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企业责任资源中心
《中国海外负责任投资快讯》
2018年1月 第三期
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欢迎关注企业责任资源中心第三期《中国海外负责任投资快讯》。本快讯旨在搭建一个优质信息平台，为您提供中国海外投资环境和社会影响的最新消息，研究观察和工具指南等资源，促进同侪学习和知情决策。本期我们聚焦“负责任采矿业”主题。
请按此参看第一期有关自主、事先和知情同意权（FPIC）和第二期有关亚洲基础设施投资银行 （AIIB）的快讯，或按此订阅本快讯。如希望对本快讯或本中心网站的相关材料提出建议，请联系：chow@business-humanrights.org
负责任采矿业
自中国实施“走出去”战略以来，采矿业已成为能源行业之外，中国对外直接投资的主要支柱之一。在法制和监管体系健全，营商环境良好的国家，采矿业有助于增加东道国政府的税收和出口收入，为当地社区创造就业机会，发展（特别是在农村地区的）基础设施，促进技术转让。然而，在治理薄弱的地区，矿产资源开发存在破坏环境、侵犯权益、腐败和助长冲突等风险。这些问题备受政府、企业、社区和民间机构瞩目。中国工业界积极应对矿业海外投资的环境和社会挑战，借鉴现有的负责任矿产采购国际标准，为中国企业提供前沿实务指导和实践工具。
我们感谢全球见证（Global Witness）的Lizzie Parsons女士和世界自然基金会(WWF)的吕维菊女士为本期博客撰文，介绍中国参与全球矿业治理，建立负责任矿产供应链的成就和挑战。
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在中国建立负责任矿产供应链：进展与挑战 - Lizzie Parsons, 全球见证 (Global Witness)
缅甸的翡翠，阿富汗的青金石和刚果民主共和国的黄金，它们有什么共同之处？它们都是珍贵的矿产，却成为武装团体或腐败的军事组织的资金来源…同时，这些矿产的主要实体市场是中国。中国政府实施的“走出去”战略推动了中国的国有和私营企业在全球范围内进行投资和贸易…中国日益增长的需求及其全球投资和贸易意味着中国应肩负更大的责任。
《联合国工商企业与人权指导原则》规定除了国家有义务保护人权，公司也负有核查和缓解人权风险的责任...在这一背景之下…中国五矿化工进出口商会 (CCCMC) 以…经合组织 (OECD) 制定的标准为基础，编制了 《中国负责任矿产供应链尽责管理指南》。该指南提供了一个持续、递次的五步骤模式，以供企业检查其供应链中涉及冲突、侵犯人权和其他严重失职行为的风险，并采取措施缓解这些风险。公司应当公布有关他们采取的行动的具体信息，并确保信息的传达贯穿整个供应链… [此外]，中国五矿化工进出口商会、部分国际和中国企业以及经合组织一同发起了责任钴业倡议 (Responsible Cobalt Initiative)。该倡议让整个钴矿业对尽责管理有了更多了解，并使尽责管理的实施方式和激励机制更加多样。
然而，在中国实现矿产供应链尽责管理主流化还面临着许多挑战…知道…《尽责管理指南》的中国公司不多，而且少有公司了解供应链审核的价值所在——既有助于维护公司的声誉，确保持续的原料供应；也能保护社区和工人免受侵害。中国的标准目前建立在自愿遵守的基础上，这意味着执行供应链审核的激励机制较弱，即使有公司愿意执行供应链审核，往往也是出于合同义务。中国政府和工业界仍需加大努力，让公司了解基于风险的尽责管理和践行该过程的重要性，并建立更有效的执行激励机制。阅读全文
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应对矿业企业国际化过程中的环境和社会风险从利益相关方沟通开始 - 吕维菊，世界自然基金会 (WWF)
矿业项目周期通常长达数年至数十年，稳定的运营环境，良好的利益相关方关系对企业的长期运营至关重要。然而，[中国矿业]企业在海外运营的过程中，常常忽视来自底层的呼声，与社区、劳工、非政府组织[等]…沟通…存在种种问题 。笔者曾与某国企海外项目经理交流，企业反映的问题之一就是融入困难。这说明不少“走出去”的企业不懂得辨识利益相关方，缺乏系统化的风险管理工具。
为了帮助企业识别、减少及避免这种新型非传统风险，中国五矿化工进出口商会出台了《中国对外矿业投资行业社会责任指引》…针对矿业行业的特点，开发的《指引》包含8大主题：组织治理、公平运营、供应链管理、人权、劳工、职业安全与健康、 环境和社区参与，系统地阐述了矿业行业在走出去的过程中面临的风险和挑战以及应对的原则，引导企业走向可持续发展。
指引的发布固然对企业具有重要指导意义，但是如何将宽泛的原则性条款付诸实践，开发一个浅显易懂且容易执行的操作手册是另一项艰巨的任务…五矿商会与WWF正在合作开发操作手册和指标体系——其将详细解释《指引》的各条文，提供实施的步骤、方法和流程，帮助企业根据国际认可的社会责任实践标准评估自身的表现…手册将帮助中国矿业企业明确应优先发展的政策、计划、项目和目标，提升在重点领域的表现，为企业海外可持续发展提供明晰的行动规划和可靠的执行工具。阅读全文
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指南&工具
《中国对外矿业投资行业社会责任指引》，中国五矿化工进出口商会，2014年10月。
《中国负责任矿产供应链尽责管理指南》，中国五矿化工进出口商会，2015年12月。
《人权问题为何重要：将人权纳入力拓公司社区和社会绩效工作的资源指南》，力拓，2013年1月。
《儿童权利与采矿业工具箱：解决大规模采矿中的儿童问题的最佳实践》[英文]，联合国儿童基金会，2017年1月。
《妇女、社区与采矿业：采矿业的性别影响以及性别影响分析的作用》[英文]，澳大利亚乐施会，2009年。
《在营商中尊重人权》[英文]，全球契约荷兰，乐施会，Shift，2016年11月。
人权影响评估指南和工具箱 [英文]，丹麦人权研究所，2016年。
