61 Amendments of Javier NART related to 2014/0059(COD)
Amendment 15 #
Proposal for a regulation
Recital 1
Recital 1
(1) Natural mineral resources in conflict- affected or high risk areas − although holding great potential for development – can bare a cause of dispute whereand their revenues are fuelling the outbreak or continuation of violent conflict, undermining national endeavours towards development, good governance and the rule of law. In these areas, breaking the nexus between conflict and illegal exploitation of minerals is critical to peace and stability.
Amendment 17 #
Proposal for a regulation
Recital 1 a (new)
Recital 1 a (new)
(1a) The trafficking of natural mineral resources is the reason for the massacres, deaths, slavery, terrorism and use of child soldiers in the Great Lakes Region. The brutal regime in the region is the result of foreign government support for supposedly political movements there.
Amendment 19 #
Proposal for a regulation
Recital 1 b (new)
Recital 1 b (new)
(1b) The riches that armed gangs and pseudo-political movements can amass by selling, for example, blood diamonds in Sierra Leone, lie at the root of the most atrocious wars in Africa.
Amendment 21 #
Proposal for a regulation
Recital 1 c (new)
Recital 1 c (new)
(1c) By ignoring this situation, the international community is complicit in the activities of the countries in the region, which have suddenly become exporters of minerals they had never exported before, let alone in such quantities. As a result, it is unthinkable to suggest that the trading companies, whose aim is to enrich themselves, should self- regulate.
Amendment 22 #
Proposal for a regulation
Recital 1 d (new)
Recital 1 d (new)
(1d) Strict regulation is therefore absolutely vital in order to stop the terrible tragedy that is taking place in the Great Lakes Region, in which millions of people have been killed, and which is a result of the criminal complicity of countries and societies that have traded in the minerals concerned.
Amendment 23 #
Proposal for a regulation
Recital 1 e (new)
Recital 1 e (new)
(1e) Regional certification mechanisms, such as the OECD mechanism, have not worked in the interests of any of the contracting states. It is therefore vital that thorough checks be carried out in the countries of destination in the EU.
Amendment 24 #
Proposal for a regulation
Recital 2
Recital 2
(2) The issue concerns resource-rich regions where the challenge posed by the desire to minimiseshut off 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.
Amendment 27 #
Proposal for a regulation
Recital 7
Recital 7
(7) On 7 October 2010In its resolutions of 7 October 20109a, of 8 March 20119b, of 5 July 20119c and of 26 February 20149d, the European Parliament passed a Resolution callinged 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. _____________ 9aEuropean Parliament resolution of 7 October 2010 on failures in protection of human rights and justice in the Democratic Republic of Congo. 9bEuropean Parliament resolution of 8 March 2011 on Tax and Development – Cooperating with Developing Countries on Promoting Good Governance in Tax Matters. 9cEuropean Parliament resolution of 5 July 2011 on increasing the impact of EU development policy. 9dEuropean Parliament resolution of 26 February 2014 on promoting development through responsible business practices, including the role of extractive industries in developing countries. __________________ 10 Trade, growth and development, COM(2012) 22 final.
Amendment 33 #
Proposal for a regulation
Recital 9
Recital 9
(9) In the context of this Regulation, and in accordance with the OECD Guidance, supply chain due diligence is an on-going, proactive and reactive process through which business operators monitor and administer their purchases and sales with a view to ensuringupstream and downstream of the supply chain with a view to ensuring that they do not give rise to human rights abuses and that they do not contribute to conflict and adverse impacts thereof.
Amendment 40 #
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 assurbetter placed byto collecting, disclosinge 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, which themselves must comply, depending on their position in the supply chain, with due diligence practices as defined in this Regulation and the OECD Guidance.
Amendment 45 #
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 areThe Commission is responsible to lay down the rules applicable to infringements of the provisions of this Regulation and to notify those rules to the Member States.
Amendment 49 #
Proposal for a regulation
Recital 15
Recital 15
(15) In order to ensure the proper implementation of this Regulation, implementing powers should be conferred on the Commission. The implementing powers relating to the list of responsible smelters and refinimporters and the list of Member State competent authorities should be exercised in accordance with Regulation (EU) No 182/201111. __________________ 11 Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission’s exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).
Amendment 52 #
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 measuresust make it possible periodically to bring this Regulation into line with the situation on the ground.
