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中國礦產供應鏈盡責管理指南(第二版)Chinese Due Diligence Guidelines for Mineral Supply Chain (Second Edition)
文章來源:中國五礦化工進出口商會 發布時間:2022-07-18

發布時間 Publication date:


Publication date of the first edition: December 5, 2015


Publication date of the second edition: May 19, 2022.


編制機構 Development Organization: 

中國五礦化工進出口商會 (China Chamber of Commerce of Metals, Minerals & Chemicals Importers & Exporters)


適用范圍 Scope of Application: 






本《指南》中“礦產”指所有礦產資源及其產品(如礦石、精礦、金屬、衍生物和副產品),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,有關黃金的盡責管理建議請參考本《指南》附錄四,有關鈷的盡責管理建議請參考《鈷冶煉廠供應鏈盡責管理標準》 。






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


標準簡介 Introduction of this standard:

2015年,中國五礦化工進出口商會(CCCMC)與經濟合作與發展組織(OECD)合作編制了第一版《中國負責任礦產供應鏈盡責管理指南》,旨在幫助采掘和/或使用礦產資源及其產品,以及在任何一個環節參與礦產供應鏈的企業識別、防范和緩解風險,避免直接或間接造成嚴重的人權侵犯、沖突、環境破壞、損害商業道德等不利影響的發生。在參考《經濟合作與發展組織關于來自受沖突影響和高風險區域的礦石的負責任供應鏈盡職調查指南》(第三版),以及國際可持續標準聯盟(ISEAL Alliance)《可持續標準良好制定規范》基礎上,對第一版《中國負責任礦產供應鏈盡責管理指南》進行審閱和修訂。


第二版指南的名稱精煉為《中國礦產供應鏈盡責管理指南》(簡稱為“本《指南》”)在結構和內容上均發生了較大變化。本《指南》增加了盡責管理的十項特征,同時為了將眾多礦產社會責任要求和利益相關方期望匯集到本《指南》,本《指南》以《經濟合作與發展組織關于來自受沖突影響和高風險區域的礦石的負責任供應 鏈盡職調查指南》(第三版)為主要參考,并細化了對企業盡責管理的要求,同時參考《工商業與人權:實施聯合國“保護、尊重和補救”框架指導原則》、《經濟合作與發展組織負責任商業行為盡責管理指南》,在此基礎上補充了第六步驟“實時提供 條件或開展合作開展補救”,從而使得盡責管理的過程更加完整,確保供應鏈風險治理的“標本兼治”。此外,本《指南》還響應了近幾年國際社會在供應鏈盡責管理領域的發展趨勢以及行業企業實踐經驗,參考了歐盟《沖突礦產法規》(2017/821)、 美國《多德弗蘭克法案》(1502節)的相關要求、倫敦金屬交易所(LME)《負責任采購政策》,并吸收了其他相關標準、規則和倡議的核心內容,致力于推動標準之間的一致性與協調性。本《指南》還完善和補充了一類風險(與“受沖突影響和高風險 區域”相關的風險)、二類風險(與社會、環境和經濟相關的風險)的相關內容。


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).