104 Amendments of Maria ARENA related to 2014/0059(COD)
Amendment 28 #
Proposal for a regulation
Title
Title
Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL setting up a Union system for supply chain due diligence self-certification of responsible importers of tin, tantalum and tungsten, their ores, and goldfor natural resources originating in conflict-affected and high- risk areas
Amendment 34 #
Proposal for a regulation
Recital 1
Recital 1
(1) Natural mineral resources in conflict- affected or high risk areas − although holding great potential for development – can be a cause of dispute where their revenues are fuelling the outbreak or continuation of violent conflict, undermining national endeavours towards development, good governance and the rule of law. Women and children are disproportionately affected by these conflicts, and are the victims of systematic physical and sexual violence, recognised as an international war crime and used as a weapon of war by armed groups. In these areas, breaking the nexus between conflict and illegal exploitation of mineralnatural resources is critical to peace and stability.
Amendment 38 #
Proposal for a regulation
Recital 1 a (new)
Recital 1 a (new)
(1a) Human rights abuses are common within the extractive industry and include child labour, sexual violence, the disappearance of people, violation of the right to a clean environment, loss of land and livelihoods without negotiation and without adequate compensation, forced resettlement and the destruction of ritually or culturally significant sites.
Amendment 41 #
Proposal for a regulation
Recital 1 b (new)
Recital 1 b (new)
(1b) Disputes over oil, gas, minerals, timber and other natural resources rank second as a source of conflicts worldwide; competition over resources, such as land and water, is on the rise, and exacerbating existing conflicts or triggering new ones; the mismanagement of land and natural resources is compounded by environmental degradation, population growth and climate change.
Amendment 44 #
Proposal for a regulation
Recital 2
Recital 2
(2) The issue concerns resource-rich regions where the challenge posed by the desire to minimise the financing of armed groups and security forces has been taken up by governments and international organisations together with business operators and civil society organisations, including women's organisations that are at the forefront of drawing attention to the exploitative conditions imposed by these groups as well as to rape and violence used to control local populations.
Amendment 49 #
Proposal for a regulation
Recital 3
Recital 3
(3) The Union has been actively engaged in an Organisation for Economic Co- operation and Development (OECD) initiative to advance the responsible sourcing of minerals from conflict regions, which has resulted in a government-backed multi-stakeholder process leading to the adoption of the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (OECD Due Diligence Guidance5 ) including supplements on tin, tantalum and tungsten, and on gold. In May 2011, the OECD Ministerial Council recommended to actively promote the observance of this Guidance. __________________ 5 OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition, OECD Publishing (OECD (2013). http://dx.doi.org/10.1787/9789264185050- en.
Amendment 54 #
Proposal for a regulation
Recital 6
Recital 6
Amendment 59 #
Proposal for a regulation
Recital 7 a (new)
Recital 7 a (new)
(7a) On 26 February 2014, the European Parliament adopted a resolution on promoting development through responsible business practices, including the role of extractive industries in developing countries, in which the Commission is requested to bring forward binding legislation on conflict minerals.
Amendment 65 #
Proposal for a regulation
Recital 8
Recital 8
(8) Union citizens and civil society actors have raised awareness with respect to companies operating under the Union's jurisdiction for not being held accountable for their potential connection to the illicit extraction and trade of mineralnatural resources from conflict regions. The consequence is that such mineralnatural resources, potentially present in consumer products, link consumers to conflicts outside the Union. As such, consumers are indirectly linked to conflicts that have severe impacts on human rights, notably the rights of women as armed groups often use mass rape as a deliberate strategy to intimidate and control local populations in order to protect their interests. To this end, citizens have requested, notably through petitions, that legislation be proposed to the European Parliament and the Council holding companies accountable under the Guidelines as established by the UN and OECD.
Amendment 70 #
Proposal for a regulation
Recital 9
Recital 9
(9) In the context of this Regulation, and in line with the OECD Due Diligence Guidance, supply chain due diligence is an on-going, proactive and reactive process through which business operators monitor and administer their purchases and sales with a view to ensuring that they respect human rights and do not contribute to conflict and adverse impacts thereof.
Amendment 73 #
Proposal for a regulation
Recital 9 a (new)
Recital 9 a (new)
(9a) Consistently with the OECD Due Diligence Guidance, companies should take reasonable steps and make good faith efforts to conduct due diligence to identify and prevent or mitigate any risks of adverse impacts associated with the conditions of access to natural resources and the relationship of suppliers operating in conflict-affected or high-risk areas.
Amendment 76 #
Proposal for a regulation
Recital 9 b (new)
Recital 9 b (new)
(9b) The Regulation reflects the need for due diligence along the entire supply chain from the sourcing site to the final product, by requiring all companies who first place covered resources—including products that contain those resources—on the European market to conduct and publicly report on their supply chain due diligence. In line with the nature of due diligence, the individual due diligence obligations contained in this Regulation reflect the progressive and flexible nature of due diligence processes, and the need for obligations that are appropriately tailored to enterprises' individual circumstances. Obligations are tailored to a company's size, leverage, and position in its supply chain. Certain companies are recognised to have great influence over the due diligence that is conducted along the supply chain in the sourcing countries, due to their position in the supply chain. These actors, commonly referred to as choke points, are subject to more extensive obligations than other enterprises. Due diligence obligations duly reflect these difference. Downstream companies are required to make reasonable and good faith efforts to identify the relevant choke points in their supply chains, and do their best to assess the due diligence of these companies, for instance on the basis of the audited reports of said actors.
