atl due diligence management procedure for responsible

ATL Confidential 1 Due Diligence Management Procedure for Responsible Mineral Supply Chains

ATL Due Diligence Management Procedure for Responsible Mineral Supply Chains

1. Purpose:

This instruction is formulated to provide a guidance on mineral supply chains of possible raw materials used by the Company,

to identify, prevent and reduce risks of fueling conflict, serious human rights violations and serious negligence, to ensure that

the Company's entire mineral resource supply chain complies with the UN Guiding Principles, to implement the Chinese

Guidelines for Social Responsibility in Outbound Mining Investments, Chinese Due Diligence Guidelines for Responsible

Mineral Supply Chains, OECD Due Diligence Guidance for Responsible Supply Chinas of Minerals from Conflict-affected and

High-Risk Areas, and “Three Goals” of the Responsible Cobalt Initiative (RCI) and to ensure that the company's supply chain

policies and guidelines are in line with these guidelines so as to gradually increase the transparency of the supply chain and

enhance the Company’s supply chain management capabilities.

2. Scope:

The Company and its mineral supply chains

3. Reference Document:

3.1 Responsible Business Alliance Code of Conduct, URL: http://www.responsiblebusiness.org/standards/code-of-conduct/

3.2 UN Guiding Principles, URL: http://www.ohchr.org/CH/UDHR/Pages/UDHRIndex.aspx

3.3 The UN Guiding Principles on Business and Human Rights (2011 No. A_HRC_RES_17_4), URL:

http://www.ohchr.org/CH/PublicationsResources/Pages/ReferenceMaterial.aspx

3.4 Universal Declaration of Human Rights (1948 No. 217A), URL:


3.5 The OECD Practical Action for Worst Forms of Child Labor (WFCL) in Mining, Sections, URL:

http://www.oecd.org/daf/inv/investment-policy/child-labour-risks-in-the-minerals-supply-chain.htm

3.6 OECD Due Diligence Guidance for Responsible Supply Chinas of Minerals from Conflict-affected and High-Risk Areas ,

URL: http://www.oecd.org/daf/inv/mne/DDG-Chinese-web.pdf

3.7 “Three Goals” of the Responsible Cobalt Initiative (RCI); URL: http://www.cccmc.org.cn/tzgg/58371.htm

3.8 Chinese Due Diligence Guidelines for Responsible Mineral Supply Chains, Sections, URL:

http://en.cccmc.org.cn/news/cccmcinformation/41161.htm

3.9 Chinese Guidelines for Social Responsibility in Outbound Mining Investments, Provisions related to Child Labor and

Occupational Health and Safety, URL:

https://www.emm-network.org/case_study/cccmc-developing-guidelines-for-social-responsibility-in-outbound-mining-in

vestment/

3.10 Signed article Cobalt Is Not A Conflict Mineral by Chen Zhaoyang in China WTO Tribune managed by the Ministry of

Commerce, URL: http://www.wtoguide.net/index.php?g=&m=article&a=index&id=1056&cid=35

3.11 List of Legal Mining Companies in annual public social responsibility report published by leading brand companies.

3.12 Standards of supplier responsibility published by leading brand companies

3.13 ESP-020 RBA Procedures on Labor

3.14 ESP-021 RBA Procedures on Ethics

3.15 ESP-022 RBA Procedures on Management System

3.16 ESP-023 RBA Procedures on Environment

3.17 ESP-024 RBA Procedures on Health and Safety

3.18 QSP-041 Supplier Management Procedures

3.19 HRM-001 ATL Code of Conduct

http://www.responsiblebusiness.org/standards/code-of-conduct/

http://www.ohchr.org/CH/UDHR/Pages/UDHRIndex.aspx




http://www.oecd.org/daf/inv/mne/DDG-Chinese-web.pdf

http://www.cccmc.org.cn/tzgg/58371.htm

http://en.cccmc.org.cn/news/cccmcinformation/41161.htm

https://www.emm-network.org/case_study/cccmc-developing-guidelines-for-social-responsibility-in-outbound-mining-investment/


http://www.wtoguide.net/index.php?g=&m=article&a=index&id=1056&cid=35


4. Definition

4.1 Conflict Minerals (CM): refer to metal minerals including gold (Au), tantalum (Ta), tungsten (W) and tin (Sn) from

mining areas controlled by non-governmental military groups or non-military factions in Democratic Republic of the

Congo. The illegal mining profits obtained by local military groups were stolen from citizens and caused human rights

violations and environmental degradation in the eastern part of the Democratic Republic of the Congo. Such mineral

products that do not conform to the “DRC Conflict-Free Compliance Statement” include, in addition to minerals from the

Congolese Democratic Republic (DRC), minerals from Congolese veins in Rwanda, Uganda, and other countries

identified by UN Security Council.

4.2 Conflict-free metals in the Democratic Republic of the Congo: refer to conflict-free products and mines that do not

directly or indirectly finance the armed forces of the Democratic Republic of the Congo or neighboring countries.

4.3 Due Diligence: refers to measures that an enterprise should take to identify and resolve actual or potential risks, for the

purpose of preventing or reducing the adverse effects associated with its business activities or procurement decisions.

4.4 CCCMC: refers to China Chamber of Commerce of Metals, Minerals & Chemicals Importers & Exporters, which

introduced two standards for responsible minerals in the cobalt supply chain: Chinese Due Diligence Guidelines for

Responsible Mineral Supply Chains and Chinese Guidelines for Social Responsibility in Outbound Mining Investments.

4.5 OECD: refers to Organization for Economic Co-operation and Development

4.6 RCI: refers to Responsible Cobalt Initiative, an international organization initiated by CCCMC in 2016 committed to

tackle social and environmental risks in the cobalt supply chain. RCI has proposed three major goals, as follows: firstly,

the upstream and downstream companies joining RCI should observe the Chinese Due Diligence Guidelines for

Responsible Mineral Supply Chains and OECD Due Diligence Guidance for Responsible Supply Chinas of Minerals from

Conflict-affected and High-Risk Areas to ensure that the supply chain policies and guidelines are in line with these

guidelines so as to gradually increase the transparency of the supply chain and enhance the supply chain management

capabilities; secondly, promote cooperation with the government, non-government organizations and affected local

communities in the Democratic Republic of the Congo and take action and/or provide support to jointly address the risks

and challenges in the cobalt supply chain; and thirdly, establish joint communication and dissemination strategies to

effectively communicate progresses and results to the affected communities, mining companies and the public and

coordinate with other stakeholders in terms of work goals and plans.

4.7 Class 1 risk areas: refers to areas of armed conflict, including Haut-Uele Province, Bas-Uele Province, Tshopo Province,

Ituri Province, North Kivu Province and South Kivu Province in the eastern part of the Democratic Republic of the

Congo and neighboring Rwanda and Uganda surrounding African Great Lakes region which have been caught up in

conflict. Minerals in these areas include gold. This term is defined in the Chinese Due Diligence Guidelines for

Responsible Mineral Supply Chains and OECD Due Diligence Guidance for Responsible Supply Chinas of Minerals from

Conflict-affected and High-Risk Areas.

4.8 Class 2 risk areas: areas that are non-conflict but have child labor and serious human rights violations, including

Kasaï-Oriental Province, Kasaï Province, Lomami Province, San Kuru Province, Lulua Province, Haut-Katanga Province,

Lualaba Province, Haut-Lomami Province and Tanganyika Province in the eastern part of the Democratic Republic of the

Congo, and areas in other countries identified by some leading brands. This term is defined in the Chinese Due Diligence

Guidelines for Responsible Mineral Supply Chains and OECD Due Diligence Guidance for Responsible Supply Chinas of

Minerals from Conflict-affected and High-Risk Areas.

4.9 Non-risk area: any area other than the Democratic Republic of the Congo and Neighboring Rwanda and Uganda in

African Great Lakes region.

