Activities of Jean-Luc SCHAFFHAUSER related to 2014/0059(COD)
Plenary speeches (1)
Supply chain due diligence by importers of minerals and metals originating in conflict-affected and high-risk areas (debate) FR
Amendments (39)
Amendment 56 #
Proposal for a regulation
Title 1
Title 1
Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL setting up a Union system for supply chain due diligence self-certificobligations of responsible importers ofpublic-interest entities, large groups and large undertakings that manufacture or contract to manufacture products containing tin, tantalum and tungsten, their ores, and gold originating in conflict- affected and high-risk areas
Amendment 96 #
Proposal for a regulation
Recital 13
Recital 13
(13) SIn addition to the obligations of the public-interest entities and large undertakings that manufacture or contract to manufacture products containing minerals or metals, smelters and refiners are also 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, taking into consideration the reputation of the trader concerned, since, in many instances, it is at that point in the supply chain where minerals or metals are certified, by arrangement with local authorities, on the basis of false certificates.
Amendment 100 #
Proposal for a regulation
Recital 14
Recital 14
(14) The Member State competent authorities are responsible to ensure the uniform compliance ofwith the self- certification of responsible importers by carrying out appropriate ex-post checks so as to verify whether the self-certified responsible importers of the minerals and/or metals within the scope of the Regulation comply with the supply chain due diligence obligations. Records of such checks should be kept for at least 5 years. Member States are responsible to lay down the rules applicable to infringements of the provisions of this Regulationobligations set out in this Regulation of public- interest entities, large groups and large undertakings that manufacture or contract to manufacture products containing minerals or metals within the scope of this Regulation pursuant to Directive 2013/34/EU of the European Parliament and of the Council1a by carrying out appropriate ex-post checks so as to verify whether they comply with the supply chain due diligence obligations. Records of such checks should be kept for at least 5 years. Member States are responsible to lay down the rules applicable to infringements of the provisions of this Regulation. __________________ 1aDirective 2013/34/EU of the European Parliament and of the Council of 26 June 2013 on the annual financial statements, consolidated financial statements and related reports of certain types of undertakings, amending Directive 2006/43/EC of the European Parliament and of the Council and repealing Council Directives 78/660/EEC and 83/349/EEC Text with EEA relevance (OJ L 182, 29.6.2013, p. 19).
Amendment 108 #
Proposal for a regulation
Recital 16
Recital 16
(16) The Commission should report regularly to the Council and the European Parliament on the effects of the scheme. No later than threewo years after entering into force and every sixfour years thereafter, the Commission should review the functioning and the effectiveness of this Regulation, including as regards the promotion of responsible sourcing of the minerals within its scope from conflict-affected and high- risk areas. The reports may be accompanied, if necessary, by appropriate legislative proposals, which may include mandatory measures,
Amendment 113 #
Proposal for a regulation
Article 1 – paragraph 1
Article 1 – paragraph 1
Amendment 124 #
Proposal for a regulation
Article 1 – paragraph 2
Article 1 – paragraph 2
2. This Regulation lays down the supply chain due diligence obligations of Union importers who choose to be self-certified as responsible importers of minerals or metals containing or consisting of tin, tantalum, tungsten and gold, as set out in Annex Ipublic-interest entities, large groups and large undertakings that manufacture or contract to manufacture products containing minerals or metals containing or consisting of tin, tantalum, tungsten and gold, as set out in Annex I. It is designed to provide transparency and certainty as regards their supply practices when sourcing from conflict-affected and high- risk areas, in order to minimise or prevent violent conflicts and human rights abuse by curtailing opportunities for armed groups and security forces, as defined in in Annex II to the OECD Due Diligence Guidance, to trade in those minerals or metals.
Amendment 141 #
Proposal for a regulation
Article 2 – paragraph 1 – point b a (new)
Article 2 – paragraph 1 – point b a (new)
(ba) ‘manufacturing products or contracting to manufacture products’ means having some actual influence over the manufacturing of products containing minerals or metals containing or consisting of tin, tantalum, tungsten and gold, taking into account facts and circumstances, and the degree of influence public-interest entities, large groups and large undertakings exercise over the product’s manufacturing. Public- interest entities, large groups and large undertakings are not deemed to have influence over the manufacturing if they merely: affix their brand, marks, logo, or label to a generic product manufactured by a third party; service, maintain, or repair a product manufactured by a third party; specify or negotiate contractual terms with a manufacturer that do not directly relate to the manufacturing of the product.
