is one of the main drivers of IUU fishing and 
should be addressed by the Community. 

(28)  To  this  end,  in  addition  to  its  action  at  international  and  regional  levels,  the 
Community should be entitled to identify those non-cooperating states, on the basis of 
transparent,  clear  and  objective  criteria  relying  on  international  standards,  and,  after 
giving  them  the  possibility  of  being  heard,  adopt  non-discriminatory,  legitimate  and 
proportionate measures with respect to those states, including trade measures. 

(29) 

It  is  essential  that  Community  nationals  are  effectively  deterred  from  engaging  in  or 
supporting IUU fishing by fishing vessels flying the flag of third countries and active 
outside the Community; without prejudice to the primacy of the responsibility of the 
flag  state,  Member  States  should  therefore  put  in  place  the  necessary  measures  and 
cooperate with other Member States and third states to identify their nationals carrying 
out  those  activities,  make  sure  that  they  are  adequately  sanctioned  and  verify  the 
activities of their nationals involved with third country vessels outside the Community. 

(30)  The persistence of a high number of serious infringements against the rules of the CFP 
within Community waters or by Community operators lies to a large extent in the non-
deterrent level of penalties prescribed within Member States' legislation in relation to 
serious infringements to those rules; this weakness is compounded by the wide variety 
in the levels of sanctions across Member States, which encourages illegal operators to 
operate in waters or the territory of the Member States where these are the lowest; to 
address  this  weakness,  building  upon  the  provisions  set  out  in  Regulations  (EC)  No 
2371/2002 and (EEC) No 2847/93 in this area, it is appropriate to approximate within 

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the  Community  the  maximum  levels  of  penalties  foreseen  in  relation  to  serious 
infringements against CFP rules as well as to foresee complementary measures. 

(31) 

In addition to behaviours constitutive of serious infringements against rules on fishing 
activities,  the  conduct  of  commercial  or  trade  business  related  to  fisheries  products 
stemming from IUU fishing or vessels identified as carrying out IUU fishing, should 
also  be  considered  as  serious  infringements  requiring  the  adoption  of  sanctions  by 
Member States. 

(32)  Serious infringements against the rules of the CFP should be punishable by effective, 
proportionate  and  dissuasive  sanctions,  which  should  also  apply  to  legal  persons 
throughout  the  Community,  because  those  infringements  are  committed,  to  a  large 
extent, in the interest of legal persons or for their benefit. 

(33)  Provisions  pertaining  to  sightings  of  vessel  at  seas  adopted  within  certain  RFMOs 

should be implemented in a harmonized manner within the Community. 

(34)  Cooperation  between  Member  States,  the  Commission,  and  with  third  states  is 
essential to ensure that IUU fishing is properly investigated and that the measures laid 
down in the present Regulation can be applied; a system for mutual assistance shall be 
established to enhance such cooperation. 

(35) 

In accordance with the principle of proportionality, it is necessary and appropriate for 
the achievement of the basic objective of eliminating IUU fishing to lay down rules on 
the measures foreseen in the present Regulation. This Regulation does not go beyond 
what  is  necessary  in  order  to  achieve  the  objectives  pursued,  in  accordance  with  the 
third paragraph of Article 5 of the Treaty. 

(36)  The measures necessary for the implementation of this Regulation should be adopted 
in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the 
procedures for the exercise of implementing powers conferred on the Commission. 

(37)  This  regulation  identifies  IUU  fishing  as  violations  of  applicable  laws,  rules  or 
regulations  of  particular  gravity,  as  they  seriously  undermine  the  attainment  of  the 
objectives of the violated rules and put the sustainability of the stocks concerned or the 
conservation  of  the  marine  environment  in  jeopardy.  Given  its  restricted  scope,  the 
implementation  of  this  Regulation  must  relay  on,  and  be  complementary  to,  that  of 
Council Regulation (EEC) No 2847/93, which establishes the basic framework for the 
control  and  monitoring  of  fishing  activities  under  the  Common  Fisheries  Policy. 
Accordingly, this Regulation reinforces the rules of Regulation (EEC) No 2847/93 in 
the area of port inspections of third country vessels (Article 28e, 28f and 28g), which 
are now abrogated and replaced by the port inspection regime established in Chapter II 
of this Regulation. In addition, this Regulation provides for a regime of sanctions in 
Chapter  X  that  applies  specifically  to  IUU  fishing  activities.  The  provisions  of 
Regulation (EEC) No 2847/93 relating to sanctions (Article 31) remain thus applicable 
to violations of the rules of the Common Fisheries Policy other than those addressed 
by this Regulation. 

(38)  The  protection  of  individuals  with  regard  to  the  processing  of  personal  data  is 
governed  by  Regulation  (EC)  No  45/2001  of  the  European  Parliament  and  of  the 
Council  of  18  December  2000  on  the  protection  of  individuals  with  regard  to  the 

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processing of personal data by the Community institutions and bodies and on the free 
movement of such data, which is fully applicable to the processing of personal data for 
the purposes of this Regulation, in particular as regards the rights of data subjects to 
access,  rectification,  blocking  and  erasure  of  data  and  notification  to  third  parties, 
which have not in consequence been further particularised in this Regulation. 

(39)  The  entry  into  force  of  new  provisions  on  matters  covered  by  Council  Regulations 
(EEC)  No  2847/93,  (EC)  No  1093/94,  (EC)  No  1447/1999,  (EC)  No  1936/2001  and 
(EC)  No  601/2004  should  result  in  the  repeal  of  some  parts  or  the  entirety  of  those 
Regulations. 

HAS ADOPTED THIS REGULATION: 

Chapter I 
General provisions 

Article 1 – Subject matter and scope 

1. 

2. 

3. 

4. 

This  Regulation  establishes  a  Community  system  to  prevent,  deter  and  eliminate 
illegal, unreported and unregulated (IUU) fishing. 

To this end, each Member State shall take appropriate measures, in accordance with 
Community  law,  to  ensure  the  effectiveness  of  the  system.  It  shall  place  sufficient 
means  at  the  disposal  of  its  competent  authorities  to  enable  them  to  perform  their 
tasks as laid down in this Regulation. 

The  system  shall  apply  to  all  IUU  fishing  activities  and  to  all  associated  activities 
carried  out  within  the  territory  or  within  the  maritime  waters  subject  to  the 
sovereignty or jurisdiction of the Member States or by Community fishing vessels or 
nationals. It shall also apply, without prejudice to the jurisdiction of the flag state or 
coastal  state  concerned,  in  relation  to  IUU  fishing  activities  carried  out  by  non 
Community vessels on the high seas or in the waters under the jurisdiction of a third 
country. 

The  Community  system  to  prevent,  deter  and  eliminate  illegal,  unreported  and 
unregulated  (IUU)  fishing  shall  be  implemented  in  conjunction  with  Council 
Regulation  (EEC)  No  2847/93  of  12  October  1993  establishing  a  control  system 
applicable to the common fisheries policy.  

For the purposes of this Regulation: 

Article 2 – Definitions 

a) 

"Fishing  vessel"  means  any  vessel  of  any  size  used  or  intended  for  use  for  the 
purposes  of  commercial  exploitation  of  fishery  resources,  including  support  ships, 
carrier vessels, fish processing vessels and vessels engaged in transhipment; 

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b) 

c) 

d) 

e) 

f) 

g) 

h) 

i) 

j) 

k) 

l) 

"Fishery products" mean any products taken from the sea which fall under Chapter 
03 and Tariff headings 1604 and 1605 of the Combined Nomenclature established by 
Council  Regulation  (EEC)  No  2658/87  of  23  July  1987  on  the  tariff  and  statistical 
nomenclature and on the Common Customs tariff ; 

"Conservation and management measures" mean measures to conserve one or more 
species of living marine resources that are adopted and applied consistently with the 
relevant rules of international or Community law; 

"Transhipment"  means  the  unloading  of  all  or  any  of  the  fish  on  board  a  fishing 
vessel to another vessel; 

"Importation"  means  the  introduction  of  fishery  products  in  their  harvested  or 
processed  form  into  the  territory  of  the  European  Community,  including  for 
transhipment purposes at ports in its territory; 

"Exportation" means any movement of fishery products harvested by vessels flagged 
to  a  Member  State,  including  from  the  territory  of  the  European  Community,  from 
third countries or from fishing grounds, to a third country; 

"Re-exportation"  means  any  movement  of  fishery  products  in  their  harvested  or 
processed  form  from  the  territory  of  the  European  Community,  which  had  been 
previously imported into the territory of the European Community; 

"Regional  fisheries  management  organisation"  means  a  subregional  or  regional 
organisation or arrangement with competence, as recognised under international law, 
to  establish  conservation  and  management  measures  for  straddling  fish  stocks  or 
highly  migratory  stocks  occurring  in  the  area  of  the  high  seas  placed  under  its 
responsibility by virtue of its establishing convention or agreement; 

"Contracting  party"  means  a  Contracting  party  to  the  international  convention  or 
agreement  establishing  a  Regional  Fisheries  Management  Organisation,  as  well  as 
States,  Entities  or  Fishing  Entities  that  cooperate  with  such  Organisation  and  have 
been granted Cooperating Non-Contracting Party status in its respect; 

"Sighting" means any observation by a Member State's vessel, aircraft or competent 
authority responsible for inspection at sea, or by the master of a Community fishing 
vessel  of  a  fishing  vessel  that  may  fall  under  one  of  more  of  criteria  referred  in 
Article 3; 

"Joint  fishing  operation"  means  any  operation  between  two  or  more  vessels  where 
catch is transferred from the fishing gear of one vessel to another; 

"legal person" means any entity having such status under the applicable national law, 
except  for  states  or  public  bodies  in  the  exercise  of  state  authority  and  for  public 
organisations.  

