CELEX: 
Language: en
Date: 2017-09-27
Title: Position of the Council at first reading with a view to the adoption of a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on the sustainable management of external fishing fleets, and repealing Council Regulation (EC) No 1006/2008

Council of the
                 European Union
                                                           Brussels, 27 September 2017
                                                           (OR. en)
                                                           11382/17
       Interinstitutional File:
          2015/0289 (COD)
                                                           PECHE 298
                                                           CODEC 1267
LEGISLATIVE ACTS AND OTHER INSTRUMENTS
Subject:            Position of the Council at first reading with a view to the adoption of a
                    REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE
                    COUNCIL on the sustainable management of external fishing fleets, and
                    repealing Council Regulation (EC) No 1006/2008
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                                             DGB 2A                                           EN
 ---pagebreak---                                     REGULATION (EU) 2017/…
                OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
                                                  of …
                     on the sustainable management of external fishing fleets,
                       and repealing Council Regulation (EC) No 1006/2008
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular
Article 43(2) thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the European Economic and Social Committee 1,
Acting in accordance with the ordinary legislative procedure 2,
1
        OJ C 303, 19.8.2016, p. 116.
2
        Position of the European Parliament of 2 February 2017 [(not yet published in the Official
        Journal)] and position of the Council at first reading of ... [(OJ ...)] [(not yet published in the
        Official Journal)]. Position of the European Parliament of ... [(OJ ...)] [(not yet published in
        the Official Journal)] [and decision of the Council of ... ].
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                                                 DGB 2A                                               EN
 ---pagebreak--- Whereas:
(1)     Council Regulation (EC) No 1006/2008 1 (the "FAR") established a system concerning
        authorisations for fishing activities of Union fishing vessels outside Union waters and the
        access of third-country vessels to Union waters.
(2)     The Union is a contracting party to the United Nations Convention on the Law of the Sea
        of 10 December 1982 2 (UNCLOS) and has ratified the United Nations Agreement of
        4 August 1995 on the Implementation of the provisions of the United Nations Convention
        on the Law of the Sea relating to the conservation and management of straddling fish
        stocks and highly migratory fish stocks 3. Those international provisions set out the
        principle that all states have to adopt appropriate measures to ensure the sustainable
        management and conservation of marine resources and to cooperate with each other to that
        end.
1
      Council Regulation (EC) No 1006/2008 of 29 September 2008 concerning authorisations for
      fishing activities of Community fishing vessels outside Community waters and the access of
      third country vessels to Community waters, amending Regulations (EEC) No 2847/93 and
      (EC) No 1627/94 and repealing Regulation (EC) No 3317/94 (OJ L 286, 29.10.2008, p. 33).
2
      Council Decision 98/392/EC of 23 March 1998 concerning the conclusion by the European
      Community of the United Nations Convention of 10 December 1982 on the Law of the Sea
      and the Agreement of 28 July 1994 relating the implementation of Part XI thereof (OJ L
      179, 23.6.1998, p. 1).
3
      Council Decision 98/414/EC of 8 June 1998 on the ratification by the European Community
      of the Agreement for the implementing 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 stocks and highly migratory fish stocks (OJ L 189, 3.7.1998, p. 14).
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                                                DGB 2A                                          EN
 ---pagebreak--- (3)     The Union has accepted the Agreement to promote compliance with international
        conservation and management measures by fishing vessels on the high seas of 24
        November 1993 of the Food and Agriculture Organisation of the United Nations 1. That
        Agreement stipulates that a contracting party is to abstain from granting authorisation to
        use a vessel for fishing on the high seas if certain conditions are not met, as well as
        implement sanctions if certain reporting obligations are not fulfilled.
(4)     The Union has endorsed the FAO International Plan of Action to prevent, deter and
        eliminate illegal, unreported and undeclared fishing ("IPOA-IUU") adopted in 2001. The
        IPOA-IUU and the FAO Voluntary Guidelines for flag state performance endorsed in 2014
        underline the responsibility of the flag State to ensure the long-term conservation and
        sustainable use of living marine resources and marine ecosystems. The IPOA-IUU
        provides that a flag State should issue authorisations to fish in waters outside its
        sovereignty or jurisdiction to vessels flying its flag. Those Voluntary Guidelines also
        recommend that an authorisation be given by the flag State and by the coastal State when
        the fishing activities take place under a fisheries access agreement or even outside such an
        agreement. They should both be satisfied that such activities will not undermine the
        sustainability of the stocks in the coastal State's waters.
1
      Council Decision 96/428/EC of 25 June 1996 on acceptance by the Community of the
      Agreement to promote compliance with international conservation and management
      measures by fishing vessels on the high seas (OJ L 177, 16.7.1996, p. 24).
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                                               DGB 2A                                           EN
 ---pagebreak--- (5)     In 2014, all members of the FAO, including the Union and its developing country partners,
        unanimously adopted the Voluntary Guidelines on Securing Sustainable Small-scale
        Fisheries in the Context of Food Security and Poverty Eradication. Point 5.7 of those
        Guidelines highlights that small-scale fisheries should be given due consideration before
        agreements on resource access are entered into with third countries and third parties. Those
        Guidelines call for the adoption of measures for the long-term conservation and sustainable
        use of fisheries resources and for the securing of the ecological foundation for food
        production, underlining the importance of environmental standards for fishing activities
        outside Union waters that include an ecosystem-based approach to fisheries management
        together with the precautionary approach.
(6)     If there is evidence that the conditions on the basis of which a fishing authorisation has
        been issued are no longer met, the flag Member State should take appropriate action,
        including amending or withdrawing the authorisation and, if necessary, imposing effective,
        proportionate and dissuasive sanctions. In fisheries under a Regional Fisheries
        Management Organisation ("RFMO") or a Sustainable Fisheries Partnership Agreement
        ("SFPA"), if a Union fishing vessel does not comply with the conditions for a fishing
        authorisation and the Member State fails to take appropriate action to remedy the situation,
        even after having been required to do so by the Commission, the Commission should
        conclude that no appropriate action has been taken. Consequently, the Commission should
        take additional action to make sure that the vessel concerned should no longer fish as long
        as the conditions are not met.
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                                               DGB 2A                                            EN
 ---pagebreak--- (7)     The Union committed itself at the United Nations Summit on Sustainable Development on
        25 September 2015 to implementing the resolution containing the outcome document
        entitled "Transforming our world: the 2030 Agenda for Sustainable Development",
        including Sustainable Development Goal 14 which is to "conserve and sustainably use the
        oceans, seas and marine resources for sustainable development", as well as Sustainable
        Development Goal 12 which is to "ensure sustainable consumption and production
        patterns" and their targets.
(8)     The objective of the Common Fisheries Policy (CFP), as set out in Regulation (EU)
        No 1380/2013 of the European Parliament and of the Council 1 (the "Basic Regulation"), is
        to ensure that fishing activities are environmentally, economically and socially sustainable
        and are managed consistently with the objectives of achieving economic, social and
        employment benefits, and of restoring and maintaining fish stocks above levels which can
        produce maximum sustainale yield and that they are contributing to the availability of food
        supplies. It is also necessary, in implementing this policy, to take account of development
        cooperation objectives in accordance with the second subparagraph of Article 208(1) of the
        Treaty on the Functioning of the European Union ("TFEU").
(9)     The Basic Regulation also requires that SFPAs be limited to surplus catches as referred to
        in Article 62(2) and (3) of UNCLOS.
1
      Regulation (EU) No 1380/2013 of the European Parliament and of the Council of
      11 December 2013 on the Common Fisheries Policy amending Council Regulations (EC)
      No 1954/2003 and (EC) No 1224/2009 and repealing Council Regulations (EC) No
      2371/2002 and (EC) No 639/2004 and Council Decision 2004/585/EC (OJ L 354,
      28.12.2013, p. 22).
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                                                DGB 2A                                          EN
 ---pagebreak--- (10)    The Basic Regulation stresses the need to promote the objectives of the CFP
        internationally, ensuring that Union fishing activities outside Union waters are based on
        the same principles and standards as those applicable under Union law, while promoting a
        level playing field for Union operators and third-country operators.
(11)    The FAR was intended to establish common ground for authorising fishing activities to be
        carried out by Union vessels outside Union waters with a view to supporting the fight
        against illegal, unreported and undeclared ("IUU") fishing and better control and
        monitoring of the Union fleet across the globe, as well as conditions for the authorising of
        third-country vessels fishing in Union waters.
(12)    Council Regulation (EC) No 1005/2008 1 (the "IUU Regulation") was adopted in parallel to
        the FAR, and Council Regulation (EC) No 1224/2009 2 ('the Control Regulation') was
        adopted a year later. Those Regulations are the three implementing pillars of the control
        and enforcement provisions of the CFP.