Amendment 53 #
Proposal for a regulation
Recital 16 a (new)
Recital 16 a (new)
(16a) The Commission and the Vice- President of the Commission/High Representative of the Union for Foreign Affairs and Security Policy should submit a legislative proposal setting out effective flanking measures. That legislative proposal will supplement the joint communication to the European Parliament and the Council annexed to this Regulation.
Amendment 54 #
Proposal for a regulation
Recital 16 b (new)
Recital 16 b (new)
(16b) Once this Regulation has been adopted, the flanking measures should be implemented so that this Regulation can achieve its aims in conflict-affected and high-risk areas. These flanking measures should strengthen the ongoing political dialogue with the mineral-rich countries, make for closer harmonisation between national, regional and international certification systems and enhance international coordination in the area of due diligence practices.
Amendment 56 #
Proposal for a regulation
Article 1 – paragraph 1
Article 1 – paragraph 1
1. This Regulation sets up a Union system for supply chain due diligence self-mandatory certification in order to curtail opportunities for armed groups and security forces12 to trade in tin, tantalum and tungsten, their ores, and golderadicate trading in minerals and metals by armed groups and security forces12. It is designed to provide transparency and certainty as regards the supply practices of importers, in particular 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/10.1787/978926418505011158- en.
Amendment 61 #
Proposal for a regulation
Recital 1
Recital 1
(1) Natural mineral resources in conflict- affected or high risk areas − although holding great potential for development – can bare a cause of dispute whereand their revenues are fuelling the outbreak or continuation of violent conflict, undermining national endeavours towards development, good governance and the rule of law. In these areas, breaking the nexus between conflict and illegal exploitation of minerals is critical to peace and stability.
Amendment 61 #
Proposal for a regulation
Article 1 – paragraph 2
Article 1 – paragraph 2
2. This Regulation lays down the supply chain due diligence obligations of all Union importers who choose to be self-certified as responsible importers of minerals or metals containsource minerals and metals falling within the scope of this Regulation, in accordance with the OECD Guidance. It is designed to guarantee transparency and traceability in respect of their sourcing practices in conflict- affected or high-risk areas, ing or consisting of tin, tantalum, tungsten and gold, as set out in Annex Ider 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 these minerals and metals.
Amendment 62 #
Proposal for a regulation
Article 1 – paragraph 2 a (new)
Article 1 – paragraph 2 a (new)
2a. This Regulation shall apply to undertakings at all points in the minerals and metals supply chain which may supply or use minerals or metals from conflict-affected or high-risk areas.
Amendment 63 #
Proposal for a regulation
Article 1 – paragraph 2 b (new)
Article 1 – paragraph 2 b (new)
2b. In order to prevent unintended distortions of the market, this Regulation shall draw a distinction between the roles of undertakings situated upstream of and those situated downstream from the supply chain. The exercise of due diligence must be tailored to the activities of the undertaking in question and its position in the supply chain.
Amendment 65 #
Proposal for a regulation
Recital 1 a (new)
Recital 1 a (new)
(1a) The trafficking of natural mineral resources is the reason for the massacres, deaths, slavery, terrorism and use of child soldiers in the Great Lakes Region. The brutal regime in the region is the result of foreign government support for supposedly political movements there.
Amendment 68 #
Proposal for a regulation
Recital 1 b (new)
Recital 1 b (new)
(1b) The riches that armed gangs and pseudo-political movements can amass by selling, for example, blood diamonds in Sierra Leone, lie at the root of the most atrocious wars in Africa.
Amendment 69 #
Proposal for a regulation
Recital 1 c (new)
Recital 1 c (new)
(1c) By ignoring this situation, the international community is complicit in the activities of the countries in the region, which have suddenly become exporters of minerals they had never exported before, let alone in such quantities. As a result, it is unthinkable to suggest that the trading companies, whose aim is to enrich themselves, should self- regulate.
Amendment 70 #
Proposal for a regulation
Recital 1 d (new)
Recital 1 d (new)
(1d) Furthermore, strict regulation is absolutely vital in order to stop the terrible tragedy that is taking place in the Great Lakes Region, in which millions of people have been killed, and which is a result of the criminal complicity of countries and societies that have traded in the minerals concerned.
Amendment 71 #
Proposal for a regulation
Recital 1 e (new)
Recital 1 e (new)
(1e) Regional certification mechanisms, such as the OECD mechanism, have not worked in the interests of any of the contracting states. It is therefore vital that thorough checks be carried out in the countries of destination in the EU.
Amendment 73 #
Proposal for a regulation
Article 2 – point b a (new)
Article 2 – point b a (new)
(ba) ‘minerals and metals within the scope of the Regulation’ means all minerals and metals falling within the scope of this Regulation and of the OECD Guidance.