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Article 3 – Fishing vessels engaged in IUU fishing activities 

A fishing vessel is considered to have carried out IUU fishing activities if it is shown that it 
has,  contrary  to  the  conservation  and  management  measures  applicable  in  the  area  where  it 
has carried out those activities: 

a) 

b) 

c) 

d) 

e) 

f) 

g) 

h) 

i) 

j) 

k) 

fished without a valid licence, authorisation or permit issued by the flag state or the 
relevant coastal state, or 

seriously misrecorded or misreported catch or catch-related data, or 

fished  in  a  closed  area,  during  a  closed  season,  or  without  or  after  attainment  of  a 
quota, or 

engaged in directed fishing for a stock which is subject to a moratorium or for which 
fishing is prohibited, or 

used prohibited fishing gear, or 

falsified or concealed the markings, identity or registration of the vessel, or 

concealed, tampered with or disposed of evidence relating to an investigation, or 

obstructed the work of fisheries inspectors in the exercise of their duties in inspecting 
for  compliance  with  the  applicable  conservation  and  management  measures,  or  the 
work  of  observers  in  the  exercise  of  their  duties  of  observing  compliance  with  the 
applicable Community rules, or 

failed to comply with Vessel Monitoring Systems (VMS) requirements, or 

taken or landed undersized fish or 

transhipped or participated in joint fishing operations with, supported or re-supplied 
other  vessels  identified  as  having  engaged  in  IUU  fishing  activities  in  accordance 
with this Regulation, in particular those included in the European Community IUU 
vessels list or in the IUU list of a Regional Fisheries Management Organisation; 

or if it has:  

a) 

carried  out  fishing  activities  in  the  area  of  a  Regional  Fisheries  Management 
Organisation  in  a  manner  inconsistent  with  or  in  contravention  of  the  conservation 
and management measures of that organisation and is flagged to a state not party to 
that organisation, or  

b) 

no nationality and is therefore a stateless vessel. 

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Chapter II 
Port control of third country fishing vessels 

SECTION I - CONDITIONS FOR ACCESS TO PORT BY THIRD COUNTRY FISHING VESSELS 

1. 

2. 

3. 

4. 

1. 

2. 

3. 

4. 

1. 

Article 4 – Port state control scheme 

This Chapter lays down general rules and conditions to maintain an effective scheme 
of port state control for third country fishing vessels calling at the ports of Member 
States, with a view to prevent, deter and eliminate IUU fishing. 

Except in cases of force majeure, access to ports of Member States, the provision of 
port  services,  and  the  conduct  of  landing,  transhipment  or  on-board  processing 
operations  in  such  ports  shall  be  prohibited  for  third  country  fishing  vessels  unless 
they meet the requirements set forth in this Chapter and other relevant provisions of 
this Regulation. 

Transhipments  between  third  country  fishing  vessels  or  between  the  latter  and 
vessels flying the flag of a Member State shall be prohibited in Community waters 
and shall take place only in port, in accordance with the provisions of this Chapter.  

Vessels flying the flag of a Member State shall not be authorised to tranship at sea 
catches from third country fishing vessels outside Community waters. 

Article 5 – Designated ports 

Member States shall designate a place to be used for landings or a place close to the 
shore (designated ports) where landings or transhipment operation of fish referred to 
in paragraph 2 are permitted. 

Access  to  port  services  and  the  conduct  of  landing,  transhipment  or  on-board 
processing  operations  by  third  country  fishing  vessels  shall  be  authorised  only  in 
designated ports. 

Member  States  shall  transmit  to  the  Commission  no  later  than  15  January  of  each 
year a list of designated ports. Any subsequent changes to this list shall be notified to 
the Commission at least 15 days before the change takes effect. 

The Commission shall publish the list of designated ports and any change thereto in 
the  Official  Journal  of  the  European  Union  (C  series)  and  shall  place  it  on  its 
website. 

Article 6 – Prior notice 

Masters  of  third  country  fishing  vessel  or  their  representatives  shall  notify  the 
competent authorities of the Member State whose port or landing facilities they wish 

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to  use  at  least  72  hours  before  the  estimated  time  of  arrival  at  the  port,  of  the 
following information: 

a) 

b) 

vessel identification; 

name of the designated port of destination and the purposes of the call, landing, 
transhipment, on-board processing, access to services; 

c) 

fishing authorisation; 

d) 

trip information; 

e) 

f) 

g) 

estimated time of arrival at the port; 

catches retained on board; 

the  zone  or  zones  where  the  catch  was  made,  whether  in  the  Community 
fishing zone, in zones under the jurisdiction or sovereignty of a third country or 
on the high seas. 

The  notice  referred  to  in  paragraph  1  shall  be  accompanied  by  a  catch  certificate 
validated in accordance with Chapter III if the third country vessel carries on board 
fishery products. The provisions laid down in Article 14 on the recognition of catch 
documents or port state control forms which are part of catch documentation or port 
control  schemes  adopted  by  Regional  Fisheries  Management  Organisations  shall 
apply mutatis mutandis. 

The  Commission,  in  accordance  with  the  procedure  laid  down  in  Article  52,  may 
exempt  certain  categories  of  third  country  fishing  vessels  from  the  obligation 
stipulated in paragraph 1 for a limited and renewable period, or make provision for 
another  notification  period  taking  into  account,  inter  alia,  the  distance  between  the 
fishing grounds, landing places and ports where the vessels in question are registered 
or listed. 

This Article shall apply without prejudice to special provisions set forth in fisheries 
agreements concluded between the Community and a third country. 

Article 7 – Authorisation 

Member  States  shall  verify  the  accuracy  of  the  information  transmitted  by  third 
country fishing vessels in the prior notice under Article 6(1), and the accuracy of the 
information provided in the catch certificate referred to in Article 6(2). 

The third country fishing vessel shall be granted authorisation to access the port only 
if the information referred to in paragraph 1 is complete and has been verified on the 
basis of elements available before access to port has taken place. 

Authorisation to carry out landing, transhipment or on-board processing operations in 
port  shall  be  subject  to  verification  of  submitted  information  as  prescribed  in 
paragraph 1 and, where appropriate, to the completion of an inspection carried out in 
accordance with Section 2. 

2. 

3. 

4. 

1. 

2. 

3. 

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4. 

1. 

2. 

1. 

By  way  of  derogation  to  paragraphs  2  and  3  the  port  Member  State  may  authorise 
port access and all or part of a landing in cases where the information referred to in 
paragraph 1 is not complete or its verification is pending, but shall in such cases keep 
the fish concerned in storage under the control of the competent authorities. The fish 
shall  only  be  released  to  be  sold,  taken  over  or  transported  once  the  information 
referred to in paragraph 1 has been received or the verification process is completed. 
If this process is not completed within 14 days of the landing, the port Member State 
may confiscate and dispose of the fish in accordance with national rules. 

Article 8 – Recording of landings, transhipments, and on-board processing operations 

Member  States  shall  ensure  that  all  landing,  transhipment  and  on-board  processing 
operations by third country fishing vessels in their ports are recorded. 

Member States shall notify the Commission by computer transmission before the end 
of the first month of each calendar quarter of the quantities landed by third country 
fishing vessels in their ports during the previous quarter. 

SECTION 2 – PORT INSPECTIONS 

Article 9 – General principles 

Member States shall carry out inspections in their ports of at least 15% of landings, 
transhipments  and  on-board  processing  operations  by  third  country  fishing  vessels 
each year. 

2. 

The following fishing vessels shall be inspected in all cases: 

a) 

b) 

c) 

d) 

fishing vessels sighted in accordance with Article 47; 

fishing  vessels  reported  in  the  framework  of  a  notification  made  under  the 
Community Alert System in accordance with Chapter IV; 

fishing vessels identified by the Commission as presumed to have engaged in 
IUU fishing in accordance with Article 25 ; 

fishing  vessels  appearing  in  a  list  of  presumed  IUU  vessels  adopted  by  a 
Regional  Fisheries  Management  Organisation  notified  in  accordance  with 
Article 29. 

3. 

The  inspection  of  the  vessels  referred  to  in  paragraph  2  shall  include  the  fishing 
vessel's  documents,  logbook,  fishing  gear,  catch  onboard  and  any  other  possible 
evidence that might be of relevance in relation to its alleged IUU fishing activities. 
Information on the result of the inspections shall immediately be transmitted to the 
Commission or to a body designated by it. 

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Article 10 – Inspectors 

1. 

2. 

Member  States  shall  issue  an  identity  document  to  each  inspector.  Inspectors  shall 
carry and produce this document when inspecting a fishing vessel. 

Member States shall ensure that inspectors carry out their duties in accordance with 
the rules laid down in this section.  

Article 11 – Inspection procedure 

1. 

Member States shall ensure that their inspectors: 

a) 

in  making  their  inspections,  cause  minimum  disturbance  to  the  vessels 
activities and cause no deterioration in fish quality; 

b) 

draw up an inspection report and forward it to their authorities. 

2. 

3. 

4. 

Inspectors  shall  have  the  ability  to  examine  all  zones,  decks  and  chambers  of  the 
vessel,  catches (processed or not), gear, equipment and any documentation deemed 
necessary  to  check  compliance  with  applicable  laws,  regulations  or  international 
management  and  conservation  measures,  including  the  logbook  and  the  loading 
paper in the case of mother ships and carriers. Inspectors shall also have the ability to 
question the master or a person designated by him. 

Inspections  shall  involve  the  monitoring  of  the  entire  landing  or  transhipment 
operations  and  include  a  cross-check  between  the  quantities  by  species  recorded  in 
the prior notice of landing and the quantities by species landed or transhipped. 

Inspectors  shall  sign  their  report  in  the  presence  of  the  master,  who  shall  have  the 
right to add or cause to be added any information that he considers relevant and sign 
it. The inspector shall indicate in the logbook that an inspection has been made. 

Article 12 – Procedure in the event of infringements 

1. 

If an inspector has serious reason to believe that a fishing vessel has engaged in IUU 
fishing activity in accordance with the criteria set out in Article 3, he shall: 

a) 

b) 

note the infringement in the inspection report; 

take  all  necessary  action  to  ensure  safekeeping  of  the  evidence  pertaining  to 
such infringement; 

c) 

immediately send the inspection report to his/her authority. 

2. 

If  the  results  of  the  inspection  provide  reasonable  evidence  that  a  third  country 
fishing vessel did engage in IUU fishing activity in accordance with the criteria set 
out  in  Article  3,  the  competent  authorities  in  the  port  Member  State  shall  not 
authorise such vessels to land, tranship or process its catch on board. 

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3. 

4. 

The  inspecting  Member  State  shall  immediately  notify  its  decision  not  to  authorise 
landing,  transhipment  or  on-board  processing  operations  taken  in  accordance  with 
paragraph 2, accompanied by the original inspection report, to the Commission or to 
a  body  designated  by  it,  which  shall  immediately  transmit  it  to  the  competent 
authority of the flag state of the inspected fishing vessel with copy to the flag state or 
states  of  donor  vessels  where  the  inspected  fishing  vessel  has  engaged  in 
transhipment operations. Where appropriate, the notification shall be also copied to 
the  Executive  Secretary  of  the  Regional  Fisheries  Management  Organisation  in 
whose area of competence the catch was made. 

