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法規名稱(Title) Regulations for the Approval and Management of the Exporters of Catches or Fisheries Products of Distant Water Fisheries Ch
公發布日(Date) 2017.01.20
法規沿革(Legislative) The full text of 18 articles promulgated by the Council of
Agriculture, Executive Yuan on January 20, 2017, under Order
No. Nong-Yu-Tsu 1061332070.
法規內文(Content) Article 1
These Regulations are established pursuant to Article 25, 
paragraph 4 of the Act for Distant Water Fisheries (hereinafter 
referred to as “the Act”).
 
Article 2
The industry related to distant water fisheries intending to 
conduct the export trade of catches or fisheries products of 
distant water fisheries listed in Appendix 1 shall fill in the
 application form (format as shown in Appendix 2) and apply to 
the competent authority with the following documents for 
approval to be the exporter of catches or fisheries products
 of distant water fisheries (hereinafter referred to as “the 
exporter of distant water fisheries products”) :
(1) A copy of the National Identity Card of the legal 
representative or the person in charge.
(2) The basic registered company, business or factory 
information of the applicant downloaded from the website of the 
Department of Commerce of the Ministry of Economic Affairs.
(3) The basic registered importer/exporter information of the 
applicant downloaded from the website of the Bureau of Foreign 
Trade of the Ministry of Economic Affairs.
(4) Business Operation Prospectus (as shown in Appendix 3), 
which shall include the company's organizational chart, 
manpower deployment, items for purchases and sales, contractors 
for purchases and sales, risk management, etc.
(5) Code of Conduct and standard operating procedures (SOP) for
 the purchase and sale of catches or fisheries products of 
distant water fisheries as listed in Appendix 1.
The applicant as referred to in the preceding paragraph shall be
 limited to the importer/exporter registered with the Bureau of
 Foreign Trade of the Ministry of Economic Affairs.
The Code of Conduct as referred to in subparagraph (5) of 
paragraph 1 shall, in addition to meeting the requirements of 
the corresponding trading country on imported fisheries 
products, include the requirements for the exporters of distant 
water fisheries products stipulated in Article 6.
The SOP as referred to in subparagraph (5) of paragraph 1 shall 
include procedures for purchase, transport, storage, processing, 
or sales and shall be sufficient to trace the flow of catches or
 fisheries products and the legitimacy of their sources.
 
Article 3
For any application document(s) that does not meet the 
requirement(s) prescribed in Article 2, the competent authority 
shall request the supplementation within the required timeframe.
 Any application which fails to supplement within the required 
timeframe or with incomplete supplementation shall be denied.
 
Article 4
The competent authority will issue the approval certificate of 
the exporter of distant water fisheries products after the 
application as referred to in Article 2 has passed the 
examination. The approval certificate will record the following:
(1) Name and Tax ID Number.
(2) Operation address.
(3) Name of the legal representative or the person in charge.
(4) Approval number and issuing date.
(5) The issuing authority.
Any exporter of distant water fisheries products whose 
exportation eligibility has been revoked by the competent
 authority in accordance with Article 16 may only re-apply for 
the approval of the exporter of distant water fisheries 
products after the defect(s) found during the audit has been 
corrected and the rating above “A” has been given following 
the review conducted by the competent authority.
 
Article 5
In case of any of the following circumstances, the application 
made in accordance with Article 2 shall be denied:
(1) The applicant does not meet the requirement stipulated in 
Article 2, paragraph 2.
(2) The Code of Conduct and SOP do not meet the requirements 
stipulated in Article 2, paragraphs 3 and 4.
(3) Three years have not passed since the exportation 
eligibility has been revoked pursuant to Article 38, paragraph
 3 of the Act.
(4) Five years have not passed since the exportation 
eligibility has been revoked pursuant to Article 38, 
paragraph 5 of the Act.
 
Article 6
Any exporter of distant water fisheries products shall comply 
with the following provisions when purchasing or selling 
catches or fisheries products of distant water fisheries as 
listed in Appendix 1:
(1) In case that the fish species of the catches or fisheries 
products is under the management of the international 
fisheries organization(s), such catches or fisheries products 
shall come from the fishing vessel(s) authorized by relevant 
international fisheries organization(s).
(2) Catches or fisheries products shall not come from any 
fishing vessel listed on the illegal, unreported, and 
unregulated (IUU) fishing vessels list
promulgated by the competent authority pursuant to Article 
13, paragraph 2 of the Act.
(3) Catches or fisheries products shall not be imported from 
any country under trade sanction imposed by the international 
fisheries organization(s).
(4) The supplying fishing vessel(s) of the Republic of China 
shall not violate provisions stipulated in Article 13, 
paragraph 1 of the Act.
(5) The supplying fishing vessel(s) of foreign flag(s) shall 
not violate relevant regulations of the flag State(s) or 
conservation and management measures.
(6) The catches or fisheries products purchased, transported, 
stored, processed, or sold shall come from legitimate sources 
and be traceable.
(7) Respective SOP in case of self-detecting or being notified 
by a client or the competent authority of catches or fisheries
 products involving in IUU fishing shall be established. The 
SOPs shall include manners such as receiving notifications, 
self-notifications, stopping or suspending transactions or 
compensation.
(8) A management unit or personnel in charge of supervising a
nd ensuring the execution of the Code of Conduct and the SOP 
shall be established or assigned.
(9) The purchase and sales information of each batch of 
catches or fisheries products, checklist(s), annual internal
 audit reports, and education/training records shall be 
archived for at least five years.
 
