ITU-T SERIES L SUPP 21-2016 Implementation guidance for small- and medium-sized enterprises on information and communication technology supply chain due diligence concerning confli.pdf

1、 I n t e r n a t i o n a l T e l e c o m m u n i c a t i o n U n i o n ITU-T Series L TELECOMMUNICATION STANDARDIZATION SECTOR OF ITU Supplement 21 (04/2016) SERIES L: ENVIRONMENT AND ICTS, CLIMATE CHANGE, E-WASTE, ENERGY EFFICIENCY; CONSTRUCTION, INSTALLATION AND PROTECTION OF CABLES AND OTHER ELEM

2、ENTS OF OUTSIDE PLANT Implementation guidance for small- and medium-sized enterprises on information and communication technology supply chain due diligence concerning conflict minerals ITU-T L-series Recommendations Supplement 21 ITU-T L-SERIES RECOMMENDATIONS ENVIRONMENT AND ICTS, CLIMATE CHANGE,

3、E-WASTE, ENERGY EFFICIENCY; CONSTRUCTION, INSTALLATION AND PROTECTION OF CABLES AND OTHER ELEMENTS OF OUTSIDE PLANT OPTICAL FIBRE CABLES Cable structure and characteristics L.100L.124 Cable evaluation L.125L.149 Guidance and installation technique L.150L.199 OPTICAL INFRASTRUCTURES Infrastructure in

4、cluding node element (except cables) L.200L.249 General aspects and network design L.250L.299 MAINTENANCE AND OPERATION Optical fibre cable maintenance L.300L.329 Infrastructure maintenance L.330L.349 Operation support and infrastructure management L.350L.379 Disaster management L.380L.399 PASSIVE O

5、PTICAL DEVICES L.400L.429 MARINIZED TERRESTRIAL CABLES L.430L.449 For further details, please refer to the list of ITU-T Recommendations. L series Supplement 21 (04/2016) i Supplement 21 to ITU-T L-series Recommendations Implementation guidance for small- and medium-sized enterprises on information

6、and communication technology supply chain due diligence concerning conflict minerals Summary Supplement 21 to ITU-T L-series Recommendations provides a set of guidelines to assist information and communication technology (ICT) downstream small- and medium-sized enterprises (SMEs) in developing and i

7、mplementing a comprehensive conflict minerals management system, based on the Due diligence guidance for responsible supply chains of minerals from conflict-affected and high-risk areas of the Organisation for Economic Co-operation and Development b-OECD, 2013a. To this end, this Supplement also col

8、lects, collates and makes reference to other relevant information from different organizations to avoid conflicting guidance and to provide a more detailed standardized methodology where applicable. This Supplement can be used by any ICT downstream company and can be adjusted to meet the companys sp

9、ecific needs, nature, organizational structure and characteristics. History Edition Recommendation Approval Study Group Unique ID* 1.0 ITU-T L Suppl. 21 2016-04-27 5 11.1002/1000/12891 Keywords 3TG, chain of custody, conflict-affected and high risk areas, conflict minerals, corporate social responsi

10、bility, disclosure, due diligence, environment, gold, human rights, ICT, illegal trafficking, labelling, mineral supply chain, OECD Guidance, refiner, reporting, smelter, SME, sustainability, tantalum, tin, traceability, tracking system, tungsten. * To access the Recommendation, type the URL http:/h

11、andle.itu.int/ in the address field of your web browser, followed by the Recommendations unique ID. For example, http:/handle.itu.int/11.1002/1000/11830-en. ii L series Supplement 21 (04/2016) FOREWORD The International Telecommunication Union (ITU) is the United Nations specialized agency in the fi

12、eld of telecommunications, information and communication technologies (ICTs). The ITU Telecommunication Standardization Sector (ITU-T) is a permanent organ of ITU. ITU-T is responsible for studying technical, operating and tariff questions and issuing Recommendations on them with a view to standardi

13、zing telecommunications on a worldwide basis. The World Telecommunication Standardization Assembly (WTSA), which meets every four years, establishes the topics for study by the ITU-T study groups which, in turn, produce Recommendations on these topics. The approval of ITU-T Recommendations is covere

14、d by the procedure laid down in WTSA Resolution 1. In some areas of information technology which fall within ITU-Ts purview, the necessary standards are prepared on a collaborative basis with ISO and IEC. NOTE In this publication, the expression “Administration“ is used for conciseness to indicate b

15、oth a telecommunication administration and a recognized operating agency. Compliance with this publication is voluntary. However, the publication may contain certain mandatory provisions (to ensure, e.g., interoperability or applicability) and compliance with the publication is achieved when all of

