2014/0059(COD) Supply chain due diligence obligations for Union importers of tin, tantalum and tungsten, their ores, and gold originating from conflict-affected and high-risk areas
Lead committee dossier:
Progress: Procedure completed
| Role | Committee | Rapporteur | Shadows |
|---|---|---|---|
| Lead | INTA |
WINKLER Iuliu ( PPE)
|
ARENA Maria ( S&D),
MCCLARKIN Emma ( ECR),
DE SARNEZ Marielle ( ALDE),
KELLER Ska ( Verts/ALE),
BEGHIN Tiziana ( EFDD)
|
| Former Responsible Committee | INTA | ||
| Committee Opinion | AFET | ||
| Committee Opinion | DEVE |
WENTA Bogdan Brunon ( PPE)
|
|
| Committee Opinion | BUDG | ||
| Committee Opinion | ITRE | ||
| Former Committee Opinion | AFET | ||
| Former Committee Opinion | DEVE |
Nirj DEVA ( ECR),
Louis MICHEL ( ALDE),
Judith SARGENTINI ( Verts/ALE),
Lola SÁNCHEZ CALDENTEY ( GUE/NGL)
|
|
| Former Committee Opinion | BUDG | ||
| Former Committee Opinion | ITRE |
Lead committee dossier:
Legal Basis:
TFEU 207
Legal Basis:
TFEU 207Subjects
Events
2017/05/19
Final act published in Official Journal
Details
PURPOSE: to put an end to the financing of armed groups through trade in minerals from conflict areas.
LEGISLATIVE ACT: Regulation (EU) 2017/821 of the European Parliament and of the Council laying down supply chain due diligence obligations for Union importers of tin, tantalum and tungsten, their ores, and gold originating from conflict-affected and high-risk areas.
CONTENT: human rights abuses are common in resource-rich conflict-affected and high-risk areas and may include child labour, sexual violence, the disappearance of people, forced resettlement and the destruction of ritually or culturally significant sites.
Purpose and scope : this Regulation establishes a Union system for supply chain due diligence in order to curtail opportunities for armed groups and security forces to trade in tin, tantalum and tungsten, their ores, and gold.
At least 95% of all EU imports of metals and minerals will be covered, while small volume importers will be exempt.
The Regulation builds upon 2011 OECD guidelines which set the international benchmark for supply chain due diligence.
Importers’ obligations : this Regulation obliges EU companies to source their imports of tin, tantalum, tungsten and gold responsibly and to ensure that their supply chains do not contribute to funding armed conflict. To this end, it lays down the supply chain due diligence obligations of Union importers of minerals or metals containing or consisting of tin, tantalum, tungsten or gold.
Union importers of minerals shall :
identify and assess the risks of adverse impacts in their mineral supply chain on the basis of the information provided by independent third-party audits of the smelters and refiners in the supply chain; implement a strategy to respond to the identified risks; provide the competent authorities of the Member State with evidence of conformity with a supply chain due diligence scheme recognised by the Commission; make available to their immediate downstream purchasers all information gained and maintained pursuant to their supply chain due diligence; prepare a report , on an annual basis, on their supply chain due diligence policies and practices for responsible sourcing.
The competent authorities shall carry out checks to ensure that EU importers of minerals and metals comply with their due diligence obligations.
Certification : governments, industry associations and groupings of interested organisations having due diligence schemes in place may apply to the Commission to have the supply chain due diligence schemes that are developed and overseen by them recognised by the Commission.
The Commission shall establish and keep up-to-date a register of recognised supply chain due diligence schemes. That register shall be made publicly available on the internet. The Commission shall adopt implementing acts establishing or amending the list of the names and addresses of global responsible smelters and refiners .
Guidelines : the Commission, in consultation with the European External Action Service and the OECD, shall prepare non-binding guidelines in the form of a handbook for economic operators, explaining how best to apply the criteria for the identification of conflict-affected and high-risk areas.
Review clause : by 1 January 2023 and every three years thereafter, the Commission shall review the functioning and the effectiveness of the Union system, and its impact on the ground as regards the promotion of responsible sourcing of the minerals falling within the scope of this Regulation from conflict-affected and high-risk areas and on Union economic operators including SMEs. It shall propose new mandatory measures in order to ensure sufficient leverage of the total Union market on the responsible global supply chain of minerals.
ENTRY INTO FORCE: 8.6.2017.
APPLICATION: from 9.7.2017. Rules relating to due diligence shall apply as from 1.1.2021.
DELEGATED ACTS: the Commission may adopt delegated acts for the amendment of Annex I to the Regulation by establishing and amending the volume thresholds of minerals and metals falling within the scope of Regulation (EU) 2017/821 according to the Combined Nomenclature. The power to adopt such acts shall be conferred on the Commission for a period of five years (renewable) from 8 June 2017. The European Parliament or the Council shall have the right to object to a delegated act within a period of two months (extendable for two months) from the notification of the act.
2017/05/17
EU - For information
Documents
2017/05/17
CSL - Draft final act
Documents
2017/05/17
CSL - Final act signed
2017/05/17
EP - End of procedure in Parliament
2017/05/16
EC - Commission response to text adopted in plenary
Documents
2017/04/03
EP/CSL - Act adopted by Council after Parliament's 1st reading
2017/04/03
CSL - Council Meeting
2017/03/16
EP - Results of vote in Parliament
Documents
2017/03/16
EP - Decision by Parliament, 1st reading
Details
The European Parliament adopted by 558 votes to 17, with 45 abstentions, a legislative resolution on the 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 gold originating in conflict-affected and high-risk areas.
Parliament’s position adopted at first reading following the ordinary legislative procedure amended the Commission proposal.
Subject matter and scope : the Regulation, by controlling trade in minerals from conflict areas, is one of the ways of eliminating the financing of armed groups . It lays down the supply chain due diligence obligations of Union importers of minerals or metals containing or consisting of tin, tantalum, tungsten or gold.
This Regulation shall not apply to Union importers of minerals or metals, where their annual import volume of each of the minerals or metals concerned is below the volume thresholds set out in Annex I to the Regulation.
All volume thresholds are set at a level that ensures that the vast majority, but no less than 95 %, of the total volumes imported into the Union of each mineral and metal under the Combined Nomenclature code is subject to the obligations of Union importers set out in this Regulation.
In exercising its power to adopt delegated acts to modify existing thresholds, the Commission has undertaken to take account of the position of micro, small and medium-sized enterprises which import gold.
Importers’ obligations : Union importers of minerals or metals shall comply with the supply chain due diligence obligations set out in this Regulation and shall keep documentation demonstrating their respective compliance with those obligations.
Union importers of metals shall identify and assess, in accordance with the OECD Due Diligence Guidance , the risks in their supply chain based on available third-party audit reports concerning the smelters and refiners in that chain, and, by assessing, as appropriate, the due diligence practices of those smelters and refiners.
Union importers shall carry out audits of their own supply chain due diligence via an independent third-party unless there is evidence of conformity with a supply chain due diligence scheme recognised by the Commission.
The Commission shall adopt implementing acts establishing or amending the list of the names and addresses of global responsible smelters and refiners.
Disclosure obligations : Union importers shall: (i) make available to the Member State competent authorities the reports of any third party audit carried out or evidence of conformity with a supply chain due diligence scheme recognised by the Commission; (ii) make available to their immediate downstream purchasers all information gained and maintained pursuant to their supply chain due diligence: (iii) publicly report as widely as possible, including on the internet, and on an annual basis on their supply chain due diligence policies and practices for responsible sourcing.
Certification : the amended text stipulates that governments, industry associations and groupings of interested organisations having due diligence schemes in place (‘scheme owners’) may apply to the Commission to have the supply chain due diligence schemes that are developed and overseen by them recognised by the Commission.
The methodology and criteria for such schemes to be recognised as equivalent to the requirements of this Regulation shall be established in a delegated act to avoid double auditing. Such schemes shall incorporate the overarching due diligence principles, ensure that requirements are aligned to the specific recommendations of the OECD Due Diligence Guidance.
The Commission shall establish and keep up-to-date a register of recognised supply chain due diligence schemes. It shall be made publicly available on the internet.
Guidelines : in response to the European Parliament's request for specific guidelines, the Commission shall prepare non-binding guidelines in the form of a handbook for economic operators, explaining how best to apply the criteria for the identification of conflict-affected and high-risk areas.
By means of such guidelines, relevant companies with more than 500 employees that are required to disclose non-financial information would be encouraged to disclose specific information in relation to products containing tin, tantalum, tungsten or gold.
Review clause : by 1 January 2023 and every three years thereafter, the Commission shall review the functioning and effectiveness of this Regulation in order assess the adequacy and implementation of these due diligence schemes and the impact of the Union system on the ground. It shall propose new mandatory measures in order to ensure sufficient leverage of the total Union market on the responsible global supply chain of minerals.
Documents
2017/03/15
EP - Debate in Parliament
2017/01/24
EP - Approval in committee of the text agreed at 1st reading interinstitutional negotiations
2015/05/20
EP - Decision by Parliament, 1st reading
Details
The European Parliament, by 402 votes to 118 with 171 abstentions, adopted amendments to
the 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 gold originating in conflict-affected and high-risk areas.
The question was referred back to the competent committee for re-consideration and the vote was deferred to a later session.
The main amendments adopted amended the Commission proposal as follows:
Purpose: the Regulation was one of the ways of eliminating the financing of armed groups by means of controlling trade of minerals from conflict regions . It reflected the need for due diligence along the entire supply chain from the sourcing site to the final product.
Accordingly, all companies who first place covered resources, including products that contain those resources on the Union market must conduct and publicly report on their supply chain due diligence.
Certification system : Parliament stated that the Regulation should establish the European certification of responsibility' (and not just self-certification as the Commission had proposed) regarding due diligence obligations in order to curtail opportunities for armed groups and security forces to trade in tin, tantalum and tungsten, their ores, and gold.
All Union importers who source minerals and metals falling within the scope of this Regulation must conform to the OECD Due Diligence Guidance.
Downstream companies : these companies must take all reasonable steps to identify and address any risks arising in their supply chains for minerals and metals coming within the scope of the Regulation. In this connection, they should be required to provide information on the due diligence practices they employ for responsible supply chains. The exercise of due diligence must be tailored to the activities of the undertaking in question, its size and its position in the supply chain. The Commission may provide further guidelines on the obligations to be met by undertakings, depending on their position in the supply chain, to ensure that the system involves a flexible procedure that takes into account the position of SMEs.
Verification by third-parties : certified responsible importers of smelted and refined metals shall be exempted from carrying out independent third-party audits provided they submit substantive evidence that all smelters and refiners in their supply chain conform to the provisions of the Regulation.
List of responsible importers : the Commission should adopt and make publicly available a decision listing the names and addresses of responsible importers of minerals and metals within the scope of the Regulation. It must update and publish, including on the internet, the information included in the list in a timely manner.
Due diligence obligations applicable to smelters and refiners : smelters and refiners established in the Union which process and import minerals and concentrates thereof would have an obligation to apply the Union system for supply chain due diligence or a due diligence system recognised as equivalent by the Commission. If there were a failure to comply with these obligations, the authorities would notify the fact to the smelter or refiner, and ask them to take corrective measures in order to comply with the European due diligence system.
In the event of a persistent failure to comply, Member States competent authorities would impose penalties for the infringement.
Transition period : provision should be made for a two-year transitional period to allow the Commission to set up a third-party audit system and for responsible importers to become familiar with their obligations under the Regulation.
Accompanying measures : the Commission should submit a legislative proposal , as appropriate, within the transitional period setting up accompanying measures in order to enhance the effectiveness of this Regulation in line with responsible sourcing of minerals. These should cover the following:
support for responsibly sourcing enterprises in the form of incentives, technical assistance and guidance to enterprises, taking into account the situation of small and medium-sized enterprises; ongoing policy dialogues with third countries; continued, targeted development cooperation with third countries , in particular aid for the marketing of non-conflict minerals; close cooperation with Member States for the launching of complementary initiatives in the area of consumer, investor and customer information.
Strengthened review clause : Parliament recommended stricter monitoring of the system, with a review two years after its application and every three years thereafter (rather than three and six years respectively, as proposed by the Commission).
Documents
2015/05/20
EP - Matter referred back to the committee responsible
2015/05/19
EP - Debate in Parliament
2015/04/24
EP - Committee report tabled for plenary, 1st reading
Details
The Committee on International Trade adopted the report by Iuliu WINKLER (EPP, RO) on the 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 gold originating in conflict-affected and high-risk areas.
The committee recommended that Parliament’s position adopted in first reading following the ordinary legislative procedure should amend the Commission proposal as follows:
Purpose and scope : Members felt that the Regulation was one of the ways of eliminating the financing of armed groups by means of controlling trade of minerals from conflict regions. The latter should ensure that the nexus between conflict and illegal exploitation was broken .
Accordingly, the objective of the Regulation was to lay down the supply chain due diligence obligations of Union importers who choose to be self-declared as responsible importers of minerals or metals containing or consisting of tin, tantalum, tungsten and gold. Metals reasonably assumed to be recycled should be excluded from the scope of this Regulation.
The definition of importers was widened to enable traders to self-certify and participate in the new system.
Conformity assessment : the importer responsible for the minerals or metals within the scope of the Regulation should request a notified conformity assessment body carry out a conformity assessment in accordance with a conformity assessment scheme .
The Commission shall adopt an implementing act establishing one or more conformity assessment scheme(s) covering all of the responsible importer's activities, processes and systems used to implement supply chain due diligence.
Member States should notify the Commission and the other Member States of bodies authorised to carry out third-party conformity assessment tasks under the Regulation. The Commission should make publicly available the list of the bodies.
Members set out the requirements related to conformity assessment bodies seeking notification and also set out the obligations of notified conformity assessment bodies.
A conformity assessment body should be a third-party body independent of the importer it assesses and the smelter or refiner, the smelter's or refiner's subsidiaries, licensees, contractors, suppliers and companies cooperating in the conformity assessment.
Where a notified conformity assessment body found that an importer had not met requirements of the conformity assessment scheme, it should require that importer to take appropriate corrective measures and should not issue a certificate.
Where corrective measures were not adopted or did not have the required effect, the assessment body should suspend or withdraw the certificate if necessary.
List of responsible importers : in order to provide visibility for the efforts of companies taking on commitments in this domain, the Commission should draw up a list of responsible importers on the basis of reports on the implementation of the regulation by the Member States.
The ‘European responsible importer’ label : responsible importers should be granted a ‘European responsible importer’ label by Member States’ competent authorities. The label should be suspended or withdrawn where there is non-compliance.
Due diligence obligations applicable to smelters and refiners : Members proposed that the Regulation must be compulsorily applied for smelters and refiners established in the Union, who were key actors in the supply chain, as they were involved in the stage when minerals were processed. They were therefore in a better position to gather, communicate and verify information about the origin of minerals and the various operators that had been responsible for them.
Establishment of a "European certification of responsibility" for companies operating downstream: companies established in the Union operating downstream of the supply chain of minerals and taking due diligence measures, might be granted a "European certification of responsibility “by the competent authorities of the Member States.
Review: two years after the date of application of the Regulation and every three years thereafter, the Commission will review the functioning and effectiveness of the Regulation and the latest impact of the scheme both in the EU and on the ground.
The Regulation should apply two years after its entry into force.
Documents
2015/04/14
EP - Vote in committee, 1st reading
2015/03/25
EP - Amendments tabled in committee
Documents
2015/03/23
EP - Committee opinion
Documents
2015/03/06
IT_SENATE - Contribution
Documents
2015/02/03
EP - Committee draft report
Documents
2014/10/20
EP - Committee referral announced in Parliament, 1st reading
2014/09/29
EP - WENTA Bogdan Brunon (PPE) appointed as rapporteur in DEVE
2014/09/03
EP - WINKLER Iuliu (PPE) appointed as rapporteur in INTA
2014/03/13
EP - Committee referral announced in Parliament, 1st reading
2014/03/05
EC - Legislative proposal
Details
PURPOSE: to establish an EU system of self-certification for importers of tin, tantalum, tungsten and gold.
PROPOSED ACT: Regulation of the European Parliament and of the Council.
ROLE OF THE EUROPEAN PARLIAMENT: t he European Parliament decides in accordance with the ordinary legislative procedure and on an equal footing with the Council.
BACKGROUND: the proposal notes that international measures exist to promote responsible sourcing of minerals in areas at risk or affected by armed conflict. The two best-known were adopted in 2011 and 2010 respectively: the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (OECD Due Diligence Guidance) and Section 1502 of the United States Dodd-Frank Wall Street Reform and Consumer Protection Act, which focuses on the Democratic Republic of Congo (DRC) and nine adjoining countries.
Whilst the trade of conflict minerals is very well documented in the case of the DRC, other cases abound elsewhere in Africa, Asia and Latin America. Against this background, the Commission and the High Representative have been working to develop a comprehensive EU responsible mineral sourcing framework. This work follows up a 2010 European Parliament resolution calling for the EU to legislate along the lines of US legislation as well as two Communications in 2011 and 2012 that announced the Commission's intention to explore ways of improving supply chain transparency.
It should be noted that this legislative proposal is accompanied by a Communication detailing other policy measures that can be deployed to tackle the problem as broadly as possible.
IMPACT ASSESSMENT: the Commission examined six options. The preferred option comprises the adoption of a Regulation establishing obligations under a 'EU Responsible Importer' certification based on the OECD Due Diligence Guidance – voluntary.
CONTENT: the main objective of this proposal is to help reduce the financing of armed groups and security forces through mineral proceeds in conflict-affected and high-risk areas by supporting and further promoting responsible sourcing practices of EU companies in relation to tin, tantalum, tungsten and gold originating from such areas.
The draft 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.
Self-certification as a responsible importer : a ny 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 the 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.
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.
OECD Due Diligence Guidance : the Regulation relies on the OECD Due Diligence Guidance to define obligations for EU importers that opt to be self-certified as responsible importers of tin, tantalum and tungsten ores and metals, and gold, on the basis of a self-declaration of compliance.
EU importers opting for self-certification are obliged to integrate all elements of the OECD Due Diligence Guidance in their management system by: (i) maintaining a system of controls and transparency over the mineral supply chain, which includes inter alia the country of mineral origin and the smelters/refiners; (ii) identifying and assessing risks in the supply chain against the OECD model supply chain policy; (iii) designing and implementing a strategy to respond to identified risks; (iv) obtaining independent third-party audit assurances of supply chain due diligence; and (v) reporting publicly on supply chain due diligence.
Disclosure : the EU self-certified importer is required to disclose annually to the Member State competent authority the identity and geographical location of the smelters/refiners in its supply chain.
The importer is also required to provide independent third-party audit assurances and pass them on to Member States' competent authorities and to downstream purchasers, with due regard to business confidentiality and other competitive concerns.
On the basis of the information disclosed to the competent authorities, the EU will publish annually, after consultation with the OECD, a list of responsible smelters and refiners that source according to the Regulation.
Infringement: in the case of infringement, competent authorities will issue a notice of remedial action to be taken by the EU importer. If such action is inadequate, the authority will then issue a non-recognition notice for the responsible importer certificate for the minerals and metals covered by the draft Regulation.
Budgetary implications: the present proposal entails limited financial implications for the Union budget for administrative purposes: EUR 2.72 million for the period 2014-2018.
Documents
2014/03/05
ECHR - Document attached to the procedure
Details
The Commission and the High Representative for Foreign Affairs and Security Policy present a Joint Communication aiming for an integrated EU approach to responsible sourcing of minerals originating in conflict-affected and high-risk areas. The paper discusses how to break the link between minerals extraction and conflict and confirms that the Commission and High Representative will promote strong and coherent EU raw materials diplomacy.
The problem is most acute in Africa, particularly in the Great Lakes Region (GLR). |Recent studies show that resource-related conflicts are currently prevalent in Africa (27 cases) and the Americas (21 cases), but less prevalent in Asia and Oceania (11 cases), the Middle East and Maghreb (7 cases) and Europe (4 cases).
This Communication accompanies a Commission proposal setting up a Union system for supply chain due diligence self-certification of responsible importers of tin, tantalum, tungsten and gold. The following accompanying measures will enhance the impact of the regulation and further encourage the responsible sourcing of minerals :
· Incentives for companies to promote responsible sourcing. These include promotion of responsible practices by smelters and refiners : the EU has provided financial support for the implementation of the OECD Due Diligence Guidance since January 2014 and will continue to do so through the Instrument for Stability. Support will focus on capacity-building and outreach activities, targeting public authorities, the private sector and civil society organisations involved in the supply chain of minerals from conflict-affected and high-risk areas.
