Conflict Mineral Council Framework 钨业争端矿物理事 …ti-cmc.org/TI-CMC...

December 2014

2014 年 12月

Tungsten Industry ‐ Conflict Mineral Council Framework

钨业争端矿物理事会框架

Our Commitment

我们的承诺

As highlighted by the OECD1, in conflict‐affected and high‐risk areas, companies involved in mining and

trade in minerals have the potential to generate income, growth and prosperity, sustain livelihoods and

foster local development. In such situations, companies may also be at risk of contributing to or being

associated with significant adverse impacts, including serious human rights abuses and conflict.

正如经合组织1 所强调的那样，在争端地区和高风险地区，从事采矿及矿物贸易的公司有可能获

得收益、成长和繁荣，维持生计，并促进当地发展。在这种情况下，公司还有可能导致不良影响

或涉及不良影响，其中包括严重侵犯人权和争端。

The Tungsten Industry—Conflict Minerals Council (TI‐CMC or “the Council”) is a framework through

which its members can provide industry stakeholders, downstream tungsten consumers with conflict

mineral reporting and disclosure obligations as well as the public at large with their assurances that the

tungsten products they supply are conflict free.

借助钨业争端矿物理事会（TI‐CMC）这一框架，会员公司可为利益相关方和下游钨消费者提供争

端矿物报告，履行披露义务，并为整个社会大众担保其提供的钨产品为无争端产品。

As an industry, it is our responsibility to educate, advocate and offer expert recommendations and

solutions on topics related to our sector. The TI‐CMC is a global industry initiative that has been

endorsed by the Refractory Metals Association (RMA) and the International Tungsten Industry

Association (ITIA).

作为一个产业，我们有责任就行业相关的议题教育大众，积极倡导，并提供专家建议和解决方

案。TI‐CMC是一个美国难熔金属协会（RMA）和国际钨业协会（ITIA）同意通过的全球性行业倡

议。

1OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict‐Affected and High‐Risk Areas, July 2011, available at: http://www.oecd.org/daf/inv/mne/GuidanceEdition2.pdf

经合组织有关争端及高风险地区的可信赖矿产供应链尽职调查指导方针，2011年7月：http://www.oecd.org/daf/inv/mne/GuidanceEdition2.pdf

Tungsten Industry – Conflict Mineral Council Framework 2014年月12

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The TI‐CMC takes into account the “Specifics of Tungsten,” as described below, and recognizes that

refiners in the industry that process tungsten raw materials play an essential role in ensuring that

tungsten is conflict free. At the same time, the TI‐CMC considers all suppliers and the members of the

underlying supply chains as valuable stakeholders in the overall process that leads to the success of the

sector.

TI‐CMC考虑到如下所述的“钨资源的特性”，并认识到业内加工钨原料的精炼厂在确保钨资源不

是争端矿物方面有至关重要的作用。与此同时，TI‐CMC将相关供应链的所有供应商及成员视为整

个加工流程中重要的利益相关方，为行业的成功做出重大贡献。

The TI‐CMC supports and is intended to be consistent with the activities of the Organization for

Economic Co‐operation and Development (OECD) with respect to conflict minerals as laid out in the

OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict‐Affected and

High‐Risk Areas.

TI‐CMC支持经济合作与发展组织（OECD）组织的活动并努力与其保持一致，严格执行“经合组

织有关争端及高风险地区的可信赖矿产供应链尽职调查指导方针”有关争端矿物的规定。

TI‐CMC collaborates with the Conflict‐Free Sourcing Initiative (CFSI), which provides auditing according to

the Conflict Free Smelter Program (CFSP) Supply Chain Transparency Smelter Audit Protocol for

Tungsten2 as additional voluntary validation of self‐declaration for TI‐CMC members. This offers TI‐CMC

Category A member companies immediate recognition under the CFSI and inclusion into the CFSI Conflict

Mineral Reporting Template (CMRT). The CFSP tungsten audit protocol has been adapted jointly by CFSI

and TI‐CMC to meet the realities of the tungsten supply chain.

TI‐CMC 与无争端采购计划（CFSI）合作，根据无争端冶炼厂计划（CFSP）钨矿供应链透明度冶炼

厂审核协议提供审核，TI‐CMC 会员公司可自愿选择是否通过认证。TI‐CMC 的 A 类会员公司能够立

刻获得 CFSI 的认可并被纳入 CFSI 争端矿物报告模板。为了适应供应链的现状，CFSI 组织已经联合

TI‐CMC 对这一 CFSP 钨审核协议进行了调整。

TI‐CMC has the following classes of membership:

TI‐CMC 有以下几类会员：

Corporate Membership:

企业会员

Corporate membership for a firm, corporation, or division that is a smelter, refiner, or a similar type

of primary production facility able to convert concentrates and/or secondary raw materials into

metallic or refined tungsten, APT, ferrotungsten or tungsten reagents.

