HTML PUBLIC "-//W3C//DTD HTML 4.01 Transitional//EN"L 115/12
EN
Official Journal of the European Union
27.4.2012
II
(Non-legislative acts)
REGULATIONS
COMMISSION DELEGATED REGULATION (EU) No 363/2012
of 23 February 2012
on the procedural rules for the recognition and withdrawal of recognition of 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,
(4) It
should
be
ensured
that
monitoring
organisations
exercise their functions in a transparent and independent
Having regard to the Treaty on the Functioning of the European
manner, avoiding any conflict of interest arising out of
Union,
their functions and providing their services to operators
in a non-discriminatory manner.
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
(5) The
Commission
should
decide
upon
a
withdrawal
of
timber products on the market ( 1 ), and in particular Article 8(7)
recognition following a procedure, which is fair, trans
thereof,
parent and independent. Before taking a decision the
Commission should consult the Member States’
Whereas:
competent authorities concerned and should collect
sufficient information, including on-the-spot visits
(1) Regulation
(EU)
No
995/2010
aims,
in
particular,
at
where necessary. The monitoring organisation
minimising the risk of placing illegal timber and
concerned should be given the opportunity to submit
products derived from such timber on the internal
comments before a decision is taken.
market. Monitoring organisations should assist
operators in meeting the requirements of that Regulation.
To that end, they should develop a due diligence system,
grant the operators the right to use it, and verify its
(6) In
accordance
with
the
principle
of
proportionality,
the
proper use.
Commission should be able to withdraw recognition
either in a temporary and/or conditional basis, or perma
nently, as it may deem required by the level of short
(2) The
procedure
under
which
the
Commission
recognises
comings detected, where a monitoring organisation no
monitoring organisations should be fair, transparent and
longer fulfils the functions or meets the requirements laid
independent. Therefore, applicants should be assessed
down in Article 8 of Regulation (EU) No 995/2010.
after consulting the competent authorities of the
Member States and after collecting sufficient information
about an applicant. Where necessary, the collection of
information should include visits to an applicant’s
(7) It
is
necessary
to
ensure
that
the
level
of
protection
of
premises.
individuals with regard to the processing of their
personal data within the scope of this Regulation, in
(3)
It is necessary to specify the appropriate expertise and
particular as regards the processing of personal data in
capacity that monitoring organisations should have in
the applications for recognition as a monitoring organi
order to determine the compliance of wood with
sation complies with the requirements laid down in
relevant legislation in its country of harvest and to
Directive 95/46/EC of the European Parliament and of
propose measures to assess the risk of placing illegal
the Council of 24 October 1995 on the protection of
timber and products derived from such timber on the
individual with regard to the processing of personal data
market. Where the risk identified is not negligible, moni
and on the free movement of such data ( 2 ) and with
toring organisation should also be able to propose
Regulation (EC) No 45/2001 of the European Parliament
adequate measures to effectively minimising it.
and of the Council of 18 December 2000 on the
( 1 ) OJ L 295, 12.11.2010, p. 23.
( 2 ) OJ L 281, 23.11.1995, p. 31.

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EN
27.4.2012 Official
Journal
of
the
European
Union L
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protection of individuals with regard to the processing of
4. Where
three
months
have
lapsed
since
the
receipt
of
an
personal data by the Community institutions and bodies
application or the Commission’s last written communication to
and on the free movement of such data ( 1 ),
an applicant, whichever is later, and the Commission has not
adopted a recognition decision or rejected the application, the
Commission shall inform the applicant in writing of the
HAS ADOPTED THIS REGULATION:
progress in assessment of the application.
Article 1
The first subparagraph may apply more than once to the
Definitions
handling of one application.
For the purpose of this Regulation, in addition to the definitions
laid down in Article 2 of Regulation (EU) No 995/2010, the
5. The
Commission
shall
transmit
a
copy
of
the
application
following definitions shall apply:
and supporting documents to the competent authorities
concerned, which may provide comments on the application
(1) ‘competent authorities concerned’ means competent auth
within one month of the date of transmission.
orities of the Member States in which a monitoring organi
sation or an applicant for recognition as monitoring organi
sation is legally established or in which provides services or
Article 3
intends to provide services within the meaning of Directive
Additional documents and access to premises
2006/123/EC of the European Parliament and of the Coun
cil ( 2 );
1. Upon
request
by
the
Commission,
an
applicant
or
the
competent authorities concerned shall submit any additional
information or documents required by the Commission within
(2) ‘evidence of formal qualifications’ means diplomas,
a specified time limit.
certificates and other evidence issued by an authority in a
State, designated pursuant to legislative or administrative
provisions of that State and certifying successful completion
2. The
applicant
shall
grant
the
Commission
access
to
its
of professional training;
premises to verify that all requirements provided in Article 8
of Regulation (EU) No 995/2010 and in Articles 5 to 8 are
fulfilled. The Commission shall inform the applicant of a visit in
(3) ‘professional experience’ means the actual and lawful pursuit
advance. The competent authorities concerned may participate
of the profession concerned.
in the visit.
Article 2
The applicant shall offer all assistance necessary to facilitate
Application for recognition
such visits.
1. Any entity, public or private, being a company,
corporation, firm, enterprise, institution or authority, legally
established in the Union, may submit to the Commission an
Article 4
application to be recognised as a monitoring organisation.
Recognition decision
Where the Commission has adopted a recognition decision
The entity shall submit the application in any of the official
pursuant to Article 8(3) of Regulation (EU) No 995/2010, it
languages of the Union together with the documents listed in
shall notify the applicant concerned within 10 working days of
the Annex.
the date of adoption of that decision.
2. To
be
recognised
as
a
monitoring
organisation,
an The Commission shall also provide the applicant with a
applicant shall demonstrate that it fulfils all requirements
certificate of recognition without delay and shall communicate
provided in Article 8(2) of Regulation (EU) No 995/2010 and
its decision to the competent authorities of all Member States in
in Articles 5 to 8 of this Regulation.
accordance with the second subparagraph of Article 8(3) of
Regulation (EU) No 995/2010 within the time limit referred
3. The
Commission
shall
acknowledge
the
receipt
of
an to in the first paragraph.
application and provide the applicant with a reference number
within 10 working days from the date of receipt.
Article 5
Legal personality and legal establishment within the Union
It shall also provide the applicant with an indicative time limit
within which it will decide on the application. The Commission
1. Where
an
applicant
is
legally
established
in
more
than
one
shall inform the applicant anytime it revises the indicative time
Member State, it shall provide information about its registered
limit due to the necessity to obtain additional information or
office, central administration or principal place of business
documents for the assessment of the application.
within the Union as well as about all its agencies, branches
or subsidiaries set up in the territory of any Member State.
( 1 ) OJ L 8, 12.1.2001, p. 1.
The applicant shall also declare in which Member States it
( 2 ) OJ L 376, 27.12.2006, p. 36.
intends to provide services.