· Funding possibilities for SMEs for the voluntary certification scheme : t he Commission will explore funding to promote the uptake of the future voluntary certification scheme within the Competitiveness of Enterprises and SME's Programme (COSME).
· Public Procurement incentives : performance clauses will be inserted in the Commission's own public procurement contracts. Products purchased through public procurement containing tin, tantalum, tungsten and/or gold will therefore need to respect OECD Due Diligence Guidance or equivalent due diligence schemes in order to satisfy contractual obligations.
· Use of government-to-business networks to facilitate uptake of the EU 'responsible importer' certificate : National Contact Points established under the OECD Guidelines for Multinational Enterprises will help raise awareness of the certification procedure established under the draft Regulation, as will the Enterprise Europe Network (EEN)
· "Letters of Intent" – industry commitments : the EU will take action to provide visibility to the efforts of companies that provide letters of intent announcing relevant commitments.
Policy dialogues with third countries and other stakeholders
· Building on existing policy dialogues : the EU will use its political, development, trade and security dialogues and contacts with governments in mining, producing, processing and consuming countries (and has already begun in South American and Caribbean countries) to further develop a common understanding of the needs, and opportunities of conflict-free and responsible mineral extraction.
· Reaching out to countries hosting smelters : the EU will engage with the countries where the majority of the world's smelters/refiners are located, notably China, Malaysia, Indonesia, Thailand and Russia to promote its integrated approach and will hold an international conference on responsible sourcing of minerals originating in conflict-affected and high-risk areas in 2015.
· A responsible sourcing chapter in raw materials dialogues : t he EU will use its raw materials dialogues inter alia with China, Japan and Mongolia, and has recently launched a raw materials dialogue with Myanmar/Burma.
Development cooperation with third countries : t he key lines of intervention through which the EU may support partner countries are:
· transposing the OECD Due Diligence Guidance into national due diligence frameworks and legislation;
· building further capacity to implement the national due diligence frameworks ;
· supporting advocacy and political dialogues in the countries concerned between local and central government authorities, civil society organisations and business operators ;
· creating visibility for the actions carried out and the results achieved by the producer countries.
Honest broker – raw materials diplomacy : the Commission services and the EEAS will gather and analyse data regarding multi-stakeholder initiatives. Public-private alliances will be given due consideration.
EU Member States : complementary initiatives could be developed at national level in the area of consumer information and labelling and further incentives for responsible corporate behaviour created. Moreover, the Commission will encourage EU Member States to foster the uptake of OECD Due Diligence Guidance through performance clauses of procurement contracts signed by their authorities and will develop recommendations for Member State authorising officers.
Documents
2014/03/05
EC - Document attached to the procedure
Documents
2014/03/05
EC - Document attached to the procedure
Documents
Documents
- Final act published in Official Journal: Regulation 2017/821
- Final act published in Official Journal: OJ L 130 19.05.2017, p. 0001
- For information: N8-0026/2017
- For information: OJ C 158 19.05.2017, p. 0001
- Draft final act: 00060/2016/LEX
- Commission response to text adopted in plenary: SP(2017)309
- Results of vote in Parliament: Results of vote in Parliament
- Decision by Parliament, 1st reading: T8-0090/2017
- Decision by Parliament, 1st reading: T8-0204/2015
- Committee report tabled for plenary, 1st reading: A8-0141/2015
- Amendments tabled in committee: PE549.420
- Committee opinion: PE539.796
- Contribution: COM(2014)0111
- Committee draft report: PE546.838
- Legislative proposal: EUR-Lex
- Legislative proposal: COM(2014)0111
- Document attached to the procedure: JOIN(2014)0008
- Document attached to the procedure: EUR-Lex
- Document attached to the procedure: SWD(2014)0052
- Document attached to the procedure: EUR-Lex
- Document attached to the procedure: SWD(2014)0053
- Legislative proposal: EUR-Lex COM(2014)0111
- Document attached to the procedure: JOIN(2014)0008
- Document attached to the procedure: EUR-Lex SWD(2014)0052
- Document attached to the procedure: EUR-Lex SWD(2014)0053
- Committee draft report: PE546.838
- Committee opinion: PE539.796
- Amendments tabled in committee: PE549.420
- Commission response to text adopted in plenary: SP(2017)309
- For information: N8-0026/2017 OJ C 158 19.05.2017, p. 0001
- Draft final act: 00060/2016/LEX
- Contribution: COM(2014)0111
Activities
- David MARTIN
Plenary Speeches (5)
- 2016/11/22 Supply chain due diligence by importers of minerals and metals originating in conflict-affected and high-risk areas (debate)
- 2016/11/22 Supply chain due diligence by importers of minerals and metals originating in conflict-affected and high-risk areas (debate)
- 2016/11/22 Self-certification of importers of minerals and metals originating in conflict-affected and high-risk areas (A8-0141/2015 - Iuliu Winkler)
- 2016/11/22 Self-certification of importers of minerals and metals originating in conflict-affected and high-risk areas (debate)
- 2016/11/22 Self-certification of importers of minerals and metals originating in conflict-affected and high-risk areas (debate)
- Salvatore CICU
Plenary Speeches (3)
- 2016/11/22 Self-certification of importers of minerals and metals originating in conflict-affected and high-risk areas (debate) IT
- 2016/11/22 Self-certification of importers of minerals and metals originating in conflict-affected and high-risk areas (debate) IT
- 2016/11/22 Self-certification of importers of minerals and metals originating in conflict-affected and high-risk areas (debate) IT
- Notis MARIAS
Plenary Speeches (3)
- 2016/11/22 Supply chain due diligence by importers of minerals and metals originating in conflict-affected and high-risk areas (debate) EL
- 2016/11/22 Self-certification of importers of minerals and metals originating in conflict-affected and high-risk areas (A8-0141/2015 - Iuliu Winkler) EL
- 2016/11/22 Self-certification of importers of minerals and metals originating in conflict-affected and high-risk areas (debate) EL
- Franz OBERMAYR
Plenary Speeches (3)
- 2016/11/22 Supply chain due diligence by importers of minerals and metals originating in conflict-affected and high-risk areas (debate) DE
- 2016/11/22 Supply chain due diligence by importers of minerals and metals originating in conflict-affected and high-risk areas (debate) DE
- 2016/11/22 Self-certification of importers of minerals and metals originating in conflict-affected and high-risk areas (A8-0141/2015 - Iuliu Winkler) DE
- Davor Ivo STIER
Plenary Speeches (3)
- 2016/11/22 Self-certification of importers of minerals and metals originating in conflict-affected and high-risk areas (A8-0141/2015 - Iuliu Winkler) HR
- 2016/11/22 Self-certification of importers of minerals and metals originating in conflict-affected and high-risk areas (debate)
- 2016/11/22 Self-certification of importers of minerals and metals originating in conflict-affected and high-risk areas (debate) HR
- Lars ADAKTUSSON
Plenary Speeches (2)
- Nicola CAPUTO
Plenary Speeches (2)
- William (The Earl of) DARTMOUTH
- Marielle DE SARNEZ
Plenary Speeches (2)
- Doru-Claudian FRUNZULICĂ
Plenary Speeches (2)
- 2016/11/22 Supply chain due diligence by importers of minerals and metals originating in conflict-affected and high-risk areas (A8-0141/2015 - Iuliu Winkler)
- 2016/11/22 Self-certification of importers of minerals and metals originating in conflict-affected and high-risk areas (A8-0141/2015 - Iuliu Winkler)
- Ian HUDGHTON
- Ivan JAKOVČIĆ
Plenary Speeches (2)
- Patrick LE HYARIC
Plenary Speeches (2)
- Emma McCLARKIN
- Louis MICHEL
- Lola SÁNCHEZ CALDENTEY
- Ángela VALLINA
Plenary Speeches (2)
- Bogdan Brunon WENTA
- Anna ZÁBORSKÁ
- Marina ALBIOL GUZMÁN
- Jean ARTHUIS
- Marie-Christine ARNAUTU
- Jonathan ARNOTT
- Guillaume BALAS
Plenary Speeches (1)
- Zigmantas BALČYTIS
- Bas BELDER
- Beatriz BECERRA BASTERRECHEA
- Hugues BAYET
- José BLANCO LÓPEZ
- Renata BRIANO
- Steeve BRIOIS
Plenary Speeches (1)
- Elmar BROK
- Gianluca BUONANNO
- Soledad CABEZÓN RUIZ
- Nessa CHILDERS
- Birgit COLLIN-LANGEN
- Therese COMODINI CACHIA
- Pál CSÁKY
- Javier COUSO PERMUY
- Daniel DALTON
- Michel DANTIN
- Philippe DE BACKER
- Rachida DATI
- Angélique DELAHAYE
- Isabella DE MONTE
- Gérard DEPREZ
- Ian DUNCAN
- Norbert ERDŐS
- Georgios EPITIDEIOS
- Eleonora FORENZA
Plenary Speeches (1)
- Ildikó GÁLL-PELCZ
- Francisco de Paula GAMBUS MILLET
- Julie GIRLING
- Sylvie GODDYN
- Karoline GRASWANDER-HAINZ
Plenary Speeches (1)
- Enrique GUERRERO SALOM
- Antanas GUOGA
- Sergio GUTIÉRREZ PRIETO
- Brian HAYES
- Marian HARKIN
- Richard HOWITT
Plenary Speeches (1)
- Ramón JÁUREGUI ATONDO
- Marc JOULAUD
- Krišjānis KARIŅŠ
- Barbara KAPPEL
- Afzal KHAN
- Cécile Kashetu KYENGE
- Constance LE GRIP
- Giovanni LA VIA
- Ulrike LUNACEK
Plenary Speeches (1)
- Linda McAVAN
Plenary Speeches (1)
- Svetoslav Hristov MALINOV
- Vladimír MAŇKA
- Ivana MALETIĆ
- Andrejs MAMIKINS
- Jean-Luc MÉLENCHON
- Marlene MIZZI
- Luigi MORGANO
- Sophie MONTEL
- Alessia Maria MOSCA
- Péter NIEDERMÜLLER
- Norica NICOLAI
- Liadh NÍ RIADA
- Florian PHILIPPOT
- Marijana PETIR
- Gianni PITTELLA
Plenary Speeches (1)
- Andrej PLENKOVIĆ
- Miroslav POCHE
- Salvatore Domenico POGLIESE
- Franck PROUST
- Christine REVAULT D'ALLONNES BONNEFOY
- Liliana RODRIGUES
- Claude ROLIN
- Paul RÜBIG
Plenary Speeches (1)
- Judith SARGENTINI
Plenary Speeches (1)
- Jean-Luc SCHAFFHAUSER
Plenary Speeches (1)
- Marietje SCHAAKE
Plenary Speeches (1)
- Ricardo SERRÃO SANTOS
- Maria Lidia SENRA RODRÍGUEZ
- Siôn SIMON
- Alyn SMITH
Plenary Speeches (1)
- Branislav ŠKRIPEK
- Igor ŠOLTES
Plenary Speeches (1)
- Renato SORU
- Jutta STEINRUCK
- Bart STAES
- Catherine STIHLER
- Beatrix von STORCH
- Richard SULÍK
- Kay SWINBURNE
- Neoklis SYLIKIOTIS
- Eleftherios SYNADINOS
- Adam SZEJNFELD
- Tibor SZANYI
- Dario TAMBURRANO
- Timothy Charles Ayrton TANNOCK
- Isabelle THOMAS
- Pavel TELIČKA
- Mylène TROSZCZYNSKI
- Ramon TREMOSA i BALCELLS
- Marco VALLI
- Derek VAUGHAN
- Marie-Christine VERGIAT
- Daniele VIOTTI
- Miguel VIEGAS
- Jarosław WAŁĘSA
Plenary Speeches (1)
- Dame Glenis WILLMOTT
- Flavio ZANONATO
- Joachim ZELLER
Plenary Speeches (1)
- Damiano ZOFFOLI
- Inês Cristina ZUBER
Votes
A8-0141/2015 - Iuliu Winkler - Am 2 #
2015/05/20 Outcome: +: 473, -: 209, 0: 11
NIA8-0141/2015 - Iuliu Winkler - Am 11 #
2015/05/20 Outcome: -: 354, +: 329, 0: 5
A8-0141/2015 - Iuliu Winkler - Am 12 #
2015/05/20 Outcome: +: 350, -: 331, 0: 10
A8-0141/2015 - Iuliu Winkler - Am 17 #
2015/05/20 Outcome: -: 335, +: 327, 0: 32
A8-0141/2015 - Iuliu Winkler - Am 40 #
2015/05/20 Outcome: +: 347, -: 333, 0: 9
A8-0141/2015 - Iuliu Winkler - Am 41 #
2015/05/20 Outcome: -: 354, +: 326, 0: 15
A8-0141/2015 - Iuliu Winkler - Am 50 #
2015/05/20 Outcome: -: 337, +: 325, 0: 31
A8-0141/2015 - Iuliu Winkler - Am 90 #
2015/05/20 Outcome: -: 376, +: 310, 0: 5
A8-0141/2015 - Iuliu Winkler - Am 73=94=114=132 #
2015/05/20 Outcome: -: 353, +: 326, 0: 8
A8-0141/2015 - Iuliu Winkler - Am 74=95=115=133 #
2015/05/20 Outcome: -: 350, +: 330, 0: 13
A8-0141/2015 - Iuliu Winkler - Am 75=96=116=134 #
2015/05/20 Outcome: -: 335, +: 327, 0: 31
A8-0141/2015 - Iuliu Winkler - Am 76=97=117=135 #
2015/05/20 Outcome: +: 332, -: 329, 0: 30
A8-0141/2015 - Iuliu Winkler - Am 77=98=118=136 #
2015/05/20 Outcome: +: 330, -: 327, 0: 37
A8-0141/2015 - Iuliu Winkler - Am 25 #
2015/05/20 Outcome: +: 318, -: 313, 0: 60
A8-0141/2015 - Iuliu Winkler - Am 101 #
2015/05/20 Outcome: -: 361, +: 322, 0: 7
A8-0141/2015 - Iuliu Winkler - Am 81=102=122=141 #
2015/05/20 Outcome: -: 345, +: 325, 0: 22
A8-0141/2015 - Iuliu Winkler - Am 82=103=123=142 #
2015/05/20 Outcome: -: 350, +: 333, 0: 9
A8-0141/2015 - Iuliu Winkler - Am 83=104=124=143 #
2015/05/20 Outcome: -: 356, +: 330, 0: 6
A8-0141/2015 - Iuliu Winkler - Am 84=105=125=144 #
2015/05/20 Outcome: -: 351, +: 333, 0: 10
A8-0141/2015 - Iuliu Winkler - Am 42 #
2015/05/20 Outcome: -: 347, +: 333, 0: 13
A8-0141/2015 - Iuliu Winkler - Am 87=108=128=149 #
2015/05/20 Outcome: -: 355, +: 325, 0: 15
A8-0141/2015 - Iuliu Winkler - Am 129=150 #
2015/05/20 Outcome: -: 355, +: 327, 0: 12
A8-0141/2015 - Iuliu Winkler - Am 107 #
2015/05/20 Outcome: -: 369, +: 317, 0: 9
A8-0141/2015 - Iuliu Winkler - Am 89=109=130 #
2015/05/20 Outcome: -: 372, +: 301, 0: 14
A8-0141/2015 - Iuliu Winkler - Am 110 #
2015/05/20 Outcome: -: 379, 0: 215, +: 97
A8-0141/2015 - Iuliu Winkler - Am 71=91=112 #
2015/05/20 Outcome: +: 326, -: 315, 0: 49
A8-0141/2015 - Iuliu Winkler - Am 72=92=113 #
2015/05/20 Outcome: -: 355, +: 324, 0: 12
A8-0141/2015 - Iuliu Winkler - Am 93 #
2015/05/20 Outcome: -: 357, +: 311, 0: 19
A8-0141/2015 - Iuliu Winkler - Proposition modifiée #
2015/05/20 Outcome: +: 402, 0: 171, -: 118
A8-0141/2015 - Iuliu Winkler - Am 156 #
2017/03/16 Outcome: +: 558, 0: 45, -: 17
ENF| Amendments | Dossier |
| 1093 |
2014/0059(COD)
2015/02/03
DEVE
205 amendments...
Amendment 100 #
Proposal for a regulation Article 2 – point n a (new) (na) ‘upstream undertakings’ means miners (artisanal and small-scale or large-scale producers), local traders or exporters from the country of mineral origin, international concentrate traders, mineral reprocessors and smelters/refineries.
Amendment 101 #
Proposal for a regulation Article 2 – point o (o)
Amendment 102 #
Proposal for a regulation Article 2 – point q (q) ‘Member State competent authorities’ means the designated one or more authorities with auditing and investigation competences and knowledge as regards raw materials and industrial processes.
Amendment 103 #
Proposal for a regulation Article 2 – point q a (new) (qa) ‘armed groups and security forces’ means groups as defined in Annex II to the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High Risk Areas.
Amendment 104 #
Proposal for a regulation Article 3 – title Amendment 105 #
Proposal for a regulation Article 3 – title Amendment 106 #
Proposal for a regulation Article 3 – paragraph 1 Amendment 107 #
Proposal for a regulation Article 3 – paragraph 1 1.
Amendment 108 #
Proposal for a regulation Article 3 – paragraph 1 1. Any importer of minerals or metals within the scope of the Regulation m
Amendment 109 #
Proposal for a regulation Article 3 – paragraph 2 Amendment 110 #
Proposal for a regulation Article 3 – paragraph 2 2. The
Amendment 111 #
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
Amendment 112 #
Proposal for a regulation Article 3 – paragraph 2 a (new) 2a. Imports shall not be permitted without the corresponding certification.
Amendment 113 #
Proposal for a regulation Article 4 – introductory part Amendment 114 #
Proposal for a regulation Article 4 – introductory part 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
Amendment 116 #
Proposal for a regulation Article 4 – point a (a) adopt and clearly and systematically communicate to suppliers and the public its supply chain policy for the minerals and metals potentially originating from conflict-
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
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,
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,
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
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-
Amendment 122 #
Proposal for a regulation Article 4 – point f Amendment 123 #
Proposal for a regulation Article 4 – point g Amendment 124 #
Proposal for a regulation Article 4 – point g – point iii (iii) name and address of the smelters or refiners and/or any other intermediary in the importers' supply chain
Amendment 125 #
Proposal for a regulation Article 4 – point g – point iv (iv) record of the smelters' or refiners' third-party audit reports
Amendment 126 #
Proposal for a regulation Article 4 – point g a (new) (ga) Importers shall inform the authorities within one month of any changes regarding the description of the mineral and metals imported by them.
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.
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.
Amendment 129 #
Proposal for a regulation Article 5 – paragraph 1 – introductory part 1.
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
Amendment 130 #
Proposal for a regulation Article 5 – paragraph 1 – point a Amendment 131 #
Proposal for a regulation Article 5 – paragraph 1 – point b – introductory part (b) implement a strategy to respond to the identified risks
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,
Amendment 133 #
Proposal for a regulation Article 5 – paragraph 1 – point b – point ii – introductory part (ii) devising and adopting a risk management
Amendment 134 #
Proposal for a regulation Article 5 – paragraph 1 a (new) Amendment 135 #
Proposal for a regulation Article 5 – paragraph 2 2. If a
Amendment 136 #
Proposal for a regulation Article 5 – paragraph 3 3.
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.
Amendment 138 #
Proposal for a regulation Article 6 – paragraph 1 Amendment 139 #
Proposal for a regulation Article 6 – paragraph 2 – introductory part Amendment 14 #
Proposal for a regulation Recital 1 (1) Natural mineral resources in conflict- affected or high risk areas − although holding great potential for development when managed sustainably – 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 minerals is critical to peace and stability.
Amendment 140 #
Proposal for a regulation Article 6 – paragraph 2 – point a (a) include in the audit scope all of the
Amendment 141 #
Proposal for a regulation Article 6 – paragraph 2 – point b (b) determine as the objective of the audit the conformity of the
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.
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.
Amendment 144 #
Proposal for a regulation Article 7 – paragraph 1 – introductory part 1. By 31 March of each year at the latest,
Amendment 145 #
Proposal for a regulation Article 7 – paragraph 1 – point c Amendment 146 #
Proposal for a regulation Article 7 – paragraph 2 2. By 31 March of each year at the latest,
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,
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,
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,
Amendment 15 #
Proposal for a regulation Recital 1 (1) Natural mineral resources in conflict- affected or high risk areas − although holding great potential for development –
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,
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,
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.