The  port  Member  State  shall  cooperate  with  the  flag  state  in  carrying  out  an 
investigation  into  the  suspected  breach  and,  where  appropriate,  in  applying  the 
penalties  provided  for  under  national  law.  In  addition,  where  the  suspected  breach 
has  taken  place  in  the  waters  of  a  third  country,  the  port  Member  State  shall  also 
cooperate with the coastal state concerned.  

Chapter III 
Conditions governing access of third countries fisheries products 
to the EU territory 

1. 

2. 

3. 

4. 

1. 

Article 13 – Catch certificates 

The  importation  into  the  Community  of  fishery  products  obtained  from  illegal, 
unreported or unregulated fishing shall be prohibited. 

In order to make effective the prohibition established in paragraph 1, fishery products 
shall only be imported into the Community when accompanied by a catch certificate 
validated and verified in conformity with this Regulation. 

The catch certificate referred to in paragraph 2 shall be validated by the flag state of 
the vessel or vessels which made the catches from which the fishery products have 
been  obtained.  It  shall  be  used  to  certify  that  such  catches  have  been  made  in 
accordance  with  applicable  laws,  regulations  and  international  conservation  and 
management measures. 

The  catch  certificate  shall  contain  all  the  information  specified  in  the  specimen 
shown in Annex 1, and shall be validated by a public authority of the flag state with 
the necessary powers to attest the accuracy of the information. 

Article 14 – Catch documentation schemes agreed and in force in the framework of a 
Regional Fisheries Management Organisation 

Catch  documents,  and  any  related  documents,  validated  in  conformity  with  catch 
documentation schemes adopted by a Regional Fisheries Management Organisation, 
which  are  recognised  by  the  Commission  as  complying  with  the  requirements  set 
forth  in  this  Regulation,  shall  be  accepted  as  catch  certificates  in  respect  of  the 
products  from  species  to  which  such  catch  documentation  schemes  apply  and  shall 

EN 

23 

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2. 

1. 

be  subject  to  the  verification  requirements  incumbent  upon  the  Member  State  of 
importation  in  accordance  with  Article  17  and  to  the  provisions  on  refusal  of 
importation laid down in Article 18. 

Paragraph  1  applies  without  prejudice  to  the  specific  regulations  in  force  whereby 
such catch documentation schemes are implemented into Community law. 

Article 15 – Indirect importation of fishery products 

Products  constituting  one  single  consignment,  which  are  transported  through  other 
territories than the territory of the flag state and which have undergone transhipment, 
transit or temporary warehousing in such territories, may only be imported into the 
Community when accompanied by a catch certificate or certificates validated by the 
flag  state,  and  on  condition  that  the  operator  responsible  for  the  importation 
operation provides to the authorities of the Member State of importation documented 
evidence that the products remained under the surveillance of the customs authorities 
in  the  state  of  transhipment,  transit  or  warehousing  and  did  not  undergo  operations 
other than unloading, reloading or any operation designed to preserve them in good 
and genuine condition. Verifiable evidence to this effect shall be provided by means 
of: 

a) 

b) 

c) 

a single transport document covering the passage from the territory of the flag 
state through the state of transhipment, transit or warehousing; or 

a  certificate  issued  by  the  competent  authorities  of  the  state  of  transhipment, 
transit or warehousing: 

(i) 

giving an exact description of the products; 

(ii) 

stating  the  dates  of  unloading  and  reloading  of  the  products  and,  where 
applicable, the names of the ships, or the other means of transport used; 
or 

a  re-export  certificate,  validated  in  accordance  with  a  catch  documentation 
scheme adopted by a Regional Fisheries Management Organisation, recognised 
for  the  purposes  of  this  Regulation  pursuant  to  Article  14,  provided  that  the 
state  of  transhipment,  transit  or  warehousing  has  fulfilled  its  notification 
requirements on the validation of re-export certificates. 

2. 

Products constituting one single consignment, which have been processed in another 
territory  than  the  territory  of  the  flag  state,  may  be  imported  into  the  Community 
when accompanied by the catch certificate or certificates validated by the flag state 
in  respect  of  the  catches  used  to  manufacture  the  products  contained  in  the 
consignment, on condition that the operator responsible for the importation operation 
provides to the authorities of the Member State of importation documented evidence 
that the products have been exclusively processed from the catches referred to on the 
catch certificate. Verifiable evidence to this effect shall be provided by means of: 

a) 

a certificate issued by the customs authorities of the state of processing: 

EN 

24 

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(i) 

(ii) 

giving  an  exact  description  of  the  unprocessed  and  processed  products 
and their respective quantities; 

certifying  that  the  processed  products  have  been  exclusively  processed 
from  the  unprocessed  products  referred  to  on  the  catch  certificate(s)  in 
the state of processing; or 

b) 

a  re-export  certificate,  validated  in  accordance  with  a  catch  documentation 
scheme adopted by a Regional Fisheries Management Organisation, recognised 
for  the  purposes  of  this  Regulation  pursuant  to  Article  14,  provided  that  the 
state of processing has fulfilled its notification requirements on the validation 
of re-export certificates. 

Article 16 – Exportation of catches made by vessels flying the flag of a Member State  

The exportation of catches made by vessels flying the flag of a Member State shall 
be subject to the validation of a catch certificate by the competent authorities of the 
flag Member State, as established in Article 13(4). 

Flag  Member  States  shall  notify  to  the  Commission  their  competent  authorities  for 
the validation of the catch certificates referred to in paragraph 1. 

Article 17 – Verification of catch certificates 

The validated catch certificate shall be submitted to the competent authorities of the 
Member  State  in  which  the  product  is  intended  to  be  imported  at  least  72  hours 
before  the  estimated  time  of  arrival  at  the  place  of  entry  into  the  territory  of  the 
European  Community.  The  deadline  of  72  hours  may  be  reduced  in  the  case  of 
fisheries  products  imported  into  the  Community  via  other  transport  means  than 
transport or fishing vessels. Such authorities shall verify the accuracy of information 
contained in the catch certificate. 

The  competent  authorities  of  the  Member  States  may  carry  out  all  of  the  controls 
they  deem  necessary  for  the  purposes  of  paragraph  1  and,  in  any  case,  where  a 
reasonable  doubt  exists.  These  controls  may  in  particular  consist  in  examining  the 
products, verifying declaration data and the existence and authenticity of documents, 
examining  the  accounts  of economic operators and other records, inspecting means 
of transport and storage places of the products and carrying out official enquiries and 
other  similar  acts,  in  addition  to  the  inspection  of  fishing  vessels  at  port  under 
Chapter II. 

1. 

2. 

1. 

2. 

3. 

The following circumstances shall, inter alia,  provide grounds for reasonable doubt 
pursuant to paragraph 2: 

a)  where the verifying authority of the Member State has grounds to question the 
authenticity of the catch certificate itself or of the validation seal or signature 
of the relevant authority of the flag state; 

b)  where  the  verifying  authority  of  the  Member  State  is  in  possession  of 
information that questions the compliance by the fishing vessel with applicable 

EN 

25 

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laws, regulations or conservation and management measures, or the fulfilment 
of other requirements set forth in this Regulation; 

c)  where fishing vessels, fishing companies or any other economic operators have 
been  reported  in  connection  with  presumed  IUU  fishing  activities,  including 
those  vessels  which  have  been  reported  to  a  Regional  Fisheries  Management 
Organisation under the terms of an instrument adopted by such Organisation to 
establish  lists  of  vessels  presumed  to  have  carried  out  illegal,  unreported  and 
unregulated fishing activities; 

d)  where  flag  states  or  re-exporting  countries  have  been  reported  to  a  Regional 
Fisheries Management Organisation under the terms of an instrument adopted 
by such Organisation to implement trade measures vis-à-vis flag states; and 

e)  where  a notice has been published  under Chapter IV in the framework of the 

Community's Alert System. 

4. 

For the purpose of verification, the competent authorities of the Member States may 
request  the  assistance  of  the  competent  authorities  of  the  flag  state  or  of  the  state 
whose  authorities  have  validated  a  re-export  certificate  in  accordance  with  Article 
15(1)(c) or (2)(b), in which case: 

a) 

b) 

the  request  for  assistance  shall  state  the  reasons  why  they  have  reasonable 
doubt  on  the  validity  of  the  certificate,  of  the  statements  contained  therein 
and/or  the  compliance  of  the  products  with  conservation  and  management 
measures.  A  copy  of  the  catch  certificate  and  any  information  or  documents 
suggesting  that  the  information  on  the  certificate  is  inaccurate  shall  be 
forwarded  in  support  of  the  request  for  assistance.  Such  request  shall  be  sent 
without delay to the competent authorities of the flag state or the re-exporting 
state; 

the procedure for verification shall be completed within 15 days of the date of 
the verification request. In the event that the competent authorities of the flag 
state  concerned  cannot  meet  the  deadline,  the  verifying  authorities  in  the 
Member  State  may,  on  request  by  the  flag  or  the  re-exporting  state,  grant  an 
extension of the deadline to reply, which shall not exceed a further 15 days. 

The  release  of  the  products  shall  be  suspended  while  awaiting  the  results  of  the 
examination and the verification procedures referred to in paragraphs 1 to 4. 

Member  States  shall  notify  to  the  Commission  their  competent  authorities  for  the 
verification of the catch certificates referred to in paragraph 1. 

Article 18 – Refusal of importation 

The  authorities  of  the  Member  States  referred  to  in  Article  17(1)  shall  refuse  the 
importation  into  the  Community  of  fishery  products  without  having  to  request  any 
additional evidence or send a request for assistance to the flag state where: 

a) 

the  operator  has  not  been  able  to  submit  a  catch  certificate  for  the  products 
concerned; 

5. 

6. 

1. 

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26 

   EN 

 
b) 

c) 

the products intended for importation are not the same as those mentioned on 
the catch certificate; 

the  catch  certificate  is  not  validated  by  the  public  authority  of  the  flag  state 
referred to in Article 13(3); 

d) 

the catch certificate does not indicate all the required information; 

e) 

f) 

g) 

The operator is not in a position to prove that the fishery products comply with 
the conditions of Article 15(1) or (2); 

a  fishing  vessel  figuring  on  the  catch  certificate  as  vessel  of  origin  of  the 
catches is included on a list of IUU vessels referred to in Articles 26 or 29; 

the  catch  certificate  has  been  validated  by  the  authorities  of  a  flag  state 
identified as a non-cooperating state in accordance with Article 32. 