Amendment 162 #
Proposal for a regulation
Article 2 – paragraph 1 – point h
Article 2 – paragraph 1 – point h
(h) ‘responsible importer’public interest entities’ means undertakings that manufacture or contract to means any importer who chooses to self-certify according to the rules set out in this Regulation;ufacture products containing minerals or metals containing or consisting of tin, tantalum, tungsten and gold within the scope of this Regulation and defined pursuant to the first indent of Article 2(1) of Directive 2013/34/EU as those that are governed by the law of a Member State and whose transferable securities are admitted to trading on a regulated market of any Member State within the meaning of point 14 of Article 4(1) of Directive 2004/39/EC of the European Parliament and of the Council1a; __________________ 1aDirective2004/39/EC of the European Parliament and of the Council of 21 April 2004 on markets in financial instruments amending Council Directives 85/611/EEC and 93/6/EEC and Directive 2000/12/EC of the European Parliament and of the Council and repealing Council Directive 93/22/EEC (OJ L 145, 30.4.2004, p. 1).
Amendment 163 #
Proposal for a regulation
Article 2 – paragraph 1 – point h a (new)
Article 2 – paragraph 1 – point h a (new)
(ha) ‘large groups’ means groups consisting of parent and subsidiary undertakings to be included in a consolidation which manufacture or contract to manufacture products containing minerals or metals containing or consisting of tin, tantalum, tungsten and gold within the scope of this Regulation which, on a consolidated basis, exceed at least two of the three following criteria, on the balance sheet date of the parent undertaking, pursuant to Article 3(7) of Directive 2013/34/EU: - balance sheet total: EUR 20 000 000; - net turnover: EUR 40 000 000; - average number of employees during the financial year: 250.
Amendment 164 #
Proposal for a regulation
Article 2 – paragraph 1 – point h b (new)
Article 2 – paragraph 1 – point h b (new)
(hb) ‘large undertakings’ mean undertakings that manufacture or contract to manufacture products containing minerals or metals containing or consisting of tin, tantalum, tungsten and gold within the scope of this Regulation which on its balance sheet dates exceed at least two of the three following criteria pursuant to Article 3(4) of Directive 2013/34/EU: - balance sheet total: EUR 20 000 000; - net turnover: EUR 40 000 000; - average number of employees during the financial year: 250.
Amendment 183 #
Proposal for a regulation
Article 2 – paragraph 1 – point p
Article 2 – paragraph 1 – point p
(p) ‘responsible smelters or refiners’ means smelters or refiners in the supply chain of the responsible importerpublic-interest entities, large groups and the large undertakings, as listed under Article 8 of this Regulation;
Amendment 188 #
Proposal for a regulation
Article 3 – title
Article 3 – title
Self-certification as a responsible importerupply chain due diligence obligations of public-interest entities, large groups and large undertakings
Amendment 189 #
Proposal for a regulation
Article 3 – paragraph 1
Article 3 – paragraph 1
1. Any importer of minerals or metalPublic-interest entities, large groups and large undertakings within the scope of theis Regulation may self-certify as responsible importershall certify by declaring to a Member State competent authority that ithey adheres to the supply chain due diligence obligations set out in this Regulation. The declaration shall contain documentation in which the importerpublic- interest entity, large group or large undertaking confirms its adherence to the obligations including results of the independent third- party audits carried out.
Amendment 196 #
Proposal for a regulation
Article 3 – paragraph 2
Article 3 – paragraph 2
2. The Member State competent authorities shall carry out appropriate ex-post checks in order to ensure that self-certified responsible importers of the minerals or metalensure that public-interest entities, large groups and large undertakings within the scope of this Regulation comply with their obligations pursuant to Articles 4, 5, 6, and 7 of this Regulation.
Amendment 200 #
Proposal for a regulation
Article 4 – paragraph 1 – introductory part
Article 4 – paragraph 1 – introductory part
The responsible importer of the minerals or metalpublic-interest entities, large groups and large undertakings within the scope of this Regulation shall:
Amendment 217 #
Proposal for a regulation
Article 4 – paragraph 1 – point f – point ii
Article 4 – paragraph 1 – point f – point ii
(ii) name and address of the supplier to the importerpublic-interest entity, large group or large undertaking,
Amendment 218 #
Proposal for a regulation
Article 4 – paragraph 1 – point f – point v a (new)
Article 4 – paragraph 1 – point f – point v a (new)
(va) when minerals originate from undeterminable areas, for a temporary two-year period, additional information, as follows: - the facilities used to process the minerals, if known; - the country of origin of the minerals, if known; - the efforts to determine the mine or location of origin with the greatest possible specificity; - the steps that have or will be taken, if any, since the most recent declaration in accordance with Article 7 of this Regulation to mitigate the risk in accordance with Article 5 of this Regulation, including any steps to improve due diligence. For those products that contain minerals of undeterminable origin, the public- interest entities, large groups and large undertakings shall not be required to obtain a third-party audit.