5. Responsibility:


5.1 Management Representative:

5.1.1 Implement relevant national, provincial and municipal laws, regulations and policies, social, labor/ethical codes and

customer requirements, and take the direct and leading responsibilities in the performance of corporate social

responsibilities and duties in management;

5.1.2 Implement “lawful and disciplined business operation” and carry out production and operations management while

fulfilling social responsibilities;

5.1.3 Set practical annual goals based on corporate social responsibility goals proposed by the General Manager;

5.1.4 Assist the General Manager in solving social responsibility issues discussed at the senior management meeting;

5.1.5 Organize regular internal audits or external audits for committees, and report the results to the General Manager;

5.1.6 Make external communication and liaison regarding departmental corporate social responsibility issues on behalf of

the Company.

5.2 Main responsibilities of the EHS Department

5.2.1 Take the lead in implementing and improving internal audits on the occupational health and safety and environment

management systems, and supervises the operation of the RBA system;

5.2.2 Participate in the discussion and improvement of risk assessment and control measures;

5.2.3 Assist in the implementation of relevant systems within the department;

5.2.4 Conduct education and training within the department;

5.2.5 Participate in the implementation and improvement of internal audits;

5.3 Main responsibilities of the Purchasing Department:

5.3.1 Select suitable suppliers based on material procurement requirements, and take the lead in the due diligence on

suppliers of responsible minerals and on-site audits of new suppliers;

5.3.2 Deliver the Model Supply Chain Policy to suppliers and promote the policy implementation by suppliers;

5.3.3 Request the suppliers of responsible minerals to provide Pre-checklist for Risk Assessment on Responsible Minerals

and keep the documents under uniform custody;

5.3.4 Regularly report the results of supply chain risk assessment to the management.

5.3.5 Implement a risk mitigation plan for risky suppliers based on the risk assessment results;

5.3.6 Take the lead in the implementation and improvement of internal audits on the management of responsible supply

chain of minerals (at least once a year);

5.3.7 Take the lead in filling the product composition declaration and questionnaire on conflict minerals or responsible

minerals as requested by the customer.

5.4 Main responsibilities of the Quality Department:

5.4.1 Improve the conditions of the electronic supply chain in response to the commitments made by the Company to RBA

and GeSI (Global e-Sustainability Initiative) Joint Working Group and do not accept mining activities that may

contribute to conflicts;

5.4.2 Take the lead in organizing audits on suppliers of approved materials and outsourcing suppliers and participate in the

on-site audit of new suppliers by reference to the QSP-041 Supplier Quality System Audit Checklist;

5.4.3 Follow up on issues identified during the audit and verify corrective and preventive measures developed by the

supplier.

5.5 Management responsibility of the Sales Department

5.5.1 SLS is responsible for filling information about the company in the CMRT (Conflict Minerals Reporting Template) or

Questionnaire on Co Responsible Minerals as required by the customer, and for forwarding the questionnaire to the

SRC responsible suppliers for filling. The completed questionnaire will be subject to review and approval by the

Company’s Legal Department, EHS, HR and other departments before SLS can send a reply to the customer.

5.6 Management responsibilities of the HR Department:

5.6.1 Responsible for tracking laws and regulations, labor/ethical guidelines and customer requirements, and applicable

updates;

5.6.2 Implement relevant national laws, regulations, policies, and systems, and formulate HR policies and systems


according to law;

5.6.3 Take direct and leading responsibility in the implementation of labor/ethical principles in operations management and

carrying out lawful and disciplined business operation;

5.6.4 Organize and carry out education, training and assessment on labor/ethics and customer requirements to ensure the

implementation of relevant procedures and achievement of goals;

5.6.5 Responsible for the formulation and implementation of labor and ethical risk assessment, control measures,

management programs and operational indicators.

5.6.6 Organize and implement regular employee communication plans to publicize relevant policies and systems and obtain

feedback from employees.

5.6.7 Accept disclosure and anonymous report of violations of labor and ethical codes, conduct investigations and

implement disciplinary procedures.

5.6.8 Select right resources to support the operation of the system;

5.6.9 Formulate risk assessment control methods and measures;

5.6.10 Participate in the implementation and improvement of internal audits.

5.7 Main responsibilities of the employee:

5.7.1 Study and receive training on relevant labor/ethical codes, laws and regulations, and customer requirements provided

by the Company to continuously strengthen law-abiding awareness;

5.7.2 Conscientiously abide by company rules and regulations and labor disciplines, and be a law-abiding corporate citizen;

5.7.3 Respect and care for others and be a civilized and polite person in life and at work;

5.7.4 Actively propose and participate in rationalization proposals/improvement activities and various forms of employee

communication, and proactively propose suggestions and feasible measures to improve corporate labor/ethical

practices;

5.7.5 Promptly report any law and regulation violation or any labor/ethical non-conformity or inform relevant departments

and personnel, and take corresponding corrections or emergency measures to prevent the situation from getting worse.

6. Procedure:

6.1 Conduct consciousness education

6.1.1 Consciousness education on “conflict minerals” and “responsible minerals” should be carried out for responsible

supplier management departments such as the Purchasing Department and Quality Department. Main purpose of the

education should include:

1) Learn about relevant international and domestic standards for “conflict minerals” and “responsible minerals”;

2) Download these standards and organize training and learning activities;

3) Incorporate these standards in the in-house executive documents;

4) Deliver requirements for “conflict minerals” and “responsible minerals” to suppliers, and promote the implementation

by suppliers;

5) Check if the Company has a due diligence declaration.

6.2 “Five-step” due diligence framework and implementation

6.2.1 Step1: Establish sound risk management systems

Companies should:

1) Adopt, implement and clearly communicate to suppliers and the public, a company policy for the supply chain of

minerals originating from conflict-affected and high-risk areas. This policy should incorporate the standards against

which due diligence is to be conducted, and should be consistent with the standards set forth in the Model Supply

Chain Policy (see Appendix 1).

2) Structure internal management to support supply chain due diligence.

3) Establish a system of controls and transparency over the mineral supply chain.

Companies should establish an appropriate chain of custody or a traceability system over mineral production and

trade and pass on due diligence information downstream. Further, companies are encouraged to engage with

downstream companies and request the downstream companies to conduct due diligence by themselves. Upstream


companies can also encourage downstream companies to source from companies that have conducted due diligence or

work with their suppliers to conduct due diligence.

Downstream companies should establish transparency systems over the supply chain to collect data on key

upstream actors in the supply chain, including, for identified key links (see 6.2.4), and the countries and regions they

source from.

4) Strengthen company engagement with suppliers.

A supply chain due diligence work instruction should be incorporated into contracts and/or agreements with

suppliers. Where possible, assist suppliers in building capacities with a view to improving due diligence performance.

5) Establish a company-level, or industry-wide grievance mechanism as a part of the risk warning system.

6.2.2 Step 2: Identify and assess risk in the supply chain

Companies should: by reference to Fig. 1 Map of Administrative Divisions of Democratic Republic of the Congo

(2015) and Fig. 2 Pre-checklist for Risk Assessment on Responsible Minerals, gather information on, study and verify

the chain of custody or traceability, identify risks with the suppliers, list the name and nature (trader or processor) of

suppliers at each level and their location which include the mining site, processing site and transport route; check if

the location of the supplier is in the Class 1 risk area or Class 2 risk area or any other area such as China which is

neither a Class 1 risk area nor a Class 2 risk area. As lithium ion battery or cell contains cobalt, if the cobalt comes

from Haut-Katanga Province, Lualaba Province, Haut-Lomami Province or Tanganyika Province in the Democratic

Republic of the Congo, then the lithium ion battery or cell will be considered as coming from a Class 2 risk area.

Circuit board of the lithium ion battery contains gold, and attention should be paid to check whether the gold comes

from China or the eastern part of the Democratic Republic of the Congo (Class 1 risk area).

1) For suppliers, sources or circumstances with any potential risks or warning signs, undertake enhanced due diligence to

identify risks in their supply chain.

Upstream companies should:

a) Carry out on-site risk assessments individually or through collaborative efforts, to gather information on production,

handling and trade.

b) For recycled resources, companies should use risk-based assessments to determine whether raw materials are

laundered through recycled channels to conceal or hide its origin.

