Competent Authority (EU Conflict Minerals Regulation)

Competent authorities under Regulation (EU) 2017/821 are the Member State authorities designated to receive conflict minerals due diligence documentation, conduct checks, and enforce the regulation. Article 10 of the Regulation requires each Member State to designate one or more competent authorities. In Germany, the competent authority is the Federal Office of Economics and Export Control (BAFA); in France, it is the Customs and Excise Authority. Competent authorities have the power to request documentation, conduct audits, and apply sanctions for non-compliance.

Regulation (EU) 2017/821, Articles 10–11.

Union importers must maintain records and be prepared to demonstrate compliance to their national competent authority upon request. The EU Regulation does not require annual self-reporting to competent authorities (unlike U.S. Form SD filing to the SEC), but importers must maintain supply chain due diligence records for at least 5 years and make them available for inspection. The annual public report must be published on the company’s website.

BAFA (Germany’s competent authority) selects a German tantalum metal importer for a compliance check. BAFA requests the importer’s supply chain policy, risk assessment documentation, CMRT records, and RMAP verification evidence. The importer provides 3 years of records demonstrating its OECD five-step due diligence program.