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On the detailed rules concerning the due diligence system and the frequency and nature of the checks on monitoring organisations as provided for in Regulation (EU) No 995/2010 of the European Parliament and of the Council laying down the obligations of operators who place timber and timber products on the market. (Text with EEA relevance )
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) No 995/2010 of the European Parliament and of the Council of 20 October 2010
laying down the obligations of operators who place timber and timber products on the market (1), and in particular Articles 6(2)
and 8(8) thereof,
(1)Regulation (EU) No 995/2010 obliges operators to use a
framework of procedures and measures (hereinafter
referred to as a due diligence system) in order to
minimise the risk of placing illegally harvested timber
or products derived from illegally harvested timber on
the internal market.
(2)It is necessary to clarify cases in which information on
the full scientific name of tree species, the sub-national
region where the timber was harvested and the
concession of harvest needs to be provided.
(3)It is necessary to specify the frequency and nature of
checks that the competent authorities need to carry out
on monitoring organisations.
(4)Protection of individuals with regard to the processing of their personal data within the scope of this Regulation, in
particular as regards the processing of personal data obtained in the context of checks is subject to the
requirements laid down in Directive 95/46/EC of the European Parliament and of the Council of 24 October
1995 on the protection of individuals with regard to the processing of personal data and on the free movement of
such data (2) and to Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December
2000 on the protection of individuals with regard to the processing of personal data by the Community institutions
and bodies and on the free movement of such data (3)
(5)The measures provided for in this Regulation are in accordance with the opinion of the Forest Law
Enforcement Governance and Trade Committee,
HAS ADOPTED THIS REGULATION
This Regulation lays down detailed rules concerning the due diligence system and the frequency and the nature of the
checks on monitoring organisations.
Application of the due diligence system
1. Operators shall apply the due diligence system to each specific type of timber or timber product supplied by a
particular supplier within a period not exceeding 12 months, provided that the tree species, the country or countries of
harvest or, where applicable, the sub-national region(s) and concession(s) of harvest remain unchanged.
2. The first paragraph is without prejudice to operator’s obligation to maintain measures and procedures providing
access to the information referred to in Article 6(1)(a) of Regulation (EU) No 995/2010 concerning each consignment of
timber and timber products placed on the market by the operator.
Information concerning the operator’s supply
1. The information on operator’s supply of timber or timber products referred to in Article (6)(1)(a) of Regulation (EU) No
995/2010 shall be provided in accordance with paragraphs 2, 3 and 4.
2. The full scientific name of the tree species referred to in the first indent of Article 6(1)(a) of Regulation (EU) No
995/2010 shall be provided where ambiguity in the use of the common name exists.
3. Information on the sub-national region referred to in the second indent of Article 6(1)(a) of Regulation (EU) No
995/2010 shall be provided where the risk of illegal harvesting between sub-national regions varies.
4. Information on the concession of harvest referred to in the second indent of Article 6(1)(a) of Regulation (EU) No
995/2010 shall be provided where the risk of illegal harvesting between concessions of harvest in a country or sub-national
region varies.For the purposes of the first subparagraph, any arrangement conferring the right to harvest timber in a defined area shall
be considered a concession of harvest.
Risk assessment and mitigation
Certification or other third-party verified schemes referred to in the first indent of the second paragraph of Article 6(1)(b) and in
Article 6(1)(c) of Regulation (EU) No 995/2010 may be taken into account in the risk assessment and risk mitigation
procedures where they meet the following criteria:
(a) they have established and made available for third-party use a publicly available system of requirements, which system
shall at the least include all relevant requirements of the applicable legislation;
(b) they specify that appropriate checks, including field-visits, are made by a third party at regular intervals no longer
than 12 months to verify that the applicable legislation is complied with;
(c) they include means, verified by a third party, to trace timber harvested in accordance with applicable legislation, and
timber products derived from such timber, at any point in the supply chain before such timber or timber products are
placed on the market;
(d) they include controls, verified by a third party, to ensure that timber or timber products of unknown origin, or
timber or timber products which have not been harvested in accordance with applicable legislation, do not enter the
Record keeping by operators
1. Information concerning the operator’s supply as provided for in Article 6(1)(a) of Regulation (EU) No 995/2010 and
application of risk mitigation procedures shall be documented through adequate records, which shall be stored for five years
and made available for checks by the competent authority.
2. In applying their due diligence system operators shall be able to demonstrate how the information gathered was checked
against the risk criteria provided for in Article 6(1)(b) of Regulation (EU) No 995/2010, how a decision on risk mitigation
measures was taken and how the operator determined the degree of risk.
Frequency and nature of checks on monitoring organisations
1. The competent authorities shall ensure that the checks at regular intervals referred to in Article 8(4) of Regulation (EU)
No 995/2010 are carried out at least once every two years.
2. Checks referred to in Article 8(4) of Regulation (EU) No 995/2010 shall be carried out in particular in any of the
(a) where a competent authority has, while carrying out checks on operators, detected shortcomings in the effectiveness or
implementation by operators of the due diligence system established by a monitoring organisation;
(b) where the Commission has informed the competent authorities that a monitoring organisation has undergone
subsequent changes as provided for in Article 9(2) of Commission Delegated Regulation (EU) No 363/2012 of
23 February 2012 on the procedural rules for the recognition and withdrawal of recognition of monitoring organi
sations as provided for in Regulation (EU) No 995/2010 of the European Parliament and of the Council laying down
the obligations of operators who place timber and timber products on the market (1).
3. Checks shall be carried out without prior warning, except where prior notification of the monitoring organisation is
necessary in order to ensure the effectiveness of the checks.
4. The competent authorities shall carry out checks in accordance with documented procedures.
5. Competent authorities shall carry out checks to ensure compliance with Regulation (EU) No 995/2010 that shall
include, in particular and as appropriate, the following activities:
(a) spot checks, including field audits;
(b) examination of documentation and records of monitoring organisations;
(c) interviews with the management and staff of the monitoring organisation;
(d) interviews with operators and traders or any other relevant person;
(e) examination of documentation and records of operators
(f) examination of samples of the supply of operators using the due diligence system of the monitoring organisation
Reports of the checks on monitoring organisations
1. The competent authorities shall draw up reports on individual checks that they have carried out, which shall include a
description of the process and techniques applied and their findings and conclusions.
2. The competent authorities shall provide a monitoring organisation that has been subject to a check with the
findings and conclusions of the draft report. The monitoring organisation may provide comments to the competent auth
orities within the time limit specified by the competent authorities.
3. The competent authorities shall draw up reports referred to in Article 8(4) of Regulation (EU) No 995/2010 on the basis
of the reports on individual checks.
Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 6 July 2012.
For the Commission
José Manuel BARROSO
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