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L 115/14
EN
Official Journal of the European Union
27.4.2012
2. An applicant which is, or forms part of an authority of a
2. An
applicant
shall
identify,
analyse
and
maintain
records
Member State shall not be required to prove its legal personality
documenting risks of conflict of interest arising as a result of it
and legal establishment within the Union.
exercising functions as a monitoring organisation, including any
conflicts arising from its relationships with related bodies or
Article 6
subcontractors.
Appropriate expertise
1. For the purpose of ensuring proper exercise of the
3. Where a risk of a conflict of interest has been identified
functions of a monitoring organisation as required by
the applicant shall have in place written policies and procedures
Article 8(2)(b) of Regulation (EU) No 995/2010, the technically
to avoid conflicts of interest at organisational and individual
competent personnel of an applicant shall meet the following
level. The written policies and procedures shall be maintained
minimum criteria, attested by evidence of formal qualifications
and implemented. Those policies and procedures may include
and professional experience:
third party audits.
(a) formal professional training in a discipline relevant to the
Article 9
functions of a monitoring organisation;
Information on subsequent changes
(b) for senior technical positions, at least five years of profes
1. A
monitoring
organisation
shall
inform
the
Commission
sional experience in function related to the functions of a
without delay of any of the following situations occurring after
monitoring organisation.
its recognition:
For the purposes of point (a) of the first subparagraph, disci
plines related to forestry, environment, law, business
(a) a change that may affect the ability of that monitoring
management, risk management, trade, auditing, financial
organisation to comply with the requirements in Articles
control or supply chain management shall be considered
5 to 8, which have occurred after its recognition;
relevant disciplines.
2. An
applicant
shall
maintain
records
documenting
the (b) the monitoring organisation sets up agencies, branches or
duties and responsibilities of its personnel. The applicant shall
subsidiaries within the Union, other than those declared in
have in place procedures for monitoring the performance and
its application;
technical competence of its personnel.
Article 7
(c) the monitoring organisation decides to provide services in a
Member States other than as declared in its application or in
Capacity to exercise functions as a monitoring organisation
a Member State where it declared to have ceased to provide
1. An
applicant
shall
demonstrate
that
it
has
in
place
all
of
its services in accordance with point (d);
the following:
(d) the monitoring organisation ceases to provide services in
(a) an organisational structure that ensures a proper exercise of
any Member State.
the functions of a monitoring organisation;
(b) a due diligence system to be made available to and used by
2. The
Commission
shall
communicate
all
information
operators;
obtained pursuant to paragraph 1 to the competent authorities
concerned.
(c) policies and procedures that allow for the evaluation and
improvement of the due diligence system;
Article 10
(d) procedures and processes to verify the proper use of its due
Review of the recognition decision
diligence system by operators;
1. The
Commission
may
review
a
decision
recognising
a
(e) procedures for corrective actions to be taken in a case of a
monitoring organisation at any time.
failure by an operator to properly use its due diligence
system.
The Commission shall carry out such a review in any of the
following situations:
2. In
addition
to
requirements
of
paragraph
1,
an
applicant
shall demonstrate that it has financial and technical capacity to
exercise the functions of a monitoring organisation.
(a) a competent authority concerned informs the Commission
that it has determined that a monitoring organisation no
Article 8
longer fulfils the functions laid down in Article 8(1) of
Absence of conflict of interest
Regulation (EU) No 995/2010 or no longer complies with
the requirements laid down in Article 8(2) of Regulation
1. An
applicant
shall
be
organised
so
as
to
safeguard
the
(EU) No 995/2010 as specified in Articles 5 to 8 of this
objectivity and impartiality of its activities.
Regulation;

