COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT AND THE COUNCIL On the application of Council Regulation (EC) No 1005/2008 establishing a Community system to prevent, deter and eliminate illegal, unreported and unregulated fishing
Date: 2015-10-01
Institutions: Directorate-General for Maritime Affairs and Fisheries, European Commission
Subjects: common fisheries policy, conservation of fish stocks, exchange of information, fishing controls, fishing vessel, fraud, international cooperation, third country

EUROPEAN 
COMMISSION 

Brussels, 1.10.2015  
COM(2015) 480 final 

COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN 
PARLIAMENT AND THE COUNCIL 

On the application of Council Regulation (EC) No 1005/2008 establishing a Community 
system to prevent, deter and eliminate illegal, unreported and unregulated fishing 

EN 

   EN 

 
 
 
 
  
 
COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT 
AND THE COUNCIL  

on the application of Council Regulation (EC) No 1005/2008 establishing a Community 
system to prevent, deter and eliminate illegal, unreported and unregulated (IUU) fishing 

1.  INTRODUCTION 

Illegal,  Unreported  and  Unregulated  (IUU)  fishing  depletes  fish  stocks,  destroys  marine 
habitats, undermines food security, distorts competition, puts honest fishers at a disadvantage and 
weakens  coastal  communities,  particularly  in  developing  countries.  IUU  fishing  poses  a  serious 
environmental threat to fish stocks and can lead to the collapse of fisheries. The estimated global 
value of IUU fishing is at least 10 billion euros per year1. Between 11 and 26 million tonnes of 
fish are caught illegally each year, which corresponds to at least 15% of world catches. Significant 
resources, revenue, nutrition and livelihoods are lost as a result. This poses serious challenges to 
human rights and security; maritime security; economic activity and trade, both at sea and on land. 

The failure of some States to meet their international obligations for flag State responsibility under 
international law has led the international community to find innovative ways of addressing IUU 
fishing.  The  1995  Code  of  Conduct  for  responsible  fisheries  and  the  2001  International  Plan  of 
Action  to  Prevent,  Deter  and  Eliminate  Illegal,  Unreported  and  Unregulated  Fishing  (IPOA) 
adopted by the Food and Agriculture Organization (FAO) were the point of departure of a new era 
of international commitment to the sustainability of marine resources. These non-binding texts in 
the context of International Fisheries Law, in particular the 1982 UN Convention on the Law of 
the  Sea  (UNCLOS)  and  the  1995  UN  Fisheries  Stocks  Agreement  (UNFSA),  established  a 
framework and tools to combat IUU fishing. Under these provisions all States have a duty to adopt 
appropriate measures to ensure the sustainable management of marine resources and to cooperate 
to achieve this. In addition  the  FAO  adopted in  2009  the  Agreement  on  Port  State  Measures  to 
Prevent,  Deter  and  Eliminate  Illegal,  Unreported  and  Unregulated  Fishing  (PSMA).  The  aim  of 
this Agreement is to ensure through harmonized measures an enhanced multilateral cooperation to 
fight IUU fishing and to block the flow of IUU fishing products into markets. Regional Fisheries 
Management Organisations (RFMOs) have also designed measures to fight IUU fishing, such as 
catch documentation schemes2, increased flag State obligations and IUU vessels lists3.  

The United Nations have also recognized the importance of the fight against IUU fishing in the 
UN  Sustainable Development Goals as one of the issues to tackle under the goal concerning the 
conservation  and  sustainable  use  the  oceans,  seas  and  marine  resources  for  sustainable 
development4.  

1 Agnew et al. (2009) PLoS ONE 4(2): e4570. 
2 For RFMOs catch documentation schemes see Annex V of Commission Regulation (EC) No 1010/2009, OJ L 280, 
27.10.2009, p. 1 on catch documentation schemes adopted by RFMOs recognised as complying with the requirements 
of the IUU Regulation.    
3 For RFMOs IUU vessel lists see Part B of the Annex to Commission Regulation (EU) No 468/2010 as last amended 
by Commission Implementing Regulation (EU) 1296/2015, OJ L 199/29.7.2015, p. 12.   
4 See Goal 14.4 retrieved from https://sustainabledevelopment.un.org/sdgsproposal.html  

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The  European  Union  (EU)  is  a  contracting  party  to  UNCLOS,  UNSFA  and  PSMA  and  is  a 
member or a cooperating non-member in six tuna RFMOs5 and 11 non-tuna ones6. 