Downstream companies should:

Assess risks by evaluating whether due diligence has been carried out on key upstream actors and other identified key

links (for example, by reviewing any available audit information, publicly available policies and public reports). For

very complex manufactured products, downstream companies who find it difficult to identify upstream actors from

their direct suppliers may wish to engage with key upstream actors on an individual or industry-level basis and

encourage their implementation of due diligence and participation in audits.

http://www.baidu.com/link?url=mCfgw3jV1J2Nezwa6Aiwt-KoHY2imaBiCjAiPYDhE62V5nzP2FEXLMeYJq0Ub8t4R0RJIEaRd37OpvgriqiFnPTesfcy3h_aEOry8VgEvcO27olcWAODEN3ODfIj2T9Y


Figure 1 Map of Administrative Divisions of Democratic Republic of the Congo (2015)

Pre-checklist for Risk Assessment on Responsible Minerals

Level 1

supplier

Level 2 supplier

(precursor)

Level 3 supplier

(refinery)

Level 4

supplier

(smelter/trader

)

Level 5

supplier

(mine)

Mineral

type

Improve

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required

Improve

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Fig. 2 Pre-checklist for Risk Assessment on Responsible Minerals

Notes:

a) Supplier (refinery or mine) of cobalt/lithium/graphite should fill in the table in Fig. 2 (add one line for each additional

supplier).

b) Class 1 risk areas: refers to areas of armed conflict, including Haut-Uele Province, Bas-Uele Province, Tshopo

Province, Ituri Province, North Kivu Province and South Kivu Province in the eastern part of the Democratic

Republic of the Congo and neighboring Rwanda and Uganda surrounding African Great Lakes region which have

been caught up in conflict. Minerals in these areas include gold. This term is defined in the Chinese Due Diligence

Class 2 risk areas: areas

that have child labor and

serious human rights violations, including

Haut-Katanga Province in

Democratic Republic of the

Congo (copper and cobalt

mines).

The western and southern parts are controlled

by the government and Kasaï-Oriental

Province, Kasaï Province, Lomami Province,

San Kuru Province, Lulua Province,

Haut-Katanga Province, Lualaba Province,

Haut-Lomami Province and Tanganyika

Province in the western part produces copper

and cobalt which are legal minerals of the

government, not conflict minerals.

Class 1 risk areas: areas of armed

conflict, including the eastern part

of the Democratic Republic of the

Congo and neighboring country Rwanda which is involved in the

conflict in the African Great Lakes

region

Public security in the eastern part

of the Democratic Republic of the

Congo is poor. Haut-Uele

Province, Bas-Uele Province,

Tshopo Province, Ituri Province, North Kivu Province and South

Kivu Province produce gold and

are listed as territories of conflict

minerals;


Guidelines for Responsible Mineral Supply Chains and OECD Due Diligence Guidance for Responsible Supply

Chains of Minerals from Conflict-affected and High-Risk Areas.

c) Class 2 risk areas: areas that are non-conflict but have child labor and serious human rights violations, including

Kasaï-Oriental Province, Kasaï Province, Lomami Province, San Kuru Province, Lulua Province, Haut-Katanga

Province, Lualaba Province, Haut-Lomami Province and Tanganyika Province in the eastern part of the Democratic

Republic of the Congo, and areas in other countries identified by some leading brands. This term is defined in the

Chinese Due Diligence Guidelines for Responsible Mineral Supply Chains and OECD Due Diligence Guidance for

Responsible Supply Chains of Minerals from Conflict-affected and High-Risk Areas.

d) Non-risk area: any area other than the Democratic Republic of the Congo and Neighboring Rwanda and Uganda in

African Great Lakes region.

6.2.3 Step 3: Design and implement a strategy to respond to identified risks

Companies should:

1) Report findings of the supply chain risk assessment to the designated senior management of the company.

2) Devise and implement a risk management plan. Devise a strategy for risk management by either:

a) Continuing trade throughout the course of measurable risk mitigation efforts;

b) Temporarily suspending trade while pursuing ongoing measurable risk mitigation; or

c) Disengaging with a supplier after failed attempts at mitigation or where a company deems risk mitigation not feasible

or unacceptable.

3) Implement the risk management plan, monitor and track performance of risk mitigation efforts, keep records of

communication with suppliers or stakeholders in the course of risk mitigation and report back to designated senior

management.

4) Undertake additional fact and risk assessments for risks requiring mitigation, or after a change of circumstances.

6.2.4 Step 4: Carry out audit

Companies should:

1) Carry out independent third-party audit. Such independent third-party audit can be customer audit, audit carried out by

the company or third-party audit entrusted by the customer, which generally include the audit carried out by TUV,

SGS, etc.; internal audit should be carried out at least once a year and can be incorporated in the OHSAS18000 or

ISO14000 system audit; for any non-conformity identified in external and internal audits, corresponding corrective

and preventive measures should be taken in time and rectification should be done in time. Relevant audit report should

be kept by the Purchasing Department.

2) Companies at identified key link in the supply chain should have their due diligence practices audited by independent

third parties. While companies are expected to identify those links through a thorough and demonstrated risk

assessment of their own supply chains, they may take into account industry-wide and resource specific key links.

6.2.5 Step 5: Annual report

Companies should:

1) Publicly report on their supply chain due diligence policies and practices, including on identified risks and steps taken

to mitigate these risks.

2) Include the information on supply chain due diligence in the annual corporate social responsibility report or annual

summary report. Depending on the requirements of human rights and business law and ethics, the information should

be disclosed to the public, to stakeholders or to others. The information should be published to the public via the

website;

3) Publicize information on responsible supply chain of minerals to government authorities and organizations to which

the company is a member; share the name of supply chain, audit, and progress in five-step governance law with

customers and suppliers in the supply chain; and report and summarize the implementation of due diligence practices

within the company.


7. Appendix:

7.1 Appendix 1: URLs for downloading reference documents (From the website of CCCMC China Chamber of Commerce of

Metals, Minerals & Chemicals Importers & Exporters)

7.2 Appendix 2: Declaration of Compliance with Responsible Mineral Policy Template (from Chinese Due Diligence

Guidelines for Responsible Mineral Supply Chains)

7.3 Appendix 3: Universal Declaration of Human Rights

7.4 Appendix 4: Human rights and transnational corporations and other business enterprises

7.5 Appendix 5: Matrix of Reference Standards for Total Responsibility Management on Supply Chain, Labor Issues and

Human Rights (from Chinese Guidelines for Social Responsibility in Outbound Mining Investments)

8. Form Generated:

8.1 The latest version of the following forms is available on the Document Control Center page - List of the Latest Quality

Records:

8.1.1 QF-ESI-099-01 责任矿产风险评估预检查清单 Pre-checklist for Risk Assessment on Responsible Minerals

8.1.2 QF-ESI-099-02 供应商责任矿产审核文件清单 Checklist for Audit on Suppliers of Responsible Minerals

8.2 Forms attached to other documents:

表单编号

Form No.

表单名称

Name

出自文件名

Name of source document

QF-QSP-041-11 供应商品质系统审核表

Supplier Quality System Audit Checklist

QSP-041

ATL Confidential 9 Due Diligence Management Procedure for responsible Mineral Supply Chains

Appendix 1: URLs for downloading reference documents (From the website of CCCMC China Chamber of Commerce of

Metals, Minerals & Chemicals Importers & Exporters)

1. Chinese Due Diligence Guidelines: Chinese Due Diligence Guidelines for Responsible Mineral Supply Chains, Sections,

URL: http://en.cccmc.org.cn/news/cccmcinformation/41161.htm

2. OECD Practical Action on Worst Forms of Child Labor: OECD Practical Action on Worst Forms of Child Labor

URL: http://www.oecd.org/daf/inv/investment-policy/child-labour-risks-in-the-minerals-supply-chain.htm

3. Chinese Guidelines for Social Responsibility: Chinese Guidelines for Social Responsibility in Outbound Mining

Investments, URL:

https://www.emm-network.org/case_study/cccmc-developing-guidelines-for-social-responsibility-in-outbound-mining-in

vestment/

4. Universal Declaration of Human Rights: Universal Declaration of Human Rights URL:

http://www.ohchr.org/CH/UDHR/Pages/Resources.aspx

5. Human rights and transnational corporations and other business enterprises: Human rights and transnational corporations

and other business enterprises URL: http://www.ohchr.org/CH/PublicationsResources/Pages/ReferenceMaterial.aspx

6. Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict- Affected and High-Risk

