# C_2016353EN.01017301.xml

| 27.9.2016 | EN | Official Journal of the European Union | C 353/173 |
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27.9.2016

EN

Official Journal of the European Union

C 353/173

---

P8_TA(2015)0204

Union system for self-certification of importers of certain minerals and metals originating in conflict-affected and high-risk areas ***I

Amendments adopted by the European Parliament on 20 May 2015 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 (COM(2014)0111 — C7-0092/2014 — 2014/0059(COD)) (1)

1

(Ordinary legislative procedure: first reading)

(2016/C 353/28)

Amendment 1

Amendment 1

Proposal for a regulation

Proposal for a regulation

Recital 1

Recital 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| (1) | Natural mineral resources in conflict-affected or high risk areas — although holding great potential for development — can be a cause of dispute where their revenues are fuelling the outbreak or continuation of violent conflict, undermining
  national
  endeavours towards development, good governance and the rule of law. In these areas, breaking the nexus between conflict and illegal exploitation of minerals is critical
  to
  peace and stability. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(1)

Natural mineral resources in conflict-affected or high risk areas — although holding great potential for development — can be a cause of dispute where their revenues are fuelling the outbreak or continuation of violent conflict, undermining
  national
  endeavours towards development, good governance and the rule of law. In these areas, breaking the nexus between conflict and illegal exploitation of minerals is critical
  to
  peace and stability.

national

to

| (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 endeavours towards development, good governance and the rule of law. In these areas, breaking the nexus between conflict and illegal exploitation of minerals is
  a
  critical
  element in guaranteeing
  peace
  , development
  and stability. |
| --- | --- |

(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 endeavours towards development, good governance and the rule of law. In these areas, breaking the nexus between conflict and illegal exploitation of minerals is
  a
  critical
  element in guaranteeing
  peace
  , development
  and stability.

a

element in guaranteeing

, development

Amendment 2

Amendment 2

Proposal for a regulation

Proposal for a regulation

Recital 1 a (new)

Recital 1 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (1a) | Human rights abuses are common within the extractive industry and may include child labour, sexual violence, enforced disappearance, forced resettlement and the destruction of ritually or culturally significant sites. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(1a)

(1a)

Human rights abuses are common within the extractive industry and may include child labour, sexual violence, enforced disappearance, forced resettlement and the destruction of ritually or culturally significant sites.

Human rights abuses are common within the extractive industry and may include child labour, sexual violence, enforced disappearance, forced resettlement and the destruction of ritually or culturally significant sites.

Amendment 3

Amendment 3

Proposal for a regulation

Proposal for a regulation

Recital 2

Recital 2

| Text proposed by the Commission | Amendment |
| --- | --- |
| (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. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(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.

regions

minimise

| (2) | The issue concerns resource-rich
  areas
  where the challenge posed by the desire to
  prevent
  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
  . |
| --- | --- |

(2)

The issue concerns resource-rich
  areas
  where the challenge posed by the desire to
  prevent
  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
  .

areas

prevent

, 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

(The amendment resulting in the replacement of the word ‘regions’ by ‘areas’' applies throughout the text.)

(The amendment resulting in the replacement of the word ‘regions’ by ‘areas’' applies throughout the text.)

Amendment 4

Amendment 4

Proposal for a regulation

Proposal for a regulation

Recital 5 a (new)

Recital 5 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (5a) | This Regulation is one of the ways of eliminating the financing of armed groups by means of controlling trade of minerals from conflict regions; this does not alter the fact that the European Union’s foreign and development policy actions should focus on countering local corruption and the porosity of borders, and on providing training for local populations and their representatives in order to highlight abuses. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(5a)

(5a)

This Regulation is one of the ways of eliminating the financing of armed groups by means of controlling trade of minerals from conflict regions; this does not alter the fact that the European Union’s foreign and development policy actions should focus on countering local corruption and the porosity of borders, and on providing training for local populations and their representatives in order to highlight abuses.

This Regulation is one of the ways of eliminating the financing of armed groups by means of controlling trade of minerals from conflict regions; this does not alter the fact that the European Union’s foreign and development policy actions should focus on countering local corruption and the porosity of borders, and on providing training for local populations and their representatives in order to highlight abuses.

Amendment 5

Amendment 5

Proposal for a regulation

Proposal for a regulation

Recital 7

Recital 7

| Text proposed by the Commission | Amendment |
| --- | --- |
| (7) | On 7 October 2010, the European Parliament
  passed a Resolution calling for
  the Union to legislate along the lines of the US ‘conflict minerals’ law alias Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act; and the Commission announced in its Communications of 2011 and 2012 its intention to explore ways of improving transparency throughout the supply chain, including aspects of due diligence. In the latter communication and in line with the commitment it had made at the May 2011 OECD Ministerial Council, the Commission also advocated greater support for and use of the OECD Guidelines for Multinational Enterprises, and of the OECD Due Diligence Guidance — even outside the OECD membership. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(7)

On 7 October 2010, the European Parliament
  passed a Resolution calling for
  the Union to legislate along the lines of the US ‘conflict minerals’ law alias Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act; and the Commission announced in its Communications of 2011 and 2012 its intention to explore ways of improving transparency throughout the supply chain, including aspects of due diligence. In the latter communication and in line with the commitment it had made at the May 2011 OECD Ministerial Council, the Commission also advocated greater support for and use of the OECD Guidelines for Multinational Enterprises, and of the OECD Due Diligence Guidance — even outside the OECD membership.

passed a Resolution calling for

| (7) | In its resolutions of
  7 October 2010

  , of 8 March 2011, of 5 July 2011 and of 26 February 2014
  , the European Parliament
  called
  for the Union to legislate along the lines of the US ‘conflict minerals’ law alias Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act; and the Commission announced in its Communications of 2011 and 2012 its intention to explore ways of improving transparency throughout the supply chain, including aspects of due diligence. In the latter communication and in line with the commitment it had made at the May 2011 OECD Ministerial Council, the Commission also advocated greater support for and use of the OECD Guidelines for Multinational Enterprises, and of the OECD Due Diligence Guidance — even outside the OECD membership. |
| --- | --- |

(7)

In its resolutions of
  7 October 2010

  , of 8 March 2011, of 5 July 2011 and of 26 February 2014
  , the European Parliament
  called
  for the Union to legislate along the lines of the US ‘conflict minerals’ law alias Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act; and the Commission announced in its Communications of 2011 and 2012 its intention to explore ways of improving transparency throughout the supply chain, including aspects of due diligence. In the latter communication and in line with the commitment it had made at the May 2011 OECD Ministerial Council, the Commission also advocated greater support for and use of the OECD Guidelines for Multinational Enterprises, and of the OECD Due Diligence Guidance — even outside the OECD membership.

