[ParlTrack]

Proposal for a regulation
Recital 11 a (new)

(11a) Many already existing voluntary supply chain due diligence systems could contribute to achieving the aims of the Regulation. The criteria and procedures for the recognition and certification of such schemes need to be clarified to allow for respect for high standards and the avoidance of unnecessary double auditing.

2015/03/24
Committee: INTA

Daniel CASPARY

Proposal for a regulation
Article 1 – paragraph 1

1. This Regulation sets up a Union system for supply chain due diligence self- ~~certific~~declaration 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. (This amendment applies throughout the text.)

2015/03/24
Committee: INTA

Daniel CASPARY

Proposal for a regulation
Article 2 – paragraph 1 – point g

(g) 'importer' means any natural or legal person ~~declaring~~established in the Union in whose name the customs declaration is made (Importer of Record) for the physical introduction into the customs territory of the Union of the 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 ; __________________ 13 Council Regulation (EEC) No 2913/92 of 12 October 1992 establishing the Community Customs Code (OJ L 302, 19.10.1992, p. 1).

2015/03/24
Committee: INTA

Daniel CASPARY

Proposal for a regulation
Article 2 – paragraph 1 – point i

(i) 'self-certification' means the act of declaring one's adherence to the obligations relating to management systems, risk management, third-party ~~audits~~conformity assessment and disclosure as set out in this Regulation; (This amendment applies throughout the text. Adopting it will necessitate corresponding changes throughout)

2015/03/24
Committee: INTA

Daniel CASPARY

Proposal for a regulation
Article 2 – paragraph 1 – point q a (new)

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

2015/03/24
Committee: INTA

Daniel CASPARY

Proposal for a regulation
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.~~let a notified conformity assessment body carry out a conformity assessment in accordance with the conformity assessment scheme as mentioned in article 6a

2015/03/24
Committee: INTA

Daniel CASPARY

Proposal for a regulation
Article 6 – paragraph 2

The independent third-party audit shall (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, (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, (c) respect the audit principles of independence, competence and accountability as set out in the OECD Due Diligence Guidance.deleted

2015/03/24
Committee: INTA

Daniel CASPARY

Proposal for a regulation
Article 6 a (new)

Article 6 a Conformity assessment scheme The Commission shall adopt an implementing act designating one or more conformity assessment scheme(s) that: a) has as 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; and b) gives a presumption of conformity with the requirements of articles 4, 5 and 7 of this Regulation. That implementing act shall be adopted in accordance with the examination procedure referred to in Article 13 (3).

2015/03/24
Committee: INTA

Daniel CASPARY

Proposal for a regulation
Article 6 b (new)

Article 6 b Notification of conformity assessment bodies 1. Member States shall notify the Commission and the other Member States of bodies authorised to carry out third- party conformity assessment tasks under this regulation. 2. The Commission shall make publicly available the list of the bodies notified under this Regulation, including the identification numbers that have been allocated to them and the activities for which they have been notified. The Commission shall ensure that that list is kept up to date. 3. Member States may notify only conformity assessment bodies which have satisfied the requirements laid down in Article 6c. 4. Conformity assessment bodies that are accredited in accordance with Regulation (EC) No 765/2008 against an appropriate harmonised accreditation standard for carrying out conformity assessment based on a designated conformity assessment scheme, shall be presumed to comply with the requirements in Article 6c. 5. Where a notifying authority has ascertained or has been informed that a notified body no longer meets the requirements laid down in Article 6c, or that it is failing to fulfil its obligations, the notifying authority shall restrict, suspend or withdraw notification as appropriate, depending on the seriousness of the failure to meet those requirements or fulfil those obligations. It shall immediately inform the Commission and the other Member States accordingly. 6. In the event of restriction, suspension or withdrawal of notification, or where the notified body has ceased its activity, the notifying Member State shall take appropriate steps to ensure that the files of that body are either processed by another notified body or kept available for the responsible notifying Member State competent authorities at their request.

2015/03/24
Committee: INTA

Daniel CASPARY

Proposal for a regulation
Article 6 c (new)