《对公司侵犯人权问责：受害者和非政府组织使用救济机制指南》[英文]，国际人权联合会（FIDH），2016年5月。
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资源库
国际采矿及金属协会 (ICMM) 为负责任、可持续的矿业实践开发了一系列全面且具有针对性的实用工具，涵盖公司 —社区关系、人权、土著居民、土地、申诉、健康与安全，以及危机防控等议题。[英文]
采掘业透明度倡议组织 (EITI) [英文]为采掘行业的善治提供了全球标准，并包括在51个目前执行采掘业透明度行动倡议的国家的公司信息披露指南。
经合组织矿业负责任供应链尽责指南：资源网页 [英文] 列出了工具、使用方法、模板和相关资源，供多利益相关方实施尽责指南。
联合国全球契约可持续供应链网站为企业提供一站式服务，其囊括帮助企业将可持续性融入供应链的倡议、资源和实践资料。相关材料按议题、地区和行业分类。
解决复杂环境中的安全和人权挑战知识中心由日内瓦武装力量民主管制中心（DCAF）和红十字国际委员会（ICRC）开发，为在复杂环境中营商的采掘业公司和其他企业提供指引和工具，使其以尊重人权和人道法的方式有效管理安全和安保问题。
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Chinese Responsible Investment Overseas Newsletter
Issue 3, January 2018
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Welcome to the third issue of our “Chinese Responsible Investment Overseas Newsletter.” This newsletter aims to serve as a platform for updates, insights, and tools on key topics relating to social and environmental impacts of Chinese overseas investments, and a resource to promote peer learning and informed decision-making. This issue spotlights responsible mining.
Please click here to view our previous issue on the Asian Infrastructure Investment Bank (AIIB) and here for the first issue on free, prior & informed consent (FPIC). To sign up for future newsletters, please click here. To suggest materials for future issues and our website, please contact Lowell Chow chow@business-humanrights.org.
Responsible Mining
Since the launch of the "Going Out Policy" in the beginning of the 21st century, mining has become one of the main pillars for Chinese foreign direct investments, in addition to energy. Mining can contribute to increased tax revenues and export earnings for host governments, employment opportunities for local communities, infrastructure development (especially in rural areas), and transfer of technology in countries with robust legal and regulatory systems and an enabling environment for responsible investment. However, there is also a significant risk that the extraction of mineral resources can result in environmental damage, human rights abuses, corruption, and conflicts, particularly when mining operations take place in areas where governance is weak. Governments, companies, communities and civil society are paying increasing attention to these issues. Drawing on existing international standards for responsible mineral sourcing, Chinese industry has recently been increasingly active in trying to respond to the environmental and social challenges in overseas mining by developing guidance and practical tools for Chinese companies.
