Ex-post checks on Union importers
Article 11
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.