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Exercise due diligence |
Due Diligence |
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- Description:
- Companies must exercise due diligence for all relevant products before placing them on the market or exporting them, including information collection, risk assessment and risk mitigation.
- Frequency:
- Event-triggered
- Check frequency:
- Event-triggered
- Products/Services:
- Relevant commodities and relevant products listed in Annex I that are placed on the Union market or exported
- Checking responsibility:
- Member State competent authorities
- Check method:
- Examination of the due diligence system, risk assessment and risk mitigation procedures, and related documentation and records
- Rule set:
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- Source reference:
- Artikel 8 Absatz 1; Artikel 8 Absatz 2
- Source excerpt:
- Prior to placing relevant products on the market or exporting them, operators shall exercise due diligence with regard to all relevant products.
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Submit a due diligence statement |
Reporting |
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- Description:
- Operators must submit a due diligence statement through the information system to the competent authorities before placing relevant products on the market or exporting them.
- Frequency:
- Event-triggered
- Check frequency:
- Event-triggered
- Products/Services:
- Relevant products
- Checking responsibility:
- Competent authorities
- Check method:
- Examination of the submitted statement in the information system
- Rule set:
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- Source reference:
- Artikel 4 Absatz 2
- Source excerpt:
- Operators shall not place relevant products on the market or export them without prior submission of a due diligence statement.
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Submit a simplified declaration |
Reporting |
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- Description:
- Micro or small primary operators must submit a one-time simplified declaration in the information system before placing products on the market or exporting them and provide the information required in Annex III.
- Frequency:
- One-time
- Check frequency:
- One-time
- Products/Services:
- Relevant products of micro or small primary operators
- Checking responsibility:
- Competent authorities
- Check method:
- Examination of the simplified declaration and the information contained in it
- Rule set:
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- Source reference:
- Artikel 4a Absätze 2 und 3
- Source excerpt:
- Micro or small primary operators shall submit a one-time simplified declaration in the information system referred to in Article 33 before placing relevant products on the market or exporting them.
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Keep due diligence statement records |
Record Keeping |
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- Description:
- Operators must keep records of due diligence statements for five years from their submission.
- Frequency:
- Continuous
- Check frequency:
- Continuous
- Products/Services:
- Relevant products
- Checking responsibility:
- Competent authorities
- Check method:
- Review of records and, where requested, production to competent authorities
- Rule set:
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- Source reference:
- Artikel 4 Absatz 3
- Source excerpt:
- Operators shall keep a record of the due diligence statements for five years from the date the statement is submitted through the information system referred to in Article 33.
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Keep product information and evidence |
Record Keeping |
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- Description:
- Operators must collect, organise and keep product-related information, documents and data, accompanied by evidence, for five years.
- Frequency:
- Continuous
- Check frequency:
- Continuous
- Products/Services:
- Relevant products
- Checking responsibility:
- Competent authorities
- Check method:
- Examination of collected information, documents and data
- Rule set:
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- Source reference:
- Artikel 9 Absatz 1
- Source excerpt:
- the operator shall collect, organise and keep for five years from the date of the placing on the market or of the export of the relevant products the following information, accompanied by evidence, relating to each relevant product
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Review risk assessments |
Due Diligence |
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- Description:
- Operators must document and review risk assessments at least annually and make them available upon request.
- Frequency:
- Annual
- Check frequency:
- Annual
- Products/Services:
- Relevant products
- Checking responsibility:
- Competent authorities
- Check method:
- Examination of documented and reviewed risk assessments
- Rule set:
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- Source reference:
- Artikel 10 Absatz 4
- Source excerpt:
- The operators shall document and review the risk assessments at least on an annual basis and make them available to the competent authorities upon request.
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Mitigate risks |
Due Diligence |
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- Description:
- Operators must adopt adequate risk mitigation procedures and measures before placing products on the market or exporting them, to achieve no or only a negligible risk.
- Frequency:
- Event-triggered
- Check frequency:
- Event-triggered
- Products/Services:
- Relevant products with a non-negligible risk of non-compliance
- Checking responsibility:
- Competent authorities
- Check method:
- Examination of documented risk mitigation decisions and measures
- Rule set:
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- Source reference:
- Artikel 11 Absatz 1
- Source excerpt:
- the operator shall, prior to placing the relevant products on the market or exporting them, adopt risk mitigation procedures and measures that are adequate to achieve no or only a negligible risk.
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Maintain the due diligence system |
Governance |
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- Description:
- Operators must establish and maintain an up-to-date due diligence system, review it at least annually, update it for relevant developments and keep update records for five years.
- Frequency:
- Annual
- Check frequency:
- Annual
- Products/Services:
- Relevant products
- Checking responsibility:
- Competent authorities
- Check method:
- Examination of the due diligence system and update records
- Rule set:
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- Source reference:
- Artikel 12 Absatz 2
- Source excerpt:
- Operators shall review the due diligence system at least once a year. Where operators become aware of new developments which could influence the due diligence system, they shall update the due diligence system to take account of those developments.
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Publicly report annually on due diligence |
Reporting |
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- Description:
- Operators that are not SMEs, including microenterprises, or natural persons must report annually, as widely as possible including via the internet, on their due diligence system and measures taken.