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EN
27.4.2012 Official
Journal
of
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European
Union L
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(b) the Commission is in possession of relevant information,
organisation no longer fulfils the functions or meets the
including substantiated concerns from third parties, that a
requirements laid down in Article 8 of Regulation (EU) No
monitoring organisation no longer complies with the
995/2010.
requirements laid down in Article 8(1) and (2) of Regulation
(EU) No 995/2010 and in Articles 5 to 8 of this Regulation;
The review team may instead recommend that the Commission
issue a notice of remedial actions or an official warning, or that
(c) a monitoring organisation has informed the Commission of
the Commission take no further action.
changes referred to in Article 9(1)(a) of this Regulation.
Article 11
2. Where a review is initiated the Commission shall be
assisted by a review team to conduct the review and perform
Decision to withdraw recognition
checks.
1. The
Commission
shall
decide
whether
to
withdraw
recog
nition of a monitoring organisation on a temporary and/or
3. An
applicant
shall
grant
the
review
team
access
to
its conditional basis, or permanently, taking into account the
premises to verify that all requirements provided in Article 8
review report referred to in Article 10.
of Regulation (EU) No 995/2010 and in Articles 5 to 8 in this
Regulation are fulfilled. The competent authorities concerned
2. The
Commission
may
issue
a
notice
of
remedial
actions
or
may participate in the visit.
an official warning where the level of detected shortcomings
does not lead to a determination, in accordance with Article 8(6)
The applicant shall offer all assistance necessary to facilitate
of Regulation (EU) No 995/2010 that the monitoring organi
such visits.
sation no longer fulfils the functions or the requirements laid
down in Article 8(2) of that Regulation.
4. The
review
team
shall
draft
a
report
stating
its
findings.
Supporting evidence shall be annexed to the review report.
3. A
decision
to
withdraw
recognition
of
a
monitoring
organisation as well as a notice or a warning pursuant to
The review report shall include a recommendation as to
paragraph 2 shall be notified to the monitoring organisation
whether the recognition of a monitoring organisation should
concerned and communicated to the competent authorities of
be withdrawn.
all the Member States in accordance with Article 8(6) of Regu
lation (EU) No 995/2010 within 10 working days of its
The review team shall send the review report to the competent
adoption.
authorities concerned. Those authorities may provide comments
within three weeks of the date of transmission of the report.
Article 12
Data protection
The review team shall provide the monitoring organisation
concerned with a summary of the findings and conclusions of
This Regulation shall be without prejudice to the rules
the report. The organisation may provide comments to the
concerning the processing of personal data laid down in
review team within three weeks of the date of transmission of
Directive 95/46/EC and Regulation (EC) No 45/2001.
the summary.
Article 13
5. The review team shall recommend in its review report
Final provisions
withdrawal of recognition on a temporary and/or conditional
basis, or permanently, as it may deem required by the level of
This Regulation shall enter into force on the 20th day following
shortcomings detected, where it determines that a monitoring
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, 23 February 2012.
For the Commission
The President
José Manuel BARROSO

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L 115/16
EN
Official Journal of the European Union
27.4.2012
ANNEX
List of supporting documents
Legal personality; legal establishment; provision of services:
— certified copies of evidence as provided for in the relevant national legislation,
— list of Member States in which the applicant intends to provide services.
Appropriate expertise:
— description of the organisation and structure of the entity,
— list of technically competent personnel with copies of CVs,
— description of duties and responsibilities and their division,
— detailed describing of procedures for monitoring the performance and competences of the technically competent
personnel.
Capacity to exercise functions as a monitoring organisation:
A detailed description of the following:
— a due diligence system,
— policies and procedures for evaluation and improvement of the due diligence system,
— policies and procedures for dealing with complaints from operators or third parties,
— procedures and processes to verify the proper use of the due diligence system by operators,
— procedures for corrective actions to be taken in the case of a failure by an operator to properly use the due diligence
system,
— a record keeping system.
Financial capacity:
— copies of financial statements for the last financial year, or
— a declaration concerning the sales turnover, or
— other substantiating documents if the applicant cannot, for valid reasons, provide those indicated above,
— proof of liability insurance.
Absence of conflict of interest:
— declaration of absence of conflict of interest,
— description of the written policies and procedures for avoidance of conflict of interest at organisational and individual
level, which may include third party audits.
Subcontracting:
— description of tasks subcontracted,
— evidence that all subcontractors or the subsidiaries, where these are established, meet the relevant requirements above.

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