In its resolutions of

2010

, of 8 March 2011, of 5 July 2011 and of 26 February 2014

called

Amendment 6

Amendment 6

Proposal for a regulation

Proposal for a regulation

Recital 8

Recital 8

| Text proposed by the Commission | Amendment |
| --- | --- |
| (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. 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. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(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. 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.

| (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. |
| --- | --- |

(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.

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.

Amendments 71, 91 and 112

Amendments 71, 91 and 112

Proposal for a regulation

Proposal for a regulation

Recital 9 a (new)

Recital 9 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (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 Union 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 should reflect the progressive and flexible nature of due diligence processes, and the need for obligations that are appropriately tailored to enterprises' individual circumstances. Obligations should be tailored to a company's size, leverage, and position in its supply chain. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(9a)

(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 Union 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 should reflect the progressive and flexible nature of due diligence processes, and the need for obligations that are appropriately tailored to enterprises' individual circumstances. Obligations should be tailored to a company's size, leverage, and position in its supply chain.

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 Union 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 should reflect the progressive and flexible nature of due diligence processes, and the need for obligations that are appropriately tailored to enterprises' individual circumstances. Obligations should be tailored to a company's size, leverage, and position in its supply chain.

Amendment 57

Amendment 57

Proposal for a regulation

Proposal for a regulation

Recital 11 a (new)

Recital 11 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (11a) | Directive 2014/95/EU of the European Parliament and of the Council

   (1bis)

  requires companies with more than 500 employees to disclose information on a number of policies including human rights, anti-corruption and supply chain due diligence. That Directive provides for the Commission to develop guidelines in order to facilitate the disclosure of this information. The Commission should consider including in those guidelines performance indicators with regard to responsible sourcing of minerals and metals. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(11a)

(11a)

Directive 2014/95/EU of the European Parliament and of the Council

   (1bis)

  requires companies with more than 500 employees to disclose information on a number of policies including human rights, anti-corruption and supply chain due diligence. That Directive provides for the Commission to develop guidelines in order to facilitate the disclosure of this information. The Commission should consider including in those guidelines performance indicators with regard to responsible sourcing of minerals and metals.

Directive 2014/95/EU of the European Parliament and of the Council

1bis

requires companies with more than 500 employees to disclose information on a number of policies including human rights, anti-corruption and supply chain due diligence. That Directive provides for the Commission to develop guidelines in order to facilitate the disclosure of this information. The Commission should consider including in those guidelines performance indicators with regard to responsible sourcing of minerals and metals.

Amendment 9

Amendment 9

Proposal for a regulation

Proposal for a regulation

Recital 11 b (new)

Recital 11 b (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (11b) | Many existing supply chain due diligence systems could contribute to achieving the aims of this Regulation. There already exist industry schemes aimed at breaking the link between conflict and the sourcing of tin, tantalum, tungsten and gold. Those schemes use independent third-party audits to certify smelters and refiners with systems in place to ensure responsible sourcing of minerals only. Those industry schemes could be recognised in the Union system. However, the criteria and procedures for such schemes to be recognised as equivalent to the requirements of this Regulation need to be clarified to allow for respect for high standards and the avoidance of double auditing. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(11b)

(11b)

Many existing supply chain due diligence systems could contribute to achieving the aims of this Regulation. There already exist industry schemes aimed at breaking the link between conflict and the sourcing of tin, tantalum, tungsten and gold. Those schemes use independent third-party audits to certify smelters and refiners with systems in place to ensure responsible sourcing of minerals only. Those industry schemes could be recognised in the Union system. However, the criteria and procedures for such schemes to be recognised as equivalent to the requirements of this Regulation need to be clarified to allow for respect for high standards and the avoidance of double auditing.

Many existing supply chain due diligence systems could contribute to achieving the aims of this Regulation. There already exist industry schemes aimed at breaking the link between conflict and the sourcing of tin, tantalum, tungsten and gold. Those schemes use independent third-party audits to certify smelters and refiners with systems in place to ensure responsible sourcing of minerals only. Those industry schemes could be recognised in the Union system. However, the criteria and procedures for such schemes to be recognised as equivalent to the requirements of this Regulation need to be clarified to allow for respect for high standards and the avoidance of double auditing.

Amendment 10

Amendment 10

Proposal for a regulation

Proposal for a regulation

Recital 12

Recital 12

| Text proposed by the Commission | Amendment |
| --- | --- |
| (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 of responsible sourcing and their potential impact on competitiveness notably on SMEs should be monitored by the Commission. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(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 of responsible sourcing and their potential impact on competitiveness notably on SMEs should be monitored by the Commission.

| (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
  and practical challenges
  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
  , third party auditing, their administrative consequences
  and their potential impact on competitiveness notably on SMEs should be
  closely
  monitored
  and reported
  by the Commission.
  The Commission should provide micro- small and medium size enterprises with technical and financial assistance and should facilitate the exchange of information in order to implement this Regulation
  .
  SMEs established in the Union which import minerals and metals and which establish due diligence systems should receive financial aid through the Commission’s COSME programme. |
| --- | --- |

(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
  and practical challenges
  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
  , third party auditing, their administrative consequences
  and their potential impact on competitiveness notably on SMEs should be
  closely
  monitored
  and reported
  by the Commission.
  The Commission should provide micro- small and medium size enterprises with technical and financial assistance and should facilitate the exchange of information in order to implement this Regulation
  .
  SMEs established in the Union which import minerals and metals and which establish due diligence systems should receive financial aid through the Commission’s COSME programme.

and practical challenges

, third party auditing, their administrative consequences

closely

and reported

The Commission should provide micro- small and medium size enterprises with technical and financial assistance and should facilitate the exchange of information in order to implement this Regulation

SMEs established in the Union which import minerals and metals and which establish due diligence systems should receive financial aid through the Commission’s COSME programme.