1
      Council Regulation (EC) No 1005/2008 of 29 September 2008 establishing a Community
      system to prevent, deter and eliminate illegal, unreported and unregulated fishing, amending
      Regulations (EEC) No 2847/93, (EC) No 1936/2001 and (EC) No 601/2004 and repealing
      Regulations (EC) No 1093/94 and (EC) No 1447/1999 (OJ L 286, 29.10.2008, p. 1).
2
      Council Regulation (EC) No 1224/2009 of 20 November 2009 establishing a Union control
      system for ensuring compliance with the rules of the common fisheries policy, amending
      Regulations (EC) No 847/96, (EC) No 2371/2002, (EC) No 811/2004, (EC) No 768/2005,
      (EC) No 2115/2005, (EC) No 2166/2005, (EC) No 388/2006, (EC) No 509/2007, (EC) No
      676/2007, (EC) No 1098/2007, (EC) No 1300/2008, (EC) No 1342/2008 and repealing
      Regulations (EEC) No 2847/93, (EC) No 1627/94 and (EC) No 1966/2006 (OJ L 343,
      22.12.2009, p. 1).
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                                              DGB 2A                                            EN
 ---pagebreak--- (13)    However, the IUU Regulation, the FAR and the Control Regulation were not implemented
        consistently; in particular there were inconsistencies between the FAR and the Control
        Regulation. The implementation of the FAR also revealed several loopholes, since some
        challenges in terms of control, such as chartering, reflagging and the issuance of fishing
        authorisations issued by a third-country competent authority to a Union fishing vessel
        outside the framework of an SFPA ("direct authorisations"), were not covered. Besides,
        some reporting obligations have proven difficult as has the division of administrative roles
        between the Member States and the Commission.
(14)    The core principle of this Regulation is that any Union vessel fishing outside Union waters
        should be authorised by its flag Member State and monitored accordingly, irrespective of
        where it operates and the framework under which it does so. The issuing of an
        authorisation should be dependent on a basic set of common eligibility criteria being
        fulfilled. The information gathered by the Member States and provided to the Commission
        should allow the Commission to intervene in the monitoring of the fishing operations of all
        Union fishing vessels in any given area outside Union waters at any time.
(15)    Recent years have seen considerable improvements in the Union's external fisheries policy,
        in terms of the conditions and terms of SFPAs and the diligence with which the provisions
        are enforced. Safeguarding the Union's interests in terms of access rights and conditions
        within the framework of SFPAs should therefore be a priority objective of the Union's
        external fisheries policy and similar conditions should be applied to Union activities
        outside the scope of SFPAs.
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                                               DGB 2A                                            EN
 ---pagebreak--- (16)    Support vessels may have a substantial impact on the way fishing vessels are able to carry
        out their fishing operations and on the quantity of fish they can retrieve. It is therefore
        necessary to take them into account in the authorisation and reporting processes set out in
        this Regulation.
(17)    Reflagging operations become an issue when their objective is to circumvent CFP rules or
        existing conservation and management measures. The Union should therefore be able to
        define, detect and hamper such operations. Traceability and proper follow-up of
        compliance history should be ensured throughout the lifespan of a vessel owned by a
        Union operator regardless of the flag or flags it operates under. The requirement that a
        unique vessel number be granted by the International Maritime Organisation (IMO) where
        required under Union law should also serve that purpose.
(18)    In third-country waters, Union vessels may operate either under the provisions of SFPAs
        concluded between the Union and third countries or by obtaining direct fishing
        authorisations from third countries if no SFPA is in force. In both cases these activities
        should be carried out in a transparent and sustainable way. Flag Member States may
        authorise the vessels flying their flag to seek and obtain direct authorisations from third
        countries which are coastal States, under a defined set of criteria and subject to monitoring.
        The fishing operation should be authorised once the flag Member State is satisfied that it
        will not undermine sustainability and where the Commission has no duly justified
        objection. The operator should be allowed to starts its fishing operation only after having
        been given the authorisation from both the flag Member State and the coastal State.
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                                                DGB 2A                                              EN
 ---pagebreak--- (19)    Union fishing vessels are not allowed to fish in waters under the jurisdiction or sovereignty
        of third countries with which the Union has an agreement but no protocol in force. In the
        case of such an agreement, where no protocol has been in force for at least three years, the
        Commission should examine the reasons for the situation and take appropriate action,
        which could include proposing to negotiate a new protocol.
(20)    A specific issue pertaining to SFPAs is the reallocation of under-utilised fishing
        opportunities that occurs when fishing opportunities allocated to Member States by the
        relevant Council Regulations are not fully used. Since the access costs set out in the SFPAs
        are financed for a large part by the Union general budget, a temporary reallocation and
        sub-allocation system is important to preserve Union financial interests and ensure that no
        fishing opportunity which has been paid for is wasted. It is therefore necessary to clarify
        and improve those allocation systems, which should be a last resort mechanism. Its
        application should be temporary and it should not affect the initial allocation of fishing
        opportunities among Member States in accordance with applicable relative stability
        principles. Reallocation should only occur once the relevant Member States have given up
        on their rights to exchange fishing opportunities among themselves, and should primarily
        be addressed in the context of SFPAs giving access to mixed fisheries.
(21)    Where a third country is not party to an RFMO, the Union may endeavour to provide, with
        the third country with which an SFPA is being considered, for the allocation of a
        proportion of the sectoral support funding to facilitate the joining of that RFMO by the
        third country concerned.
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                                              DGB 2A                                              EN
 ---pagebreak--- (22)    Fishing operations under the auspices of RFMOs and on the high seas should also be
        authorised by the flag Member State and comply with RFMO-specific rules or Union law
        governing fishing operations on the high seas.
(23)    In order to implement the Union's international commitments in RFMOs and in accordance
        with the objectives referred to in Article 28 of the Basic Regulation, the Union should
        encourage periodic assessments of performance by independent bodies, and should play an
        active role in setting up and reinforcing implementation committees in all RFMOs to
        which it is a contracting party. It should in particular ensure that those implementation
        committees perform general supervision of the implementation of the external fisheries
        policy and of the measures decided within RFMOs.
(24)    Effective management of chartering arrangements is important to ensure that the
        effectiveness of conservation and management measures is not undermined, as well as to
        ensure the sustainable exploitation of living marine resources. It is therefore necessary to
        set out a legal framework that helps the Union to better monitor the activities of Union
        fishing vessels chartered by either a third country or by Union operators on the basis of
        what has been adopted by the relevant RFMO.
(25)    Transhipments at sea escape any proper control by flag or coastal States and therefore
        constitute a possible way for operators to carry illegal catch. Transhipments by Union
        vessels on the high sea and under direct authorisations should be subject to prior
        notification when conducted outside port. Member States should inform the Commission
        on all transhipment operations carried out by their vessels, once a year.
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                                                DGB 2A                                           EN
 ---pagebreak--- (26)    Procedures should be transparent and predictable for Union and third-country operators, as
        well as for their respective competent authorities.
(27)    The exchange of data in electronic form between Member States and the Commission, as
        provided for by the Control Regulation, should be ensured. Member States should collect
        all requested data about their fleets and their fishing operations, manage those data and
        make them available to the Commission. Moreover, they should cooperate with each other,
        the Commission and third countries where relevant in order to coordinate those data
        collection activities.
(28)    With a view to improving the transparency and accessibility of information on Union
        fishing authorisations, the Commission should set up an electronic fishing authorisation
        database comprising both a public part and a secure part. Information in the Union fishing
        authorisation database includes personal data. The processing of personal data based on
        this Regulation should comply with Regulation (EC) No 45/2001 of the European
        Parliament and of the Council 1, Directive 95/46/EC of the European Parliament and of the
        Council 2 and applicable national law.
1
      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 processing of personal
      data by the Community institutions and bodies and on the free movement of such data (OJ L
      8, 12.1.2001, p. 1).
2
      Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on
      the protection of individuals with regard to the processing of personal data and on the free
      movement of such data (OJ L 281, 23.11.1995, p. 31).
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                                                DGB 2A                                           EN
 ---pagebreak--- (29)    With a view to properly addressing access to Union waters of fishing vessels flying the
        flag of a third country, the relevant rules should be consistent with those applicable to
        Union fishing vessels, in accordance with the Control Regulation. In particular, Article 33
        of that Regulation on the reporting of catch and catch-related data should also apply to
        third-country vessels fishing in Union waters.
(30)    Fishing vessels from third countries without authorisation under this Regulation should,
        when navigating in Union waters, be obliged to ensure that their fishing gear is installed in
        such a manner that it is not readily usable for fishing operations.
(31)    Member States should be responsible for controlling the fishing operations of third-country
        vessels in Union waters and, in the event of infringements, for recording them in the
        national register provided for in Article 93 of the Control Regulation.
(32)    Third-country fishing vessels fishing under agreements on exchange or joint management
        should respect the quotas allocated to them by their own flag states in Union waters. When
        third countries' vessels overfish the quotas allocated to them for stocks in Union waters, the
        Commission should operate deductions from the quotas allocated to those third countries in
        subsequent years. In those cases, the deduction of quotas to be operated by the
        Commission in the case of overfishing is to be understood as the input that the
        Commission provides in the framework of the consultation with coastal States.