Amendment 79 #
Proposal for a regulation
Recital 10
Recital 10
Amendment 90 #
Proposal for a regulation
Recital 12
Recital 12
(12) Union companies have expressed their interest through the public consultation in the responsible sourcing of minerals and reported on current industry schemes designed to pursue their corporate social responsibility objectives, customer requests, or the security of their supplies. However, Union companies have also reported countless difficulties in the exercise of supply chain due diligence because of lengthy and complex global supply chains involving a high number of operators that are often insufficiently awaConsistent with the OECD Guidance it is recognized that due diligence in conflict- affected and high-risk areas presents practical challenges and that flexibility is there for ethically unconcerned. The cost of responsible sourcing and their potential impact on competitiveness notably on SMEs should be monitored by the Commission. e needed in the application thereof. The nature and extent of due diligence that is appropriate for an enterprises' individual circumstances depend on a number of factors, including its size and position in the supply chain, fully taking account of the challenges faced by micro-small and middle size enterprises.
Amendment 100 #
Proposal for a regulation
Recital 13
Recital 13
(13) Smelters and refiners are an importantrecognised choke points in global mineral supply chains as they are typically the last stage in which due diligence can effectively be assured by collecting, disclosing and verifying information on the mineral's origin and chain of custody. After this stage of transformation it is often considered unfeasible to trace back the origins of minerals. A Union list of responsible smelters and refiners could therefore provide transparency and certainty to downstream companies as regards supply chain due diligence practices. their respective supply chains with substantial influence over the due diligence that is conducted along the supply chain in the sourcing countries. A Union list of responsible choke-point actors could therefore provide transparency and certainty to companies in the downstream with a view to carrying out supply chain due diligence practices. Consistently with the OECD Due Diligence Guidance, choke-point actors should undergo independent third-party audit of their supply chain due diligence practices, also with a view to being included in the list of responsible actors. Choke point actors based outside the European Union should also have a possibility for being included in the list to ensure its global scope.
Amendment 111 #
Proposal for a regulation
Recital 14
Recital 14
(14) The Member State competent authorities are responsible to ensure the uniform compliance ofwith the self- certification of responsible importers by carrying out appropriate ex-post checks so as to verify whether the self-certified responsible importers of the minerals and/or metals within the scope of the Regulation comply with the supply chain due diligence obligationobligation of operators to carry out due diligence by carrying out appropriate ex-post checks. Records of such checks should be kept for at least 5 years. Member States are responsible to lay down the rules applicable to infringements of the provisions of this Regulation.
Amendment 116 #
Proposal for a regulation
Recital 14 a (new)
Recital 14 a (new)
(14a) With a view to enhancing the effective implementation of this regulation, and addressing development needs directly linked to the exploitation of natural resources originating in conflict- affected and high-risk areas, accompanying measures will be implemented. The European Commission and the European External Action Service will apply and further develop an integrated EU approach to responsible sourcing as initiated in the Joint Communication to the European Parliament and the Council "Responsible sourcing of minerals originating in conflict-affected and high-risk areas. Towards an integrated EU approach" (JOIN (2014) 8). In particular, the promotion of responsible sourcing of natural resources originating from conflict-affected and high-risk areas and the establishment of national and international due diligence frameworks for responsible sourcing will be integrated into internal and external policies and in particular into political and policy dialogues with partner countries, local authorities and private stakeholders. Particular attention will be given to addressing the contribution and challenges of the artisanal and informal mining sector for local livelihoods and sustainable development.
Amendment 120 #
Proposal for a regulation
Recital 15
Recital 15
(15) In order to ensure the proper implementationxpand the natural resources scope of this Rregulation, implementing powers should be conferred on the Commission. The implementing powers relating to the list of responsible smelters and refiners and the list of Member State competent authorities should be exercised in accordance with Regulation (EU) No 182/201111 . __________________ 11 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)the Commission shall be empowered to adopt delegated acts in accordance with Article 290 TFEU, following the provisions lined out in this regulation.