2 Conflict‐Free Smelter Program (CFSP) Supply Chain Transparency Smelter Audit Protocol for Tungsten available at http://www.conflictfreesmelter.org/cfshome.htm 有关无争端冶厂划炼计（）供透明度冶厂核的情钨矿应链炼审协议详，请访问CFSP http://www.conflictfreesmelter.org/cfshome.htm。


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企业会员是针对一个公司、企业或一个冶炼厂、精炼厂，或一个类似的能够将精矿和/或次生原

料转变成金属或精制钨、钨中间产品、钨铁或钨试剂的初级生产设施。

Corporate membership is either category A (with CFSP validation) or category B (without CFSP

validation).

企业会员要么是 A 类（通过 CFSP 认证），要么是 B 类（未通过 CFSP 认证）。

Supporting Members:

Membership for a firm with a vested interest in the use of tungsten products or powders downstream

of the smelter level.

支持会员：

这类会员是在冶炼厂下游钨产品或钨粉使用中有既得利益的公司。

The Specifics of Tungsten

钨资源的特性

The raw material sources and production methods of our industry are commodity‐specific and show

distinct differences to other metallic raw materials; and these specifics have been taken into account

during the design of the industry‐wide approach to conflict mineral policies.

我们行业的原料来源和生产方法都是针对具体产品的，与其他金属原料相比，存在明显的差异；

在设计面向全行业的争端矿物政策时，均考量这些特性。

More than 80% of the primary raw materials (ore concentrates) are produced in China; and

China is also home to most of the refinery‐level operations.

超过 80%的主要原料（精矿）产自中国，大部分精炼厂也都设在中国。

The first conversion step from concentrates (or scrap / secondary raw material) is capital‐

intensive, requires complex technology and advanced infrastructure. Therefore, the refinery

step creates a natural bottleneck between the large number of small mining operations and the

numerous downstream applications of the metal. There are approximately ten refinery‐level

operations outside China.

从精矿（或废料/次生原料）提炼钨资源的第一步需要很多资本、复杂的技术和先进的基础

设施。因此，精炼这步工艺在众多小型采矿企业和产业链的钨金属用户之间产生了天然瓶

颈。大约有 10 家精炼厂位于中国以外地区。


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Statistics by ITIA and USGS3 demonstrate that only a very small portion of the annual tungsten

feed into the downstream industry comes from mine production in the “covered countries”4 as

defined by the SEC, and only a fraction of this might come from mines truly supporting conflict.

According to ITIA, total production from all of Africa was around 1200t of W in concentrates, less

than 1% of the annual supply of tungsten, respectively less than 2% of the primary mine

production. According to the USGS, production from the DRC in 2009 was around 0.5% of the

world primary mine production and a significant part of this comes from non‐conflict zones.

ITIA 和 USGS4 的统计数据表明，每年输送到下游行业的钨资源只有很小的一部分来自美国

证券交易委员会（SEC）定义的“争端国家”5，而其中只有少数出自真正支持争端的矿

区。ITIA 的数据显示，整个非洲地区的总产量约为 1200 吨的钨精矿，不到钨年供应量的

1%，不到主要矿物产量的 2%。USGS 的数据显示，2009 年刚果（金）的钨产量占世界主要

矿物产量的 0.5%左右，其中大部分来自无争端地区。

The tungsten industry encourages recycling as a sustainable practice to preserve raw materials.

Approximately one quarter of the overall tungsten supply is obtained from tungsten‐bearing

scrap (secondary raw materials) and not mines; in the United States and Europe, the current

recycling rate is estimated at 50%.5

钨业鼓励通过回收保护钨原料，将其视为可持续发展的一项措施。大约四分之一的钨资源

供应总量来自含钨废料（次生原料），而不是矿物；在美国和欧洲，目前的回收利用率估

计为 50%。6

Additional insight into tungsten sources, production and downstream application is found in Exhibit 1.

