IT 
EN 
Ex-post checks and corrective measures
Ex-post checks, as referred to in Article 11 of Regulation (EU) 2017/821, shall be carried out on importers who:
- fall within the scope of the Regulation and whose annual import volume equals or exceeds the annual volume set out in Annex I of the same Regulation;
- participate in recognised due diligence schemes;
- are supplied by globally responsible smelters and refiners, which are on the Commission's list referred to in Article 9(5) of the same Regulation.
The Authority, having obtained the opinion of the Committee for the Coordination of Activities (Article 8 of Legislative Decree No. 13/2021), defines the annual programme of ex-post checks processed with reference to the import volumes calculated on an annual basis and making use of the data and information provided by the Customs and Monopolies Agency, applying a risk-based approach.
Ex post checks (Article 5 of Legislative Decree No. 13/2021) are carried out by the Authority with priority for importers with the highest levels of annual import volumes and importers whose imports of minerals and metals come directly from or pass through conflict or high-risk zones, in accordance with Article 14 of the Regulation.
The Authority shall, however, provide for ex-post controls to be carried out in cases where it is in possession of relevant information regarding compliance with the Regulation by a Union importer, including on the basis of substantiated indications provided by third parties.
The Authority shall request from the importer information and documentation demonstrating the exercise of the duty of care in the supply chain, documentation relating to audit reports carried out by an independent third party pursuant to Article 11(3)(b) and (c) of the Regulation, and any other information and documentation deemed necessary to verify compliance with the obligations of the Regulation.
The control is also exercised over the temporal validity of the audits, which must refer to the year of importation indicated, their scope, which must cover all the activities, processes and systems adopted by the importer for the exercise of the duty of care, as well as the objectives of the audit to ascertain compliance with Articles 4, 5 and 7 of the Regulation. In addition, the Authority may order inspections at the business premises.
The annual programmes and ex-post checks will be arranged with reference to the import volumes calculated on an annual basis and may be carried out as of 1st January 2022 with reference to the year 2021.
With the directorial decree of 17th March 2022 (All. A and All. B), the operational procedures for the execution of the ex-post checks are established, also on the basis of the non-binding guidelines that may be drawn up by the European Commission in implementation of Article 11(5) of Regulation (EU) 2017/821.
Following the developing of the technical-administrative investigation procedure of the ex-post checks, if the Authority has verified breaches of the Regulation, it shall prescribe corrective measures and specific fulfilments to be applied to the importer, together with the relevant timeframes, requesting the preparation and effective implementation of a plan for the implementation of the aforementioned measures and, finally, verifying their correct execution.