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                                                DGB 2A                                            EN
 ---pagebreak--- (33)    In order to simplify authorisation procedures, a common system of data exchange and data
        storage should be used by the Member States and the Commission to provide necessary
        information and updates while minimising administrative burden.
(34)    In order to take into account technological progress and subsequent possible new
        international law requirements, the power to adopt acts in accordance with Article 290
        TFEU should be delegated to the Commission in respect of the adoption of modifications
        to the Annex to this Regulation setting out the list of information to be provided by an
        operator in order to obtain a fishing authorisation, and in respect of supplementing the
        conditions for fishing authorisations in Article 10 to the extent necessary to reflect in
        Union law the outcome of the consultations between the Union and third countries with
        which the Union has concluded an agreement, or of arrangements with coastal states with
        which fish stocks are shared. It is of particular importance that the Commission carry out
        appropriate consultations during its preparatory work, including at expert level, and that
        those consultations be conducted in accordance with the principles laid down in the
        Interinstitutional Agreement of 13 April 2016 on Better Law-Making 1. In particular, to
        ensure equal participation in the preparation of delegated acts, the European Parliament
        and the Council receive all documents at the same time as Member States' experts, and
        their experts systematically have access to meetings of Commission expert groups dealing
        with the preparation of delegated acts.
1
      OJ L 123, 12.5.2016, p. 1.
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                                                DGB 2A                                            EN
 ---pagebreak--- (35)    In order to ensure uniform conditions for the implementation of this Regulation,
        implementing powers should be conferred on the Commission in respect of the recording,
        format and the transmission of data related to fishing authorisations from the Member
        States to the Commission and to the Union fishing authorisation database, as well as for
        deciding on the temporary reallocation of unused fishing opportunities under existing
        protocols to SFPAs as a transitional measure corresponding to the provisions of Article 10
        of the FAR. Those powers should be exercised in accordance with Regulation (EU)
        No 182/2011 of the European Parliament and of the Council 1.
(36)    In order to make the Union fishing authorisation database operational and to enable
        Member States to meet the technical transmission requirements, the Commission should
        provide technical assistance to the Member States concerned to enable them to transfer
        data electronically. Member States may also draw on financial aid from the European
        Maritime and Fisheries Fund pursuant to point (a) of Article 76(2) of Regulation (EU)
        No 508/2014 of the European Parliament and of the Council 2.
(37)    By reason of the number and importance of the amendments to be made, the FAR should
        be repealed,
HAVE ADOPTED THIS REGULATION:
1
      Regulation (EU) No 182/2011 of the European Parliament and of the Council of
      16 February 2011 laying down the rules and general principles concerning mechanisms for
      control by Member States of the Commission's exercise of implementing powers (OJ L 55,
      28.2.2011, p. 13).
2
      Regulation (EU) No 508/2014 of the European Parliament and of the Council of
      15 May 2014 on the European Maritime and Fisheries Fund and repealing Council
      Regulations (EC) No 2328/2003, (EC) No 861/2006, (EC) No 1198/2006 and (EC)
      No 791/2007 and Regulation (EU) No 1255/2011 of the European Parliament and of the
      Council (OJ L 149, 20.5.2014, p. 1).
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                                             DGB 2A                                           EN
 ---pagebreak---                                              TITLE I
                                GENERAL PROVISIONS
                                               Article 1
                                            Subject matter
This Regulation sets out rules for issuing and managing fishing authorisations for:
(a)     Union fishing vessels conducting fishing operations in waters under the sovereignty or
        jurisdiction of a third country, under the auspices of an RFMO to which the Union is a
        contracting party, in or outside Union waters, or on the high seas; and
(b)     third-country fishing vessels conducting fishing operations in Union waters.
                                               Article 2
                             Relationship to international and Union law
This Regulation shall apply without prejudice to the provisions:
(a)     in SFPAs and other fisheries agreements concluded between the Union and third countries;
(b)     adopted by RFMOs to which the Union is a contracting party;
(c)     in Union law implementing or transposing provisions referred to in points (a) and (b).
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                                                DGB 2A                                         EN
 ---pagebreak---                                                Article 3
                                              Definitions
1.      For the purpose of this Regulation, the definitions set out in Article 4 of the Basic
        Regulation and in points 1 to 4, 15, 16 and 22 of Article 2 of the IUU Regulation shall
        apply, save as otherwise provided for in this Regulation.
2.      For the purpose of this Regulation, the following definitions also apply:
        (a)   'support vessel' means a vessel other than a craft carried on board that is not equipped
              with operational fishing gear designed to catch or attract fish and that facilitates,
              assists or prepares fishing operations;
        (b)   'fishing authorisation' means, in respect of a Union fishing vessel, an authorisation:
              –      within the meaning of point 10 of Article 4 of the Control Regulation,
              –      issued by a third country entitling a Union fishing vessel to carry out specific
                     fishing operations in the waters under the sovereignty or jurisdiction of that
                     third country, during a specified period, in a given area or for a given fishery
                     under specific conditions,
        and, in respect of a third-country fishing vessel, an authorisation entitling it to carry out in
        Union waters specific fishing operations during a specified period, in a given area or for a
        given fishery under specific conditions;
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                                               DGB 2A                                               EN
 ---pagebreak---         (c) 'direct authorisation' means a fishing authorisation issued by a third-country
            competent authority to a Union fishing vessel outside the framework of an SFPA or
            of an agreement on exchange of fishing opportunities and joint management of
            species of common interest;
        (d) 'third-country waters' means waters under the sovereignty or jurisdiction of a third
            country. The waters of a Member State that are not Union waters are considered as
            third-country waters for the purpose of this Regulation;
        (e) 'observer programme' means a scheme under the auspices of an RFMO, an SFPA, a
            third country or a Member State that provides observers onboard fishing vessels
            including, where specifically provided forin the applicable observer scheme, to
            verify the vessel's compliance with the rules adopted by that RFMO or that third
            country, or under that SFPA;
        (f) 'chartering' means an arrangement by which a fishing vessel flying the flag of a
            Member State is contracted for a defined period by an operator in either another
            Member State or a third country without a change of flag;
        (g) 'fishing operation' means all activities in connection with searching for fish, the
            shooting, towing and hauling of active gears, setting, soaking, removing or resetting
            of passive gears and the removal of any catch from the gear, keep nets, or from a
            transport cage to fattening and farming cages.
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                                             DGB 2A                                             EN
 ---pagebreak---                                              TITLE II
         FISHING OPERATIONS BY UNION FISHING VESSELS
                               OUTSIDE UNION WATERS
                                             Chapter I
                                      Common provisions
                                                Article 4
                                           General principle
Without prejudice to the requirement to obtain an authorisation from the competent organisation or
third country, a Union fishing vessel shall not carry out fishing operations outside Union waters
unless it has been authorised by its flag Member State, and the fishing operations are indicated in a
valid fishing authorisation issued in accordance with Chapters II to V, as appropriate.
                                                Article 5
                                           Eligibility criteria
1.        A flag Member State may only issue a fishing authorisation for fishing operations outside
          Union waters if:
          (a)   it has received complete and accurate information, in accordance with the
                requirements of the Annex or the SFPA concerned or RFMO concerned, about the
                fishing vessel and the associated support vessel(s), including non-Union support
                vessels;
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                                                DGB 2A                                           EN
 ---pagebreak---         (b)   the fishing vessel has a valid fishing licence under Article 6 of the Control
              Regulation;
        (c)   the fishing vessel and any associated support vessel apply the relevant IMO ship
              identification number scheme insofar as is required under Union law;
        (d)   the fishing vessel is not included in an IUU vessel list adopted by an RFMO and/or
              by the Union pursuant to the IUU Regulation;
        (e)   where applicable, fishing opportunities are available to the flag Member State under
              the fisheries agreement concerned or the relevant provisions of the RFMO; and
        (f)   where applicable, the fishing vessel complies with the requirements set out in
              Article 6.
2.      The Commission is empowered to adopt delegated acts, in accordance with Article 44, for
        the purpose of amending the Annex to ensure appropriate monitoring of the activities of
        fishing vessels under this Regulation, in particular through new data requirements resulting
        from fisheries agreements or the development of information technologies.
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                                                DGB 2A                                         EN
 ---pagebreak---                                                 Article 6
                                        Reflagging operations
1.      This Article applies to vessels that, during the five years preceding the application for a
        fishing authorisation, have:
        (a)   left the Union fishing fleet register and been reflagged in a third country; and
        (b)   subsequently returned to the Union fishing fleet register.
