BETA

125 Amendments of Sabine LÖSING related to 2014/0059(COD)

Amendment 13 #
Proposal for a regulation
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
2015/02/03
Committee: DEVE
Amendment 16 #
Proposal for a regulation
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. In these areas, breaking the nexus between conflict and illegal exploitation of mineralnatural resources is critical to peace and stability.
2015/02/03
Committee: DEVE
Amendment 18 #
Proposal for a regulation
Recital 1 a (new)
(1a) 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 exacerbates existing conflicts or triggers new ones; the mismanagement of land and natural resources is compounded by environmental degradation, population growth and climate change.
2015/02/03
Committee: DEVE
Amendment 20 #
Proposal for a regulation
Recital 1 b (new)
(1b) Human rights abuses are common within the extractive industry and include child labour, sexual violence, 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.
2015/02/03
Committee: DEVE
Amendment 25 #
Proposal for a regulation
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.
2015/02/03
Committee: DEVE
Amendment 26 #
Proposal for a regulation
Recital 6
(6) The Commission in its 2008 Communication8 recognised that securing reliable and undistorted access to raw materials is an important factor for the EU’s competitiveness. The Raw Materials Initiative (RMI) is an integrated strategy aimed at responding to different challenges related to access to non-energy non-agriculture raw materials. The RMI recognises and promotes financial as well as supply chain transparency, and the application of corporate social responsibility standards. __________________ 8The Raw Materials Initiative – meeting our critical needs for growth and jobs in Europe, COM(2008) 699.deleted
2015/02/03
Committee: DEVE
Amendment 28 #
Proposal for a regulation
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 European Commission is requested to bring forward binding legislation on conflict minerals;
2015/02/03
Committee: DEVE
Amendment 29 #
Proposal for a regulation
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. 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.
2015/02/03
Committee: DEVE
Amendment 32 #
Proposal for a regulation
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.
2015/02/03
Committee: DEVE
Amendment 34 #
Proposal for a regulation
Recital 9 a (new)
(9a) This 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 this 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.
2015/02/03
Committee: DEVE
Amendment 35 #
Proposal for a regulation
Recital 9 b (new)
(9b) In accordance with 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.
2015/02/03
Committee: DEVE
Amendment 37 #
Proposal for a regulation
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 awaIn accordance with the OECD Due Diligence 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 Commissione 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 SMEs.
2015/02/03
Committee: DEVE
Amendment 39 #
Proposal for a regulation
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 practicestheir 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 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 Union should also have a possibility for being included in the list to ensure its global scope.
2015/02/03
Committee: DEVE
Amendment 44 #
Proposal for a regulation
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.
2015/02/03
Committee: DEVE
Amendment 46 #
Proposal for a regulation
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 should be implemented. The Commission and the European External Action Service should apply and further develop an integrated Union approach to responsible sourcing as initiated in the Joint Communication of 5 March 2014 to the European Parliament and the Council ‘Responsible sourcing of minerals originating in conflict-affected and high-risk areas. Towards an integrated EU approach’1a. 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 should 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 should be given to addressing the contribution and challenges of the artisanal and informal mining sector for local livelihoods and sustainable development. _______________ 1a JOIN(2014) 8 final.
2015/02/03
Committee: DEVE
Amendment 47 #
Proposal for a regulation
Recital 15
(15) In order to ensure the proper implementation of this Regulation, 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)amend Annex I and Annex II to this Regulation, the Commission shall be empowered to adopt delegated acts in accordance with Article 290 TFEU, following the provisions laid down in this Regulation.
2015/02/03
Committee: DEVE
Amendment 50 #
Proposal for a regulation
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,.
