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Regulation (EU) 2017/821 of the European Parliament and of the CouncilShow full title
Regulation (EU) 2017/821 of the European Parliament and of the Council of 17 May 2017 laying down supply chain due diligence obligations for Union importers of tin, tantalum and tungsten, their ores, and gold originating from conflict-affected and high-risk areas
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Article 11Ex-post checks on Union importers
1.Member State competent authorities shall be responsible for carrying out appropriate ex-post checks in order to ensure that Union importers of minerals or metals comply with the obligations set out in Articles 4 to 7.
2.The ex-post checks referred to in paragraph 1 shall be conducted by taking a risk-based approach, as well as in cases 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 Union importer with this Regulation.
3.The ex-post checks referred to in paragraph 1 shall include, inter alia:
(a)examination of the Union importer's implementation of supply chain due diligence obligations under this Regulation, including regarding the management system, risk management, independent third-party audit and disclosure;
(b)examination of documentation and records that demonstrate the proper compliance with the obligations referred to in point (a);
(c)examination of audit obligations in accordance with the scope, objective and principles set out in Article 6.
The ex-post checks referred to in paragraph 1 should include on-the-spot inspections, including at the premises of the Union importer.
4.Union importers shall offer all the assistance necessary to facilitate the performance of the ex-post checks referred to in paragraph 1, in particular as regards access to premises and the presentation of documentation and records.
5.In order to ensure clarity of tasks and consistency of action among Member State competent authorities, the Commission shall prepare non-binding guidelines in the form of a handbook detailing the steps to be followed by Member State competent authorities carrying out the ex-post checks referred to in paragraph 1. Those guidelines shall include, as appropriate, templates of documents facilitating the implementation of this Regulation.
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