如需了解有关钨的来源、生产和下游应用的其他详情，请参见附录1。

3 See Thomas R. Yager, “The Mineral Industry of Congo (Kinshasa),” Jun 2012. U.S. Geological Survey, available at: http://minerals.usgs.gov/minerals/pubs/country/2010/myb3‐2010‐cg.pdf , and USGS commodity information about tungsten under http://minerals.usgs.gov/minerals/pubs/commodity/tungsten/ . 参见Thomas R. Yager, “ 果刚（金）矿业”，2012年6月，美国地质调查: http://minerals.usgs.gov/minerals/pubs/country/2010/myb3‐2010‐cg.pdf , 和USGS 源品信息钨资产 http://minerals.usgs.gov/minerals/pubs/commodity/tungsten/ . 4 As defined in SEC Final Rule, “covered countries” are the Democratic Republic of the Congo (DRC) and its nine adjoining countries 5 According to USGS, in 2010 an estimated 37% of U.S. tungsten consumption was produced from recycling of tungsten‐containing scrap generated in the US: secondary raw materials. K.B. Shedd, 2010 Mineral Yearbook: Tungsten (Advance Release), Jan 2012. U.S. Geological

Survey., available at http://minerals.usgs.gov/minerals/pubs/commodity/tungsten/myb1‐2010‐tungs.pdf. USGS的数据示显，年，美国消耗的估有钨计来自美国生的含料的回收产钨废：次生原料。2010 37% K.B. Shedd, 2010年矿物年鉴：钨（提前布发）年月，美国地质调查：2012 1 http://minerals.usgs.gov/minerals/pubs/commodity/tungsten/myb1‐2010‐tungs.pdf 。


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TI‐CMC Framework

TI‐CMC框架

In order to be eligible to be recognized as a TI‐CMC compliant member, the company must agree to

implement a supply management system that includes:

为了获得加入TI‐CMC的资格，公司必须同意实施供应链管理系统，其中包括：

Establishing a corporate Supplier Code of Conduct or similar document that includes a non‐

conflict statement

制订企业的供应商行为守则或包含无争端声明的类似文件；

Contractually obligating suppliers to follow the Supplier Code of Conduct of the TI‐CMC member

and eliminating any non‐responsive or non‐compliant suppliers

用契约约束供应商，规定其负有遵守 TI‐CMC 会员公司供应商行为守则的义务，并取消任何

不回应或不符合规定的供应商的资格；

Training employees to follow the company’s supply management system, including its Supplier

Code of Conduct

培训员工遵守公司的供应链管理系统，其中包括公司的供应商行为守则；

Nominating individuals responsible for implementation of the supply management system and

Supplier Code of Conduct

提名个人负责实施供应链管理系统和供应商行为守则；

Conducting regular site visits and assessing suppliers; and

定期实地考察和评估供应商；

Providing for an internal mass balance system, comparing intake of raw materials and

production / sales / stock balance.

提供内部物料平衡系统，比较原材料用量及生产/销售/库存是否平衡。

Commit to completing a CFSP validation audit within 2 years of being granted TI‐CMC category A

membership

承诺在获得钨业争端矿物理事会 A 类会员资格的两年内完成 CFSP 认证审核。


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Given the overall insignificant amount of tungsten from the Democratic Republic of Congo (DRC) and the

adjoining countries (the “covered countries” as defined by the SEC ruling), it is reasonable to rely on

representations of suppliers unless red flags are raised during a supplier assessment or in the course of

supply. Red flags would include:

鉴于刚果（金）和周边国家（SEC规则定义的“争端国家”）的钨产量不多，依靠供应商办事处

是合理的，除非在供应商评估或供货过程中发现危险信号。“危险信号”包括：

Missing, incomplete or altered shipping/export/tax documents

航运/出口/税务文件缺失、不全或有改动；

Apparent discrepancies between annual output of the refinery and known supply streams

精炼厂的年产量和已知的供应流之间存在明显差异；

Presence of coarse‐grained panning concentrates when the company has no artisanal suppliers

公司没有个体供应商，却存在粗粒度淘洗精矿的现象；

Other abnormal circumstances in a transaction that would indicate that raw materials were

obtained from a source other than that declared by the supplier

交易中的其他异常情况，显示原料来自供应商未声明的其他来源。

Following the expectations identified in the OECD Due Diligence Guidance, independent third party

OECD Due Diligence conformance audits of the supply‐chain are required when sourcing minerals with

country of origin from the DRC and the adjoining countries.

根据经合组织尽职调查指导方针的明确期望，从刚果（金）和周边国家采购矿物原材料时，需聘

请独立第三方按照经合组织尽职调查规定的要求对供应链进行审核。

A flow‐sheet for TI‐CMC assessment is provided in Figure 1.