2.      A flag Member State may only issue a fishing authorisation if it has verified that, during
        the period that the vessel referred to in paragraph 1 operated under a third-country flag, it
        did not:
        (a)   engage in IUU fishing;
        (b)   operate in waters of a third country identified as a country allowing non-sustainable
              fishing pursuant to point (a) of Article 4(1) of Regulation (EU) No 1026/2012 of the
              European Parliament and of the Council 1;
        (c)   operate in waters of a third country listed as non-cooperating pursuant to Article 33
              of the IUU Regulation; and
1
      Regulation (EU) No 1026/2012 of the European Parliament and of the Council of
      25 October 2012 on certain measures for the purpose of the conservation of fish stocks in
      relation to countries allowing non-sustainable fishing (OJ L 316, 14.11.2012, p. 34).
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                                                DGB 2A                                            EN
 ---pagebreak---         (d)    operate in waters of a third country identified as non-cooperating in fighting IUU
               fishing pursuant to Article 31 of the IUU Regulation after a period of six weeks
               following the adoption of the decision of the Commission identifying that third
               country as such, except for any operations carried out in the event that the Council
               has rejected a proposal to designate that third country as non-cooperating pursuant to
               Article 33 of that Regulation.
3.      To that end, an operator shall provide the following information related to the period
        during which the vessel operated under a third-country flag required by a flag Member
        State:
        (a)    a declaration of catches and fishing effort during the relevant period as required by
               the third-country flag State;
        (b)    a copy of any fishing authorisations permitting fishing operations during the relevant
               period;
        (c)    an official statement by the third country where the vessel was reflagged listing the
               sanctions the vessel or the operator had been subject to during the relevant period;
        (d)    complete flag history during the period when the vessel had left the Union fleet
               register.
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                                                DGB 2A                                            EN
 ---pagebreak--- 4.      A flag Member State shall not issue a fishing authorisation to a vessel that has been
        reflagged in a third country:
        (a)   listed as non-cooperating in fighting IUU fishing pursuant to Article 33 of the IUU
              Regulation;
        (b)   identified as non-cooperating in fighting IUU fishing pursuant to Article 31 of the
              IUU Regulation after a period of six weeks following the adoption of the decision of
              the Commission identifying that third country as such, except for any operations
              carried out in the event that the Council has rejected a proposal to designate that third
              country as non-cooperating pursuant to Article 33 of that Regulation; or
        (c)   identified as allowing non-sustainable fishing pursuant to point (a) of Article 4(1) of
              Regulation (EU) No 1026/2012.
5.      Paragraph 4 shall not apply if the flag Member State is satisfied that, as soon as the
        circumstances described in points (b) to (d) of paragraph 2 or points (a) to (c) of
        paragraph 4 became applicable, the operator:
        (a)   ceased fishing operations; and
        (b)   immediately started the relevant administrative procedures to remove the vessel from
              the fishing fleet register of the third country.
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                                                 DGB 2A                                          EN
 ---pagebreak---                                                 Article 7
                                  Management of fishing authorisations
1.      When applying for a fishing authorisation, an operator shall provide the flag Member State
        with complete and accurate data.
2.      An operator shall immediately inform the flag Member State of any change to the related
        data.
3.      A flag Member State shall on a regular basis monitor whether the conditions on the basis
        of which a fishing authorisation has been issued continue to be met during the period of
        validity of that authorisation.
4.      If, as a result of the final outcome of the monitoring activities referred to in paragraph 3,
        there is evidence that the conditions on the basis of which a fishing authorisation has been
        issued are no longer met, the flag Member State shall take appropriate action, including
        amending or withdrawing the authorisation and, if necessary, imposing sanctions. The
        sanctions applied by the flag Member State in respect of infringements shall be sufficiently
        stringent to ensure effective compliance with the rules, to prevent infringements and to
        deprive offenders of the benefits derived from infringements. The flag Member State shall
        immediately notify the operator and the Commission thereof. Where relevant, the
        Commission shall notify the secretariat of the RFMO or the third country concerned
        accordingly.
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                                                DGB 2A                                             EN
 ---pagebreak--- 5.      Upon a reasoned request from the Commission, a flag Member State shall take appropriate
        action as provided for in paragraph 4, in the event of contravention of conservation and
        management measures of marine biological resources adopted by an RFMO to which the
        Union is a contracting party, or under SFPAs.
6.      Where the Union is a contracting party to an RFMO and a Union fishing vessel does not
        comply with the conditions set out in point (b) of Article 21 as established in the final
        inspection report recognised by the RFMO, and where the flag Member State fails to take
        the appropriate action as provided for in paragraph 4 of this Article, the Commission may
        by decision require the flag Member State concerned to ensure that the Union fishing
        vessel concerned fulfils those conditions.
        Where the flag Member State concerned has not taken appropriate action to comply with
        the Commission decision referred to in the first subparagraph within a period of 15 days,
        the Commission shall send the updated details of the fishing vessels referred to in
        Article 22 to the Secretariat of the RFMO to address the vessel concerned. The
        Commission shall inform the flag Member State of its action. The flag Member State shall
        notify the operator of the action of the Commission.
7.      Where the Union has concluded an SFPA with a third country and a Union fishing vessel
        does not comply with the conditions set out in point (b) of Article 10 as established in the
        final inspection report recognised by the competent authorities, and where the flag Member
        State fails to take the appropriate action as provided for in paragraph 4 of this Article, the
        Commission may by decision require the flag Member State concerned to ensure that the
        Union fishing vessel concerned fulfils those conditions.
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                                                DGB 2A                                             EN
 ---pagebreak---         Where the flag Member State concerned has not taken appropriate action to comply with
        the Commission decision referred to in the first subparagraph within a period of 15 days,
        the Commission shall send the updated details of the fishing vessels to the third country to
        address the Union fishing vessel concerned. The Commission shall inform the flag
        Member State of its action. The flag Member State shall notify the operator of the action of
        the Commission.
                                            Chapter II
                    Fishing operations by Union fishing vessels
                                  in third-country waters
                                             SECTION 1
                             FISHING OPERATIONS UNDER SFPAS
                                               Article 8
                                                Scope
This Section shall apply to fishing operations carried out by Union fishing vessels in third-country
waters under an SFPA.
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                                               DGB 2A                                            EN
 ---pagebreak---                                                   Article 9
                                             RFMO Membership
A Union fishing vessel may only carry out fishing operations in waters of a third country on stocks
managed by an RFMO if that third country is a contracting party to that RFMO.
                                                  Article 10
                    Conditions for fishing authorisations by the flag Member State
A flag Member State may only issue a fishing authorisation for fishing operations carried out in
third-country waters under an SFPA if:
(a)      the eligibility criteria set out in Article 5 are fulfilled;
(b)      the conditions set out in the relevant SFPA are complied with;
(c)      the operator has paid all fees due under the relevant agreements, and where applicable,
         related financial sanctions established by a judicial or administrative decision having final
         and binding effect; and
(d)      the fishing vessel has a valid fishing authorisation issued by the third country with
         sovereignty or jurisdiction over the waters where the fishing operations take place.
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                                                   DGB 2A                                         EN
 ---pagebreak---                                                Article 11
                Procedure for obtaining fishing authorisations of the third country
1.      For the purpose of point (d) of Article 10, a flag Member State that has verified that the
        conditions set out in points (a) to (c) of Article 10 are complied with shall send to the
        Commission the corresponding application for the authorisation of the third country.
2.      The application referred to in paragraph 1 shall contain the information required under the
        SFPA.
3.      The flag Member State shall send the application to the Commission at least 10 calendar
        days before the deadline for the transmission of applications laid down in the SFPA. The
        Commission may send a duly justified request to the flag Member State for any additional
        information necessary for verifying the conditions.
4.      Upon receipt of the application or any additional information requested pursuant to
        paragraph 3 of this Article, the Commission shall conduct a preliminary examination to
        determine whether the conditions set out in points (a) to (c) of Article 10 are met. The
        Commission shall then:
        (a)   send the application to the third country without delay and, in any event, before the
              expiry of the deadline for the transmission of applications laid down in the SFPA,
              provided that the deadline set out in paragraph 3 of this Article has been met; or
        (b)   notify the Member State that the application is refused.
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                                                DGB 2A                                            EN
 ---pagebreak--- 5.      If a third country informs the Commission that it has decided to issue, refuse, suspend or
        withdraw a fishing authorisation for a Union fishing vessel under the agreement, the
        Commission shall immediately inform the flag Member State accordingly, if possible by
        electronic means.
                                                Article 12
                       Temporary reallocation of unused fishing opportunities
                                      in the framework of SFPAs
1.      During a specific year or any other relevant period of the implementation of a protocol to
        an SFPA taking into account validity periods of the fishing authorisations and fishing
        seasons, the Commission may identify unused fishing opportunities and inform Member
        States benefiting from the corresponding shares of the allocation accordingly.
2.      Within 10 calendar days of receipt of this information from the Commission, the Member
        States referred to in paragraph 1 may:
        (a)    inform the Commission that they will use their fishing opportunities later in the
               relevant period of implementation by providing a fishing plan with detailed
               information on the number of fishing authorisations requested, the estimated catches,
               area and period of fishing; or
        (b)    notify the Commission of the use of their fishing opportunities through exchanges of
               fishing opportunities, pursuant to Article 16(8) of the Basic Regulation.
