Fishwise.

Seafood Import Regulation Guide (EU, Japan, and the U.S.)

Globalization of the seafood industry and increased fishing efforts to compensate for declining stocks have elicited illegal, unreported, and unregulated (IUU) fishing practices. These unsustainable practices are often connected to human rights abuses and other unlawful activities, putting global seafood supply chains at risk. Governments across the world are increasingly recognizing the importance of more transparent seafood supply chains to reduce these unsustainable practices. One tool governments have leveraged to create more transparency is digitally tracing seafood products as they move through the supply chain. This digitization greatly helps importers meet government regulations.

However, understanding the various government regulations and import requirements remains complex. Here, we provide a high-level summary of current import control regulations and legal requirements from the three major market states—EU, Japan, and the U.S.—for seafood producing countries seeking to expand their markets.

*This resource page was last updated on April 2022

EU

EU

According to the European Market Observatory for Fisheries and Aquaculture, the EU imported EUR 27.21 billion in 2019, making the EU the world’s largest seafood import market. The internal demand for seafood products in the EU is mostly met through imports, as they cover around 60% of the total supply.

Council Regulation (EC) No 1005/2008 (EU IUU Regulation)

EU Directorate-General for Maritime Affairs and Fisheries

  • This regulation covers: product origin, product identity, and legality

The EU IUU Regulation is a transparent and non-discriminatory framework that applies to all marine wild-caught fish traded by non-EU countries into the EU market. This regulation requires that all marine fishery products include catch certificates validated by a competent flag state. The exporting state must have adequate measures to prevent and deter IUU fishing in its waters, or risk receiving a warning (yellow card) from the EU that signals a formal demand for improvements. If these ‘yellow-carded’ countries fail to improve according to the EU’s requests, they face an EU market ban on their seafood (red card).

All unprocessed and processed seafood products, except for:

  • Freshwater fishery products
  • Aquaculture products obtained from fry or larvae
  • Ornamental fish
  • Oysters, live
  • Scallops including queen scallops, of the genera Pecten, Chlamys or Placopecten, live, fresh or chilled
  • Coquilles St Jacques (Pecten maximus), frozen
  • Other scallops, fresh or chilled
  • Mussels
  • Snails, others than those obtained from the sea
  • Prepared and preserved molluscs

See Annex I of the EU IUU Regulation for the latest list.

  • European Community Catch Certificate
  • Re-Export Certificate
  • Transport Detail

Included in Annex II of the EU IUU Regulation.

Regulation (EU) 2017/625 (EU Food Safety Regulation)

EU Directorate-General for Health and Food Safety

  • This regulation covers: food safety

This regulation requires tracking product’s data inputs and outputs to ensure that imports from outside the EU meet the same standards and go through the same checks as food produced within the EU.

All fishery products, live bivalve molluscs, live echinoderms, live tunicates, and live marine gastropods intended for human consumption, defined in Annex I of Regulation (EC) No 853/2004.

This is an overarching food safety regulation.

Commission Implementing Regulation (EU) 2021/405 (List of Authorized Third Countries)

EU Directorate-General for Health and Food Safety

  • This regulation covers: food safety

The exporting country must be on the ‘positive list of eligible countries’ under this regulation.

All fishery products, live bivalve molluscs, live echinoderms, live tunicates, and live marine gastropods intended for human consumption, defined in Annex I of Regulation (EC) No 853/2004.

See Annex IX of the Regulation for the list of authorized third countries.

Commission Implementing Regulation (EU) 2020/2235 (EU Export Health Certificate)

EU Directorate-General for Health and Food Safety

  • This regulation covers: food safety

In addition to being on the ‘positive list of eligible countries’ (see regulation above), exporters from the listed state must also prove that the products meet the EU’s hygiene standards from production to distribution by submitting the EU Export Health Certificate, signed by the exporting state’s authority. This Health Certificate includes detailed descriptions of consignment, product origin, safety, identity, and legality. When the exporting state authority signs the Health Certificate, they certify that they will provide the necessary guarantees, carry out regular inspections of vessels and establishments, and take corrective actions to meet the EU’s requirements.