Amendment 221 #
Proposal for a regulation
Article 4 – paragraph 1 – point g – point vi a (new)
Article 4 – paragraph 1 – point g – point vi a (new)
(via) where the public-interest entities, large groups and large undertakings can reasonably conclude and prove that metals are derived from recycled or scrap sources, they shall be exempt from application of this Regulation;
Amendment 222 #
Proposal for a regulation
Article 4 – paragraph 1 – point g – point vi b (new)
Article 4 – paragraph 1 – point g – point vi b (new)
(vib) where public-interest entities, large groups and large undertakings cannot conclude that its source of gold is derived from recycled or scrap sources, they shall be required to provide additional information in accordance with the specific recommendations set out in the OECD Due Diligence Guidance and its Supplement on Gold and to obtain a third party audit;
Amendment 223 #
Proposal for a regulation
Article 4 – paragraph 1 – point g – point vi c (new)
Article 4 – paragraph 1 – point g – point vi c (new)
(vic) where public-interest entities, large groups and large undertakings cannot conclude that its sources of tin, tantalum or tungsten are derived from recycled or scrap sources, they shall be required to describe the due diligence measures they exercised in determining that its metals are from recycled or scrap sources and shall not be required to obtain a third- party audit;
Amendment 229 #
Proposal for a regulation
Article 5 – paragraph 1 – introductory part
Article 5 – paragraph 1 – introductory part
1. The responsible importer of the minerals or metalpublic-interest entities, large groups and large undertakings within the scope of this Regulation shall:
Amendment 243 #
Proposal for a regulation
Article 5 – paragraph 2
Article 5 – paragraph 2
2. If a responsible importerpublic-interest entity, a large group or a large undertaking pursues risk mitigation efforts while continuing trade or temporarily suspending trade, it shall consult with suppliers and affected stakeholders, including local and central government authorities, international or civil society organisations and affected third parties, and agree on a strategy for measurable risk mitigation in the risk management plan.
Amendment 246 #
Proposal for a regulation
Article 5 – paragraph 3
Article 5 – paragraph 3
3. A responsible importerpublic-interest entity, large group or large undertaking shall, in order to design conflict and high-risk sensitive strategies for mitigation in the risk management plan, rely on the measures and indicators under Annex III of the OECD Due Diligence Guidance and measure progressive improvement.
Amendment 253 #
Proposal for a regulation
Article 6 – paragraph 1
Article 6 – paragraph 1
The responsible importer of the minerals or metalspublic-interest entity, large group or large undertaking within the scope of this Regulation shall carry out audits via an independent third- party.
Amendment 258 #
Proposal for a regulation
Article 6 – paragraph 2 – point a
Article 6 – paragraph 2 – point a
(a) include in the audit scope all of the responsible importer’s activities, processes and systems of the public-interest entity, large group or large undertaking that are used to implement supply chain due diligence regarding minerals or metals within the scope of the Regulation, including the responsible importer’s management system, risk management, and disclosure of information of the public-interest entity, large group or large undertaking,
Amendment 259 #
Proposal for a regulation
Article 6 – paragraph 2 – point b
Article 6 – paragraph 2 – point b
(b) determine as the objective of the audit the conformity of the responsible importer’s supply chain due diligence practices of the public-interest entity, large group or large undertaking with Articles 4, 5 and 7 of this Regulation,
Amendment 268 #
Proposal for a regulation
Article 7 – paragraph 1 – introductory part
Article 7 – paragraph 1 – introductory part
1. By 31 March of each year at the latest, the responsible importer of minerals or metalspublic-interest entity, the large group or the large undertaking within the scope of this Regulation shall submit to the Member State competent authority the following documentation covering the previous year’s calendar period:
Amendment 274 #
Proposal for a regulation
Article 7 – paragraph 2
Article 7 – paragraph 2
2. By 31 March of each year at the latest, the responsible importer of mineralspublic-interest entity, the large group or the large undertaking within the scope of this Regulation shall submit to the Member State competent authority the documentation covering the previous year’s calendar period as regards the proportion of minerals originating from conflict-affected and high-risk areas relative to the total amount of minerals purchased, as confirmed by independent third-party audits in accordance with Article 6 of this Regulation.
