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Conflict Minerals Regulation In force Unlisted

Overview

Jurisdiction
European Union
Topic
Supply Chain
Instrument type
Regulation
Reference number
2017/821
Valid from
2017-06-08
Valid to
2021-01-01
Modified date
2017-05-17
Listed at
Unlisted draft
Withdrawn at
-
Description
Establishes supply chain due diligence, risk management, independent audit and disclosure obligations for Union importers of specified tin, tantalum, tungsten and gold minerals and metals sourced from conflict-affected and high-risk areas. The principal importer obligations apply from 1 January 2021.

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Sources

Source URL Crawler Publish date
https://publications.europa.eu/resource/celex/32017R0821 FramesCube Manual Requests

Logs

Type Status Started at Finished at
Parse Finished 2026-08-27 11:44:29 UTC 2026-08-27 11:45:42 UTC

[INFO] [AiRegulationParser] asking LLM for regulation metadata (model: gpt-5.6-luna) for regulation_source 6243 https://publications.europa.eu/resource/celex/32017R0821

[INFO] [AiRegulationParser] asking LLM for obligations and penalties (model: gpt-5.6-luna) for regulation_source 6243 https://publications.europa.eu/resource/celex/32017R0821

[INFO] [AiRegulationParser] asking LLM for regulation links (model: gpt-5.6-luna) for regulation_source 6243 https://publications.europa.eu/resource/celex/32017R0821

[INFO] [AiRegulationParser] skipping attribute value assignment for regulation_source 6243 https://publications.europa.eu/resource/celex/32017R0821 - no extracted condition's attribute has attribute value definitions on file

[INFO] [AiRegulationParser] applying parse of regulation_source 6243 https://publications.europa.eu/resource/celex/32017R0821

[INFO] [AiRegulationParser] created regulation 186 (Conflict Minerals Regulation)

[INFO] [AiRegulationParser] created milestone 1244 (application_start 2017-07-09)

[INFO] [AiRegulationParser] created milestone 1245 (application_start 2021-01-01)

[INFO] [AiRegulationParser] created rule set 924 (Union importers of minerals or metals above Annex I thresholds)

[INFO] [AiRegulationParser] created condition 2131 (economic_operator_role eq)

[INFO] [AiRegulationParser] created condition 2132 (products contains_any)

[INFO] [AiRegulationParser] created condition 2133 (annual_import_volume_by_cn_code gte)

[INFO] [AiRegulationParser] created condition 2134 (recycled_only_conclusion is_false)

[INFO] [AiRegulationParser] created condition 2135 (stocks_created_before_2013 is_false)

[INFO] [AiRegulationParser] created rule set 925 (Union importers of recycled metals subject to recycled-metal disclosure)

[INFO] [AiRegulationParser] created condition 2136 (economic_operator_role eq)

[INFO] [AiRegulationParser] created condition 2137 (products contains_any)

[INFO] [AiRegulationParser] created condition 2138 (recycled_only_conclusion is_true)

[INFO] [AiRegulationParser] created obligation 2133 (Adopt and communicate supply chain policy)

[INFO] [AiRegulationParser] created obligation 2134 (Set due diligence standards)

[INFO] [AiRegulationParser] created obligation 2135 (Assign senior management responsibility and retain records)

[INFO] [AiRegulationParser] created obligation 2136 (Include supply chain policy in supplier contracts)

[INFO] [AiRegulationParser] created obligation 2137 (Establish a grievance mechanism)

[INFO] [AiRegulationParser] created obligation 2138 (Operate mineral chain-of-custody traceability)

[INFO] [AiRegulationParser] created obligation 2139 (Operate metal chain-of-custody traceability)

[INFO] [AiRegulationParser] created obligation 2140 (Provide by-product origin information)

[INFO] [AiRegulationParser] created obligation 2141 (Assess mineral supply-chain risks)

[INFO] [AiRegulationParser] created obligation 2142 (Implement mineral risk-response strategy)

[INFO] [AiRegulationParser] created obligation 2143 (Consult suppliers and stakeholders during mitigation)

[INFO] [AiRegulationParser] created obligation 2144 (Assess metal supply-chain risks and arrange audit where needed)

[INFO] [AiRegulationParser] created obligation 2145 (Carry out independent third-party due diligence audit)