2015/02/03
Committee: DEVE
Amendment 55 #
Proposal for a regulation
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 forces12 to trade in tin, tantalum and tungsten, their ores, and gold. It is designed to provide transparency and certainty as regards the supply practices of importers, smelters and refiners 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.designed to:
2015/02/03
Committee: DEVE
Amendment 57 #
Proposal for a regulation
Article 1 – paragraph 1 – point a (new)
(a) increase certainty and transparency as regards the supply practices of companies sourcing from conflict-affected and high- risk areas,
2015/02/03
Committee: DEVE
Amendment 58 #
Proposal for a regulation
Article 1 – paragraph 1 – point b (new)
(b) curtail opportunities for the sourcing, transport and trade of natural resources to fund conflict and/or fuel human rights violations or abuses,
2015/02/03
Committee: DEVE
Amendment 59 #
Proposal for a regulation
Article 1 – paragraph 1 – point c (new)
(c) help companies respect human rights and avoid contributing to conflict through their activities and sourcing decisions.
2015/02/03
Committee: DEVE
Amendment 60 #
Proposal for a regulation
Article 1 – paragraph 2
2. This Regulation lays down the supply chain due diligence obligations of Union importers who choose to be self-certified as responsible importers of minerals or metals containing or consisting of tin, tantalum, tungsten and gold, as set out in Annex I.deleted
2015/02/03
Committee: DEVE
Amendment 65 #
Proposal for a regulation
Article 2 – point a
(a) ‘minerals’ means ores and concentrates containing tin, tantalum and tungsten, and gold as set out in the Annex I;deleted
2015/02/03
Committee: DEVE
Amendment 66 #
Proposal for a regulation
Article 2 – point a a (new)
(aa) ‘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))1a including all Council Recommendations, Annexes and Supplements, as may be amended or replaced periodically; _________________ 1a 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.
2015/02/03
Committee: DEVE
Amendment 67 #
Proposal for a regulation
Article 2 – point a b (new)
(ab) ‘covered resources’ means all natural resources as set out in Annex I, as may be amended periodically in accordance with this Regulation;
2015/02/03
Committee: DEVE
Amendment 68 #
Proposal for a regulation
Article 2 – point a c (new)
(ac) ‘covered products’ means all covered resources and products comprising or containing covered resources;
2015/02/03
Committee: DEVE
Amendment 69 #
Proposal for a regulation
Article 2 – point a d (new)
(ad) ‘recycled resources’ means reclaimed end-user or post-consumer products, or scrap processed resources created during product manufacturing, 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;
2015/02/03
Committee: DEVE
Amendment 70 #
Proposal for a regulation
Article 2 – point a e (new)
(ae) ‘operator’ means any natural or legal person that places any covered product on the market for the first time;
2015/02/03
Committee: DEVE
Amendment 71 #
Proposal for a regulation
Article 2 – point a f (new)
(af) ‘placing on the market’ means the supply by any means, irrespective of the selling technique used, of products for the first time on the internal market for distribution or use in the course of commercial activity whether in return for payment or free of charge, including the supply by means of distance communication as defined in Directive 97/7/EC1a. ‘Placing on the market’ also includes the supply on the internal market of products derived from covered products already placed on the internal market. ________________ 1a Directive97/7/EC of the European Parliament and of the Council of 20 May 1997 on the protection of consumers in respect of distance contracts (OJ L 144, 4.6.1997, p. 19).