Amendment 12

Amendment 12

Proposal for a regulation

Proposal for a regulation

Recital 12 a (new)

Recital 12 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (12a) | Companies established in the Union operating downstream of the supply chain that voluntarily establish a responsible sourcing system for minerals and metals should be certified by the Member States’ competent authorities by means of a label. The Commission should rely on the OECD Due Diligence Guidance to set out the criteria for the granting of certification and, to that end, may consult the OECD Secretariat. The conditions for granting the ‘European certification of responsibility’ should be as stringent as those required by the OECD certification system. Companies benefitting from the ‘European certification of responsibility’ are encouraged to indicate this fact on their website and to include it in the information given to European consumers. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(12a)

(12a)

Companies established in the Union operating downstream of the supply chain that voluntarily establish a responsible sourcing system for minerals and metals should be certified by the Member States’ competent authorities by means of a label. The Commission should rely on the OECD Due Diligence Guidance to set out the criteria for the granting of certification and, to that end, may consult the OECD Secretariat. The conditions for granting the ‘European certification of responsibility’ should be as stringent as those required by the OECD certification system. Companies benefitting from the ‘European certification of responsibility’ are encouraged to indicate this fact on their website and to include it in the information given to European consumers.

Companies established in the Union operating downstream of the supply chain that voluntarily establish a responsible sourcing system for minerals and metals should be certified by the Member States’ competent authorities by means of a label. The Commission should rely on the OECD Due Diligence Guidance to set out the criteria for the granting of certification and, to that end, may consult the OECD Secretariat. The conditions for granting the ‘European certification of responsibility’ should be as stringent as those required by the OECD certification system. Companies benefitting from the ‘European certification of responsibility’ are encouraged to indicate this fact on their website and to include it in the information given to European consumers.

Amendment 14

Amendment 14

Proposal for a regulation

Proposal for a regulation

Recital 13

Recital 13

| Text proposed by the Commission | Amendment |
| --- | --- |
| (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. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(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.

| (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.
  In accordance with the OECD Due Diligence Guidance, upstream undertakings such as smelters and refiners should undergo an independent third-party audit of their supply chain due diligence practices, with a view to also being included in the list of responsible smelters and refiners. |
| --- | --- |

(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.
  In accordance with the OECD Due Diligence Guidance, upstream undertakings such as smelters and refiners should undergo an independent third-party audit of their supply chain due diligence practices, with a view to also being included in the list of responsible smelters and refiners.

The same applies to recycled metals, which have undergone even further steps in the transformation process.

In accordance with the OECD Due Diligence Guidance, upstream undertakings such as smelters and refiners should undergo an independent third-party audit of their supply chain due diligence practices, with a view to also being included in the list of responsible smelters and refiners.

Amendment 15

Amendment 15

Proposal for a regulation

Proposal for a regulation

Recital 13 a (new)

Recital 13 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (13a) | Smelters and refiners which process and import minerals and concentrates thereof should have an obligation to apply the Union system for supply chain due diligence. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(13a)

(13a)

Smelters and refiners which process and import minerals and concentrates thereof should have an obligation to apply the Union system for supply chain due diligence.

Smelters and refiners which process and import minerals and concentrates thereof should have an obligation to apply the Union system for supply chain due diligence.

Amendment 16

Amendment 16

Proposal for a regulation

Proposal for a regulation

Recital 13 b (new)

Recital 13 b (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (13b) | 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 comply with the provisions of this Regulation. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(13b)

(13b)

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 comply with the provisions of this Regulation.

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 comply with the provisions of this Regulation.

Amendment 18

Amendment 18

Proposal for a regulation

Proposal for a regulation

Recital 15 a (new)

Recital 15 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (15a) | In order to guarantee the efficient implementation of this Regulation, 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 this Regulation. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(15a)

(15a)

In order to guarantee the efficient implementation of this Regulation, 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 this Regulation.

In order to guarantee the efficient implementation of this Regulation, 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 this Regulation.

Amendment 19

Amendment 19

Proposal for a regulation

Proposal for a regulation

Recital 15 b (new)

Recital 15 b (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (15b) | The Commission should regularly review its financial assistance and political commitments with regard to 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. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(15b)

(15b)

The Commission should regularly review its financial assistance and political commitments with regard to 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.

The Commission should regularly review its financial assistance and political commitments with regard to 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 20

Amendment 20

Proposal for a regulation

Proposal for a regulation

Recital 16

Recital 16

| Text proposed by the Commission | Amendment |
| --- | --- |
| (16) | The Commission should report regularly to the
  Council
  and the
  European Parliament
  on the effects of the scheme.
  No later than three years after entering into force
  and every
  six
  years thereafter, the Commission should review the functioning and the effectiveness of this Regulation,
  including
  as regards the promotion of responsible sourcing of the minerals within its scope from conflict-affected and high-risk areas. The reports may be accompanied, if necessary, by appropriate legislative proposals, which may include mandatory measures, |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(16)

The Commission should report regularly to the
  Council
  and the
  European Parliament
  on the effects of the scheme.
  No later than three years after entering into force
  and every
  six
  years thereafter, the Commission should review the functioning and the effectiveness of this Regulation,
  including
  as regards the promotion of responsible sourcing of the minerals within its scope from conflict-affected and high-risk areas. The reports may be accompanied, if necessary, by appropriate legislative proposals, which may include mandatory measures,

Council

European Parliament

No later than three years after entering into force

six

including

| (16) | The Commission should report regularly to the
  European Parliament
  and the
  Council
  on the effects of the scheme.
  Two years after the date of application of this Regulation
  and every
  three
  years thereafter, the Commission should review the functioning and the effectiveness of this Regulation
  and the latest impact of the scheme on the ground
  as regards the promotion of responsible sourcing of the minerals within its scope from conflict-affected and high-risk areas
  and report to the European Parliament and to the Council
  . The reports may be accompanied, if necessary, by appropriate legislative proposals, which may include
  further
  mandatory measures. |
| --- | --- |

(16)

The Commission should report regularly to the
  European Parliament
  and the
  Council
  on the effects of the scheme.
  Two years after the date of application of this Regulation
  and every
  three
  years thereafter, the Commission should review the functioning and the effectiveness of this Regulation
  and the latest impact of the scheme on the ground
  as regards the promotion of responsible sourcing of the minerals within its scope from conflict-affected and high-risk areas
  and report to the European Parliament and to the Council
  . The reports may be accompanied, if necessary, by appropriate legislative proposals, which may include
  further
  mandatory measures.