Areas(OECD Guidance), URL: http://www.oecd.org/daf/inv/mne/DDG-Chinese-web.pdf




http://www.ohchr.org/CH/UDHR/Pages/Resources.aspx


http://www.oecd.org/daf/inv/mne/DDG-Chinese-web.pdf


Appendix 2: Declaration of Compliance with Responsible Mineral Policy Template (from Chinese Due Diligence Guidelines

for Responsible Mineral Supply Chains)

遵守负责任矿产供应链管理的政策声明书

Declaration of Compliance with the Policy on Responsible Mineral Supply Chains

致客户和利益相关方：

To customers and stakeholders:

本公司响应RCI（责任钴业倡议）组织的倡议，落实其三大目标；遵循其提倡的三大国际标准：即CCCMC（五矿

化工进出口商会）主导建立的《中国负责任矿产供应链尽责管理指南》和《中国对外矿业投资行业社会责任指引》标

准， OECD（经合组织）主导建立的《国际经合组织对最恶劣的童工的保护》标准；不使用第1类风险区域的矿产，

控制并持续改善使用第2类风险区域的矿产，优先选择非第1类和非第2类风险区域的矿产；优先使用国际上公开的合法

矿产清单，如领导品牌在其社会责任报告中公布的合法矿产工厂清单；推动与刚果（金）政府、民间组织及受影响的

当地社区开展合作，采取行动和/或支持相关行动，共同推动改善。

We commit to implement the three goals proposed by RCI (Responsible Cobalt Industry Initiative); to comply with the three

international standards it advocates: i.e. the Chinese Due Diligence Guidelines for Responsible Mineral Supply Chains and

Chinese Guidelines for Social Responsibility in Outbound Mining Investments, and OECD Practical Action for Worst

Forms of Child Labor (WFCL) in Mining established by OECD (Organisation for Economic Co-operation and Development);

to not use minerals from Class 1 risk areas, and to control and continuously improve the use of minerals from Class 2 risk areas,

and to preferentially use minerals from any area other than Class 1 and Class 2 risk areas; to preferentially use minerals from

the internationally published list of legal minerals, for example, minerals from the list of legal mines published by leading

brands in their CSR reports; to promote cooperation with the government of the Democratic Republic of the Congo,

non-government organizations and affected local communities and take action and/or provide support to jointly promote

improvements.

详细内容参考附件：《负责任矿产的供应链政策细节》内容。

For details, please refer to the attachment: Supply Chain Policy of Responsible Mineral.

公司名称：

Name of company:

法人代表：

Legal representative:

公布日期：

Date of publication:

附件：《负责任矿产的供应链政策细节》

Appendix: Supply Chain Policy of Responsible Mineral

我们认识到在受冲突影响和高风险区域从事矿产资源开采、交易、处理、出口存在可能造成重大不利影响的风险，

并认识到我们有尊重人权、不助长冲突和不对环境和社会产生负面影响的义务，我们承诺采纳并广泛传播《中国负责

任矿产供应链尽责管理指南》相关政策，并将其纳入与供应商签订的合同和协议之中。这一政策为矿产资源供应链全

过程涉及冲突敏感的采购活动以及供应商的风险意识提供参考。我们承诺遵守联合国相关制裁决议，遵守适用执行此

类决议的国内法律，不参与任何会为冲突提供帮助或便利的行为。

Recognizing that risks of significant adverse impacts which may be associated with extracting, trading, processing and

exporting mineral resources from conflict-affected and high-risk areas, and recognizing that we have the responsibility to

respect human rights and not contribute to conflict, as well as not to contribute to adverse environmental and social impacts,

we commit to adopt, widely disseminate and incorporate in contracts and/or agreements with suppliers policies in the Chinese

Due Diligence Guidelines for Responsible Mineral Supply Chains. This policy serves as a common reference for


conflict-sensitive sourcing practices and suppliers’ risk awareness throughout the process of mineral resource supply chain.

We commit to comply with relevant United Nations sanctions resolutions or, where applicable, domestic laws implementing

such resolutions and commit to refraining from any action which contributes to or facilitates a conflict.

为此，我们承诺在商业活动中识别并避免以下风险：

Therefore, we commit that we will identify and avoid the risks listed below in our business practices and actions:

一、严重侵犯人权的行为

Serious human rights abuses

我们既不容忍也不以任何方式获利于、助长、协助或便利任何一方实施：

We will neither tolerate nor by any means profit from, contribute to, assist with or facilitate the commission by any party of:

1. 任何形式的酷刑，残忍、不人道和有辱人格的待遇；

Any forms of torture or cruel, inhuman or degrading treatment;

2. 任何形式的强迫或强制劳动。强迫或强制劳动是指以惩罚相威胁，强迫任何人从事的非本人自愿提供的劳动

或服务；

Any forms of forced or compulsory labour, which means work or service which is exacted from any person under the

menace of penalty and for which said person has not offered himself voluntarily

3. 最恶劣形式的童工；

The worst forms of child labor;

4. 其他严重侵犯和践踏人权的行为，如大规模性暴力；

Other gross human rights violations and abuses such as widespread sexual violence;

5. 战争罪或其他严重违反国际人道法的行为，反人类罪或种族灭绝。

War crimes or other serious violations of international humanitarian law, crimes against humanity or genocide.

降低风险

Risk Mitigation

如果我们有合理理由认为上游供应商从有严重侵犯人权行为的任何一方采购或与之存在关联，我们将立即中止或中

断与该供应商的合作。

We will immediately suspend or discontinue engagement with upstream suppliers where we identify a reasonable risk that they

are sourcing from, or linked to, any party committing serious human rights abuses.

二、直接或间接支持非法的有组织武装团体和公共或私人安全武装

Direct or indirect support to non-state armed groups and public or private security forces

我们不容忍任何通过矿产资源开采、运输、交易、处理或出口为非国有的有组织武装团体提供直接或间接的支持。

通过矿产资源开采、运输、交易、处理或出口为非国有的有组织武装团体提供“直接或间接的支持”，包括且不限于从

非法的有组织武装团体或其关联方购买资源，向其付款，或以其他方式向其提供后勤支援或设备等。这些武装团体或

关联方：

We will not tolerate any direct or indirect support to non-state armed groups through the extraction, transport, trade, processing

or export of mineral resources. “Direct or indirect support” to non-state groups through the extraction, transport, trade,

processing or export of mineral resources includes, but is not limited to, procuring resources from, making payments to or

otherwise providing logistical assistance or equipment to, illegal organized armed groups or their affiliates who:

1. 非法控制矿址，或以其他方式控制运输路线、矿产资源交易点以及供应链的上游行为主体；

Illegally control extraction sites or otherwise control transportation routes, points where mineral resources are traded

and upstream actors in the supply chain;

2. 在矿址入口、运输路线沿线或矿产资源交易点非法征税或者勒索钱财或矿产资源；

Illegally tax or extort money or mineral resources at points of access to extraction sites, along transportation routes or

at points where mineral resources are traded; and/or

3. 对中间商、出口企业或国际贸易商非法征税或勒索。

Illegally tax or extort intermediaries, export companies or international traders.

我们将杜绝向非法控制矿址、运输路线以及供应链上游参与方，在矿址入口、运输路线沿线或矿产资源交易点非法


征税或勒索钱财或矿产资源，或者向中间商、出口企业或国际贸易商非法征税或进行勒索的公共或私人安全武装提供

直接或间接支持。

We will eliminate direct or indirect support to public or private security forces who illegally control extraction sites,

transportation routes and upstream actors in the supply chain; illegally tax or extort money or mineral resources at point of

access to extraction sites, along transportation routes or at points where mineral resources are traded; or illegally tax or extort

intermediaries, export companies or international traders.

我们认可，矿址、周边地区和运输道路沿线的公共或私人安全武装的作用仅是维护法治，包括保障人权、保护矿

工、设备和设施安全、保护矿址或运输路线以使合法的开采和贸易不受干扰。

We recognize that the role of public or private security forces at the extraction sites and/or surrounding areas and/or along

transportation routes should be solely to maintain the rule of law, including safeguarding human rights, providing security to

workers, equipment and facilities, and protecting the extraction site or transportation routes from interference with legitimate

extraction and trade.