2015/02/03
Committee: DEVE
Amendment 72 #
Proposal for a regulation
Article 2 – point b
(b) ‘metals’ means metals containing or consisting of tin, tantalum, tungsten and gold as set out in the Annex I;deleted
2015/02/03
Committee: DEVE
Amendment 74 #
Proposal for a regulation
Article 2 – point c
(c) ‘mineralresources supply chain’ means the system of activities, organisations, actors, technology, information, resources and services involved in moving and processing the mineralresources from the extractionsourcing site to their incorporation in the final product;
2015/02/03
Committee: DEVE
Amendment 75 #
Proposal for a regulation
Article 2 – point c a (new)
(ca) ‘supply chain due diligence’ refers to the obligations of operators in relation to their management systems, risk management, third-party audits and disclosure of information with a view to identifying, addressing and publicly 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;
2015/02/03
Committee: DEVE
Amendment 77 #
Proposal for a regulation
Article 2 – point c b (new)
(cb) ‘model supply chain policy’ means the model supply chain policy in Annex II of the OECD Due Diligence Guidance;
2015/02/03
Committee: DEVE
Amendment 78 #
Proposal for a regulation
Article 2 – 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 metalresources as they move through athe supply chain;
2015/02/03
Committee: DEVE
Amendment 79 #
Proposal for a regulation
Article 2 – point d a (new)
(da) ‘risk management plan’ means an operator’s written responses to the supply chain risks identified under Article 5 in accordance with its supply chain policy;
2015/02/03
Committee: DEVE
Amendment 81 #
Proposal for a regulation
Article 2 – 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 abuses; dentified 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; 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 characterized by widespread human rights abuses and violations of national or international law;
2015/02/03
Committee: DEVE
Amendment 83 #
Proposal for a regulation
Article 2 – point f
(f) ‘downstream’ means the metal supply chain from the smelters or refiners to the end use;deleted
2015/02/03
Committee: DEVE
Amendment 86 #
Proposal for a regulation
Article 2 – point g
(g) ‘importer’ means any natural or legal person declaring minerals or metals within the scope of this Regulation for release for free circulation 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).deleted
2015/02/03
Committee: DEVE
Amendment 88 #
Proposal for a regulation
Article 2 – point h
(h) ‘responsible importer’ means any importer who chooses to self-certify according to the rules set out in this Regulation;deleted
2015/02/03
Committee: DEVE
Amendment 90 #
Proposal for a regulation
Article 2 – 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 Regulation;deleted
2015/02/03
Committee: DEVE
Amendment 92 #
Proposal for a regulation
Article 2 – 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 mineral extractionresource sourcing, trade, handling and export in respect of resources originating in conflict-affected and high-risk areas;
2015/02/03
Committee: DEVE
Amendment 93 #
Proposal for a regulation
Article 2 – point j a (new)
(ja) ‘Annex II operator’ refers to any operator of the type identified in Annex II;
2015/02/03
Committee: DEVE
Amendment 94 #
Proposal for a regulation
Article 2 – point j b (new)
(jb) ‘Annex II actor’ refers to any natural or legal person of the type identified in Annex II;
2015/02/03
Committee: DEVE
Amendment 95 #
Proposal for a regulation
Article 2 – point j c (new)
(jc) ‘responsible Annex II actor’ refers to any Annex II actor that complies with this Regulation or the OECD Due Diligence Guidance and has submitted audited reports as set out in Article 6 to a Member State authority in accordance with Article 7 (3) or 7 (7);
2015/02/03
Committee: DEVE
Amendment 96 #
Proposal for a regulation
Article 2 – point j d (new)
(jd) ‘business confidentiality and other competitiveness concerns’ means price information and supplier relationships without prejudice to subsequent evolving interpretation.
2015/02/03
Committee: DEVE
Amendment 97 #
Proposal for a regulation
Article 2 – point k
(k) ‘model supply chain policy’ conforms to 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;deleted
2015/02/03
Committee: DEVE
Amendment 98 #
Proposal for a regulation
Article 2 – point l
(l) ‘risk management plan’ means the importers’ written response to the identified supply chain risks based on Annex III to the OECD Due Diligence Guidance14 ; __________________ 14OECD 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.deleted
2015/02/03
Committee: DEVE
Amendment 99 #
Proposal for a regulation
Article 2 – point n
(n) ‘upstream’ means the mineral supply chain from the extraction sites to the smelters or refiners, included;deleted
2015/02/03
Committee: DEVE
Amendment 104 #
Proposal for a regulation
Article 3 – title
Self-certification as a responsible importerOperator obligations
2015/02/03
Committee: DEVE
Amendment 107 #
Proposal for a regulation
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 obligIn accordance with the OECD Due Diligence Guidance, 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 situations including results of the independent third-party audits carried out a particular country, the sector and nature of the products or services involved.
