经合组织（OECD）：矿产供应链环境风险尽职调查手册

HandbookonEnvironmentalDueDiligenceinMineral

SupplyChains

》OECD

HandbookonEnvironmental

DueDiligenceinMineral

SupplyChains

》OECD

BETTERPOLCIESFORBETTERLIVES

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OECD(2023),HandbookonEnvironmentalDueDiligenceinMineralSupplyChains,OECDPublishing,Paris,

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HANDBOOKONENVIRONMENTALDUEDILIGENCEINMINERALSUPPLYCHAINS©OECD2023

Foreword

TheOECDhasbeenattheforefrontofprovidingguidanceonhowbusinessescanmaximisetheirpositivecontributionstosustainabledevelopmentthroughidentifyingandaddressingadverseimpactsintheiroperationsandsupplychains.ThisworkisrootedinthreekeyOECDinstrumentsthatprovidegovernment-backedrecommendationsonresponsiblebusinessconduct(RBC):theOECDGuidelinesforMultinationalEnterprisesonResponsibleBusinessConduct(MNEGuidelines),theOECDDueDiligenceGuidanceforResponsibleBusinessConduct(RBCGuidance)and,inthemineralssector,theOECDDueDiligenceGuidanceforResponsibleSupplyChainsofMineralsfromConflict-AffectedandHigh-RiskAreas(MineralsGuidance).Together,theseinstrumentssetouttheexpectationsofgovernmentsforenterprisestoconductduediligencetoidentify,preventandmitigateactualandpotentialadverseimpactsinmineralsupplychains.

ThepurposeofthisHandbookistosupporttheimplementationbybusinessofOECDstandardsonresponsiblebusinessconductbyelaboratingonhowtousetheOECDduediligenceframeworktotakeaccountofenvironmentalrisksandadverseimpactsinmineralsupplychains,fromextractiontoprocessing,smeltingorrefining,andrecycling.ThisHandbookispartoftheworktheOECDundertakestoprovidepracticalsupporttoenterprisesontheimplementationofstandardsonRBCrisks,anearlierexampleinthemineralssectorbeingthePracticalactionsforcompaniestoidentifyandaddresstheworstformsofchildlabourinmineralsupplychains.Beyondthemineralsupplychains,theOECDhasalsodevelopedtailoredguidancetohelpbusinessescarryoutduediligenceinothersectors,specificallyinthegarmentandfootwear,finance,andagriculturesectors.

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HANDBOOKONENVIRONMENTALDUEDILIGENCEINMINERALSUPPLYCHAINS©OECD2023

Acknowledgements

TheprojectwasfundedinpartbytheGermanMinistryfortheEnvironment,NatureConservation,NuclearSafetyandConsumerProtection(BMUV).TheGermanEnvironmentAgency(UBA)andtheGermanFederalInstituteforGeosciencesandNaturalResources(BGR)providedsupportandassistance.

ThisHandbookwasauthoredbytheOECDCentreforResponsibleBusinessConduct,whichdrewonthetechnicalexpertiseandsupportofUBA,BGRandOECD’sEnvironmentDirectorate.LevinSourcesLimitedprovidedsupportintheinitialdraftingandconsultationprocess.Thedocumentalsobenefittedfrominputfrom25organisationsaspartofanexpertworkinggroup,includingrepresentativesfromgovernment,theprivatesectorandcivilsociety.Theauthorswouldliketogratefullyacknowledgethetimeandvaluableinputprovidedbythemembersoftheexpertworkinggroup.DuringthedevelopmentoftheHandbook,theOECDSecretariatheldseveralworkingmeetingswithexpertsonartisanalandsmall-scalemining,remedy,circularityandrecycling.Inaddition,theSecretariatreceivedextensivefeedbackfromindustryandcivilsocietyaspartofaninformalpublicconsultationthattookplacefromJulytoSeptember2022.InputwasalsoreceivedfromDelegatestotheOECDWorkingPartyonResponsibleBusinessConduct(WPRBC).TheSecretariatwouldliketothankallofthosewhodedicatedtheirtimeandsharedtheirknowledgeaspartoftheseprocesses.