在我们或我们供应链上的任何企业或商业关系与公共或私人安全武装签订了合约的情况下，我们承诺或者将规定，

这类安全武装需被公认的处理公共或私人安全武装的国际标准和指导性文件所认可。尤其是，我们将支持或采取措施，

运用筛查政策，确保已知实施过侵犯人权行为的个人或安全武装单位不被录用。

Where we or any company in our supply chain contract public or private security forces, we commit to or we will require that

such security forces will be engaged in accordance with the recognized international standards and guidance documents

concerning public or private security forces. In particular, we will support or take steps, to adopt screening policies to ensure

that individuals or units of security forces that are known to have been responsible for gross human rights abuses will not be

hired.

我们将支持或采取措施，与中央或地方政府、国际组织和民间社会组织开展合作，共同制定提高公共安全武装安

保费用的透明度、相称性和问责性的可行解决方案。

We will support efforts, or take steps, to engage with central or local authorities, international organizations and civil society

organizations to contribute to workable solutions on how transparency, proportionality and accountability in payments made to

public security forces for the provision of security could be improved.

我们将支持或采取措施，与当地政府、国际组织和民间社会组织开展合作，供应链上的矿产资源通过小作坊或小

规模采矿方式开采的，避免或最大限度地降低公共或私人安全武装驻扎在矿址给弱势群体带来的不利影响，尤其是对

小作坊的不利影响。

We will support efforts, or take steps, to engage with local authorities, international organizations and civil society

organizations to avoid or minimize the exposure of vulnerable groups, in particular, artisanal operators where mineral

resources in the supply chain are extracted through artisanal or small-scale operators, to adverse impacts associated with the

presence of security forces, public or private, on extraction sites.

降低风险

Risk Mitigation

如果我们有合理理由认为上游供应商从向非国有有组织武装团体提供直接或间接支持的任何一方进行采购或与

之存在关联，我们将立即中止或中断与该供应商的合作。

We will immediately suspend or discontinue engagement with upstream suppliers where we identify a reasonable risk that they

are sourcing from, or linked to, any party providing direct or indirect support to non-state armed groups.

我们将根据企业在供应链上所处的具体位置，立即与供应商及其他利益相关方一起制定、采用和实施风险管理计

划，从而防范或降低向公共或私人安全武装提供直接或间接支持的风险。这些安全武装非法控制矿址、运输路线和供

应链上游参与方，在矿址入口、运输线路或矿产交易点非法征税或勒索钱财或矿产资源，或对中间商、出口公司或国

际贸易商非法征税或勒索，我们有理由认为存在风险。在此情况下，如果风险管理计划实施六个月未奏效，我们将中


止或中断与供应商的合作。

In accordance with the specific position of the company in the supply chain, we will immediately devise, adopt and implement

a risk management plan with suppliers and other stakeholders to prevent or mitigate the risk of direct or indirect support to

public or private security forces, who illegally control mine sites, transportation routes and upstream actors in the supply chain;

illegally tax or extort money or minerals at point of access to mine sites, along transportation routes or at points where minerals

are traded; or illegally tax or extort intermediaries, export companies or international traders, where we identify that such a

reasonable risk exists. In such cases, we will suspend or discontinue engagement with suppliers after failed attempts at

mitigation within six months from the adoption of the risk management plan.

三、腐败、洗钱和向政府支付的各项费用

Corruption, Money Laundering and Payments to Governments

我们不提供、承诺、给予或索要任何贿赂，并且抵制索贿，不会为了掩盖或伪造矿产资源原产地，虚报矿产资源

开采、交易、处理、运输、出口等活动应向政府缴纳的税收、费用和特许开采费而行贿。

We will not offer, promise, give or demand any bribes, and will resist the solicitation of bribes to conceal or disguise the origin

of mineral resources, to misrepresent taxes, fees and royalties paid to governments for the purposes of mineral resources

extraction, trade, processing, transport and export.

我们禁止一切业务活动和交易中的贿赂行为，包括代理方和其他第三方的贿赂行为，为馈赠、收受礼物制定标准

与审批程序；尽最大努力促进与所有业务伙伴间负责任的商业实践。

We will prohibit bribery in all business practices and transactions, including those of agents and other third-parties, and set

criteria and approval procedures with respect to the offer or acceptance of gifts; use the greatest efforts to promote responsible

business practices with all business partners.

如果我们有理由认为，存在因开采、交易、处理、运输或出口在矿址入口、运输路线沿线，或上游供应商矿产资

源交易地进行非法征税或勒索而得的矿产资源所引起或与之相关的洗钱风险，我们将支持或采取措施，为有效消除洗

钱行为做出贡献。

We will support efforts, or take steps, to contribute to the effective elimination of money laundering where we identify a

reasonable risk of money-laundering resulting from, or connected to, the extraction, trade, processing, transport or export of

mineral resources derived from the illegal taxation or extortion of mineral resources at points of access to extraction sites,

along transportation routes or at points where mineral resources are traded by upstream suppliers.

我们承诺采取有效措施，防止卷入洗钱或恐怖主义融资，例如：通过明确和发布供应商、客户身份和实际所有权

等，监测异常或可疑活动的交易，保存高于适用法律法规中金额上限的现金交易记录。

We commit to take effective measures to prevent the involvement in money laundering and financing of terrorism, e.g. by

establishing and publishing the identity and beneficial ownership of suppliers and customers; monitoring transactions for

unusual or suspicious activity; and maintaining records of cash transactions that occur above the relevant defined financial

threshold under applicable law.

我们将确保向政府支付所有与受冲突影响和高风险区域矿产资源开采、交易、出口相关的合法税收、费用和特许

费，并承诺根据企业在供应链上所处位置，对此类支付进行披露。

We will ensure that all taxes, fees, and royalties related to mineral resources extraction, trade and export from conflict-affected

and high-risk areas are paid to governments and, in accordance with the company’s position in the supply chain, we commit to

disclose such payments.

降低风险

Risk Mitigation

根据企业在供应链上所处的具体位置，我们承诺与供应商、中央或地方政府、国际组织、民间社会以及受影响的

第三方酌情开展合作，以在合理的时间跨度内采取可测量措施，防范或降低不利影响风险之目的，对绩效进行改善或


跟踪。风险降低措施未起作用的，我们将中止或中断与上游供应商的合作。

In accordance with the specific position of the company in the supply chain, we commit to engage with suppliers, central or

local governmental authorities, international organizations, civil society and affected third parties, as appropriate, to improve

and track performance with a view to preventing or mitigating risks of adverse impacts through measurable steps taken in

reasonable time scales. We will suspend or discontinue engagement with upstream suppliers after failed attempts at mitigation.

四、土地权利、排放和小作坊

Land rights, emissions and artisanal operators

我们不参与、不容忍、也不受益于在未获得当地人和土著人自由、预先、知情的同意的土地上开采资源，包括持

有法定所有权、租赁权、特许权或许可证的开采商。我们不参与、不容忍、也不受益于当地人和土著人的文化和遗产

未受尊重和保护，或损害当地人传统文化的开采作业。

We will not engage in or tolerate extracting resources or otherwise benefiting from land where the free, prior and informed

consent of local communities and indigenous peoples has not been obtained, including those for which the extractor holds a

legal title, lease, concession, or license. We will not engage in or tolerate extracting resources or otherwise benefiting from

mining operations where the culture and heritage of local communities and indigenous peoples have not been respected and

protected, or where traditional cultures of local peoples have been harmed.

我们不参与、不容忍、也不受益于在非法获得法定所有权、租赁权、特许权或许可证，或违反国内法的土地上开

采资源。我们确保避免给周围土壤、空气和水的状况造成重大不利影响，严重违反当地相关法律法规，包括制造、交

易、使用因对生物体高毒性、环境持久性、或潜在的不可逆生态影响而受到国际禁令的化学品与危险物质，或排放砷

和汞。

We will not engage in or tolerate extracting resources or otherwise benefiting where a legal title, lease, concession, or license

has been illegally obtained or violates national law. We will ensure avoiding major adverse impacts and gross violation of local

laws and regulations regarding ambient soil, air, and water conditions, including manufacturing, trading, and using chemicals

and hazardous substances subject to international bans due to their high toxicity to living organisms, environmental persistence,

or potential for irreversible ecological impacts, and/or releasing arsenic and mercury emissions.