European Parliament

Council

Two years after the date of application of this Regulation

three

and the latest impact of the scheme on the ground

and report to the European Parliament and to the Council

further

Amendment 21

Amendment 21

Proposal for a regulation

Proposal for a regulation

Recital 16 a (new)

Recital 16 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (16a) | In their Joint Communication of 5 March 2014, the Commission and the Vice-President of the Commission/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, with the aim not only of reaching a high level of participation by companies in the Union system provided for in this Regulation but also ensuring that a global, coherent and comprehensive approach is taken to promote responsible sourcing from conflict affected and high-risk areas. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(16a)

(16a)

In their Joint Communication of 5 March 2014, the Commission and the Vice-President of the Commission/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, with the aim not only of reaching a high level of participation by companies in the Union system provided for in this Regulation but also ensuring that a global, coherent and comprehensive approach is taken to promote responsible sourcing from conflict affected and high-risk areas.

In their Joint Communication of 5 March 2014, the Commission and the Vice-President of the Commission/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, with the aim not only of reaching a high level of participation by companies in the Union system provided for in this Regulation but also ensuring that a global, coherent and comprehensive approach is taken to promote responsible sourcing from conflict affected and high-risk areas.

Amendment 60

Amendment 60

Proposal for a regulation

Proposal for a regulation

Article 1 — paragraph 1

Article 1 — paragraph 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| 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 forces (12) to trade in tin, tantalum and tungsten, their ores, and gold. It is designed to provide transparency and certainty as regards the supply practices of importers, smelters and refiners sourcing from conflict-affected and high-risk areas. | 1.   This Regulation sets up a Union system for supply chain due diligence
  certification
  in order to curtail opportunities for armed groups and security forces (12) to trade in tin, tantalum and tungsten, their ores, and gold. It is designed to provide transparency and certainty as regards the supply practices of importers, smelters and refiners sourcing from conflict-affected and high-risk areas. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

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 forces (12) to trade in tin, tantalum and tungsten, their ores, and gold. It is designed to provide transparency and certainty as regards the supply practices of importers, smelters and refiners sourcing from conflict-affected and high-risk areas.

self-certification

12

1.   This Regulation sets up a Union system for supply chain due diligence
  certification
  in order to curtail opportunities for armed groups and security forces (12) to trade in tin, tantalum and tungsten, their ores, and gold. It is designed to provide transparency and certainty as regards the supply practices of importers, smelters and refiners sourcing from conflict-affected and high-risk areas.

certification

12

Amendment 154

Amendment 154

Proposal for a regulation

Proposal for a regulation

Article 1 — paragraph 2

Article 1 — paragraph 2

| Text proposed by the Commission | Amendment |
| --- | --- |
| 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
  . | 2.   This Regulation lays down the supply chain due diligence obligations of
  all
  Union importers who
  source minerals and metals falling within the scope of this Regulation, in accordance with the OECD Due Diligence Guidance
  .
  That guidance is designed to guarantee transparency and traceability in respect of importers’ sourcing practices in conflict-affected or high-risk areas, in order to minimise or prevent violent conflicts and human rights abuses by curtailing the opportunities for armed groups and security forces, as defined in Annex II to the OECD Due Diligence Guidance, to trade in those minerals and metals. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

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
  .

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

2.   This Regulation lays down the supply chain due diligence obligations of
  all
  Union importers who
  source minerals and metals falling within the scope of this Regulation, in accordance with the OECD Due Diligence Guidance
  .
  That guidance is designed to guarantee transparency and traceability in respect of importers’ sourcing practices in conflict-affected or high-risk areas, in order to minimise or prevent violent conflicts and human rights abuses by curtailing the opportunities for armed groups and security forces, as defined in Annex II to the OECD Due Diligence Guidance, to trade in those minerals and metals.

all

source minerals and metals falling within the scope of this Regulation, in accordance with the OECD Due Diligence Guidance

That guidance is designed to guarantee transparency and traceability in respect of importers’ sourcing practices in conflict-affected or high-risk areas, in order to minimise or prevent violent conflicts and human rights abuses by curtailing the opportunities for armed groups and security forces, as defined in Annex II to the OECD Due Diligence Guidance, to trade in those minerals and metals.

Amendment 23

Amendment 23

Proposal for a regulation

Proposal for a regulation

Article 1 — paragraph 2 a (new)

Article 1 — paragraph 2 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | 2a.
     
  Metals reasonably assumed to be recycled shall be excluded from the scope of this Regulation. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

2a.
     
  Metals reasonably assumed to be recycled shall be excluded from the scope of this Regulation.

2a.

Metals reasonably assumed to be recycled shall be excluded from the scope of this Regulation.

Amendments 76, 97, 117 and 135

Amendments 76, 97, 117 and 135

Proposal for a regulation

Proposal for a regulation

Article 1 — paragraph 2 b (new)

Article 1 — paragraph 2 b (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | 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, its size and its position in the supply chain. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

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, its size and its position in the supply chain.

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, its size and its position in the supply chain.

Amendments 77, 98, 118 and 136

Amendments 77, 98, 118 and 136

Proposal for a regulation

Proposal for a regulation

Article 1 — paragraph 2 c (new)

Article 1 — paragraph 2 c (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | 2c.
     
  The Commission, working with industry schemes and in accordance with the OECD Guidance, 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. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

2c.
     
  The Commission, working with industry schemes and in accordance with the OECD Guidance, 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.

2c.

The Commission, working with industry schemes and in accordance with the OECD Guidance, 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.

Amendment 155

Amendment 155

Proposal for a regulation

Proposal for a regulation

Article 1 — paragraph 2 d (new)

Article 1 — paragraph 2 d (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | 2d.
     
  Under this Regulation and in accordance with the OECD Due Diligence Guidance, downstream companies shall take all reasonable steps to identify and address any risks arising in their supply chains for minerals and metals coming within the scope of this Regulation. In this connection, they shall be required to provide information on the due diligence practices they employ for responsible sourcing. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

2d.
     