Amendment 153 #
Proposal for a regulation Article 7 – paragraph 3 – introductory part 3. By 31 March of each year at the latest,
Amendment 154 #
Proposal for a regulation Article 7 – paragraph 3 – point a Amendment 155 #
Proposal for a regulation Article 7 – paragraph 3 – point a (a) name and address of each of the
Amendment 156 #
Proposal for a regulation Article 7 – paragraph 3 – point b (b) independent third-party audits
Amendment 157 #
Proposal for a regulation Article 7 – paragraph 3 – point b (b) independent third-party audits regarding each of the
Amendment 158 #
Proposal for a regulation Article 7 – paragraph 3 – point c (c) information on the proportion of
Amendment 159 #
Proposal for a regulation Article 7 – paragraph 4 4.
Amendment 16 #
Proposal for a regulation Recital 1 (1) Natural
Amendment 160 #
Proposal for a regulation Article 7 – paragraph 5 5.
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.
Amendment 162 #
Proposal for a regulation Article 8 – title List of responsible
Amendment 163 #
Proposal for a regulation Article 8 – title List of responsible
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
Amendment 165 #
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
Amendment 166 #
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
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
Amendment 168 #
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 refiners that source – at least partially – from conflict- affected and high-risk areas. In this context, it should take into account existing industry, governmental or other due diligence schemes such as the Conflict-Free Smelter Program, the ITRI Tin Supply Chain Initiative, London Bullion Market Association Responsible Gold Guidance, and the Responsible Jewellery Council Initiative.
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
Amendment 17 #
Proposal for a regulation Recital 1 a (new) (1a) The trafficking of natural mineral resources is the reason for the massacres, deaths, slavery, terrorism and use of child soldiers in the Great Lakes Region. The brutal regime in the region is the result of foreign government support for supposedly political movements there.
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
Amendment 171 #
Proposal for a regulation Article 8 – paragraph 4 4. The Commission shall update the information included in the list in a timely manner.
Amendment 172 #
Proposal for a regulation Article 8 – paragraph 4 a (new) 4a. Such removal shall result in the importer not being recognised, with imports of such origin thereby being prohibited.
Amendment 174 #
Proposal for a regulation Article 9 – paragraph 1 – subparagraph 1 Amendment 175 #
Proposal for a regulation Article 9 – paragraph 1 – subparagraph 2 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 I
Amendment 177 #
Proposal for a regulation Article 9 – paragraph 3 Amendment 178 #
Proposal for a regulation Article 10 – title Ex-post checks on
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
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.
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
Amendment 181 #
Proposal for a regulation Article 10 – paragraph 3 – point a (a) examination of the
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,
Amendment 183 #
Proposal for a regulation Article 10 – paragraph 4 4.
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.
Amendment 185 #
Proposal for a regulation Article 11 – title Records of checks on
Amendment 186 #
Proposal for a regulation Article 12 a (new) Article 12 a Definition of 'conflict area' or 'high risk area': The Commission shall, in close cooperation with the European External Action Service, make available to the public and companies adequate information as to what is meant by 'conflict area' or 'high risk area' and how they are defined.
Amendment 188 #
Proposal for a regulation Article 13 – paragraph 1 1. The
Amendment 189 #
Proposal for a regulation Article 13 – paragraph 2 2.
Amendment 19 #
Proposal for a regulation Recital 1 b (new) (1b) The riches that armed gangs and pseudo-political movements can amass by selling, for example, blood diamonds in Sierra Leone, lie at the root of the most atrocious wars in Africa.
Amendment 190 #
Proposal for a regulation Article 13 – paragraph 2 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.
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.
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.
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.
Amendment 195 #
Proposal for a regulation Article 14 – title Rules applicable to infringement and penalties
Amendment 196 #
Proposal for a regulation Article 14 – paragraph 1 1. The
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
Amendment 198 #
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
Amendment 199 #
Proposal for a regulation Article 14 – paragraph 3 3. In case of inadequate remedial action by the
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.
Amendment 200 #
Proposal for a regulation Article 14 – paragraph 4 Amendment 201 #
Proposal for a regulation Article 14 a (new) Amendment 202 #
Proposal for a regulation Article 14 a (new) Article 14 a Accompanying measures 1. The Commission shall implement accompanying measures to this Regulation through policy dialogues, programming, and relevant internal and external policies in order to effectively break the link between the conflict and illegal exploitation of the minerals. 2. The Commission shall present a report of the accompanying measures implemented pursuant to paragraph 1and their impact and effectiveness.
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
Amendment 204 #
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 minerals within its scope from conflict- affected and high-risk areas including political guidelines and taking into account the effectiveness of the accompanying measures. The Commission shall examine the possibility of extending these arrangements to other minerals and metals under the provisions of this paragraph. The Commission shall submit a review report to the European Parliament and to the Council.
Amendment 205 #
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
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
Amendment 207 #
Proposal for a regulation Article 15 – paragraph 3 a (new) 3a. This Regulation provides for a transitional two-year period to allow importers of minerals and metals falling within its scope to comply with the obligations of due diligence.
Amendment 208 #
Proposal for a regulation Article 15 – paragraph 3 b (new) 3b. Any changes to the OECD guidelines shall apply mutatis mutandis to this regulation.
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.
Amendment 21 #
Proposal for a regulation Recital 1 c (new) (1c) By ignoring this situation, the international community is complicit in the activities of the countries in the region, which have suddenly become exporters of minerals they had never exported before, let alone in such quantities. As a result, it is unthinkable to suggest that the trading companies, whose aim is to enrich themselves, should self- regulate.
Amendment 210 #
Proposal for a regulation Article 15 a (new) Amendment 211 #
Proposal for a regulation Article 16 – paragraph 2 a (new) The Regulation shall not become binding until such time as it can be verified that all supporting measures are in place and effective, and that the Regulation will not cause unintended harm to conflict- affected communities, or to the competitiveness of EU businesses, particularly small and medium sized enterprises.
Amendment 212 #
Proposal for a regulation Annex I -- title List of
Amendment 213 #
Proposal for a regulation Annex I -- table 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’
Amendment 215 #
Proposal for a regulation Annex II -- title List of responsible
Amendment 216 #
Proposal for a regulation Annex II Column A: Name of
Amendment 22 #
Proposal for a regulation Recital 1 d (new) (1d) Strict regulation is therefore absolutely vital in order to stop the terrible tragedy that is taking place in the Great Lakes Region, in which millions of people have been killed, and which is a result of the criminal complicity of countries and societies that have traded in the minerals concerned.
Amendment 23 #
Proposal for a regulation Recital 1 e (new) (1e) Regional certification mechanisms, such as the OECD mechanism, have not worked in the interests of any of the contracting states. It is therefore vital that thorough checks be carried out in the countries of destination in the EU.
Amendment 24 #
Proposal for a regulation Recital 2 (2) The issue concerns resource-rich regions where the challenge posed by the desire to
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 )
Amendment 26 #
Proposal for a regulation Recital 6 Amendment 27 #
Proposal for a regulation Recital 7 (7)
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;
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
Amendment 30 #
Proposal for a regulation Recital 9 (9) In the context of this Regulation, 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
Amendment 31 #
Proposal for a regulation Recital 9 (9) In the context of this Regulation, supply chain due diligence is, as described within the OECD Due diligence Guidance, 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 do not contribute to conflict and adverse impacts thereof.
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.
Amendment 33 #
Proposal for a regulation Recital 9 (9) In the context of this Regulation, and in accordance with the OECD Guidance, supply chain due diligence is an on-going, proactive and reactive process through which business operators monitor and administer their purchases and sales
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.
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.
Amendment 36 #
Proposal for a regulation Recital 10 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.
Amendment 38 #
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 established by business to support due diligence in accordance with OECD Guidelines and 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 aware or ethically unconcerned. The cost of responsible sourcing and their potential impact on competitiveness notably on SMEs
Amendment 39 #
Proposal for a regulation Recital 13 (13) Smelters and refiners are
Amendment 40 #
Proposal for a regulation Recital 13 (13) Smelters and refiners are an important point in global mineral supply chains as they are typically
Amendment 41 #
Proposal for a regulation Recital 13 (13) Smelters and refiners are an important point in global mineral supply chains as they
Amendment 42 #
Proposal for a regulation Recital 13 (13) Smelters and refiners are an important point 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 based upon existing lists of responsible smelters and refiners could therefore provide transparency and certainty to downstream companies as regards supply chain due diligence practices.
Amendment 43 #
Proposal for a regulation Recital 14 (14)
Amendment 44 #
Proposal for a regulation Recital 14 (14) The Member State competent authorities are responsible to ensure the uniform compliance
Amendment 45 #
Proposal for a regulation Recital 14 (14) The Member State competent authorities are responsible to ensure the uniform compliance of the
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.
Amendment 47 #
Proposal for a regulation Recital 15 (15) In order to
Amendment 48 #
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
Amendment 49 #
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
Amendment 50 #
Proposal for a regulation Recital 16 (16) The Commission should report regularly to the Council and the European
Amendment 51 #
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
Amendment 52 #
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 m
Amendment 53 #
Proposal for a regulation Recital 16 a (new) (16a) The Commission and the Vice- President of the Commission/High Representative of the Union for Foreign Affairs and Security Policy should submit a legislative proposal setting out effective flanking measures. That legislative proposal will supplement the joint communication to the European Parliament and the Council annexed to this Regulation.
Amendment 54 #
Proposal for a regulation Recital 16 b (new) (16b) Once this Regulation has been adopted, the flanking measures should be implemented so that this Regulation can achieve its aims in conflict-affected and high-risk areas. These flanking measures should strengthen the ongoing political dialogue with the mineral-rich countries, make for closer harmonisation between national, regional and international certification systems and enhance international coordination in the area of due diligence practices.
Amendment 55 #
Proposal for a regulation Article 1 – paragraph 1 1. This Regulation sets up a Union system for supply chain due diligence
Amendment 56 #
Proposal for a regulation Article 1 – paragraph 1 1. This Regulation sets up a Union system for supply chain due diligence
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,
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,
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.
Amendment 60 #
Proposal for a regulation Article 1 – paragraph 2 Amendment 61 #
Proposal for a regulation Article 1 – paragraph 2 2. This Regulation lays down the supply chain due diligence obligations of all Union importers who
Amendment 62 #
Proposal for a regulation Article 1 – paragraph 2 a (new) 2a. This Regulation shall apply to undertakings at all points in the minerals and metals supply chain which may supply or use minerals or metals from conflict-affected or high-risk areas.
Amendment 63 #
Proposal for a regulation Article 1 – paragraph 2 b (new) 2b. In order to prevent unintended distortions of the market, this Regulation shall draw a distinction between the roles of undertakings situated upstream of and those situated downstream from the supply chain. The exercise of due diligence must be tailored to the activities of the undertaking in question and its position in the supply chain.
Amendment 64 #
Proposal for a regulation Article 1 – paragraph 2 c (new) 2c. It shall be for the Commission, working with certification bodies and in accordance with the OECD Guidance, to lay down the obligations to be met by importers, depending on their position in the supply chain, and to ensure that the certification system involves a flexible procedure which does not jeopardise the competitiveness of importers, in particular SMUs.
Amendment 65 #
Proposal for a regulation Article 2 – point a 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.
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;
Amendment 68 #
Proposal for a regulation Article 2 – point a c (new) 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;
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;
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).
Amendment 72 #
Proposal for a regulation Article 2 – point b Amendment 73 #
Proposal for a regulation Article 2 – point b a (new) (ba) ‘minerals and metals within the scope of the Regulation’ means all minerals and metals falling within the scope of this Regulation and of the OECD Guidance.
Amendment 74 #
Proposal for a regulation Article 2 – point c (c) ‘
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;
Amendment 76 #
Proposal for a regulation Article 2 – point c a (new) (ca) ‘OECD 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 recommendations, annexes and supplements, which may be periodically modified or replaced.
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;
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
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;
Amendment 80 #
Proposal for a regulation Article 2 – point e (e) ‘conflict-affected and high-risk areas’ means a
Amendment 81 #
Proposal for a regulation Article 2 – point e (e) ‘conflict-affected and high-risk areas’ means areas i
Amendment 82 #
Proposal for a regulation Article 2 – point e (e)
Amendment 83 #
Proposal for a regulation Article 2 – point f Amendment 84 #
Proposal for a regulation Article 2 – paragraph 1 – point f (f) ‘downstream’ means the metal supply chain from the smelters or refiners to the end use, excluding recycling;
Amendment 85 #
Proposal for a regulation Article 2 – point f a (new) (fa) ‘downstream undertakings’ means metal traders and exchanges, component manufacturers, product manufacturers, original equipment manufacturers and retailers.
Amendment 86 #
Proposal for a regulation Article 2 – point g Amendment 87 #
Proposal for a regulation Article 2 – point g (g) 'importer' means any natural or legal person
Amendment 88 #
Proposal for a regulation Article 2 – point h Amendment 89 #
Proposal for a regulation Article 2 – point h (h)
Amendment 90 #
Proposal for a regulation Article 2 – point i Amendment 91 #
Proposal for a regulation Article 2 – point i (i)
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
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;
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;
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);
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.
Amendment 97 #
Proposal for a regulation Article 2 – point k Amendment 98 #
Proposal for a regulation Article 2 – point l Amendment 99 #
Proposal for a regulation Article 2 – point n source: 549.096
2015/02/04
AFET
335 amendments...
Amendment 100 #
Proposal for a regulation Recital 14 (14) The Member State competent authorities are responsible to ensure the uniform compliance
Amendment 101 #
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 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 102 #
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 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 103 #
Proposal for a regulation Recital 15 (15) In order to
Amendment 104 #
Proposal for a regulation Recital 15 (15) In order to
Amendment 105 #
Proposal for a regulation Recital 15 (15) In order to
Amendment 106 #
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,
Amendment 107 #
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,
Amendment 108 #
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 t
Amendment 109 #
Proposal for a regulation Recital 16 (16) The Commission should report regularly to the Council and the European
Amendment 110 #
Proposal for a regulation Recital 16 a (new) (16a) Coherence and coordination needs to be ensured with regard to other European Union instruments such as Regulation 230/2014 establishing an Instrument contributing to Stability and Peace, in particular Article 4(1)e aiming at curbing the use of natural resources to finance conflicts, and supporting compliance by stakeholders, especially as regards the implementation of efficient domestic controls over the production of, and trade in, natural resources.
Amendment 111 #
Proposal for a regulation Recital 16 a (new) (16a) It is essential to avoid unintended market distortions and allow the responsible importers to put in place systems that are necessary for complying with due diligence obligations. As a consequence, this Regulation stipulates a one year transitional period in order to guarantee its smooth implementation.
Amendment 112 #
Proposal for a regulation Recital 16 b (new) (16b) The timely implementation of the accompanying measures outlined in the Joint Communication to the European Parliament and the Council entitled "Responsible sourcing of minerals originating in conflict-affected and high- risk areas. Towards an integrated EU approach" (JOIN (2014) 8) is of the outmost importance in order to enhance the effectiveness of the Regulation and offset any unintended negative impact.
Amendment 113 #
Proposal for a regulation Article 1 – paragraph 1 Amendment 114 #
Proposal for a regulation Article 1 – paragraph 1 Amendment 115 #
Proposal for a regulation Article 1 – paragraph 1 1. This Regulation sets up a Union system for supply chain due diligence
Amendment 116 #
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
Amendment 117 #
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,
Amendment 118 #
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,
Amendment 119 #
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,
Amendment 120 #
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,
Amendment 121 #
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.
Amendment 122 #
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.
Amendment 123 #
Proposal for a regulation Article 1 – paragraph 2 Amendment 124 #
Proposal for a regulation Article 1 – paragraph 2 2. This Regulation lays down the supply chain due diligence obligations of Union
Amendment 125 #
Proposal for a regulation Article 1 – paragraph 2 2. This Regulation lays down the supply chain due diligence obligations of Union importers who choose or are 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.
Amendment 126 #
Proposal for a regulation Article 2 – paragraph 1 – point a Amendment 127 #
Proposal for a regulation Article 2 – paragraph 1 – point a a (new) (a a) ‘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 Recommendations, Annexes and Supplements, as may be amended or replaced periodically.
Amendment 128 #
Proposal for a regulation Article 2 – paragraph 1 – point a a (new) (a a) ‘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 Recommendations, Annexes and Supplements, as may be amended or replaced periodically.
Amendment 129 #
Proposal for a regulation Article 2 – paragraph 1 – point a b (new) (a b) ‘covered resources’ means all natural resources as set out in Annex I, as may be amended periodically in accordance with this Regulation;
Amendment 130 #
Proposal for a regulation Article 2 – paragraph 1 – point a b (new) (a b) ‘covered resources’ means all minerals and metals as set out in Annex I, as may be amended periodically in accordance with this Regulation;
Amendment 131 #
Proposal for a regulation Article 2 – paragraph 1 – point a c (new) (a c) ‘covered products’ means all covered resources and products comprising or containing covered resources;
Amendment 132 #
Proposal for a regulation Article 2 – paragraph 1 – point a c (new) (a c) ‘covered products’ means all covered resources and products comprising or containing covered resources;
Amendment 133 #
Proposal for a regulation Article 2 – paragraph 1 – point a d (new) (a d) ‘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.
Amendment 134 #
Proposal for a regulation Article 2 – paragraph 1 – point a d (new) (a d) ‘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.
Amendment 135 #
Proposal for a regulation Article 2 – paragraph 1 – point b a (new) Amendment 136 #
Proposal for a regulation Article 2 – paragraph 1 – point a e (new) (a e) ‘operator’ means any natural or legal person that places any covered product on the market for the first time;
Amendment 137 #
Proposal for a regulation Article 2 – paragraph 1 – point a e (new) Amendment 138 #
Proposal for a regulation Article 2 – paragraph 1 – point a f (new) (a f) ‘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/EC1. ‘Placing on the market’ also includes the supply on the internal market of products derived from covered products already placed on the internal market. __________________ 1 Directive 97/7/EC of the European Parliament and of the Council of 20 May 1997 on the protection of consumers in respect of distance contracts.
Amendment 139 #
Proposal for a regulation Article 2 – paragraph 1 – point a f (new) Amendment 140 #
Proposal for a regulation Article 2 – paragraph 1 – point b Amendment 141 #
Proposal for a regulation Article 2 – paragraph 1 – point b a (new) (ba) ‘manufacturing products or contracting to manufacture products’ means having some actual influence over the manufacturing of products containing minerals or metals containing or consisting of tin, tantalum, tungsten and gold, taking into account facts and circumstances, and the degree of influence public-interest entities, large groups and large undertakings exercise over the product’s manufacturing. Public- interest entities, large groups and large undertakings are not deemed to have influence over the manufacturing if they merely: affix their brand, marks, logo, or label to a generic product manufactured by a third party; service, maintain, or repair a product manufactured by a third party; specify or negotiate contractual terms with a manufacturer that do not directly relate to the manufacturing of the product.
Amendment 142 #
Proposal for a regulation Article 2 – paragraph 1 – point b b (new) (b b) ‘manufacturing’ means the process of converting raw materials, components, or parts into a final product for sale or distribution to an end user;
Amendment 143 #
Proposal for a regulation Article 2 – paragraph 1 – point c (c) ‘
Amendment 144 #
Proposal for a regulation Article 2 – paragraph 1 – point c a (new) (c a) ‘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;
Amendment 145 #
Proposal for a regulation Article 2 – paragraph 1 – point c a (new) (c a) ‘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;
Amendment 146 #
Proposal for a regulation Article 2 – paragraph 1 – point c b (new) (c b) ‘model supply chain policy’ means the model supply chain policy in Annex II of the OECD Due Diligence Guidance;
Amendment 147 #
Proposal for a regulation Article 2 – paragraph 1 – point c b (new) (c b) ‘model supply chain policy’ means the model supply chain policy in Annex II of the OECD Due Diligence Guidance;
Amendment 148 #
Proposal for a regulation Article 2 – paragraph 1 – point d (d) ‘chain of custody or supply chain traceability system’ means a system to identify and record
Amendment 149 #
Proposal for a regulation Article 2 – paragraph 1 – point d (d) ‘chain of custody or supply chain traceability system’ means a system to identify and record
Amendment 150 #
Proposal for a regulation Article 2 – paragraph 1 – point d a (new) (d a) ‘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;
Amendment 151 #
Proposal for a regulation Article 2 – paragraph 1 – point d a (new) (d a) ‘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;
Amendment 152 #
Proposal for a regulation Article 2 – paragraph 1 – point e (e) ‘conflict-affected and high-risk areas’ means areas i
Amendment 153 #
Proposal for a regulation Article 2 – paragraph 1 – point e (e) ‘conflict-affected and high-risk areas’ means areas i
Amendment 154 #
Proposal for a regulation Article 2 – paragraph 1 – point e (e) ‘conflict-affected and high-risk areas’ means
Amendment 155 #
Proposal for a regulation Article 2 – paragraph 1 – point f Amendment 156 #
Proposal for a regulation Article 2 – paragraph 1 – point f Amendment 157 #
Proposal for a regulation Article 2 – paragraph 1 – point g Amendment 158 #
Proposal for a regulation Article 2 – paragraph 1 – point g Amendment 159 #
Proposal for a regulation Article 2 – paragraph 1 – point h Amendment 160 #
Proposal for a regulation Article 2 – paragraph 1 – point h Amendment 161 #
Proposal for a regulation Article 2 – paragraph 1 – point h (h) ‘responsible importer’ means any importer who chooses or is to self-certify according to the rules set out in this Regulation;
Amendment 162 #
Proposal for a regulation Article 2 – paragraph 1 – point h (h) ‘
Amendment 163 #
Proposal for a regulation Article 2 – paragraph 1 – point h a (new) (ha) ‘large groups’ means groups consisting of parent and subsidiary undertakings to be included in a consolidation which manufacture or contract to manufacture products containing minerals or metals containing or consisting of tin, tantalum, tungsten and gold within the scope of this Regulation which, on a consolidated basis, exceed at least two of the three following criteria, on the balance sheet date of the parent undertaking, pursuant to Article 3(7) of Directive 2013/34/EU: - balance sheet total: EUR 20 000 000; - net turnover: EUR 40 000 000; - average number of employees during the financial year: 250.