我们承诺定期评估、降低采矿对土壤、空气、水造成的不利影响。考虑周围土壤、空气和水资源的条件，采取具

有技术、资金可行性与适用性的污染预防方法与技术，尽力避免、降低、控制污染；按照东道国的相关法律法规要求，

对企业排放的主要污染物进行监测，随时掌握企业污染状况，并明确记录、公开监测结果；采取控制与减少排放策略。

We commit to regularly assess and mitigate the adverse impacts on soil, air, and water by the mining operation, consider

ambient soil, air, and water conditions, and apply technically and financially feasible pollution prevention principles and

techniques that are best suited to avoid, minimize, and control pollution, monitor emissions and discharges of all possible

pollutants according to the relevant laws and regulations of host countries, follow up and remedy pollution issues in a timely

manner, and clearly record and make public the results, as well as employ emissions control and reduction strategies.

我们同意确保遵守化学品和有毒物质管理适用的法律要求，避免制造、交易、使用因对生物体高毒性、环境持久

性、或潜在的不可逆生态影响而受到国际禁令的化学品与危险物质，其中包括按照最高国际标准严格控制砷和汞的排

放，管理氰化物，确保危险物质的处置、贮存和运输符合相关的法律法规，确保在过程中无泄漏、无溢溅或以其他形

式释放到环境中。

We agree to ensure and surpass applicable legal requirements with regard to chemicals and toxic substances, avoid

manufacturing, trading, and using chemicals and hazardous substances subject to international bans due to their high toxicity to

living organisms, environmental persistence, or potential for irreversible ecological impacts, including rigorously suppressing

arsenic and mercury emissions and managing cyanide according to the highest international standards and ensure that

hazardous wastes are handled, stored, transported, treated, and disposed according to laws and regulations and in a way that

eliminates leaks, spills, or other releases to the environment.


我们禁止在世界遗产地或法定保护区开采资源，以及由此给这些遗产的突出普遍价值造成威胁。

We will prohibit extracting resources from World Heritage properties or legally protected areas, thereby providing a threat to

the outstanding universal value for which these properties are protected.

我们具体关注与小作坊或小规模采矿商相关强迫劳动、童工、不安全工作条件、不受控危险化学品使用和其他重

大环境影响的风险，寻求与开采区的小作坊或小规模采矿商建立生产关系。

We will pay specific attention to risks of forced labour, child labour, unsafe working conditions, uncontrolled use of hazardous

substances and other significant environmental impacts with regard to sourcing from artisanal and small-scale producers and

work together and seek a productive relationship with artisanal and small-scale operators in the extraction area.

降低风险

Risk Mitigation

如果我们有合理理由认为存在此类风险，我们将根据企业在供应链上所处的具体位置，立即与供应商及其他利益

相关方一起制定、采用和实施风险管理计划，从而防范或降低侵害土地权利、引发重大不利环境影响或与小作坊或小

规模采矿商相关的具体风险。

In accordance with the specific position of the company in the supply chain, we will immediately devise, adopt and implement

a risk management plan with suppliers and other stakeholders to prevent or mitigate the risk of infringing land rights, causing

major adverse environmental impacts, or specific risks regarding artisanal and small-scale operators, where we identify that

such a reasonable risk exists.


Appendix 3: Universal Declaration of Human Rights

Preamble

Whereas recognition of the inherent dignity and of the equal and inalienable rights of all members of the human family is

the foundation of freedom, justice and peace in the world,

Whereas disregard and contempt for human rights have resulted in barbarous acts which have outraged the conscience of

mankind, and the advent of a world in which human beings shall enjoy freedom of speech and belief and freedom from fear

and want has been proclaimed as the highest aspiration of the common people,

Whereas it is essential, if man is not to be compelled to have recourse, as a last resort, to rebel against tyranny and

oppression, that human rights should be protected by the rule of law,

Whereas it is essential to promote the development of friendly relations between nations,

Whereas the peoples of the United Nations have in the Charter reaffirmed their faith in fundamental human rights, in the

dignity and worth of the human person and in the equal rights of men and women and have determined to promote social

progress and better standards of life in larger freedom,

Whereas Member States have pledged themselves to achieve, in cooperation with the United Nations, the promotion of

universal respect for and observance of human rights and fundamental freedoms,

Whereas a common understanding of these rights and freedoms is of the greatest importance for the full realization of this

pledge,

Now, therefore,

The General Assembly,

Proclaims this Universal Declaration of Human Rights as a common standard of achievement for all peoples and all

nations, to the end that every individual and every organ of society, keeping this Declaration constantly in mind, shall strive by

teaching and education to promote respect for these rights and freedoms and by progressive measures, national and

international, to secure their universal and effective recognition and observance, both among the peoples of Member States

themselves and among the peoples of territories under their jurisdiction.

Article I

All human beings are born free and equal in dignity and rights. They are endowed with reason and conscience and should

act towards one another in a spirit of brotherhood.

Article 2

Everyone is entitled to all the rights and freedoms set forth in this Declaration, without distinction of any kind, such as

race, colour, sex, language, religion, political or other opinion, national or social origin, property, birth or other status.

Furthermore, no distinction shall be made on the basis of the political, jurisdictional or international status of the country

or territory to which a person belongs, whether it be independent, trust, non-self-governing or under any other limitation of

sovereignty.

Article 3

Everyone has the right to life, liberty and security of person.

Article 4

No one shall be held in slavery or servitude; slavery and the slave trade shall be prohibited in all their forms.

Article 5

No one shall be subjected to torture or to cruel, inhuman or degrading treatment or punishment.


Article 6

Everyone has the right to recognition everywhere as a person before the law.

Article 7

All are equal before the law and are entitled without any discrimination to equal protection of the law. All are entitled to

equal protection against any discrimination in violation of this Declaration and against any incitement to such discrimination.

Article 8

Everyone has the right to an effective remedy by the competent national tribunals for acts violating the fundamental rights

granted him by the constitution or by law.

Article 9

No one shall be subjected to arbitrary arrest, detention or exile.

Article 10

Everyone is entitled in full equality to a fair and public hearing by an independent and impartial tribunal, in the

determination of his rights and obligations and of any criminal charge against him.

Article 11

1. Everyone charged with a penal offence has the right to be presumed innocent until proved guilty according to law in a

public trial at which he has had all the guarantees necessary for his defence.

2. No one shall be held guilty of any penal offence on account of any act or omission which did not constitute a penal

offence, under national or international law, at the time when it was committed. Nor shall a heavier penalty be imposed than

the one that was applicable at the time the penal offence was committed.

Article 12

No one shall be subjected to arbitrary interference with his privacy, family, home or correspondence, nor to attacks upon

his honour and reputation. Everyone has the right to the protection of the law against such interference or attacks.

Article 13

1. Everyone has the right to freedom of movement and residence within the borders of each State.

2. Everyone has the right to leave any country, including his own, and to return to his country.

Article 14

1. Everyone has the right to seek and to enjoy in other countries asylum from persecution.

2. This right may not be invoked in the case of prosecutions genuinely arising from non-political crimes or from acts

contrary to the purposes and principles of the United Nations.

Article 15

1. Everyone has the right to a nationality.

2. No one shall be arbitrarily deprived of his nationality nor denied the right to change his nationality.

Article 16

1. Men and women of full age, without any limitation due to race, nationality or religion, have the right to marry and to

found a family. They are entitled to equal rights as to marriage, during marriage and at its dissolution.

2. Marriage shall be entered into only with the free and full consent of the intending spouses.

3. The family is the natural and fundamental group unit of society and is entitled to protection by society and the State.

Article 17

1. Everyone has the right to own property alone as well as in association with others.

2. No one shall be arbitrarily deprived of his property.

Article 18

Everyone has the right to freedom of thought, conscience and religion; this right includes freedom to change his religion


or belief, and freedom, either alone or in community with others and in public or private, to manifest his religion or belief in

teaching, practice, worship and observance.

Article 19

Everyone has the right to freedom of opinion and expression; this right includes freedom to hold opinions without

interference and to seek, receive and impart information and ideas through any media and regardless of frontiers.