  Under this Regulation and in accordance with the OECD Due Diligence Guidance, downstream companies shall take all reasonable steps to identify and address any risks arising in their supply chains for minerals and metals coming within the scope of this Regulation. In this connection, they shall be required to provide information on the due diligence practices they employ for responsible sourcing.

2d.

Under this Regulation and in accordance with the OECD Due Diligence Guidance, downstream companies shall take all reasonable steps to identify and address any risks arising in their supply chains for minerals and metals coming within the scope of this Regulation. In this connection, they shall be required to provide information on the due diligence practices they employ for responsible sourcing.

Amendment 26

Amendment 26

Proposal for a regulation

Proposal for a regulation

Article 2 — point b a (new)

Article 2 — point b a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (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; |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(ba)

(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;

‘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 24

Amendment 24

Proposal for a regulation

Proposal for a regulation

Article 2 — point e

Article 2 — point e

| Text proposed by the Commission | Amendment |
| --- | --- |
| (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
  ; |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(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
  ;

witnessing

and

international law, including human rights abuses

| (e) | ‘conflict-affected and high-risk areas’ means areas in a state of armed conflict,
  with presence of widespread violence, collapse of civil infrastructure,
  fragile post-conflict areas as well as areas
  of
  weak or non-existent governance and security, such as failed states,
  characterised by
  widespread and systematic violations of
  human rights, as established under international law
  ; |
| --- | --- |

(e)

‘conflict-affected and high-risk areas’ means areas in a state of armed conflict,
  with presence of widespread violence, collapse of civil infrastructure,
  fragile post-conflict areas as well as areas
  of
  weak or non-existent governance and security, such as failed states,
  characterised by
  widespread and systematic violations of
  human rights, as established under international law
  ;

with presence of widespread violence, collapse of civil infrastructure,

of

characterised by

human rights, as established under international law

Amendment 25

Amendment 25

Proposal for a regulation

Proposal for a regulation

Article 2 — point g

Article 2 — point g

| Text proposed by the Commission | Amendment |
| --- | --- |
| (g) | ‘importer’ means any natural or legal person
  declaring
  minerals
  or
  metals within the scope of this Regulation
  for release for free circulation within the meaning of Article 79 of Council Regulation (EEC) No 2913/1992

   (13); |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(g)

‘importer’ means any natural or legal person
  declaring
  minerals
  or
  metals within the scope of this Regulation
  for release for free circulation within the meaning of Article 79 of Council Regulation (EEC) No 2913/1992

   (13);

declaring

or

for release for free circulation within the meaning of Article 79 of Council Regulation (EEC) No 2913/1992

13

| (g) | ‘importer’ means any natural or legal person
  established in the Union making a declaration for the release for free circulation of
  minerals
  and
  metals within the scope of this Regulation
  in his own name or the person on whose behalf such declaration is made; a representative making the declaration while acting in the name of and on behalf of another person or a representative acting in his own name and on behalf of another person are equally considered to be importers for the purposes of this Regulation; |
| --- | --- |

(g)

‘importer’ means any natural or legal person
  established in the Union making a declaration for the release for free circulation of
  minerals
  and
  metals within the scope of this Regulation
  in his own name or the person on whose behalf such declaration is made; a representative making the declaration while acting in the name of and on behalf of another person or a representative acting in his own name and on behalf of another person are equally considered to be importers for the purposes of this Regulation;

established in the Union making a declaration for the release for free circulation of

and

in his own name or the person on whose behalf such declaration is made; a representative making the declaration while acting in the name of and on behalf of another person or a representative acting in his own name and on behalf of another person are equally considered to be importers for the purposes of this Regulation;

Amendment 100

Amendment 100

Proposal for a regulation

Proposal for a regulation

Article 2 — point h

Article 2 — point h

| Text proposed by the Commission | Amendment |
| --- | --- |
| (h) | ‘responsible importer’ means any importer who chooses to self-certify according to the rules set out in this Regulation; |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(h)

(h)

‘responsible importer’ means any importer who chooses to self-certify according to the rules set out in this Regulation;

‘responsible importer’ means any importer who chooses to self-certify according to the rules set out in this Regulation;

deleted

deleted

Amendment 138

Amendment 138

Proposal for a regulation

Proposal for a regulation

Article 2 — point i

Article 2 — point i

| Text proposed by the Commission | Amendment |
| --- | --- |
| (i) | ‘self-certification’ means the act of declaring one's adherence to the obligations relating to management systems, risk management, third-party audits and disclosure as set out in this Regulation; |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(i)

(i)

‘self-certification’ means the act of declaring one's adherence to the obligations relating to management systems, risk management, third-party audits and disclosure as set out in this Regulation;

‘self-certification’ means the act of declaring one's adherence to the obligations relating to management systems, risk management, third-party audits and disclosure as set out in this Regulation;

deleted

deleted

(This amendment applies throughout the text)

(This amendment applies throughout the text)

Amendment 29

Amendment 29

Proposal for a regulation

Proposal for a regulation

Article 2 — point q a (new)

Article 2 — point q a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (qa) | ‘industry scheme’ means a combination of voluntary supply chain due diligence procedures, tools and mechanisms, developed and overseen by relevant industry associations, including third-party conformity assessments; |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(qa)

(qa)

‘industry scheme’ means a combination of voluntary supply chain due diligence procedures, tools and mechanisms, developed and overseen by relevant industry associations, including third-party conformity assessments;

‘industry scheme’ means a combination of voluntary supply chain due diligence procedures, tools and mechanisms, developed and overseen by relevant industry associations, including third-party conformity assessments;

Amendment 30

Amendment 30

Proposal for a regulation

Proposal for a regulation

Article 2 — point q b (new)

Article 2 — point q b (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (qb) | ‘armed groups and security forces’ means groups referred to in Annex II of the OECD Due Diligence Guidance; |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(qb)

(qb)

‘armed groups and security forces’ means groups referred to in Annex II of the OECD Due Diligence Guidance;

‘armed groups and security forces’ means groups referred to in Annex II of the OECD Due Diligence Guidance;

Amendment 31

Amendment 31

Proposal for a regulation

Proposal for a regulation

Article 4 — point a

Article 4 — point a

| Text proposed by the Commission | Amendment |
| --- | --- |
| (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, |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(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,

| (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-affected and high-risk areas, |
| --- | --- |