Given  the  scale  and  urgency  of  the  problem  of  IUU  fishing  the  EU  decided  to  strengthen  its 
actions and adopt additional measures derived from the existing international framework. In 2008, 
the Council adopted Regulation (EC) No 1005/2008 establishing a Community system to prevent, 
deter  and  eliminate  IUU  fishing  (the  IUU  Regulation)7  which  entered  into  force  on  1  January 
2010.  In  2009  the  Commission  adopted  detailed  rules  for  the  implementation  of  the  IUU 
Regulation8. 

The IUU Regulation reflects the responsibility of every country, be it a Member State or a third 
country,  to  fulfil  their  international  obligations  as  a  flag,  port,  coastal  or  market  State.  It  is  a 
transparent  and  non-discriminatory  instrument  which  applies  to  all  vessels  engaged  in  the 
commercial  exploitation  of  fishery  resources  destined  for  the  EU  market  and  any  EU  national 
involved  in  fishing  activities  under  any  flag.  The  IUU  Regulation  seeks  to  prevent,  deter  and 
eliminate the trade of fishery products deriving from IUU fishing into the EU.  

In order to achieve these goals, the EU introduced a number of tools to improve traceability and to 
facilitate communication and cooperation between the EU, Member States and third countries, as 
well as RFMOs. These include the EU Catch Certificate Scheme, the system of Mutual Assistance 
between  Member  States,  the  process  of  cooperation  with  third  countries  and  the  listing  of  IUU 
vessels.  

By  acting  against  IUU  fishing  both  within  and  outside  the  EU,  the  EU  protects  the  resources 
necessary for the livelihood of people, favours the development of the legitimate fishing industry 
and  creates  a  more  level  playing  field.  It  does  so  by  working  to  raise  the  standards  on  fisheries 
management in both third countries and Member States. 

Apart from its policy against IUU fishing, the EU has developed and implemented a set of policies 
concerning sustainable management of other natural resources such as timber9 and wildlife10.        

Article  55  of  the  IUU  Regulation  requires  Member  States  report  to  the  Commission  on  the 
application  of  the  Regulation.  On  the  basis  of  these  reports  and  its  own  observations,  the 
Commission must report to the Council and the European Parliament. 

Five years after entry into force of the IUU Regulation a number of tangible results can be seen. 
This communication briefly presents the key achievements of the IUU Regulation11. More detailed 
statistical information regarding the implementation of the Regulation in Member States related to 
inspection  and  controls  of  landings  and  transhipments;  figures  on  catch  certificates;  imports, 
exports and re-exports as well as the use of Information Technology (IT) systems; the application 

5 For the detailed list see:  http://ec.europa.eu/fisheries/cfp/international/rfmo/index_en.htm 
6 For the detailed list see:  http://ec.europa.eu/fisheries/cfp/international/rfmo/index_en.htm 
7 OJ L 286, 29.10.2008, p. 1. 
8 Commission Regulation (EC) No 1010/2009, OJ L 280, 27.10.2009, p. 1.  
9See 
the  Forest  Law  Enforcement,  Governance  and  Trade 
http://www.euflegt.efi.int/flegt-action-plan ). 
10  See  EU  work  against  illegal  trade  in  wildlife  as  described  in  the  Communication  from  the  Commission  to  the 
Council  and  the  European  Parliament  on  the  EU  Approach  against  Wildlife  Trafficking  (COM(2014)64  final 
7.2.2014) and Commission Working Document on summary of the Responses to the Stakeholders Consultation on the 
EU Approach against Wildlife Trafficking (SWD(2014) 347 final 26.11.2014).     
11 Detailed EU rules to combat IUU fishing including legal documents, explanations and press material can be found at 
http://ec.europa.eu/fisheries/cfp/illegal_fishing/index_en.htm  

(FLEGT)  Action  Plan 

(retrieved 

from 

2 

 
 
                                                 
of sanctions; cooperation; training and awareness raising can be found in the study on the state of 
play regarding the application and implementation of the IUU Regulation12. 

2.  THE IUU REGULATION – MAIN ACHIEVEMENTS 

The fight against IUU fishing has been a political priority for the EU in the past years. The EU's 
fight against IUU fishing can be divided into 4 intertwined key areas of action: cooperation with 
Member  States;  cooperation  with  third  countries;  investigations  into  presumed  IUU  vessels  and 
international  and  stakeholder  cooperation.  In  all  these  areas  the  EU  has  focused  on  creating  an 
environment  for  positive  change  through  structural  reform  with  the  identification  of  countries, 
companies or individuals as a last resort.  