We thank Lizzie Parsons at Global Witness and Lv Weiju at WWF for contributing our guest blogs and sharing their views on the progress and challenges of China’s engagement in global mining governance and responsible mineral supply chain efforts.
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Latest News on Chinese Investment Overseas
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Top global banks lend billions to extract fossil fuels [mentions several Chinese banks]
Ecuador: Indigenous tribes denounce impacts of extractive industries on their identity and cultural rights before Inter American Commission on Human Rights
Commentary: California should address climate impact of Chinese investments in the Amazon, as it becomes China's partner on climate action
Peru: UN Working Group on business & human rights urges the Govt. and companies to improve the human rights record in the country (mentions MMG Las Bambas project)
Latin America: Analysts say that Chinese investments don’t comply with climate change intended policies
Bolivia: Indigenous peoples denounce negative impacts by oil and energy industries
Uganda: China Communication Construction sued for firing HIV-positive workers
Peru: Alert over new declaration of state of emergency due to peasant protests over MMG Las Bambas mining company non-fulfillment of agreements
Latin America: Blog highlights risks of Chinese companies’ bet to cross the Amazon
Uganda: Govt. agency rejects sand harvesting bid by Mango Tree Group, says it would compromise livelihoods of communities near Lake Victoria
Cambodia: Preah Vihear communities report human rights violations by Chinese sugar companies to UN Working Group on Business & Human Rights
Bolivia: Sinohydro, CAMC, Harzone, Sinopec, Vicstar allegedly continue to abuse labour rights
Latin America: Regional NGOs express concern over increase of Chinese investments without environmental and social safeguards
Ecuador: NGO requested precautionary measures from the Inter-American Commission on Human Rights to ensure safe of journalist who made accusations of irregularities in contract with PetroChina
Peru: Indigenous people in the Amazon mount protests over Chinese investment in their territories
Ecuador: Indigenous protest against Chinese mining operations over social and environmental impacts
Colombia: Despite negative impacts, govt. says Chinese investment would help build peace with clean energy
Chinese industry group launches guidelines for sustainable rubber - includes sections on land, labour & indigenous peoples rights
Laos: Lao-Chinese high-speed rail project will force thousands of families to relocate
Interview with environmental lawyer Zhang Jingjing on the need for legal requirements for Chinese overseas investments
Colombia: Projects by Emerald Energy, oil subsidiary of Sinochem raise environmental and human rights concerns
Ecuador: Indigenous community obtains Presidential commitment to stop mining concessions
Bosnia & Herzegovina: Air pollution to worsen in Tuzla while govt. plans for more coal power, expected to be built by Chinese companies
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Responsible mineral supply chain efforts in China: progress and challenges
By Lizzie Parsons, Global Witness
[Excerpt] What do jade from Myanmar, lapis lazuli from Afghanistan and gold from the Democratic Republic of Congo have in common? They are all valuable minerals, linked to the funding of armed groups or corrupt military networks, and for which China is the main physical market….China’s growing demand, matched with its global investment and trade, comes with greater responsibility.
The UN Guiding Principles on Business and Human Rights make companies responsible for checking and mitigating human rights risks, independent to the obligations of States to protect human rights. …In this context, a Ministry of Commerce-linked Chamber for mineral traders, known by its acronym CCCMC, developed guidelines for undertaking checks along mineral supply chains, known as due diligence, based on the recognised standard of the OECD. The guidelines set out an ongoing, iterative five-step process, whereby companies review their supply chains for specific risks — associated with conflict, human rights abuses and other serious misconduct — and take action to mitigate those risks. Companies are also expected to publish detailed, specific information on the action they have taken, to ensure information flows along the chain. …[In addition], CCCMC, along with a group of international and Chinese companies and the OECD, established the Responsible Cobalt Initiative. The scheme is making progress in building understanding of due diligence in the wider cobalt industry and increasing the means and incentives for implementation.