[INFO] [AiRegulationParser] created obligation 2146 (Provide audit or scheme-conformity evidence to authorities)

[INFO] [AiRegulationParser] created obligation 2147 (Disclose due diligence information to downstream purchasers)

[INFO] [AiRegulationParser] created obligation 2148 (Publish annual due diligence report)

[INFO] [AiRegulationParser] created obligation 2149 (Publicly disclose recycled-metal conclusion and supporting measures)

[INFO] [AiRegulationParser] created obligation 2150 (Assist ex-post compliance checks)

[INFO] [AiRegulationParser] created penalty 294 (For an infringement, the Member State competent authority issues the Union importer a notice specifying remedial action to be taken. The substantive infringement rules and any further penalties are laid down by Member States.)

[INFO] [AiRegulationParser] created regulation link 1693 (cites Regulation (EU) No 1287/2013 of the European Parliament and of the Council)

[INFO] [AiRegulationParser] created regulation link 1694 (cites Regulation (EU) No 182/2011 of the European Parliament and of the Council)

[INFO] [AiRegulationParser] created regulation link 1695 (cites Union Customs Code)

[INFO] [AiRegulationParser] created regulation link 1696 (cites Commission Delegated Regulation (EU) 2015/2446 of 28 July 2015 supplementing Regulation (EU) No 952/2013 of the European Parliament and of the Council as regards detailed rules concerning certain provisions of the Union Customs Code)

[INFO] [AiRegulationParser] created regulation link 1697 (cites Directive 95/46/EC of the European Parliament and of the Council)

[INFO] [AiRegulationParser] created regulation link 1698 (cites Regulation (EC) No 45/2001 of the European Parliament and of the Council)

[INFO] [AiRegulationParser] created regulation link 1699 (cites Regulation (EU) No 182/2011)

[INFO] [AiRegulationParser] parsed regulation 186 with 2 milestones, 2 rule sets, 18 obligations, and 1 penalties
Download Finished 2026-08-27 11:42:27 UTC 2026-08-27 11:44:29 UTC

[INFO] [Crawlers::ReverseMarkdownRegulationDownloader] downloading source from https://publications.europa.eu/resource/celex/32017R0821

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[INFO] [Crawlers::EurlexRegulationCrawler] downloaded regulation_source 6243 from https://publications.europa.eu/resource/celex/32017R0821

[INFO] [Crawlers::EurlexRegulationCrawler] parsed 85 norms for https://publications.europa.eu/resource/celex/32017R0821

[INFO] [AiMarkdownNormsExtractor] asking LLM to translate 61 norms

[INFO] [AiMarkdownNormsExtractor] asking LLM to translate 24 norms

[INFO] [AiMarkdownNormsExtractor] translated 85 norms for https://publications.europa.eu/resource/celex/32017R0821

Rule sets

Label Effective
Union importers of minerals or metals above Annex I thresholds 2021-01-01 — 9999-12-31
Applies from milestone:
Application Start (2021-01-01)
Expires at milestone:
-
Conditions:
  • Products contains No Linked Attribute Value “minerals” “metals containing or consisting of tin, tantalum, tungsten or gold”
Union importers of recycled metals subject to recycled-metal disclosure 2021-01-01 — 9999-12-31
Applies from milestone:
Application Start (2021-01-01)
Expires at milestone:
-
Conditions:
  • Products contains No Linked Attribute Value “metals containing or consisting of tin, tantalum, tungsten or gold”

Questions this regulation asks

Attributes only this regulation asks about — criteria no general attribute expresses. A company answers each once.

This regulation asks no questions of its own — every condition uses a general attribute.