2.1.  COOPERATION WITH MEMBER STATES 

(cid:190)  Member States and their flag State responsibilities 

Two  other  important  pieces  of  EU  legislation  entered  into  force  at  the  same  time  as  the  IUU 
Regulation: the Control Regulation13 and the Fishing Authorisations Regulation14. These led to a 
substantial  reform  of  the  EU  control  system,  ensuring  there  is  no  discrimination  between  EU 
vessels  operating  in  EU  waters  and  those  operating  in  third  country  waters.  The  Commission 
invests  much  effort  in  the  implementation  of  all  three  regulations  to  ensure  that  Member  States 
fulfil their responsibilities as flag States, just as it is expected from third countries. 

(cid:190)  Member States and their port State responsibilities 

The IUU Regulation provides a robust framework for EU Member States to implement Port State 
Measures  to  reduce  the  likelihood  of  IUU  fishery  products  being  landed  directly  into  the  EU. 
Under the IUU Regulation only designated ports are accessible to vessels from third countries and 
strict  conditions  exist  for  these  vessels  to  use  the  ports.  In  2012  and  2013  EU  Member  States 
inspected  almost  1  500  fishing  vessels  in  their  ports.  These  inspections  identified  a  series  of 
infringements linked to, for example, errors in landing declarations; misreporting of information in 
the vessel log book; disregard of Port State Measures including not sending an entry notification 
or landing without the presence of an inspector. 

The rigorous inspection of landings and transhipment operations by third country vessels in EU 
ports has led to number of changes. A notable example is the port of Las Palmas, where stringent 
controls  by  the  Spanish  Authorities  of  fishery  products  arriving  from  the  high  risk  fisheries  of 
West  Africa  have  led  to  a  significant  drop  in  landings  of  fishery  products  stemming  from  IUU 
fishing operations. 

(cid:190)  Member States and their market State responsibilities 

The  IUU  Regulation  provides  Member  States  with  instruments  to  control  imports  into  the  EU, 
allowing  them  to  monitor  the  trade  flow  from  fishing  operations  beyond  the  EU's  waters  to  the 
EU. Using and sharing intelligence derived from catch certificates and trade information Member 
State authorities have improved verifications of imports. This knowledge provides a strong basis 

12 http://ec.europa.eu/fisheries/documentation/studies/iuu-regulation-application/index_en.htm  
13 OJ L343, 22.12.2009, p.1. 
14 OJ L286, 29.10.2008, p. 33. 

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for effective risk analysis allowing authorities to assess, for example, if a specific import pattern 
makes  sense  from  a  fishery  economics  perspective  Effective  risk  analysis  is  essential  given  the 
scale  of  fisheries  imports:  between  2010  and  2013  Member  States  received  more  than  810  000 
catch  certificates  and  108  000  processing  statements  and  sent  more  than  6  400  requests  for 
verification.   

The  IUU  Regulation's  provisions  allow  imports  to  be  refused  if  the  verifications  carried  out  by 
Member  States  identify  a  consignment  as  stemming  from  IUU  fishing  activities.  Since  2010, 
Member  States  refused  more  than  200  import  consignments.  Grounds  for  refusal  can  include: 
false,  non-valid,  erroneous  or  incomplete  catch  certificates;  a  breach  of  national  or  RFMO 
conservation and management measures, including quotas; illegal transhipment at sea; catch by a 
fishing vessel that is not included on the list of vessels authorised to operate in the relevant RFMO 
area or a lack of cooperation or inadequate action taken by the flag State responsible for certifying 
the catch. 

In order to ensure effective control, cooperation has improved within the Member States between 
the  authorities  involved  in  border  controls  such  as  customs,  sanitary  and  fisheries  departments, 
which need to work together to protect the EU market from IUU fishery products. 

(cid:190)  Cooperation between Member States 

The  IUU  Regulation  facilitates  cooperation  between  Member  States  to  address  IUU  fishing 
activities. The system of Mutual Assistance allows Member States to alert each other of suspected 
transactions  of  IUU  fishery  products,  and  can  be  used  by  the  Commission  to  send  alerts  and 
information  to  all  Member  States.  Since  2010  the  Commission  has  sent  more  than  160  Mutual 
Assistance  messages  to  Member  States'  authorities  to  direct  their  controls  and  checks  towards 
situations of risk and to request investigations on presumed IUU fishing activities. Member States 
exchange information in  cases  of  refusals of  import consignments and  target  controls  of  fishing 
vessels, operators and import activities. For example, such messages were sent to Member States 
regarding non-compliant behaviour by third country fishing vessels operating in West Africa. This 
resulted  in  more  than  4.2  million  EUR  in  fines  imposed  by  various  coastal  States.  Another 
concrete  example  concerned  fake  licenses  granted  by  a  third  country  which  led  to  the  recovery 
from the third country concerned of more than 2 million EUR of licencing fees. 