Amendment 128 #
Proposal for a regulation
Recital 16
Recital 16
(16) The Commission should report regularly to the Council and the European Parliament on the effects of the scheme. No later than three years after entering into force and every six years thereafter, the Commission should review the functioning and the effectiveness of this Regulation, including as regards the promotion of responsible sourcing of the minerals within its scope from conflict-affected and high-risk areas. The reports may be accompanied, if necessary, by appropriate legislative proposals, which may include mandatory measures,
Amendment 136 #
Proposal for a regulation
Article 1 – paragraph 1
Article 1 – paragraph 1
1. This Regulation sets up a Union system for supply chain due diligence self- certification in order to curtail opportunities for armed groups and security fothe sourcing, transport and trade of natural resources12 to trade in tin, tantalfund conflict and/or fuel hum and tungsten, their ores, and gold. It is designed to provide transparency and certaint rights violations or abuses. It is designed to increase certainty and transparency as regards the supply practices of importers, smelters and refinercompanies sourcing from conflict-affected and high- risk areas. __________________ 12'Armed groups and security forces' as defined in Annex II of the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict- Affected and High-Risk Areas: Second Edition, OECD Publishing (OECD (2013). http://dx.doi.org/10.1787/9789264185050- en, and help them respect human rights and avoid contributing to conflict through their activities and sourcing decisions.
Amendment 147 #
Proposal for a regulation
Article 1 – paragraph 2
Article 1 – paragraph 2
Amendment 156 #
Proposal for a regulation
Article 2 – paragraph 1 – point a
Article 2 – paragraph 1 – point a
(a) 'minerals' means ores and concentrates containing tin, tantalum and tungsten, and gold as set out in the Annex Icovered resources' means all natural resources as set out in Annex I, as may be amended or replaced from time to time in accordance with this Regulation;
Amendment 172 #
Proposal for a regulation
Article 2 – paragraph 1 – point b
Article 2 – paragraph 1 – point b
(b) 'metals' means metals containing or consisting of trecycled resources' means reclaimed end-user or post-consumer products, or scrap processed resources created during product manufacturing, tantalum, tungsten and gold as set out in the Annex I;including excess, obsolete, defective, and scrap materials which contain refined or processed resources that are appropriate to recycle in the production of any material. Minerals partially processed, unprocessed or a bi-product from another ore are not recycled resources.
Amendment 176 #
Proposal for a regulation
Article 2 – paragraph 1 – point c
Article 2 – paragraph 1 – point c
(c) 'mineralresources supply chain' means the system of activities, organisations, actors, technology, information, resources and services involved in moving and processing the mineralcovered resources from the extraction site to their incorporation in the final product;
Amendment 183 #
Proposal for a regulation
Article 2 – paragraph 1 – point d
Article 2 – paragraph 1 – point d
(d) 'chain of custody or supply chain traceability system' means a system to identify and record of the sequence of entities which have custody of minerals and metalcovered resources as they move through athe supply chain;
Amendment 191 #
Proposal for a regulation
Article 2 – paragraph 1 – point e
Article 2 – paragraph 1 – point e
(e) 'conflict-affected and high-risk areas' means areas in a state of armed conflict, fragile post-conflict as well as areas witnessing weak or non-existent governance and security, such as failed states, and widespread and systematic violations of international law, including human rights abusesdentified by the presence of armed conflict, widespread violence or other risks of harm to people and, for these purposes, it is recognized that: (i) armed conflict may take a variety of forms, such as a conflict of international or non-international character, which may involve two or more states, or may consist of wars of liberation, or insurgencies, civil wars, etc.; and (ii) high-risk areas may include areas of political instability or repression, institutional weakness, insecurity, collapse of civil infrastructure and widespread violence, both of which areas are often characterised by widespread human rights abuses and violations of national or international law;
Amendment 196 #
Proposal for a regulation
Article 2 – paragraph 1 – point f
Article 2 – paragraph 1 – point f
(f) 'downstream' means the metalresources supply chain from the smelters or refinerschoke points of transformation and traceability to the end use;
Amendment 201 #
Proposal for a regulation
Article 2 – paragraph 1 – point g
Article 2 – paragraph 1 – point g
(g) 'importedownstream operator' means any natural or legal person declaring minerals or metals within the scope of this Regulation for releasethat places any product comprising or containing covered resources for frethe cfirculation within the meaning of Article 79 of Council Regulation (EEC) No 2913/199213 ; __________________ 13Council Regulation (EEC) No 2913/92 of 12 October 1992 establishing the Community Customs Code (OJ L 302, 19.10.1992, p. 1).st time on the internal market for distribution or use in the course of commercial activities;
Amendment 211 #
Proposal for a regulation
Article 2 – paragraph 1 – point h
Article 2 – paragraph 1 – point h
(h) 'responsible importer' means any importer who chooses to self-certify according to the rules set out in this Regulationupstream' means the natural resource supply chain from the sourcing sites to the final choke points of transformation and traceability;
Amendment 217 #
Proposal for a regulation
Article 2 – paragraph 1 – point i
Article 2 – paragraph 1 – point i
(i) 'self-certification' means the act of declaring one's adherence to the obligations relating to management systems, risk management, third-party audits and disclosure as set out in this Regulationupstream actor' means any natural or legal person operating at a choke point of transformation and traceability in a resources supply chain, such as smelters, refiners and raw materials exchanges;
Amendment 219 #
Proposal for a regulation
Article 2 – paragraph 1 – point i a (new)
Article 2 – paragraph 1 – point i a (new)
(ia) 'upstream operator' means any upstream actor that places any covered resource for the first time on the internal market for distribution or use in the course of commercial activities;
Amendment 222 #
Proposal for a regulation
Article 2 – paragraph 1 – point j
Article 2 – paragraph 1 – point j
(j) 'grievance mechanism' means an early- warning risk awareness mechanism allowing any interested party or whistle- blower to voice concerns regarding the circumstances of mineralresource extraction, trade, handling and export in respect of resources originating in conflict-affected and high-risk areas;
Amendment 233 #
Proposal for a regulation
Article 2 – paragraph 1 – point k
Article 2 – paragraph 1 – point k
(k) 'model supply chain policy' conforms tomeans the model supply chain policy in Annex II of the OECD Due Diligence Guidance outlining the risks of significant adverse impacts which may be associated with the extraction, trade, handling and export of minerals from conflict-affected and high risk areas;
Amendment 236 #
Proposal for a regulation
Article 2 – paragraph 1 – point l
Article 2 – paragraph 1 – point l
(l) 'risk management plan' means the importeoperators' written response to the identified supply chain risks based onidentified under Article 5(a), in accordance with Annex III to the OECD Due Diligence Guidance14 ; __________________ 14 OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition, OECD Publishing (OECD (2013), http://dx.doi.org/10.1787/9789264185050- en.