All fishery products, live bivalve molluscs, live echinoderms, live tunicates, and live marine gastropods intended for human consumption, defined in Annex I of Regulation (EC) No 853/2004.

The information to be reported and collected includes:

  • Description of consignment
  • Health information (certification)

For live fish, live crustaceans, and products of animal origin from those animals intended for human consumption, see chapter 28 of the regulation.

For fishery products or fishery products derived from bivalve mollusks intended for human consumption entering the European Union directly from a reefer, freezer, or factory vessel flying the flag of a third country, see chapter 30 of the regulation.

Proposal for a Directive on corporate sustainability due diligence

EU Directorate-General for Justice and Consumers

  • This regulation covers: product origin, product identity, and legality

This proposal aims to foster sustainable and responsible corporate behavior throughout global value chains. This proposal applies to a company’s own operations, their subsidiaries, and their value chains (direct and indirect established business relationships). In order to comply with the corporate due diligence directive, companies need to:

  • integrate due diligence into policies;
  • identify actual or potential adverse human rights and environmental impacts;
  • prevent or mitigate potential impacts;
  • bring to an end or minimize actual impacts;
  • establish and maintain a complaints procedure;
  • monitor the effectiveness of the due diligence policy and measures;
  • and publicly communicate on due diligence.

NOTE: As of April 2022, this is a proposed rule, and has not been finalized nor come into full effect.

The new due diligence rules will apply to all seafood products for the following groupings of EU companies:

 

  • Group 1: all EU limited liability companies of substantial size and economic power (with 500+ employees and EUR 150 million+ in net turnover worldwide)
  • Group 2: Other limited liability companies operating in defined high impact sectors, which do not meet Group 1 thresholds, but have more than 250 employees and a net turnover of EUR 40 million worldwide or more. For these companies, rules will start to apply 2 years later than for Group 1.
  • Non-EU companies active in the EU with turnover threshold aligned with Group 1 and 2, revenue generated in the EU.

To be announced at a later date/forthcoming

Japan

Japan

According to the Ministry of Agriculture, Forestry, and Fisheries, 50% of Japan’s seafood is imported. In 2019, the value of seafood imports reached JPY 1.74 trillion (about USD 15.8 billion). Japan mainly imports seafood from China, Chile, the U.S., Russia, Vietnam, Thailand, and Norway.

Law of Special Measures for Strengthening Conservation and Management of Tuna Resources

Ministry of Agriculture, Forestry, and Fisheries

  • This law covers: product origin, product identity, and, legality

This law enforces the Regional Fisheries Management Organizations’ (RFMOs) catch documentation scheme (CDS) requirements, including those from the Commission for the Conservation of Southern Bluefin Tuna (CCSBT) and the International Commission for the Conservation of Atlantic Tunas (ICCAT). Japan’s Ministry of Agriculture, Forestry, and Fisheries governs all frozen tuna-kind trade in this regard, requiring a pre-confirmation process for all frozen bluefin tuna, bigeye tuna, and swordfish. Yellowfin tuna, other tuna varieties, and marlins have similar importing processes and documentation requirements.

The CDS requirement also applies to species protected under the Commission for the Conservation of Antarctic Marine Living Resources (CCAMLR), such as Patagonian and Antarctic toothfish.

“(frozen) tuna-kind” in this specific regulation includes:

  • Bluefin tuna
  • Southern bluefin tuna
  • Bigeye tuna
  • Yellowfin tuna
  • Other tuna-kind (excludes albacore tuna)
  • Swordfish
  • Marlin

The information to be reported and collected varies depending on the tuna species and product type. Please see the chart below:

  • List of procedures and documents required for the import of tuna (Japanese / English: translated by SALT)

Forms (Japanese only):

Domestic Trade of Specific Marine Animals and Plants Act (Japan IUU Regulation)

Ministry of Agriculture, Forestry, and Fisheries

  • This act covers: product origin, product identity, and legality

In December 2020, Japan passed the Domestic Trade of Specific Marine Animals and Plants Act to prevent IUU-sourced seafood from entering the Japanese market. This act will come into full effect in December 2022.