Amendment 164 #
Proposal for a regulation Article 2 – paragraph 1 – point h b (new) (hb) ‘large undertakings’ mean undertakings that manufacture or contract to manufacture products containing minerals or metals containing or consisting of tin, tantalum, tungsten and gold within the scope of this Regulation which on its balance sheet dates exceed at least two of the three following criteria pursuant to Article 3(4) of Directive 2013/34/EU: - balance sheet total: EUR 20 000 000; - net turnover: EUR 40 000 000; - average number of employees during the financial year: 250.
Amendment 165 #
Proposal for a regulation Article 2 – paragraph 1 – point i Amendment 166 #
Proposal for a regulation Article 2 – paragraph 1 – point i Amendment 167 #
Proposal for a regulation 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
Amendment 168 #
Proposal for a regulation 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
Amendment 169 #
Proposal for a regulation Article 2 – paragraph 1 – point j a (new) (j a) ‘Annex II operator’ refers to any operator of the type identified in Annex II;
Amendment 170 #
Proposal for a regulation Article 2 – paragraph 1 – point j a (new) (j a) ‘Annex II operator’ refers to any operator of the type identified in Annex II;
Amendment 171 #
Proposal for a regulation Article 2 – paragraph 1 – point j b (new) (j b) ‘Annex II actor’ refers to any natural or legal person of the type identified in Annex II;
Amendment 172 #
Proposal for a regulation Article 2 – paragraph 1 – point j b (new) (j b) ‘Annex II actor’ refers to any natural or legal person of the type identified in Annex II;
Amendment 173 #
Proposal for a regulation Article 2 – paragraph 1 – point j c (new) (j c) ‘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 (6a);
Amendment 174 #
Proposal for a regulation Article 2 – paragraph 1 – point j c (new) (j c) ‘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 (6a);
Amendment 175 #
Proposal for a regulation Article 2 – paragraph 1 – point j d (new) (j d) ‘business confidentiality and other competitiveness concerns’ means price information and supplier relationships without prejudice to subsequent evolving interpretation;
Amendment 176 #
Proposal for a regulation Article 2 – paragraph 1 – point j d (new) (j d) ‘business confidentiality and other competitiveness concerns’ means price information and supplier relationships without prejudice to subsequent evolving interpretation;
Amendment 177 #
Proposal for a regulation Article 2 – paragraph 1 – point k Amendment 178 #
Proposal for a regulation Article 2 – paragraph 1 – point k Amendment 179 #
Proposal for a regulation Article 2 – paragraph 1 – point l Amendment 180 #
Proposal for a regulation Article 2 – paragraph 1 – point l Amendment 181 #
Proposal for a regulation Article 2 – paragraph 1 – point n Amendment 182 #
Proposal for a regulation Article 2 – paragraph 1 – point n Amendment 183 #
Proposal for a regulation Article 2 – paragraph 1 – point p (p) ‘responsible smelters or refiners’ means smelters or refiners in the supply chain of the
Amendment 184 #
Proposal for a regulation Article 2 – paragraph 1 – point q (q) ‘Member State competent authorities’ means the designated one or more authorities with auditing and investigation competences and knowledge as regards raw materials and industrial processes.
Amendment 185 #
Proposal for a regulation Article 2 – paragraph 1 – point q (q) ‘Member State competent authorities’ means the designated one or more authorities with auditing and investigation competences and knowledge as regards raw materials and industrial processes.
Amendment 186 #
Proposal for a regulation Article 3 – title Amendment 187 #
Proposal for a regulation Article 3 – title Amendment 188 #
Proposal for a regulation Article 3 – title S
Amendment 189 #
Proposal for a regulation Article 3 – paragraph 1 1.
Amendment 190 #
Proposal for a regulation Article 3 – paragraph 1 1.
Amendment 191 #
Proposal for a regulation Article 3 – paragraph 1 1.
Amendment 192 #
Proposal for a regulation Article 3 – paragraph 1 1. Any importer of minerals or metals within the scope of the Regulation m
Amendment 193 #
Proposal for a regulation Article 3 – paragraph 1 1. Any importer of minerals or metals within the scope of the Regulation may or shall 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.
Amendment 194 #
Proposal for a regulation Article 3 – paragraph 2 Amendment 195 #
Proposal for a regulation Article 3 – paragraph 2 Amendment 196 #
Proposal for a regulation Article 3 – paragraph 2 2. The Member State competent authorities shall
Amendment 197 #
Proposal for a regulation Article 3 – paragraph 2 a (new) 2a. Imports shall not be permitted without the corresponding certification.
Amendment 198 #
Proposal for a regulation Article 4 – paragraph 1 – introductory part Amendment 199 #
Proposal for a regulation Article 4 – paragraph 1 – introductory part Amendment 200 #
Proposal for a regulation Article 4 – paragraph 1 – introductory part The
Amendment 201 #
Proposal for a regulation Article 4 – paragraph 1 – introductory part Amendment 202 #
Proposal for a regulation Article 4 – paragraph 1 – point a (a) adopt and clearly communicate to suppliers and the public its supply chain policy for
Amendment 203 #
Proposal for a regulation Article 4 – paragraph 1 – point a (a) adopt and clearly communicate to suppliers and the public its supply chain
Amendment 204 #
Proposal for a regulation Article 4 – paragraph 1 – 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
Amendment 205 #
Proposal for a regulation Article 4 – paragraph 1 – point b (b) incorporate in its supply chain policy the standards against which supply chain
Amendment 206 #
Proposal for a regulation Article 4 – paragraph 1 – 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
Amendment 207 #
Proposal for a regulation Article 4 – paragraph 1 – 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,
Amendment 208 #
Proposal for a regulation Article 4 – paragraph 1 – point c a (new) (c a) 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,
Amendment 209 #
Proposal for a regulation Article 4 – paragraph 1 – point c a (new) (c a) 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,
Amendment 210 #
Proposal for a regulation 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
Amendment 211 #
Proposal for a regulation 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
Amendment 212 #
Proposal for a regulation Article 4 – paragraph 1 – point e (e) establish a company-level, or industry- wide, grievance mechanism as an early- warning risk-
Amendment 213 #
Proposal for a regulation Article 4 – paragraph 1 – point e (e) establish a company-level, or industry- wide, grievance mechanism as an early- warning risk-
Amendment 214 #
Proposal for a regulation Article 4 – paragraph 1 – point e a (new) (e a) establish a system of controls and transparency over the resources supply chain, including the identification of upstream actors in the supply chain, which may be implemented through participation in industry-driven programmes;
Amendment 215 #
Proposal for a regulation Article 4 – paragraph 1 – point f Amendment 216 #
Proposal for a regulation Article 4 – paragraph 1 – point f – introductory part (f)
Amendment 217 #
Proposal for a regulation Article 4 – paragraph 1 – point f – point ii (ii) name and address of the supplier to the
Amendment 218 #
Proposal for a regulation Article 4 – paragraph 1 – point f – point v a (new) (va) when minerals originate from undeterminable areas, for a temporary two-year period, additional information, as follows: - the facilities used to process the minerals, if known; - the country of origin of the minerals, if known; - the efforts to determine the mine or location of origin with the greatest possible specificity; - the steps that have or will be taken, if any, since the most recent declaration in accordance with Article 7 of this Regulation to mitigate the risk in accordance with Article 5 of this Regulation, including any steps to improve due diligence. For those products that contain minerals of undeterminable origin, the public- interest entities, large groups and large undertakings shall not be required to obtain a third-party audit.
Amendment 219 #
Proposal for a regulation Article 4 – paragraph 1 – point g Amendment 220 #
Proposal for a regulation Article 4 – paragraph 1 – point g Amendment 221 #
Proposal for a regulation Article 4 – paragraph 1 – point g – point vi a (new) (via) where the public-interest entities, large groups and large undertakings can reasonably conclude and prove that metals are derived from recycled or scrap sources, they shall be exempt from application of this Regulation;
Amendment 222 #
Proposal for a regulation Article 4 – paragraph 1 – point g – point vi b (new) (vib) where public-interest entities, large groups and large undertakings cannot conclude that its source of gold is derived from recycled or scrap sources, they shall be required to provide additional information in accordance with the specific recommendations set out in the OECD Due Diligence Guidance and its Supplement on Gold and to obtain a third party audit;
Amendment 223 #
Proposal for a regulation Article 4 – paragraph 1 – point g – point vi c (new) (vic) where public-interest entities, large groups and large undertakings cannot conclude that its sources of tin, tantalum or tungsten are derived from recycled or scrap sources, they shall be required to describe the due diligence measures they exercised in determining that its metals are from recycled or scrap sources and shall not be required to obtain a third- party audit;
Amendment 224 #
Proposal for a regulation Article 4 – paragraph 1 a (new) 1a. 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 listed in Annex V, 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.
Amendment 225 #
Proposal for a regulation Article 4 – paragraph 1 a (new) 2. 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 sourcing, 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.
Amendment 226 #
Proposal for a regulation Article 4 – paragraph 1 a (new) Amendment 227 #
Proposal for a regulation Article 4 – paragraph 1 b (new) 1b. 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.
Amendment 228 #
Proposal for a regulation Article 4 – paragraph 1 b (new) Amendment 229 #
Proposal for a regulation Article 5 – paragraph 1 – introductory part 1. The
Amendment 230 #
Proposal for a regulation Article 5 – paragraph 1 – introductory part 1.
Amendment 231 #
Proposal for a regulation Article 5 – paragraph 1 – introductory part 1.
Amendment 232 #
Proposal for a regulation Article 5 – paragraph 1 – point a Amendment 233 #
Proposal for a regulation Article 5 – paragraph 1 – point a Amendment 234 #
Proposal for a regulation Article 5 – paragraph 1 – point b Amendment 235 #
Proposal for a regulation Article 5 – paragraph 1 – point b – introductory part (b) implement a strategy to respond to the identified risks
Amendment 236 #
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,
Amendment 237 #
Proposal for a regulation Article 5 – paragraph 1 – point b – point ii – introductory part (ii) devising and adopting a risk management
Amendment 238 #
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 2(a) above on the basis of any available audited reports and/or, as appropriate, other relevant information;
Amendment 239 #
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 2(a) above on the basis of any available audited reports and/or, as appropriate, other relevant information;
Amendment 240 #
Proposal for a regulation Article 5 – paragraph 1 b (new) 1 b. Each operator shall implement a strategy to respond to the identified risks, in accordance with the OECD Due Diligence Guidance, including by, (a) reporting findings of the supply chain risk assessment to designated senior management of the operator, (b) devising and adopting a risk management plan, considering its ability to influence, and where necessary take steps to build leverage on suppliers who can most effectively prevent or mitigate the identified risk, by making it possible either to (i) continue trade while simultaneously implementing measurable risk mitigation efforts, (ii) suspend trade temporarily while pursuing on-going measurable risk mitigation efforts, or (iii) disengage with a supplier after failed attempts at mitigation, (c) implementing the risk management plan, monitoring and tracking performance of risk mitigation efforts, reporting back to designated senior management, management and considering suspending or discontinuing engagement with a supplier after failed attempts at mitigation, (d) undertaking additional fact and risk assessments for risks requiring mitigation, or after a change of circumstances.
Amendment 241 #
Proposal for a regulation Article 5 – paragraph 2 2. If a
Amendment 242 #
Proposal for a regulation Article 5 – paragraph 2 2. If a
Amendment 243 #
Proposal for a regulation Article 5 – paragraph 2 2. If a
Amendment 244 #
Proposal for a regulation Article 5 – paragraph 3 3.
Amendment 245 #
Proposal for a regulation Article 5 – paragraph 3 3.
Amendment 246 #
Proposal for a regulation Article 5 – paragraph 3 3. A
Amendment 247 #
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 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 248 #
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 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 249 #
Proposal for a regulation Article 6 – paragraph 1 Amendment 250 #
Proposal for a regulation Article 6 – paragraph 1 Amendment 251 #
Proposal for a regulation Article 6 – paragraph 1 Amendment 252 #
Proposal for a regulation Article 6 – paragraph 1 The
Amendment 253 #
Proposal for a regulation Article 6 – paragraph 1 The
Amendment 254 #
Proposal for a regulation Article 6 – paragraph 2 – introductory part Amendment 255 #
Proposal for a regulation Article 6 – paragraph 2 – introductory part Amendment 256 #
Proposal for a regulation Article 6 – paragraph 2 – point a (a) include in the audit scope all of the
Amendment 257 #
Proposal for a regulation Article 6 – paragraph 2 – point a (a) include in the audit scope all of the
Amendment 258 #
Proposal for a regulation Article 6 – paragraph 2 – point a (a) include in the audit scope all of the
Amendment 259 #
Proposal for a regulation Article 6 – paragraph 2 – point b (b) determine as the objective of the audit the conformity of the
Amendment 260 #
Proposal for a regulation Article 6 – paragraph 2 – point b (b) determine as the objective of the audit the conformity of the
Amendment 261 #
Proposal for a regulation Article 6 – paragraph 2 – point b (b) determine as the objective of the audit the conformity of the
Amendment 262 #
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.
Amendment 263 #
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.
Amendment 264 #
Proposal for a regulation Article 6 – paragraph 2 a (new) 2a. All operators may cooperate through their industry organisations to ensure that the independent third-party audit is carried out in accordance with paragraph 2.
Amendment 265 #
Proposal for a regulation Article 6 – paragraph 2 a (new) 2a. All operators may cooperate through their industry organisations to ensure that the independent third-part audit is carried out in accordance with paragraph 2.
Amendment 266 #
Proposal for a regulation Article 7 – paragraph 1 – introductory part 1. By 31 March of each year at the latest,
Amendment 267 #
Proposal for a regulation Article 7 – paragraph 1 – introductory part 1. By 31 March of each year at the latest,
Amendment 268 #
Proposal for a regulation Article 7 – paragraph 1 – introductory part 1. By 31 March of each year at the latest, the
Amendment 269 #
Proposal for a regulation Article 7 – paragraph 1 – introductory part 1. By 31 March of each year at the latest, the responsible importer of
Amendment 270 #
Proposal for a regulation Article 7 – paragraph 1 – point c Amendment 271 #
Proposal for a regulation Article 7 – paragraph 1 – point c Amendment 272 #
Proposal for a regulation Article 7 – paragraph 2 2. By 31 March of each year at the latest,
Amendment 273 #
Proposal for a regulation Article 7 – paragraph 2 2. By 31 March of each year at the latest,
Amendment 274 #
Proposal for a regulation Article 7 – paragraph 2 2. By 31 March of each year at the latest, the
Amendment 275 #
Proposal for a regulation Article 7 – paragraph 2 – point a (new) Amendment 276 #
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;
Amendment 277 #
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;
Amendment 278 #
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;
Amendment 279 #
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;
Amendment 280 #
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;
Amendment 281 #
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;
Amendment 282 #
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;
Amendment 283 #
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;
Amendment 284 #
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;
Amendment 285 #
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.
Amendment 286 #
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.
Amendment 287 #
Proposal for a regulation Article 7 – paragraph 3 – introductory part 3. By 31 March of each year at the latest,
Amendment 288 #
Proposal for a regulation Article 7 – paragraph 3 – introductory part 3. By 31 March of each year at the latest,
Amendment 289 #
Proposal for a regulation Article 7 – paragraph 3 – introductory part 3. By 31 March of each year at the latest, the
Amendment 290 #
Proposal for a regulation Article 7 – paragraph 3 – point a Amendment 291 #
Proposal for a regulation Article 7 – paragraph 3 – point a Amendment 292 #
Proposal for a regulation Article 7 – paragraph 3 – point b (b) independent third-party audits
Amendment 293 #
Proposal for a regulation Article 7 – paragraph 3 – point b (b) independent third-party audits
Amendment 294 #
Proposal for a regulation Article 7 – paragraph 3 – point c (c) information on the proportion of
Amendment 295 #
Proposal for a regulation Article 7 – paragraph 3 – point c (c) information on the proportion of
Amendment 296 #
Proposal for a regulation Article 7 – paragraph 4 4.
Amendment 297 #
Proposal for a regulation Article 7 – paragraph 4 4.
Amendment 298 #
Proposal for a regulation Article 7 – paragraph 4 4. The
Amendment 299 #
Proposal for a regulation Article 7 – paragraph 5 5.
Amendment 300 #
Proposal for a regulation Article 7 – paragraph 5 5.
Amendment 301 #
Proposal for a regulation Article 7 – paragraph 5 5. The
Amendment 302 #
Proposal for a regulation Article 7 – paragraph 6 a (new) Amendment 303 #
Proposal for a regulation Article 7 – paragraph 6 a (new) 6 a. Responsible Annex II 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 304 #
Proposal for a regulation Article 7 – paragraph 6 a (new) 6a. Responsible Annex II smelters and refiners both inside and outside the territory of the European Union shall, 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 declaration of conformity with the OECD Due Diligence Guidance.
Amendment 305 #
Proposal for a regulation Article 8 – title List of responsible
Amendment 306 #
Proposal for a regulation Article 8 – title List of responsible
Amendment 307 #
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
Amendment 308 #
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
Amendment 309 #
Proposal for a regulation Article 8 – paragraph 2 2. The Commission shall identify on the list referred to in paragraph 1 those responsible
Amendment 310 #
Proposal for a regulation Article 8 – paragraph 2 2. The Commission shall identify on the list referred to in paragraph 1 those responsible
Amendment 311 #
Proposal for a regulation Article 8 – paragraph 3 3. The Commission shall adopt the list in accordance with the template in Annex II
Amendment 312 #
Proposal for a regulation Article 8 – paragraph 3 3. The Commission shall adopt the list in accordance with the template in Annex III and the regulatory procedure referred to in Article 13(2). The OECD Secretariat shall be consulted.
Amendment 313 #
Proposal for a regulation Article 8 – paragraph 4 4. The Commission shall update the information included in the list in a timely manner
Amendment 314 #
Proposal for a regulation Article 8 – paragraph 4 4. The Commission shall update the information included in the list in a timely manner
Amendment 315 #
Proposal for a regulation 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
Amendment 316 #
Proposal for a regulation 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
Amendment 317 #
Proposal for a regulation Article 8 – paragraph 4 a (new) 4a. Such removal shall result in the importer not being recognised, with imports of such origin thereby being prohibited.
Amendment 318 #
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 I
Amendment 319 #
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 I
Amendment 320 #
Proposal for a regulation Article 9 – paragraph 2 2. The Commission shall
Amendment 321 #
Proposal for a regulation Article 9 a (new) Article 9a Grievance mechanism as an early- warning risk-awareness system within the authorities responsible in the Member States 1. A grievance mechanism as an early- warning risk system shall be put in place within the authority or authorities who are responsible for application of this Regulation. 2. Any undertaking, no matter what its size, may be reported to the authorities responsible on the basis of well-founded information by a natural or legal person whose aonymity will be preserved. 3. The information received shall be forwarded to the Commission without delay.
