42 Amendments of Pablo ZALBA BIDEGAIN related to 2014/0059(COD)
Amendment 29 #
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-certification of responsible importeoperators of tin, tantalum and tungsten, their ores, and gold originating in conflict-affected and high-risk areas
Amendment 85 #
Proposal for a regulation
Recital 11 a (new)
Recital 11 a (new)
(11a) Many existing supply chain due diligence systems could contribute to achieving the aims of the Regulation. However, the criteria and procedures for the recognition of such schemes need to be clarified to allow for respect for high standards and the avoidance of double auditing.
Amendment 102 #
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. 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.
Amendment 112 #
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 importeoperators 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 Regulation.
Amendment 122 #
Proposal for a regulation
Recital 15 a (new)
Recital 15 a (new)
(15a) In order to guarantee the efficient implementation of this Regulation, provision should be made for a two-year transitional period to allow the European Commission to set up a third-party audit system and for responsible importers to become familiar with their obligations under this Regulation.
Amendment 129 #
Proposal for a regulation
Recital 16
Recital 16
(16) The Commission should report regularly to the Council and the European Parliament and the Council on the effects of the scheme. No later than tThree years after entering into forcethe date of entry into application and every sixthree 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 137 #
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- 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 importeoperators, 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 151 #
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 tooperators who shall be self-certified as responsible importeoperators of minerals or metals containing or consisting of tin, tantalum, tungsten and gold, as set out in Annex I. Metals reasonably assumed to be recycled are excluded from the scope of this Regulation.
Amendment 202 #
Proposal for a regulation
Article 2 – paragraph 1 – point g
Article 2 – paragraph 1 – point g
(g) 'importeoperator' means any natural or legal person declaringthat places 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 establison the market for the first time; (ga) 'placing on the market' means the supply by any means, irrespective of the selling technique used, of products for the first time on the internal market for distribution or use in the course of commercial activity whether in return for payment or free of charge, including the supply by means of distance communication as defined in Directive 97/7/EC; 'placing on the market' also includes the supply on the internal market of products derived from minerals or metals withing the Community Customs Code (OJ L 302, 19.10.1992, p. 1).scope of this Regulation already placed on the internal market;
Amendment 212 #
Proposal for a regulation
Article 2 – paragraph 1 – point h
Article 2 – paragraph 1 – point h
(h) 'responsible importeoperator' means any importer who chooses tooperator who shall self-certify according to the rules set out in this Regulation;
Amendment 237 #
Proposal for a regulation
Article 2 – paragraph 1 – point l
Article 2 – paragraph 1 – point l
(l) 'risk management plan' means the importeoperators' written response to the identified supply chain risks based on Annex III to the OECD Due Diligence Guidance14 ; __________________ 14 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 242 #
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 importeoperators of tin, tantalum and tungsten, their ores, and gold 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;
Amendment 245 #
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 importeoperator;
Amendment 254 #
(qa) 'recycled metals' means reclaimed end-user or post-consumer products, or scrap processed metals created during product manufacturing; recycled metals include 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 256 #
Proposal for a regulation
Article 2 – paragraph 1 – point q b (new)
Article 2 – paragraph 1 – point q b (new)
(qb) 'industry scheme' means a combination of supply chain due diligence procedures, tools or mechanisms, developed and overseen by relevant industry associations, including third party audits;
Amendment 263 #
Proposal for a regulation
Article 3 – title
Article 3 – title
Self-certification as a responsible importeoperator
Amendment 271 #
Proposal for a regulation
Article 3 – paragraph 1
Article 3 – paragraph 1
1. Any importeoperator of minerals or metals within the scope of the Regulation mayshall self-certify as responsible importeoperator 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 importeoperator confirms its adherence to the obligations including results of the independent third- party audits carried out.
Amendment 279 #
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 importeoperators 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 286 #
Proposal for a regulation
Article 4 – paragraph 1 – introductory part
Article 4 – paragraph 1 – introductory part
The responsible importeoperator of the minerals or metals within the scope of this Regulation shall:
Amendment 329 #
Proposal for a regulation
Article 5 – paragraph 1 – introductory part
Article 5 – paragraph 1 – introductory part
1. The responsible importeoperator of the minerals or metals within the scope of this Regulation shall:
Amendment 347 #
Proposal for a regulation
Article 5 – paragraph 2
Article 5 – paragraph 2
2. If a responsible importeoperator 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 352 #
Proposal for a regulation
Article 5 – paragraph 3
Article 5 – paragraph 3
3. A responsible importeoperator 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 361 #
Proposal for a regulation
Article 6 – paragraph 1
Article 6 – paragraph 1
The responsible importeoperator of the minerals or metals within the scope of this Regulation shall carry out audits via an independent third-party.
Amendment 372 #
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 importeoperator'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 importeoperator's management system, risk management, and disclosure of information,
Amendment 377 #
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 importeoperator's supply chain due diligence practices with Articles 4, 5 and 7 of this Regulation,
Amendment 392 #
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 importeoperator 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 401 #
Proposal for a regulation
Article 7 – paragraph 2
Article 7 – paragraph 2
2. By 31 March of each year at the latest, the responsible importeoperator of minerals 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 418 #
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 importeoperator 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 435 #
Proposal for a regulation
Article 7 – paragraph 4
Article 7 – paragraph 4
4. The responsible importeoperator 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 440 #
Proposal for a regulation
Article 7 – paragraph 5
Article 7 – paragraph 5
5. The responsible importeoperator 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 importeoperator 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 445 #
Proposal for a regulation
Article 7 a (new)
Article 7 a (new)
Amendment 464 #
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. 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 importeoperators.
Amendment 475 #
Proposal for a regulation
Article 10 – title
Article 10 – title
Ex-post checks on responsible importeoperators
Amendment 480 #
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 importeoperators of minerals and metals within scope of this Regulation comply with the obligations set out in Articles 4, 5, 6 and 7.
Amendment 487 #
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 mayshall 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 importeoperator with this Regulation.
Amendment 492 #
Proposal for a regulation
Article 10 – paragraph 3 – point a
Article 10 – paragraph 3 – point a
(a) examination of the responsible importeoperator's implementation of supply chain due diligence obligations including the management system, risk management, independent third-party audit and disclosure,
Amendment 501 #
Proposal for a regulation
Article 10 – paragraph 4
Article 10 – paragraph 4
4. Responsible importeoperators 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 535 #
Proposal for a regulation
Article 13 – paragraph 2 – subparagraph 2
Article 13 – paragraph 2 – subparagraph 2
Amendment 549 #
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 importeoperator.
Amendment 553 #
Proposal for a regulation
Article 14 – paragraph 3
Article 14 – paragraph 3
3. In case of inadequate remedial action by the responsible importeoperator, the competent authority shall issue to the importer a notice of non-recognition of its responsible importeoperator certificate as regards the minerals or metals within the scope of this Regulation and inform the Commission.
Amendment 562 #
Proposal for a regulation
Article 15 – paragraph 3
Article 15 – paragraph 3
3. Three years after the date of entry into force of this Regulation and every sixthree 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.
Amendment 566 #
Proposal for a regulation
Article 16 – paragraph 1 a (new)
Article 16 – paragraph 1 a (new)
This Regulation shall apply from...* ___________________________ *OJ: Please insert the date: two years after the date of entry into force of this regulation