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中国矿产供应链尽责管理指南(第二版)Chinese Due Diligence Guidelines for Mineral Supply Chain (Second Edition)
文章来源:中国五矿化工进出口商会 发布时间:2022-07-18

发布时间 Publication date:


Publication date of the first edition: December 5, 2015


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


编制机构 Development Organization: 

中国五矿化工进出口商会 (China Chamber of Commerce of Metals, Minerals & Chemicals Importers & Exporters)


适用范围 Scope of Application: 






本《指南》中“矿产”指所有矿产资源及其产品(如矿石、精矿、金属、衍生物和副产品),包括但不限于钨、锡、钽、金、钴、铜、铝、铅、锌、 镍、钼、稀土、锂、云母、重晶石等,其中,有关黄金的尽责管理建议请参考本《指南》附录四,有关钴的尽责管理建议请参考《钴冶炼厂供应链尽责管理标准》 。






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


标准简介 Introduction of this standard:

2015年,中国五矿化工进出口商会(CCCMC)与经济合作与发展组织(OECD)合作编制了第一版《中国负责任矿产供应链尽责管理指南》,旨在帮助采掘和/或使用矿产资源及其产品,以及在任何一个环节参与矿产供应链的企业识别、防范和缓解风险,避免直接或间接造成严重的人权侵犯、冲突、环境破坏、损害商业道德等不利影响的发生。在参考《经济合作与发展组织关于来自受冲突影响和高风险区域的矿石的负责任供应链尽职调查指南》(第三版),以及国际可持续标准联盟(ISEAL Alliance)《可持续标准良好制定规范》基础上,对第一版《中国负责任矿产供应链尽责管理指南》进行审阅和修订。


第二版指南的名称精炼为《中国矿产供应链尽责管理指南》(简称为“本《指南》”)在结构和内容上均发生了较大变化。本《指南》增加了尽责管理的十项特征,同时为了将众多矿产社会责任要求和利益相关方期望汇集到本《指南》,本《指南》以《经济合作与发展组织关于来自受冲突影响和高风险区域的矿石的负责任供应 链尽职调查指南》(第三版)为主要参考,并细化了对企业尽责管理的要求,同时参考《工商业与人权:实施联合国“保护、尊重和补救”框架指导原则》、《经济合作与发展组织负责任商业行为尽责管理指南》,在此基础上补充了第六步骤“实时提供 条件或开展合作开展补救”,从而使得尽责管理的过程更加完整,确保供应链风险治理的“标本兼治”。此外,本《指南》还响应了近几年国际社会在供应链尽责管理领域的发展趋势以及行业企业实践经验,参考了欧盟《冲突矿产法规》(2017/821)、 美国《多德弗兰克法案》(1502节)的相关要求、伦敦金属交易所(LME)《负责任采购政策》,并吸收了其他相关标准、规则和倡议的核心内容,致力于推动标准之间的一致性与协调性。本《指南》还完善和补充了一类风险(与“受冲突影响和高风险 区域”相关的风险)、二类风险(与社会、环境和经济相关的风险)的相关内容。


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).