Amendment 322 #
Proposal for a regulation Article 10 – title Ex-post checks on
Amendment 323 #
Proposal for a regulation Article 10 – title Ex-post checks on
Amendment 324 #
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
Amendment 325 #
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
Amendment 326 #
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
Amendment 327 #
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
Amendment 328 #
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
Amendment 329 #
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
Amendment 330 #
Proposal for a regulation Article 10 – paragraph 3 – point a (a) examination of the
Amendment 331 #
Proposal for a regulation Article 10 – paragraph 3 – point a (a) examination of the
Amendment 332 #
Proposal for a regulation Article 10 – paragraph 3 – point a (a) examination of the
Amendment 333 #
Proposal for a regulation Article 10 – paragraph 3 – point c a (new) (c a) examination of the reporting requirements in accordance with the scope, objective and principles set out in Article 7,
Amendment 334 #
Proposal for a regulation Article 10 – paragraph 3 – point c a (new) (c a) examination of the reporting requirements in accordance with the scope, objective and principles set out in Article 7,
Amendment 335 #
Proposal for a regulation Article 10 – paragraph 4 4.
Amendment 336 #
Proposal for a regulation Article 10 – paragraph 4 4.
Amendment 337 #
Proposal for a regulation Article 10 – paragraph 4 4.
Amendment 338 #
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.
Amendment 339 #
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.
Amendment 340 #
Proposal for a regulation Article 11 – title Records of checks on
Amendment 341 #
Proposal for a regulation Article 11 – title Records of checks on
Amendment 342 #
Proposal for a regulation Article 12 – paragraph 1 1. Competent authorities shall exchange information, including with their respective customs authorities, on matters pertaining to
Amendment 343 #
Proposal for a regulation Article 12 a (new) Article 12a List of conflict-affected and high-risk areas A list of conflict-affected and high-risk areas shall be established by the Commission, in close cooperation with the European External Action Service, pursuant to Article 3 of Council Decision 2010/427/EU1a, in accordance with the template in (Annex III a new) and the procedure referred to in Article 13 of this Regulation. It shall be established on the basis of information received by its services, the Member States and its competent authorities, from open sources or third parties. It shall be updated in a timely manner, when relevant, but not later than every 6 months.
Amendment 344 #
Proposal for a regulation Article 12 b (new) Article 12b List of minerals and metals 1. The Commission shall regularly review developments with regard to the contribution of global trade in minerals and metals 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 add minerals and metals or to remove added minerals and metals to and from the list of covered minerals and metals. Such a review shall take not less than every two years. 3. The Commission shall be empowered to adopt delegated acts in order to add minerals and metals or to remove added minerals and metals to and from the list of covered minerals and metals as stated in paragraph 2. The Commission shall have power to amend Annexes I and II in accordance with the procedure referred to in Article 13.
Amendment 345 #
Proposal for a regulation Article 13 – title Amendment 347 #
Proposal for a regulation Article 13 – paragraph 1 Amendment 348 #
Proposal for a regulation Article 13 – paragraph 1 1. The
Amendment 349 #
Proposal for a regulation Article 13 – paragraph 1 1. The
Amendment 350 #
Proposal for a regulation Article 13 a (new) Article 13 a Delegated Acts 1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article. 2. The power to adopt delegated acts referred to in Article 13 bis 2 shall be conferred to the Commission for an indeterminate period of time from the date that this Regulation enters into force. 3. The delegation of powers referred to in Article 13 bis 2 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. 4. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council. 5. A delegated act adopted pursuant to Articles 13 bis 2 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 351 #
Proposal for a regulation Article 13 – paragraph 2 – subparagraph 1 Amendment 352 #
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 Article 13 bis 1. 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.
Amendment 353 #
Proposal for a regulation Article 13 b (new) Article 13 b 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 Article 13 bis 1. 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.
Amendment 354 #
Proposal for a regulation Article 13 a (new) Amendment 355 #
Proposal for a regulation Article 14 – paragraph 1 1. The
Amendment 356 #
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
Amendment 357 #
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
Amendment 358 #
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
Amendment 359 #
Proposal for a regulation Article 14 – paragraph 3 3. In case of inadequate remedial action by the
Amendment 360 #
Proposal for a regulation Article 14 – paragraph 3 3. In case of inadequate remedial action by the
Amendment 361 #
Proposal for a regulation Article 14 – paragraph 3 3. In case of inadequate remedial action by the
Amendment 362 #
Proposal for a regulation Article 14 – paragraph 3 3. In case of inadequate remedial action by the responsible importer, the competent authority shall issue to the importer a notice of non-recognition of its responsible importer certificate as regards the minerals or metals within the scope of this Regulation and inform the Commission.
Amendment 363 #
Proposal for a regulation Article 14 a (new) Article 14 a Accompanying measures If appropriate, the Commission will submit a legislative proposal within the transitional period setting up accompanying measures in order to enhance the effectiveness of this Regulation in line with the Joint Communication to the European Parliament and the Council entitled "Responsible sourcing of minerals originating in conflict-affected and high risk areas. Towards an integrated EU approach" (JOIN (2014)8)
Amendment 364 #
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
Amendment 365 #
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
Amendment 366 #
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
Amendment 367 #
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
Amendment 368 #
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
Amendment 369 #
Proposal for a regulation Article 15 – paragraph 3 3. T
Amendment 370 #
Proposal for a regulation Article 15 a (new) Article 15a 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 European 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 (i) the exploitation and trade in natural resources originating from conflict- affected and high-risk areas and (ii) the implementation of this Regulation, including: a. 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. b. 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; c. Meaningful policy dialogues on responsible sourcing with third countries and other stakeholders. d. 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 according to paragraph 1 (a). 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.
Amendment 371 #
Proposal for a regulation Article 15 a (new) Article 15a 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 (i) the exploitation and trade in natural resources originating from conflict- affected and high-risk areas and (ii) the implementation of this Regulation, including: a. 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. b. 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; c. Meaningful policy dialogues on responsible sourcing with third countries and other stakeholders. d. 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 according to paragraph 1 (a). 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.
Amendment 372 #
Proposal for a regulation Article 15 a (new) Article 15a Accompanying measures 1. The European Union delegations in the countries that coincide with ‘conflict- affected and high-risk areas’ within the meaning of Article 2(e) of this Regulation are to: (a) draw up and update maps of mines that represent a risk, where illegal exploitation is fuelling conflict. They can make use of information gathered by local and international non-governmental organisations, international organisations such as the UN and the OECD, the Member States’ diplomatic networks, private sector due diligence initiatives and the country’s national and local authorities; (b) provide the most reliable possible information on the conflict and mining activities to EU operators in the country. This information is to be communicated on request to EU operators in the country via a natural resources contact point in each delegation concerned; 2. The EEAS in Brussels shall centralise information on conflict minerals gathered by delegations and make it available to companies;
Amendment 373 #
Proposal for a regulation Article 15 b (new) Article 15b The Commission and the EEAS shall engage in political dialogue with the governments of the countries that extract and produce minerals in order to raise awareness of the need for responsible mining operations and to help them put an end to the financing of conflicts by exploitation of minerals;
Amendment 374 #
Proposal for a regulation Article 15 c (new) Article 15c The Union shall establish a dialogue on the need to combat the financing of armed conflicts by means of expoitation of minerals, in the framework of its political and diplomatic relations with: (a) The countries that have legislation designed to combat the exploitation of conflict minerals or that have due diligence initiatives in place; (b) The countries that have significant mineral processing industries;
Amendment 375 #
Proposal for a regulation Article 15 d (new) Article 15d The European Union shall support the initiative of the States taking part in the International Conference on the Great Lakes Region (ICGLR) as adopted in the Declaration at the Lusaka Summit in December 2010 on the fight against the illegal exploitation of natural resources in the Great Lakes Region, and shall work in partnership with these countries to monitor and put an end to the exploitation of conflict minerals;
Amendment 376 #
Proposal for a regulation Article 15 e (new) Article 15e An exchange network of good practice on due dilegence shall be put in place on the initiative of the Commission and the EEAS. It shall bring together the various actors who have taken Responsible Supply Chain initiatives, and representatives of the OECD and the United Nations;
Amendment 377 #
Proposal for a regulation Article 15 f (new) Article 15f The High Representative of the Union for Foreign Affairs and Security Policy and national diplomats from the Member States shall put the issue of conflict minerals on the agenda of the United Nations General Assembly and Security Council;
Amendment 378 #
Proposal for a regulation Article 15 g (new) Article 15g The European Union Stability Instrument shall be used to finance projects to combat the illegal exploitation of minerals, particularly projects that are designed to raise awareness among the public authorities, private sector actors and civil society organisations, or that help to put an end to the financing of conflicts by exploitation of minerals, and must have adequate resources to achieve these objectives;
Amendment 379 #
Proposal for a regulation Article 15 h (new) Article 15h The Commission and the EEAS, together with the national and local authorities of partner countries, shall put in place projects that favour good governance, the fight against corruption and the fight against arms trading;
Amendment 380 #
Proposal for a regulation Article 15 i (new) Article 15i In its dialogue with third countries, the European Union shall encourage the establishment of social standards and minimum health and safety standards in order to improve miners’ working conditions. The European Union shall urge these countries to combat child labour in the mines;
Amendment 381 #
Proposal for a regulation Article 15 j (new) Article 15j The Commission and the Member States must be prepared to help partner countries of the European Union that are affected by the exploitation of conflict minerals when setting up projects to reform the safety system and reform the legal system;
Amendment 382 #
Proposal for a regulation Article 15 k (new) Article 15k The European Union and the United Nations shall increase their cooperation in UN peacekeeping operations with regard to the monitoring and combating of illegal mining operations in conflict countries;
Amendment 383 #
Proposal for a regulation Annex I Amendment 384 #
Proposal for a regulation Annex I Annex I List of resources within the scope of the Regulation Minerals Metals
Amendment 385 #
Proposal for a regulation Annex II (new) Annex II List of choke points identified in the supply chains of covered resources -’smelters’ -’refiners’
Amendment 386 #
Proposal for a regulation Annex II (new) Annex II List of choke points identified in the supply chain of covered resources -’smelters’ -’refiners’
Amendment 387 #
Proposal for a regulation Annex III Annex III List of responsible Annex II actors Column A: Name of Annex II actor in alphabetical order Column B: Address of Annex II actor Column C: Annex II category of the actor Column D: (*) indicator, if the Annex II actor engages in responsible sourcing of resources originating from conflict- affected and high-risk areas
Amendment 388 #
Proposal for a regulation Annex III Annex III List of responsible Annex II actors Column A: Name of Annex II actor in alphabetical order Column B: Address of Annex II actor Column C: Annex II category of the actor Column D: (*) indicator, if the Annex II actor engages in responsible sourcing of resources originating from conflict- affected and high-risk areas
Amendment 389 #
Proposal for a regulation Annex IV Annex IV List of Member State competent authorities template referred to in Article 9 Column A: Name of Member State in alphabetical order Column B: Name of the competent authority Column C: Address of the competent authority
Amendment 390 #
Proposal for a regulation Annex IV Amendment 56 #
Proposal for a regulation Title 1 Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL setting up a Union system for supply chain due diligence
Amendment 57 #
Proposal for a regulation Title 1 Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL setting up a Union system for supply chain due diligence
Amendment 58 #
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 addition, illegal extractive activities aggravate environmental pressures. In these areas, breaking the nexus between conflict and illegal exploitation of minerals is critical to peace and stability.
Amendment 59 #
Proposal for a regulation Recital 1 (1) Natural
Amendment 60 #
Proposal for a regulation Recital 1 (1) Natural
Amendment 61 #
Proposal for a regulation Recital 1 (1) Natural mineral resources in conflict- affected or high risk areas − although holding great potential for development –
Amendment 62 #
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 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 63 #
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 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 64 #
Proposal for a regulation Recital 1 a (new) (1a) This Regulation should be consistent with and complementary to the UN Principles on Business and Human Rights, the OECD Guidelines on Multinational Enterprise, the concept of ‘integrated reporting’ and the obligations laid down in the EU Directive on Non- Financial Reporting. Member States are encouraged to implement that Directive and companies encouraged to apply it accordingly;
Amendment 65 #
Proposal for a regulation Recital 1 a (new) (1a) The trafficking of natural mineral resources is the reason for the massacres, deaths, slavery, terrorism and use of child soldiers in the Great Lakes Region. The brutal regime in the region is the result of foreign government support for supposedly political movements there.
Amendment 66 #
Proposal for a regulation Recital 1 b (new) (1b) 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 67 #
Proposal for a regulation Recital 1 b (new) (1b) 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 68 #
Proposal for a regulation Recital 1 b (new) (1b) The riches that armed gangs and pseudo-political movements can amass by selling, for example, blood diamonds in Sierra Leone, lie at the root of the most atrocious wars in Africa.
Amendment 69 #
Proposal for a regulation Recital 1 c (new) (1c) By ignoring this situation, the international community is complicit in the activities of the countries in the region, which have suddenly become exporters of minerals they had never exported before, let alone in such quantities. As a result, it is unthinkable to suggest that the trading companies, whose aim is to enrich themselves, should self- regulate.
Amendment 70 #
Proposal for a regulation Recital 1 d (new) (1d) Furthermore, strict regulation is absolutely vital in order to stop the terrible tragedy that is taking place in the Great Lakes Region, in which millions of people have been killed, and which is a result of the criminal complicity of countries and societies that have traded in the minerals concerned.
Amendment 71 #
Proposal for a regulation Recital 1 e (new) (1e) Regional certification mechanisms, such as the OECD mechanism, have not worked in the interests of any of the contracting states. It is therefore vital that thorough checks be carried out in the countries of destination in the EU.
Amendment 72 #
Proposal for a regulation Recital 2 a (new) (2a) By reducing the financing of armed groups and security forces in conflict affected or high risk areas this regulation contributes to the Union’s conflict prevention policy. Preserving peace, preventing conflicts, strengthening international security are among the prime objectives of the Union’s external action as set out in, inter alia, Article 21 of the Treaty on European Union (TEU). Also in its conclusions of 15 and 16 June 2001, the European Council endorsed the Union Programme for the Prevention of Violent Conflicts, underlining the Union’s political commitment to pursue conflict prevention as one of the main objectives of the Union’s external relations,. The Council conclusions of 20 June 2011 on conflict prevention restated the validity of that Programme as a valid policy basis for further Union action in the field of conflict prevention.
Amendment 73 #
Proposal for a regulation Recital 2 b (new) (2b) Stresses the importance of the rights of indigenous peoples as set out in the United Nations Declaration on the Rights of Indigenous Peoples and the International Labour Organization’s Convention 169 on Indigenous and Tribal Peoples, particularly with regards to the extractive industries.
Amendment 74 #
Proposal for a regulation Recital 3 (3) On the basis of the Kimberley Process, which established an international certification scheme for rough diamonds, the Extractive Industries Transparency Initiative, the Forest Law Enforcement, Governance and Trade (FLEGT) Action Plan, and the Timber Regulation, the Union has proposed a comprehensive set of measures to break the link between the financing of armed groups and the exploitation of natural resources in conflict areas. The Union has been actively engaged in an Organisation for Economic Co-
Amendment 75 #
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 )
Amendment 76 #
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 )
Amendment 77 #
Proposal for a regulation Recital 6 Amendment 78 #
Proposal for a regulation Recital 6 Amendment 79 #
Proposal for a regulation Recital 6 (6) The Commission in its 20088 Communication 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. As regards funding, the Union supports strengthening the global Extractive Industries Transparency Initiative (EITI) standard, which seeks to ensure the transparency of payments and income generated by the extractive industries, make that information accessible to civil society and the general public, and promote the proper use of that wealth. __________________ 8The Raw Materials Initiative – meeting our critical needs for growth and jobs in Europe, COM(2008) 699.
Amendment 80 #
Proposal for a regulation Recital 7 a (new) (7a) On 26 February 2014, the European Parliament adopted a resolution1 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; __________________ 1EP 2013/2126(INI)
Amendment 81 #
Proposal for a regulation Recital 7 a (new) (7a) On 26 February 2014, the European Parliament adopted a resolution1 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; __________________ 1EP 2013/2126(INI)
Amendment 82 #
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
Amendment 83 #
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
Amendment 84 #
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.
Amendment 85 #
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.
Amendment 86 #
Proposal for a regulation Recital 9 a (new) (9a) 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 differences. 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 87 #
Proposal for a regulation Recital 9 a (new) Amendment 88 #
Proposal for a regulation Recital 9 b (new) (9b) Consistently with OECD 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 89 #
Proposal for a regulation Recital 9 b (new) (9b) Consistently with OECD 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 90 #
Proposal for a regulation Recital 10 Amendment 91 #
Proposal for a regulation Recital 10 Amendment 92 #
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.
Amendment 93 #
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.
Amendment 94 #
Proposal for a regulation Recital 13 (13) Smelters and refiners are
Amendment 95 #
Proposal for a regulation Recital 13 (13) Smelters and refiners are
Amendment 96 #
Proposal for a regulation Recital 13 (13)
Amendment 97 #
Proposal for a regulation Recital 13 (13) Smelters and refiners are an important point 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.
Amendment 98 #
Proposal for a regulation Recital 14 (14) The Member State competent authorities are responsible to ensure the uniform compliance
Amendment 99 #
Proposal for a regulation Recital 14 (14) The Member State competent authorities are responsible to ensure the uniform compliance
source: 546.673
2015/03/24
INTA
553 amendments...
Amendment 100 #
Proposal for a regulation Recital 13 (13) Smelters and refiners are
Amendment 101 #
Proposal for a regulation Recital 13 (13) Smelters and refiners are an important point 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
Amendment 102 #
Proposal for a regulation Recital 13 (13) Smelters and refiners are an important point 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. The same applies to recycled metals, which have undergone even further steps in the transformation process. A Union list of responsible smelters and refiners could therefore provide transparency and certainty to downstream companies as regards supply chain due diligence practices.
Amendment 103 #
Proposal for a regulation Recital 13 a (new) Amendment 104 #
Proposal for a regulation Recital 13 a (new) (13a) All minerals and metals within the scope of this Regulation should be used in accordance with the requirements laid down herein. It is essential that importers should comply with the provisions of this Regulation.
Amendment 105 #
Proposal for a regulation Recital 13 b (new) Amendment 106 #
Proposal for a regulation Recital 14 (14) The Member State competent authorities are responsible to ensure the uniform compliance
Amendment 107 #
Proposal for a regulation Recital 14 (14) The
Amendment 108 #
Proposal for a regulation Recital 14 (14) The Member State competent authorities are responsible to ensure the uniform compliance
Amendment 109 #
Proposal for a regulation Recital 14 (14) The Member State competent authorities are responsible to ensure the uniform compliance of the self-
Amendment 110 #
Proposal for a regulation Recital 14 (14) The Member State competent authorities are responsible to ensure the uniform compliance of the self- certification of responsible importers by carrying out appropriate ex-post checks so as to verify whether the
Amendment 111 #
Proposal for a regulation Recital 14 (14) The Member State competent authorities are responsible to ensure the uniform compliance
Amendment 112 #
Proposal for a regulation Recital 14 (14) The Member State competent authorities are responsible to ensure the uniform compliance of the self- certification of responsible importers by carrying out appropriate ex-post checks so as to verify whether the self-certified responsible
Amendment 113 #
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 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 114 #
Proposal for a regulation Recital 14 a (new) (14a) The Commission should also be responsible for facilitating the work of importers by providing them with a list of responsible smelters and refineries.
Amendment 115 #
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 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 116 #
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 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 117 #
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
Amendment 118 #
Proposal for a regulation Recital 15 (15) In order to
Amendment 119 #
Proposal for a regulation Recital 15 (15) In order to
Amendment 120 #
Proposal for a regulation Recital 15 (15) In order to e
Amendment 121 #
Proposal for a regulation Recital 15 a (new) (15a) The Commission should regularly review its financial assistance and political commitments with conflict- affected and high risk areas where tin, tantalum, tungsten and gold are mined, especially in the Great Lake Region, in order to ensure policy coherence, and in order to incentivise and strengthen the respect for good governance, the rule of law but above all ethical mining.
Amendment 122 #
Proposal for a regulation Recital 15 a (new) (15a) In order to guarantee the efficient implementation of this Regulation, provision should be made for a two-year transitional period to allow the European Commission to set up a third-party audit system and for responsible importers to become familiar with their obligations under this Regulation.
Amendment 123 #
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,
Amendment 124 #
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.
Amendment 125 #
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.
Amendment 126 #
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,
Amendment 127 #
Proposal for a regulation Recital 16 (16) The Commission should report regularly to the
Amendment 128 #
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,
Amendment 129 #
Proposal for a regulation Recital 16 (16) The Commission should report regularly to the
Amendment 130 #
Proposal for a regulation Recital 16 a (new) (16a) In their Joint Communication of 5 March 2014, the European Commission and the High Representative of the Union for Foreign Affairs and Security Policy committed to the implementation of accompanying measures leading to an integrated EU approach to Responsible Sourcing in parallel with this Regulation, not only with the aim of reaching a high level of participation of companies in the Union system provided for in this Regulation but also ensuring a global, coherent and comprehensive approach is taken to promote responsible sourcing from conflict affected areas.