Article 20

1. Everyone has the right to freedom of peaceful assembly and association.

2. No one may be compelled to belong to an association.

Article 21

1. Everyone has the right to take part in the government of his country, directly or through freely chosen representatives.

2. Everyone has the right to equal access to public service in his country.

3. The will of the people shall be the basis of the authority of government; this will shall be expressed in periodic and

genuine elections which shall be by universal and equal suffrage and shall be held by secret vote or by equivalent free voting

procedures.

Article 22

Everyone, as a member of society, has the right to social security and is entitled to realization, through national effort and

international co-operation and in accordance with the organization and resources of each State, of the economic, social and

cultural rights indispensable for his dignity and the free development of his personality.

Article 23

1. Everyone has the right to work, to free choice of employment, to just and favourable conditions of work and to

protection against unemployment.

2. Everyone, without any discrimination, has the right to equal pay for equal work.

3. Everyone who works has the right to just and favourable remuneration ensuring for himself and his family an existence

worthy of human dignity, and supplemented, if necessary, by other means of social protection.

4. Everyone has the right to form and to join trade unions for the protection of his interests.

Article 24

Everyone has the right to rest and leisure, including reasonable limitation of working hours and periodic holidays with

pay.

Article 25

1. Everyone has the right to a standard of living adequate for the health and well-being of himself and of his family,

including food, clothing, housing, medical care, and necessary social services, and the right to security in the event of

unemployment, sickness, disability, widowhood, old age or other lack of livelihood in circumstances beyond his control.

2. Motherhood and childhood are entitled to special care and assistance. All children, whether born in or out of wedlock,

shall enjoy the same social protection.

Article 26

1. Everyone has the right to education. Education shall be free, at least in the elementary and fundamental stages.

Elementary education shall be compulsory. Technical and professional education shall be made generally available and higher

education shall be equally accessible to all on the basis of merit.

2. Education shall be directed to the full development of the human personality and to the strengthening of respect for

human rights and fundamental freedoms. It shall promote understanding, tolerance and friendship among all nations, racial or

religious groups, and shall further the activities of the United Nations for the maintenance of peace.

3. Parents have a prior right to choose the kind of education that shall be given to their children.


Article 27

1. Everyone has the right freely to participate in the cultural life of the community, to enjoy the arts and to share in

scientific advancement and its benefits.

2. Everyone has the right to the protection of the moral and material interests resulting from any scientific, literary or

artistic production of which he is the author.

Article 28

Everyone is entitled to a social and international order in which the rights and freedoms set forth in this Declaration can be

fully realized.

Article 29

1. Everyone has duties to the community in which alone the free and full development of his personality is possible.

2. In the exercise of his rights and freedoms, everyone shall be subject only to such limitations as are determined by law

solely for the purpose of securing due recognition and respect for the rights and freedoms of others and of meeting the just

requirements of morality, public order and the general welfare in a democratic society.

3. These rights and freedoms may in no case be exercised contrary to the purposes and principles of the United Nations.

Article 30

Nothing in this Declaration may be interpreted as implying for any State, group or person any right to engage in any

activity or to perform any act aimed at the destruction of any of the rights and freedoms set forth herein.


Appendix 4: Human rights and transnational corporations and other business enterprises

The Human Rights Council, Recalling Human Rights Council resolution 8/7 of 18 June 2008 and Commission on

Human Rights resolution 2005/69 of 20 April 2005 on the issue of human rights and transnational corporations and other

business enterprises,

Recalling also Human Rights Council resolutions 5/1 and 5/2 of 18 June 2007, and stressing that the mandate holder

shall discharge his/her duties in accordance with those resolutions and the annexes thereto,

Stressing that the obligation and the primary responsibility to promote and protect human rights and fundamental

freedoms lie with the State,

Emphasizing that transnational corporations and other business enterprises have a responsibility to respect human

rights,

Recognizing that proper regulation, including through national legislation, of transnational corporations and other

business enterprises and their responsible operation can contribute to the promotion, protection and fulfillment of and respect

for human rights and assist in channelling the benefits of business towards contributing to the enjoyment of human rights and

fundamental freedoms,

Concerned that weak national legislation and implementation cannot effectively mitigate the negative impact of

globalization on vulnerable economies, fully realize the benefits of globalization or derive maximally the benefits of activities

of transnational corporations and other business enterprises, and that further efforts to bridge governance gaps at the national,

regional and international levels are necessary,

Recognizing the importance of building the capacity of all actors to better manage challenges in the area of business

and human rights,

1. Welcomes the work and contributions of the Special Representative of the Secretary-General on human rights and

transnational corporations and other business enterprises, and endorses the Guiding Principles on Business and Human Rights:

Implementing the United Nations “Protect, Respect and Remedy” Framework, as annexed to the report of the Special

Representative;

2. Also welcomes the broad range of activities undertaken by the Special Representative in the fulfillment of his

mandate, including in particular the comprehensive, transparent and inclusive consultations conducted with relevant and

interested actors in all regions and the catalytic role he has played in generating greater shared understanding of business and

human rights challenges among all stakeholders;

3. Commends the Special Representative for developing and raising awareness about the Framework based on three

overarching principles of the duty of the State to protect against human rights abuses by, or involving, transnational

corporations and other business enterprises, the corporate responsibility to respect all human rights, and the need for access to

effective remedies, including through appropriate judicial or non-judicial mechanisms;

4. Recognizes the role of the Guiding Principles for the implementation of the Framework, on which further progress

can be made, as well as guidance that will contribute to enhancing standards and practices with regard to business and human

rights, and thereby contribute to a socially sustainable globalization, without foreclosing any other long-term development,

including further enhancement of standards;

5. Emphasizes the importance of multi-stakeholder dialogue and analysis to maintain and build on the results

achieved to date and to inform further deliberations of the Human Rights Council on business and human rights;

6. Decides to establish a Working Group on the issue of human rights and transnational corporations and other

business enterprises, consisting of five independent experts, of balanced geographical representation, for a period of three years,

to be appointed by the Human Rights Council at its eighteenth session, and requests the Working Group:

(a) To promote the effective and comprehensive dissemination and implementation of the Guiding Principles;

(b) To identify, exchange and promote good practices and lessons learned on the implementation of the Guiding

Principles and to assess and make recommendations thereon and, in that context, to seek and receive information from all

relevant sources, including Governments, transnational corporations and other business enterprises, national human rights


institutions, civil society and rights-holders;

(c) To provide support for efforts to promote capacity-building and the use of the Guiding Principles, as well as,

upon request, to provide advice and recommendations regarding the development of domestic legislation and policies relating

to business and human rights;

(d) To conduct country visits and to respond promptly to invitations from States;

(e) To continue to explore options and make recommendations at the national, regional and international levels for

enhancing access to effective remedies available to those whose human rights are affected by corporate activities, including

those in conflict areas;

(f) To integrate a gender perspective throughout the work of the mandate and to give special attention to persons

living in vulnerable situations, in particular children;

(g) To work in close cooperation and coordination with other relevant special procedures of the Human Rights

Council, relevant United Nations and other international bodies, the treaty bodies and regional human rights organizations;

(h) To develop a regular dialogue and discuss possible areas of cooperation with Governments and all relevant actors,

including relevant United Nations bodies, specialized agencies, funds and programmes, in particular the Office of the United

Nations High Commissioner for Human Rights, the Global Compact, the International Labour Organization, the World Bank

and its International Finance Corporation, the United Nations Development Programme and the International Organization for

Migration, as well as transnational corporations and other business enterprises, national human rights institutions,

representatives of indigenous peoples, civil society organizations and other regional and subregional international

organizations;

(i) To guide the work of the Forum on Business and Human Rights established pursuant to paragraph 12 below;

(j) To report annually to the Human Rights Council and the General Assembly;

7. Encourages all Governments, relevant United Nations agencies, funds and programmes, treaty bodies, civil society

actors, including non-governmental organizations, as well as the private sector to cooperate fully with the Working Group in

the fulfillment of its mandate by, inter alia, responding favourably to visit requests by the Working Group;

8. Invites international and regional organizations to seek the views of the Working Group when formulating or

developing relevant policies and instruments;