  • Pacific saury
  • Squid
  • Mackerel
  • Sardine

Catch certificate and processing declaration form (if appreciable) will be required for the target species.

  • Catch Certificate:
  1. Certifying authority’s Information: document number, certifying authority name, address, telephone/fax number, and authorizing person’s name
  2. Fishing vessel information: name of the vessel, registered port/registration number, fishing license number/type of license, call sign, IMO/Lloyd’s number, Inmarsat number/FAX number/phone number/email address
  3. Product Information: product description (frozen or chilled), species name, product code (HS code), on-board processing (if applicable), fishing area/fishing date, estimated weight or estimated landing weight, verified landing weight
  4. Stock management measures information 
  5. Captain statement: name, signature, seal
  6. Transshipment information (if applicable):
    Fishing vessel – captain name, signature/date of the captain, date/area/location of transshipment, and estimated weight
    Receiving vessel – captain name, signature, vessel name, call sign, and IMO/Lloyd’s number
  7. Transportation in port or harbor (if applicable): certifying authority name, authorizing person’s name, signature, address, telephone number, port of landing, date of landing, seal 
  8. Exporter’s information: name, address, signature, date, and seal 
  9. Flag State Certification: authorizing person’s name, title, signature, date, date of landing, seal 
  10. Transport information: country of export, port/airport/other points of departure, exporter’s signature, name of the vessel, other information (container number, etc.), name, address, signature 
  11. Importer’s information: name and address of importer, signature, date, seal, HS code of the product, documents pertaining to import through a third country
  12. Import Control Authority
  • Processing Declaration Form:
  1. Catch certificate number, name of the vessel, flag state, date of certification, description of catch, total weight landed (kg), processed amount(kg), products after processing (kg)
  2. Name and address of the processing plant
  3. Name and address of the exporter (if different from the processing plant)
  4. Person in charge of the processing plant, signature, date, and place
  5. Certifying authority, authorizing person’s name, signature, date, date, and place

Agreement Between the Government of the Russian Federation and the Government of Japan on Conservation, Rational Use and Management of Live Aquatic Resources in the North-Western of the Pacific Ocean and Prevention of Illegal Trade of Live Aquatic Resources

Ministry of Economy, Trade, and Industry

  • This agreement covers: product origin, product identity, and legality

This bilateral agreement between Russia and Japan aims to eliminate IUU-sourced seafood products from Russia to enter the Japanese market. All crab products from Russia must be accompanied by a certificate issued by the Russian Federal Fisheries Agency. The ministry also requires the certificate of origin for high-value crab species such as king, snow, and horsehair crabs from the exporting countries to prevent a fraudulent claim of product origin.

Crab products from Russia:

  • King crab (frozen, processed, smoked, and other)
  • Snow crab (frozen, processed, smoked, and other)
  • Horsehair crab (frozen, processed, smoked, and other)
  • Swimming crab (frozen, processed, smoked, and other)
  • Other crab-kind (frozen, processed, smoked, and other)

Crab products from other countries:

  • King crab (frozen)
  • Snow crab (frozen)
  • Horsehair crab (frozen)

The information to be reported and collected:

  • Confirmation form (example in Japanese)
  • Document to confirm the amount of the product (invoice)
  • Bill of landing
  • (If the product is from Russia) certificate issued by the Russian Federal Fisheries Agency

(Article) Govt. to set human rights due diligence guidelines for companies, hoping to close gaps with US and European countries

The Japanese government plans to draft guidelines for human rights due diligence as early as this summer to help companies detect and prevent human rights violations in their supply chains. The guidelines will instruct companies on developing procedures for unannounced inspections to check for instances of forced or child labor in their supply chains.
https://www.business-humanrights.org/en/latest-news/japan-govt-to-set-human-rights-due-diligence-guidelines-for-companies-hoping-to-close-gaps-with-us-and-european-countries/

U.S.

U.S.

According to NOAA, in 2019, the United States imported 70-85% of its seafood equaling USD 22.2 billion, making the U.S. the second largest import market. The U.S. mainly imports seafood from China, Thailand, Canada, Indonesia, Vietnam, and Ecuador. However, a significant portion of this imported seafood is caught by American fishers, exported overseas for processing, and then re-imported into the U.S.

