發(fā)布時(shí)間 Publication date：
第一版發(fā)布時(shí)間：2015年12月5日
Publication date of the first edition: December 5, 2015
第二版發(fā)布時(shí)間：2022年5月19日
Publication date of the second edition: May 19, 2022.
編制機(jī)構(gòu) Development Organization：
中國(guó)五礦化工進(jìn)出口商會(huì) (China Chamber of Commerce of Metals, Minerals & Chemicals Importers & Exporters)
適用范圍 Scope of Application：
本《指南》適用于礦產(chǎn)供應(yīng)鏈上所有開(kāi)采、供應(yīng)、采購(gòu)或加工礦產(chǎn)的中國(guó)企業(yè)，這些企業(yè)包括所有參與礦產(chǎn)供應(yīng)鏈上游企業(yè)（如勘探、采選、冶煉、加工、貿(mào)易，以及從儲(chǔ)運(yùn)到加工之間的環(huán)節(jié)）和下游使用礦產(chǎn)及相關(guān)產(chǎn)品的企業(yè)（如電子電器、儀器儀表、首飾加工制造、通訊器材等），但服務(wù)提供商除外(例如運(yùn)輸方、倉(cāng)庫(kù)、包裝供應(yīng)商等）。
本《指南》中的“中國(guó)企業(yè)”包括在中國(guó)注冊(cè)的以營(yíng)利為目的的法律實(shí)體，以及由中國(guó)所有或控股的境外企業(yè)。此外，其他國(guó)家的企業(yè)也可使用本《指南》作為開(kāi)展盡責(zé)管理，以此來(lái)預(yù)防和緩解不利影響的指導(dǎo)性文件，并為社會(huì)福祉、環(huán)境保護(hù)和經(jīng)濟(jì)發(fā)展作出積極貢獻(xiàn)。
本《指南》中“礦產(chǎn)”指所有礦產(chǎn)資源及其產(chǎn)品（如礦石、精礦、金屬、衍生物和副產(chǎn)品），包括但不限于鎢、錫、鉭、金、鈷、銅、鋁、鉛、鋅、 鎳、鉬、稀土、鋰、云母、重晶石等，其中，有關(guān)黃金的盡責(zé)管理建議請(qǐng)參考本《指南》附錄四，有關(guān)鈷的盡責(zé)管理建議請(qǐng)參考《鈷冶煉廠供應(yīng)鏈盡責(zé)管理標(biāo)準(zhǔn)》 。
本《指南》范圍中不包括回收料，但關(guān)注“對(duì)回收的資源進(jìn)行基于風(fēng)險(xiǎn)的評(píng)估，以確定原材料是否通過(guò)回收方式掩蓋了來(lái)源地”，因此對(duì)于聲明的回收料，企業(yè)需提供充分、有效的證據(jù)來(lái)證明原料是回收料。
參與其他自然資源供應(yīng)鏈的企業(yè)也可參照使用本《指南》。
This Chinese Guidelines applies to all Chinese companies engaged in extracting, supplying, procuring or processing of minerals in the mineral supply chain. These companies include all the upstream companies involved in the mineral supply chain (such as exploration, mining, smelting, processing, trade, and all points between storage and transportation to processing) and downstream companies using minerals and related products ( Such as electronic appliances, instrumentation, jewelry processing and manufacturing, communication equipment, etc.), except for service providers (such as transporters, warehouses, packaging suppliers, etc.).
"Chinese companies" in this Chinese Guidelines include legal entities registered in China for profit-making purposes, as well as overseas companies owned or controlled by Chinese companies. In addition, companies in other countries can also use this Chinese Guidelines as a guiding document to prevent and mitigate adverse impacts, and make positive contributions to social welfare, environmental protection and economic development.
"Mineral resources" in this Chinese Guidelines refers to all mineral resources and associated products (such as ores, concentrates, metals, derivatives and by-products), including but not limited to tungsten, tin, tantalum, gold, cobalt, copper, aluminum, lead, zinc, nickel, molybdenum, rare earth, lithium, mica, and barite and etc. Regarding gold due diligence, please refer to Appendix IV for detailed guidance. Regarding cobalt, please refer to Cobalt Refiner Supply Chain Due Diligence Standard (2.0).
Metals reasonably assumed to be recycled are excluded from the scope of this Chinese Guidelines. But the Chinese Guidelines is concerned of resources which cover up the actual source through recycling considering risk-based assessment. Therefore, for the declared recycled materials, enterprises need to provide sufficient and effective evidence to prove that the raw materials are recycled materials.