Amendment 241 #
Proposal for a regulation
Article 2 – paragraph 1 – point o
Article 2 – paragraph 1 – point o
(o) 'supply chain due diligence' refers to the obligations of responsible importers of tin, tantalum and tungsten, their ores, and goldoperators in relation to their management systems, risk management, third-party audits and disclosure of information as appropriate with a view to identifying, and addressing and reporting on actual and potential risks linked to conflict- affected and high risk- areas to prevent or mitigate adverse impacts associated with their sourcing activities;
Amendment 244 #
Proposal for a regulation
Article 2 – paragraph 1 – point p
Article 2 – paragraph 1 – point p
(p) 'responsible smelters upstream actor' refiners' means smelters or refiners in the supply chain of the to any upstream actor that complies with the OECD Due Diligence Guidance and has submitted audited responsible importerrts in accordance with Article 7 (3) or 7 (7);
Amendment 252 #
Proposal for a regulation
Article 2 – paragraph 1 – point q a (new)
Article 2 – paragraph 1 – point q a (new)
(qa) 'business confidentiality and other competitiveness concerns' means price information and supplier relationships without prejudice to subsequent evolving interpretation; all information will be disclosed to any institutionalised mechanism, regional or global, once in place with the mandate to collect and process information on minerals from conflict-affected and high-risk areas.
Amendment 255 #
Proposal for a regulation
Article 2 – paragraph 1 – point q b (new)
Article 2 – paragraph 1 – point q b (new)
(qb) 'microenterprise', as defined in the Commission recommendation of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises C (2003) 1422, means an enterprise which employs fewer than 10 persons and whose annual turnover and/or annual balance sheet total does not exceed EUR 2 million.
Amendment 257 #
Proposal for a regulation
Article 2 – paragraph 1 – point q c (new)
Article 2 – paragraph 1 – point q c (new)
(qc) 'OECD Due Diligence Guidance' means the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition, OECD Publishing (OECD (2013)) including all Council decisions, Annexes and Supplements, as each may be amended or replaced periodically.
Amendment 262 #
Proposal for a regulation
Article 3 – title
Article 3 – title
Amendment 270 #
Proposal for a regulation
Article 3 – paragraph 1
Article 3 – paragraph 1
1. Any importer of minerals or metals within the scope of the Regulation may self-certify as responsible importer by declaring to a Member State competent authority that it adheres to the supply chain due diligence obligations set out in this Regulation. The declaration shall contain documentation in which the importer confirms its adherence to the obligations including results of the independent third-party audits carried out. Operators shall take all reasonable steps and make good faith efforts to conduct their due diligence obligations pursuant to Article 4 and 5. Each operator shall ensure that they make progressive, measurable and timely improvement in complying with its obligations. The nature and extent of specific due diligence that is appropriate depends on individual circumstances and is affected by factors such as an operator's position in the supply chain, the size of the operator, the location of the operator's activities, the situation in a particular country, the sector and nature of the products or services involved. Particular attention shall be given to the situation of micro-small and medium sized downstream operators.