(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-affected and high-risk areas,

and systematically

Amendments 85, 126 and 145

Amendments 85, 126 and 145

Proposal for a regulation

Proposal for a regulation

Article 4 — paragraph 1 a (new)

Article 4 — paragraph 1 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | Where any undertaking can reasonably conclude that resources are derived only from recycled or scrap sources, it shall, with due regard to business confidentiality and competitive concerns: |
| | (a) | publicly disclose its determination; and |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

Where any undertaking can reasonably conclude that resources are derived only from recycled or scrap sources, it shall, with due regard to business confidentiality and competitive concerns:

Where any undertaking can reasonably conclude that resources are derived only from recycled or scrap sources, it shall, with due regard to business confidentiality and competitive concerns:

(a)

(a)

publicly disclose its determination; and

publicly disclose its determination; and

| (b) | describe in reasonable detail the due diligence measures it exercised in making that determination. |
| --- | --- |

(b)

(b)

describe in reasonable detail the due diligence measures it exercised in making that determination.

describe in reasonable detail the due diligence measures it exercised in making that determination.

Amendment 67

Amendment 67

Proposal for a regulation

Proposal for a regulation

Article 6 — paragraph 2 a (new)

Article 6 — paragraph 2 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | Certified responsible importers of smelted and refined metals shall be exempted from carrying out independent third-party audits pursuant to Article 3(1a) of this Regulation provided they submit substantive evidence that all smelters and refiners in their supply chain conform to the provisions of this Regulation. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

Certified responsible importers of smelted and refined metals shall be exempted from carrying out independent third-party audits pursuant to Article 3(1a) of this Regulation provided they submit substantive evidence that all smelters and refiners in their supply chain conform to the provisions of this Regulation.

Certified responsible importers of smelted and refined metals shall be exempted from carrying out independent third-party audits pursuant to Article 3(1a) of this Regulation provided they submit substantive evidence that all smelters and refiners in their supply chain conform to the provisions of this Regulation.

Amendment 40

Amendment 40

Proposal for a regulation

Proposal for a regulation

Article 7 a (new)

Article 7 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | Article 7a |
| | List of responsible importers |
| | 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 importers of minerals and metals within the scope of this Regulation. |
| | 2.
     
  The Commission shall adopt the list using the template set out in Annex Ia and in accordance with the advisory procedure referred to in Article 13(2). |
| | 3.
     
  The Commission shall update and publish, including on the internet, the information included in the list in a timely manner. The Commission shall remove from the list the names of the importers that, in case of inadequate remedial action by the responsible importers, are no longer recognised as responsible importers by Member States in accordance with Article 14(3). |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

Article 7a

Article 7a

List of responsible importers

List of responsible importers

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 importers of minerals and metals within the scope of this Regulation.

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 importers of minerals and metals within the scope of this Regulation.

2.
     
  The Commission shall adopt the list using the template set out in Annex Ia and in accordance with the advisory procedure referred to in Article 13(2).

2.

The Commission shall adopt the list using the template set out in Annex Ia and in accordance with the advisory procedure referred to in Article 13(2).

3.
     
  The Commission shall update and publish, including on the internet, the information included in the list in a timely manner. The Commission shall remove from the list the names of the importers that, in case of inadequate remedial action by the responsible importers, are no longer recognised as responsible importers by Member States in accordance with Article 14(3).

3.

The Commission shall update and publish, including on the internet, the information included in the list in a timely manner. The Commission shall remove from the list the names of the importers that, in case of inadequate remedial action by the responsible importers, are no longer recognised as responsible importers by Member States in accordance with Article 14(3).

Amendment 43

Amendment 43

Proposal for a regulation

Proposal for a regulation

Article 7 b (new)

Article 7 b (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | Article 7b |
| | Due diligence obligations applicable to smelters and refiners |
| | 1.
     
  Smelters and refiners established in the Union which process and import minerals and concentrates thereof shall have an obligation to apply the Union system for supply chain due diligence or a due diligence system recognised as equivalent by the Commission. |
| | 2.
     
  The Member States competent authorities 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 Member States competent authorities shall impose penalties for the infringement of this Regulation. These penalties shall cease when the smelter or refiner complies with the provisions of this Regulation. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

Article 7b

Article 7b

Due diligence obligations applicable to smelters and refiners

Due diligence obligations applicable to smelters and refiners

1.
     
  Smelters and refiners established in the Union which process and import minerals and concentrates thereof shall have an obligation to apply the Union system for supply chain due diligence or a due diligence system recognised as equivalent by the Commission.

1.

Smelters and refiners established in the Union which process and import minerals and concentrates thereof shall have an obligation to apply the Union system for supply chain due diligence or a due diligence system recognised as equivalent by the Commission.

2.
     
  The Member States competent authorities 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 Member States competent authorities shall impose penalties for the infringement of this Regulation. These penalties shall cease when the smelter or refiner complies with the provisions of this Regulation.

2.

The Member States competent authorities 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 Member States competent authorities shall impose penalties for the infringement of this Regulation. These penalties shall cease when the smelter or refiner complies with the provisions of this Regulation.

Amendment 44

Amendment 44

Proposal for a regulation

Proposal for a regulation

Article 8 — paragraph 1

Article 8 — paragraph 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| 1.   On the basis of the information provided by the Member States in their reports as referred to in Article 15, the Commission shall adopt and make publicly available a decision listing the names and addresses of responsible smelters and refiners
  of minerals within the scope of this Regulation
  . | 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. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

1.   On the basis of the information provided by the Member States in their reports as referred to in Article 15, the Commission shall adopt and make publicly available a decision listing the names and addresses of responsible smelters and refiners
  of minerals within the scope of this Regulation
  .

of minerals within the scope of this Regulation

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.

Amendment 45

Amendment 45

Proposal for a regulation

Proposal for a regulation

Article 8 — paragraph 2

Article 8 — paragraph 2

| Text proposed by the Commission | Amendment |
| --- | --- |
| 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. | 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. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

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.

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.

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.

