27.9.2016 |
EN |
Official Journal of the European Union |
C 353/173 |
P8_TA(2015)0204
Union system for self-certification of importers of certain minerals and metals originating in conflict-affected and high-risk areas ***I
Amendments adopted by the European Parliament on 20 May 2015 on the 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 importers of tin, tantalum and tungsten, their ores, and gold originating in conflict-affected and high-risk areas (COM(2014)0111 — C7-0092/2014 — 2014/0059(COD)) (1)
(Ordinary legislative procedure: first reading)
(2016/C 353/28)
Amendment 1
Proposal for a regulation
Recital 1
Text proposed by the Commission |
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Amendment 2
Proposal for a regulation
Recital 1 a (new)
Text proposed by the Commission |
Amendment |
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Amendment 3
Proposal for a regulation
Recital 2
Text proposed by the Commission |
Amendment |
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(The amendment resulting in the replacement of the word ‘regions’ by ‘areas’' applies throughout the text.) |
Amendment 4
Proposal for a regulation
Recital 5 a (new)
Text proposed by the Commission |
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Amendment 5
Proposal for a regulation
Recital 7
Text proposed by the Commission |
Amendment |
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Amendment 6
Proposal for a regulation
Recital 8
Text proposed by the Commission |
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Amendments 71, 91 and 112
Proposal for a regulation
Recital 9 a (new)
Text proposed by the Commission |
Amendment |
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Amendment 57
Proposal for a regulation
Recital 11 a (new)
Text proposed by the Commission |
Amendment |
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Amendment 9
Proposal for a regulation
Recital 11 b (new)
Text proposed by the Commission |
Amendment |
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Amendment 10
Proposal for a regulation
Recital 12
Text proposed by the Commission |
Amendment |
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Amendment 12
Proposal for a regulation
Recital 12 a (new)
Text proposed by the Commission |
Amendment |
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Amendment 14
Proposal for a regulation
Recital 13
Text proposed by the Commission |
Amendment |
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Amendment 15
Proposal for a regulation
Recital 13 a (new)
Text proposed by the Commission |
Amendment |
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Amendment 16
Proposal for a regulation
Recital 13 b (new)
Text proposed by the Commission |
Amendment |
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Amendment 18
Proposal for a regulation
Recital 15 a (new)
Text proposed by the Commission |
Amendment |
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Amendment 19
Proposal for a regulation
Recital 15 b (new)
Text proposed by the Commission |
Amendment |
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Amendment 20
Proposal for a regulation
Recital 16
Text proposed by the Commission |
Amendment |
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Amendment 21
Proposal for a regulation
Recital 16 a (new)
Text proposed by the Commission |
Amendment |
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Amendment 60
Proposal for a regulation
Article 1 — paragraph 1
Text proposed by the Commission |
Amendment |
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 forces (12) 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. |
1. This Regulation sets up a Union system for supply chain due diligence certification in order to curtail opportunities for armed groups and security forces (12) 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. |
Amendment 154
Proposal for a regulation
Article 1 — paragraph 2
Text proposed by the Commission |
Amendment |
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 . |
2. This Regulation lays down the supply chain due diligence obligations of all Union importers who source minerals and metals falling within the scope of this Regulation, in accordance with the OECD Due Diligence Guidance . That guidance is designed to guarantee transparency and traceability in respect of importers’ sourcing practices in conflict-affected or high-risk areas, in order 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 those minerals and metals. |
Amendment 23
Proposal for a regulation
Article 1 — paragraph 2 a (new)
Text proposed by the Commission |
Amendment |
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2a. Metals reasonably assumed to be recycled shall be excluded from the scope of this Regulation. |
Amendments 76, 97, 117 and 135
Proposal for a regulation
Article 1 — paragraph 2 b (new)
Text proposed by the Commission |
Amendment |
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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, its size and its position in the supply chain. |
Amendments 77, 98, 118 and 136
Proposal for a regulation
Article 1 — paragraph 2 c (new)
Text proposed by the Commission |
Amendment |
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2c. The Commission, working with industry schemes and in accordance with the OECD Guidance, may provide further guidelines on the obligations to be met by undertakings, depending on their position in the supply chain, to ensure that the system involves a flexible procedure that takes into account the position of SMEs. |
Amendment 155
Proposal for a regulation
Article 1 — paragraph 2 d (new)
Text proposed by the Commission |
Amendment |