Amendment 131 #
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 and to curtail financing of war activities that dramatically affect local communities, notably women and children. 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.
Amendment 132 #
Proposal for a regulation Article 1 – paragraph 1 1. This Regulation sets up a Union system for supply chain due diligence
Amendment 133 #
Proposal for a regulation Article 1 – paragraph 1 1. This Regulation sets up a Union system for supply chain due diligence self-
Amendment 134 #
Proposal for a regulation Article 1 – paragraph 1 1. This Regulation sets up a mandatory Union system for compliance with the OECD Guidance on supply chain due diligence
Amendment 135 #
Proposal for a regulation Article 1 – paragraph 1 1. This Regulation sets up a Union system for supply chain due diligence
Amendment 136 #
Proposal for a regulation Article 1 – paragraph 1 1. This Regulation sets up a Union system for supply chain due diligence
Amendment 137 #
Proposal for a regulation Article 1 – paragraph 1 1. This Regulation sets up a Union system for supply chain due diligence self-
Amendment 138 #
Proposal for a regulation Article 1 – paragraph 1 1. This Regulation sets up a Union system for supply chain due diligence self-
Amendment 139 #
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,
Amendment 140 #
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,
Amendment 141 #
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,
Amendment 142 #
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,
Amendment 143 #
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.
Amendment 144 #
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.
Amendment 145 #
Proposal for a regulation Article 1 – paragraph 2 Amendment 146 #
Proposal for a regulation Article 1 – paragraph 2 Amendment 147 #
Proposal for a regulation Article 1 – paragraph 2 Amendment 148 #
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
Amendment 149 #
Proposal for a regulation Article 1 – paragraph 2 2. This Regulation lays down the supply chain due diligence obligations of Union importers
Amendment 150 #
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. Metals reasonably assumed to be recycled are excluded from the scope of this Regulation.
Amendment 151 #
Proposal for a regulation Article 1 – paragraph 2 2. This Regulation lays down the supply chain due diligence obligations of Union
Amendment 152 #
Proposal for a regulation Article 1 – paragraph 2 – subparagraph 1 (new) Metals reasonably assumed to be recycled are excluded from the scope of this Regulation.
Amendment 153 #
Proposal for a regulation Article 2 – paragraph 1 – point a Amendment 154 #
Proposal for a regulation Article 2 – paragraph 1 – point a Amendment 155 #
Proposal for a regulation Article 2 – paragraph 1 – point a (a) '
Amendment 156 #
Proposal for a regulation Article 2 – paragraph 1 – point a (a) '
Amendment 157 #
Proposal for a regulation Article 2 – paragraph 1 – 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)) including all Council Recommendations, Annexes and Supplements, as may be amended or replaced periodically;
Amendment 158 #
Proposal for a regulation Article 2 – paragraph 1 – 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)) including all Council Recommendations, Annexes and Supplements, as may be amended or replaced periodically;
Amendment 159 #
Proposal for a regulation Article 2 – paragraph 1 – 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;
Amendment 160 #
Proposal for a regulation Article 2 – paragraph 1 – 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;
Amendment 161 #
Proposal for a regulation Article 2 – paragraph 1 – point a c (new) (ac) 'covered products' means all covered resources and products comprising or containing covered resources;
Amendment 162 #
Proposal for a regulation Article 2 – paragraph 1 – point a c (new) (ac) 'covered products' means all covered resources and products comprising or containing covered resources;
Amendment 163 #
Proposal for a regulation Article 2 – paragraph 1 – 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.
Amendment 164 #
Proposal for a regulation Article 2 – paragraph 1 – point a d (new) Amendment 165 #
Proposal for a regulation Article 2 – paragraph 1 – point a e (new) (ae) 'operator' means any natural or legal person that places any covered product on the market for the first time;
Amendment 166 #
Proposal for a regulation Article 2 – paragraph 1 – point a e (new) (ae) 'operator' means any natural or legal person that places any covered product on the market for the first time;
Amendment 167 #
Proposal for a regulation Article 2 – paragraph 1 – 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/EC; 'placing on the market' also includes the supply on the internal market of products derived from covered products already placed on the internal market;
Amendment 168 #
Proposal for a regulation Article 2 – paragraph 1 – 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/EC; 'placing on the market' also includes the supply on the internal market of products derived from covered products already placed on the internal market;
Amendment 169 #
Proposal for a regulation Article 2 – paragraph 1 – point b Amendment 170 #
Proposal for a regulation Article 2 – paragraph 1 – point b Amendment 171 #
Proposal for a regulation Article 2 – paragraph 1 – point b Amendment 172 #
Proposal for a regulation Article 2 – paragraph 1 – point b (b) '
Amendment 173 #
Proposal for a regulation Article 2 – paragraph 1 – point b a (new) (ba) 'recycled metals' means reclaimed end-user or post-consumer products, or scrap processed metals created during product manufacturing; 'recycled metals' includes excess, obsolete, defective, and scrap metal materials which contain refined or processed metals that are appropriate to recycle in the production of tin, tantalum, tungsten and/or gold; minerals partially processed, unprocessed or a bi-product from another ore are not recycled metals;
Amendment 174 #
Proposal for a regulation Article 2 – paragraph 1 – point c (c) '
Amendment 175 #
Proposal for a regulation Article 2 – paragraph 1 – point c (c) '
Amendment 176 #
Proposal for a regulation Article 2 – paragraph 1 – point c (c)
Amendment 177 #
Proposal for a regulation Article 2 – paragraph 1 – point c a (new) Amendment 178 #
Proposal for a regulation Article 2 – paragraph 1 – 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;
Amendment 179 #
Proposal for a regulation Article 2 – paragraph 1 – point c b (new) (cb) 'model supply chain policy' means the model supply chain policy in Annex II of the OECD Due Diligence Guidance;
Amendment 180 #
Proposal for a regulation Article 2 – paragraph 1 – point c b (new) (cb) 'model supply chain policy' means the model supply chain policy in Annex II of the OECD Due Diligence Guidance;
Amendment 181 #
Proposal for a regulation Article 2 – paragraph 1 – point d (d) 'chain of custody or supply chain traceability system' means a system to identify and record
Amendment 182 #
Proposal for a regulation Article 2 – paragraph 1 – point d (d) 'chain of custody or supply chain traceability system' means a system to identify and record
Amendment 183 #
Proposal for a regulation Article 2 – paragraph 1 – point d (d) 'chain of custody or supply chain traceability system' means a system to identify and record
Amendment 184 #
Proposal for a regulation Article 2 – paragraph 1 – 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;
Amendment 185 #
Proposal for a regulation Article 2 – paragraph 1 – 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;
Amendment 186 #
Proposal for a regulation 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 abuses and breaches of women's and children's rights;
Amendment 187 #
Proposal for a regulation 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
Amendment 188 #
Proposal for a regulation Article 2 – paragraph 1 – point e (e) 'conflict-affected and high-risk areas' means areas i
Amendment 189 #
Proposal for a regulation Article 2 – paragraph 1 – point e (e) 'conflict-affected and high-risk areas' means areas i
Amendment 190 #
Proposal for a regulation 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
Amendment 191 #
Proposal for a regulation Article 2 – paragraph 1 – point e (e) 'conflict-affected and high-risk areas' means areas i
Amendment 192 #
Proposal for a regulation Article 2 – paragraph 1 – point e – point i (new) (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
Amendment 193 #
Proposal for a regulation Article 2 – paragraph 1 – point e – point ii (new) (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;
Amendment 194 #
Proposal for a regulation Article 2 – paragraph 1 – point f Amendment 195 #
Proposal for a regulation Article 2 – paragraph 1 – point f Amendment 196 #
Proposal for a regulation Article 2 – paragraph 1 – point f (f) 'downstream' means the
Amendment 197 #
Proposal for a regulation Article 2 – paragraph 1 – point g Amendment 198 #
Proposal for a regulation Article 2 – paragraph 1 – point g Amendment 199 #
Proposal for a regulation Article 2 – paragraph 1 – point g (g) '
Amendment 200 #
Proposal for a regulation Article 2 – paragraph 1 – point g g) 'importer' means any natural or legal person declaring minerals or metals within the scope of this Regulation or product components containing such minerals or metals for release for free circulation within the meaning of Article 79 of Council Regulation (EEC) No 2913/
Amendment 201 #
Proposal for a regulation Article 2 – paragraph 1 – point g (g) '
Amendment 202 #
Proposal for a regulation Article 2 – paragraph 1 – point g (g) '
Amendment 203 #
Proposal for a regulation Article 2 – paragraph 1 – point g (g) 'importer' means any natural or legal person
Amendment 204 #
Proposal for a regulation Article 2 – paragraph 1 – point g a (new) (ga) 'recycled metals' means reclaimed end-user or post-consumer products, or scrap processed metals created during product manufacturing. Recycled metals include excess, obsolete, defective, and scrap metal materials which contain refined or processed metals that are appropriate to recycle in the production of tin, tantalum, tungsten and gold. Minerals that are partially processed, unprocessed or a bi-product from another ore are not recycled metals;
Amendment 205 #
Proposal for a regulation Article 2 – paragraph 1 – point g a (new) (ga) 'covered products' means all covered resources and products comprising or containing covered resources [Note: seec. below for definition];
Amendment 206 #
Proposal for a regulation Article 2 – paragraph 1 – point g b (new) (gb) '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/EC; 'placing on the market' also includes the supply on the internal market of products derived from covered products already placed on the internal market;
Amendment 207 #
Proposal for a regulation Article 2 – paragraph 1 – point h Amendment 208 #
Proposal for a regulation Article 2 – paragraph 1 – point h Amendment 209 #
Proposal for a regulation Article 2 – paragraph 1 – point h Amendment 210 #
Proposal for a regulation Article 2 – paragraph 1 – point h (h) 'responsible importer' means any importer who chooses to self-
Amendment 211 #
Proposal for a regulation Article 2 – paragraph 1 – point h (h) '
Amendment 212 #
Proposal for a regulation Article 2 – paragraph 1 – point h (h) 'responsible
Amendment 213 #
Proposal for a regulation Article 2 – paragraph 1 – point i Amendment 214 #
Proposal for a regulation Article 2 – paragraph 1 – point i Amendment 215 #
Proposal for a regulation Article 2 – paragraph 1 – point i Amendment 216 #
Proposal for a regulation Article 2 – paragraph 1 – point i (i) 'self-
Amendment 217 #
Proposal for a regulation Article 2 – paragraph 1 – point i (i) '
Amendment 218 #
Proposal for a regulation 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
Amendment 219 #
Proposal for a regulation 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 220 #
Proposal for a regulation 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
Amendment 221 #
Proposal for a regulation 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
Amendment 222 #
Proposal for a regulation 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
Amendment 223 #
Proposal for a regulation Article 2 – paragraph 1 – point j a (new) (ja) 'Annex II operator' refers to any operator of the type identified in Annex II;
Amendment 224 #
Proposal for a regulation Article 2 – paragraph 1 – point j a (new) (ja) 'Annex Ia operator' refers to any operator of the type identified in Annex Ia;
Amendment 225 #
Proposal for a regulation Article 2 – paragraph 1 – point j b (new) (jb) 'Annex II actor' refers to any natural or legal person of the type identified in Annex II;
Amendment 226 #
Proposal for a regulation Article 2 – paragraph 1 – point j b (new) (jb) 'Annex Ia actor' refers to any natural or legal person of the type identified in Annex Ia;
Amendment 227 #
Proposal for a regulation Article 2 – paragraph 1 – 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);
Amendment 228 #
Proposal for a regulation Article 2 – paragraph 1 – point j c (new) (jc) 'responsible Annex Ia actor' refers to any Annex Ia 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 (6) (a);
Amendment 229 #
Proposal for a regulation Article 2 – paragraph 1 – point j d (new) (jd) 'business confidentiality and other competitiveness concerns' means price information and supplier relationships without prejudice to subsequent evolving interpretation;
Amendment 230 #
Proposal for a regulation Article 2 – paragraph 1 – point j d (new) (jd) 'business confidentiality and other competitiveness concerns' means price information and supplier relationships without prejudice to subsequent evolving interpretation;
Amendment 231 #
Proposal for a regulation Article 2 – paragraph 1 – point k Amendment 232 #
Proposal for a regulation Article 2 – paragraph 1 – point k Amendment 233 #
Proposal for a regulation Article 2 – paragraph 1 – point k (k) 'model supply chain policy'
Amendment 234 #
Proposal for a regulation Article 2 – paragraph 1 – point l Amendment 235 #
Proposal for a regulation Article 2 – paragraph 1 – point l Amendment 236 #
Proposal for a regulation Article 2 – paragraph 1 – point l (l) 'risk management plan' means the
Amendment 237 #
Proposal for a regulation Article 2 – paragraph 1 – point l (l) 'risk management plan' means the
Amendment 238 #
Proposal for a regulation Article 2 – paragraph 1 – point n Amendment 239 #
Proposal for a regulation Article 2 – paragraph 1 – point n Amendment 24 #
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
Amendment 240 #
Proposal for a regulation Article 2 – paragraph 1 – point o o) 'supply chain due diligence' refers to the obligations of
Amendment 241 #
Proposal for a regulation Article 2 – paragraph 1 – point o (o) 'supply chain due diligence' refers to the obligations of
Amendment 242 #
Proposal for a regulation Article 2 – paragraph 1 – point o (o) 'supply chain due diligence' refers to the obligations of responsible
Amendment 243 #
Proposal for a regulation Article 2 – paragraph 1 – point p (p)
Amendment 244 #
Proposal for a regulation Article 2 – paragraph 1 – point p (p) 'responsible
Amendment 245 #
Proposal for a regulation Article 2 – paragraph 1 – point p (p) 'responsible smelters or refiners' means smelters or refiners in the supply chain of the responsible
Amendment 246 #
Proposal for a regulation Article 2 – paragraph 1 – point p a (new) (pa) ‘micro-enterprise’ means an enterprise that employs fewer than 10 people and whose annual turnover or annual balance sheet total does not exceed EUR 2 million, in accordance with Commission Recommendation 2003/361/EC1a; _______________ 1aCommission Recommendation 2003/361/EC of 6 May 2003 concerning the definition of micro, small and medium-sized enterprises (OJ L 124, 20.5.2003, p. 36).
Amendment 247 #
Proposal for a regulation Article 2 – paragraph 1 – point q (q) '
Amendment 248 #
Proposal for a regulation Article 2 – paragraph 1 – point q (q) 'Member State competent authorities' means the designated one or more authorities with auditing competences and knowledge as regards raw materials and industrial processes and human rights, including the importance of defending the lives of women and children in conflict- affected and high-risks areas.
Amendment 249 #
Proposal for a regulation Article 2 – paragraph 1 – point q (q) 'Member State competent authorities' means the designated one or more authorities with auditing and investigation competences and knowledge as regards raw materials and industrial processes.
Amendment 25 #
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
Amendment 250 #
Proposal for a regulation Article 2 – paragraph 1 – point q (q) 'Member State competent authorities' means the designated one or more authorities with auditing and investigation competences and knowledge as regards raw materials and industrial processes.
Amendment 251 #
Proposal for a regulation Article 2 – paragraph 1 – point q q) 'Member State competent authorities' means
Amendment 252 #
Proposal for a regulation 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 253 #
Proposal for a regulation Article 2 – paragraph 1 – point q a (new) (qa) 'industry scheme' means a combination of voluntary supply chain due diligence procedures, tools or mechanisms, developed and overseen by relevant industry associations, including third-party conformity assessments;
Amendment 254 #
(qa) 'recycled metals' means reclaimed end-user or post-consumer products, or scrap processed metals created during product manufacturing; recycled metals include excess, obsolete, defective, and scrap metal materials which contain refined or processed metals that are appropriate to recycle in the production of tin, tantalum, tungsten and/or gold; minerals partially processed, unprocessed or a bi-product from another ore are not recycled metals;
Amendment 255 #
Proposal for a regulation 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 256 #
Proposal for a regulation Article 2 – paragraph 1 – point q b (new) (qb) 'industry scheme' means a combination of supply chain due diligence procedures, tools or mechanisms, developed and overseen by relevant industry associations, including third party audits;
Amendment 257 #
Proposal for a regulation 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 258 #
Proposal for a regulation Article 3 – title Amendment 259 #
Proposal for a regulation Article 3 – title Amendment 26 #
Proposal for a regulation Title Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL setting up a Union system for
Amendment 260 #
Proposal for a regulation Article 3 – title Amendment 261 #
Proposal for a regulation Article 3 – title Self-
Amendment 262 #
Proposal for a regulation Article 3 – title Amendment 263 #
Proposal for a regulation Article 3 – title Self-certification as a responsible
Amendment 264 #
Proposal for a regulation Article 3 – paragraph 1 1. Any importer of minerals or metals
Amendment 265 #
Proposal for a regulation Article 3 – paragraph 1 1.
Amendment 266 #
Proposal for a regulation Article 3 – paragraph 1 1.
Amendment 267 #
Proposal for a regulation Article 3 – paragraph 1 1. Any importer of minerals or metals within the scope of the Regulation may self-
Amendment 268 #
Proposal for a regulation Article 3 – paragraph 1 1. Any importer of minerals or metals within the scope of the Regulation
Amendment 269 #
Proposal for a regulation Article 3 – paragraph 1 1.
Amendment 27 #
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-
Amendment 270 #
Proposal for a regulation Article 3 – paragraph 1 1.
Amendment 271 #
Proposal for a regulation Article 3 – paragraph 1 1. Any
Amendment 272 #
Proposal for a regulation Article 3 – paragraph 1 – subparagraph 1 a (new) Micro-enterprises wishing to self-certify as responsible importers shall comply with the provisions set out in the following articles but shall be exempted from having to meet the obligations set out in Article 4(f)(iv) and (v) and (g)(v) and (vi), Article 5(b) and Article 7(2) and (3).
Amendment 273 #
Proposal for a regulation Article 3 – paragraph 2 Amendment 274 #
Proposal for a regulation Article 3 – paragraph 2 Amendment 275 #
Proposal for a regulation Article 3 – paragraph 2 Amendment 276 #
Proposal for a regulation Article 3 – paragraph 2 2. The
Amendment 277 #
Proposal for a regulation Article 3 – paragraph 2 Amendment 278 #
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-
Amendment 279 #
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
Amendment 28 #
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
Amendment 280 #
Proposal for a regulation Article 3 – paragraph 2 – subparagraph 1 a (new) Micro-enterprises shall not be covered by the scope of this Regulation and the obligations it lays down.
Amendment 281 #
Proposal for a regulation Article 3 a (new) Article 3a All importers of products containing minerals and metals within the scope of this Regulation shall prove to the competent Member State authority that the minerals and metals in question meet the requirements of this Regulation. Evidence of certification under the Dodd- Frank Act shall be regarded as proof of compliance.
Amendment 282 #
Proposal for a regulation Article 4 – paragraph 1 – introductory part Amendment 283 #
Proposal for a regulation Article 4 – paragraph 1 – introductory part Amendment 284 #
Proposal for a regulation Article 4 – paragraph 1 – introductory part The
Amendment 285 #
Proposal for a regulation Article 4 – paragraph 1 – introductory part Amendment 286 #
Proposal for a regulation Article 4 – paragraph 1 – introductory part The responsible
Amendment 287 #
Proposal for a regulation Article 4 – paragraph 1 – point a (a) adopt and clearly communicate to suppliers and the public its supply chain policy for the minerals and metals potentially originating from conflict- affected and high-risk areas,
Amendment 288 #
Proposal for a regulation Article 4 – paragraph 1 – point a (a) adopt and clearly communicate to suppliers and the public its supply chain policy for
Amendment 289 #
Proposal for a regulation Article 4 – paragraph 1 – point a (a) adopt and clearly communicate to suppliers and the public its supply chain policy for
Amendment 29 #
Proposal for a regulation Title 1 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
Amendment 290 #
Proposal for a regulation Article 4 – paragraph 1 – point a a)
Amendment 291 #
Proposal for a regulation Article 4 – paragraph 1 – point a (a) adopt and clearly and systematically communicate to suppliers and the public its supply chain policy for the
Amendment 292 #
Proposal for a regulation Article 4 – paragraph 1 – 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
Amendment 293 #
Proposal for a regulation Article 4 – paragraph 1 – 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
Amendment 294 #
Proposal for a regulation Article 4 – paragraph 1 – 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
Amendment 295 #
Proposal for a regulation Article 4 – paragraph 1 – 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,
Amendment 296 #
Proposal for a regulation Article 4 – paragraph 1 – 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,
Amendment 297 #
Proposal for a regulation Article 4 – paragraph 1 – point c a (new) (ca) establish a system of controls and transparency over the resources supply chain, including the identification of Annex Ia actors in the supply chain, which may be implemented through participation in industry-driven programmes,
Amendment 298 #
Proposal for a regulation 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
Amendment 299 #
Proposal for a regulation Article 4 – paragraph 1 – point d (d) strengthen its engagement with suppliers by incorporating its supply chain policy into contracts and agreements with suppliers consistent with Annex II to the OECD Due Diligence Guidance on a voluntary basis, where appropriate,
Amendment 30 #
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. 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 minerals is critical to peace and stability and human rights.