2015/02/03
Committee: DEVE
Amendment 109 #
Proposal for a regulation
Article 3 – paragraph 2
2. The Member State competent authorities shall carry out appropriate ex- post checks in order to ensure that self- certified responsible importers of the minerals or metals within the scope of this Regulation comply with their obligations pursuant to Articles 4, 5, 6, and 7 of this Regulation.deleted
2015/02/03
Committee: DEVE
Amendment 113 #
Proposal for a regulation
Article 4 – introductory part
The responsible importer of the minerals or metalsEach operator shall, in accordance within the scope of this Regulation shallOECD Due Diligence Guidance:
2015/02/03
Committee: DEVE
Amendment 115 #
Proposal for a regulation
Article 4 – point a
(a) adopt and clearly 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,
2015/02/03
Committee: DEVE
Amendment 117 #
Proposal for a regulation
Article 4 – point b
(b) incorporate in its supply chain policy the standards against which supply chain due diligence is to be conducted consistent with the standards set forth in the model supply chain policy in Annex II to the OECD Due Diligence Guidance,
2015/02/03
Committee: DEVE
Amendment 118 #
Proposal for a regulation
Article 4 – point c
(c) structure its internal management systems to support supply chain due diligence, inter alia, by assigning responsibility to senior staff to oversee the supply chain due diligence process as well as maintain records for a minimum of 5 years,
2015/02/03
Committee: DEVE
Amendment 119 #
Proposal for a regulation
Article 4 – point c a (new)
(ca) establish a system of controls and transparency over the resources supply chain, including the identification of Annex II actors in the supply chain, which may be implemented through participation in industry-driven programmes,
2015/02/03
Committee: DEVE
Amendment 120 #
Proposal for a regulation
Article 4 – 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 Guidancethe model supply chain policy,
2015/02/03
Committee: DEVE
Amendment 121 #
Proposal for a regulation
Article 4 – 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),
2015/02/03
Committee: DEVE
Amendment 122 #
Proposal for a regulation
Article 4 – point f
(f) as regards minerals, operate a chain of custody or supply chain traceability system that provides, supported by documentation, the following information: (i) description of the mineral, including its trade name and type, (ii) name and address of the supplier to the importer, (iii) country of origin of the minerals, (iv) quantities and dates of extraction, expressed in volume or weight, (v) when minerals originate from conflict- affected and high-risk areas, additional information, such as the mine of mineral origin; locations where minerals 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.deleted
2015/02/03
Committee: DEVE
Amendment 123 #
Proposal for a regulation
Article 4 – point g
(g) as regards metals, operate a chain of custody or supply chain traceability system that provides, supported by documentation, the following information: (i) description of the metal, including its trade name and type, (ii) name and address of the supplier to the importer, (iii) name and address of the smelters or refiners in the importers’ supply chain, (iv) record of the smelters’ or refiners’ third-party audit reports, (v) countries of origin of the minerals in the smelters’ or refiners’ supply chain. (vi) when metals are based on minerals originating from conflict-affected and high-risk areas, additional information shall be provided in accordance with the specific recommendations for downstream companies set out in the OECD Due Diligence Guidance.deleted
2015/02/03
Committee: DEVE
Amendment 127 #
Proposal for a regulation
Article 4 – paragraph 1 a (new)
In addition to the obligations set out in paragraph 1, Annex II type operators, shall operate a chain of custody or supply chain traceability system that provides, supported by documentation, the following information: (i) description of the resource including its trade name and type, (ii) name and address of the supplier to the Annex II actors, (iii) country of origin of the resource, (iv) quantities and dates of extraction, expressed in volume or weight, (v) when resources originate from conflict-affected and high-risk areas, additional information, such as extraction site; locations where resources are consolidated, traded and processed; and taxes, fees, royalties paid, in accordance with the OECD Due Diligence Guidance.