Amendment 275 #
Proposal for a regulation
Article 3 – paragraph 2
Article 3 – paragraph 2
Amendment 285 #
Proposal for a regulation
Article 4 – paragraph 1 – introductory part
Article 4 – paragraph 1 – introductory part
Amendment 291 #
Proposal for a regulation
Article 4 – paragraph 1 – point a
Article 4 – paragraph 1 – point a
(a) adopt and clearly and systematically communicate to suppliers and the public its supply chain policy for the minerals and metalcovered resources potentially originating from conflict- affected and high-risk areas,
Amendment 301 #
Proposal for a regulation
Article 4 – paragraph 1 – point d
Article 4 – paragraph 1 – point d
(d) strengthen its engagement with suppliers, inter alia, by incorporating its supply chain policy into contracts and agreements with suppliers consistent with Annex II to the OECD Due Diligence Guidance, and, where possible, assist suppliers in building capacities with a view to improving due diligence performance,
Amendment 304 #
Proposal for a regulation
Article 4 – paragraph 1 – point e
Article 4 – paragraph 1 – point e
(e) establish a company-level, or industry- wide, grievance mechanism as an early- warning risk- awareness system or provide such mechanism through collaborative arrangements with other companies or organisations, or by facilitating recourse to an external expert or body (e.g. ombudsman),
Amendment 308 #
Proposal for a regulation
Article 4 – paragraph 1 – point f – introductory part
Article 4 – paragraph 1 – point f – introductory part
(f) as regards minerals, operate a chain of custody or supply chain traceability system that provides, supported by documentation, the following information:
Amendment 309 #
Proposal for a regulation
Article 4 – paragraph 1 – point f – point i
Article 4 – paragraph 1 – point f – point i
(i) description of the mineralresource, including its trade name and type,
Amendment 311 #
Proposal for a regulation
Article 4 – paragraph 1 – point f – point iii
Article 4 – paragraph 1 – point f – point iii
(iii) country of origin of the mineralsresource,
Amendment 313 #
Proposal for a regulation
Article 4 – paragraph 1 – point f – point iv
Article 4 – paragraph 1 – point f – point iv
(iv) quantities and dates of extractionsourcing, expressed in volume or weight,
Amendment 315 #
Proposal for a regulation
Article 4 – paragraph 1 – point f – point v
Article 4 – paragraph 1 – point f – point v
(v) when mineralresources originate from conflict- affected and high-risk areas, additional information, such as the minsite of mineral origin; locations where mineralresources are consolidated, traded and processed; and taxes, fees, royalties paid, in accordance with the specific recommendations for upstream companies as set out in the OECD Due Diligence Guidance.
Amendment 318 #
Proposal for a regulation
Article 4 – paragraph 1 – point g
Article 4 – paragraph 1 – point g
Amendment 323 #
Proposal for a regulation
Article 4 a (new)
Article 4 a (new)
Article 4 a Any downstream operator shall comply with the obligations set out in paragraph 1a)-e) of this Article and establish a system of controls and transparency over the resources supply chain in accordance with the OECD Due Diligence Guidance, including in order to identify the upstream actors in its supply chain, which may be implemented through participation in industry-driven programs.
Amendment 324 #
Proposal for a regulation
Article 4 b (new)
Article 4 b (new)
Article 4 b Where an upstream and downstream operator can reasonably conclude that resources are derived only from recycled or scrap sources, it shall: (a) publicly disclose their determination; and (b) describe in reasonable detail the due diligence measures they exercised in making that determination.
Amendment 328 #
Proposal for a regulation
Article 5 – paragraph 1 – introductory part
Article 5 – paragraph 1 – introductory part
1. The responsible importer of the minerals or metalsAny upstream operator shall, in accordance within the scope of this Regulation shallOECD Due Diligence Guidance:
Amendment 332 #
Proposal for a regulation
Article 5 – paragraph 1 – point a
Article 5 – paragraph 1 – point a
(a) identify and assess the risks of adverse impacts in its mineral supply chain oin the basis of the information provided pursuant to Article 4 against the standards of its supply chain policy, consistent with Annex II and the due diligence recommendations of the OECD Due Diligence Guidancelight of the standards of its supply chain policy, and its supply chain due diligence obligations,
Amendment 335 #
Proposal for a regulation
Article 5 – paragraph 1 – point b – introductory part
Article 5 – paragraph 1 – point b – introductory part
(b) implement a strategy to respond to the identified risks designed so as to prevent or mitigate adverse impacts, including by
Amendment 340 #
Proposal for a regulation
Article 5 – paragraph 1 – point b – point ii – introductory part
Article 5 – paragraph 1 – point b – point ii – introductory part
(ii) devising and adopting a risk management measuresplan consistent with Annex II and the due diligence recommendations of the OECD Due Diligence Guidance, considering its ability to influence, and where necessary take steps to put pressurbuild leverage on suppliers who can most effectively prevent or mitigate the identified risk, by making it possible either to
Amendment 346 #
Proposal for a regulation
Article 5 – paragraph 2
Article 5 – paragraph 2
2. If a responsible importen upstream operator pursues risk mitigation efforts while continuing trade or temporarily suspending trade, it shall, in accordance with the OECD Due Diligence Guidance, consult with suppliers and affected stakeholders, including local and central government authorities, international or civil society organisations and affected third parties, and agree on a strategy for measurable risk mitigation in the risk management plan.
Amendment 351 #
Proposal for a regulation
Article 5 – paragraph 3
Article 5 – paragraph 3
3. A responsible importen upstream operator shall, in order to design conflict and high-risk sensitive strategies for mitigation in the risk management plan, relydraw on the measures and indicators under Annex III of the OECD Due Diligence Guidance and measure progressive improvement.