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                                                 DGB 2A                                          EN
 ---pagebreak--- 3.      If certain Member States have not informed the Commission of one of the actions referred
        to in paragraph 2, or have informed it of a partial use of their fishing opportunities only,
        and, if as a result, fishing opportunities remain unused, the Commission may launch a call
        for interest for the available unused fishing opportunities among the other Member States
        benefiting from a share of the allocation. The Commission shall at the same time inform all
        Member States of the launch of the call for interest.
4.      Within 10 calendar days of receipt of the call for interest referred to in paragraph 3,
        Member States benefiting from a share of the allocation may communicate their interest in
        the available unused fishing opportunities to the Commission. In support for their request,
        they shall provide a fishing plan with detailed information on the number of fishing
        authorisations requested, the estimated catches, area and period of fishing.
5.      If deemed necessary for the assessment of the request, the Commission may ask the
        Member States concerned for additional information.
6.      In the absence of interest in the total amount of the available unused fishing opportunities
        by the Member States benefiting from a share of the allocation at the end of the 10-day
        period referred to in paragraph 4, the Commission may extend the call for interest to all
        Member States. A Member State may communicate its interest in the unused fishing
        opportunities under the conditions referred to in that paragraph.
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                                                DGB 2A                                            EN
 ---pagebreak--- 7.      On the basis of the information provided by Member States in accordance with paragraph 4
        or 6 of this Article, the unused fishing opportunities shall be reallocated by the Council in
        accordance with Article 43(3) TFEU, solely on a temporary basis for the relevant period of
        time referred to in paragraph 1 of this Article.
        The Commission shall inform the Member States of the Member States to which the
        reallocation has been made and the quantities reallocated.
8.      The temporary reallocation of fishing opportunities shall be based on transparent and
        objective criteria including, where applicable, those of an environmental, social and
        economic nature. Those criteria may include:
        (a)   the fishing opportunities available for reallocation;
        (b)   the number of requesting Member States;
        (c)   the share assigned to each requesting Member State in the initial allocation of fishing
              opportunities;
        (d)   the historic catch and effort levels of each requesting Member State, where
              applicable;
        (e)   the viability of the fishing plans provided by the requesting Member States, in light
              of the number, type and characteristics of vessels and gear used.
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                                               DGB 2A                                            EN
 ---pagebreak---                                                Article 13
         Sub-allocation of a yearly quota broken down into several successive catch limits
1.      Where a protocol to an SFPA sets monthly or quarterly catch limits or other subdivisions
        of the fishing opportunities available for the relevant year, and where the fishing
        opportunities allocated are not all used during the same monthly, quarterly or otherwise
        applicable period of time, the corresponding available fishing opportunities shall be sub-
        allocated by the Council in accordance with Article 43(3) TFEU among the Member States
        concerned for the relevant periods of time.
2.      The sub-allocation of the available fishing opportunities shall be carried out using
        transparent and objective criteria. It shall be consistent with the annual fishing
        opportunities allocated to Member States under the relevant Council Regulation.
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                                                DGB 2A                                          EN
 ---pagebreak---                                               SECTION 2
                         FISHING OPERATIONS UNDER AGREEMENTS
                            ON EXCHANGE OR JOINT MANAGEMENT
                                               Article 14
                                        Applicable provisions
1.      Articles 8 to 11 shall apply mutatis mutandis to Union fishing vessels fishing in third-
        country waters under an agreement on exchange of fishing opportunities or joint
        management of fish stocks of common interest.
2.      By way of derogation from Article 11, a flag Member State may provide the Commission
        with the details of Union fishing vessels that are eligible for carrying out fishing operations
        in third-country waters under the relevant agreement. When it is established that the
        conditions set out in points (a) to (c) of Article 10 are met, the Commission shall forward
        the details of the relevant Union fishing vessels to the third country without delay. As soon
        as the third country informs the Commission that the details of those Union fishing vessels
        has been approved, the Commission shall inform the flag Member State accordingly. The
        Union fishing vessels for which the required details have been provided shall be
        considered to have a valid fishing authorisation for the purpose of point (d) of Article 10.
        The Commission shall also inform the flag Member State without delay by electronic
        means of any notification by the third country that a Union fishing vessel is not eligible for
        carrying out fishing operations in its waters.
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                                                DGB 2A                                            EN
 ---pagebreak---                                               Article 15
                Consultations with third countries in respect of Union fishing vessels
The Commission is empowered to adopt delegated acts, in accordance with Article 44, in order to
supplement Article 10 by implementing in Union law the outcome of the consultations between the
Union and third countries with which the Union has concluded an agreement, or of arrangements
with coastal States with which fish stocks are shared, as regards the conditions for fishing
authorisations.
                                             SECTION 3
                  FISHING OPERATIONS UNDER DIRECT AUTHORISATIONS
                                              Article 16
                                                Scope
This Section shall apply to fishing operations carried out by Union fishing vessels in waters of a
third country outside the framework of an agreement referred to in Section 1 or 2.
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                                               DGB 2A                                            EN
 ---pagebreak---                                                   Article 17
                   Conditions for fishing authorisations by the flag Member States
1.      A flag Member State may only issue a fishing authorisation for fishing operations carried
        out in third-country waters outside the framework of an agreement referred to in Section 1
        or 2 if:
        (a)    the eligibility criteria set out in Article 5 are fulfilled;
        (b)    no SFPA or agreement on exchange of fishing opportunities or joint management
               with the third country concerned is in force or provisionally applied;
        (c)    the operator has provided each of the following:
               –      a copy of or an exact reference to the applicable fisheries legislation as
                      provided to the operator by the third country with sovereignty or jurisidiction
                      over the waters where the activities take place;
               –      a scientific evaluation demonstrating the sustainability of the planned fishing
                      operations, including consistency with the provisions of Article 62 of
                      UNCLOS, as applicable;
               –      a designated official, public bank account number for the payment of all the
                      fees;
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                                                   DGB 2A                                          EN
 ---pagebreak---         (d)    in the event that the fishing operations are to be carried out on species managed by
               an RFMO, the third country is a contracting party to that organisation; and
        (e)    the operator has provided either:
               –     a valid fishing authorisation for the fishing vessel concerned, issued by the
                     third country with sovereignty or jurisdiction over the waters where the fishing
                     operations take place; or
               –     a written confirmation issued by the third country with sovereignty or
                     jurisdiction over the waters where the fishing operations take place, following
                     the discussions between the operator and that third country, of the terms of the
                     intended direct authorisation to give the operator access to its fishing resources,
                     including the duration, conditions, and fishing opportunities expressed as effort
                     or catch limits.
2.      In any event, fishing operations shall not commence until the third country has issued the
        valid fishing authorisation referred to in point (e) of paragraph 1. The flag Member State
        shall suspend its authorisation if the third-country authorisation has not been issued by the
        beginning of the planned fishing operations.
3.      The scientific evaluation referred to in the second indent of point (c) of paragraph 1 shall
        be provided by an RFMO or by a regional fisheries body with scientific competence or
        shall be provided by, or in cooperation with, the third country. The scientific evaluation
        emanating from the third country shall be reviewed by a scientific institute or body of a
        Member State or of the Union.
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                                                DGB 2A                                             EN
 ---pagebreak---                                                Article 18
                 Procedure for obtaining fishing authorisations of the third country
1.      A flag Member State that has verified that the conditions set out in points (a) to (e) of
        Article 17(1) are complied with shall send the Commission the relevant information listed
        in the Annex, and information related to the fulfilment of the conditions set out in point (c)
        of Article 17(1).
2.      If the Commission considers that the information referred to in paragraph 1 of this Article
        is insufficient to assess the fulfilment of the conditions set out in Article 17, it shall request
        further information or justification within 10 working days of the receipt of that
        information.
3.      If, following the request for further information or justification referred to in paragraph 2
        of this Article and after discussions with the Member State concerned, the Commission
        finds that the conditions set out in Article 17 are not met, it may object to the granting of
        the fishing authorisation within 30 calendar days of receipt of all the required information
        or justification. If the Commission finds that those conditions are met, it shall inform the
        Member State concerned without delay of its intention not to object.
4.      The flag Member State may issue the fishing authorisation upon expiry of the period
        referred to in paragraph 2. Where the Commission has requested further information in
        accordance with that paragraph, the flag Member State may issue the fishing authorisation
        if no objection has been raised by the Commission within the deadline referred to in
        paragraph 3 or prior to that deadline, provided that the Commission has informed the
        Member State of its intention not to raise objections.
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                                                DGB 2A                                               EN
 ---pagebreak--- 5.      By way of derogation from paragraphs 1 to 4, in the event of renewal of a fishing
        authorisation with the same terms and conditions and within two years from the granting of
        the initial fishing authorisation, the flag Member State may issue the fishing authorisation
        upon verification of the information received in relation to the conditions set out in points
        (a), (b), (d) and (e) of Article 17(1) and shall inform the Commission thereof without
        delay.