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HANDBOOKONENVIRONMENTALDUEDILIGENCEINMINERALSUPPLYCHAINS©OECD2023

Tableofcontents

Foreword3

Acknowledgements4

Executivesummary7

1Introduction8

Whyenvironmentalduediligencematterstobusinessesoperatinginmineralsupplychains9

Circularityandenhanceduseofsecondaryresources9

SourcingfromASM11

2Understandingenvironmentalrisksandimpacts12

WhatdoestheHandbookcover?13

Whatismeantbyenvironmentalrisksandadverseimpactsandhowshouldenterprisesassess

severity?14

3Duediligenceasatool17

Risk-basedduediligencetoaddressenvironmentalrisksandadverseimpacts18

Targetaudienceandresponsibilityforduediligence19

4Sixstepduediligenceapproach23

Integratingenvironmentalriskmanagementintoduediligencesystems24

Step1:EmbedRBCintopoliciesandmanagementsystems24

Step2:Identifyandassessactualandpotentialadverseimpactsassociatedwithenterprise

operations,productsorservices28

Step3:Cease,prevent,andmitigateadverseimpacts40

Step4:Trackimplementationandresults46

Step5:Communicatehowimpactsareaddressed49

Step6:Providefororcooperateinremediationwhenappropriate51

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AnnexA.Glossaryofenvironmentalterms54

AnnexB.Non-exhaustivelistoftoolstoidentify,assessandmanageenvironmental

risksandimpacts57

References59

Notes63

FIGURES

Figure1.Addressingenvironmentalimpactsinmineralsupplychains20

Figure2.HowtouseOECDinstrumentsonRBCtogether22

Figure3.Duediligenceprocessandsupportingmeasures24

Figure4.Addressingadverseimpacts41

TABLES

Table1.Examplesofindicatorsofscale,scopeandirremediablecharacterforadverseenvironmentalimpacts14

Table2.Examplesofenvironmentalissuesinupstreammineralsupplychains15

Table3.IntegratingEMSintobroaderRBCconsiderations28

Table4.Examplesofindicatorsandsourcesofinformationforidentifyingandassessingkeyenvironmental

risksinupstreamsupplychains31

Table5.Illustrativeexamplesofconditionsrelatedtomining,processing,smelting,recyclingorrefining

activities(accordingtorisktype)thatmaywarrantenhancedduediligence35

Table6.Examplesofpotentialpreventionandmitigationactivitiesbysuppliersforenvironmentalrisks44

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HANDBOOKONENVIRONMENTALDUEDILIGENCEINMINERALSUPPLYCHAINS©OECD2023

Executivesummary

Enterprisesplayakeyroleinadvancingsustainableeconomiesandcancontributetodeliveringaneffectiveandprogressiveresponsetoglobal,regionalandlocalenvironmentalchallenges,includingtheurgentthreatofclimatechange.Theupstreamsegmentofthemineralsupplychain(generallyunderstoodasthepointofextractionthroughtothepointoftransformation)hastraditionallybeenassociatedwithsignificantenvironmentalrisksandimpacts.Atthesametime,thesectorisgrowing,drivenbyanincreasingdemandformineralstofulfilthematerialneedsofagrowingandincreasinglyaffluentglobalpopulation,aswellasambitiousgovernmentandbusinessrenewableenergytargetsandrisingdemandformineralscriticaltotheenergyanddigitaltransition,suchascobalt,copper,lithium,nickelandrareearthsamongothers.1Althoughamore‘circulareconomy’basedonrecyclingandreuseofmineralshasclearpotentialforreducingcertainenvironmentalrisksandadverseimpacts,primaryextractionofmineralswillremaincriticaltodeliveringthelowcarbontransitionandmorebroadlyachievingtheSustainableDevelopmentGoals(SDGs)atthespeedrequired.2

ThisHandbookprovidesanintroductiontoenvironmentalissuesintheupstreamsegmentofmineralsupplychains.Itisintendedtohelpdownstreamenterprises(metaltradersandexchanges,componentmanufacturers,productmanufacturers,originalequipmentmanufacturersandretailers)understandhowtheycanembedenvironmentalconsiderationsintotheirsupplychainduediligenceprocesses,whilealsohelpingupstreamenterprises(miners,localtradersandexporters,internationalconcentratetraders,smeltersandrefiners,andrecyclers3)meettheduediligenceexpectationsoftheircustomersandotherdownstreambusinessrelationships.

TheHandbookhasfoursections.Chapter

1

providesthebackgroundonwhyrisk-basedenvironmentalduediligencematterstobusinessesoperatinginmineralsupplychainsandconsidersenvironmentalduediligenceinthecontextoftwoimportanttopicsinthemineralssector:artisanalandsmall-scalemining(ASM)andcircularvaluechainapproaches.Chapter

2

clarifieswhatismeantbyadverseenvironmentalimpactsandprovidesexamplesofcommonenvironmentalissuesfoundinupstreammineralsupplychains.Italsoaimstohelpbusinessesunderstandfactorsthatmayaffecttheseverityandlikelihoodofenvironmentalrisks.Chapter

3

discussesintegratingenvironmentalrisksandimpactsintoenterprises’implementationoftheOECDsix-

stepduediligenceframeworkandfinallyChapter4

leadsreadersthroughthesix-steprisk-basedduediligenceframework,answeringspecificquestionsonhowbusinesscanaddressenvironmentalconsiderationsundereachofthesteps.AnnexAincludesaGlossaryofenvironmentaltermswhileAnnexBprovidesa,non-comprehensive,listofusefulresourcesandmaterials.