Amendment 76 #
Proposal for a regulation
Article 2 – point c a (new)
Article 2 – point c a (new)
(ca) ‘OECD Guidance’ means the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict- Affected and High-Risk Areas, Second Edition, OECD Publishing (OECD (2013)), including all Council recommendations, annexes and supplements, which may be periodically modified or replaced.
Amendment 82 #
Proposal for a regulation
Article 2 – point e
Article 2 – point e
(e) '‘conflict-affected and high-risk areas' means areas in a state of armed conflict, fragile post-conflict as well as areas witnessing weak or non-existent governance and security, such as failed states, and widespread and systematic’ are identified by the presence of armed conflict, widespread violence or other risks of harm to people. There are several types of armed conflict: international (which may involve two or more states) or non-international, wars of liberation, insurgencies, etc.; High-risk areas are characterised by political instability or repression, institutional weakness, insecurity, collapse of civil infrastructure and widespread violence, and also widespread human rights abuses and violations of international law, including human rights abuses;or international law.
Amendment 85 #
Proposal for a regulation
Article 2 – point f a (new)
Article 2 – point f a (new)
(fa) ‘downstream undertakings’ means metal traders and exchanges, component manufacturers, product manufacturers, original equipment manufacturers and retailers.
Amendment 87 #
Proposal for a regulation
Article 2 – point g
Article 2 – point g
(g) 'importer' means any natural or legal person decplarcing on the market for the first time minerals or metals within the scope of this Regulation for release for free circulation within the meaning of Article 79 of Council Regulation (EEC) No 2913/199213; __________________ 13Council Regulation (EEC) No 2913/92 of 12 October 1992 establishing the Community Customs Code (OJ L 302, 19.10.1992, p. 1).
Amendment 89 #
Proposal for a regulation
Article 2 – point h
Article 2 – point h
(h) '‘responsible importer'’ means any importer who chooses to self-certify according toomplies with the rules set out in this Regulation;
Amendment 91 #
Proposal for a regulation
Article 2 – point i
Article 2 – point i
(i) 'self-‘European responsible importer certification'e’ means the act of declaring one's adherence to the obligations relating to management systems, risk management, third-party audits and disclosure adocument issued by the competent authorities to any importer who undertakes to observe the rules set out in this Regulation;
Amendment 100 #
Proposal for a regulation
Article 2 – point n a (new)
Article 2 – point n a (new)
(na) ‘upstream undertakings’ means miners (artisanal and small-scale or large-scale producers), local traders or exporters from the country of mineral origin, international concentrate traders, mineral reprocessors and smelters/refineries.
Amendment 101 #
Proposal for a regulation
Article 2 – point o
Article 2 – point o
(o) '‘supply chain due diligence'’ refers to the obligations of responsible importers of tmin, tantalum and tungsten, their ores, and golderals and metals falling within the scope of this Regulation and the OECD Guidance in relation to their management systems, risk management, third-party audits and disclosure of information 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 and ensuring that the latter do not contribute to the illegal trade in minerals and the funding of conflicts and do not give rise to human rights abuses;
Amendment 103 #
Proposal for a regulation
Article 2 – point q a (new)
Article 2 – point q a (new)
(qa) ‘armed groups and security forces’ means groups as defined in Annex II to the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High Risk Areas.
Amendment 105 #
Proposal for a regulation
Article 3 – title
Article 3 – title
Amendment 108 #
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-ust be certifyied as a responsible importer by declaring to a Member State competent authority that it adheres to the supply chain due diligence obligations set out in this Regulation. The declaration shall contain documentation in which the importer confirms its adherence to the obligations including results of the independent third- party audits carried out.
Amendment 111 #
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 metals within the scope of this Regulation comply with their obligations pursuant to Articles 4, 5, 6, and 7 of this Regulation.
Amendment 112 #
Proposal for a regulation
Article 3 – paragraph 2 a (new)
Article 3 – paragraph 2 a (new)
2a. Imports shall not be permitted without the corresponding certification.