2. 

The  authorities  of  the  Member  States  referred  to  in  Article  17(1)  shall  refuse  the 
importation  of  any  fishery  products  into  the  Community,  following  a  request  for 
assistance pursuant to Article 17(4), where: 

a) 

b) 

c) 

d) 

they have received a reply according to which the exporter was not entitled to 
request the validation of a catch certificate; 

they have received a reply according to which the products do not comply with 
the  conservation  and  management  measures  or  other  conditions  under  this 
Chapter are not met; 

they have received no reply within the stipulated deadline; 

they  have  received  a  reply  which  does  not  provide  pertinent  answers  to  the 
questions raised in the request. 

3. 

4. 

5. 

When  the  importation  of  fishery  products  is  refused  pursuant  to  paragraph  1  or  2, 
Member  States  may  confiscate  and  dispose  of  those  products  in  accordance  with 
national rules.  

Any person shall have the right to appeal against decisions taken by the competent 
authorities pursuant to paragraph 1 or 2 which concern him directly and individually. 
The  right  of  appeal  shall  be  exercised  according  to  the  provisions  in  force  in  the 
Member State concerned. 

The authorities of the Member States shall notify refusals of importation to the flag 
state and, where appropriate, to the state whose authorities have validated a re-export 
certificate  pursuant  to  Article  15.  A  copy  of  the  notification  shall  be  sent  to  the 
Commission. 

EN 

27 

   EN 

 
Article 19 – Flag state notifications; audit and cooperative arrangements 

1. 

The acceptance of catch certificates validated by a given flag state for the purposes of 
this Regulation shall be subject to the condition that the Commission has received a 
notification from the flag state concerned certifying that: 

a) 

b) 

it  has  in  place  national  arrangements  for  the  implementation,  control  and 
enforcement of laws, regulations and conservation and management measures 
which must be complied with by its fishing vessels; 

that  its  public  authorities  are  empowered  to  attest  the  veracity  of  the 
information contained in catch certificates and to carry out verifications of such 
certificates  on  request  from  the  Member  States.  The  notification  shall  also 
include the necessary information to identify those authorities. 

The  Commission  shall,  where  appropriate,  establish  cooperative  administrative 
arrangements with flag states in order to facilitate the accomplishment by the latter of 
the formalities linked to the access to ports of fishing vessels, to the importation of 
fishery products into the Community and to the verification requirements established 
in this Regulation. Such arrangements shall provide a framework for the exchange of 
information and mutual assistance, and the conduct of audits by the Commission, in 
all areas falling within the scope of this Regulation. However, the establishment of a 
cooperative arrangement shall not be construed as a precondition for the application 
of this Chapter to imports originating from catches made by vessels flying the flag of 
any state. 

The  information  to  be  given  in  the  notification  referred  to  in  paragraph  1  and  the 
principles and elements of the cooperative administrative arrangements are set forth 
in Annex III to this Regulation. 

The  Commission  shall  inform  the  flag  state  of  the  receipt  of  the  notification  sent 
pursuant to paragraph 1. If all elements mentioned in paragraph 1 are not provided by 
the  flag  state  to  the  Commission,  the  Commission  shall  indicate  to  the  flag  state 
which are the elements missing and request that it provides a new notification. 

Article 20 – Re-exportation 

The re-exportation of products imported under a catch certificate in accordance with 
this chapter shall be authorised through the validation of a re-export certificate by the 
competent authorities of the Member State from which the re-exportation is to take 
place, on request by the re-exporter. 

Re-export certificates shall contain all the information required in the form attached 
in Annex II and shall be accompanied by a copy of the catch certificates which have 
been accepted for the importation of the products. 

Member  States  shall  notify  to  the  Commission  their  competent  authorities  for  the 
validation and the verification of re-export certificates. 

2. 

3. 

4. 

1. 

2. 

3. 

EN 

28 

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Article 21 – Record keeping and dissemination 

1. 

The Commission shall keep a record of states and their competent authorities notified 
in accordance with this Chapter which shall include: 

a)  Member States which have notified their competent authorities to validate and 
verify  catch  certificates  and  re-export  certificates  in  accordance  with  this 
Regulation, respectively, Article 16(2), Article 17(6) and Article 20(3);  

b) 

flag  states  for  which  notifications  have  been  received  in  accordance  with 
Article  19(1),  indicating  those  for  which  a  cooperative  administrative 
arrangement has been established in accordance with Article 19(2). 

The  Commission  shall  publish  on  its  website  and  in  the  Official  Journal  of  the 
European  Union  (C  series)  the  list  of  states  and  their  relevant  national  authorities 
referred  to  in  paragraph  1,  and  shall  regularly  update  this  information.  The 
Commission  shall  notify  the  details  of  the  flag  states  authorities  in  charge  of  the 
validation  and the verification of catch  certificates  to  the national authorities in the 
Member States responsible for the verification of catch certificates. 

The  Commission  shall  publish  on  its  website  and  in  the  Official  Journal  of  the 
European  Union  (C  series)  the  list  of  the  catch  documentation  schemes  which  are 
recognised in accordance with Article 14 and shall update it on a regular basis. 

Chapter IV 
Community Alert System 

Article 22 – Issuance of alerts 

Where information obtained in accordance with chapters II, III, V, VI, VII, VIII, X 
or XII raises reasonable doubt as to the compliance with applicable laws, regulations 
or international conservation and management measures in respect of fishing vessels 
or fishery products from certain third countries, the Commission shall publish on its 
website and in the Official Journal of the European Union (C series) an alert notice 
to  warn  operators  and  to  ensure  that  Member  States  take  appropriate  measures  in 
respect of the third countries concerned pursuant to this Chapter. 

The  Commission  shall  communicate  this  information  without  delay  to  the  Member 
States' authorities and to the flag state concerned and, where appropriate, the state of 
re-exportation. 

2. 

3. 

1. 

2. 

Article 23 – Action following issuance 

1. 

Upon receipt of the information referred to in Article 22(2), Member States shall: 

a) 

identify  the  consignments  of  fishery  products  previously  imported  which  fall 
within  the  scope  of  the  notice  to  operators  and  carry  out  a  verification 

EN 

29 

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procedure  of  the  catch  certificate  and,  where  appropriate,  the  re-export 
certificate, in accordance with the provisions laid down in Articles 17 and 20; 

carry  out  a  verification  procedure  of  the  catch  certificate,  and,  where 
appropriate,  of  the  re-export  certificate  in  accordance  with  the  provisions  of 
Articles 17 and 20, in respect of all consignments of fishery products intended 
for importation which fall within the scope of the notice; 

identify  all  previous  movements  of  the  fishing  vessels  which  fall  under  the 
scope  of  the  notice  and  carry  out  the  appropriate  verifications,  including  the 
verification of previously submitted catch certificates; 

subject  the  fishing  vessels  which  fall  within  the  scope  of  the  notice,  in 
accordance  with  the  rules  of  international  law,  to  the  necessary  enquiries, 
investigations or inspections at sea, in ports or any other landing places. 

b) 

c) 

d) 

Member States shall report to the Commission the conclusions of their verifications 
and  requests  for  verification  and  the  actions  taken  where  non  compliance  with 
applicable laws, regulations or international conservation and management measures 
has been established. 

Where  the  Commission  decides  that  in  light  of  the  conclusions  of  verifications 
carried  out  pursuant  to  paragraph  1,  the  reasonable  doubt  no  longer  exists,  it  shall, 
without delay: 

a) 

b) 

publish a notice to that effect on its website and in the Official Journal of the 
European Union (C series) annulling the earlier notice; 

advise the flag state and, where appropriate, the state of  re-exportation of the 
annulment; and 

c) 

advise Member States, through appropriate channels. 

2. 

3. 

4. 

Where  the  Commission  decides  that  in  light  of  the  conclusions  of  enquiries, 
inspections  and  verifications  carried  out  pursuant  to  paragraph  1,  reasonable  doubt 
remains, it shall, without delay: 

a) 

update the notice to operators, by a new publication on its website and in the 
Official Journal of the European Union (C series); 

b) 

advise the flag state and, where appropriate, the state of re-exportation; 

c) 

advise Member States, through appropriate channels; and 

d)  where  appropriate,  refer  the  matter  to  the  Regional  Fisheries  Management 
Organisation whose conservation and management measures might have been 
violated. 

5. 

Where  the  Commission  decides  that  in  light  of  the  conclusions  of  enquiries, 
inspections and verifications carried out pursuant to paragraph 1, there are sufficient 
grounds  to  consider  that  the  facts  established  might  constitute  a  case  of  non 

EN 

30 

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compliance  with  applicable  laws,  regulations  or  international  conservation  and 
management measures, it shall, without delay: 

a) 

b) 

publish a new notice to operators on its website and in the Official Journal of 
the European Union (C series), to inform them on these findings; 

advise the flag state and undertake the appropriate proceedings and demarches 
in accordance with Chapters V and VI;  

c)  where appropriate, advise the state of re-exportation; 

d) 

advise Member States, through appropriate channels; 

e)  where  appropriate,  refer  the  matter  to  the  Regional  Fisheries  Management 
Organisation whose conservation and management measures might have been 
violated. 

Chapter V 
Identification of vessels engaged in IUU fishing activities 

Article 24 – Alleged IUU fishing activities 

1. 

The  Commission,  or  a  body  designated  by  it,  shall  compile  and  analyse  all 
information on IUU fishing activities: 

a) 

obtained in accordance with chapters II, III, IV, VIII, X and XII, or 

b) 

as appropriate, any other relevant information, such as : 

– 

– 

– 

– 

– 

– 

the catch data; 

trade  information  obtained  from  National  Statistics  and  other  reliable 
sources; 

vessel registers and databases; 

Regional  Fisheries  Management  Organisation  catch  document  or 
statistical document programmes; 

reports  on  sightings  or  other  activities  on  presumed  IUU  vessels  and 
IUU vessel lists reported or adopted by Regional Fisheries Management 
Organisations; 

any  other  relevant  information  obtained  inter  alia  in  the  ports  and  on 
the fishing grounds.  

2. 