Seafood Import Monitoring Program (SIMP)

NOAA — The National Marine Fisheries Service

  • This program covers: product origin, product identity, and legality

SIMP is a risk-based traceability program that establishes permitting, data reporting, and recordkeeping requirements for the import of 13 species groups that have been identified as being particularly vulnerable to IUU fishing and/or seafood fraud. It requires the importer of record to provide and report key chain of custody data from the point of harvest to the point of entry into U.S. commerce.

13 priority species:

  • Abalone
  • Atlantic cod
  • Blue crab (Atlantic)
  • Dolphinfish (Mahi Mahi)
  • Grouper
  • King crab (red)
  • Pacific cod
  • Red snapper
  • Sea cucumber
  • Sharks
  • Shrimp (wild and farmed)
  • Swordfish
  • Tuna (albacore, bigeye, skipjack, yellowfin, bluefin)

The information to be reported and collected includes:

  • Harvesting or Producing Entity
  • Harvest Event – What, when, and where
  • Importer of Record (International Fisheries Trade Permit holder)

Detailed information and forms can be found at Seafood Import Monitoring Program Essential Forms and Documents.

Tuna Tracking and Verification Program (TTVP/370)

NOAA — The National Marine Fisheries Service

  • This program covers: product origin, and product identity

The Tuna Tracking and Verification Program, (also known as the ‘dolphin safe’ program) monitors domestic cannery production and importation of all frozen and processed tuna products nationwide. It authenticates any associated dolphin-safe claim by requiring seafood importers to fill out a Fisheries Certificate of Origin (NOAA 370) with information including, but not limited to: species, catch area, gear used, trip dates, and vessel name.

All tuna and tuna products, except for fresh tuna.

The information to be reported and collected includes:

Atlantic Highly Migratory Species (HMS) International Trade Program

NOAA — The National Marine Fisheries Service

  • This program covers: product origin, product identity, and legality

The Atlantic Highly Migratory Species International Trade Program establishes import requirements for highly migratory species (i.e. tunas and swordfish) caught in the Atlantic, Pacific, and Indian Oceans. This program also implements traceability requirements set by international organizations that manage shared fisheries (e.g. RFMOs).

  • Atlantic, Pacific, and Southern bluefin tuna
  • Swordfish
  • Atlantic and Pacific bigeye tuna
  • Shark fins

The information to be reported and collected includes but is not limited to:

  • Catch Documentation
  • Statistical Document
  • Re-Export Certificate
  • Biweekly Report

Each target species has different data requirements and forms. For more information, please visit Atlantic Highly Migratory Species International Trade Program Reporting and Forms.

 

Antarctic Marine Living Resource Program

NOAA — The National Marine Fisheries Service

  • This program covers: product origin, product identity, and legality

The United States is a member of the Commission for the Conservation of Antarctic Marine Living Resources (CCAMLR), the organization responsible for conserving marine life south of the Antarctic Convergence. CCAMLR applies an ecosystem approach to the conservation of marine living resources, with standards designed to conserve individual populations and species, as well as the Antarctic marine ecosystem as a whole.

  • Antarctic krill
  • Patagonian and Antarctic toothfish (Chilean sea bass)

The information to be reported and collected are:

 

FDA Proposed Rule for Traceability

Food and Drug Administration

  • This rule covers: product origin, product identity, and food safety

The FDA is proposing a new traceability rule for certain foods that will operalizationalize Section 204(d) of the FDA Food Safety Modernization Act (FSMA) by requiring the collection of key data elements (KDEs) along supply chain critical tracking events (CTEs). Additionally, this rule addresses the core element of the FDA’s New Era of Smarter Food Safety Blueprint to support end-to-end traceability throughout the food safety system, harmonize tracing activities, which will support interoperability across a variety of technology solutions.

NOTE: As of April 2022, this is a proposed rule, and has not been finalized nor come into full effect.

  • Finfish, including smoked finfish (siluriformes fish, catfish, excluded)
  • Crustaceans
  • Mollusks
  • Bivalves

The information to be reported and collected are categorized as:

  • 1st Receiver KDEs
  • Receiving KDEs
  • Shipping KDEs
  • Transformation KDEs

For more information, please visit Critical Tracking Events (CTEs) and Key Data Elements (KDEs).