2015/02/03
Committee: DEVE
Amendment 128 #
Proposal for a regulation
Article 4 – paragraph 1 b (new)
Where an operator can reasonably conclude that covered products are derived only from recycled resources, it shall: (a) publicly disclose their determination; and (b) describe in reasonable detail the due diligence measures they exercised in making that determination.
2015/02/03
Committee: DEVE
Amendment 129 #
Proposal for a regulation
Article 5 – paragraph 1 – introductory part
1. The responsible importer of the minerals or metals within the scope of this Regulation shallEach operator shall, in accordance with the OECD Due Diligence Guidance, identify and assess the risks in its resources supply chain in accordance with Article 4, and:
2015/02/03
Committee: DEVE
Amendment 130 #
Proposal for a regulation
Article 5 – paragraph 1 – point a
(a) identify and assess the risks of adverse impacts in its mineral supply chain on 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 Guidance,deleted
2015/02/03
Committee: DEVE
Amendment 132 #
Proposal for a regulation
Article 5 – paragraph 1 – point b – point i
(i) reporting findings of the supply chain risk assessment to its designated senior management of the operator,
2015/02/03
Committee: DEVE
Amendment 133 #
Proposal for a regulation
Article 5 – paragraph 1 – point b – point ii – introductory part
(ii) devising and adopting a risk management measures consistent with Annex II and the due diligence recommendations of the OECD Due Diligence Guidanceplan, 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:
2015/02/03
Committee: DEVE
Amendment 134 #
Proposal for a regulation
Article 5 – paragraph 1 a (new)
1a. Each operator other than an Annex II operator shall identify and assess the risks in its resources supply chain in accordance with paragraph 1 by: (a) identifying, to its best efforts, the Annex II actors in its resources supply chain; (b) assessing, to its best efforts, the due diligence practices of those Annex II actors identified under paragraph 1 a(a) above on the basis of any available audited reports and/or, as appropriate, other relevant information;
2015/02/03
Committee: DEVE
Amendment 135 #
Proposal for a regulation
Article 5 – paragraph 2
2. If a responsible importen Annex II 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.
2015/02/03
Committee: DEVE
Amendment 136 #
Proposal for a regulation
Article 5 – paragraph 3
3. A responsible importeEach Annex II 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 in accordance with the OECD Due Diligence Guidance.
2015/02/03
Committee: DEVE
Amendment 137 #
Proposal for a regulation
Article 5 – paragraph 3 a (new)
3a. If an operator other than an Annex II operator pursues risk mitigation efforts while continuing trade or temporarily suspending trade it shall, as appropriate and in accordance with the OECD Due Diligence Guidance, consult 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.
2015/02/03
Committee: DEVE
Amendment 138 #
Proposal for a regulation
Article 6 – paragraph 1
The responsible importer of the minerals or metals within the scope of this Regulation shall carry outAnnex II operators shall have their due diligence practices audits viaed by an independent third-party in accordance with the OECD Due Diligence Guidance.
2015/02/03
Committee: DEVE
Amendment 139 #
Proposal for a regulation
Article 6 – paragraph 2 – introductory part
TIn accordance with the first paragraph and the OECD Due Diligence Guidance, the independent third-party audit shall:
2015/02/03
Committee: DEVE
Amendment 140 #
Proposal for a regulation
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,
2015/02/03
Committee: DEVE
Amendment 141 #
Proposal for a regulation
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 Articles 4, 5 and 7 of this Regulation,
2015/02/03
Committee: DEVE
Amendment 142 #
Proposal for a regulation
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.
2015/02/03
Committee: DEVE
Amendment 143 #
Proposal for a regulation
Article 6 – paragraph 2 a (new)
All operators may cooperate through their industry organizations to ensure that the independent third-party audit is carried out in accordance with the second paragraph.