Amendment 353 #
Proposal for a regulation
Article 5 – paragraph 3 – subparagraph 1 a (new)
Article 5 – paragraph 3 – subparagraph 1 a (new)
Any downstream operator shall identify and assess the risks in its resources supply chain in accordance with paragraph 1(a) by: a) identifying, to its best efforts, the upstream actors in its resources supply chain; and b) assessing, to its best efforts, the due diligence practices of those upstream actors on the basis of any available audited reports and/or, as appropriate, other relevant information.
Amendment 356 #
Proposal for a regulation
Article 5 – paragraph 3 a (new)
Article 5 – paragraph 3 a (new)
3a. If a downstream operator pursues risk mitigation efforts while continuing trade or temporarily suspending trade it shall, in accordance with the OECD Due Diligence Guidance and, where appropriate, consult with suppliers and affected stakeholders, including local and central government authorities, international or civil society organisations and affected third parties, and agree on a strategy for measurable risk mitigation in the risk management plan.
Amendment 360 #
Proposal for a regulation
Article 6 – paragraph 1
Article 6 – paragraph 1
Amendment 366 #
Proposal for a regulation
Article 6 – paragraph 2 – introductory part
Article 6 – paragraph 2 – introductory part
Amendment 371 #
Proposal for a regulation
Article 6 – paragraph 2 – point a
Article 6 – paragraph 2 – point a
(a) include in the audit scope all of the responsible importeoperator's activities, processes and systems used to implement supply chain due diligence regarding minerals or metals within the scope of the Regulation, including the responsible importecovered resources including the operator's management system, risk management, and disclosure of information,
Amendment 376 #
Proposal for a regulation
Article 6 – paragraph 2 – point b
Article 6 – paragraph 2 – point b
(b) determine as the objective of the audit the conformity of the responsible importeoperator's supply chain due diligence practices with its obligations under Articles 4, 5 and 7 of this Regulation,
Amendment 380 #
Proposal for a regulation
Article 6 – paragraph 2 – point c
Article 6 – paragraph 2 – point c
(c) respect the audit principles of independence, competence and accountability and any applicable audit scope, criteria and activities, as set out in the OECD Due Diligence Guidance.
Amendment 383 #
Proposal for a regulation
Article 6 – paragraph 2 a (new)
Article 6 – paragraph 2 a (new)
Operators may cooperate through their industry organizations to ensure that the independent third-part audit is carried out in accordance with paragraph 2.
Amendment 391 #
Proposal for a regulation
Article 7 – paragraph 1 – introductory part
Article 7 – paragraph 1 – introductory part
1. By 31 March of each year at the latest, the responsible importer of minerals or metals within the scope of this Regulationall operators shall submit to the Member State competent authority the following documentation covering the previous year's calendar period:
Amendment 396 #
Proposal for a regulation
Article 7 – paragraph 1 – point c
Article 7 – paragraph 1 – point c
Amendment 400 #
Proposal for a regulation
Article 7 – paragraph 2
Article 7 – paragraph 2
2. By 31 March of each year at the latest, the responsible importer of minerals within the scope of this Regulationdownstream operators shall also submit to the Member State competent authority themanagement reports containing the following documentation covering the previous year's calendar period as regards the proportion of minerals originating from conflict-affected and high-risk areas relative to the total amount of minerals purchased, as confirmed by independent third-party audits in accordance with Article 6 of this Regulation: (a) the operator's supply chain due diligence policy, including the operator's management structure responsible for its due diligence and the person directly responsible; (b) the operator's system of control and transparency over the resources supply chain, including the steps taken to identify upstream actors in the supply chain and to assess their due diligence practices; (c) name and address of each of the upstream actors in its supply chain, as identified by the operator in accordance with Article 4 and 5, (d) independent third-party audits regarding each of the upstream actors in its supply chain carried out in accordance with the scope, objective and principles set out in Article 6 of the Regulation, as identified by the operator in accordance with article 4 and 5, (e) potential or actual risks identified by the operator and action taken by the operator to manage risks during the reporting period in accordance with Article 5, (f) action taken by the operator to strengthen its due diligence efforts during the reporting period.
Amendment 417 #
Proposal for a regulation
Article 7 – paragraph 3 – introductory part
Article 7 – paragraph 3 – introductory part
3. By 31 March of each year at the latest, the responsible importer of metals within the scope of this Regulationupstream operators shall also submit to the Member State competent authority the following documentation covering the previous year's calendar period:
Amendment 421 #
Proposal for a regulation
Article 7 – paragraph 3 – point a
Article 7 – paragraph 3 – point a
Amendment 426 #
Proposal for a regulation
Article 7 – paragraph 3 – point b
Article 7 – paragraph 3 – point b
(b) independent third-party audits regarding each of the responsible smelters or refiners in its supply chain carried out in accordance with the scope, objective and principles set out in Article 6 of theis Regulation,; and
Amendment 430 #
Proposal for a regulation
Article 7 – paragraph 3 – point c
Article 7 – paragraph 3 – point c
(c) information on the proportion of mineralresources originating from conflict- affected and high-risk areas relative to the total amount of mineralresources purchased by each of those smelters or refiners, as confirmed by the independent third-party audits in accordance with Article 6 of this Regulation.