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2d. Under this Regulation and in accordance with the OECD Due Diligence Guidance, downstream companies shall take all reasonable steps to identify and address any risks arising in their supply chains for minerals and metals coming within the scope of this Regulation. In this connection, they shall be required to provide information on the due diligence practices they employ for responsible sourcing. |
Amendment 26
Proposal for a regulation
Article 2 — point b a (new)
Text proposed by the Commission |
Amendment |
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Amendment 24
Proposal for a regulation
Article 2 — point e
Text proposed by the Commission |
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Amendment 25
Proposal for a regulation
Article 2 — point g
Text proposed by the Commission |
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Amendment 100
Proposal for a regulation
Article 2 — point h
Text proposed by the Commission |
Amendment |
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deleted |
Amendment 138
Proposal for a regulation
Article 2 — point i
Text proposed by the Commission |
Amendment |
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deleted |
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(This amendment applies throughout the text) |
Amendment 29
Proposal for a regulation
Article 2 — point q a (new)
Text proposed by the Commission |
Amendment |
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Amendment 30
Proposal for a regulation
Article 2 — point q b (new)
Text proposed by the Commission |
Amendment |
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Amendment 31
Proposal for a regulation
Article 4 — point a
Text proposed by the Commission |
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Amendments 85, 126 and 145
Proposal for a regulation
Article 4 — paragraph 1 a (new)
Text proposed by the Commission |
Amendment |
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Where any undertaking can reasonably conclude that resources are derived only from recycled or scrap sources, it shall, with due regard to business confidentiality and competitive concerns: |
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Amendment 67
Proposal for a regulation
Article 6 — paragraph 2 a (new)
Text proposed by the Commission |
Amendment |
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Certified responsible importers of smelted and refined metals shall be exempted from carrying out independent third-party audits pursuant to Article 3(1a) of this Regulation provided they submit substantive evidence that all smelters and refiners in their supply chain conform to the provisions of this Regulation. |
Amendment 40
Proposal for a regulation
Article 7 a (new)
Text proposed by the Commission |
Amendment |
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Article 7a |
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List of responsible importers |
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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 importers of minerals and metals within the scope of this Regulation. |
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2. The Commission shall adopt the list using the template set out in Annex Ia and in accordance with the advisory procedure referred to in Article 13(2). |
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3. The Commission shall update and publish, including on the internet, the information included in the list in a timely manner. The Commission shall remove from the list the names of the importers that, in case of inadequate remedial action by the responsible importers, are no longer recognised as responsible importers by Member States in accordance with Article 14(3). |
Amendment 43
Proposal for a regulation
Article 7 b (new)
Text proposed by the Commission |
Amendment |
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Article 7b |
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Due diligence obligations applicable to smelters and refiners |
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1. Smelters and refiners established in the Union which process and import minerals and concentrates thereof shall have an obligation to apply the Union system for supply chain due diligence or a due diligence system recognised as equivalent by the Commission. |
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2. The Member States competent authorities shall ensure the proper application of the European due diligence system by smelters and refiners. If there is a failure to comply with these obligations, the authorities shall notify the fact to the smelter or refiner, and shall ask them to take corrective measures in order to comply with the European due diligence system. In the event of a persistent failure to comply, the Member States competent authorities shall impose penalties for the infringement of this Regulation. These penalties shall cease when the smelter or refiner complies with the provisions of this Regulation. |
Amendment 44
Proposal for a regulation
Article 8 — paragraph 1
Text proposed by the Commission |
Amendment |
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 refiners of minerals within the scope of this Regulation . |
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 refiners. |
Amendment 45
Proposal for a regulation
Article 8 — paragraph 2
Text proposed by the Commission |
Amendment |
2. The Commission shall identify on the list referred to in paragraph 1 those responsible smelters and refiners that source — at least partially — from conflict-affected and high-risk areas. |
2. The Commission shall identify on the list referred to in paragraph 1 those responsible smelters and refiners that source — at least partially — from conflict-affected and high-risk areas. This list shall be drawn up taking into account existing equivalent industry, governmental or other due diligence schemes covering the minerals and metals within the scope of this Regulation. |
Amendment 46
Proposal for a regulation