Article 6 c Requirements related to conformity assessment bodies seeking notification 1. A conformity assessment body shall be established under national law and have legal personality. 2. A conformity assessment body shall be a third-party body independent of the importer it assesses as well from the smelter/refiner, smelter/refiner's subsidiaries, licensees, contractors, suppliers and companies cooperating in the conformity assessment. A body belonging to a business association or professional federation representing undertakings importing, melting or refining minerals under involved in which it assesses, may, on condition that its independence and the absence of any conflict of interest are demonstrated, be considered such a body. 3. A conformity assessment body, its top level management and the personnel responsible for carrying out the conformity assessment tasks shall not be the importer, smelter or refiner of tin, tantalum and tungsten, their ores, and gold. A conformity assessment body, its top level management and the personnel responsible for carrying out the conformity assessment tasks shall not be directly involved in the trade in and smelting and refining of tin, tantalum and tungsten, their ores, and gold or represent the parties engaged in those activities. They shall not engage in any activity that may conflict with their independence of judgement or integrity in relation to conformity assessment activities for which they are notified. This shall in particular apply to consultancy services. Conformity assessment bodies shall ensure that the activities of their subsidiaries or subcontractors do not affect the confidentiality, objectivity or impartiality of their conformity assessment activities. 5. Conformity assessment bodies and their personnel shall carry out the conformity assessment activities with the highest degree of professional integrity and the requisite technical competence in the specific field and shall be free from all pressures and inducements, particularly financial, which might influence their judgement or the results of their conformity assessment activities, especially as regards persons or groups of persons with an interest in the results of those activities. 6. A conformity assessment body shall be capable of carrying out all the conformity assessment tasks assigned to it by Article 6d and in relation to which it has been notified, whether those tasks are carried out by the conformity assessment body itself or on its behalf and under its responsibility. At all times and for each conformity assessment procedure in relation to which it has been notified, a conformity assessment body shall have at its disposal the necessary: (a) personnel with technical knowledge and sufficient and appropriate experience to perform the conformity assessment tasks; (b) descriptions of procedures in accordance with which conformity assessment is carried out, ensuring the transparency and the ability of reproduction of those procedures. It shall have appropriate policies and procedures in place that distinguish between tasks it carries out as a notified body and other activities; (c) procedures for the performance of activities which take due account of the size of an undertaking, the sector in which it operates, its structure, the degree of complexity of the product technology in question and the mass or serial nature of the production process. It shall have the means necessary to perform the technical and administrative tasks connected with the conformity assessment activities in an appropriate manner and shall have access to all necessary equipment or facilities. 7. The personnel responsible for carrying out conformity assessment activities shall have the following: (a) sound technical and vocational training covering all the conformity assessment activities in relation to which the conformity assessment body has been notified; (b) satisfactory knowledge of the requirements of the assessments they carry out and adequate authority to carry out those assessments; (c) appropriate knowledge and understanding of the essential requirements, of the applicable harmonised standards and of the relevant provisions of Union harmonisation legislation and of its implementing regulations; (d) the ability to draw up certificates, records and reports demonstrating that assessments have been carried out. 8. The impartiality of the conformity assessment bodies, their top level management and of the assessment personnel shall be guaranteed. The remuneration of the top level management and assessment personnel of a conformity assessment body shall not depend on the number of assessments carried out or on the results of those assessments. 9. Conformity assessment bodies shall take out liability insurance unless liability is assumed by the State in accordance with national law, or the Member State itself is directly responsible for the conformity assessment. 10. The personnel of a conformity assessment body shall observe professional secrecy with regard to all information obtained in carrying out their tasks under Article 6d or any provision of national law giving effect to it, except in relation to the competent authorities of the Member State in which its activities are carried out. Proprietary rights shall be protected.

2015/03/24
Committee: INTA

Daniel CASPARY

Proposal for a regulation
Article 6 d (new)

Article 6 d Obligations of notified conformity assessment bodies 1. The notified conformity assessment body shall carry out the conformity assessment in accordance with a certification scheme designated in accordance with article 6a . 2. Where a notified conformity assessment body finds that requirements laid down in the certification scheme have not been met by an importer, it shall require that importer to take appropriate corrective measures and shall not issue a certificate. 3. Where, in the course of the monitoring of conformity following the issue of a certificate, a notified conformity assessment body finds that a product no longer complies, it shall require the importer to take appropriate corrective measures and shall suspend or withdraw the certificate if necessary. 4. Where corrective measures are not taken or do not have the required effect, the notified conformity assessment body shall restrict, suspend or withdraw any certificates, as appropriate.

2015/03/24
Committee: INTA

Daniel CASPARY

Proposal for a regulation
Article 7 – paragraph 1 – point c

(c) ~~independent~~the certificate issued as result of the third- party ~~audits~~conformity assessment carried out in accordance with Article 6 of this Regulation.

2015/03/24
Committee: INTA

Daniel CASPARY

Proposal for a regulation
Article 7 – paragraph 3 – point b

(b) certificates of the independent third- party ~~audits~~conformity assessment body 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,

2015/03/24
Committee: INTA

Daniel CASPARY

Proposal for a regulation
Article 13 – paragraph 2 – subparagraph 2 a (new)

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

2015/03/24
Committee: INTA

14 Amendments of Daniel CASPARY related to 2014/0059(COD)

ParlTrack - 2011-2024