16、these mandatory provisions are met. The words “shall“ or some other obligatory language such as “must“ and the negative equivalents are used to express requirements. The use of such words does not suggest that compliance with the publication is required of any party. INTELLECTUAL PROPERTY RIGHTSITU

17、draws attention to the possibility that the practice or implementation of this publication may involve the use of a claimed Intellectual Property Right. ITU takes no position concerning the evidence, validity or applicability of claimed Intellectual Property Rights, whether asserted by ITU members o

18、r others outside of the publication development process. As of the date of approval of this publication, ITU had not received notice of intellectual property, protected by patents, which may be required to implement this publication. However, implementers are cautioned that this may not represent th

19、e latest information and are therefore strongly urged to consult the TSB patent database at http:/www.itu.int/ITU-T/ipr/. ITU 2016 All rights reserved. No part of this publication may be reproduced, by any means whatsoever, without the prior written permission of ITU. L series Supplement 21 (04/2016

20、) iii Table of Contents Page 1 Scope . 1 2 References . 1 3 Definitions 1 3.1 Terms defined elsewhere 1 3.2 Terms defined in this Supplement 2 4 Abbreviations and acronyms 3 5 Conventions 3 6 General information on due diligence 4 6.1 Available guidance document and supply chain example 4 6.2 Defini

21、ng a small and medium sized enterprise . 4 7 Guidelines for due diligence concerning conflict minerals in mineral supply chains 5 7.1 Establishment of companies conflict minerals management systems . 5 7.2 Risk identification and evaluation of the supply chain 10 7.3 Establishment of strategies and

22、implementation measures for reducing identified risks 15 Appendix I Example of a useful document . 22 Bibliography. 28 iv L series Supplement 21 (04/2016) Introduction Like other manufacturing industries, ICT companies are at risk of using critical minerals, namely tin, tantalum, tungsten and gold (

23、3TG), that are necessary for the manufacture of their products, extracted and traded from the conflict-affected or high-risk areas of the Democratic Republic of Congo (DRC) and the countries of Africas Great Lakes region, thereby fuelling armed conflicts and human rights abuses. The worsening of the

24、 political, socio-economic and environmental emergency situation in the DRC and its adjoining countries has driven governments and private companies from different manufacturing industries to adopt and implement necessary measures to address this issue. In response, heterogeneous due diligence regul

25、atory frameworks and certification schemes have been developed and put in place to improve transparency of the mineral supply chain. Among those, some are voluntary, others legally binding; some national, others multilateral initiatives; some regional, others industry based. They also differ from ea

26、ch other in terms of the reach and scope of their underlying due diligence approach. The Due diligence guidance for responsible supply chains of minerals from conflict-affected and high-risk areas of the Organisation for Economic Co-operation and Development b-OECD, 2013a is the most widely adopted

27、policy which helps all companies carry out due diligence practices. Since the requirements of b-OECD, 2013a are intended for all actors in the mineral supply chain rather than being industry-specific, ICT companies, and specifically downstream ICT small- and medium-sized enterprises (SMEs), have exp

28、ressed the need for a clear industry-specific implementation methodology for performing due diligence concerning conflict minerals. ICT downstream SMEs are looking for a clearer understanding of b-OECD, 2013a and how to apply it in a way that is more specific to the downstream ICT industry. This Sup

29、plement aims to assist downstream ICT SMEs to undertake responsible supply chain due diligence practices by providing an implementation methodology (based on b-OECD, 2013a) that can help improve supply chain resilience, display business integrity and sustainability and pursue a credible policy of co

30、rporate social responsibility (CSR). L series Supplement 21 (04/2016) 1 Supplement 21 to ITU-T L-series Recommendations Implementation guidance for small- and medium-sized enterprises on information and communication technology supply chain due diligence concerning conflict minerals 1 Scope This Sup

31、plement aims at assisting information and communication technology (ICT) downstream small- and medium-sized enterprises (SMEs) in developing and implementing a comprehensive conflict minerals management system. To this end, it provides specific implementation guidance for ICT supply chain due dilige

32、nce concerning conflict minerals (focused on downstream ICT SMEs), based on Due diligence guidance for responsible supply chains of minerals from conflict-affected and high-risk areas b-OECD, 2013a in terms of: establishment of conflict minerals management systems for SMEs; risk identification and e

33、valuation of the supply chain; establishment of strategies and implementation measures for reducing identified risks and public reporting; grievance and audit mechanisms under an institutionalized mechanism; disclosure and reporting on documentation and findings of companies supply chain due diligen