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1Introduction

Thisintroductionsetsoutwhyrisk-basedenvironmentalduediligence

matterstobusinessesoperatinginmineralsupplychainsandconsiders

environmentalduediligenceinthecontextoftwoimportanttopicsinthe

mineralssector:artisanalandsmall-scalemining(ASM)andcircularvaluechainapproaches.

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Whyenvironmentalduediligencematterstobusinessesoperatinginmineralsupplychains

Enterprisesplayakeyroleinadvancingsustainableeconomiesandcancontributetodeliveringaneffectiveandprogressiveresponsetoglobal,regionalandlocalenvironmentalchallenges,includingcontributingtoreachingthegoalsofclimatechangemitigationandadaptation.Meanwhile,environmentaldegradationpresentsriskstopeopleandtheplanetthatmaybeheightenedbybusinessactivities.Expectationsforenvironmentalactionbytheprivatesectorhavebeenspurredbypublicpolicy,civilsociety,thescientificcommunity,investorsandindustryitself,withpublicpressureandlitigationplayinganimportantrole.4NationallyDeterminedContributions(NDCs)includetheobjectivetomobilizefinanceflowstowardslowgreenhousegas(GHG)andclimate-resilientdevelopmentandrecognisenon-partystakeholders,includingbusiness,asanintegralpartoftheglobalsolution(UnitedNationsFrameworkConventiononClimateChange,2016[1]).5

Increasingdemandformineralstofulfilthematerialneedsofagrowingandincreasinglyaffluentglobalpopulation(OECD,2019[2]),6renewableenergytargetsanddemandformineralssuchascobalt,copperandlithiumfortheenergyanddigitaltransitionsisdrivinggrowthintheminingandmetalssector.Althoughamore‘circulareconomy’basedonrecyclingandreuseofmineralshasclearpotentialforreducingcertainenvironmentalrisksandadverseimpacts,primaryextractionofmineralswillremaincriticaltodeliveringthelow-carbontransitionand,morebroadly,achievingtheSustainableDevelopmentGoals(SDGs).7Thereisaninsufficientamountofmetalscurrentlyincirculationforthedeploymentoflow-carbontechnologiesatascaleconsistentwithagreedclimatetargets,andthereforecontinuedmineralextractionisneeded(IEA,2021[3]).

Identifyingandaddressingadverseenvironmentalimpactsintheupstreamsegment,wherethisprimarymineralextractiontakesplace,mayhelpanenterprisemaximisepositivecontributionstosocietyandsustainabledevelopment,improvestakeholderrelationships,protectitsreputation,andcreatemorevaluebyreducingoperationalcostsby,forexample,findingwaystouselesswaterorenergy.Duediligenceprocessescanalsohelppreventsupplychainblockagesanddelays,andreducethetimeittakestobringnewassetsonstream,whichisofcriticalimportancewhendeliveringthedigitalandlow-carbonenergytransitions.Comprehensiveduediligenceprocessescanalsohelpanenterprisemeetlegalrequirementsonlabour,environmental,corporategovernanceandanti-briberyrequirements.

Therespectforandfulfilmentofthehumanrighttoacleanandhealthyenvironmenthasbeenrecognisedinresolution48/13oftheUN’sHumanRightsCouncil.8Anenterprisewillneedtounderstandthelinksbetweenenvironmentalandhumanrightsrisksinthemineralssectorandhowtomakeuseofduediligenceprocesses–oftenalreadyusedforhumanrightsrisks–whenaddressingenvironmentalriskandviceversa.Onceenvironmentalrisksandadverseimpactshavebeenidentified,anenterpriseshouldconsiderthewaysinwhichtheygeneratehumanrightsrisksandadverseimpactsandensureanymitigationorremedyaddressesbothcategories.Recognisinghumanrightstoacleanandhealthyenvironmentisparticularlyimportantinensuringajusttransitiontoglobalnet-zeroemissionsandcontinuedresponsibleengagementratherthandisengagementastheprimaryapproachtoenvironmentalriskmanagementinsupplychains.