Amendment 289 #
Proposal for a regulation
Article 7 – paragraph 3 – introductory part
Article 7 – paragraph 3 – introductory part
3. By 31 March of each year at the latest, the responsible importer of metalspublic-interest entity, the large group or the large undertaking within the scope of this Regulation shall submit to the Member State competent authority the following documentation covering the previous year’s calendar period:
Amendment 298 #
Proposal for a regulation
Article 7 – paragraph 4
Article 7 – paragraph 4
4. The responsible importer of minerals or metalspublic-interest entity, the large group or the large undertaking within the scope of this Regulation shall make available to its immediate downstream purchasers all information gained and maintained pursuant to its supply chain due diligence with due regard to business confidentiality and other competitive concerns.
Amendment 301 #
Proposal for a regulation
Article 7 – paragraph 5
Article 7 – paragraph 5
5. The responsible importer of minerals or metalpublic-interest entities, the large groups or the large undertakings within the scope of this Regulation shall publicly report as widely as possible, including on the internet and on an annual basis on its supply chain due diligence policies and practices for responsible sourcing. The report shall contain the steps taken by the responsible importer to implement the obligations as regards its management system, risk management set out in Article 4 and 5 respectively, as well as a summary report of the third-party audits, including the name of the auditor, with due regard to business confidentiality and other competitive concerns.
Amendment 321 #
Proposal for a regulation
Article 9 a (new)
Article 9 a (new)
Article 9a Grievance mechanism as an early- warning risk-awareness system within the authorities responsible in the Member States 1. A grievance mechanism as an early- warning risk system shall be put in place within the authority or authorities who are responsible for application of this Regulation. 2. Any undertaking, no matter what its size, may be reported to the authorities responsible on the basis of well-founded information by a natural or legal person whose aonymity will be preserved. 3. The information received shall be forwarded to the Commission without delay.
Amendment 324 #
Proposal for a regulation
Article 10 – paragraph 1
Article 10 – paragraph 1
1. The competent authorities of the Member States shall carry out appropriate ex-post checks in order to ensure whether self-certified responsible importers of minerals and metalpublic-interest entities, large groups and large undertakings within scope of this Regulation comply with the obligations set out in Articles 4, 5, 6 and 7.
Amendment 330 #
Proposal for a regulation
Article 10 – paragraph 3 – point a
Article 10 – paragraph 3 – point a
(a) examination of the responsible importer’s implementationimplementation by the public interest entity, the large group or the large undertaking of supply chain due diligence obligations including the management system, risk management, independent third-party audit and disclosure,
Amendment 335 #
Proposal for a regulation
Article 10 – paragraph 4
Article 10 – paragraph 4
4. Responsible importerPublic-interest entities, large groups and large undertakings shall offer all assistance necessary to facilitate the performance of the checks referred to in paragraph 1, notably as regards access to premises and the presentation of documentation and records.
Amendment 342 #
Proposal for a regulation
Article 12 – paragraph 1
Article 12 – paragraph 1
1. Competent authorities shall exchange information, including with their respective customs authorities, on matters pertaining to self-certificationobligations of public-interest entities, large groups and large undertakings and ex-post checks carried out as set out in this Regulation.
Amendment 356 #
Proposal for a regulation
Article 14 – paragraph 2
Article 14 – paragraph 2
2. In case of an infringement of the provisions of this Regulation, the competent authorities of Member States shall issue a notice of remedial action to be taken by the responsible importerpublic-interest entity, the large group or the large undertaking.
Amendment 361 #
Proposal for a regulation
Article 14 – paragraph 3
Article 14 – paragraph 3
3. In case of inadequate remedial action by the responsible importerpublic-interest entity, the large group or the large undertaking, the competent authority shall issue to the importer atake notice of non-recognition of its responsible importer certificate as regards the minerals or metalsuch non- action as infringement of the obligations within the scope of this Regulation and inform the Commission.
Amendment 369 #
Proposal for a regulation
Article 15 – paragraph 3
Article 15 – paragraph 3
3. Threewo years after the entry into force of this Regulation and every sixfour years thereafter, the Commission shall review the functioning and effectiveness of this Regulation, including on the promotion and cost of responsible sourcing of the minerals within its scope from conflict- affected and high-risk areas. The Commission shall submit a review report to the European Parliament and to the Council.