However there are many challenges before mineral supply chain due diligence becomes mainstream in China. Not enough Chinese companies are aware of the CCCMC guidelines. And few companies understand the value of supply chain checks – both for protecting their own reputation and sustainable resource supply, as well as for the communities and workers who may suffer associated abuse. Standards in China are currently voluntary, which means incentives for carrying out supply chain checks are weak and, where they do exist, are often due to contractual obligations. Much greater effort is needed by the Chinese government and industry to inform companies of risk-based due diligence and the importance of undertaking the process, as well as build stronger incentives for implementation…Click here for full blog
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Chinese mining companies 'going global' should address environmental and social risks by starting to communicate with stakeholders
By Lv Weiju, WWF
[English excerpt from original Chinese article] The cycle of some mining projects usually lasts for years or even decades. A stable operating environment and sound relations among stakeholders are crucial to the long-term operation of mining companies. However, [Chinese mining] companies often ignore voices from the grassroots in their overseas operations, and lack the experience of communicating with local communities, labour unions and NGOs. In a discussion with an overseas project manager of a state-owned enterprise, I was told that it was difficult for Chinese companies to integrate into local communities. This shows that many companies “going global” do not know how to identify stakeholders and lack tools for systematic risk management.
The China Chamber of Commerce of Metals, Minerals and Chemicals Importers and Exporters (CCCMC) has issued Guidelines for Social Responsibility in Outbound Mining Investments, to help companies identify, mitigate and even avoid non-traditional risks… Based on the features of the mining industry, the Guidelines cover eight issues: organization governance, fair operating practices, value chain management, human rights, labour issues, occupational health and safety, environment, and community involvement and engagement, in which they systematically elaborate the risks and challenges faced by companies in their “going-global” process and provide guiding principles to address these challenges. It is expected that the Guidelines will guide Chinese mining companies to follow a path to sustainable development.
While the Guidelines provide important guidance to Chinese companies, it will be arduous to develop a user-friendly operation manual that can help companies to turn the general principles into practice… The CCCMC and the WWF are working on the development of an operations manual and indicator system, which will specifically explain all the articles in the Guidelines and outline implementation steps, approaches, and procedures. In this regard, companies will be able to evaluate their performance in line with the internationally-recognized CSR standards…The manual will support Chinese mining companies to prioritize polices, plans, projects, and objectives to enhance performance in key sectors and provide clear action plans and reliable implementing tools for overseas sustainable development. Click here for full blog [Chinese]
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Practical Tools & Useful Resources |
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Tools & Guidelines
Guidelines for Social Responsibility in Outbound Mining Investments, The China Chamber of Commerce of Metals, Minerals and Chemicals Importers and Exporters (CCCMC), Oct 2014.
Chinese Due Diligence Guidelines for Responsible Mineral Supply Chains, CCCMC, Dec 2015.
Child Rights and Mining Toolkit: Best practices for addressing children’s issues in large-scale mining, UNICEF, Jan 2017.
Women, Communities and Mining: The gender impacts of mining and the role of gender impact assessment, Oxfam Australia, 2009.
Why human rights matter: a resource guide for integrating human rights into Communities and Social Performance work at Rio Tinto, Rio Tinto, Jan 2013.
Doing business with respect for human rights, Global Compact Network Netherlands, Oxfam, Shift, Nov 2016.
Human Rights Impact Assessment Guidance and Toolbox, Danish Institute for Human Rights, 2016.
Corporate Accountability for Human Rights Abuses: A Guide for Victims and NGOs on Recourse Mechanisms, Intl. Federation for Human Rights (FIDH), May 2016.
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Resource Hub
International Council on Mining and Metals (ICMM) developed a series of comprehensive tools that guide mining and metal companies conduct business responsibly and sustainably. The tools cover specific issues such as company-community relationships, human rights, indigenous peoples, land acquisition and resettlement, grievance policies, health and safety, and critical control management to mitigate catastrophic risks.
The Extractive Industries Transparency Initiative (EITI) provides a global standard for good governance in the extractive industries, including guidelines for company disclosures in the currently 51 countries implementing the EITI.
OECD Due Diligence Guidance for Responsible Supply Chains of Minerals: Resources lists tools, templates and associated resources contributing to or generated by the multi-stakeholder implementation of the OECD Due Diligence Guidance.
The UN Global Compact Sustainable Supply Chains website serves as a one-stop-shop for business access to initiatives, resources, and practices that can assist them in embedding sustainability into their supply chains. Relevant materials are categorized by issue, region, and sector.
Addressing security & human rights challenges in complex environments knowledge hub, developed by the Geneva Centre for the Democratic Control of Armed Forces (DCAF) & The International Committee of the Red Cross (ICRC), provides guidance and tools for extractive companies and other businesses operating in complex environments manage their security in a way that is effective and respects human rights and international humanitarian law.
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Disclaimer：
We take no position on views by commentators, organizations & companies in the materials in this email: http://business-humanrights.org/en/about-us/disclaimer
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