Amendment 300 #
Proposal for a regulation 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
Amendment 301 #
Proposal for a regulation 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 302 #
Proposal for a regulation Article 4 – paragraph 1 – point e (e) establish a company-level, or industry- wide, grievance mechanism as an early- warning risk-
Amendment 303 #
Proposal for a regulation Article 4 – paragraph 1 – point e (e) establish a company-level, or industry- wide, grievance mechanism as an early- warning risk-
Amendment 304 #
Proposal for a regulation Article 4 – paragraph 1 – point e (e) establish a company-level, or industry- wide, grievance mechanism as an early- warning risk-
Amendment 305 #
Proposal for a regulation Article 4 – paragraph 1 – point f Amendment 306 #
Proposal for a regulation Article 4 – paragraph 1 – point f Amendment 307 #
Proposal for a regulation Article 4 – paragraph 1 – point f – introductory part f) as regards minerals, operate a chain of custody or supply chain traceability system that
Amendment 308 #
Proposal for a regulation Article 4 – paragraph 1 – point f – introductory part (f)
Amendment 309 #
Proposal for a regulation Article 4 – paragraph 1 – point f – point i (i) description of the
Amendment 31 #
Proposal for a regulation Recital 1 (1) Natural
Amendment 310 #
Proposal for a regulation Article 4 – paragraph 1 – point f – point iii Amendment 311 #
Proposal for a regulation Article 4 – paragraph 1 – point f – point iii (iii) country of origin of the
Amendment 312 #
Proposal for a regulation Article 4 – paragraph 1 – point f – point iv Amendment 313 #
Proposal for a regulation Article 4 – paragraph 1 – point f – point iv (iv) quantities and dates of
Amendment 314 #
Proposal for a regulation Article 4 – paragraph 1 – point f – point v Amendment 315 #
Proposal for a regulation Article 4 – paragraph 1 – point f – point v (v) when
Amendment 316 #
Proposal for a regulation Article 4 – paragraph 1 – point g Amendment 317 #
Proposal for a regulation Article 4 – paragraph 1 – point g Amendment 318 #
Proposal for a regulation Article 4 – paragraph 1 – point g Amendment 319 #
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 listed in Annex V, 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.
Amendment 32 #
Proposal for a regulation Recital 1 (1) Natural
Amendment 320 #
Proposal for a regulation Article 4 – paragraph 1 a (new) In addition to the obligations set out in paragraph 1, Annex Ia 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 Ia 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.
Amendment 321 #
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.
Amendment 322 #
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.
Amendment 323 #
Proposal for a regulation 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 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 325 #
Proposal for a regulation Article 5 – paragraph 1 – introductory part 1.
Amendment 326 #
Proposal for a regulation Article 5 – paragraph 1 – introductory part 1.
Amendment 327 #
Proposal for a regulation Article 5 – paragraph 1 – introductory part 1. The
Amendment 328 #
Proposal for a regulation Article 5 – paragraph 1 – introductory part 1.
Amendment 329 #
Proposal for a regulation Article 5 – paragraph 1 – introductory part 1. The responsible
Amendment 33 #
Proposal for a regulation Recital 1 (1) Natural mineral resources in conflict- affected or high risk areas − although holding great potential for development –
Amendment 330 #
Proposal for a regulation Article 5 – paragraph 1 – point a Amendment 331 #
Proposal for a regulation Article 5 – paragraph 1 – point a Amendment 332 #
Proposal for a regulation Article 5 – paragraph 1 – point a (a) identify and assess the risks of adverse impacts in its
Amendment 333 #
Proposal for a regulation Article 5 – paragraph 1 – point b – introductory part (b) implement a strategy to respond to the identified risks
Amendment 334 #
Proposal for a regulation Article 5 – paragraph 1 – point b – introductory part (b) implement a strategy to respond to the identified risks
Amendment 335 #
Proposal for a regulation Article 5 – paragraph 1 – point b – introductory part (b) implement a strategy to respond to the identified risks
Amendment 336 #
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,
Amendment 337 #
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,
Amendment 338 #
Proposal for a regulation Article 5 – paragraph 1 – point b – point ii – introductory part (ii) devising and adopting a risk management
Amendment 339 #
Proposal for a regulation Article 5 – paragraph 1 – point b – point ii – introductory part (ii) devising and adopting a risk management
Amendment 34 #
Proposal for a regulation Recital 1 (1) Natural
Amendment 340 #
Proposal for a regulation Article 5 – paragraph 1 – point b – point ii – introductory part (ii) devising and adopting a risk management
Amendment 341 #
Proposal for a regulation Article 5 – paragraph 1 a (new) Amendment 342 #
Proposal for a regulation Article 5 – paragraph 1 a (new) 1a. Each operator other than an Annex Ia 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 Ia actors in its resources supply chain; (b) assessing, to its best efforts, the due diligence practices of those Annex Ia actors identified under paragraph 1(a) above on the basis of any available audited reports and/or, as appropriate, other relevant information;
Amendment 343 #
Proposal for a regulation Article 5 – paragraph 2 2. If a
Amendment 344 #
Proposal for a regulation Article 5 – paragraph 2 2. If a
Amendment 345 #
Proposal for a regulation Article 5 – paragraph 2 2. If a
Amendment 346 #
Proposal for a regulation Article 5 – paragraph 2 2. If a
Amendment 347 #
Proposal for a regulation Article 5 – paragraph 2 2. If a responsible
Amendment 348 #
Proposal for a regulation Article 5 – paragraph 3 3.
Amendment 349 #
Proposal for a regulation Article 5 – paragraph 3 3.
Amendment 35 #
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
Amendment 350 #
Proposal for a regulation Article 5 – paragraph 3 3. A
Amendment 351 #
Proposal for a regulation Article 5 – paragraph 3 3. A
Amendment 352 #
Proposal for a regulation Article 5 – paragraph 3 3. A responsible
Amendment 353 #
Proposal for a regulation 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 354 #
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 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 355 #
Proposal for a regulation Article 5 – paragraph 3 a (new) 3a. If an operator other than an Annex Ia 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 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 356 #
Proposal for a regulation 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 357 #
Proposal for a regulation Article 6 – paragraph 1 Amendment 358 #
Proposal for a regulation Article 6 – paragraph 1 Amendment 359 #
Proposal for a regulation Article 6 – paragraph 1 The
Amendment 36 #
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 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 360 #
Proposal for a regulation Article 6 – paragraph 1 Amendment 361 #
Proposal for a regulation Article 6 – paragraph 1 The responsible
Amendment 362 #
Proposal for a regulation Article 6 – paragraph 1 The responsible importer of the minerals or metals within the scope of this Regulation shall
Amendment 363 #
Proposal for a regulation Article 6 – paragraph 2 Amendment 364 #
Proposal for a regulation Article 6 – paragraph 2 – introductory part Amendment 365 #
Proposal for a regulation Article 6 – paragraph 2 – introductory part Amendment 366 #
Proposal for a regulation Article 6 – paragraph 2 – introductory part Amendment 367 #
Proposal for a regulation Article 6 – paragraph 2 – point a (a) include in the audit scope all of the responsible importer'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 importer's management system, risk management, health and safety of the mining operation including the safety of miners, and
Amendment 368 #
Proposal for a regulation Article 6 – paragraph 2 – point a (a) include in the audit scope all of the
Amendment 369 #
Proposal for a regulation Article 6 – paragraph 2 – point a (a) include in the audit scope all of the
Amendment 37 #
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 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 370 #
Proposal for a regulation Article 6 – paragraph 2 – point a (a) include in the audit scope all of the
Amendment 371 #
Proposal for a regulation Article 6 – paragraph 2 – point a (a) include in the audit scope all of the
Amendment 372 #
Proposal for a regulation Article 6 – paragraph 2 – point a (a) include in the audit scope all of the responsible
Amendment 373 #
Proposal for a regulation Article 6 – paragraph 2 – point b (b) determine as the objective of the audit the conformity of the
Amendment 374 #
Proposal for a regulation Article 6 – paragraph 2 – point b (b) determine as the objective of the audit the conformity of the
Amendment 375 #
Proposal for a regulation Article 6 – paragraph 2 – point b (b) determine as the objective of the audit the conformity of the
Amendment 376 #
Proposal for a regulation Article 6 – paragraph 2 – point b (b) determine as the objective of the audit the conformity of the
Amendment 377 #
Proposal for a regulation Article 6 – paragraph 2 – point b (b) determine as the objective of the audit the conformity of the responsible
Amendment 378 #
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
Amendment 379 #
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.
Amendment 38 #
Proposal for a regulation 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 380 #
Proposal for a regulation Article 6 – paragraph 2 – point c (c) respect the audit principles of
Amendment 381 #
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 paragraph 2.
Amendment 382 #
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 paragraph 2.
Amendment 383 #
Proposal for a regulation 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 384 #
Proposal for a regulation Article 6 a (new) Amendment 385 #
Proposal for a regulation Article 6 b (new) Article 6 b Notification of conformity assessment bodies 1. Member States shall notify the Commission and the other Member States of bodies authorised to carry out third- party conformity assessment tasks under this regulation. 2. The Commission shall make publicly available the list of the bodies notified under this Regulation, including the identification numbers that have been allocated to them and the activities for which they have been notified. The Commission shall ensure that that list is kept up to date. 3. Member States may notify only conformity assessment bodies which have satisfied the requirements laid down in Article 6c. 4. Conformity assessment bodies that are accredited in accordance with Regulation (EC) No 765/2008 against an appropriate harmonised accreditation standard for carrying out conformity assessment based on a designated conformity assessment scheme, shall be presumed to comply with the requirements in Article 6c. 5. Where a notifying authority has ascertained or has been informed that a notified body no longer meets the requirements laid down in Article 6c, or that it is failing to fulfil its obligations, the notifying authority shall restrict, suspend or withdraw notification as appropriate, depending on the seriousness of the failure to meet those requirements or fulfil those obligations. It shall immediately inform the Commission and the other Member States accordingly. 6. In the event of restriction, suspension or withdrawal of notification, or where the notified body has ceased its activity, the notifying Member State shall take appropriate steps to ensure that the files of that body are either processed by another notified body or kept available for the responsible notifying Member State competent authorities at their request.
Amendment 386 #
Proposal for a regulation Article 6 c (new) Amendment 387 #
Proposal for a regulation Article 6 d (new) Article 6 d Obligations of notified conformity assessment bodies 1. The notified conformity assessment body shall carry out the conformity assessment in accordance with a certification scheme designated in accordance with article 6a . 2. Where a notified conformity assessment body finds that requirements laid down in the certification scheme have not been met by an importer, it shall require that importer to take appropriate corrective measures and shall not issue a certificate. 3. Where, in the course of the monitoring of conformity following the issue of a certificate, a notified conformity assessment body finds that a product no longer complies, it shall require the importer to take appropriate corrective measures and shall suspend or withdraw the certificate if necessary. 4. Where corrective measures are not taken or do not have the required effect, the notified conformity assessment body shall restrict, suspend or withdraw any certificates, as appropriate.
Amendment 388 #
Proposal for a regulation Article 7 – paragraph 1 – introductory part 1. By 31 March of each year at the latest,
Amendment 389 #
Proposal for a regulation Article 7 – paragraph 1 – introductory part 1. By 31 March of each year at the latest,
Amendment 39 #
Proposal for a regulation Recital 1 b (new) (1b) 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 390 #
Proposal for a regulation Article 7 – paragraph 1 – introductory part 1. By 31 March of each year at the latest, the
Amendment 391 #
Proposal for a regulation Article 7 – paragraph 1 – introductory part 1. By 31 March of each year at the latest,
Amendment 392 #
Proposal for a regulation Article 7 – paragraph 1 – introductory part 1. By 31 March of each year at the latest, the responsible
Amendment 393 #
Proposal for a regulation Article 7 – paragraph 1 – point a Amendment 394 #
Proposal for a regulation Article 7 – paragraph 1 – point c Amendment 395 #
Proposal for a regulation Article 7 – paragraph 1 – point c Amendment 396 #
Proposal for a regulation Article 7 – paragraph 1 – point c Amendment 397 #
Proposal for a regulation Article 7 – paragraph 1 – point c (c)
Amendment 398 #
Proposal for a regulation Article 7 – paragraph 2 2. By 31 March of each year at the latest,
Amendment 399 #
Proposal for a regulation Article 7 – paragraph 2 2. By 31 March of each year at the latest,
Amendment 40 #
Proposal for a regulation Recital 1 b (new) (1b) 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 400 #
Proposal for a regulation Article 7 – paragraph 2 2. By 31 March of each year at the latest,
Amendment 401 #
Proposal for a regulation Article 7 – paragraph 2 2. By 31 March of each year at the latest, the responsible
Amendment 402 #
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;
Amendment 403 #
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;
Amendment 404 #
Proposal for a regulation Article 7 – paragraph 2 – point c (new) (c) name and address of each of the Annex Ia actors in its supply chain, as identified by the operator in accordance with Article 4 and 5;
Amendment 405 #
Proposal for a regulation Article 7 – paragraph 2 – point d (new) (d) independent third-party audits regarding each of the Annex Ia 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;
Amendment 406 #
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;
Amendment 407 #
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.
Amendment 408 #
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;
Amendment 409 #
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;
Amendment 41 #
Proposal for a regulation 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 410 #
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;
Amendment 411 #
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;
Amendment 412 #
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;
Amendment 413 #
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.
Amendment 414 #
Proposal for a regulation Article 7 – paragraph 3 – introductory part 3. By 31 March of each year at the latest,
Amendment 415 #
Proposal for a regulation Article 7 – paragraph 3 – introductory part 3. By 31 March of each year at the latest,
Amendment 416 #
Proposal for a regulation Article 7 – paragraph 3 – introductory part 3. By 31 March of each year at the latest, the
Amendment 417 #
Proposal for a regulation Article 7 – paragraph 3 – introductory part 3. By 31 March of each year at the latest,
Amendment 418 #
Proposal for a regulation Article 7 – paragraph 3 – introductory part 3. By 31 March of each year at the latest, the responsible
Amendment 419 #
Proposal for a regulation Article 7 – paragraph 3 – point a Amendment 42 #
Proposal for a regulation 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 420 #
Proposal for a regulation Article 7 – paragraph 3 – point a Amendment 421 #
Proposal for a regulation Article 7 – paragraph 3 – point a Amendment 422 #
Proposal for a regulation Article 7 – paragraph 3 – point a (a) name and address of each of the
Amendment 423 #
Proposal for a regulation Article 7 – paragraph 3 – point b (b) independent third-party audits
Amendment 424 #
Proposal for a regulation Article 7 – paragraph 3 – point b (b) independent third-party audits
Amendment 425 #
Proposal for a regulation Article 7 – paragraph 3 – point b (b) independent third-party audits regarding each of the
Amendment 426 #
Proposal for a regulation Article 7 – paragraph 3 – point b (b) independent third-party audits
Amendment 427 #
Proposal for a regulation Article 7 – paragraph 3 – point b (b) certificates of the independent third- party
Amendment 428 #
Proposal for a regulation Article 7 – paragraph 3 – point c (c) information on the proportion of
Amendment 429 #
Proposal for a regulation Article 7 – paragraph 3 – point c (c) information on the proportion of
Amendment 43 #
Proposal for a regulation Recital 2 (2) The issue concerns resource-rich are
Amendment 430 #
Proposal for a regulation Article 7 – paragraph 3 – point c (c) information on the proportion of
Amendment 431 #
Proposal for a regulation Article 7 – paragraph 4 4.
Amendment 432 #
Proposal for a regulation Article 7 – paragraph 4 4.
Amendment 433 #
Proposal for a regulation Article 7 – paragraph 4 4. The
Amendment 434 #
Proposal for a regulation Article 7 – paragraph 4 4.
Amendment 435 #
Proposal for a regulation Article 7 – paragraph 4 4. The responsible
Amendment 436 #
Proposal for a regulation Article 7 – paragraph 5 5.
Amendment 437 #
Proposal for a regulation Article 7 – paragraph 5 5.
Amendment 438 #
Proposal for a regulation Article 7 – paragraph 5 5. The
Amendment 439 #
Proposal for a regulation Article 7 – paragraph 5 5.
Amendment 44 #
Proposal for a regulation 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 440 #
Proposal for a regulation Article 7 – paragraph 5 5. The responsible
Amendment 441 #
Proposal for a regulation Article 7 – paragraph 6 a (new) 6a. Responsible Annex II 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 442 #
Proposal for a regulation Article 7 – paragraph 6 a (new) 6a. Responsible Annex Ia 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 443 #
Proposal for a regulation 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 444 #
Proposal for a regulation Article 7 a (new) Article 7a Due diligence obligations applicable to smelters and refiners 1. European smelters and refiners which process and import minerals and concentrates thereof shall have an obligation to apply the European due diligence system with regard to the supply chain or a due diligence system recognised as equivalent by the certification authorities of the European Union. 2. The certification authorities of the European Union shall ensure the proper application of the European due diligence system by smelters and refiners. If there is a failure to comply with these obligations, the authorities shall notify the fact to the smelter or refiner, and shall ask them to take corrective measures in order to comply with the European due diligence system. In the event of a persistent failure to comply, the certification authorities of the European Union shall impose penalties for infringement of this regulation. These penalties shall cease when the smelter or refiner complies with the provisions of this regulation.
Amendment 445 #
Proposal for a regulation Article 7 a (new) Amendment 446 #
Proposal for a regulation Article 7 a (new) Article 7 a Industry schemes 1. During the transitional period, relevant industry associations may submit an application to the Commission to have an industry scheme accredited under the requirements of this Regulation. Such application shall be supported by evidence and information. 2. Applications referred to in paragraph 1 may only be made in respect of industry schemes existing at the time of entry into force of this Regulation. 3. Where, on the basis of the evidence and information provided pursuant to paragraph 1 of this Article, the Commission determines that the industry scheme, when effectively implemented by a responsible importer, enables that responsible importer to comply with its obligations under Articles 4, 5, 6 and 7, it shall grant the accreditation. 4. Interested parties shall inform the Commission of any changes or updates made to industry schemes for which the accreditation has been granted in accordance with paragraph 3. 5. The Commission shall withdraw the accreditation where it has determined that changes to an industry scheme compromise a responsible importer's ability to comply with its obligations under Articles 4, 5, 6 and 7, or where repeated or significant cases of non- compliance by responsible importers relate to deficiencies in the scheme. 6. The Commission shall establish and keep up-to-date an internet-based register of industry schemes to which the accreditation has been granted. 7. Responsible importers of minerals and metals that can be proven to have been sourced exclusively from parties that have been certified by an industry scheme for which the accreditation has been granted or that have themselves been certified by an industry scheme for which the accreditation has been granted shall be exempted from the independent third party audit. Such certification shall then be sent to the competent authorities.
Amendment 447 #
Proposal for a regulation Article 8 – title List of responsible
Amendment 448 #
Proposal for a regulation Article 8 – title List of responsible
Amendment 449 #
Proposal for a regulation Article 8 – title List of responsible
Amendment 45 #
Proposal for a regulation Recital 2 (2) The issue concerns resource-rich regions where the challenge posed by the desire to
Amendment 450 #
Proposal for a regulation Article 8 – paragraph 1 1. On the basis of the information provided by the
Amendment 451 #
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
Amendment 452 #
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
Amendment 453 #
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, both on the internet and through appropriate information and communication channels, a
Amendment 454 #
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
Amendment 455 #
Proposal for a regulation Article 8 – paragraph 2 2. The Commission shall identify on the list referred to in paragraph 1 those responsible
Amendment 456 #
Proposal for a regulation Article 8 – paragraph 2 2. The Commission shall identify on the list referred to in paragraph 1 those
Amendment 457 #
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 refiners that source – at least partially – from conflict- affected and high-risk areas. This list shall be drawn up taking into account existing equivalent industry, governmental or other due diligence schemes covering the minerals and metals within the scope of this Regulation as set out in Annex I.