2.2.  COOPERATION WITH THIRD COUNTRIES 

The  international  legal  framework  establishes  that  all  States  have  a  duty  to  adopt  appropriate 
measures  and  to  cooperate  to  ensure  the  sustainable  management  of  marine  resources.  The 
concept  of  flag  State  and  the  coastal  State  responsibility  has  been  steadily  strengthened  in 
international fisheries law and is today envisaged as an obligation of 'due diligence', which is an 
obligation  to  exercise  best  possible  efforts  and  to  do  the  utmost  to  prevent  IUU  fishing,  which 
includes the obligation to adopt the necessary administrative and enforcement measures to ensure 
that  fishing  vessels  flying  its  flag,  its  nationals,  or  fishing  vessels  engaged  in  its  waters  are  not 
involved  in  activities  which  infringe  the  applicable  conservation  and  management  measures  of 
marine biological resources, and in case of infringement to cooperate with other states in order to 
investigate and, if necessary, impose sanctions which are sufficient to deter violations and deprive 
offenders of the benefits from their illegal activities and to consult. 

The IUU Regulation introduces tools and implements a methodology to ensure all countries fulfil 
these  obligations  with  regards  to  IUU  fishing  and  fisheries  management.  Through  flag  State 
notifications,  catch  certificates  and  the  process  for  the  identification  of  non-cooperating  third 

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countries the EU has an effective toolkit to strengthen the fight against IUU fishing in cooperation 
with third countries globally. 

The  EU  is  using  measures  to  prevent,  deter  and  eliminate  IUU  fishing  as  an  instrument  to  help 
third  countries  to  address  fisheries  management  problems.  It  aims  at  helping  third  countries, 
including developing nations, through dialogue, cooperation and technical and development aid to 
re-enforce their policies and tools, sanction in a sufficiently deterrent manner, those who infringe 
the  rules,  improve  the  conservation  and  sustainable  use  of  marine  resources  and  offer  better 
opportunities  to  fishing  communities  and  honest  operators.  During  the  past  few  years  the 
Commission  was  able  to  help  several  third  countries  to  achieve  fundamental  changes  in  their 
fisheries polices through, for example, changes in their legislation, capacity building or  improved 
monitoring, control and surveillance. These countries have taken ownership of reforms and have 
brought their fisheries governance to the current international law standards.               

(cid:190)  Improving traceability of marine fisheries imports 

The EU catch certificate scheme was introduced to improve the traceability of all marine fishery 
products traded with the EU throughout the production chain, from the fishing net to the plate. The 
certification  scheme  creates  the  basis  for  cooperation  with  third  countries.  To  date  91  third 
countries  have  notified  their  competent  authorities  under  the  IUU  Regulation  and  apply  the  EU 
catch certification scheme for exports to the EU15. 

As  part  of  the  evaluation  process  for  third  countries  the  Commission,  in  conjunction  with  the 
European  Fisheries  Control  Agency  (EFCA),  analyses  samples  of  catch  certificates  from  third 
countries to identify weaknesses and shortcomings in their validation systems. Upon request it can 
then  provide  training  and  capacity  building  to  these  third  countries,  ensuring  continuous 
improvements  in  their  catch  certificate  validation  systems16.  Furthermore  several  third  countries 
have introduced modern IT systems to cross check the data needed to validate catch certificates 
and  some  have  also  introduced  market  State  measures  (such  as  national  catch  certification 
systems) as recommended in FAO's IPOA. 

(cid:190)  Strengthening fisheries governance through dialogue 

The  primary  objective  of  the  EU's  policy  against  IUU  fishing  is  to  work  together  with  third 
countries to foster change in behaviour and strengthen fisheries governance.  Dialogues can start 
following  an  assessment  of  the  compliance  record  of  the  third  country  as  flag,  coastal,  port  or 
market State, and the level of commitment to fighting IUU fishing while taking into account the 
global level of development of the country.  