Circularityandenhanceduseofsecondaryresources

Asstatedabove,thedemandformineralsandmetalstosupportagrowing,low-carbon,globaleconomyoverthecomingdecadescannotbemetbyonetypeofsourcealone.Bothprimary(mined)andsecondary(re-used,refurbished,remanufactured,recycled,recovered)materialswillbecriticaltoachievingthecleanenergyanddigitaltransition.ThisHandbookthereforepromotesRBCinmining,recycling,andmineralsandmetalsprocessing,allofwhichwillbecriticalforsustainabledevelopment.9

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HANDBOOKONENVIRONMENTALDUEDILIGENCEINMINERALSUPPLYCHAINS©OECD2023

Box1.Thecirculareconomy

Althoughthereisnooneaccepteddefinitionofthecirculareconomy,acirculareconomyseeksto:(i)maximisethevalueofthematerialsandproductscirculatingwithintheeconomy;(ii)minimisematerialconsumption,withparticularattentiontovirginmaterials,hazardoussubstances,andcertainwastestreams(suchasplastics,food,electricandelectronicgoods);(iii)preventthegenerationofwaste;and(iv)reducehazardouscomponentsinbothwasteandproducts(OECD,2020[4];OECD,2021[5]).

Inpursuingacirculareconomy,thereareavarietyofmechanismsthatcanmodifytheflowofproductsandmaterialsthroughtheeconomy,andultimatelyresultinlowerratesofnaturalresourceextraction.TheOECDhashighlightedthreemainmechanismsincluding:

•Closingresourceloops–thediversionofwastefromdisposalandsubsequenttransformationintosecondaryrawmaterials.

•Slowingresourceloopsorflows–theretentionofproducts,andtheirconstituentmaterials,intheeconomyforlongerperiods.

•Narrowingresourceflows–generatingadditionaleconomicvaluefromafixedamountofnaturalresources(OECD,2019[6]).

Source:OECD(2021[7]),TheroleofOECDinstrumentsonresponsiblebusinessconductinprogressingenvironmentalobjectives,

/The-role-of-OECD-instruments-on-responsible-business-conduct-in-progressing-environmental-

objectives.pdf

.

Theapplicationofcirculareconomyprinciplesandtheuseofsecondarymaterialscancontributetothereductionofenvironmentalimpacts(Bibas,ChateauandLanzi,2021[8];OECD,2019[2]).Downstreambusinesses,aswellasupstreambusinesseslikesmeltersorrefiners,mayconsiderwhereopportunitiesexisttoimplementcirculareconomyprinciplesinthedesign,production,remanufacturing,distribution,consumption,andcollectionoftheirproductsandhowtheseopportunitiesmaybeintegratedintotheirbusinessmodel.Circulareconomyprinciplesneedtobescaled-upandenhancedinmineralsupplychainssothatmaterialscanbemoreefficientlyandroutinelycollectedandrecoveredfromend-of-lifeproducts.Sourcingfromsecondarymaterialstocomplementorreplaceprimaryrawmaterialscanofferopportunitiestoreduceenvironmentalharmsifsecondarymaterialsorenergyfromsecondarymaterialsaresourcedresponsibly.

Theavailabilityofrecycledmaterialsonthemarketdependsontheavailabilityofmaterialsthatcouldberecycledbutalsoontheiractualrecyclingrates(whichdependonthetechnologiescurrentlyinplace,theeconomiccaseforrecyclingthem,regulationinplace,etc.)andmaterialsfromthe‘urbanmine’(in-usematerialstocks),whichonlybecomeavailableafteratimelag(IEA,2021[3]).Forbulkmetals,recyclingpracticesarewellestablishedandmetalsarereadilyavailable,butthisisnotyetthecaseformanyenergytransitionmetalssuchaslithiumandrareearthelements.Emergingwastestreamsfromcleanenergytechnologies(e.g.batteriesandwindturbines)areexpectedtoincreaseafter2030,atatimewhenmineraldemandissettostillbegrowingrapidly.TheIEAestimatethatby2040,recycledquantitiesofcopper,lithium,nickelandcobaltfromspentbatteriescouldreducecombinedprimarysupplyrequirementsforthesemineralsbyaround10%(IEA,2021[3]).

RecyclingwillnoteliminatetheneedforcontinuedinvestmentinprimarysupplyofmineralsandaccordingtotheWorldBank,investmentinprimarysupplywillstillbeneededeveninthecasethatrecyclingratesreach100%by2050(WorldBank,2020[9]).Therefore,theHandbookrecognisestheroleofbothprimaryandsecondarysupplychainsinsustainabledevelopment,butalsonotesthat,ifpoorlymanaged,bothcancauseenvironmentalrisksandimpacts.Itisimportanttonotethatalthoughprimaryminingingeneralhas

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moreenvironmentalrisksthanrecycling,itcanholdsignificanteconomicopportunityforregionswithhighmineralendowments(andinsomelocalities,theonlyeconomicopportunity),providedthereisgoodgovernanceandequitabledistributionofbenefitstothestate,localcommunities,andinvestors.