Amendment 114 #
Proposal for a regulation
Article 4 – introductory part
Article 4 – introductory part
Amendment 116 #
Proposal for a regulation
Article 4 – point a
Article 4 – point a
(a) adopt and clearly and systematically communicate to suppliers and the public its supply chain policy for the minerals and metals potentially originating from conflict- affected and high-risk areas,
Amendment 124 #
Proposal for a regulation
Article 4 – point g – point iii
Article 4 – point g – point iii
(iii) name and address of the smelters or refiners and/or any other intermediary in the importers' supply chain,;
Amendment 125 #
Proposal for a regulation
Article 4 – point g – point iv
Article 4 – point g – point iv
(iv) record of the smelters' or refiners' third-party audit reports, and/or those carried out in any other intermediary undertaking;
Amendment 126 #
Proposal for a regulation
Article 4 – point g a (new)
Article 4 – point g a (new)
(ga) Importers shall inform the authorities within one month of any changes regarding the description of the mineral and metals imported by them.
Amendment 155 #
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 and/or any other intermediary in its supply chain,
Amendment 157 #
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 and/or any other intermediary in its supply chain carried out in accordance with the scope, objective and principles set out in Article 6 of the Regulation,
Amendment 163 #
Proposal for a regulation
Article 8 – title
Article 8 – title
List of responsible smelters and refinimporters
Amendment 166 #
Proposal for a regulation
Article 8 – paragraph 1
Article 8 – paragraph 1
1. On the basis of the information provided by the Member States in their reports as referred to in Article 15, the Commission shall adopt and make publicly available a decision listing the names and addresses of responsible smelters and refinimporters of minerals within the scope of this Regulation.
Amendment 171 #
Proposal for a regulation
Article 8 – paragraph 4
Article 8 – paragraph 4
4. The Commission shall update the information included in the list in a timely manner. TEvery six months, the Commission shall remove from the list the names of the smelters and refinimporters 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.
Amendment 172 #
Proposal for a regulation
Article 8 – paragraph 4 a (new)
Article 8 – paragraph 4 a (new)
4a. Such removal shall result in the importer not being recognised, with imports of such origin thereby being prohibited.
Amendment 186 #
Proposal for a regulation
Article 12 a (new)
Article 12 a (new)
Article 12 a Definition of 'conflict area' or 'high risk area': The Commission shall, in close cooperation with the European External Action Service, make available to the public and companies adequate information as to what is meant by 'conflict area' or 'high risk area' and how they are defined.
Amendment 192 #
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-ust be certifyied as a responsible importer by declaring to a Member State competent authority that it adheres to the supply chain due diligence obligations set out in this Regulation. The declaration shall contain documentation in which the importer confirms its adherence to the obligations including results of the independent third- party audits carried out.
Amendment 195 #
Proposal for a regulation
Article 14 – title
Article 14 – title
Rules applicable to infringement and penalties
Amendment 196 #
Proposal for a regulation
Article 14 – paragraph 1
Article 14 – paragraph 1
1. The Member StatesCommission shall lay down the rulpenalties applicable to infringements of the provisions of this Regulation and communicate these to the Member States. The penalties provided for must be effective, proportionate and dissuasive. The Commission shall determine the measures necessary to ensure that they are implemented.
Amendment 197 #
Proposal for a regulation
Article 3 – paragraph 2 a (new)
Article 3 – paragraph 2 a (new)
2a. Imports shall not be permitted without the corresponding certification.
Amendment 198 #
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 ofnotify the responsible importer of the remedial action to be taken by the responsible importerhim.
Amendment 204 #
Proposal for a regulation
Article 15 – paragraph 3
Article 15 – paragraph 3
3. Three years after the entry into force of this Regulation and every six years thereafter, the Commission shall review the functioning and effectiveness of this Regulation, including on the promotion and cost of responsible sourcing of the minerals within its scope from conflict- affected and high-risk areas including political guidelines and taking into account the effectiveness of the accompanying measures. The Commission shall examine the possibility of extending these arrangements to other minerals and metals under the provisions of this paragraph. The Commission shall submit a review report to the European Parliament and to the Council.
Amendment 207 #
Proposal for a regulation
Article 15 – paragraph 3 a (new)
Article 15 – paragraph 3 a (new)
3a. This Regulation provides for a transitional two-year period to allow importers of minerals and metals falling within its scope to comply with the obligations of due diligence.
Amendment 208 #
Proposal for a regulation
Article 15 – paragraph 3 b (new)
Article 15 – paragraph 3 b (new)
3b. Any changes to the OECD guidelines shall apply mutatis mutandis to this regulation.
Amendment 210 #
Proposal for a regulation
Article 15 a (new)
Article 15 a (new)
Amendment 317 #
Proposal for a regulation
Article 8 – paragraph 4 a (new)
Article 8 – paragraph 4 a (new)
4a. Such removal shall result in the importer not being recognised, with imports of such origin thereby being prohibited.