Companies involved in other natural resource supply chains can also refer to this Chinese Guidelines
標(biāo)準(zhǔn)簡(jiǎn)介 Introduction of this standard：
2015年，中國(guó)五礦化工進(jìn)出口商會(huì)（CCCMC）與經(jīng)濟(jì)合作與發(fā)展組織（OECD）合作編制了第一版《中國(guó)負(fù)責(zé)任礦產(chǎn)供應(yīng)鏈盡責(zé)管理指南》，旨在幫助采掘和/或使用礦產(chǎn)資源及其產(chǎn)品，以及在任何一個(gè)環(huán)節(jié)參與礦產(chǎn)供應(yīng)鏈的企業(yè)識(shí)別、防范和緩解風(fēng)險(xiǎn)，避免直接或間接造成嚴(yán)重的人權(quán)侵犯、沖突、環(huán)境破壞、損害商業(yè)道德等不利影響的發(fā)生。在參考《經(jīng)濟(jì)合作與發(fā)展組織關(guān)于來(lái)自受沖突影響和高風(fēng)險(xiǎn)區(qū)域的礦石的負(fù)責(zé)任供應(yīng)鏈盡職調(diào)查指南》（第三版），以及國(guó)際可持續(xù)標(biāo)準(zhǔn)聯(lián)盟（ISEAL Alliance）《可持續(xù)標(biāo)準(zhǔn)良好制定規(guī)范》基礎(chǔ)上，對(duì)第一版《中國(guó)負(fù)責(zé)任礦產(chǎn)供應(yīng)鏈盡責(zé)管理指南》進(jìn)行審閱和修訂。
第二版指南的名稱精煉為《中國(guó)礦產(chǎn)供應(yīng)鏈盡責(zé)管理指南》（簡(jiǎn)稱為“本《指南》”）在結(jié)構(gòu)和內(nèi)容上均發(fā)生了較大變化。本《指南》增加了盡責(zé)管理的十項(xiàng)特征，同時(shí)為了將眾多礦產(chǎn)社會(huì)責(zé)任要求和利益相關(guān)方期望匯集到本《指南》，本《指南》以《經(jīng)濟(jì)合作與發(fā)展組織關(guān)于來(lái)自受沖突影響和高風(fēng)險(xiǎn)區(qū)域的礦石的負(fù)責(zé)任供應(yīng) 鏈盡職調(diào)查指南》（第三版）為主要參考，并細(xì)化了對(duì)企業(yè)盡責(zé)管理的要求，同時(shí)參考《工商業(yè)與人權(quán)：實(shí)施聯(lián)合國(guó)“保護(hù)、尊重和補(bǔ)救”框架指導(dǎo)原則》、《經(jīng)濟(jì)合作與發(fā)展組織負(fù)責(zé)任商業(yè)行為盡責(zé)管理指南》，在此基礎(chǔ)上補(bǔ)充了第六步驟“實(shí)時(shí)提供 條件或開(kāi)展合作開(kāi)展補(bǔ)救”，從而使得盡責(zé)管理的過(guò)程更加完整，確保供應(yīng)鏈風(fēng)險(xiǎn)治理的“標(biāo)本兼治”。此外，本《指南》還響應(yīng)了近幾年國(guó)際社會(huì)在供應(yīng)鏈盡責(zé)管理領(lǐng)域的發(fā)展趨勢(shì)以及行業(yè)企業(yè)實(shí)踐經(jīng)驗(yàn)，參考了歐盟《沖突礦產(chǎn)法規(guī)》（2017/821）、 美國(guó)《多德弗蘭克法案》（1502節(jié)）的相關(guān)要求、倫敦金屬交易所（LME）《負(fù)責(zé)任采購(gòu)政策》，并吸收了其他相關(guān)標(biāo)準(zhǔn)、規(guī)則和倡議的核心內(nèi)容，致力于推動(dòng)標(biāo)準(zhǔn)之間的一致性與協(xié)調(diào)性。本《指南》還完善和補(bǔ)充了一類(lèi)風(fēng)險(xiǎn)（與“受沖突影響和高風(fēng)險(xiǎn) 區(qū)域”相關(guān)的風(fēng)險(xiǎn)）、二類(lèi)風(fēng)險(xiǎn)（與社會(huì)、環(huán)境和經(jīng)濟(jì)相關(guān)的風(fēng)險(xiǎn)）的相關(guān)內(nèi)容。
In 2015, the China Chamber of Commerce of Metals, Minerals & Chemicals Importers & Exporters (CCCMC) developed the first edition of Chinese Due Diligence Guidelines for Responsible Mineral Supply Chains in cooperation with OECD, which aims to support to companies which are extracting and/or using mineral resources and their related products, and are engaged at any point in the mineral supply chain, to identify, prevent, and mitigate their risks of directly or indirectly contributing to serious human rights abuses, conflict, environmental damage, damage to business ethics and other adverse impacts. The CCCMC reviewed and revised the first edition of the Chinese Due Diligence Guidelines for Responsible Mineral Supply Chains with reference to the 3rd Edition of the OECD Due Diligence Guidance for Responsible Mineral Supply Chains, and the ISEAL Code of Good Practice for Setting Sustainability Standards (ISEAL Alliance).
In the second edition, the name has been simplified into Chinese Due Diligence Chinese Guidelines for Mineral Supply Chains (referred to as the Chinese Guidelines), and major changes in terms of structure and content have been made. This Chinese Guidelines added ten characteristics of due diligence. At the same time, in order to incorporate many scattered and fragmented social responsibility requirements and stakeholder expectations into this Chinese Guidelines, by using the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-affected and High-risk Areas (Third Edition) as main reference, it specified the due diligence requirements for enterprises. Meanwhile, Guiding Principles for Business and Human Rights: Implementing the United Nations “Protect, Respect and Remedy” Framework and OECD Due Diligence Guidance for Responsible Business Conduct are referred, and Step six “Provide for or cooperate in remediation when appropriate” is added, so that the due diligence process is more complete, also to address "both the symptoms and root causes" of supply chain risk governance. In addition, this Chinese Guidelines also responds to the development and trend of the international community in the field of supply chain due diligence in recent years, with reference to relevant requirements of the EU Conflict Minerals Regulation (2017/821), the US Dodd-Frank Act (section 1502). Furthermore, other relevant standards, rules and initiatives have been studied to ensure integration and consistency. This Chinese Guidelines also refined and enriched the Type 1 Risks (risks related to conflict-affected and high-risk areas) and Type 2 risks (risks related to social, environmental, and the economic issues).