6.      If a third country informs the Commission that it has decided to issue, refuse, suspend or
        withdraw a direct authorisation to a Union fishing vessel, the Commission shall
        immediately inform the flag Member State accordingly.
7.      If a third country informs the flag Member State that it has decided to issue, refuse,
        suspend or withdraw a direct authorisation to a Union fishing vessel, the flag Member
        State shall immediately inform the Commission accordingly.
8.      An operator shall provide the flag Member State with a copy of the agreed final conditions
        between him and the third country, including a copy of the direct authorisation.
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                                                 DGB 2A                                          EN
 ---pagebreak---                                             Chapter III
                     Fishing operations by Union fishing vessels
                              under the auspices of RFMOs
                                               Article 19
                                                 Scope
This Chapter shall apply to fishing operations carried out by Union fishing vessels fishing for stocks
under the auspices of an RFMO, in or outside Union waters, insofar as their operations are subject
to an authorisation regime put in place by the RFMO.
                                               Article 20
                                        Fishing authorisations
1.       A Union fishing vessel the fishing operations of which are subject to an authorisation
         regime adopted by the RFMO shall not carry out fishing operations under the auspices of
         the RFMO unless:
         (a)   the Union is a contracting party to the RFMO;
         (b)   it has been issued with a fishing authorisation by its flag Member State;
         (c)   it has been included in the relevant register or list of authorised vessels of the RFMO;
               and
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                                                DGB 2A                                              EN
 ---pagebreak---         (d)    where the fishing operations are carried out in third-country waters, it has been
               issued with a fishing authorisation by the relevant third country in accordance with
               Chapter II.
2.      Point (a) of paragraph 1 of this Article shall not apply in respect of Union fishing vessels
        fishing exclusively in Union waters that have already been issued with a fishing
        authorisation in accordance with Article 7 of the Control Regulation.
                                                 Article 21
                   Conditions for fishing authorisations by the flag Member States
A flag Member State may issue a fishing authorisation only if:
(a)     the eligibility criteria set out in Article 5 are fulfilled;
(b)     the rules laid down by the RFMO or the transposing Union law are complied with; and
(c)     where the fishing operations are carried out in third-country waters, the criteria set out in
        Articles 10 or 17 are complied with.
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                                                  DGB 2A                                          EN
 ---pagebreak---                                                Article 22
                                       Registration by RFMOs
1.      A flag Member State shall send the Commission details of vessels it has authorised for
        fishing operations in accordance with Article 20 of this Regulation or, in the case of Article
        20(2) of this Regulation, in accordance with Article 7 of the Control Regulation.
2.      The details referred to in paragraph 1 shall be drawn up in accordance with conditions laid
        down by the RFMO and accompanied by the information required by that organisation.
3.      The Commission may request any additional information that it deems necessary from the
        flag Member State within a period of 10 days after receiving the details referred to in
        paragraph 1. It shall provide a justification for any such request.
4.      When it is satisfied that the conditions set out in Article 21 are met, and within a period of
        15 days after receiving the details referred to in paragraph 1 of this Article, the
        Commission shall send the details of authorised vessels to the RFMO.
5.      If the RMFO register or list is not public, the Commission shall circulate the details of
        authorised vessels to the Member States involved in the relevant fishery.
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                                                DGB 2A                                            EN
 ---pagebreak---                                              Chapter IV
       Fishing operations by Union fishing vessels on the high seas
                                                 Article 23
                                                   Scope
This Chapter shall apply to fishing operations carried out on the high seas falling outside the scope
of Chapter III by Union fishing vessels exceeding 24 metres in overall length.
                                                 Article 24
                   Conditions for fishing authorisations by the flag Member States
A flag Member State may issue a fishing authorisation for fishing operations on the high seas only
if:
(a)     the eligibility criteria set out in Article 5 are fulfilled;
(b)     the planned fishing operations are:
        –      in accordance with a scientific evaluation, demonstrating the sustainability of the
               planned fishing operations, provided or validated by a scientific institute in the flag
               Member State; or
        –      part of a research programme, including a scheme for data collection, organised by a
               scientific body. The scientific protocol of the research, which will be required in any
               event, shall be validated by a scientific institute in the flag Member State.
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                                                  DGB 2A                                           EN
 ---pagebreak---                                                 Article 25
                            Procedure for obtaining fishing authorisations
1.      A flag Member State that has verified that the conditions set out in Article 24 are complied
        with, shall send to the Commission the information listed in the Annex, and information
        related to the fulfilment of the conditions set out in Article 5.
2.      If the Commission considers that the information provided in accordance with paragraph 1
        of this Article is insufficient to assess the fulfilment of the conditions set out in Article 24,
        it shall request further information or justification within 10 calendar days of receipt of that
        information.
3.      If, after receiving the requested additional information or justification referred to in
        paragraph 2 of this Article, the Commission finds that the conditions set out in Article 24
        are not met, it may object to the granting of the fishing authorisation within five calendar
        days of receipt of the additional information or justification. If the Commission finds that
        the conditions are met, it shall inform the Member State concerned without delay of its
        intention not to object.
4.      The flag Member State may issue the fishing authorisation upon expiry of the period
        referred to in paragraph 2. Where the Commission has requested further information in
        accordance with that paragraph, the flag Member State may issue the fishing authorisation
        if no objection has been raised by the Commission within the deadline referred to in
        paragraph 3 or prior to that deadline, provided that the Commission informed the Member
        State of its intention not to raise objections.
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                                                 DGB 2A                                              EN
 ---pagebreak---                                             Chapter V
                          Chartering of Union fishing vessels
                                              Article 26
                                              Principles
1.      A Union fishing vessel shall not carry out fishing operations under chartering arrangements
        in waters in which an SFPA is in force or is provisionally applied.
2.      A Union fishing vessel shall not carry out fishing operations under more than one
        chartering arrangement at the same time or engage in sub-chartering.
3       Union fishing vessels shall operate under chartering agreements in waters under the
        auspices of an RFMO only if the State to which the vessel is chartered is a contracting
        party to that organisation.
4.      A chartered Union fishing vessel shall not use the fishing opportunities of its flag Member
        State during the period of application of the charter. The catches of a chartered Union
        fishing vessel shall be counted against the fishing opportunities of the chartering State.
5.      Nothing in this Regulation shall diminish the responsibilities of the flag Member State with
        respect to its obligations under international law, the Control Regulation, the IUU
        Regulation or other provisions of the CFP, including reporting requirements.
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                                               DGB 2A                                            EN
 ---pagebreak--- 6.       The holder of the fishing licence of a Union fishing vessel that is to be chartered shall
         inform the flag Member State of the chartering arrangement before its start. That Member
         State shall inform the Commission thereof without delay.
                                               Article 27
                Management of fishing authorisations under a chartering arrangement
When issuing a fishing authorisation to a vessel in accordance with Article 17, 21 or 24, and when
the relevant fishing operations are carried out under a chartering arrangement, the flag Member
State shall verify that:
(a)      the chartering State's competent authority has officially confirmed that the arrangement is
         in line with its national law; and
(b)      the details of the chartering arrangement are specified in the fishing authorisation including
         time period, fishing opportunities and fishing area.
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                                                DGB 2A                                             EN
 ---pagebreak---                                            Chapter VI
                                Transhipment operations
                                              Article 28
                                      Transhipment operations
1.      Any transhipment operation conducted by a Union fishing vessel on the high seas or under
        direct authorisations shall be conducted in accordance with Articles 21 and 22 of the
        Control Regulation. The flag Member State shall provide the Commission by the end of
        March each year, for transhipments which took place the previous year, with the
        information given in the transhipment declaration, the date of transhipment, the
        geographical position and area where the transhipment took place.
2.      Masters of Union fishing vessels fishing under direct authorisations or on the high seas
        shall notify the competent authorities of their flag Member State, prior to the transhipment,
        of the following information:
        (a)   the name and external identification number of the receiving vessel;
        (b)   the time and geographical position of the planned transhipment operation; and
        (c)   the estimated quantities of species to be transhipped.
3.      This Article shall not apply to transhipments carried out in ports by Union fishing vessels.
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                                               DGB 2A                                           EN
 ---pagebreak---                                              Chapter VII
                         Observation and reporting obligations
                                                Article 29
                                        Observer programme data
If data are collected on board a Union fishing vessel under an observer programme, related reports
shall be sent, in accordance with the transmission rules specified in the observer programme,
without delay to the competent authority of the flag Member State.
                                                Article 30
                                      Information to third countries
1.        When carrying out fishing operations under this Title the master of a Union fishing vessel
          or that master's representative shall make the relevant catch declarations and landing
          declarations available to the third country, and in addition send its flag Member State an
          electronic copy of those data.