TI‐CMC评估流程表如图1所示。

A TI‐CMC compliant company should regularly review the compliance of its feed streams with the

provisions of this framework and, on an annual basis, establish a summary report on its assessment

activities and measures to assure ongoing compliance with TI‐CMC. A member company is required to

notify the TI‐CMC administrator when a change in feed material results in a change in compliance of

those feed streams to the provisions of this framework (such as sourcing from any of the covered

countries).

符合 TI‐CMC‐标准的公司应定期审查其原料来源是否符合该框架规定，起草公司评估活动和措施的

年度总结报告，以确保长期符合 TI‐CMC 标准。当原料来源发生变化，可能影响那些原料来源是否

符合该框架规定时，会员公司须及时通知 TI‐CMC 管理员（如从任何争端国家采购）。


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yes no yes no

2.) 3.)

yes no yes no

1.) If shown not to contain "conflict‐supporting" material

yes no

2.) If conflict supporting material contained or undeterminable

raw material determination

resonable country of origin inquiry

TI‐CMC

compliant

TI‐CMC

compliant

1.) 2.) 3.)

scrap (secondary raw material)

concentrate (primary raw material)

intermediate

product (APT, ST…)

assessment of intermediate supplier

concentrate (primary raw material)

TI‐CMC

compliant

not from

covered

countries

from

covered

countries

undetermined

pre ‐exis ting suppl iers

in year 1 (2013)

TI‐CMC

compliant

(wi th remark / only

poss ible in year 1 ‐

i .e., for 2013)

fi l ing of OECD DD procedure +

resul t of 3rd party audi t

TI‐CMC

compliant

not

accepted

As no scheelite concentrates are currently delivered from the DRC

and neighboring countries, a raw material determination =

scheelite would support an origin from outside of the covered

countries.

not

accepted

company already

TI‐CMC compliantscrap

(secondary raw material)

TI‐CMC

compliant

full application of the

OECD Due Diligence Guidance

for Responsible Supply Chains

of Minerals from Conflict‐

Affected and High‐Risk Areas .

Figure 1: Flow‐sheet for an assessment in line with the TI‐CMC


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图1：评估TI‐CMC合规性的流程表


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Guidelines

指南

STEP I ‐ Determination of Nature of Feed Material and Reasonable Country of Origin Inquiry

第一步 ‐ 确定原料的性质和合理原产地调查

For all refiner feed streams, the company would

对于所有精炼厂输出的原料流，公司应做到以下几点：

1.) establish the category of the feed material:

确定原料的性质

a. scrap / secondary raw material

废料/次生原料

b. ore concentrates

精矿，或

c. intermediate products (APT, Sodium Tungstate, artificial scheelite)

中间产品（APT、钨酸钠、人造白钨矿）

2.) if feed = scrap / secondary raw material material is TI‐CMC compliant.

如果给料=废料/ 次生原料原料符合 TI‐CMC 标准

3.) if feed = concentrate go to Reasonable Country of Origin Inquiry (RCOI).

如果给料=精矿请转到合理原产国家调查（RCOI）

If RCOI indicates origin of all concentrates are outside of the “covered countries”; then

material is TI‐CMC compliant,

如果 RCOI 显示所有精矿的原产地非“争端国家”；那么请点击原料符合 TI‐CMC 标

准，

If origin for any concentratesremains uncertain, go to STEP II for the relevant portion of the

feed material.

但凡有任何精矿的原产地无法确定，请转到第二步参阅有关给料原料的部分。

If origin for any concentrates is from the “covered countries”, go to STEP III for the relevant

portion of the feed material.

如果任何精矿的原产地是“争端国家”之一，请转到第三步参阅有关给料原料的部分。


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4.) If feed = intermediate product

如果给料=中间产品

If intermediate products bought from “refinery‐level” company subscribing to TI‐CMC or is

CFSP compliant, then no further inquiry required material is TI‐CMC compliant.

如果从“精炼厂性质”的公司购买的中间产品符合 TI‐CMC 标准或符合 CFSP 标准,，那

么无需进一步调查，请点击原料符合 TI‐CMC 标准。

If intermediate products bought from “refinery‐level” company that has not (yet) adopted

TI‐CMC, then conduct nature of feed inquiry and then RCOI (return to point 1)

如果从“精炼厂性质”的公司购买的中间产品（尚未）未采用 TI‐CMC 标准开展原

料性质调查和 RCOI（返回第 1 点）。

5.) If refiner is a CFSP compliant smelter, then material is TI‐CMC compliant

如果精炼厂是符合 CFSP 标准的冶炼厂，那么请点击原料符合 TI‐CMC 标准

In any case, the company retains the right to audit or to commission an independent audit of its

suppliers.