The Commission has by now initiated dialogue with almost 50 countries. Through missions and 
meetings, the dialogue process has led to legislative and administrative reforms in more than 15 
countries.  The  tangible  results  of  this  cooperation  with  third  countries  include  improved 
governance, in particular: revised legislation; adoption of National Plans of Action (NPOA) in line 
with  the  FAO  IPOA-IUU;  strengthened  sanctions;  better  cooperation,  coordination  and 
mobilisation  of  different  relevant  authorities  and  political  commitment  to  the  fight  against  IUU 
fishing  to  the  highest  level.  The  dialogue  process  has  provided  a  framework  for  countries  to 

the 

list  of 

third  countries 

15For 
http://ec.europa.eu/fisheries/cfp/illegal_fishing/info/flag_state_notifications_en.pdf   
16 Such actions conducted in the Philippines, Curacao, Cape Verde, Ghana, Papua New Guinea, Solomon Islands and 
Korea. 

that  have  notified  competent  authorities  under  IUU  Regulation  see: 

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strengthen Monitoring, Control and Surveillance (MCS) through improved monitoring of fisheries 
activities, including Vessel Monitoring System (VMS) requirements for national and distant water 
fleets and the reinforcement of inspections and controls. 

(cid:190)  Pre-identification ("Yellow card") 

In  cases  where  the  dialogue  with  a  third  country  has  not  been  able  to  resolve  the  established 
shortcomings, the Commission notified the third country of the risk of being identified as a non-
cooperating country in the fight against IUU fishing (pre-identification procedure, Article 32, 
so-called "yellow card"). For each of the 18 cases of pre-identification to date the Commission 
proposed  tailored  measures  to  the  country  to  address  the  identified  shortcomings  by  a  specified 
deadline.  This  procedure  creates  a  framework  for  collaboration  to  achieve  improved  fisheries 
governance.  

The  Commission  work  with  respect  to  pre-identifications,  identifications,  lifting  of  pre-
identifications  and  delisting    primarily  relies  on  the  examination  of  measures  taken  by  third 
countries such as occurrence of IUU activities by vessels flying the flag of the country concerned, 
occurrence  of  IUU  activities  in  waters  the  country  concerned,  market  activities  (transformation 
and exports), port activities, assessment of compliance with international agreements and soft law 
instruments, including assessment of compliance with RFMO measures, enforcement instruments 
(including  examination  of  the  legal  and  administrative  framework  in  place)  and  in  concreto 
reaction to IUU occurrence (including sufficiency of deterrence) and status of developing country.  

Pre-identification  procedures  were  initiated  in  November  2012  for  Belize,  Cambodia,  Fiji, 
Guinea,  Panama,  Sri  Lanka,  Togo  and  Vanuatu17;  in  November  2013  for  Curacao,  Ghana  and 
Korea18;  in  June  2014  for  the  Philippines  and  Papua  New  Guinea19;  in  December  2014  for  the 
Solomon Islands, Tuvalu, Saint Kitts and Nevis and Saint Vincent and the Grenadines  20 and in 
April 2015 for Thailand21. 

Pre-identified  countries  that  demonstrated  progress  in  line  with  the  proposed  measures  were 
provided  with  additional  time  if  and  as  needed  to  conclude  the  reforms.  In  July  2013  the 
Commission extended the pre-identification status for Fiji, Panama, Sri Lanka, Togo and Vanuatu 
based  on  the  progress  achieved  to  date  and  to  allow  adequate  time  to  adopt  revised  legal 
frameworks and control capacities for their fisheries in line with international requirements. The 
same  extension  was  given  to  Curaçao,  Ghana  and  Korea  in  July  2014;  to  the  Philippines  and 
Papua New Guinea in February 2015 and to Ghana and Curaçao in March 2015. 

(cid:190)  Identification ("Red card") 

In cases where the pre-identified country failed to resolve the IUU fishing problems in line with 
international  obligations,  the  Commission  identified  it  as  a  non-cooperating  country  in  the  fight 
against  IUU  fishing  (the  identification  procedure,  Article  31,  so-called  "red  card")  and 
proposed to Council to place the country on the list of non-cooperating third countries (the listing 
procedure, Article 33). Identification and subsequent listing lead to trade measures, including the 

17 OJ C 354, 17.11.2012, p. 1. 
18 OJ C 346, 27.11.2013, p. 26. 
19 OJ C 185, 17.6.2014, p. 2 and p. 17. 
20 OJ C 447, 13.12.2014, p. 6, 16 and 13, OJ 453, 17.12.2014, p. 5. 
21 OJ C 142, 29.04.2015, p. 7. 

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prohibition  of  imports  of  fishery  products  from  non-cooperating  countries  into  the  EU,  and  the 
prohibition of EU vessels from operating in the waters of non-cooperating countries. 

