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Regulation (EU) 2017/821 establishes supply chain due diligence obligations for Union importers of tin, tantalum and tungsten, their ores, and gold, originating in conflict zones or high risk areas that exceed the annual import volumes established for 23 minerals and metals set out in Annex I of the Regulation, as amended by Commission Delegated Regulation (EU) 2020/1588 of 25 June 2020.
Timing of implementation
The Regulation entered into force on 8th June 2017 and applies from 9th July 2017, except for the provisions on Articles 3, 4, 5, 6, 7 and 11 which apply from January 1st 2021.
The requirements and entry into force of the due diligence obligation for imports of minerals and metals listed in Annex I of the Regulation shall apply for EU importers as of January 1st 2021.
From January 1st 2023 and every three years thereafter, the European Commission shall review the functioning and effectiveness of the Regulation by assessing its practical impact, including on the promotion and costs of responsible sourcing of minerals, as well as its impact on Union economic operators, including SMEs. The review shall also assess the adequacy and implementation of the due diligence schemes and the impact of the Union system, as well as the need for additional binding provisions.
Application of the regulation and ex-post checks
The Regulation applies directly to importers of tin, tantalum, tungsten and gold, whether in the form of ores, concentrates or processed metals who
• are established in the EU and fall within the scope of the Regulation;
• participate in recognised due diligence schemes;
• are sourced from globally responsible smelters and refiners on the Commission's list referred to in Article 9(5) of the Regulation.
The regulation also promotes the responsible sourcing of tin, tantalum, tungsten and gold smelters and refiners, whether or not they are located within the EU, as EU importers are required to identify the smelters and refiners they source from in their supply chains and to verify whether they also apply proper due diligence practices.
The companies engaged and involved along the supply chain fall into different activities and types.
Companies that extract, process and refine raw materials are identified as ‘upstream’ companies. The EU regulation identifies as upstream companies:
• mining companies;
• raw material traders
• smelters;
• refineries.
Other companies, identified as ‘downstream’, carry out the activities following the smelter and refinery stage up to the final product (e.g. component manufacturers, producers, etc.) by further transforming the metals produced during the upstream stage into finished products. The ‘downstream’ stage also includes the sale of products.
The EU regulation provides for and sets different rules for ‘upstream’ and ‘downstream’ companies:
• ‘upstream’ companies must comply with mandatory due diligence rules when importing;
• downstream' companies fall into two sub-types:
- those importing metal-phase products must comply with the mandatory due diligence rules;
- those operating beyond the metal stage have no obligations under the regulation but should use communication and other tools to make their due diligence more transparent.
The Commission will publish a web platform through which all ‘downstream’ companies can voluntarily share information on their due diligence for metals and minerals.
More information on the regulation can be found on the European Commission's website.