2015/02/03
Committee: DEVE
Amendment 144 #
Proposal for a regulation
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 Regulation all operators shall submit to the Member State competent authority the following documentation covering the previous year’s calendar period:
2015/02/03
Committee: DEVE
Amendment 145 #
Proposal for a regulation
Article 7 – paragraph 1 – point c
(c) independent third-party audits carried out in accordance with Article 6 of this Regulation.deleted
2015/02/03
Committee: DEVE
Amendment 146 #
Proposal for a regulation
Article 7 – paragraph 2
2. By 31 March of each year at the latest, the responsible importer of minerals wioperators other thian the scope of this RegulationAnnex II operators shall also submit to the Member State competent authority the 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.management reports containing the following documentation covering the previous year’s calendar period:
2015/02/03
Committee: DEVE
Amendment 147 #
Proposal for a regulation
Article 7 – paragraph 2 – point a (new)
(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,
2015/02/03
Committee: DEVE
Amendment 148 #
Proposal for a regulation
Article 7 – paragraph 2 – point b (new)
(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,
2015/02/03
Committee: DEVE
Amendment 149 #
Proposal for a regulation
Article 7 – paragraph 2 – point c (new)
(c) name and address of each of the Annex II actors in its supply chain, as identified by the operator in accordance with Article 4 and 5,
2015/02/03
Committee: DEVE
Amendment 150 #
Proposal for a regulation
Article 7 – paragraph 2 – point d (new)
(d) independent third-party audits regarding each of the Annex II 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,
2015/02/03
Committee: DEVE
Amendment 151 #
Proposal for a regulation
Article 7 – paragraph 2 – point e (new)
(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,
2015/02/03
Committee: DEVE
Amendment 152 #
Proposal for a regulation
Article 7 – paragraph 2 – point f (new)
(f) action taken by the operator to strengthen its due diligence efforts during the reporting period.
2015/02/03
Committee: DEVE
Amendment 153 #
Proposal for a regulation
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 RegulationAnnex II type operators shall also submit to the Member State competent authority the following documentation covering the previous year’s calendar period:
2015/02/03
Committee: DEVE
Amendment 154 #
Proposal for a regulation
Article 7 – paragraph 3 – point a
(a) name and address of each of the responsible smelters or refiners in its supply chain,deleted
2015/02/03
Committee: DEVE
Amendment 156 #
Proposal for a regulation
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 incarried out in accordance with Article 6 of theis Regulation,; and
2015/02/03
Committee: DEVE
Amendment 158 #
Proposal for a regulation
Article 7 – paragraph 3 – point c
(c) information on the proportion of mineralcovered resources originating from conflict-affected and high-risk areas relative to the total amount of minerals purchased by each of those smelters or refinerscovered resources purchased, as confirmed by the independent third-party audits in accordance with Article 6 of this Regulation.
2015/02/03
Committee: DEVE
Amendment 159 #
Proposal for a regulation
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 Guidance.
2015/02/03
Committee: DEVE
Amendment 160 #
Proposal for a regulation
Article 7 – paragraph 5
5. The responsible importer of minerals or metalsOperators shall publicly disclose in accordance within the scope of this Regulation shall publicly reportOECD Due Diligence Guidance and as widely as possible, including on the internet and on an annual basis on its 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 the third-party audits, including the name of the auditorny independent third-party audits of responsible Annex II actors in the operators’ supply chain, with due regard to business confidentiality and other competitive concerns.
2015/02/03
Committee: DEVE
Amendment 161 #
Proposal for a regulation
Article 7 – paragraph 6 a (new)
6a. Responsible Annex II actors outside the territory of the 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.
2015/02/03
Committee: DEVE
Amendment 162 #
2015/02/03
Committee: DEVE
Amendment 164 #
Proposal for a regulation
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 RegulationAnnex II actors.
2015/02/03
Committee: DEVE
Amendment 167 #
Proposal for a regulation
Article 8 – paragraph 2
2. The Commission shall identify on the list referred to in paragraph 1 those responsible smelters and refineAnnex II actors that source – at least partially – from conflict- affected and high-risk areas.