- Frequency:
- Annual
- Check frequency:
- Annual
- Products/Services:
- Relevant commodities and relevant products
- Checking responsibility:
- Competent authorities
- Check method:
- Examination of the published report and its information
- Rule set:
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- Source reference:
- Artikel 12 Absatz 3
- Source excerpt:
- Operators who do not fall within the categories of SMEs, including microenterprises, or natural persons shall, on an annual basis, publicly report as widely as possible, including via the internet, on their due diligence system
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Keep due diligence documentation |
Record Keeping |
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- Description:
- Operators must keep all due diligence documentation for at least five years and make it available to competent authorities upon request.
- Frequency:
- Continuous
- Check frequency:
- Continuous
- Products/Services:
- Relevant products
- Checking responsibility:
- Competent authorities
- Check method:
- Examination of documentation and records and production upon request
- Rule set:
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- Source reference:
- Artikel 12 Absatz 5
- Source excerpt:
- Operators shall keep for at least five years all documentation related to due diligence, such as all records, measures and procedures pursuant to Article 8. They shall make that documentation available to the competent authorities upon request.
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Collect supply-chain information |
Record Keeping |
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- Description:
- Downstream operators and traders must collect and retain the required information about suppliers and recipients.
- Frequency:
- Event-triggered
- Check frequency:
- Event-triggered
- Products/Services:
- Relevant products placed, made available or exported by downstream operators or traders
- Checking responsibility:
- Competent authorities
- Check method:
- Examination of supply-chain information and records
- Rule set:
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- Source reference:
- Artikel 5 Absatz 3
- Source excerpt:
- Downstream operators and traders shall collect and keep the following information relating to the relevant products they intend to place or make available on the market or export
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Keep supply-chain information |
Record Keeping |
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- Description:
- Downstream operators and traders must keep the supply-chain information for at least five years and provide it upon request.
- Frequency:
- Continuous
- Check frequency:
- Continuous
- Products/Services:
- Relevant products of downstream operators and traders
- Checking responsibility:
- Competent authorities
- Check method:
- Review of records and production to competent authorities
- Rule set:
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- Source reference:
- Artikel 5 Absatz 4
- Source excerpt:
- Downstream operators and traders shall keep the information referred to in paragraph 3 for at least five years from the date of the placing or making available on the market or export, and shall provide that information to the competent authorities upon request.
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Communicate statement identifiers |
Record Keeping |
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- Description:
- Operators must communicate due diligence statement reference numbers or, where applicable, declaration identifiers to downstream operators and traders further down the supply chain.
- Frequency:
- Event-triggered
- Check frequency:
- Event-triggered
- Products/Services:
- Relevant products
- Checking responsibility:
- Competent authorities during checks
- Check method:
- Transmission of the statement reference number or declaration identifier along the supply chain
- Rule set:
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- Source reference:
- Artikel 4 Absatz 7
- Source excerpt:
- Operators shall communicate to downstream operators and to traders further down the supply chain of the relevant products they placed on the market or exported the reference numbers of the due diligence statements or, if applicable, the declaration identifiers associated to those products.
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Report risks immediately |
Reporting |
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- Description:
- Companies must immediately inform the competent authorities and affected downstream operators and traders when new information indicates a risk of non-compliance.
- Frequency:
- Event-triggered
- Check frequency:
- Event-triggered
- Products/Services:
- Relevant products
- Checking responsibility:
- Competent authorities
- Check method:
- Examination of notifications to authorities and supply-chain partners
- Rule set:
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- Source reference:
- Artikel 4 Absatz 5
- Source excerpt:
- Operators that obtain or are made aware of relevant new information, including substantiated concerns, indicating that a relevant product that they have placed on the market is at risk of not complying with this Regulation shall immediately inform the competent authorities
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Assist with checks |
Other |
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- Description:
- Operators, downstream operators and traders must provide all necessary assistance to competent authorities during checks.
- Frequency:
- Event-triggered
- Check frequency:
- Event-triggered
- Products/Services:
- Relevant products
- Checking responsibility:
- Competent authorities
- Check method:
- Access to premises and examination of provided documentation and records
- Rule set:
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- Source reference:
- Artikel 4 Absatz 6
- Source excerpt:
- Operators shall offer all necessary assistance to the competent authorities to facilitate the carrying out of the checks under Article 18, including access to premises and the making available of documentation and records.
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Register in the information system |
Record Keeping |
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- Description:
- Non-SME downstream operators and non-SME traders must register in the information system before the relevant activity.
- Frequency:
- One-time
- Check frequency:
- One-time
- Products/Services:
- Relevant products placed, made available or exported by non-SME downstream operators or non-SME traders
- Checking responsibility:
- Competent authorities
- Check method:
- Examination of registration in the information system
- Rule set:
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- Source reference:
- Artikel 5 Absatz 2
- Source excerpt:
- Downstream operators that are not SMEs (‘non-SME downstream operators’) and traders that are not SMEs (‘non-SME traders’) shall register in the information system referred to in Article 33 prior to placing or making available on the market or exporting relevant products.
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Emtract Ingest