Amendment 46

Amendment 46

Proposal for a regulation

Proposal for a regulation

Article 8 — paragraph 3

Article 8 — paragraph 3

| Text proposed by the Commission | Amendment |
| --- | --- |
| 3.   The Commission shall adopt the list
  in accordance with
  the template in Annex II and the
  regulatory
  procedure referred to in Article 13(2). The OECD Secretariat shall be consulted. | 3.   The Commission shall adopt the list
  using
  the template in Annex II and
  in accordance with
  the
  advisory
  procedure referred to in Article 13(2). The OECD Secretariat shall be consulted. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

3.   The Commission shall adopt the list
  in accordance with
  the template in Annex II and the
  regulatory
  procedure referred to in Article 13(2). The OECD Secretariat shall be consulted.

in accordance with

regulatory

3.   The Commission shall adopt the list
  using
  the template in Annex II and
  in accordance with
  the
  advisory
  procedure referred to in Article 13(2). The OECD Secretariat shall be consulted.

using

in accordance with

advisory

Amendment 47

Amendment 47

Proposal for a regulation

Proposal for a regulation

Article 8 — paragraph 4

Article 8 — paragraph 4

| Text proposed by the Commission | Amendment |
| --- | --- |
| 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 importers. | 4.   The Commission shall update
  and publish
  ,
  including on the internet,
  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 importers. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

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 importers.

4.   The Commission shall update
  and publish
  ,
  including on the internet,
  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 importers.

and publish

including on the internet,

Amendment 48

Amendment 48

Proposal for a regulation

Proposal for a regulation

Article 9 — paragraph 2

Article 9 — paragraph 2

| Text proposed by the Commission | Amendment |
| --- | --- |
| 2.   The Commission shall make a decision to publish, including on the internet, a list of competent authorities
  in accordance with
  the template in Annex III and the
  regulatory
  procedure referred to in
  paragraph 2 of
  Article 13. The Commission shall update the list regularly. | 2.   The Commission shall make a decision to publish, including on the internet, a list of competent authorities
  using
  the template in Annex III and
  in accordance with
  the
  advisory
  procedure referred to in Article 13
  (2)
  . The Commission shall update the list regularly. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

2.   The Commission shall make a decision to publish, including on the internet, a list of competent authorities
  in accordance with
  the template in Annex III and the
  regulatory
  procedure referred to in
  paragraph 2 of
  Article 13. The Commission shall update the list regularly.

in accordance with

regulatory

paragraph 2 of

2.   The Commission shall make a decision to publish, including on the internet, a list of competent authorities
  using
  the template in Annex III and
  in accordance with
  the
  advisory
  procedure referred to in Article 13
  (2)
  . The Commission shall update the list regularly.

using

in accordance with

advisory

(2)

Amendment 151

Amendment 151

Proposal for a regulation

Proposal for a regulation

Article 10 — paragraph 1

Article 10 — paragraph 1

| Text proposed by the Commission | Amendment |
| --- | --- |
| 1.   The competent authorities of the Member States shall carry out appropriate ex-post checks in order to ensure whether
  self-certified
  responsible importers of minerals and metals within scope of this Regulation comply with the obligations set out in Articles 4, 5, 6 and 7. | 1.   The competent authorities of the Member States shall carry out appropriate ex-post checks in order to ensure whether responsible importers of minerals and metals within the scope of this Regulation comply with the obligations set out in Articles 4, 5, 6 and 7. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

1.   The competent authorities of the Member States shall carry out appropriate ex-post checks in order to ensure whether
  self-certified
  responsible importers of minerals and metals within scope of this Regulation comply with the obligations set out in Articles 4, 5, 6 and 7.

self-certified

1.   The competent authorities of the Member States shall carry out appropriate ex-post checks in order to ensure whether responsible importers of minerals and metals within the scope of this Regulation comply with the obligations set out in Articles 4, 5, 6 and 7.

Amendment 49

Amendment 49

Proposal for a regulation

Proposal for a regulation

Article 10 — paragraph 2

Article 10 — paragraph 2

| Text proposed by the Commission | Amendment |
| --- | --- |
| 2.   The checks referred to in paragraph 1 shall be conducted by taking a risk-based approach. In addition, checks
  may
  be conducted when a competent authority is in possession of relevant information, including on the basis of substantiated concerns provided by third parties, concerning the compliance by a responsible importer with this Regulation. | 2.   The checks referred to in paragraph 1 shall be conducted by taking a risk-based approach. In addition, checks
  shall
  be conducted when a competent authority is in possession of relevant information, including on the basis of substantiated concerns provided by third parties, concerning the compliance by a responsible importer with this Regulation. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

2.   The checks referred to in paragraph 1 shall be conducted by taking a risk-based approach. In addition, checks
  may
  be conducted when a competent authority is in possession of relevant information, including on the basis of substantiated concerns provided by third parties, concerning the compliance by a responsible importer with this Regulation.

may

2.   The checks referred to in paragraph 1 shall be conducted by taking a risk-based approach. In addition, checks
  shall
  be conducted when a competent authority is in possession of relevant information, including on the basis of substantiated concerns provided by third parties, concerning the compliance by a responsible importer with this Regulation.

shall

Amendment 51

Amendment 51

Proposal for a regulation

Proposal for a regulation

Article 12 a (new)

Article 12 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | Article 12a |
| | In order to create clarity and certainty for and consistency among economic operators, in particular SMEs, 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 companies, explaining how best to apply the criteria for those areas that may fall within the scope of this Regulation. This handbook shall be based on the definition of conflict-affected and high-risk areas as laid down in Article 2(e) of this Regulation and take into account the OECD Due Diligence Guidance in this field. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

Article 12a

Article 12a

In order to create clarity and certainty for and consistency among economic operators, in particular SMEs, 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 companies, explaining how best to apply the criteria for those areas that may fall within the scope of this Regulation. This handbook shall be based on the definition of conflict-affected and high-risk areas as laid down in Article 2(e) of this Regulation and take into account the OECD Due Diligence Guidance in this field.

In order to create clarity and certainty for and consistency among economic operators, in particular SMEs, 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 companies, explaining how best to apply the criteria for those areas that may fall within the scope of this Regulation. This handbook shall be based on the definition of conflict-affected and high-risk areas as laid down in Article 2(e) of this Regulation and take into account the OECD Due Diligence Guidance in this field.