SourcingfromArtisanalandSmall-ScaleMining

OneoftheoverarchingobjectivesofOECDRBCinstrumentsisthesustainabledevelopmentofminingcommunitiesthroughresponsibleengagement,includinginhigh-riskandconflict-affectedareaswheremanyproducersmaybeinformal.WhileASMpresentssomeuniquerisks,avoidingitaltogetherinsteadofseekingtoaddressthoseriskstypicallyonlyworsensconditionsformineral-producingcommunities.

ASMisasourceoflivelihoodsandemploymentinmanyregionsoftheworld.ItisestimatedthatASMemploysbetween40and100millionpeopleworldwide,comparedto7millioninindustrialmining(IGF,2017[10]).Besidesbeingamajorsourceofemploymentinmanydevelopingcountries,ASMcanalsohelpaddresssecurityofsupplyissuesforcriticalminerals,includingthosekeytodrivingthegreentransition(Mooreetal.,2020[11]).

Inmanycountries,ASMtakesplaceinaregulatorygreyzone,wherebyitseconomicroleisnotexplicitlyrecognisedandfacilitatedbythestate,includingbeingproperlylegislatedorregulated,butislargelytolerated.TheMineralsGuidanceencouragesbusinessestoengagewith‘legitimateASM’andprovidesaframeworkfordoingso.ThisframeworkiselaboratedonintheOECDFAQonSourcingGoldfromArtisanalandSmall-ScaleMiners(OECD,2016[12])

ResponsibleengagementofASMproducerscanleadtotheprogressiveformalisationofASMactivities.Formalisedminesitesaremorecapableofworkingthroughformalchannelsoftrade,implementingriskmanagementplans,andappeartobesubjecttomoreregulatoryinspectionvisitsregardingenvironment,wastemanagement,andradioactivity.Inviewoftheseconsiderations,thisHandbookrecommendsthatbusinessesandotherstakeholdersseektoengagewithlegitimateASMproducersinaspiritofprogressiveimprovement,includingbyconsideringtheprovisionoftechnicalandfinancialsupporttohelpASMactorsimplementcorrectiveactionplans.Tochannelthissupport,thereareseveralindustry-ledormulti-stakeholdercollaborationandcostsharingmechanismsalreadyinplace,andthereisthepotentialforotherstobedeveloped.10

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2

Understandingenvironmentalrisks

andimpacts

Thischapterclarifieswhatismeantbyenvironmentalrisksandimpactsandprovidesexamplesofcommonenvironmentalissuesfoundinupstream

mineralsupplychains.TheChapteralsohelpsbusinessunderstandfactorsthatmayaffecttheseverityandlikelihoodofrisks,bothofwhicharecriticalconsiderationswhenconductingrisk-basedduediligence.

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WhatdoestheHandbookcover?

ThisHandbookconsidersarangeofenvironmentalrisksandimpactsthatmayariseinmineralssupplychainsfromthepointofextractionthroughkeypointsoftransformation,primarilymining,smelting,refining,andrecycling,forallmineralsandmetals(whetherfordomesticorexportmarkets),includingconstructionmaterials,industrialminerals,basemetals,preciousmetals,gemstonesandtechnologycriticalelements,amongstothers(OECD,2021[13])).Theyalsorecognisethatenvironmentalimpactscanbecollectiveandinterlinkedorisolated,aswellaslocalisedortransboundaryinnature.

TheHandbookfocusesonthefollowingadverseenvironmentalimpactsinmineralsupplychains:11

•climatechange

•biodiversitylossanddegradation,12coveringspeciesandterrestrial,marineandotheraquaticecosystems(forexample,deforestation,damagetoprotectedareasandsoilerosion)

•air,waterandsoilpollution

•mismanagementofwaste,includinghazardoussubstances

•noiseandvibration

•damagetoaestheticsandculturalheritagesites

•waterdepletion.

Giventhebroadrangeofenvironmentalrisksandadverseimpactsthatcanarisefromupstreamactivitiesinmineralsupplychains,andthevariouswaysthatthesemaymanifestindifferentcontexts,thisHandbookdoesnotaimtobeexhaustiveanddoesnotprovideextensivedetailforeachenvironmentalriskarea.Instead,itconsidersexamplesandpointsreaderstoadditionalresourcesthatmayprovidefurthertechnicalinformationonbestpracticeforassessing,preventing,mitigati