Amendment 434 #
Proposal for a regulation
Article 7 – paragraph 4
Article 7 – paragraph 4
4. The responsible importer of minerals or metals within the scope of this RegulationOperators shall make available to itstheir immediate downstream purchasers all information gained and maintained pursuant to its supply chain due diligence with due regard to business confidentiality and other competitive concerns, in accordance with the OECD Due Diligence Guidance.
Amendment 439 #
Proposal for a regulation
Article 7 – paragraph 5
Article 7 – paragraph 5
5. The responsible importer of minerals or metals within the scope of this RegulationOperators shall publicly report as widely as possible, including on the internet and on an annual basis on itstheir supply chain due diligence policies and practices for responsible sourcing. The report shall contain the steps taken by the responsible importeoperator to implement the obligations as regards its management system, risk management set out in Article 4 and 5 respectively, as well as a summary report of theny independent third-party audits, including the n of upstreame of the auditor,perators in the operators' supply chain with due regard to business confidentiality and other competitive concerns.
Amendment 443 #
Proposal for a regulation
Article 7 – paragraph 6 a (new)
Article 7 – paragraph 6 a (new)
6a. Responsible upstream actors outside the territory of the European Union may, for the purpose of being included in a Member State competent authority's reports under Article 15(1) and the list referred to in Article 8, submit to that authority: (a) documentation in accordance with paragraphs 1 and 3 above; and (b) a written declaration of conformity with the OECD Due Diligence Guidance, also containing its name, address, full contact details and a description of its commercial activities.
Amendment 449 #
Proposal for a regulation
Article 8 – title
Article 8 – title
List of responsible smelters and refineupstream actors
Amendment 454 #
Proposal for a regulation
Article 8 – paragraph 1
Article 8 – paragraph 1
1. On the basis of the information provided by the Member States in their reports as referred to in Article 15, the Commission shall adopt and make publicly available a decision listing the names and addresses of responsible smelters and refiners of minerals within the scope of this Regulationupstream actors.
Amendment 458 #
Proposal for a regulation
Article 8 – paragraph 2
Article 8 – paragraph 2
2. The Commission shall identify on the list referred to in paragraph 1 those responsible smelters and refineupstream actors that source – at least partially – from conflict- affected and high- risk areas.
Amendment 463 #
Proposal for a regulation
Article 8 – paragraph 4
Article 8 – paragraph 4
4. The Commission shall update the information included in the list in a timely manner but no later than every six months. The Commission shall remove from the list the names of the smelters and refineupstream actors that are no longer recognised as responsible importeupstream actors by Member States in accordance with Article 14(3), or the names of the smelters and refiners in the supply chain of the no longer recognised responsible importers.
Amendment 474 #
Proposal for a regulation
Article 10 – title
Article 10 – title
Ex-post checks on responsible importeoperators
Amendment 481 #
Proposal for a regulation
Article 10 – paragraph 1
Article 10 – paragraph 1
1. The competent authorities of the Member States shall carry out appropriate ex-post checks in order to ensure whether self-certified responsible importers of minerals and metalthat operators within scope of this Regulation comply with the obligations set out in Articles 4, 5, 6 and 7.
Amendment 491 #
Proposal for a regulation
Article 10 – paragraph 3 – point a
Article 10 – paragraph 3 – point a
(a) examination of the responsible importeoperator's implementation of supply chain due diligence obligations including the management system, risk management, independent third-party audit and disclosure,
Amendment 496 #
Proposal for a regulation
Article 10 – paragraph 3 – point c a (new)
Article 10 – paragraph 3 – point c a (new)
(ca) examination of the reporting requirements in accordance with the scope, objective and principles set out in Article 7,
Amendment 500 #
Proposal for a regulation
Article 10 – paragraph 4
Article 10 – paragraph 4
4. Responsible importeOperators shall offer all assistance necessary to facilitate the performance of the checks referred to in paragraph 1, notably as regards access to premises and the presentation of documentation and records.
Amendment 504 #
Proposal for a regulation
Article 10 – paragraph 4 a (new)
Article 10 – paragraph 4 a (new)
4a. The competent authorities of the Member States shall publish a report detailing the full findings of any ex-post checks, together with a reasonable explanation for making those findings and any documentation on which the competent authority based its findings.
Amendment 507 #
Proposal for a regulation
Article 11 – title
Article 11 – title
Records of checks on responsible importeoperators
Amendment 518 #
Proposal for a regulation
Article 13 – title
Article 13 – title
Amendment 521 #
Proposal for a regulation
Article 13 – paragraph 1
Article 13 – paragraph 1
1. The Commission shall be assisted by a committee. That committee shall be a committee within the meaning of Regulation (EU) No 182/2011power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.
Amendment 533 #
Proposal for a regulation
Article 13 – paragraph 2 – subparagraph 1
Article 13 – paragraph 2 – subparagraph 1
Amendment 534 #
Proposal for a regulation
Article 13 – paragraph 2 – subparagraph 1 a (new)
Article 13 – paragraph 2 – subparagraph 1 a (new)
A delegated act adopted pursuant to Article 13 a shall enter into force only if no objection has been expressed by either the European Parliament or 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 the Council.