Obligations

Title Kind Rule set
Adopt and communicate supply chain policy Governance -
Description:
Adopt an up-to-date supply chain policy for minerals and metals potentially originating from conflict-affected and high-risk areas and clearly communicate it to suppliers and the public.
Frequency:
Continuous
Check frequency:
-
Products/Services:
Minerals and metals potentially originating from conflict-affected and high-risk areas.
Checking responsibility:
-
Check method:
-
Rule set:
-
Source reference:
Article 4(a)
Source excerpt:
adopt, and clearly communicate to suppliers and the public up-to-date information on, their supply chain policy for the minerals and metals potentially originating from conflict-affected and high-risk areas;
Set due diligence standards Governance -
Description:
Incorporate standards consistent with the model supply chain policy into the supply chain policy.
Frequency:
Continuous
Check frequency:
-
Products/Services:
Supply chain due diligence for covered minerals and metals.
Checking responsibility:
-
Check method:
-
Rule set:
-
Source reference:
Article 4(b)
Source excerpt:
incorporate in their supply chain policy standards against which supply chain due diligence is to be conducted consistent with the standards set out in the model supply chain policy in Annex II to the OECD Due Diligence Guidance;
Assign senior management responsibility and retain records Record Keeping -
Description:
Structure internal management systems by assigning senior management responsibility for oversight and maintaining records of those systems for at least five years.
Frequency:
Continuous
Check frequency:
-
Products/Services:
The company's supply chain due diligence management systems.
Checking responsibility:
Senior management oversees the process.
Check method:
Review of management-system records.
Rule set:
-
Source reference:
Article 4(c)
Source excerpt:
structure their respective internal management systems to support supply chain due diligence by assigning responsibility to senior management, in cases where the Union importer is not a natural person, to oversee the supply chain due diligence process as well as maintain records of those systems for a minimum of five years;
Include supply chain policy in supplier contracts Stakeholder Engagement -
Description:
Incorporate the supply chain policy into contracts and agreements with suppliers consistently with the OECD Due Diligence Guidance.
Frequency:
Continuous
Check frequency:
-
Products/Services:
Supplier contracts and agreements.
Checking responsibility:
-
Check method:
-
Rule set:
-
Source reference:
Article 4(d)
Source excerpt:
strengthen their engagement with suppliers by incorporating their supply chain policy into contracts and agreements with suppliers consistent with Annex II to the OECD Due Diligence Guidance;
Establish a grievance mechanism Stakeholder Engagement -
Description:
Establish a grievance mechanism or provide one through collaborative arrangements or an external expert or body.
Frequency:
Continuous
Check frequency:
-
Products/Services:
Supply chain concerns relating to mineral extraction, trade and handling.
Checking responsibility:
-
Check method:
-
Rule set:
-
Source reference:
Article 4(e)
Source excerpt:
establish a grievance mechanism as an early-warning risk-awareness system or provide such mechanism through collaborative arrangements with other economic operators or organisations, or by facilitating recourse to an external expert or body, such as an ombudsman;
Operate mineral chain-of-custody traceability Record Keeping -
Description:
Operate a documented chain-of-custody or supply-chain traceability system containing the required mineral, supplier, origin, extraction and risk information.
Frequency:
Continuous
Check frequency:
-
Products/Services:
Minerals covered by Annex I.
Checking responsibility:
-
Check method:
Review of traceability documentation.
Rule set:
-
Source reference:
Article 4(f)
Source excerpt:
as regards minerals, operate a chain of custody or supply chain traceability system that provides, supported by documentation, the following information:
Operate metal chain-of-custody traceability Record Keeping -
Description:
Operate a documented chain-of-custody or supply-chain traceability system containing the required metal, supplier, smelter/refiner, audit and origin information.
Frequency:
Continuous
Check frequency:
-
Products/Services:
Metals covered by Annex I.
Checking responsibility:
-
Check method:
Review of traceability documentation and audit evidence.
Rule set:
-
Source reference:
Article 4(g)
Source excerpt:
as regards metals, operate a chain of custody or supply chain traceability system that provides, supported by documentation, the following information:
Provide by-product origin information Record Keeping -
Description:
Provide documented information on covered by-products from the point where they are first separated from the out-of-scope primary mineral or metal.
Frequency:
Continuous
Check frequency:
-
Products/Services:
Covered mineral or metal by-products.
Checking responsibility:
-
Check method:
Review of origin documentation.
Rule set:
-
Source reference:
Article 4(h)
Source excerpt:
as regards by-products, provide information supported by documentation as from the point of origin of those by-products, namely the point where the by-product is first separated from its primary mineral or metal falling outside the scope of this Regulation.
Assess mineral supply-chain risks Due Diligence -
Description:
Identify and assess risks of adverse impacts in the mineral supply chain using the available Article 4 information against the company's policy standards and OECD requirements.
Frequency:
Continuous
Check frequency:
-
Products/Services:
Mineral supply chains.
Checking responsibility:
-
Check method:
Risk assessment against the supply chain policy and OECD standards.
Rule set:
-
Source reference:
Article 5(1)(a)
Source excerpt:
identify and assess the risks of adverse impacts in their mineral supply chain on the basis of the information provided pursuant to Article 4 against the standards of their supply chain policy, consistent with Annex II to, and the due diligence recommendations set out in, the OECD Due Diligence Guidance;
Implement mineral risk-response strategy Due Diligence -
Description:
Implement a strategy and risk management plan to prevent or mitigate identified adverse impacts, including measurable mitigation, monitoring, management reporting and additional assessments where required.
Frequency:
Continuous
Check frequency:
-
Products/Services:
Mineral supply chains with identified risks.
Checking responsibility:
Senior management receives risk findings and progress reports where applicable.
Check method:
Monitoring and tracking mitigation performance and reassessing risks after changed circumstances.
Rule set:
-
Source reference:
Article 5(1)(b)
Source excerpt:
implement a strategy to respond to the identified risks designed so as to prevent or mitigate adverse impacts by:
Consult suppliers and stakeholders during mitigation Stakeholder Engagement -
Description:
Consult suppliers and concerned stakeholders and agree on a measurable risk-mitigation strategy when continuing or temporarily suspending trade during mitigation.
Frequency:
Event-triggered
Check frequency:
-
Products/Services:
Mineral supply chains subject to ongoing risk mitigation.
Checking responsibility:
-
Check method:
Evidence of consultation and documented strategy in the risk management plan.
Rule set:
-
Source reference:
Article 5(2)
Source excerpt:
If a Union importer of minerals pursues risk mitigation efforts while continuing trade or temporarily suspending trade, it shall consult with suppliers and with the stakeholders concerned, including local and central government authorities, international or civil society organisations and affected third parties, and agree on a strategy for measurable risk mitigation in the risk management plan.
Assess metal supply-chain risks and arrange audit where needed Due Diligence -
Description:
Assess risks using smelter and refiner audit reports where available; where they are unavailable, assess the risks in the company's own system and conduct an independent third-party audit.
Frequency:
Continuous
Check frequency:
-
Products/Services:
Metal supply chains and their smelters and refiners.
Checking responsibility:
-
Check method:
Review of audit reports and, where necessary, an independent third-party audit.
Rule set:
-
Source reference:
Article 5(4)
Source excerpt:
Union importers of metals shall identify and assess, in accordance with Annex II to the OECD Due Diligence Guidance and the specific recommendations set out in that Guidance, the risks in their supply chain based on available third-party audit reports concerning the smelters and refiners in that chain, and, by assessing, as appropriate, the due diligence practices of those smelters and refiners.
Carry out independent third-party due diligence audit Due Diligence -
Description:
Have an independent third party audit all activities, processes and systems used to implement supply chain due diligence and obtain recommendations for improvement.
Frequency:
Other
Check frequency:
-
Products/Services:
The company's mineral and metal supply chain due diligence activities, processes and systems.
Checking responsibility:
Independent third-party auditor.
Check method:
Independent audit assessing conformity with Articles 4, 5 and 7.
Rule set:
-
Source reference:
Article 6(1)
Source excerpt:
Union importers of minerals or metals shall carry out audits via an independent third party (third-party audit).
Provide audit or scheme-conformity evidence to authorities Reporting -
Description:
Make third-party audit reports or evidence of conformity with a Commission-recognised due diligence scheme available to Member State competent authorities.
Frequency:
Event-triggered
Check frequency:
-
Products/Services:
Supply chain due diligence audit or scheme-conformity evidence.
Checking responsibility:
Member State competent authorities receive and examine the evidence.
Check method:
Submission and ex-post examination of reports or evidence.
Rule set:
-
Source reference:
Article 7(1)
Source excerpt:
Union importers of minerals or metals shall make available to Member State competent authorities the reports of any third-party audit carried out in accordance with Article 6 or evidence of conformity with a supply chain due diligence scheme recognised by the Commission pursuant to Article 8.
Disclose due diligence information to downstream purchasers Reporting -
Description:
Make all information gained and maintained through supply chain due diligence available to immediate downstream purchasers, subject to confidentiality and competition concerns.
Frequency:
Event-triggered
Check frequency:
-
Products/Services:
Information maintained through supply chain due diligence.
Checking responsibility:
-
Check method:
-
Rule set:
-
Source reference:
Article 7(2)
Source excerpt:
Union importers of minerals or metals shall make available to their immediate downstream purchasers all information gained and maintained pursuant to their supply chain due diligence with due regard for business confidentiality and other competitive concerns.
Publish annual due diligence report Reporting -
Description:
Publish an annual report as widely as possible, including on the internet, describing due diligence policies and practices, management and risk-management steps, and audit summaries.
Frequency:
Annual
Check frequency:
-
Products/Services:
The company's responsible-sourcing supply chain due diligence policies and practices.
Checking responsibility:
-
Check method:
Public review of the annual report.
Rule set:
-
Source reference:
Article 7(3)
Source excerpt:
Union importers of minerals or metals shall, on an annual basis, publicly report as widely as possible, including on the internet, on their supply chain due diligence policies and practices for responsible sourcing.
Publicly disclose recycled-metal conclusion and supporting measures Reporting -
Description:
Publicly disclose the reasonable conclusion that metals derive only from recycled or scrap sources and describe in reasonable detail the due diligence measures used to reach it.
Frequency:
Event-triggered
Check frequency:
-
Products/Services:
Metals derived only from recycled or scrap sources.
Checking responsibility:
-
Check method:
Public review of the disclosed conclusion and explanation.
Rule set:
-
Source reference:
Article 7(4)
Source excerpt:
Where a Union importer can reasonably conclude that metals are derived only from recycled or scrap sources, it shall, with due regard for business confidentiality and other competitive concerns: (a) publicly disclose its conclusion; and (b) describe in reasonable detail the supply chain due diligence measures it exercised in reaching that conclusion.
Assist ex-post compliance checks Other -
Description:
Provide all assistance necessary for ex-post checks, including access to premises and presentation of documentation and records.
Frequency:
Event-triggered
Check frequency:
-
Products/Services:
The company's supply chain due diligence activities, documentation and records.
Checking responsibility:
Member State competent authorities conduct the checks.
Check method:
Access to premises and presentation of documentation and records during ex-post checks.
Rule set:
-
Source reference:
Article 11(4)
Source excerpt:
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.