Member  States  shall  at  any  time  submit  to  the  Commission  any  additional 
information  which  might  be  relevant  for  the  establishment  of  the  European 
Community  IUU  Vessels  List.  The  Commission,  or  a  body  designated  by  it,  shall 

EN 

31 

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3. 

1. 

2. 

3. 

1. 

2. 

circulate  the  information,  together  with  all  the  evidence  provided,  to  the  Member 
States and to the flag states concerned. 

The  Commission,  or  a  body  designated  by  it,  shall  keep  a  file  in  respect  of  each 
vessel reported as allegedly involved in IUU fishing activities which shall be updated 
as new information is obtained. 

Article 25 – Presumed IUU fishing activities 

The Commission shall identify the vessels for which sufficient information has been 
obtained in accordance with Article 24 to presume that such vessels may be engaged 
in IUU fishing activities, warranting an official enquiry with the flag state concerned.  

Flag states whose vessels are identified pursuant to paragraph 1 shall be notified by 
the Commission with an official request for an enquiry into the alleged IUU activities 
of their flagged vessels concerned. The notification shall: 

a) 

b) 

c) 

issue an official request to the flag state that it takes all the necessary measures 
to investigate the alleged IUU fishing activities and timely share the results of 
this investigation with the Commission; 

issue an official request to the flag state to take immediate enforcement action 
should the allegation formulated against the fishing vessel concerned be proven 
founded, and to inform the Commission of the measures taken; 

notify  the  owner  or,  where  appropriate,  the  operator  of  the  vessels  of  the 
consequences  which  would  result  should  the  vessel  be  included  in  the 
European Community IUU Vessels List, as laid down in Article 36. Flag states 
shall  also  be  requested  to  provide  information  to  the  Commission  as  to  the 
vessel's  owners  or,  where  appropriate,  operators  so  as  to  ensure  that  such 
persons can be heard if need be, in accordance with Article 26(3). 

The Commission shall circulate the information on vessels presumed to be engaged 
in  IUU  activities  to  all  Member  States  in  order  to  facilitate  the  implementation  of 
systematic port controls on these vessels in accordance with Article 9(2)(c). 

Article 26 – Establishment of the European Community IUU vessel list 

The Commission shall establish the European Community IUU vessel list. This List 
shall  include  the  vessels  in  relation  to  which,  further  to  the  steps  taken  pursuant 
Articles  24  and  25,  the  information  obtained  in  accordance  with  this  Regulation 
establishes that they are engaged in IUU fishing activities and whose flag states have 
taken no effective action in response to those activities.  

The Commission shall request flag states with vessels on the European Community 
IUU vessels list to: 

a) 

notify  the  owner  of  the  vessels  of  its  inclusion  on  the  European  Community 
IUU  vessels  list,  of  the  reasons  justifying  this  inclusion  and  of  the 

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consequences  which  result  from  being  included  in  the  list,  as  laid  down  in 
Article 36 and 

b) 

take  all  the  necessary  measures  to  eliminate  these  IUU  fishing  activities, 
including,  if  necessary,  the  withdrawal  of  the  registration  or  the  fishing 
licences of these vessels, and to inform the Commission of the measures taken. 

Before  placing  any  vessel  on  the  European  Community  IUU  vessel  list,  the 
Commission  shall  provide  the  owner,  and,  where  appropriate,  the  operators  of  the 
vessel  concerned  with  all  elements  supporting  the  suspicion  that  the  vessel  has 
carried  out  IUU  fishing,  and  give  the  owner,  and,  where  appropriate,  the  operators 
the possibility of being heard.  

When a decision is taken to place a vessel on the European Community IUU vessel 
list,  the  Commission  shall  notify  that  decision,  and  the  reasons  for  it,  to  the  owner 
and, where appropriate, the operator of the vessel. 

The  obligations  imposed  on  the  Commission  by  paragraphs  3  and  4  apply  without 
prejudice  to  the  primary  responsibility  of  the  flag  state  over  the  vessel,  and  only 
insofar  as  the  relevant  information  on  the  identification  of  the  vessel  owner  and 
operators is at the disposal of the Commission. 

3. 

4. 

5. 

Article 27 – Removal of vessels from the European Community IUU vessels list 

1. 

The  Commission  shall  remove  a  vessel  from  the  European  Community  IUU  vessel 
list if the vessel's flag state demonstrates that: 

a) 

b) 

the vessel did not engage in any of the IUU fishing activities for which it was 
placed on the list, or 

effective  action  has  been  taken  in  response  to  the  IUU  fishing  activities  in 
question,  including,  inter  alia,  prosecution,  and  imposition  of  sanctions  of 
adequate severity. 

2. 

The  owner  or,  where  appropriate,  the  operator  of  a  vessel  placed  on  the  European 
Community IUU vessels list may submit a request to the Commission to review the 
status  of  such  vessel  in  case  of  inaction  by  the  flag  state  under  paragraph  1.  The 
Commission  shall  only  consider  removing  the  vessel  from  the  list  if  the  following 
conditions are fulfilled: 

a) 

b) 

c) 

at least two years have elapsed since the vessel's listing during which no further 
reports  of  alleged  IUU  fishing  activities  by  the  vessel  have  been  received  by 
the Commission in accordance with Article 24; 

the  owner  submits  information  relating  to  the  current  operation  of  the  vessel 
that demonstrates that it is operating in full conformity with laws, rules and/or 
conservation measures that apply to any fisheries in which it is participating; 

the Commission is satisfied that the  vessel concerned, its owner  or operators, 
maintain  no  links,  whether  direct  or  indirect,  with  any  other  vessels  or 
operators presumed or confirmed to be engaged in IUU fishing activities. 

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Article 28 – Content, publicity and maintenance of the European Community IUU vessels list 

1. 

The  European  Community  IUU  vessels  list  shall  contain  the  following  details  for 
each vessel: 

a) 

name and previous names, if any; 

b) 

flag and previous flags, if any; 

c) 

owner and previous owners, including beneficial owners, if any; 

d) 

operator and previous operators, if any; 

e) 

f) 

g) 

h) 

i) 

call sign and previous call signs, if any; 

Lloyds/IMO number (where available); 

photographs, where available; 

date of first inclusion on the IUU Vessel List; 

summary of activities which justify inclusion of the vessel on the List, together 
with  references  to  all  relevant  documents  informing  of  and  evidencing  those 
activities. 

2. 

3. 

1. 

2. 

3. 

The  Commission  shall  take  any  measure  necessary  to  ensure  publicity  of  the 
European Community IUU vessels list, including by placing it on the DG Fisheries 
website.  

The list shall be regularly updated and provide for a system to automatically notify 
updates  to  Member  States,  Regional  Fisheries  Management  Organisations  and  any 
member  of  the  civil  society  that  should  so  request.  Furthermore,  the  Commission 
shall transmit the list to the Food and Agriculture Organisation of the United Nations 
and to Regional Fisheries Management Organisations for the purposes of enhancing 
co-operation  between  the  European  Community  and  these  organisations  aimed  at 
preventing, deterring and eliminating IUU fishing. 

Article 29 – IUU vessel lists adopted by Regional Fisheries Management Organisations 

In addition to the vessels referred to in Article 26, vessels included in the IUU vessel 
lists  adopted  by  Regional  Fisheries  Management  Organisations  shall  automatically 
be included in the European Community IUU Vessel List. Removal of such vessels 
from the European Community IUU vessels list shall be governed by the decisions 
taken in their respect by the relevant Regional Fisheries Management Organisation. 

The Commission shall each year, on receiving from Regional Fisheries Management 
Organisation the lists of vessels presumed and confirmed as involved in IUU fishing 
activities, notify them to the Member States. 

The  Commission  shall  promptly  notify  to  the  Member  States  any  addition  to,  any 
deletion  from  and/or  any  modification  of  the  lists  referred  to  in  paragraph  2  at  any 

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time such changes occur. Article 36 shall apply in respect of the vessels appearing on 
the  RFMO  IUU  lists  so  modified  as  of  the  time  of  their  notification  to  Member 
States. 

Chapter VI 
Non-cooperating third states 

1. 

2. 

3. 

4. 

Article 30 – Identification of non-cooperating third states 

The  Commission,  in  accordance  with  the  procedure  established  in  Article  52,  shall 
identify  the  third  states  that  it  considers  as  non-cooperating  states  in  fighting  IUU 
fishing activities.  

This identification shall be based on the review of all information obtained pursuant 
to  chapters  II,  III,  IV,  V,  VIII,  X  and  XII,  or,  as  appropriate,  any  other  relevant 
information,  such  as  the  catch  data,  trade  information  obtained  from  National 
Statistics  and  other  reliable  sources,  vessel  registers  and  databases,  Regional 
Fisheries  Management  Organisation  catch  documents  or  statistical  document 
program  and  lists  of  IUU  vessels  adopted  by  Regional  Fisheries  Management 
Organisations  as  well  as  any  other  information  obtained  in  the  ports  and  on  the 
fishing grounds.  

A state may be identified as a non-cooperating state if it fails to discharge the duties 
incumbent upon it  under international law as flag, port, coastal  or market states, to 
take action to prevent, deter and eliminate IUU fishing activities. 

For  the  purposes  of  paragraph  3,  the  Commission  shall  primarily  rely  on  an 
examination of measures taken by the state concerned in respect: 

a) 

b) 

of  recurrent  IUU  fishing  activities  suitably  documented  as  carried  out  or 
supported by vessels flying its flag or by its nationals, or by vessels operating 
in its waters or using its ports, or 

of  access  of  fisheries  products  stemming  from  IUU  fishing  activities  to  its 
market.  

5. 

To this end, the Commission shall take into account: 

a)  whether  the  state  concerned  effectively  cooperates  with  the  Community,  by 
providing  a  response  to  requests  made  by  the  Commission  to  investigate, 
provide feedback or follow-up to IUU fishing and related activities; 

b)  whether  the  state  concerned  has  taken  effective  enforcement  measures  in 
respect of the operators responsible for IUU fishing activities, and in particular 
whether sanctions of sufficient severity to deprive the offenders of the benefits 
accruing from these activities have been applied; 

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c) 

the  history,  nature,  circumstances,  extent  and  gravity  of  the  manifestations  of 
IUU fishing activities considered; 

d) 

for developing countries, the existing capacity of their competent authorities. 

6. 