Article 8 — paragraph 3
Text proposed by the Commission |
Amendment |
3. The Commission shall adopt the list in accordance with the template in Annex II and the regulatory procedure referred to in Article 13(2). The OECD Secretariat shall be consulted. |
3. The Commission shall adopt the list using the template in Annex II and in accordance with the advisory procedure referred to in Article 13(2). The OECD Secretariat shall be consulted. |
Amendment 47
Proposal for a regulation
Article 8 — paragraph 4
Text proposed by the Commission |
Amendment |
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 importers. |
4. The Commission shall update and publish , including on the internet, 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 importers. |
Amendment 48
Proposal for a regulation
Article 9 — paragraph 2
Text proposed by the Commission |
Amendment |
2. The Commission shall make a decision to publish, including on the internet, a list of competent authorities in accordance with the template in Annex III and the regulatory procedure referred to in paragraph 2 of Article 13. The Commission shall update the list regularly. |
2. The Commission shall make a decision to publish, including on the internet, a list of competent authorities using the template in Annex III and in accordance with the advisory procedure referred to in Article 13 (2) . The Commission shall update the list regularly. |
Amendment 151
Proposal for a regulation
Article 10 — paragraph 1
Text proposed by the Commission |
Amendment |
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 scope of this Regulation comply with the obligations set out in Articles 4, 5, 6 and 7. |
1. The competent authorities of the Member States shall carry out appropriate ex-post checks in order to ensure whether 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 49
Proposal for a regulation
Article 10 — paragraph 2
Text proposed by the Commission |
Amendment |
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 responsible importer with this Regulation. |
2. The checks referred to in paragraph 1 shall be conducted by taking a risk-based approach. In addition, checks shall 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 importer with this Regulation. |
Amendment 51
Proposal for a regulation
Article 12 a (new)
Text proposed by the Commission |
Amendment |
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Article 12a |
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In order to create clarity and certainty for and consistency among economic operators, in particular SMEs, the Commission, in consultation with the European External Action Service and the OECD, shall prepare non-binding guidelines in the form of a handbook for companies, explaining how best to apply the criteria for those areas that may fall within the scope of this Regulation. This handbook shall be based on the definition of conflict-affected and high-risk areas as laid down in Article 2(e) of this Regulation and take into account the OECD Due Diligence Guidance in this field. |
Amendment 52
Proposal for a regulation
Article 13 — paragraph 2 — subparagraph 2
Text proposed by the Commission |
Amendment |
Where the opinion of the committee is to be obtained by written procedure, that procedure shall be terminated without result when, within the time-limit for delivery of the opinion, the chair of the committee so decides or a simple majority of committee members so request. |
deleted |
Amendment 53
Proposal for a regulation
Article 13 — paragraph 2 a (new)
Text proposed by the Commission |
Amendment |
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(2a) Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply. |
Amendment 55
Proposal for a regulation
Article 15 a (new)
Text proposed by the Commission |
Amendment |
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Article 15a Accompanying measures 1. The Commission shall submit a legislative proposal, as appropriate, within the transitional period setting up accompanying measures in order to enhance the effectiveness of this Regulation in line with the Joint Communication to the European Parliament and the Council entitled ‘Responsible sourcing of minerals originating in conflict-affected and high risk areas. Towards an integrated EU approach’ (JOIN (2014)0008). Accompanying measures to ensure an integrated EU approach to the duty of responsible sourcing shall foresee:
2. The Commission shall present an annual performance report of the accompanying measures implemented pursuant to paragraph 1 and of their impact and effectiveness. |
Amendment 56
Proposal for a regulation
Article 16 — paragraph 1 a (new)
Text proposed by the Commission |
Amendment |
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This Regulation shall apply from… (*) |
Amendment 59
Proposal for a regulation
Annex II — Column C a (new)
Text proposed by the Commission |
Amendment |
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Column Ca: Type of mineral |
(1) The matter was referred back to the committee responsible for reconsideration pursuant to Rule 61(2), second subparagraph (A8-0141/2015).
(1bis) Directive 2014/95/EU of the European Parliament and of the Council of 22 October 2014 amending Directive 2013/34/EU as regards disclosure of non-financial and diversity information by certain large undertakings and groups (OJ L 330, 15.11.2014, p. 1).
(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.
(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.
(13) Council Regulation (EEC) No 2913/92 of 12 October 1992 establishing the Community Customs Code (OJ L 302, 19.10.1992, p. 1).
(1a) Directive 2014/24/EU of the European Parliament and of the Council of 26 February 2014 on public procurement and repealing Directive 2004/18/EC (OJ L 94, 28.3.2014, p. 65).
(*) Two years after the date of entry into force of this Regulation