 

Seafood HACCP and the FDA Food Safety Modernization Act

Food and Drug Administration

  • This act covers: food safety

The Food and Drug Administration (FDA) finalized seven major rules to implement the Food Safety and Modernization Act (FSMA) in 2011. Of these seven rules, the Current Good Manufacturing Practice, Hazard Analysis, and Risks-Based Preventive Controls for Human Food, also known as ‘Preventative Controls Rule,’ is the most relevant and integral to FSMA. The foundation of the Preventative Controls Rule is based on the risk-based Hazard Analysis and Critical Control Point, or HACCP, approach for maintaining a safe food supply. HACCP requires processors and facilities to proactively identify food safety hazards that are reasonably likely to occur and develop plans for those hazards.

All domestic seafood processors or importers are subject to HACCP.

Seafood facilities already subject to hazard analysis and critical control point (HACCP) requirements are exempt from FSMA.

Domestic or foreign food facilities, must:

  1. have and implement a written food safety plan that identifies food safety hazards that require a preventive control
  2. implement preventive controls to significantly minimize or prevent the hazard

The plan is required to include the following:

  • Hazard analysis
  • Preventive controls (process controls, food allergen controls, sanitation controls, other controls)
  • Oversight and management of preventive controls (monitoring, corrections, corrective actions, verification)
  • Supply chain program
  • Recall plan

Trade Facilitation and Trade Enforcement Act (TFTEA)

Customs and Border Protection

  • This act covers: social responsibility

The Trade Facilitation and Trade Enforcement Act (TFTEA) strengthens the capabilities of Customs and Border Protection (CBP) to enforce U.S. trade laws and regulations. It prohibits all products made by forced labor, including child labor, from being imported into the U.S. Under the TFTEA, the importer is responsible for undertaking reasonable care (i.e. due diligence) regarding human rights and legality risks in its supply chains.

All seafood products

The importer of record is responsible for using reasonable care to enter, classify, and determine the value of imported merchandise and to provide any other information necessary to enable CBP to properly assess duties, collect accurate statistics, and determine whether other applicable legal requirements, if any, have been met. The Informed Compliance Guide is intended to help the trade community to improve voluntary compliance with customs laws and to understand the relevant administrative processes.

Countering America's Adversaries Through Sanctions Act

Customs and Border Protection

  • This act covers: social responsibility

This act imposes sanctions on Iran, Russia, and North Korea. For goods to be imported into the U.S., CBP must find by clear and convincing evidence that the goods were not produced with convict, labor, or indentured labor. The act reiterates the need for comprehensive due diligence by and on behalf of companies importing goods into the U.S.

All seafood products

Examples of actions that may be taken to ensure:

  • a high-level statement of policy demonstrating the company’s commitment to respect human rights and labor rights
  • a rigorous continuous risk assessment of actual and potential human rights and labor impacts or risks of company activities and relationships, which is undertaken in consultation with stakeholders
  • integrating these commitments and assessments into internal control and oversight systems of company operations and supply chains; and tracking and reporting on areas of risk

In addition, importers are responsible for exercising reasonable care and providing CBP with such information as is necessary to enable CBP to determine if the merchandise may be released from CBP custody.

Section 307 of the Tariff Act of 1930 (19 U.S.C. 1307)

Customs and Border Protection

  • This act covers: social responsibility

This Act prohibits importing any product that was mined, produced, or manufactured wholly or in part by forced labor, including forced or indentured child labor.. Withhold Release Orders (WRO) are issued by CBP when merchandise is suspected of being associated with forced labor which then prevents products from entering the U.S.

All seafood products

Any individual who has “reason to believe that any class of merchandise that is being, or is likely to be, imported into the United States” is being produced by forced labor may communicate that belief to CBP. Upon receipt of such a report, the Commissioner of CBP is required to initiate an investigation “as appears warranted” by the amount and reliability of the submitted information. ​​It is each company’s obligation to be aware of its own supply chain activities.