The following elements shall also be considered: 

a) 

b) 

c) 

the ratification of or accession of the states concerned to international fisheries 
instruments, and in particular the United Nations Convention on the Law of the 
Sea  of  10  December  1982,  the  United  Nations  1995  Agreement  for  the 
Implementation  of  the  Provisions  of  the  United  Nations  Convention  on  the 
Law  of  the  Sea  of  10  December  1982  relating  to  the  Conservation  and 
Management of Straddling Fish Stocks and Highly Migratory Fish Stocks and 
the  FAO  1993  Agreement 
international 
conservation and management measures by fishing vessels on the high seas; 

to  promote  compliance  with 

the status of the state concerned as party or cooperating non-party to Regional 
Fisheries  Management  Organisations,  or 
the 
to  apply 
conservation and management measures established by such organisations; 

its  agreement 

any  acts  or  omissions  by  the  state  concerned  that  may  have  diminished  the 
effectiveness of applicable laws, regulations or international conservation and 
management measures. 

Where  appropriate,  specific  constraints  of  developing  countries,  in  particular  in 
respect  to  monitoring,  control  and  surveillance  of  fishing  activities,  shall  be  duly 
taken into consideration in the implementation of this Article. 

Article 31 – Demarches in respect of states identified as non-cooperating third states 

The Commission shall, without delay, notify states which may be identified as non-
cooperating states in accordance with the criteria laid down in Article 30, including 
in this notification: 

a) 

b) 

the  reason  or  reasons  for  the  identification  with  all  available  supporting 
evidence; 

the  opportunity  to  respond  to  the  Commission  in  writing  with  regard  to  the 
identification  decision  and  other  relevant  information,  for  example,  evidence 
refuting  the  identification  or,  where  appropriate,  a  plan  of  action  for 
improvement and the steps taken to rectify the situation; 

c) 

the consequences of its identification as non-cooperating state, as provided in 
Article 37.  

7. 

1. 

2. 

The  Commission  shall  also  include  in  the  notification  referred  to  in  paragraph  1  a 
request that the state concerned take any necessary measures for the cessation of the 
IUU  fishing  activities  in  question  and  the  prevention  of  any  future  such  activities, 
and rectify any act or omission referred to in Article 30(6)(c).  

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3. 

1. 

2. 

3. 

1. 

2. 

The  Commission  shall,  by  more  than  one  means  of  communication,  transmit  its 
notification and request to the state concerned. The Commission shall seek to obtain 
confirmation from such state that it has received the notification. 

Article 32 – Establishment of a list of non-cooperating states 

In  light  of  the  results  of  the  demarches  prescribed  in  Article  31,  the  Commission 
shall adopt, in accordance with the procedure established in Article 52, a list of non-
cooperating states. 

The Commission shall without delay notify to the state concerned its identification as 
non-cooperating  state  and  the  measures  applied  in  accordance  with  Article  37  and 
request  it  to  rectify  the  current  situation  and  to  advice  on  the  measures  taken  to 
ensure compliance with conservation and management measures by its vessels. 

The Commission shall also notify without delay Member States of its decision and 
request  them  to  ensure  the  immediate  implementation  of  the  measures  decided  in 
Article  37.  Member  States  shall  notify  the  Commission  of  any  measures  they  have 
taken in response to this request. 

Article 33 – Removal from the list of non-cooperating states 

The  Commission,  in  accordance  with  the  procedure  established  in  Article  52,  shall 
remove  a  state  from  the  list  of  non-cooperating  states  if  the  state  concerned 
demonstrates that the situation that warranted its listing has been rectified. A removal 
decision  shall  also  take  into  consideration  whether  the  identified  states  concerned 
have  taken  concrete  measures  capable  of  achieving  a  lasting  improvement  of  the 
situation. 

Following  a  decision  taken  pursuant  to  paragraph  1,  the  Commission  shall  notify 
without delay Member States of the lifting of the measures referred to in Article 37 
in respect of the state concerned.  

Article 34 – Publicity of the list of non-cooperating states 

The  Commission  shall  take  any  measure  necessary  to  ensure  publicity  of  the  list  of  non-
cooperating  states,  in  a  manner  consistent  with  any  applicable  confidentiality  requirements, 
including placing it on the DG Fisheries website. The list shall be regularly updated and the 
Commission  shall  provide  for  a  system  to  automatically  notify  updates  to  Member  States, 
Regional  Fisheries  Management  Organisations  and  any  member  of  the  civil  society  that 
should so request. Furthermore, the Commission shall transmit list of non-cooperating states 
to  the  Food  and  Agriculture  Organisation  of  the  United  Nations  and  to  Regional  Fisheries 
Management Organisations for the purposes of enhancing co-operation between the European 
Community  and  these  organisations  aimed  at  preventing,  deterring  and  eliminating  IUU 
fishing. 

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Article 35 – Emergency measures 

1. 

If there is evidence that the measures adopted by a state undermine the conservation 
and  management  effort  led  by  a  Regional  Fisheries  Organisation,  the  Commission 
shall  be  entitled  to  adopt  emergency  measures  which  shall  last  not  more  than  six 
months.  The  Commission  may  take  a  new  decision  to  extend  the  emergency 
measures for no more than six months. 

2. 

The emergency measures may include, inter alia, that: 

a) 

b) 

c) 

d) 

e) 

vessels flying the flag of the state concerned shall not be granted access to the 
ports of Member States, except in case of force majeure; 

vessels flying the flag of a Member State shall not be authorised to engage in 
joint fishing operations with vessels flying the flag of the state concerned; 

vessels  flying  the  flag  of  a  Member  State  shall  not  be  authorised  to  fish  in 
waters under the jurisdiction of the state concerned; 

provision of live fish for fish farming in the waters under the jurisdiction of the 
state concerned shall not be authorised; 

live  fish  caught  by  vessels  flying  the  flag  of  the  state  concerned  shall  not  be 
accepted for the purposes of fish farming in the waters under the jurisdiction of 
a Member State. 

3. 

The emergency measures shall have immediate effect. They shall be notified to the 
Member States and to the state concerned and published in the Official Journal of the 
European Union. 

Chapter VII 
Measures in respect of vessels and states involved in IUU activities 

Article 36 – Action in respect of vessels included in the European Community IUU vessels list 

The following measures shall apply to the vessels referred to in Article 26: 

a) 

b) 

c) 

d) 

flag  Member  States  shall  not  submit  to  the  Commission  any  requests  for  fishing 
authorisations in respect of IUU vessels; 

current fishing authorisations or special fishing permits issued by flag Member States 
in respect of IUU vessels shall be withdrawn; 

IUU  vessels  flying  the  flag  of  a  third  country  shall  not  be  authorised  to  fish  in 
Community waters and shall be prohibited to be chartered; 

fishing vessels flying the flag of a Member State shall not in any way assist, engage 
in  fish  processing  operations  or  participate  in  any  transhipment  or  joint  fishing 
operations with vessels on the IUU vessels list; 

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38 

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e) 

f) 

g) 

h) 

i) 

j) 

IUU vessels flying the flag of a Member State shall only be authorised access to their 
home ports and to no other Community port, except in case of force majeure. IUU 
vessels flying the flag of a third country shall not be authorised to enter into a port of 
a Member State, except in case of force majeure. Alternatively, a Member State may 
authorise the entry into its ports of an IUU vessel on the condition that the catches on 
board  and,  where  appropriate,  fishing  gear  prohibited  pursuant  to  conservation  and 
management  measures  adopted  by  Regional  Fisheries  Management  Organisations, 
are confiscated. Member States shall also confiscate catches and, where appropriate, 
fishing gear prohibited pursuant to conservation and management measures adopted 
by Regional Fisheries Management Organisations, on board IUU vessels which have 
been authorised to enter into its ports for reason of force majeure or distress; 

IUU  vessels  flying  the  flag  of  a  third  country  shall  not  be  supplied  in  ports  with 
provisions, fuel or other services, except in case of force majeure; 

IUU vessels flying the flag of a third country shall not be authorised to change the 
crew, except as necessary in case of force majeure; 

Member States shall refuse the granting of their flag to IUU vessels; 

the  importation  of  fishery  products  caught  by  such  vessels  shall  be  prohibited,  and 
accordingly catch certificates accompanying such products shall not be accepted or 
validated; 

the  exportation  and  re-exportation  of  fishery  products  from  IUU  vessels  for 
processing shall be prohibited. 

Article 37 – Action in respect of non-cooperating states 

The following measures shall apply to the states referred to in Article 32: 

a) 

b) 

c) 

d) 

the importation into the Community of fishery products caught by vessels flying the 
flag  of  such  states  shall  be  prohibited,  and  accordingly  catch  certificates 
accompanying such products shall not be accepted; in case where the identification 
of  a  non-cooperating  state  pursuant  to  Article  30  is  justified  by  the  lack  of 
appropriate  measures  adopted  by  this  state  in  relation  to  IUU  fishing  activities 
affecting a given stock or species, the prohibition of importation may only apply in 
respect of this stock or species; 

the  purchase  by  Community  operators  of  a  fishing  vessel  flying  the  flag  of  such 
states shall be prohibited; 

the  reflagging  of  a  fishing  vessel  flying  the  flag  of  a  Member  State  to  such  states 
shall be prohibited; 

Member States shall not authorise the conclusion of chartering agreements with such 
states for fishing vessels flying their flag; 

e) 

the exportation of Community fishing vessels to such states shall be prohibited; 

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f) 

g) 

h) 

i) 

j) 

1. 

2. 

3. 

private  trade  arrangements  between  nationals of  a  Member State and such  states in 
order  for  a  fishing  vessel  flying  the  flag  of  that  Member  State  to  use  the  fishing 
possibilities of such states shall be prohibited; 

joint  fishing  operations  involving  vessels  flying  the  flag  of  a  Member  State  with  a 
vessel flying the flag of such states shall be prohibited; 

Member  States  shall  inform  importers,  transhippers,  buyers,  equipment  suppliers, 
bankers,  and  operators  carrying  out  other  services,  of  the  risks  associated  with 
conducting  business  operations  linked  to  fishing  activities  with  nationals  of  any  of 
such states; 

the  Commission  shall  propose  the  denunciation  of  any  standing  bilateral  fisheries 
agreement or fisheries partnership agreements with such states; 

the  Commission  shall  not  enter  into  negotiations  to  conclude  a  bilateral  fisheries 
agreement or fisheries partnership agreements with such states. 