Amendment 52

Amendment 52

Proposal for a regulation

Proposal for a regulation

Article 13 — paragraph 2 — subparagraph 2

Article 13 — paragraph 2 — subparagraph 2

| Text proposed by the Commission | Amendment |
| --- | --- |
| Where the opinion of the committee is to be obtained by written procedure, that procedure shall be terminated without result when, within the time-limit for delivery of the opinion, the chair of the committee so decides or a simple majority of committee members so request. | deleted |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

Where the opinion of the committee is to be obtained by written procedure, that procedure shall be terminated without result when, within the time-limit for delivery of the opinion, the chair of the committee so decides or a simple majority of committee members so request.

Where the opinion of the committee is to be obtained by written procedure, that procedure shall be terminated without result when, within the time-limit for delivery of the opinion, the chair of the committee so decides or a simple majority of committee members so request.

deleted

deleted

Amendment 53

Amendment 53

Proposal for a regulation

Proposal for a regulation

Article 13 — paragraph 2 a (new)

Article 13 — paragraph 2 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | (2a)
     
  Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply. |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

(2a)
     
  Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.

(2a)

Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.

Amendment 55

Amendment 55

Proposal for a regulation

Proposal for a regulation

Article 15 a (new)

Article 15 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | Article 15a




  Accompanying measures




  1.
     
  The Commission shall 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 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)0008).




  Accompanying measures to ensure an integrated EU approach to the duty of responsible sourcing shall foresee:










  (a) | 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 and their position in the supply chain, in order to facilitate compliance with the requirements of this Regulation; |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

Article 15a

Article 15a

Accompanying measures

Accompanying measures

1.
     
  The Commission shall 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 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)0008).

1.

The Commission shall 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 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)0008).

Accompanying measures to ensure an integrated EU approach to the duty of responsible sourcing shall foresee:

Accompanying measures to ensure an integrated EU approach to the duty of responsible sourcing shall foresee:

(a)

(a)

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 and their position in the supply chain, in order to facilitate compliance with the requirements of this Regulation;

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 and their position in the supply chain, in order to facilitate compliance with the requirements of this Regulation;

| (b) | ongoing policy dialogues with third countries and other stakeholders, including the possibility of harmonization with national and regional certification systems and cooperation with public-private initiatives; |
| --- | --- |

(b)

(b)

ongoing policy dialogues with third countries and other stakeholders, including the possibility of harmonization with national and regional certification systems and cooperation with public-private initiatives;

ongoing policy dialogues with third countries and other stakeholders, including the possibility of harmonization with national and regional certification systems and cooperation with public-private initiatives;

| (c) | continued, targeted development cooperation with third countries, in particular aid for the marketing of non-conflict minerals and placing local enterprises in a better position to comply with this Regulation; |
| --- | --- |

(c)

(c)

continued, targeted development cooperation with third countries, in particular aid for the marketing of non-conflict minerals and placing local enterprises in a better position to comply with this Regulation;

continued, targeted development cooperation with third countries, in particular aid for the marketing of non-conflict minerals and placing local enterprises in a better position to comply with this Regulation;

| (d) | close cooperation with Member States for the launching of complementary initiatives in the area of consumer, investor and customer information and further incentives for responsible business conduct and performance clauses in procurement contracts signed by the national authorities under the terms of Directive 2014/24/EU of the European Parliament and of the Council

   (1a)

  . |
| --- | --- |

(d)

(d)

close cooperation with Member States for the launching of complementary initiatives in the area of consumer, investor and customer information and further incentives for responsible business conduct and performance clauses in procurement contracts signed by the national authorities under the terms of Directive 2014/24/EU of the European Parliament and of the Council

   (1a)

  .

close cooperation with Member States for the launching of complementary initiatives in the area of consumer, investor and customer information and further incentives for responsible business conduct and performance clauses in procurement contracts signed by the national authorities under the terms of Directive 2014/24/EU of the European Parliament and of the Council

1a

.

2.
     
  The Commission shall present an annual performance report of the accompanying measures implemented pursuant to paragraph 1 and of their impact and effectiveness.

2.

The Commission shall present an annual performance report of the accompanying measures implemented pursuant to paragraph 1 and of their impact and effectiveness.

Amendment 56

Amendment 56

Proposal for a regulation

Proposal for a regulation

Article 16 — paragraph 1 a (new)

Article 16 — paragraph 1 a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | This Regulation shall apply from...

   (*) |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

This Regulation shall apply from...

   (*)

This Regulation shall apply from...

*

Amendment 59

Amendment 59

Proposal for a regulation

Proposal for a regulation

Annex II — Column C a (new)

Annex II — Column C a (new)

| Text proposed by the Commission | Amendment |
| --- | --- |
| | Column Ca: Type of mineral |

Text proposed by the Commission

Text proposed by the Commission

Amendment

Amendment

Column Ca: Type of mineral

Column Ca: Type of mineral

---

(1)  The matter was referred back to the committee responsible for reconsideration pursuant to Rule 61(2), second subparagraph (A8-0141/2015).

1

(1bis)  
  Directive 2014/95/EU of the European Parliament and of the Council of 22 October 2014 amending Directive 2013/34/EU as regards disclosure of non-financial and diversity information by certain large undertakings and groups (OJ L 330, 15.11.2014, p. 1).

1bis

Directive 2014/95/EU of the European Parliament and of the Council of 22 October 2014 amending Directive 2013/34/EU as regards disclosure of non-financial and diversity information by certain large undertakings and groups (OJ L 330, 15.11.2014, p. 1).

(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.

12

(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.

12

(13)  
  Council Regulation (EEC) No 2913/92 of 12 October 1992 establishing the Community Customs Code (OJ L 302, 19.10.1992, p. 1).

13

Council Regulation (EEC) No 2913/92 of 12 October 1992 establishing the Community Customs Code (OJ L 302, 19.10.1992, p. 1).

(1a)  
  Directive 2014/24/EU of the European Parliament and of the Council of 26 February 2014 on public procurement and repealing Directive 2004/18/EC (OJ L 94, 28.3.2014, p. 65).

1a

Directive 2014/24/EU of the European Parliament and of the Council of 26 February 2014 on public procurement and repealing Directive 2004/18/EC (OJ L 94, 28.3.2014, p. 65).

(*)  
  Two years after the date of entry into force of this Regulation

*

Two years after the date of entry into force of this Regulation

---