Amendment 536 #
Proposal for a regulation
Article 13 – paragraph 2 – subparagraph 2
Article 13 – paragraph 2 – subparagraph 2
Amendment 538 #
Proposal for a regulation
Article 13 – paragraph 2 a (new)
Article 13 – paragraph 2 a (new)
2a. The delegation of powers referred to in Article 13 bis2 may be revoked at any time by the European Parliament or by the Council. A decision of revocation shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the 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.
Amendment 539 #
Proposal for a regulation
Article 13 – paragraph 2 b (new)
Article 13 – paragraph 2 b (new)
2b. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
Amendment 541 #
Proposal for a regulation
Article 13 a (new)
Article 13 a (new)
Article 13 a Expanding the Resources Scope 1. The Commission shall regularly review developments with regard to the contribution of global trade in natural resources to conflict and human rights abuses and violations in conflict-affected and high-risk areas, the development of international responsible sourcing standards and the experience gained in the implementation of this Regulation. In the course of the review, the Commission shall take into account, in particular, the information obtained by the Commission under and for the purposes of Article 15 and information provided by international or civil society organisations and affected third parties. 2. The Commission shall regularly review the resources scope as set out in Annex I in the light of the information obtained pursuant to paragraph 1 so as to achieve effectively the purpose of this Regulation, as stated in Article 1. Annex I shall be reviewed with a view to expanding the list of covered resources and with a view to identifying additional key points of transformation and traceability in covered resources supply chains with a view to strengthening supply chain due diligence. Such a review shall take place not less than every 6 months. 3. The Commission may adopt delegated acts in order to expand the list of covered resources as stated in paragraph 2.The Commission shall have power to amend Annexes I and II in accordance with Article 290 TFEU.
Amendment 548 #
Proposal for a regulation
Article 14 – paragraph 2
Article 14 – paragraph 2
2. In case of an infringement of the provisions of this Regulation, the competent authorities of Member States shall issue a notice of remedial action to be taken by the responsible importeoperator.
Amendment 552 #
Proposal for a regulation
Article 14 – paragraph 3
Article 14 – paragraph 3
3. In case of inadequate remedial action by the responsible importeoperator, the competent authority shall issue to the importeoperator a notice of non-recognition of its responsible importer certificate as regards the minerals or metals within the scope of this Regulation compliance and inform the Commission.
Amendment 557 #
Proposal for a regulation
Article 15 – paragraph 1
Article 15 – paragraph 1
1. Member States shall submit to the Commission by 30 June of each year at the latest, a report on the implementation of this Regulation during the previous calendar year, including any information on responsible importeupstream actors as set out in Article 7(1) (a), 7.2 and 7.3 (a) and (c(3) (a)-(b) new and 7(6) (a).
Amendment 561 #
Proposal for a regulation
Article 15 – paragraph 3
Article 15 – paragraph 3
3. Three years after the entry into force of this Regulation and every six years thereafter, the Commission shall review the functioning and effectiveness of this Regulation, including on the promotion and cost of responsible sourcing of the mineralresources within its scope from conflict- affected and high-risk areas. The Commission shall submit a review report to the European Parliament and to the Council.
Amendment 565 #
Proposal for a regulation
Article 15 a (new)
Article 15 a (new)
Amendment 569 #
Proposal for a regulation
Annex I
Annex I
List of minerals and metalresources within the scope of the Regulation classified under the Combined Nomenclature CN code Product description 2609 00 00 Tin ores and concentrates 2611 00 00 Tungsten ores and concentrates 2615 90 00 Tantalum ores and concentrates 2616 90 00 Gold ores and concentrates 2825 90 40 Tungsten oxides and hydroxides 2849 90 30 Tungsten carbides 2849 90 50 Tantalum carbides 7108 Gold, unwrought or in semi-manufactured forms, or in powder form 8001 Tin, unwrought 8003 00 00 Tin bars, rods, profiles and wires 8007 00 Tin, other articles 8101 10 00 Tungsten, powder 8101 94 00 Tungsten, unwrought, including bars and rods obtained simply by sintering 8101 96 00 Tungsten wire 8101 99 Tungsten bars and rods, other than those obtained simply by sintering, profiles, plates, sheets, strip and foil, and other 8103 20 00 Tantalum, unwrought including bars and rods, obtained simply by sintering; powders 8103 90 Tantalum bars and rods, other than those obtained simply by sintering, profiles, wire, plates, sheets, strip and foil, and other Minerals Metals Semi-precious stones Precious stones
Amendment 575 #
Proposal for a regulation
Article II a (new)
Article II a (new)
Annex II a List of responsible upstream actors template referred to in Article 8 Column A: Name of upstream actor in alphabetical order Column B: Address of the smelter or refiner Column C: Economic activity of the actor Column D: (*) indicator, if the upstream actor engages in responsible sourcing of resources originating from conflict- affected and high-risk areas