2015/02/03
Committee: DEVE
Amendment 169 #
Proposal for a regulation
Article 8 – paragraph 3
3. The Commission shall adopt the list in accordance with the template in Annex II and the regulatory procedure referred to in Article 13(2)I. The OECD Secretariat shall be consulted.
2015/02/03
Committee: DEVE
Amendment 170 #
Proposal for a regulation
Article 8 – paragraph 4
4. The Commission shall update the information included in the list in a timely manner but not less than every six months. The Commission shall remove from the list the names of the smelters and refineAnnex II actors that are no longer recognised as responsible importeAnnex II 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.
2015/02/03
Committee: DEVE
Amendment 176 #
Proposal for a regulation
Article 9 – paragraph 2
2. The Commission shall make a decision to publish, including on the internet, a list of competent authorities in accordance with the template in Annex III and the regulatory procedure referred to in paragraph 2 of Article 13V. The Commission shall update the list regularly.
2015/02/03
Committee: DEVE
Amendment 178 #
2015/02/03
Committee: DEVE
Amendment 179 #
Proposal for a regulation
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.
2015/02/03
Committee: DEVE
Amendment 180 #
Proposal for a regulation
Article 10 – paragraph 2
2. The checks referred to in paragraph 1 shall be conducted by taking a risk-based approach. In addition, checks may be conducted when a competent authority is in possession of relevant information, including on the basis of substantiated concerns provided by third parties, concerning the compliance by a responsible importen operator with this Regulation.
2015/02/03
Committee: DEVE
Amendment 181 #
Proposal for a regulation
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,
2015/02/03
Committee: DEVE
Amendment 182 #
Proposal for a regulation
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,
2015/02/03
Committee: DEVE
Amendment 183 #
Proposal for a regulation
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.
2015/02/03
Committee: DEVE
Amendment 184 #
Proposal for a regulation
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.
2015/02/03
Committee: DEVE
Amendment 185 #
2015/02/03
Committee: DEVE
Amendment 188 #
Proposal for a regulation
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.
2015/02/03
Committee: DEVE
Amendment 189 #
Proposal for a regulation
Article 13 – paragraph 2
2. WThere reference is made to this paragraph, Article 4 of Regulation (EU) No 182/2011 shall apply. Where the opinion of the committee is to be obtained by written procedure, that procedure shall be terminated without result when, within the time-limit for delivery of the opinion, the chair of the committee so decides or a simple majority of committee members so request power to adopt delegated acts referred to in the relevant Articles shall be conferred to the Commission for an indeterminate period of time from the date that this Regulation enters into force.
2015/02/03
Committee: DEVE
Amendment 190 #
Proposal for a regulation
Article 13 – paragraph 2
Where reference is made to this paragraph, Article 4 of Regulation (EU) No 182/2011 shall apply. Where the opinion of the committee is to be obtained by written procedure, that procedure shall be terminated without result when, within the time-limit for delivery of the opinion, the chair of the committee so decides or a simple majority of committee members so request.deleted
2015/02/03
Committee: DEVE
Amendment 191 #
Proposal for a regulation
Article 13 – paragraph 2 a (new)
2a. The delegation of powers referred to in the relevant Articles 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.
2015/02/03
Committee: DEVE
Amendment 192 #
Proposal for a regulation
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.
2015/02/03
Committee: DEVE
Amendment 193 #
Proposal for a regulation
Article 13 – paragraph 2 c (new)
2c. A delegated act adopted pursuant to the relevant Articles 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.