Chapter VIII 
Nationals 

Article 38 – Nationals who engage in or support IUU fishing 

Member States shall cooperate among themselves and with third countries, and shall 
take  all  necessary  measures  in  accordance  with  national  and  Community  law,  in 
order to: 

a) 

b) 

ensure  that  nationals  subject  to  their  jurisdiction  do  not  support  or  engage  in 
IUU fishing, including engagement on board vessels referred to in Article 26; 

identify those nationals  who are the operators or beneficial owners of vessels 
involved in IUU fishing activities. 

Without prejudice to the primary responsibility of the flag state, Member States shall 
take  appropriate  measures,  subject  to  and  in  accordance  with  their  applicable  laws 
and regulations: 

a) 

b) 

to verify if any natural or legal persons subject to their jurisdiction are engaged 
in IUU fishing activities; 

to  take  appropriate  action  in  response  to  any  verified  activities  referred  to  in 
subparagraph a). 

In  each  Member  State,  a  single  authority  shall  be  responsible  for  coordinating  the 
collection and verification of information on activities of nationals referred to in this 
Article and for reporting to and cooperating with the Commission. 

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1. 

2. 

3. 

4. 

5. 

Article 39 – Prevention and sanction 

Nationals  of  a  Member  State  shall  notify  to  their  competent  authorities  any 
information  pertaining  to  legal,  beneficial  or  financial  interests  in,  or  control  of, 
fishing vessels flagged to a third country. Member States shall ensure that the failure 
to provide such notification is adequately sanctioned under their domestic law.  

Nationals of a Member State shall not sell or export any vessel to operators involved 
in the operation, management or ownership of vessels referred to in Article 26. 

Importers,  transhippers,  buyers,  consumers,  equipment  suppliers,  bankers,  insurers, 
and  other  service  providers  shall  not  conduct  business  with  vessels  referred  to  in 
Article 26 or trade in fish or fish products derived from IUU fishing. 

Without  prejudice  to  other  provisions  laid  down  in  Community  law  pertaining  to 
public  funds,  Member  States  shall  not  grant  any  public  aid  under  national  aid 
regimes  or  under  Community  funds  to  operators  involved  in  the  operation, 
management or ownership of fishing vessels referred to in Article 26. 

Member States shall obtain information on the existence of any arrangement between 
their  nationals  and  a  third  country  allowing  the  reflagging  of  fishing  vessels  flying 
their  flag  to  such  third  country.  They  shall  inform  the  Commission  thereof  by 
submitting of a list of the vessels concerned.  

Chapter IX 
Immediate enforcement measures, sanctions and accompanying 
sanctions 

This Chapter shall apply in relation to: 

Article 40 – Scope 

a) 

b) 

serious  infringements  committed  within  the  territory  or  within  the  maritime  waters 
subject to the sovereignty or jurisdiction of the Member States, and 

serious  infringements  committed  by  Community  fishing  vessels  or  Community 
nationals. 

Article 41 – Serious infringements 

For the purpose of this Regulation, serious infringement means: 

a) 

b) 

EN 

the  activities  considered  to  constitute  IUU  fishing  activities  in  accordance  with  the 
criteria set out in Article 3; 

the intentional conduct of business with vessels that have engaged in IUU fishing as 
referred to in Article 26;  

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c) 

d) 

1. 

2. 

1. 

2. 

3. 

the intentional trade in fishery products derived from IUU fishing; 

the  importation  of  fishery  products  into  the  Community  in  contravention  of  this 
Regulation. 

Article 42 – Immediate enforcement measures 

Where  a  natural  or  legal  person  is  suspected  of  having  committed  or  is  found  in 
flagrante delicto while committing a serious infringement referred to in Article 41, 
Member States shall start a full investigation of the infringement and, in conformity 
with  their  national  law  and  depending  on  the  gravity  of  the  infringement,  take 
immediate enforcement measures such as in particular: 

a) 

the immediate cessation of fishing activities; 

b) 

the rerouting to port of the vessel; 

c) 

the rerouting of the transport vehicle to another location for inspection; 

d) 

the ordering of a bond; 

e) 

f) 

the seizure of illegal fishing gear, catches or fisheries products; 

the temporary immobilisation of the vessel or transport vehicle concerned; 

g) 

the suspension of the authorisation to fish. 

The enforcement measures shall be of such nature as to prevent the continuation of 
the infringement and to allow the competent authorities to complete the investigation 
of the serious infringement concerned. 

Article 43 – Sanctions for serious infringements 

Member States shall ensure that a natural person having committed or a legal person 
found liable for a serious infringement is punishable by effective, proportionate and 
dissuasive  sanctions,  which  shall  include  fines  of  a  maximum  of  at  least  EUR 
300 000 for natural persons and of at least EUR 500 000 for legal persons. 

Member States may apply a system whereby the fine is proportionate to the prejudice 
caused to the fishery resources or the marine environment concerned, to the financial 
advantage  achieved  or  envisaged  by  the  commission  of  an  offence,  or  to  any  other 
value  indicating  the  financial  situation  of  the  natural  or  legal  person,  provided  that 
such  system  allows  for  maximum  fines,  which  are  at  least  equivalent  to  EUR 
300 000 for natural persons and of at least EUR 500 000 for legal persons.  

Member States in which the Euro has not been adopted shall apply the exchange rate 
between  the  Euro  and  their  currency  as  published  in  the  Official  Journal  of  the 
European Union on […]. 

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Article 44 – Overall level of sanctions and accompanying sanctions 

The overall level of sanctions and accompanying sanctions shall be calculated in such way as 
to make sure that they effectively deprive those responsible of the economic benefits derived 
from  their  serious  infringements.  For  this  purpose,  account  must  be  also  taken  of  measures 
taken pursuant to Article 42. 

Article 45 – Accompanying sanctions 

The  sanctions  provided  for  in  this  chapter  may  be  accompanied  by  other  sanctions  or 
measures, in particular: 

a) 

b) 

c) 

d) 

e) 

f) 

g) 

1. 

2. 

3. 

the sequestration of the vessel involved in the infringement; 

temporary immobilisation of the vessel; 

the confiscation of prohibited gears, catches, products; 

the suspension or withdrawal of authorisation to fish; 

the reduction or withdrawal of fishing rights; 

the temporary or permanent exclusion from the right to obtain new fishing rights; 

temporary or permanent ban on access to public assistance or subsidies. 

Article 46 – Liability of legal persons 

Member  States  shall  ensure  that  legal  persons  can  be  held  liable  for  serious 
infringements  referred  to  in  Article  41  where  such  infringements  have  been 
committed for their benefit by any person, acting either individually or as part of an 
organ of the legal person, and having a determining position within the legal person, 
based on: 

a) 

a power of representation of the legal person, or 

b) 

an authority to take decisions on behalf of the legal person, or 

c) 

an authority to exercise control within the legal person. 

Member States shall also ensure that a legal person can be held liable where the lack 
of supervision or control, by a person referred to in paragraph 1, has made possible 
the  commission  of  an  offence  referred  to  in  Article  41  for  the  benefit  of  that  legal 
person by a person under its authority. 

Liability of a legal person shall not exclude proceedings against natural persons who 
are perpetrators, instigators or accessories in the infringements concerned. 

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Chapter X 
Implementation of provisions adopted within certain Regional 
Fisheries Management Organisations pertaining to vessel 
sightings 

1. 

2. 

3. 

4. 

Article 47 – Sighting at sea 

The provisions of this Chapter shall apply to fishing activities subject to the rules on 
sightings  at  sea  adopted  within  ICCAT,  CCAMLR  and  IOTC.  The  scope  of  this 
Chapter shall be reviewed by 2012. 

In the event that a Member State's vessel, aircraft or competent authority responsible 
for  inspection  at  sea  sights  a  fishing  vessel,  engaged  in  activities  that  may  be 
considered as IUU fishing activities, it shall forthwith issue a report of such sighting. 
These reports and the results of investigations carried out on these fishing vessels by 
Member  States  shall  be  considered  evidence  for  use  in  the  implementation  of  the 
different identification and enforcement mechanisms provided in this Regulation.  

In  the  event  that  the  master  of  a  Community  fishing  vessel  sights  a  fishing  vessel 
engaged in activities referred to in paragraph 2, the master shall document as much 
information as possible on such sighting, including: 

a) 

the name and description of the fishing vessel; 

b) 

the fishing vessel’s call sign; 

c) 

the  registration  number  and,  if  appropriate,  the  Lloyds  IMO  number  of  the 
fishing vessel; 

d) 

the flag state of the fishing vessel; 

e) 

f) 

g) 

h) 

the position (latitude, longitude) at the time when first identified; 

the date/time UTC when first identified; 

a photograph or photographs of the fishing vessel to support the sighting; 

any other relevant information regarding the observed activities of the fishing 
vessel concerned. 

Sighting  reports  shall  be  sent  without  delay  to  the  competent  authority  of  the  flag 
Member  State  of  the  sighting  vessel,  which  shall  immediately  transmit  them  to  the 
Commission or to the body designated by it. The Commission or the body designated 
by it shall then immediately inform the flag state of the fishing vessel sighted. The 
Commission or a body designated by it shall thereupon transmit the sighting report to 
all the Member States and, as appropriate, to the Executive Secretary of the relevant 
Regional Fisheries Management Organisations for further action in accordance with 
the measures adopted by those organisations. 

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5. 

6. 

1. 

2. 

1. 

2. 

3. 

4. 

5. 

A Member State which receives a sighting report reporting the activities of a fishing 
vessel  flying  its  flag  from  the  competent  authority  of  a  contracting  party  of  a 
Regional Fisheries Management Organisation shall immediately notify the report and 
all  relevant  information  to  the  Commission  or  to  the  body  designated  by  it,  which 
shall thereupon forward this information to the Executive Secretary of the Regional 
Fisheries Management Organisation concerned for further action in accordance with 
the measures adopted by this organisation, as appropriate. 

This Article shall apply without prejudice to stricter provisions adopted by Regional 
Fisheries Management Organisations to which the Community is a Contracting Party 
or a Cooperating Non-Contracting Party. 

Article 48 – Submission of information regarding sighted fishing vessels 

Member  States  which  obtain  suitably  documented  information  regarding  sighted 
fishing vessels shall transmit without delay this information to the Commission or to 
the body designated by it. 

The  Commission  or  the  body  designated  by  it  shall  also  examine  suitably 
documented information regarding  sighted  vessels submitted  by  individual  citizens, 
civil  society  organizations,  including  environmental  organisations,  as  well  as 
representatives of fisheries or fish trade stakeholder interests. 