Article 7
Any exporter of distant water fisheries products shall declare,
 in the format as shown in Appendix 4, the information on the
 purchased, sold, and stored catches or fisheries products as 
listed in Appendix 1 during the preceding three months within 
15 days after the end of each quarter.
In the event that a catch certificate has been applied for the 
catches or fisheries products as referred to in the preceding 
paragraph in accordance with the Regulations for Issuing Distant 
Water Fisheries Catch Certificates, write-off shall be conducted 
in accordance with such Regulations.
 
Article 8
For any exporter of distant water fisheries products whose 
employees are 30 persons and above, a management unit shall be 
established; for that less than 30 persons, personnel shall be 
assigned, so as to be in charge of the execution and management
 of the Code of Conduct and SOP.
The management unit or the assigned personnel as referred to in 
the preceding paragraph shall receive, at least for 12 hours in 
every three years, education/training courses organized by the 
competent authority on combating IUU fishing.
 
Article 9
Any exporter of distant water fisheries products shall comply 
with its own Code of Conduct and SOP in case of purchasing or 
selling catches or fisheries products as listed in Appendix 1, 
and shall conduct internal audit at least once a year. The 
internal audit report(s) of the preceding year
shall be submitted to the competent authority for perusal before 
January 20 of each year.
 
Article 10
Any exporter of distant water fisheries products shall cooperate
 with the competent authority in the event of auditing the Code
 of Conduct and SOP for the purchase or sales of catches or 
fisheries products, and shall not evade, obstruct or deny.
Items and criteria for the audit as referred to in the preceding 
paragraph are shown in Appendix 5.
 
Article 11
The competent authority shall, based on the contents of Business
 Operation Prospectus enclosed in the approved application and
 pursuant to the criteria listed in Appendix 6, categorize the 
exporters of distant water fisheries products into high, medium, 
and low risk level. Unless otherwise provided in these 
Regulations, audits shall be conducted pursuant to the following 
provisions:
(1) Audits shall be conducted at least once a year for the high 
risk level.
(2) Audits shall be conducted at least once in every two years 
for the medium risk level.
(3) Audits shall be conducted at least once in every three years 
for the low risk level.
For any exporter of distant water fisheries products whose annual 
average export volume of the catches or fisheries listed in 
Appendix 1 is under100 tons in the recent three year, the 
competent may not audit such exporter in accordance with the 
provision stipulated in the preceding paragraph.
In the event that any exporter of distant water fisheries 
products is reported to be involved in or support the transaction 
of IUU fishing activities; or any anomaly appears in relevant 
catch certificates applied by any exporter of distant water 
fisheries products, the competent authority may conduct the 
audit at any time.
 
Article 12
Before auditing, the competent authority may require any 
exporter of distant water fisheries products to provide, within 
the required timeframe, relevant information such as the
management for traceability of the catches or fisheries 
products it purchases or sells.
The competent authority shall, after examining the information 
as referred to in the preceding paragraph, draw up the audit
 plan and notify the exporter of distant water fisheries 
products to cooperate with the audit.
 
Article 13
In the event of field audit, the competent authority may 
require the exporter of distant water fisheries products to 
provide the following documents or information:
(1) Information on contractor(s) for purchases and sales.
(2) Purchase and sales contracts and documents proving the 
transaction and exportation.
(3) Other documents and information designated by the 
competent authority.
Auditor(s) shall keep confidential the contents of the 
documents and information as referred to in the preceding 
paragraph.
 
Article 14
Ratings of the audit are categorized as the following:
(1) A plus: No defect was found.
(2) A: minor defects are five items and less, or one major 
defect.
(3) B: minor defects are six items and above but less than 
12, or major defects are two items and above but less than 
four.
(4) C: minor defects are 12 items and above, or major defects 
are four items and above.
In terms of calculating the number of defect as referred to in
 the preceding paragraph, three minor defects are equivalent 
to one major defect.
For any exporter of distant water fisheries products that is 
rated “A plus”, it may be exempted from the audit for five
 years starting from the date of the completion of the most 
recent audit.
 
Article 15
For any exporter of distant water fisheries products that is 
rated “B”, it shall submit the improvement report within 30 
days starting from the next day that the audit report is 
delivered.
In the event that the exporter of distant water fisheries 
products is unable to submit the improvement report by the 
deadline prescribed in the preceding paragraph, it may apply to
 the competent authority for the extension before the deadline. 
The application of extension shall be limited to once and the 
extension shall be limited to only 30 days.
For any exporter of distant water fisheries products failing to
 submit the improvement report and complete improvements as 
referred to in the preceding two paragraphs, the competent 
authority may continue to require such exporter to improve 
within the required timeframe till the completion of 
improvements.
For the purpose of being deemed as improvements completed, the 
improvement report submitted by the exporter of distant water
 fisheries products shall be rated “A” and above by the 
competent authority.
 
Article 16
In case of any of the following circumstances, the competent 
authority shall revoke the exportation eligibility of any 
exporter of distant water fisheries products:
(1) The exporter of distant water fisheries products is rated
 “B” and has not completed improvements within the required
 deadline for three times.
(2) The exporter of distant water fisheries products is rated
 “C”.
 
Article 17
The competent authority may commission other institution(s) 
to conduct audits and education/training courses of the 
exporters of distant water fisheries products.
 
Article 18
These Regulations shall become effective on January 20, 2017.
圖表附件(Attachments)