9. Requests the Secretary-General and the United Nations High Commissioner for Human Rights to provide all the

assistance necessary to the Working Group for the effective fulfillment of its mandate;

10. Welcomes the important role of national human rights institutions established in accordance with the Paris

Principles in relation to business and human rights, and encourages national human rights institutions to develop further their

capacity to fulfill that role effectively, including with the support of the Office of the High Commissioner and in addressing all

relevant actors;

11. Requests the Secretary-General to prepare a report on how the United Nations system as a whole, including

programmes and funds and specialized agencies, can contribute to the advancement of the business and human rights agenda

and the dissemination and implementation of the Guiding Principles, addressing in particular how capacity-building of all

relevant actors to this end can best be addressed within the United Nations system, to be presented to the Human Rights

Council at its twenty-first session;

12. Decides to establish a Forum on Business and Human Rights under the guidance of the Working Group to

discuss trends and challenges in the implementation of the Guiding Principles and promote dialogue and cooperation on issues

linked to business and human rights, including challenges faced in particular sectors, operational environments or in relation to

specific rights or groups, as well as identifying good practices;

13. Also decides that the Forum shall be open to the participation of States, United Nations mechanisms, bodies and

specialized agencies, funds and programmes, intergovernmental organizations, regional organizations and mechanisms in the

field of human rights, national human rights institutions and other relevant bodies, transnational corporations and other

business enterprises, business associations, labour unions, academics and experts in the field of business and human rights,

representatives of indigenous peoples and non-governmental organizations in consultative status with the Economic and Social

Council; the Forum shall also be open to other non-governmental organizations whose aims and purposes are in conformity


with the spirit, purposes and principles of the Charter of the United Nations, including affected individuals and groups, based

on arrangements, including Economic and Social Council resolution 1996/31 of 25 July 1996, and practices observed by the

Commission on Human Rights, through an open and transparent accreditation procedure in accordance with the Rules of

Procedure of the Human Rights Council;

14. Further decides that the Forum shall meet annually for two working days;

15. Requests the President of the Human Rights Council to appoint for each session, on the basis of regional rotation,

and in consultation with regional groups, a chairperson of the Forum, nominated by members and observers of the Council; the

chairperson serving in his/her personal capacity shall be responsible for the preparation of a summary of the discussion of the

Forum, to be made available to the Working Group and all other participants of the Forum;

16. Invites the Working Group to include in its report reflections on the proceedings of the Forum and

recommendations for future thematic subjects for consideration by the Human Rights Council;

17. Requests the Secretary-General and the High Commissioner to provide all the necessary support to facilitate, in a

transparent manner, the convening of the Forum and the participation of relevant stakeholders from all regions in its meetings,

giving particular attention to ensuring participation of affected individuals and communities;

18. Decides to continue consideration of this question in conformity with the annual programme of work of the

Human Rights Council.

33rd meeting

16 June 2011

[Adopted without a vote.]


Appendix 5: Matrix of Reference Standards for Total Responsibility Management on Supply Chain, Labor Issues and Human Rights (from Chinese Guidelines for Social Responsibility in

Outbound Mining Investments)

List of

reference

standards

○=

strong/more

detailed

provision

than in

reference

guideline

◎=

same/very

similar

provision

□=

weaker/less

detailed

provision

than

reference

guideline

Better C

oal C

od

e

Glo

bal C

om

pact T

en P

rincip

les

ILO

Ab

olitio

n o

f Fo

rced L

abor C

on

ven

tion

(No

. 10

5)

ILO

Discrim

inatio

n C

on

ven

tion

(No

. 111

)

ILO

Fo

rced L

abo

r Co

nv

entio

n (N

o. 1

00

)

ILO

Freed

om

of A

ssociatio

n an

d P

rotectio

n o

f Rig

hts to

Org

anize C

on

ven

tion (N

o. 8

7)

ILO

Min

imu

m A

ge C

onv

entio

n (N

o. 1

38

)

ILO

Rig

ht to

Org

anize an

d C

ollectiv

e Co

nv

entio

n (N

o. 9

8)

ICM

M P

ositio

n S

tatemen

t on

Clim

ate Ch

ang

e Po

licy

ICM

M P

ositio

n S

tatemen

t on

Ind

igen

ou

s Peo

ples an

d M

inin

g

ICM

M P

ositio

n S

tatemen

t on

Mercu

ry R

isk M

anag

emen

t

ICM

M P

ositio

n S

tatemen

t on

Min

ing

and P

artnersh

ips fo

r Dev

elop

men

t

ICM

M P

ositio

n S

tatemen

t on

Min

ing

and P

rotected

Areas

ICM

M S

ustain

able D

evelo

pm

ent F

ramew

ork

IFC

En

viro

nm

ental, H

ealth an

d S

afety (E

HS

) Gu

idelin

es

IS2

60

00

OE

CD

Du

e Dilig

ence G

uid

ance o

n R

espo

nsib

le Su

pp

ly C

hain

s of M

inerals fro

m C

on

flict-Affected

and

Hig

h-R

isk A

reas – 2

nd E

ditio

n

OE

CD

Gu

idelin

es for M

ultin

ation

al Co

rpo

ration

s

Resp

on

sible Jew

elry C

ou

ncil C

od

e of P

ractices

UN

Gu

idin

g P

rincip

les on

Bu

siness an

d H

um

an R

igh

ts: Imp

lemen

ting

the U

N “P

rotect, R

espect an

d

Rem

edy

” Fram

ewo

rk

UN

Co

nv

entio

n o

n B

iolo

gical D

iversity

Glo

bal C

om

pact G

uid

ance o

n R

espo

nsib

le Bu

siness in

Co

nflict-A

ffected an

d/o

r Hig

h-R

isk A

reas

Vo

lun

tary P

rincip

les on

Secu

rity an

d H

um

an R

igh

ts

Ch

inese G

uid

elines fo

r So

cial Resp

on

sibility

in O

utb

ou

nd

Min

ing

Inv

estmen

ts

Th

e OE

CD

Practical A

ction

for W

orst F

orm

s of C

hild

Lab

or (W

FC

L) in

Min

ing

, Sectio

ns


Supply

chain

manage

ment

Require

suppliers to

adhere to

Guidelines

○ ○ ○ ○ □ ◎ ◎

Set targets

for

responsible

procurement

◎ ◎

Set targets

for localized

procurement

◎ ◎

Adopt due

diligence

and control

system in

supply chain

◎ ○ ○ ◎ ◎

Human

rights

Observe UN

Guiding

Principles

for Business

and Human

Rights

◎ ◎ ◎ ◎ ◎ ◎ ◎ ◎ ◎ ◎


Ensure

non-complic

ity in human

rights

violations

◎ ◎ □ □ □ ○ ○ □ ○ □ ◎ ◎

Minimize

involuntary

resettlements

◎ ◎ ◎ ◎

Respect the

culture and

protect

heritage of

local

communities

◎ ◎ ○ ◎ ◎ ◎

Protect the

right for

free, prior

and

informed

consent

◎ ◎ ◎

Avoid

conflict

materials

◎ □ ○ □ ◎ ◎


Labor

issues

Do not use

child, forced

or

compulsory

labor

○ □ □ □ □ ○ ◎ ◎ ◎ ○ ◎ ◎

Ensure equal

pay and fair

employment

◎ ◎ □ ◎ ◎ ◎ ◎ ◎ ◎

Do not

discriminate

against

workers

◎ ◎ □ □ ◎ ◎ □ ◎ ◎

Uphold

minimum

wage

standards

◎ ◎ ◎ □

Adhere to

standards for

working

hours,

overtime and

leave

□ □ □

Provide

clean and

safe working

conditions

◎ ◎ ◎


Provide

vocational

training

◎ ◎

Establish a

collective

bargaining

mechanism

◎ □ □ ◎ ◎ ◎

Establish

communicati

on channel

□

Revision Note：

New Release on Mar. 22, 2016;

Rev. 2 on Dec. 28, 2018, modify Table 1 Pre-checklist for Risk Assessment on Responsible Minerals in 6.2.2;

Rev. 3 on Jan. 21, 2018, add the URL of Responsible Business Alliance Code of Conduct in 3.1.

atl due diligence management procedure for responsible

Documents