Identification procedures were initiated in November 2013 for Belize, Cambodia and Guinea22 
and in October 2014 for Sri Lanka23. Listing procedures, leading to Council decisions to place 
them  on  the  list  of  non-cooperating  countries,  were  completed  in  March  2014  for  Belize, 
Cambodia and Guinea24 and Sri Lanka in January 201525.   

The  identification  procedure  has  as  consequence  the  implementation  of  Article  18(1)(g) 
provisions  i.e.  Member  States  shall  refuse  imports  of  marine  fisheries  products  from  the 
identified  third  country  covered  by  catch  certificates  with  validation  dates  from  the  date  of 
entering  into  force  of  the  Commission  Implementing  Decision.  The  listing  procedure  entails 
from the date of entering into force of the Council Implementing Decision trade measures as laid 
down  in  Article  38,  such  as  prohibition  of  imports;  non-acceptance  of  catch  certificates; 
prohibition  to  purchase  fishing  vessels;  prohibition  to  flag  EU  fishing  vessels;  no  chartering 
agreements;  prohibition  to  export  EU  fishing  vessels;  prohibition  of  private  trade  agreements 
with  EU  nationals;  prohibition  of  joint  fishing  operations  with  EU;  possible  denunciation  of 
standing  bilateral  fisheries  agreements  or  partnerships;  and/or  no  further  negotiations  to 
conclude bilateral fisheries agreements or partnerships.  

(cid:190)  Lifting the pre-identification and delisting ("Green card") 

The  dialogue  process  continues  throughout  all  stages  of  the  procedure.  When  pre-identified, 
identified or listed countries took concrete measures to achieve lasting improvements in the fight 
against IUU activities the Commission lifted the pre-identification status or proposed to Council to 
delist the country, depending on the stage of the procedure (so-called "green card"). 

In  October  2014  the  Commission  lifted  the  pre-identification  status  of  Fiji,  Panama,  Togo  and 
Vanuatu  following  structural  reforms  in  fisheries  management  and  solid  guarantees  for  the 
effective implementation of these reforms26. In December 2014 the Council removed Belize from 
the  list  of  non-cooperating  countries  following  the  revision  of  its  fisheries  management  system 
and the introduction of concrete measures to fight IUU fishing27. In April 2015 the Commission 
lifted the pre-identification status of Korea and the Philippines following fundamental structural 
reforms  in  fisheries  management  and  solid  guarantees  for  the  effective  implementation  of  these 
reforms28. 

(cid:190)  Supporting third countries 

In order to achieve lasting change, training and capacity building are often necessary. 

The IUU dialogue process provides a framework for such capacity building and the Commission, 
often in conjunction with the European Fisheries Control Agency (EFCA), has carried out tailor 
made  capacity  building  sessions  on  catch  certification  and  on  Monitoring,  Control  and 
Surveillance (MSC) tools and policy to certain third countries in response to specific requests. The 

22 OJ C 346, 27.11.2013, p. 2. 
23 OJ L 297, 15.10.2014, p. 13. 
24 OJ L 91, 27.3.2014, p. 43. 
25 OJ L 33, 10.2.2015, p.15. 
26 OJ C 364, 15.10.2014, p. 2. 
27 OJ L 360, 17.12.2014, p. 53. 
28  OJ C 142, 29.04.2015, p. 5, OJ C 142, 29.04.2015, p. 6. 

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IUU  specific  sessions  complement  the  capacity  building  actions  being  carried  out  by  the 
Commission  and  EFCA  with  third  countries  and  international  fisheries  organisations,  including 
RFMOs,  under  the  auspices  of  the  CFP.  These  include  the  use  of  sectoral  support  under 
Sustainable Fisheries Partnership Agreements (SFPA) between the EU and third countries, aimed 
at strengthening the MCS capacities and reinforcing the fisheries governance of the SFPA partner 
country29. 

As well as numerous cases of technical assistance to fund specific actions by third countries, more 
than  55  developing  countries  have  received  technical  assistance  from  the  EU  through  two 
programmes:  the  ACP  FISH  II  program  for  the  African,  Caribbean  and  Pacific  Group  of  States 
(ACP)  amounting  to  30  million  EUR  and  the  Environment  and  Sustainable  Management  of 
Natural  Resources  including  Energy  (ENRTP)  program  amounting  to  2  million  EUR.  The 
objectives of these programmes include the sustainable and equitable management of fisheries in 
the  specific  regions.  The  fight  against  IUU  fishing  is  an  integral  part  of  several  new  funding 
proposals, being of relevance to programmes addressing food security as well as those addressing 
maritime  security.  The  aim  of  EU  actions  is  have  a  holistic  and  cross  sectorial  approach 
addressing  all  problems  linked  with  the  maritime  domain  such  as  IUU  fishing,  food  security, 
piracy and armed robbery at sea, transnational organised crime and terrorism at sea, illegal trade, 
trafficking  of  human  beings,  smuggling  of  migrants,  trafficking  of  weapons  and  narcotics, 
trafficking in protected species of wild fauna and flora, and other illegal maritime activities.   