Amendment 458 #
Proposal for a regulation Article 8 – paragraph 2 2. The Commission shall identify on the list referred to in paragraph 1 those responsible
Amendment 459 #
Proposal for a regulation Article 8 – paragraph 3 3. The Commission shall adopt the list in accordance with the template in Annex II
Amendment 46 #
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
Amendment 460 #
Proposal for a regulation Article 8 – paragraph 3 3. The Commission shall adopt the list in accordance with the template in Annex II
Amendment 461 #
Proposal for a regulation 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
Amendment 462 #
Proposal for a regulation 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
Amendment 463 #
Proposal for a regulation 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
Amendment 464 #
Proposal for a regulation Article 8 – paragraph 4 4. The Commission shall update the information included in the list in a timely manner. The Commission shall remove from the list the names of the smelters and refiners that are no longer recognised as responsible importers 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
Amendment 466 #
Proposal for a regulation Article 9 – paragraph 1 – subparagraph 1 Amendment 467 #
Proposal for a regulation Article 9 – paragraph 1 – subparagraph 1 Each Member State shall designate one or more competent authorities
Amendment 468 #
Proposal for a regulation Article 9 – paragraph 1 – subparagraph 2 Amendment 469 #
Proposal for a regulation Article 9 – paragraph 2 2. The Commission shall
Amendment 47 #
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 )
Amendment 470 #
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
Amendment 471 #
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
Amendment 472 #
Proposal for a regulation Article 10 – title Ex-post checks on
Amendment 473 #
Proposal for a regulation Article 10 – title Ex-post checks on
Amendment 474 #
Proposal for a regulation Article 10 – title Ex-post checks on
Amendment 475 #
Proposal for a regulation Article 10 – title Ex-post checks on responsible
Amendment 476 #
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
Amendment 477 #
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
Amendment 478 #
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
Amendment 479 #
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-
Amendment 48 #
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 are
Amendment 480 #
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
Amendment 481 #
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
Amendment 482 #
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
Amendment 483 #
Proposal for a regulation Article 10 – paragraph 2 2. The checks referred to in paragraph 1 shall be conducted
Amendment 484 #
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
Amendment 485 #
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,
Amendment 486 #
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
Amendment 487 #
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
Amendment 488 #
Proposal for a regulation Article 10 – paragraph 3 – point a (a) examination of the
Amendment 489 #
Proposal for a regulation Article 10 – paragraph 3 – point a (a) examination of the
Amendment 49 #
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 )
Amendment 490 #
Proposal for a regulation Article 10 – paragraph 3 – point a (a) examination of the
Amendment 491 #
Proposal for a regulation Article 10 – paragraph 3 – point a (a) examination of the
Amendment 492 #
Proposal for a regulation Article 10 – paragraph 3 – point a (a) examination of the responsible
Amendment 493 #
Proposal for a regulation Article 10 – paragraph 3 – point b (b) examination of documentation and records that demonstrate
Amendment 494 #
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,
Amendment 495 #
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,
Amendment 496 #
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,
Amendment 497 #
Proposal for a regulation Article 10 – paragraph 4 4.
Amendment 498 #
Proposal for a regulation Article 10 – paragraph 4 4.
Amendment 499 #
Proposal for a regulation Article 10 – paragraph 4 4.
Amendment 50 #
Proposal for a regulation Recital 4 (4) The concept of responsible sourcing is referred to in the updated OECD Guidelines for Multinational Enterprises6 and is in line with the United Nations (UN) Guiding Principles on Business and Human Rights7 . These documents aim at advancing supply chain due diligence practices when businesses source from are
Amendment 500 #
Proposal for a regulation Article 10 – paragraph 4 4.
Amendment 501 #
Proposal for a regulation Article 10 – paragraph 4 4. Responsible
Amendment 502 #
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.
Amendment 503 #
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.
Amendment 504 #
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.
Amendment 505 #
Proposal for a regulation Article 11 – title Records of checks on
Amendment 506 #
Proposal for a regulation Article 11 – title Records of checks on
Amendment 507 #
Proposal for a regulation Article 11 – title Records of checks on
Amendment 508 #
Proposal for a regulation Article 11 – paragraph 1 The EU-wide competent authorit
Amendment 509 #
Proposal for a regulation Article 11 – paragraph 2 Records of the EU-wide competent authorit
Amendment 51 #
Proposal for a regulation Recital 5 a (new) (5a) This regulation is one of the ways of eliminating the financing of armed groups by the above conflict minerals; this does not alter the fact that the European Union’s foreign and development policy actions must focus on countering local corruption and the porosity of borders and on providing training for local people and their representatives in order to demonstrate their abuses.
Amendment 510 #
Proposal for a regulation Article 11 a (new) Article 11a Establishment of a ‘European responsible supply chain label for imports of minerals’, for use by undertakings operating downstream of the mineral supply chain 1. Undertakings operating downstream of the mineral supply chain which decide to establish due diligence arrangements based on the OECD Guidance or on equivalent sectoral due diligence initiatives shall be awarded a ‘European responsible supply chain label for imports of minerals’ by the Commission. 2. European undertakings which wish to receive certification shall submit a file to the Commission detailing the due diligence measures which they are establishing. 3. On the basis of predetermined criteria, the Commission shall certify European undertakings operating downstream of the mineral supply chain. The Commission, taking as a basis the OECD Due Diligence Guidance, shall define the criteria for awarding the label, for which purpose it may consult the secretariat of the OECD. The conditions for awarding the ‘European responsible supply chain label for imports of minerals’ must be as strict as those required by the OECD certification system. 4. The Commission may recognise equivalence between the European due diligence system and the sectoral due diligence arrangements already established by sectors of industry which serve the same purposes of securing the mineral supply chain as the European system. 5. Undertakings which have been awarded the ‘European responsible supply chain label for imports of minerals’ shall be encouraged to display this label on their websites and to inform European consumers of the fact.
Amendment 511 #
Proposal for a regulation Article 12 – paragraph 1 1.
Amendment 512 #
Proposal for a regulation Article 12 – paragraph 1 1. Competent authorities shall exchange information, including with their respective customs authorities, on matters pertaining to
Amendment 513 #
Proposal for a regulation Article 12 – paragraph 2 2.
Amendment 514 #
Proposal for a regulation Article 12 – paragraph 3 3. Cooperation between
Amendment 515 #
Proposal for a regulation Article 12 a (new) Article 12 a Lists of resources and choke points 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 Ia, 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 Ia 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 shall be empowered to adopt delegated acts in order to amend Annex I and Ia in accordance with the procedure referred to in Article 13.
Amendment 517 #
Proposal for a regulation Article 13 – title Amendment 519 #
Proposal for a regulation Article 13 – paragraph 1 1. The
Amendment 52 #
Proposal for a regulation Recital 6 Amendment 520 #
Proposal for a regulation Article 13 – paragraph 1 1. The
Amendment 521 #
Proposal for a regulation Article 13 – paragraph 1 1. The
Amendment 522 #
Proposal for a regulation Article 13 – paragraph 1 a (new) 1a. The power to adopt delegated acts referred to in relevant Articles shall be conferred to the Commission for a period of 5 years’ time from (Date of entry into force of the basic legislative act or any other date set by the legislator).
Amendment 523 #
Proposal for a regulation Article 13 – paragraph 1 a (new) 1a. The power to adopt delegated acts referred to in Article 14 shall be conferred to the Commission for an indeterminate period of time from the date that this Regulation enters into force.
Amendment 524 #
Proposal for a regulation Article 13 – paragraph 1 a (new) 1a. The committee shall in particular be mindful of possible equivalent arrangements in the Dodd-Frank Act, when this Regulation is implemented, so that there are no dual certification requirements.
Amendment 525 #
Proposal for a regulation Article 13 – paragraph 1 b (new) 1b. The delegation of powers referred to in 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.
Amendment 526 #
Proposal for a regulation Article 13 – paragraph 1 b (new) 1b. The delegation of powers referred to in Article 14 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 527 #
Proposal for a regulation Article 13 – paragraph 1 c (new) 1c. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
Amendment 528 #
Proposal for a regulation Article 13 – paragraph 1 c (new) 1c. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
Amendment 529 #
Proposal for a regulation Article 13 – paragraph 1 d (new) Amendment 53 #
Proposal for a regulation Recital 6 Amendment 530 #
Proposal for a regulation Article 13 – paragraph 1 d (new) 1d. A delegated act adopted pursuant to Articles 14 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 531 #
Proposal for a regulation Article 13 – paragraph 2 Amendment 532 #
Proposal for a regulation Article 13 – paragraph 2 Amendment 533 #
Proposal for a regulation Article 13 – paragraph 2 – subparagraph 1 Amendment 534 #
Proposal for a regulation 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 535 #
Proposal for a regulation Article 13 – paragraph 2 – subparagraph 2 Amendment 536 #
Proposal for a regulation Article 13 – paragraph 2 – subparagraph 2 Amendment 537 #
Proposal for a regulation Article 13 – paragraph 2 – subparagraph 2 a (new) Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.
Amendment 538 #
Proposal for a regulation 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) 2b. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the European Parliament and to the Council.
Amendment 54 #
Proposal for a regulation Recital 6 Amendment 540 #
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 Article 13 bis1. 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.
Amendment 541 #
Proposal for a regulation 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 542 #
Proposal for a regulation Article 14 – title Rules applicable to infringement and penalties
Amendment 543 #
Proposal for a regulation Article 14 – paragraph 1 1. The
Amendment 544 #
Proposal for a regulation Article 14 – paragraph 1 1. The Member States shall lay down the rules on penalties applicable to infringements of the provisions of this Regulation and shall take the measures necessary to ensure that they are implemented and enforced. The penalties provided for must be effective, proportionate and dissuasive.
Amendment 545 #
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
Amendment 546 #
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
Amendment 547 #
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
Amendment 548 #
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
Amendment 549 #
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
Amendment 55 #
Proposal for a regulation Recital 7 (7) On
Amendment 550 #
Proposal for a regulation Article 14 – paragraph 3 3. In case of inadequate remedial action by the
Amendment 551 #
Proposal for a regulation Article 14 – paragraph 3 3. In case of inadequate remedial action by the
Amendment 552 #
Proposal for a regulation Article 14 – paragraph 3 3. In case of inadequate remedial action by the
Amendment 553 #
Proposal for a regulation Article 14 – paragraph 3 3. In case of inadequate remedial action by the responsible
Amendment 554 #
Proposal for a regulation Article 14 a (new) Article 14 a EU accompanying measures Within six months of the adoption of this Regulation, the Commission shall submit to the European Parliament and the Council a legislative proposal for the adoption of accompanying measures, in the form of aids and incentives, to promote full participation by companies in responsible sourcing and compliance with the obligations laid down in this Regulation, taking due account of the specific needs and difficulties of small and medium-sized enterprises.
Amendment 555 #
Proposal for a regulation Article 15 – paragraph 1 1. Member States shall submit to the Commission by 30 June of each year at the
Amendment 556 #
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
Amendment 557 #
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
Amendment 558 #
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
Amendment 559 #
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
Amendment 56 #
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 Commission is requested to bring forward binding legislation on conflict minerals. (EP 2013/2126(INI))
Amendment 560 #
Proposal for a regulation Article 15 – paragraph 3 3. T
Amendment 561 #
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
Amendment 562 #
Proposal for a regulation Article 15 – paragraph 3 3. Three years after the date of entry into force of this Regulation and every
Amendment 563 #
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 according to paragraph 1 (a). 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.
Amendment 564 #
Proposal for a regulation Article 15 a (new) Amendment 565 #
Proposal for a regulation Article 15 a (new) Amendment 566 #
Proposal for a regulation Article 16 – paragraph 1 a (new) This Regulation shall apply from...* ___________________________ *OJ: Please insert the date: two years after the date of entry into force of this regulation
Amendment 567 #
Proposal for a regulation Article 16 – paragraph 1 a (new) It shall apply from....*. _______________________ *OJ: Please insert the date: 18 months after the date of entry into force of this Regulation.
Amendment 568 #
Proposal for a regulation Annex I – product description – rows 17 a to 17 n (new) Chrome Hard coal Cobalt Copper Diamonds Gold Jade Lapis Lazuli Rare Earths Rubies Sapphire Tantalum Tin Tungsten
Amendment 569 #
Proposal for a regulation Annex I List of
Amendment 57 #
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 Commission is requested to bring forward binding legislation on conflict minerals.
Amendment 570 #
Proposal for a regulation Annex I Amendment 571 #
Proposal for a regulation Annex I a (new) Annex I a List of choke points identified in the supply chains of covered resources -‘smelters’ -‘refiners’
Amendment 572 #
Proposal for a regulation Annex II – Title List of responsible
Amendment 573 #
Proposal for a regulation Annex II Column A: Name of
Amendment 574 #
Proposal for a regulation Annex II a (new) Annex II a List of choke points identified in the supply chains of covered resources - 'smelters' - 'refiners' - 'foundries' - 'raw material exchanges' - 'diamond and gemstone exchanges'
Amendment 575 #
Proposal for a regulation 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
Amendment 576 #
Proposal for a regulation Annex II b (new) Annex IIb List of responsible Annex II actors Column A: Name of Annex II actor in alphabetical order Column B: Address of Annex II actor Column C: Annex II category of the actor Column D: Indicator, if the Annex II actor engages in responsible sourcing of resources originating from conflict- affected and high-risk areas
Amendment 58 #
Proposal for a regulation Recital 7 a (new) (7a) When implementing provisions are drawn up, steps should be taken to ensure that certification under the Dodd-Frank Act is acknowledged as proof of compliance within the meaning of this Regulation.
Amendment 59 #
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 Commission is requested to bring forward binding legislation on conflict minerals.
Amendment 60 #
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 minerals from conflict regions. The consequence is that such minerals, 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 61 #
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
Amendment 62 #
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
Amendment 63 #
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
Amendment 64 #
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 minerals from conflict are
Amendment 65 #
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
Amendment 66 #
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.
Amendment 67 #
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.
Amendment 68 #
Proposal for a regulation Recital 9 (9) In the context of this Regulation, supply chain due diligence is an on-going, proactive and reactive process through which
Amendment 69 #
Proposal for a regulation Recital 9 (9) In the context of this Regulation, 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 do not contribute to conflict and adverse impacts thereof. This Regulation should ensure that the nexus between conflict and illegal exploitation is broken, without undermining the economic importance of the trade in tin, tantalum, tungsten and gold for the development of the countries concerned.
Amendment 70 #
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.
Amendment 71 #
Proposal for a regulation Recital 9 a (new) (9a) 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 72 #
Proposal for a regulation Recital 9 a (new) Amendment 73 #
Proposal for a regulation 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 74 #
Proposal for a regulation Recital 9 b (new) (9b) 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 75 #
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.
Amendment 76 #
Proposal for a regulation 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 77 #
Proposal for a regulation Recital 10 Amendment 78 #
Proposal for a regulation Recital 10 Amendment 79 #
Proposal for a regulation Recital 10 Amendment 80 #
Proposal for a regulation Recital 10 (10) Third-party auditing of a company's compliance with the OECD Guidance on supply chain due diligence practices ensures credibility for the benefit of downstream companies and contributes to the improvement of the upstream due diligence practices.
Amendment 81 #
Proposal for a regulation Recital 11 (11) Public reporting by a company on its supply chain due diligence policies and practices provides the necessary transparency to generate public confidence in the measures companies are taking, which are often an element in Corporate Social Responsibility (CSR).
Amendment 82 #
Proposal for a regulation Recital 11 a (new) (11a) The Commission shall propose a list of conflict-affected and high-risk areas after the consultation of a committee consisting of Member States and industry representatives. The relevant Committee shall add or withdraw entries from the list of conflict affected and high-risk areas after a reasonable period of time.
Amendment 83 #
Proposal for a regulation Recital 11 a (new) (11a) Many existing and possible future supply chain due diligence systems could contribute to achieving the aims of the Regulation. There already exist industry schemes aimed at breaking the link between conflict and the sourcing of tin, tantalum, tungsten and gold. These schemes use independent third-party audits to certify smelters and refiners with systems in place to assure sourcing of only conflict free minerals. There is mutual recognition between these schemes that is taken into account in the Union system. However, the criteria and procedures for the recognition of such schemes need to be clarified to allow for respect for high standards and the avoidance of double auditing.
Amendment 84 #
Proposal for a regulation Recital 11 a (new) (11a) Many already existing voluntary supply chain due diligence systems could contribute to achieving the aims of the Regulation. The criteria and procedures for the recognition and certification of such schemes need to be clarified to allow for respect for high standards and the avoidance of unnecessary double auditing.
Amendment 85 #
Proposal for a regulation Recital 11 a (new) (11a) Many existing supply chain due diligence systems could contribute to achieving the aims of the Regulation. However, the criteria and procedures for the recognition of such schemes need to be clarified to allow for respect for high standards and the avoidance of double auditing.
Amendment 86 #
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.
Amendment 87 #
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.
Amendment 88 #
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
Amendment 89 #
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
Amendment 90 #
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.
Amendment 91 #
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 aware or ethically unconcerned. The cost and administrative consequences of responsible sourcing and their potential impact on competitiveness notably on SMEs should be monitored by the Commission
Amendment 92 #
Proposal for a regulation Recital 12 a (new) (12a) In line with the OECD Due Diligence Guidance, a flexible approach needs to be taken to the challenges arising in connection with due diligence: the nature and scope of the obligations must be in keeping with the specific characteristics of responsible importers, with regard to the size of each company, its place of business, the situation in the relevant country, and the sector and type of products and services involved. Micro- enterprises should therefore not come within the scope of this Regulation.
Amendment 93 #
Proposal for a regulation Recital 12 a (new) (12a) European businesses which voluntarily establish a responsible sourcing system for minerals will be certified by the Commission by means of a label.
Amendment 94 #
Proposal for a regulation Recital 12 a (new) (12a) The Commission, in collaboration with the EEAS, should produce a publicly available handbook for companies explaining how best to apply the criteria for those areas that may fall within the scope of this Regulation. This is important to create clarity and certainty for, and consistency among, economic operators, in particular SMEs.
Amendment 95 #
Proposal for a regulation Recital 12 b (new) (12b) In the Joint Communication of 5 March 20141a, the Commission and the Vice-President of the Commission/High Representative of the Union for Foreign Affairs and Security Policy outlined plans for the implementation of accompanying measures designed to encourage responsible sourcing and thus secure a high level of participation by companies, taking due account of the costs that due diligence entails, in particular for SMEs and micro-enterprises. __________________ 1aJoint Communication of 5 March 2014 to the European Parliament and the Council on responsible sourcing of minerals originating in conflict-affected and high-risk areas (JOIN(2014)0008).
Amendment 96 #
Proposal for a regulation Recital 13 (13) Smelters and refiners are
Amendment 97 #
Proposal for a regulation Recital 13 (13) Smelters and refiners are
Amendment 98 #
Proposal for a regulation Recital 13 (13) Smelters and refiners are an important point 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. The Commission should make the Union list easily available to the public, in order to increase visibility and public awareness of the existence, efficacy and functioning of the system of self-certification.
Amendment 99 #
Proposal for a regulation Recital 13 (13) Smelters and refiners are an important point 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
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2014-09-24Show (2) Changes | Timetravel
| activities/1/committees/3/shadows/0 |
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2014-09-12Show (6) Changes | Timetravel
| activities/1/committees/3/date |
2014-09-03T00:00:00
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| activities/1/committees/3/rapporteur |
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| activities/1/committees/3/shadows/0 |
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| committees/3/date |
2014-09-03T00:00:00
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2014-09-03Show (2) Changes | Timetravel
| activities/1/committees/3 |
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2014-07-07Show (1) Changes | Timetravel
| procedure/dossier_of_the_committee |
Old
INTA/7/15402New
INTA/8/00381 |
2014-04-11Show (2) Changes | Timetravel
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2014-04-05Show (2) Changes | Timetravel
| activities/0/docs/0/text |
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| activities/0/docs/0/url |
Old
http://old.eur-lex.europa.eu/smartapi/cgi/sga_doc?smartapi!celexplus!prod!DocNumber&lg=EN&type_doc=COMfinal&an_doc=2014&nu_doc=0111New
http://eur-lex.europa.eu/smartapi/cgi/sga_doc?smartapi!celexplus!prod!DocNumber&lg=EN&type_doc=COMfinal&an_doc=2014&nu_doc=0111 |
2014-03-26Show (1) Changes | Timetravel
| activities/0/docs/0/url |
Old
http://eur-lex.europa.eu/smartapi/cgi/sga_doc?smartapi!celexplus!prod!DocNumber&lg=EN&type_doc=COMfinal&an_doc=2014&nu_doc=0111New
http://old.eur-lex.europa.eu/smartapi/cgi/sga_doc?smartapi!celexplus!prod!DocNumber&lg=EN&type_doc=COMfinal&an_doc=2014&nu_doc=0111 |
2014-03-18Show (5) Changes
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| procedure |
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