43 Amendments of Joachim SCHUSTER related to 2014/0059(COD)
Amendment 26 #
Proposal for a regulation
Title
Title
Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL setting up a Union system for supply chain due diligence self-certification of responsible importcompulsory reporting in respect of supply chain due diligence of importers, processors and final users of tin, tantalum and tungsten, their ores, and gold originating in conflict- affected and high-risk areas,
Amendment 55 #
Proposal for a regulation
Recital 7
Recital 7
(7) On 7 October26 February 20104, the European Parliament passed a Rresolution 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 20119 and 201210 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. __________________ 9 Commoditymarkets and raw maton promoting development through responsible business practices which drew attention to the role of extractive industries in developing countries. In that resolution, Parliament called on the Commission to bring forward binding legislation designed to ensure that purchases of minerials, COM(2011) 25 final. 10 Trade, COM(2012) 22 final. do not fuel conflicts; (EP 2013/2126(INI)) growth and development,
Amendment 80 #
Proposal for a regulation
Recital 10
Recital 10
(10) Third-party auditing of a company's compliance with the OECD Guidance on supply chain due diligence practices ensures credibility for the benefit of downstream companies and contributes to the improvement of the upstream due diligence practices.
Amendment 99 #
Proposal for a regulation
Recital 13
Recital 13
(13) Smelters and refiners are an important point in global mineral supply chains as they are typically the last stage in which due diligence can effectively be assured by collecting, disclosing and verifying information on the mineral's origin and chain of custody. After this stage of transformation it is often considered unfeasible to trace back the origins of minerals. A Union list of responsible smelters and refiners could therefore provides transparency and certainty to downstream companies as regards supply chain due diligence practices.
Amendment 110 #
Proposal for a regulation
Recital 14
Recital 14
(14) The Member State competent authorities are responsible to ensure the uniform compliance of the self- certification of responsible importers by carrying out appropriate ex-post checks so as to verify whether the self-certified responsible 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 arThe Commission should be responsible tofor laying down the rules applicable to and the financial penalties to be imposed for infringements of the provisions of this Regulation.
Amendment 114 #
Proposal for a regulation
Recital 14 a (new)
Recital 14 a (new)
(14a) The Commission should also be responsible for facilitating the work of importers by providing them with a list of responsible smelters and refineries.
Amendment 124 #
Proposal for a regulation
Recital 16
Recital 16
(16) The Commission should report regularly to the Council and the European Parliament on the effects of the scheme. No later than three years after entering into force and every six years thereafter, the Commission should review the functioning and the effectiveness of this Regulation, including as regards the promotion of responsible sourcing of the minerals within its scope from conflict-affected and high- risk areas. The reports may be accompanied, if necessary, by appropriate legislative proposals, which may include mandatory measures.
Amendment 134 #
Proposal for a regulation
Article 1 – paragraph 1
Article 1 – paragraph 1
1. This Regulation sets up a mandatory Union system for compliance with the OECD Guidance on supply chain due diligence self- certification in order to curtail opportunities for armed groups and security forces12 to trade in tin, tantalum and tungsten, their ores, and gold. It is designed to provide transparency and certainty as regards the supply practices of importers, smelters and refiners sourcing from conflict-affected and high-risk areas. __________________ 12 'Armed groups and security forces' as defined in Annex II of the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict- Affected and High-Risk Areas:Second Edition, OECD Publishing (OECD (2013). http://dx.doi.org/10.1787/9789264185050- en.
Amendment 149 #
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 I.
Amendment 200 #
Proposal for a regulation
Article 2 – paragraph 1 – point g
Article 2 – paragraph 1 – point g
g) 'importer' means any natural or legal person declaring minerals or metals within the scope of this Regulation or product components containing such minerals or metals for release for free circulation within the meaning of Article 79 of Council Regulation (EEC) No 2913/199213; __________________ 13 Council Regulation (EEC) No 2913/92 of 12 October 1992 establishing the Community Customs Code (OJ L 302, 19.10.1992, p. 1).
Amendment 209 #
Proposal for a regulation
Article 2 – paragraph 1 – point h
Article 2 – paragraph 1 – point h
Amendment 215 #
Proposal for a regulation
Article 2 – paragraph 1 – point i
Article 2 – paragraph 1 – point i
Amendment 240 #
Proposal for a regulation
Article 2 – paragraph 1 – point o
Article 2 – paragraph 1 – point o
o) 'supply chain due diligence' refers to the obligations of responsible importers of tin, tantalum and tungsten, their ores, and gold in relation to their management systems, risk management, third-party audits and disclosureforwarding of information to the relevant Member State authorities with a view to identifying and addressing actual and potential risks linked to conflict-affected and high risk-areas to prevent or mitigate adverse impacts associated with their sourcing activities;
Amendment 251 #
Proposal for a regulation
Article 2 – paragraph 1 – point q
Article 2 – paragraph 1 – point q
q) 'Member State competent authorities' means the designated one or more authorities with auditing competences and knowledge as regards raw materials and industrial processesa named authority to which importers must supply proof of compliance with this Regulation.
Amendment 260 #
Proposal for a regulation
Article 3 – title
Article 3 – title
Amendment 269 #
Proposal for a regulation
Article 3 – paragraph 1
Article 3 – paragraph 1
1. Any importer of minerals or metals within the scope of the Regulation may self-certify as responsible importer by declaring to a Member State competent authority that it adheres to the supply chain due diligence obligations set out in this Regulation. The declaration shall contain documentation in which the importer confirms its adherence to the obligations including results of the independent third-party audits carried outThe definition of emerging ‘conflict- affected regions’ shall be drawn up on the basis of dialogue between the Commission, the European Parliament, the competent Member State authorities and civil society actors.