Article 49 – Investigation of sighted fishing vessels 

Member  States  shall  immediately  and  fully  investigate  the  activities  of  fishing 
vessels flying their flag which have been sighted in accordance with Article 47.  

Member  States  shall  notify  to  the  Commission  or  the  body  designated  by  it  the 
details of any action taken or intended in respect of the sighted vessels flying their 
flag, as soon as practicable and in any case within two months of the notification of 
the  sighting  report  pursuant  to  Article  47(4).  Reports  on  the  progress  of  the 
investigations on the activities of the sighted fishing vessel shall be provided to the 
Commission or to the body designated by it at appropriate regular intervals. A final 
report on the outcome when the investigations are completed shall be provided to the 
Commission or to the body designated by it. 

Member States other than the flag Member State concerned shall verify if the sighted 
vessels reported have carried out activities in the waters under their jurisdiction or if 
fisheries  products  stemming  from  those  vessels  have  been  landed  or  imported  into 
their  territory  and  shall  investigate  their  record  of  compliance  with  relevant 
conservation and management measures. Member States shall notify without delay to 
the  Commission,  or  to  the  body  designated  by  it,  and  to  the  flag  Member  State 
concerned the outcome of their verifications and investigations. 

The Commission or the body designated by it shall notify to all the Member States 
the information received in accordance with paragraphs 2 and 3. 

This Article shall apply without prejudice to the provisions of Chapter V of Council 
Regulation (EC) No 2371/2002 and to the provisions adopted by Regional Fisheries 

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Management  Organisations  to  which  the  Community  is  a  Contracting  Party  or  a 
Cooperating Non-Contracting Party. 

Chapter XI 
Mutual assistance between the Member States, with third states 
and with the Commission and the IUU fishing information system 

Article 50 

1. 

2. 

3. 

The  administrative  authorities  responsible  for  implementation  of  this  Regulation  in 
the Member States shall cooperate with each other, with administrative authorities of 
third  states  and  with  the  Commission  in  order  to  ensure  compliance  with  this 
regulation.  

To this end, a system for mutual assistance shall be established, which shall include 
an  automated  information  system,  the  "IUU  fishing  information  system"  to  assist 
competent  authorities  in  preventing,  investigating  and  prosecuting  IUU  fishing 
activities.  

Detailed rules for the application of this Chapter shall be adopted in accordance with 
the procedure laid down in Article 52. 

Chapter XII 
Final provisions 

Article 51 – Implementation 

The measures necessary for implementing the provisions of this Regulation shall be adopted 
in accordance with the procedure referred to in Article 52.  

Article 52 – Committee procedure 

1. 

2. 

3. 

4. 

The  Commission  shall  be  assisted  by  the  Committee  set  up  under  Article  30  of 
Regulation (EC) No 2371/2002. 

Where  reference  is  made  to  this  paragraph,  Articles  4  and  7  of  Decision 
1999/468/EC shall apply. 

The  period  laid  down  in  Article  4(3)  of  Decision  1999/468/EC  shall  be  set  at  one 
month. 

The Committee shall adopt its Rules of Procedure. 

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Article 53 – Reporting obligations 

1. 

2. 

3. 

Not  later  than  30  April  each  year,  the  Member  States  shall  transmit  to  the 
Commission  a  report  on  the  application  of  this  Regulation  during  the  previous 
calendar year. 

On the basis of the reports submitted by the Member States and its own observations, 
the  Commission  shall  draw  up  a  report  every  three  years  to  be  submitted  to  the 
Council and the European Parliament.  

An  evaluation  of  the  impact  of  this  regulation  on  IUU  fishing  activities  shall  be 
undertaken by the Commission 5 years after the entry into force of this regulation.  

Article 54 – Repeal 

Article  28b(2),  28e,  28f  and  28g  of  Council  Regulation  (EEC)  No  2847/93,  Council 
Regulation (EC) No 1093/94, Council Regulation (EC) No 1447/1999, Articles 8, 19a, 19b, 
19c, 21, 21b, 21c of Council Regulation (EC) No 1936/2001 and Articles 26a, 28, 29, 30 and 
31 of Council Regulation (EC) No 601/2004 are hereby repealed. 

References  to  the  repealed  Regulations  shall  be  construed  as  references  to  the  present 
Regulation. 

Article 55 – Entry into force 

This Regulation shall enter into force on the seventh day following that of its publication in 
the Official Journal of the European Union. 

Chapter III shall apply one year after the entry into force of this Regulation. 

This Regulation shall be binding in its entirety and directly applicable in all Member States. 

Done at Brussels,  

For the Council 
The President 

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ANNEX I – European Community Catch Certificate 

EUROPEAN COMMUNITY CATCH CERTIFICATE 

Document number 

PRODUCTION SECTION 
1. Validating Authority 
Name 

Address 

Tel. 
Fax 

2. Fishing Vessel Name 

Flag - Home Port & Registration Number 

Call Sign 

IMO/Lloyd’s 
Number 
(if issued) 

 Fishing licence No. – Valid to  

Inmarsat No. Telefax No. Telephone No. E-mail address (if issued) 

3. Description of Product 

Type of processing authorised: 

4. References of applicable conservation and 
management measures 

Species 

Prod
uct 
code 

Catch 
area(s) dates 

Estimate
d live 
weight 
(kg) 

Estimated 
weight to 
be landed 
(kg) 

Verified 
Weight 
Landed 
(kg) 

5. Master of Fishing vessel declaration: I certify that the above information is complete, true and correct and that the catch has been made 
in a manner consistent with the applicable conservation and management measures . 
Name - Signature - Seal: 
6. Declaration of Transhipment at Sea 
Master of Fishing vessel 
Name 
I certify that the above information is complete, true and correct. 
Master of Receiving Vessel 

Transhipment 
Date/Area/Position 

Estimated weight (kg) 

Signature 
and Date 

Vessel Name 

Signature 

Call Sign 

IMO/Lloyds Number 
(if issued) 

Name 
I certify that the above information is complete, true and correct. 
7. Transhipment authorisation within a Port Area: 
Name 

Authority 

Signature 

Seal (Stamp) 

I certify that the above information is complete, true and correct 
Name 

Authority 

Signature 

Address 

Tel. 

Port of Landing 

Date of Landing 

Seal (Stamp) 

8. Transport section: Country of exportation 
Port/airport/other place of departure 
Vessel name and flag 
Flight number airway bill number 
Truck nationality and registration number 
Railway bill number 
Other transport document:  
9. Flag State Authority 
Validation: I certify that the 
above information is complete, 
true and correct 

7. Exporter Declaration: I certify that the above information is complete, 
true and correct. 
Container 
number(s): list 
attached 

Signature 

Address 

Name 

Name/Title 

Signature 

Date 

Seal (Stamp) 

10. Importer Declaration: 
Name of 
Consignee/Importer 

Address 

Non-manipulation document 

References 

I certify that the above information is complete, true and correct. 
Product CN 
City 
code 

Signature 

Date 

11. Import control 
Authority 

Place 

Importation 
authorised * 

customs declaration (if issued) 

Number 

* Tick if applicable 

Importation 
suspended* 
Date 

Verification 
requested - date 
Place 

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ANNEX II – European Community Re-export Certificate 

European Community Re-export Certificate 

EUROPEAN COMMUNITY RE-EXPORT CERTIFICATE 

Certificate number 

Date 

Member State 

1. Description of re-exported product:  

Description or imported product: 

Species 

Product CN code 

Net weight exported 
(kg) 

Species  

Product CN 
code 

Net weight 
imported 
(Kg) 

Catch 
certificate 
number date 

2. 

Re-Exporter Certification I certify that the above information is complete, true and accurate and that the above 
product comes from product imported with the attached Catch Certificate. 

Name 

Address 

Signature 

Date 

3. 

Authority 

Name/Title 

Signature 

Date 

Seal (Stamp) 

4. Re-export control 

Place:  

Re-export authorised *  Re-export 

Verification requested – date * 

suspended * 

Re-export 
number and date 

declaration 

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ANNEX III – Flag State Notifications, Audit and Cooperative Arrangements 

1. 

Content of flag state notifications pursuant to Article 19 

The Commission shall request flag states to notify the names, addresses and official 
seal prints of the public authorities situated in their territory which are empowered to: 

–  register vessels under their flag; 

–  grant, suspend, withdraw fishing licences to their vessels; 

–  communicate  sample  forms  of  their  catch  certificate  in  accordance  with  the 

specimen in Annex I; 

–  attest the  veracity of information provided in the catch certificates referred to in 

Article 13 and validate such certificates; 

–  implement,  control  and  enforce 

laws,  regulations  and  conservation  and 

management measures which must be complied with by their vessels; 

–  carry out verifications of such catch certificates to assist the competent authorities 
of  the  Member  States  through  the  administrative  co-operation  referred  to  in 
Article 19(2); 

and to update such notifications.  

2. 

Catch  documentation  schemes  adopted  by  Regional  Fishery  Management 
Organisations. 

–  Where  a  catch  documentation  scheme  adopted  by  a  Regional  Fishery 
Management Organisation has been recognised as a catch certification scheme for 
the purposes of this Regulation, the flag state notifications made under such catch 
documentation schemes are deemed to be done in accordance with the provisions 
laid down in paragraph 1 of this Annex and the provisions of this Annex should 
be deemed to apply mutatis mutandis. 

3. 

Cooperative arrangements with flag states referred to in Article 19 

The  Commission  shall  be  entitled  to  enter  into  negotiations  with  the  flag  states 
referred  to  in  Article  19  in  order  to  conclude  arrangements  pertaining  to  the 
implementation of the catch certification provisions set forth in this Regulation. 

Such arrangements shall respond to the following principles: 

–  They  shall  establish  cooperative  means  to  ensure  that  fishery  products  imported 
into  the  European  Community  are  originating  from  catches  made  in  compliance 
with applicable laws, regulation or conservation and management measures. 

–  They shall facilitate the accomplishment by flag states of the formalities linked to 
the access to ports of fishing vessels, the importation of fishery products and the 
verification requirements of catch certificates established in Chapters II and III. 

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–  They shall provide for the conduct of audits on the spot by the Commission or a 
body designated by it to verify the effective implementation of the arrangement.  

–  They  shall  provide  for  the  establishment  of  a  framework  for  the  exchange  of 
information  between  the  two  sides  in  support  of  the  implementation  of  the 
arrangement. 

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