2.3. 

INVESTIGATIONS INTO PRESUMED IUU VESSEL ACTIVITY 

Since 2010 the Commission has investigated over 200 cases of presumed IUU fishing by vessels 
from  27  countries.  These  investigations  have  been  based  on  information  collected  by  the 
Commission  or  received  from  Member  States,  third  countries  and  stakeholders.  As  a  direct 
consequence of these investigations eight flag States (Belize, Brazil, Comoros, Lithuania, Panama, 
Republic of Guinea, Republic of Korea and Spain) and four coastal States (Liberia, Republic of 
Guinea,  Sierra  Leone  and  Guinea  Bissau)  have  imposed  sanctions  amounting  to  more  than  8 
million EUR of fines and fees against more than 50 vessels. As these cases have led to sanctions 
imposed by flag state, coastal state, or both, there was, so far, no need to include vessels on the EU 
list  under  Article  27(1).  At  the  same  time  the  Commission  has  encouraged  the  flag  States 
concerned  to  initiate  administrative  and  legislative  reforms  to  reinforce  their  control  of  the 
activities of their fishing fleets. 

These  investigations  have  primarily  been  in  areas  where  IUU  fishing  activities  are  most 
widespread  and  have  the  most  severe  impact  -  not  only  on  marine  resources,  but  also  on  the 
livelihoods of local communities. Work focused on cases with a tangible EU dimension, vessels 
connected  to  exports  to  the  EU;  vessels  controlled  by  EU  operators  or  flagged  to  EU  Member 
States. 

Eight RFMOs maintain or share lists of vessels that have been found to carry out or support IUU 
fishing within their respective convention areas. These lists are important tools for flag and port 
State controls, as they can be used by inspectors to inform risk analysis concerning port activities 
and catch certification. Each year the EU, under the IUU Regulation, transposes all these lists to a 
single EU IUU vessel list30 under Article 30.  

29 For bilateral agreements with countries outside the EU and amounts earmarked for fisheries policy development see:    
http://ec.europa.eu/fisheries/cfp/international/agreements/index_en.htm  
30 OJ L 199, 29.7.2015, p. 12–20. 

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Fishing vessels included on EU IUU vessel list are not allowed to fish in waters of Member States, 
granted  authorisations  or  chartered  from  Member  States,  call  at  EU  ports,  supplied  with 
provisions, fuel or change crew, not allowed to engage in any operations with EU flagged fishing 
vessels,  prohibited  from  importing  fishing  products  to  the  EU,  issuing  of  catch  certificates  and 
exporting or re-exporting fishing products from the EU.           

3.  INTERNATIONAL AND STAKEHOLDER COOPERATION  

3.1. 

INTERNATIONAL COOPERATION 

IUU  fishing  cannot  be  fought  by  the  EU  in  isolation,  international  cooperation  is  essential  to 
accelerate change globally. The EU signed Joint Statements on combating IUU fishing with the 
US  in  September  2011  and  with  Japan  in  July  2012.  The  EU  is  willing  to  cooperate  on  IUU 
fishing issues with any country that shares its values for conservation and the sustainable use of 
fisheries resources.  

The  Commission  appreciates  the  progress  made  by  the  FAO  concerning  the  development  of  a 
Global  Record  of  Fishing  Vessels,  Refrigerated  Transport  Vessels  and  Supply  Vessels.  This 
initiative  intends  to  make  information  available  on  vessel  identification  and  other  relevant  data 
with  the  aim  of  providing  a  reliable  and  rapid  way  to  compare  data  with  other  sources.  The 
Commission  contributes  to  the  FAO  expert  consultation  regarding  catch  documentation.  It 
supports the use of IMO numbers for vessels of 100 gross tonnage and higher and welcomes the 
recent endorsement by the FAO Committee on Fisheries (COFI) of the Voluntary Guidelines on 
Flag State Performance. 

The  Commission  is  working  in  close  cooperation  with  INTERPOL.  In  2013,  the  Commission 
became  an  observer  in  the  Fisheries  Crime  Working  Group  created  under  the  umbrella  of 
INTERPOL's  Environmental  Crime  Programme.  Along  with  Member  States,  the  Commission 
supports INTERPOL’s Project SCALE, a global initiative to detect, suppress and combat crime in 
fisheries. 