2015/02/03
Committee: DEVE
Amendment 194 #
Proposal for a regulation
Article 13 a (new)
Article 13 a Amending Annex I and Annex II 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 scope of Annex I and II, 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. Annex II shall be reviewed with a view to identifying additional choke points of transformation and traceability in covered resources supply chains with a view to strengthening supply chain due diligence with regard to all Annex I resources. 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. 4. Delegated acts adopted under this Article shall enter into force without delay and shall apply as long as no objection is expressed in accordance with paragraph 5. The notification of a delegated act adopted under this Article to the European Parliament and to the Council shall state the reasons for the use of the urgency procedure. 5. Either the European Parliament or the Council may object to a delegated act in accordance with the procedure referred to in this Article. In such a case, the Commission shall repeal the act without delay following the notification of the decision to object by the European Parliament or the Council.
2015/02/03
Committee: DEVE
Amendment 197 #
Proposal for a regulation
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.
2015/02/03
Committee: DEVE
Amendment 199 #
Proposal for a regulation
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.
2015/02/03
Committee: DEVE
Amendment 203 #
Proposal for a regulation
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 importersAnnex II actors, as set out in Article 7(1) (a), 7.2 and 7.3 (a) and (c(3) (a)-(b) and 7(7) (a).
2015/02/03
Committee: DEVE
Amendment 206 #
Proposal for a regulation
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.
2015/02/03
Committee: DEVE
Amendment 209 #
Proposal for a regulation
Article 15 a (new)
Article 15 a Accompanying measures 1. In order to effectively break the link between the exploitation of natural resources and conflict and to ensure their responsible sourcing, the Commission and the External Action Service shall implement accompanying measures to this Regulation aimed at the enhancement of responsible sourcing, the effective establishment of national and international due diligence frameworks and related support systems, including reliable certification and traceability systems, and the addressing of development needs linked to (a) the exploitation and trade in natural resources originating from conflict- affected and high-risk areas and (b) the implementation of this Regulation, including: (i) support to companies to responsibly source from conflict-affected and high risk areas providing technical and other assistance and guidance to operators, taking into account the situation of small and medium-sized enterprises and their position in the supply chain, in order to facilitate compliance with the requirements of this Regulation. (ii) targeted, rights-based development cooperation, particularly addressing the challenges of implementing responsible sourcing in the local context of conflict- affected and high risk areas, including poverty reduction, good governance and the security sector; (iii) meaningful policy dialogues on responsible sourcing with third countries and other stakeholders; (iv) close cooperation with the Member States, in particular complementary initiatives in the area of consumer, investor and customer information and when providing technical and other assistance in accordance with point (i). 2. The European Commission and the European External Action Service shall, as appropriate, implement the objectives of accompanying measures through political and policy dialogues, programming, and relevant internal and external policies. Where appropriate, legislative proposals should be presented to the European Parliament and the Council. 3. The European Commission shall present to the European Parliament and to the Council an annual report of the accompanying measures implemented pursuant to this Article and their impact and effectiveness.
2015/02/03
Committee: DEVE
Amendment 212 #
Proposal for a regulation
Annex I -- title
List of minerals and metalresources within the scope of the Regulation classified under the Combined Nomenclature
2015/02/03
Committee: DEVE
Amendment 213 #
Proposal for a regulation
Annex I -- table
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 Precious stones Semi-precious stones
2015/02/03
Committee: DEVE
Amendment 214 #
Proposal for a regulation
Annex Ia (new)
Annex Ia List of choke points identified in the supply chains of covered resources -‘smelters’ -‘refiners’
2015/02/03
Committee: DEVE
Amendment 215 #
Proposal for a regulation
Annex II -- title
List of responsible smelters and refiners’ template referred to in Article 8Annex Ia actors
2015/02/03
Committee: DEVE
Amendment 216 #
Proposal for a regulation
Annex II
Column A: Name of smelters or refinersAnnex Ia actor in alphabetical order Column B: Address of the smelter or refineAnnex Ia actor Column C: Annex Ia category of the actor Column CD: (*) indicator, if the smelter or refiner sources mineralAnnex Ia actor engages in responsible sourcing of resources originating from conflict- affected and high -risk areas
2015/02/03
Committee: DEVE