Measures

No measures.

Penalties

Description Kind Rule set
For an infringement, the Member State competent authority issues the Union importer a notice specifying remedial action to be taken. The substantive infringement rules and any further penalties are laid down by Member States. Other -
Responsible authority:
Member State competent authorities; Member States lay down the applicable infringement rules.
Source reference:
Article 16(1) and (3)
Source excerpt:
Member States shall lay down the rules applicable to infringements of this Regulation. In the case of an infringement of this Regulation, Member State competent authorities shall issue a notice of remedial action to be taken by the Union importer.

Milestones

Date Type Description
2017-07-09 Application Start The Regulation generally begins to apply.
Source reference:
Article 20(2)
Source excerpt:
With the exception of the provisions referred to in paragraph 3, this Regulation shall apply from 9 July 2017.
2021-01-01 Application Start The principal importer due diligence, disclosure, enforcement and related provisions begin to apply.
Source reference:
Article 20(3)
Source excerpt:
Article 1(5), Article 3(1) and (2), Articles 4 to 7, Article 8(6) and (7), Article 10(3), Article 11(1), (2), (3), and (4), Articles 12 and 13, Article 16(3), and Article 17 shall apply from 1 January 2021.

Linked regulations

Type Regulation
Cites Directive 95/46/EC of the European Parliament and of the Council
Cites Regulation (EC) No 45/2001 of the European Parliament and of the Council
Cites Regulation (EU) No 182/2011
Cites Regulation (EU) No 1287/2013 of the European Parliament and of the Council
Cites Regulation (EU) No 182/2011 of the European Parliament and of the Council
Cites Union Customs Code
Cites Commission Delegated Regulation (EU) 2015/2446 of 28 July 2015 supplementing Regulation (EU) No 952/2013 of the European Parliament and of the Council as regards detailed rules concerning certain provisions of the Union Customs Code