2.        A flag Member State shall assess, through cross-checking in accordance with Article 109
          of the Control Regulation, the consistency of the data referred to in paragraph 1 of this
          Article, with the data it has received in accordance with that Regulation and, where
          applicable, in accordance with relevant provisions of the SFPA.
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                                                  DGB 2A                                           EN
 ---pagebreak--- 3.       The non-transmission of catch declarations or landing declarations to the third country
         referred to in paragraph 1 of this Article shall also be considered serious infringements for
         the purposes of Article 90 of the Control Regulation depending on the gravity of the
         infringement in question which shall be determined by the competent authority of the flag
         Member State, taking into account criteria such as the nature of the damage, its value, the
         economic situation of the offender and the extent of the infringement or its repetition.
                                             TITLE III
               FISHING OPERATIONS BY THIRD-COUNTRY
                    FISHING VESSELS IN UNION WATERS
                                                Article 31
                                  RFMO Membership Requirements
A third-country fishing vessel may only carry out fishing operations in Union waters on stocks
managed by an RFMO if the third country is a contracting party to that RFMO.
                                                Article 32
                                           General Principles
1.       A third-country fishing vessel shall not engage in fishing operations in Union waters unless
         it has been issued with a fishing authorisation by the Commission. It shall only be issued
         with such an authorisation if it fulfils the eligibility criteria set out in Article 5.
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                                                 DGB 2A                                           EN
 ---pagebreak--- 2.      A third-country vessel authorised to fish in Union waters shall comply with the rules
        governing the fishing operations of Union vessels in the fishing area in which it operates.
        Should the provisions laid down in the relevant fisheries agreement be different, the
        provisions shall be stated explicitly either in that agreement or by means of rules agreed
        with the third country implementing that agreement.
3.      If a third-country fishing vessel is sailing through Union waters without an authorisation
        issued under this Regulation, its fishing gear shall be lashed and stowed in accordance with
        the conditions laid down in Article 47 of the Control Regulation so that it is not readily
        usable for fishing operations.
                                               Article 33
                                 Conditions for fishing authorisations
1.      The Commission may only issue an authorisation to a third-country fishing vessel for
        fishing operations in Union waters if:
        (a)    there is a surplus of allowable catch that would cover the proposed fishing
               opportunities as required under Article 62(2) and (3) of UNCLOS;
        (b)    the conditions set out in the relevant fisheries agreement are complied with and the
               fishing vessel is eligible under the fisheries agreement with the third country
               concerned and, where relevant, is on the list of vessels under that agreement;
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                                                DGB 2A                                           EN
 ---pagebreak---         (c)    the information required under the agreement for the fishing vessel and the
               associated support vessel(s) is complete and accurate, and the vessel and any
               associated support vessel(s) have an IMO number when so required under Union
               law;
        (d)    the fishing vessel is not included in an IUU vessel list adopted by an RFMO and/or
               by the Union pursuant to the IUU Regulation;
        (e)    the third country is not listed as non-cooperating pursuant to the IUU Regulation or
               as allowing non-sustainable fishing pursuant to Regulation (EU) No 1026/2012.
2.      Point (a) of paragraph 1 shall not apply to third-country vessels carrying out fishing
        operations under an agreement on exchange of fishing opportunities or joint management
        of fish stocks of common interest.
                                                Article 34
                            Procedure for obtaining fishing authorisations
1.      The third country concerned shall send the Commission the applications for its fishing
        vessels before the deadline in the agreement concerned or that set by the Commission.
2.      The Commission may ask the third country for additional information necessary for
        verifying that the conditions provided for in Article 33 have been met.
3.      When it is established that the conditions referred to in paragraph 2 are met, the
        Commission shall issue a fishing authorisation and inform the third country and the
        Member States concerned of this without delay.
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                                                 DGB 2A                                         EN
 ---pagebreak---                                                Article 35
                                Management of fishing authorisations
1.      If a condition set out in Article 33 is no longer met, the Commission shall take the
        appropriate action, including to amend or withdraw the authorisation, and inform the third
        country and the Member States concerned of this.
2.      The Commission may refuse, suspend or withdraw the authorisation issued to the
        third-country fishing vessel in cases where a fundamental change of circumstances has
        occurred or in cases of a serious threat to the sustainable exploitation, management and
        conservation of marine biological resources, or where it is essential in order to prevent or
        suppress IUU fishing, or in cases where the Union has decided to suspend or sever
        relations with the third country concerned.
        The Commission shall immediately inform the third country concerned in the event that it
        refuses, suspends or withdraws the authorisation in accordance with the first subparagraph.
                                               Article 36
                                    Closure of fishing operations
1.      Where fishing opportunities granted to a third country are deemed to have been exhausted,
        the Commission shall immediately notify it and the competent inspection authorities of the
        Member States of this. To ensure the continuance of fishing operations of non-exhausted
        fishing opportunities, which may also affect the exhausted opportunities, the third country
        shall submit to the Commission technical measures preventing any negative impact on the
        exhausted fishing opportunities.
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                                                DGB 2A                                           EN
 ---pagebreak--- 2.      From the date of the notification referred to in paragraph 1, the fishing authorisations
        issued to vessels flying the flag of that third country concerned shall be considered to be
        suspended for the fishing operations concerned and the vessels shall no longer be
        authorised to engage in those fishing operations.
3.      Fishing authorisations shall be considered to be withdrawn where a suspension of fishing
        authorisations in accordance with paragraph 2 concerns all the operations for which they
        have been granted.
4.      The third country shall ensure that the fishing vessels concerned are informed immediately
        of the application of this Article and that they cease all fishing operations concerned. The
        third country shall also inform the Commission without delay when fishing vessels flying
        its flag have ceased their fishing operations.
                                               Article 37
                               Overfishing of quotas in Union waters
1.      When the Commission establishes that a third country has exceeded the quotas it has been
        allocated for a stock or group of stocks, the Commission shall operate deductions from the
        quotas allocated to that country for that stock or group of stocks in subsequent years. The
        Commission shall endeavour to ensure that the amount of the deduction is consistent with
        deductions imposed on Member States in similar circumstances.
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                                                DGB 2A                                            EN
 ---pagebreak--- 2.      If a deduction in accordance with paragraph 1 cannot be made on the quota for a stock or
        group of stocks that was overfished as such because that quota for a stock or group of
        stocks is not sufficiently available to the third country concerned, the Commission may,
        after consultation with the third country concerned, operate from quotas in subsequent
        years for other stocks or groups of stocks available to that third country in the same
        geographical area, or to the corresponding commercial value.
                                               Article 38
                                      Control and enforcement
1.      A third-country vessel authorised to fish in Union waters shall comply with the control
        rules governing the fishing operations of Union vessels in the fishing area in which it
        operates.
2.      A third-country vessel authorised to fish in Union waters shall provide to the Commission
        or the body designated by it, and, where relevant, to the coastal Member State, the data
        which Union vessels are required to send to the flag Member State under the Control
        Regulation.
3.      The Commission, or the body designated by it, shall send the data referred to in paragraph
        2 to the coastal Member State.
4.      A third-country vessel authorised to fish in Union waters shall provide upon request to the
        Commission or the body designated by it the observer reports produced under applicable
        observer programmes.
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                                                DGB 2A                                          EN
 ---pagebreak--- 5.      A coastal Member State shall record all infringements committed by third-country fishing
        vessels, including the related sanctions, in the national register provided for in Article 93 of
        the Control Regulation.
                                             TITLE IV
                             DATA AND INFORMATION
                                               Article 39
              Union database for fishing authorisations issued under this Regulation
1.      The Commission shall set up and maintain an electronic Union fishing authorisation
        database containing all fishing authorisations granted in accordance with Titles II and III,
        made of a public part and a secure part. That database shall:
        (a)   record all information submitted in accordance with the Annex and other information
              submitted to the Commission for the purpose of issuing fishing authorisations under
              Titles II and III, including the name, city, country of residence of the owner and of
              up to five main beneficial owners, and display the status of each authorisation as
              soon as possible;
        (b)   be used for data and information exchange between the Commission and a Member
              State; and
        (c)   be used for the purposes of sustainable management of fishing fleets as well as for
              the purposes of control only.
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                                                DGB 2A                                             EN
 ---pagebreak--- 2.      The list of all fishing authorisations issued under Titles II and III in the database shall be
        publicly accessible and contain all of the following information:
        (a)   the name and flag of the vessel and its CFR and IMO numbers where required under
              Union law;
        (b)   the type of authorisation including target species or species group(s); and
        (c)   the authorised time and area of fishing operation (start and end dates; fishing area).
3.      A Member State shall use the database to submit applications for fishing authorisations to
        the Commission and to keep its details updated, as required under Articles 11, 18, 22 and
        26, and a third country shall use the database to submit applications for fishing
        authorisations as required under Article 34.
                                               Article 40
                                        Technical requirements
1.      The exchange of information referred to in Titles II, III and IV shall be carried out in an
        electronic format.