34、ce concerning conflict minerals. 2 References None. 3 Definitions 3.1 Terms defined elsewhere This Supplement uses the following terms defined elsewhere: 3.1.1 adjoining countries (covered countries) (footnote 7 of b-SEC, 2012): A country that shares an internationally recognized border with DRC, wh

35、ich presently includes Angola, Burundi, Central African Republic, the Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda and Zambia. 3.1.2 chain of custody (p. 65 of b-OECD, 2013a): A record of the sequence of entities which have custody of minerals as they move through a supply chain. 3.1

36、.3 conflict-affected and high-risk areas (p. 66 of b-OECD , 2013a): Areas identified by the presence of armed conflict, widespread violence, including violence generated by criminal networks, or other risks of harm to people. 3.1.4 Democratic Republic of Congo (DRC) (p. 8 of b-AIGW, 2015): Located i

37、n Central Africa, the Democratic Republic of Congo is one of the worlds least developed countries despite its huge wealth of natural resources. 3.1.5 downstream companies (p. 33 of b-OECD 2013a): “Downstream“ means the minerals supply chain from smelters/refiners to retailers. Downstream companies i

38、nclude metal traders and exchanges, component manufacturers, product manufacturers, original equipment manufacturers (OEMs) and retailers. 2 L series Supplement 21 (04/2016) 3.1.6 due diligence (p. 13 of b-OECD 2013a): Due diligence is an on-going, proactive and reactive process through which compan

39、ies can ensure that they respect human rights and do not contribute to conflict. Due diligence can also help companies ensure they observe international law and comply with domestic laws, including those governing the illicit trade in minerals and United Nations sanctions. 3.1.7 mineral supply chain

40、 (p. 14 b-OECD 2013a): The process of bringing a raw mineral to the consumer market involves multiple actors and generally includes the extraction, transport, handling, trading, processing, smelting, refining and alloying, manufacturing and sale of the end product. The term supply chain refers to th

41、e system of all the activities, organisations, actors, technology, information, resources and services involved in moving the mineral from the extraction site downstream to its incorporation in the final product for end consumers. 3.1.8 risks (p. 13 of b-OECD 2013a): Risks are defined in relation to

42、 the potentially adverse impacts of a companys operations, which result from a companys own activities or its relationships with third parties, including suppliers and other entities in the supply chain. Adverse impacts may include harm to people (i.e., external impacts) or reputational damage or le

43、gal liability for the company (i.e., internal impacts) or both. Such internal and external impacts are often interdependent, with external harm coupled with reputational damage or exposure to legal liability. 3.1.9 smelters or refiners (p. 8 of b-AIGW, 2015): Also known as metal processors. They “sm

44、elt“ or “refine“ mineral ores, like coltan or wolframite, into more pure metals, like tantalum or tungsten respectively, to be used in manufacturing products. 3.1.10 traceability (p. 6 of b-UN GCBSR, 2014): The ability to identify and trace the history, distribution, location and application of prod

45、ucts, parts and materials, to ensure the reliability of sustainability claims, in the areas of human rights, labour (including health and safety), the environment and anti-corruption. 3.1.11 upstream companies (p. 32 of b-OECD 2013a): “Upstream“ means the minerals supply chain from the mine to smelt

46、ers/refiners. Upstream companies include miners (artisanal and small-scale or large-scale producers), local traders or exporters from the country of mineral origin, international concentrate traders, mineral re-processors and smelters/refiners. 3.2 Terms defined in this Supplement This Supplement de

47、fines the following terms: 3.2.1 3TG: Tin, tantalum, tungsten and gold. 3.2.2 company: Downstream small- and medium-sized enterprise (SME) in the information and communication technology (ICT) industry. 3.2.3 conflict-free: Minerals that have neither any relation with nor any contribution to any arm

48、ed groups in conflict areas such as the Democratic Republic of Congo and its adjoining countries. 3.2.4 conflict mineral: mineral mined in conditions of armed conflict and human rights abuses and financing rebellions, notably in the Democratic Republic of the Congo (DRC) and its adjoining countries.

49、 Examples include tin (cassiterite), tantalum (coltan), tungsten (wolframite) and gold. 3.2.5 corporate social responsibility (CSR): Consideration of ethical concerns, environmental issues and human rights in a companys policies and operations. It takes into account corporate actions, such as a companys contribution to society and warrants for product defects. Corporate social responsibility to society is other than economic and legal obligations. 3.2.6 ICT Due Diligence Database: A glob