Amendment 277 #
Proposal for a regulation
Article 3 – paragraph 2
Article 3 – paragraph 2
Amendment 284 #
Proposal for a regulation
Article 4 – paragraph 1 – introductory part
Article 4 – paragraph 1 – introductory part
The responsible importer of the minerals or metals within the scope of this Regulation shall:
Amendment 290 #
Proposal for a regulation
Article 4 – paragraph 1 – point a
Article 4 – paragraph 1 – point a
a) adopt and clearly communicate to suppliers and the public its supply chain policsupplies the competent Member State authority with proof of compliance with its due diligence obligation by the entire supply chain downstream from the smelter or refinery for the minerals and metals potentially originating from conflict- affected and high-risk areas and clearly communicates this to the public,
Amendment 307 #
Proposal for a regulation
Article 4 – paragraph 1 – point f – introductory part
Article 4 – paragraph 1 – point f – introductory part
f) as regards minerals, operate a chain of custody or supply chain traceability system that provides, supported by documentation, the following informationcompiles the following information, which can be supported by documentation, from its suppliers and makes it available to the competent Member State authorities:
Amendment 327 #
Proposal for a regulation
Article 5 – paragraph 1 – introductory part
Article 5 – paragraph 1 – introductory part
1. The responsible importer of the minerals or metals within the scope of this Regulation shall:
Amendment 345 #
Proposal for a regulation
Article 5 – paragraph 2
Article 5 – paragraph 2
2. If a responsiblen importer 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 350 #
Proposal for a regulation
Article 5 – paragraph 3
Article 5 – paragraph 3
3. A responsiblen importer 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 359 #
Proposal for a regulation
Article 6 – paragraph 1
Article 6 – paragraph 1
The responsible importer of the minerals or metals within the scope of this Regulation shall carry out audits via an independent third- party and shall make the findings available to the competent Member State authorities.
Amendment 370 #
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 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,
Amendment 375 #
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 with Articles 4, 5 and 7 of this Regulation,
Amendment 390 #
Proposal for a regulation
Article 7 – paragraph 1 – introductory part
Article 7 – paragraph 1 – introductory part
1. By 31 March of each year at the latest, the responsible importer of minerals or metals within the scope of this Regulation shall submit to the Member State competent authority the following documentation covering the previous year's calendar period:
Amendment 393 #
Proposal for a regulation
Article 7 – paragraph 1 – point a
Article 7 – paragraph 1 – point a
Amendment 416 #
Proposal for a regulation
Article 7 – paragraph 3 – introductory part
Article 7 – paragraph 3 – introductory part
3. By 31 March of each year at the latest, the responsible importer of metals within the scope of this Regulation shall submit to the Member State competent authority the following documentation covering the previous year's calendar period:
Amendment 422 #
Proposal for a regulation
Article 7 – paragraph 3 – point a
Article 7 – paragraph 3 – point a
(a) name and address of each of the responsible smelters or refiners in its supply chain,
Amendment 425 #
Proposal for a regulation
Article 7 – paragraph 3 – point b
Article 7 – paragraph 3 – point b
(b) independent third-party audits regarding each of the responsible smelters or refiners in its supply chain carried out in accordance with the scope, objective and principles set out in Article 6 of the Regulation,
Amendment 433 #
Proposal for a regulation
Article 7 – paragraph 4
Article 7 – paragraph 4
4. The responsible importer of minerals or metals within the scope of this 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 438 #
Proposal for a regulation
Article 7 – paragraph 5
Article 7 – paragraph 5
5. The responsible importer of minerals or metals within the scope of this 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 467 #
Proposal for a regulation
Article 9 – paragraph 1 – subparagraph 1
Article 9 – paragraph 1 – subparagraph 1
Each Member State shall designate one or more competent authorities in charge of the application offor receiving imports' reports and for verifying compliance with this Regulation.
Amendment 478 #
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 metals within the scope of this Regulation comply with the obligations set out in Articles 4, 5, 6 and 7.
Amendment 485 #
Proposal for a regulation
Article 10 – paragraph 2
Article 10 – paragraph 2
2. The checks referred to in paragraph 1 shall be conducted by taking a risk-based approach. In addition, checks may be conducted when a competent authority is in possession of relevant information, including on the basis of substantiated concerns provided by third parties, concerning the compliance by a responsiblen importer with this Regulation.
Amendment 490 #
Proposal for a regulation
Article 10 – paragraph 3 – point a
Article 10 – paragraph 3 – point a
(a) examination of the responsible importer'’s implementation of supply chain due diligence obligations including the management system, risk management, independent third-party audit and disclosure,
Amendment 493 #
Proposal for a regulation
Article 10 – paragraph 3 – point b
Article 10 – paragraph 3 – point b
(b) examination of documentation and records that demonstrate the proper compliance with the OECD's supply chain dDue dDiligence obligationsGuidance,
Amendment 499 #
Proposal for a regulation
Article 10 – paragraph 4
Article 10 – paragraph 4
4. Responsible iImporters 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 512 #
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-certificationimporters' reports and ex-post checks carried out.
Amendment 543 #
Proposal for a regulation
Article 14 – paragraph 1
Article 14 – paragraph 1
1. The Member StatesCommission shall lay down the rulfinancial penalties applicable to infringements of the provisions of this Regulation.
Amendment 547 #
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 importer.
Amendment 550 #
Proposal for a regulation
Article 14 – paragraph 3
Article 14 – paragraph 3
3. In case of inadequate remedial action by the responsible importer, the competent authority shall issue tonotify the importer a notice of non-recognition of its responsible importer certificate as regards the minerals or metals within the scope of this Regulatof the financial penalties laid down by the Commission and shall inform the Commission.