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                                                DGB 2A                                              EN
 ---pagebreak--- 2.        The Commission may adopt implementing acts, without prejudice to the provisions of
          Directive 2007/2/EC of the European Parliament and of the Council 1, establishing
          technical operational requirements for the recording, formatting and transmission of the
          information referred to in Titles II, III and IV. The technical operational requirements shall
          become applicable not earlier than six months, and not later than 18 months, after their
          adoption. Those implementing acts shall be adopted in accordance with the examination
          procedure referred to in Article 45(2).
                                                 Article 41
                                              Access to data
Without prejudice to Article 110 of the Control Regulation, the Member States or the Commission
shall grant access to the secure part of the Union database for external fishing fleets' fishing
authorisations referred to in Article 39 of this Regulation to the relevant competent administrative
services involved in the management of fishing fleets.
                                                 Article 42
                  Data management, protection of personal data and confidentiality
Data obtained under this Regulation shall be handled in accordance with Articles 112 and 113 of the
Control Regulation, Regulation (EC) No 45/2001 and Directive 95/46/EC and its national
implementing rules.
1
        Directive 2007/2/EC of the European Parliament and of the Council of 14 March 2007
        establishing an Infrastructure for Spatial Information in the European Community
        (INSPIRE) (OJ L 108, 25.4.2007, p. 1).
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                                                  DGB 2A                                           EN
 ---pagebreak---                                               Article 43
                             Relations with third countries and RFMOs
1.      When a Member State receives information from a third country or an RFMO which is
        relevant for the effective application of this Regulation, it shall communicate that
        information to the Commission or the body designated by it, and, where appropriate, to
        other Member States concerned, provided that it is permitted to do so under bilateral
        agreements with that third country or the rules of the RFMO concerned.
2.      The Commission or the body designated by it may, in the framework of fisheries
        agreements concluded between the Union and third countries, under the auspices of
        RFMOs to which the Union is a contracting party, communicate relevant information
        concerning non-compliance with the rules of this Regulation, or serious infringements, to
        other parties to those agreements or organisations subject to the consent of the Member
        State that supplied the information and in accordance with Regulation (EC) No 45/2001.
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                                               DGB 2A                                         EN
 ---pagebreak---                                               TITLE V
                           PROCEDURES, DELEGATION
                        AND IMPLEMENTING MEASURES
                                                Article 44
                                       Exercise of the delegation
1.      The power to adopt delegated acts is conferred on the Commission subject to the
        conditions laid down in this Article.
2.      The power to adopt delegated acts referred to in Articles 5(2) and 15 shall be conferred on
        the Commission for a period of five years from ... [the date of entry into force of this
        Regulation]. The Commission shall draw up a report in respect of the delegation of power
        not later than nine months before the end of that five-year period. The delegation of power
        shall be tacitly extended for periods of an identical duration, unless the European
        Parliament or the Council opposes such extension not later than three months before the
        end of each period.
3.      The delegation of power referred to in Articles 5(2) and 15 may be revoked at any time by
        the European Parliament or by the Council. A decision to revoke shall put an end to the
        delegation of the power specified in that decision. It shall take effect the day following the
        publication of that decision in the Official Journal of the European Union or at a later date
        specified therein. It shall not affect the validity of any delegated acts already in force.
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                                                 DGB 2A                                             EN
 ---pagebreak--- 4.      Before adopting a delegated act, the Commission shall consult experts designated by each
        Member State in accordance with the principles laid down in the Interinstitutional
        Agreement of 13 April 2016 on Better Law-Making.
5.      As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the
        European Parliament and to the Council.
6.      A delegated act adopted pursuant to Articles 5(2) and 15 shall enter into force only if no
        objection has been expressed either by the European Parliament or by the Council within a
        period of two months of notification of that act to the European Parliament and the Council
        or if, before the expiry of that period, the European Parliament and the Council have both
        informed the Commission that they will not object. That period shall be extended by two
        months at the initiative of the European Parliament or of the Council.
                                               Article 45
                                         Committee procedure
1.      The Commission shall be assisted by the Committee for Fisheries and Aquaculture
        established under Article 47 of the Basic Regulation. That committee shall be a committee
        within the meaning of Regulation (EU) No 182/2011.
2.      Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall
        apply.
3.      Where reference is made to this paragraph, Article 8 of Regulation (EU) No 182/2011, in
        conjunction with Article 5 thereof, shall apply.
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                                                DGB 2A                                           EN
 ---pagebreak---                                             TITLE VI
                                   FINAL PROVISIONS
                                              Article 46
                                                Repeal
1.    The FAR is hereby repealed.
2.      References to provisions of the repealed Regulation shall be construed as references to this
        Regulation.
                                              Article 47
                  Transitional provisions concerning the temporary reallocation
                          of fishing opportunities under existing protocols
1.      By way of derogation from Article 12, for those protocols to SFPAs that are in force or are
        provisionally applied on ... [the date of entry into force of this Regulation], the procedure
        for temporary reallocation of fishing opportunities set out in this Article shall be used until
        the expiry of the protocol in question.
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                                               DGB 2A                                             EN
 ---pagebreak--- 2.      In the context of an SFPA if, on the basis of the requests for transmission of applications
        referred to in Article 11, it appears that the number of fishing authorisations or the amount
        of fishing opportunities allocated to the Union under a protocol are not fully utilised, the
        Commission shall inform the Member States concerned and shall request them to confirm
        not making use of those fishing opportunities. The absence of a reply within the deadlines,
        to be set by the Council upon the conclusion of the SFPA, shall be considered as
        confirmation that the vessels of the Member State concerned are not making full use of
        their fishing opportunities in the given period.
3.      After confirmation by the Member State concerned, the Commission shall assess the total
        non-utilised fishing opportunities and shall make that assessment available to the Member
        States.
4.      Member States wishing to make use of the non-utilised fishing opportunities referred to in
        paragraph 3 shall submit to the Commission a list of all vessels for which they intend to
        request a fishing authorisation, as well as the request for the transmission of applications
        for each of those vessels, in accordance with Article 11.
5.      The Commission shall decide on the reallocation, in close cooperation with the Member
        States concerned.
        If a Member State concerned objects to that reallocation, the Commission shall, by means
        of implementing acts, decide on the reallocation taking into account the criteria laid down
        in paragraph 8 of this Article, and shall notify the Member States concerned thereof. Those
        implementing acts shall be adopted in accordance with the examination procedure referred
        to in Article 45(2).
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                                                DGB 2A                                            EN
 ---pagebreak--- 6.      The transmission of applications in accordance with this Article shall in no way affect the
        allocation of fishing opportunities or their exchange amongst Member States, in
        accordance with Article 16 of the Basic Regulation.
7.      The Commission shall not be prevented from applying the mechanism referred to in
        paragraphs 2 to 5 until the deadlines referred to in paragraph 2 are finalised.
8.      For the reallocation of fishing opportunities under this Article, the Commission shall take
        into account, in particular:
        (a)   the date of each of the requests received;
        (b)   the fishing opportunities available for reallocation;
        (c)   the number of requests received;
        (d)   the number of requesting Member States; and
        (e)   if fishing opportunities are fully or partly based on amounts of fishing effort or
              catches, the fishing effort expected to be deployed or the catches expected to be
              made by each of the vessels concerned.
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                                                DGB 2A                                           EN
 ---pagebreak---                                                Article 48
                                           Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in the
Official Journal of the European Union.
Done at …,
For the European Parliament                                 For the Council
The President                                               The President
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                                                DGB 2A                                             EN
 ---pagebreak---                                             ANNEX
                                   List of data to be provided
I     APPLICANT
1     Name of the economic operator
2     Email
3     Address
4     Fax
5     Telephone
6     Name of the owner
7     Email
8     Address
9     Fax
10    Telephone
11    Name of association or agent representing the economic operator
12    Email
13    Address
14    Fax
15    Telephone
16    Name(s) of master(s)
17    Email
18    Address
19    Fax
20    Telephone
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ANNEX                                        DGB 2A                          EN
 ---pagebreak--- II    FISHING VESSEL
21    Vessel name
22    Vessel identifier (IMO number, CFR number, etc)
23    Method of fish preservation on board
24    Vessel type FAO code
25    Gear type FAO code
III   FISHING CATEGORY FOR WHICH AUTHORISATION IS REQUESTED
26    Type of authorisation (direct authorisation; high seas; support)
27    Fisheries area (FAO Area(s), Subarea(s), Division(s), Subdivision(s) as appropriate)
28    Area of operation (high seas; third country - specify)
29    Landing ports
30    Target species FAO code(s) (or fishing category for SFPA)
31    Authorisation period requested (start and end dates)
32    List of support vessels (vessel name; IMO number; CFR number)
IV    CHARTERING
33    Vessel operating under chartering arrangement (Y/N)
34    Type of chartering arrangement
35    Period of chartering (start and end dates)
36    Fishing opportunities (mt) allocated to vessel under chartering
37    Third country allocating fishing opportunities to the vessel under chartering
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ANNEX                                         DGB 2A                                       EN