3.2.  COOPERATION WITH STAKEHOLDERS 

In the same way that international cooperation is essential to fighting IUU fishing, involving all 
other relevant stakeholders is important. 

NGOs  play  a  significant  role  in  the  fight  against  IUU  fishing  through  their  work  in  the  field 
identifying  and  recording  illegal  fishing  activities;  through  encouraging  decision  makers  around 
the world to place the issue of IUU fishing on political agendas and through their work with the 
general  public,  raising  awareness  about  the  significance  of  IUU  fishing  problems.  NGOs  have 
often provided substantiated evidence of IUU activities that could be used by the Commission in 
different investigations. 

Cooperation  with  industry  is  important  as  they  are  in  the  front  line  with  regards  to  the 
implementation of the IUU Regulation. Industry now pays increased attention to all components 
of the supply chain in order to ensure that only legally caught fishery products enter the EU. Legal 
suppliers have benefitted from this change of policy while illegal operators have lost out. Based on 
information  received  from  industry,  either  directly  or  through  national  authorities,  the 
Commission has become aware of a number of practical issues that could be addressed in order to 
enhance the effectiveness of the IUU Regulation. 

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4.  THE IUU REGULATION – NEXT STEPS 

After 5 years of implementation, the IUU Regulation has clearly affected fishing activities around 
the  world.  It  has  established  a  permanent  mechanism  for  cooperation  between  the  EU  and  third 
countries. It has fostered willingness by Member States and third countries to improve compliance 
with their international obligations as flag, coastal, port or market State. Member States and third 
countries  now  also  realise  that  the  benefits  of  fighting  IUU  fishing  are  concrete  and  include 
increased  revenues  to  the  local  or  State  budget,  revenues  which  would  otherwise  be  lost  to  the 
benefit of IUU operators. 

Internally, the Commission will continue to work to improve the current systems in place and to 
simplify  and  modernise  the  implementation  of  the  IUU  Regulation.  A  number  of  technical 
improvements have been identified that can be introduced on the basis of the current legal text. 
The aim is to improve the cost-effectiveness of the current system, making it simpler by moving 
from a paper-based system to an electronic one. This will increase the traceability of transactions 
and  protect  the  system  from  document  fraud.  Specifically,  the  Commission  will  modernise  the 
catch certificate scheme through an IT system and will create a harmonised system to exchange 
and cross-check information in cooperation with EFCA. This new IT system will allow loopholes 
in  import  controls  to  be  closed  and  a  better  monitoring  of  the  total  use  of  any  single  catch 
certificate split across several consignments, thus avoiding the laundering of IUU fishery products. 
The  harmonised  risk  analysis  will  bring  about  a  more  cost-effective  approach  to  the  control  of 
catch  certificates  and  reduce  the  administrative  burden  for  Member  State  customs  authorities. 
These improvements will be done during 2015-2016. 

Externally,  the  Commission  will  continue  working  with  third  countries  through  bilateral 
cooperation,  dialogue  and  formal  process  within  the  pre-identification,  identification  and  listing 
procedures aiming at correcting the established IUU fishing problems.  

The  Commission  will  continue  offering  technical  and  development  aid  to  third  countries  to 
address  their  IUU  fishing  problems.  This  can  be  achieved  through  targeted  actions  on  capacity 
building  of  third  country  administrations  and  through  the  EU  development  aid  programmes  by 
benchmarking third countries needs and corresponding possible programmes.  

The  Commission  will  also  consider  what  additional  action  should  be  taken  at  the  international 
level against IUU fishing in the context of its efforts to improve international ocean governance 31 

Finally,  it  is  noted  that  the  Commission  has  made  proposal  for  the  alignment  of  the  IUU 
Regulation  to  the  new  Rules  of  the  Treaty  on  the  Functioning  of  the  European  Union32.  This 
process is still pending with the European Parliament and the Council.   

31 See European Commission Ocean Governance public consultation:   
http://ec.europa.eu/dgs/maritimeaffairs_fisheries/consultations/ocean-governance/index_en.htm 
32 See  Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL amending 
Council  Regulation  (EC)  No  1005/2008  establishing  a  Community  system  to  prevent,  deter  and  eliminate  illegal, 
unreported  and  unregulated  fishing,  COM/2012/0332  final  -  2012/0162  (COD),  retrieved  from  http://eur-
lex.europa.eu/legal-content/EN/TXT/?qid=1439200039646&uri=CELEX:52012PC0332  

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