Roles follow the transaction
The current regulation distinguishes operators, downstream operators and traders. An operator places relevant products on the market or exports them, excluding downstream operators. A downstream operator places or exports products made using relevant products all covered by a due diligence statement or simplified declaration. A trader is another supply-chain participant making relevant products available.
A business label such as importer, wholesaler or manufacturer does not resolve every case. Map the product and transaction first, then apply Article 2.
Operator responsibilities
Operators are subject to the Article 4 framework, including due diligence and the relevant statement requirements. They must communicate associated statement reference numbers or declaration identifiers to downstream operators and traders. Using an authorised representative does not transfer the operator’s responsibility for compliance.
A special regime exists for qualifying micro or small primary operators under Article 4a. This is a defined category with conditions, including low-risk-country establishment and self-produced commodities. It is not a general exemption for every small enterprise.
Downstream operators and traders
Article 5 requires collection and retention of specified supplier and customer information. Where the supplier is an operator, the associated statement references or declaration identifiers are part of the required supplier information. Non-SME downstream operators and non-SME traders must register in the information system before the relevant market or export activity.
The information is retained for at least five years. Article 5 also sets duties concerning new information and substantiated concerns. Do not use an old explanation that simply treats every large trader as an operator.
Build a responsibility matrix
A useful internal matrix lists each product flow, legal entity, role, record owner, information-system task and escalation contact. Review it when sourcing, processing or contracting arrangements change.
Separate the person gathering supplier records from the accountable release decision. A service provider can help organise records without certifying the legal result. The due diligence workflow helps make that distinction visible.
Primary sources
Articles 2, 4, 4a, 5 and 6. Legal review used the consolidated text dated 18 September 2026. Consolidated texts are documentation tools; authentic acts are published in the Official Journal.
Check the current sources and relevant competent authority guidance for your situation. This page is not legal advice or a compliance determination.