不论是何种情况，公司均保留对其供应商进行审核或委托开展独立审核的权力。

Instructions / Background information:

说明/背景信息：

Establish nature of feed

确定原料性质

Assurances made by Suppliers that all or part of the materials is based on scrap material

supported with supplier documentation, customs declarations, invoices.

供应商确保全部或部分原料基于废料，并提供如供应商文档、海关报关单和发票等支

持；

Refiner intake analysis

精炼厂的物料分析

Scrap (secondary raw material) and intermediate materials have distinctly different chemical

compositions and physical appearances than ore concentrates, partially processed ores or by‐

products from other ore processing.

废料（次生原料）和中间材料与精矿、部分加工过的矿石和其他矿石加工产生的副产品

之间存在明显差异。


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Customer right to audit or to engage independent auditor (if reasonable grounds to doubt

determination)

客户有审核或聘请独立审核师的权利（如果有合理理由怀疑所作出的判定）

Secondary Raw Material

次生原料

Recycling of metals wherever possible is a sustainable initiative to promote resource conservation,

and with few exceptions, it is technically impossible to deduce the origin (mine and time period) of

the underlying raw material of material now treated as secondary raw materials. Therefore,

secondary W‐containing materials (“scrap”) as defined by the OECD guidelines are excluded from

the requirement to demonstrate the ore source of origin.

金属回收是促进资源保护的一种可持续措施，极个别情况除外，技术上来说不可能追溯到次

生原料的原材料产地（矿区和开采时间）。因此 OECD 指南定义的次生含钨材料（“废

料”）不需要证明矿石原产地的要求。

OECD definition: OECD 定义：

Metals reasonably assumed to be recycled are excluded from the scope of this Guidance.

Recycled metals are reclaimed end‐user or post‐consumer products, or scrap processed

metals created during product manufacturing. Recycled metal includes excess, obsolete,

defective and scrap metal materials which contain refined or processed metals that are

appropriate to recycle in the production of tin, tantalum, tungsten and/or gold. Minerals

partially processed, unprocessed or a bi‐product from another ore are not recycled metals.

本指导不涵盖可回收的金属。回收金属是回收再利用的终端用户或消费后产品，或产品

制造期间产生的废料加工金属。回收金属包括过量、废弃、有缺陷和边角料的金属材

料，其中含有精炼或加工过的金属成分，适合回收用于制造锡、钽、钨和/或金。部分

加工、未加工的矿物或其他矿石的副产品不属于回收金属。

Examples of secondary raw materials falling under this definition include:

符合该定义的次生原料有：

Soft scrap ‐ examples include hardmetal grinding sludges, off‐spec tungsten‐bearing

“ready‐to‐press” powder…

软废料——包括硬质金属磨渣、不合规格的含钨“待压”金属粉

Hard Scrap ‐ examples include used mining bits, cutting inserts, wear parts, weights, rolls

and other tungsten bearing parts…

硬废料——包括使用过的采矿碎屑、切割刀片、磨损部件、金属块、金属卷和其他

含钨零部件


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Reasonable Country of Origin Inquiry

合理原产国调查

Elements of Reasonable Country of Origin Inquiry may include but are not restricted to the following:

合理原产国调查的要素可能包括但不仅限于以下各项：

Assurances from supplier – commitment letters, certifications, declarations, documentations,

certificates of origin, customs papers, contractual obligations (reps and warranties); in case of

producers of intermediate products: possible listing under TI‐CMC or CFSP compliant refiners.

供应商的保证——承诺书、认证、报关单、文件、原产地证书、关税文件、合同义务（代

表和保证）；中间产品的生产商可以出示符合 TI‐CMC 会员公司或 CFSP 要求的证明。

Supplier assessment by company, independent third party audit programs such as CFSP, site

visits plus document review; taking note of possible “red flags.”

公司对供应商的评估、实地考察及文件审查；注意可能存在的“危险信号”。

Customer right to audit or to engage independent auditor (if reasonable grounds to doubt

determination). Auditable information – purchase order or contract with source, bill of lading,

and import records. Due regard given to confidential information (redacted if customer audit).

顾客有权进行审核或委聘独立审核师（如果有合理理由怀疑公司的判定）；可以审核的信

息：与供货源签订的订单或合约、提货单和进口记录；考量机密信息（如客户进行审核，

节录提供）。

STEP II – Origin Undetermined

第二步 ‐ 无法确定原产地

The majority of the tungsten supplies comes from well‐known, larger‐scale industrial mines. In general,

unless the supplier is non‐responsive, it is unlikely that a RCOI will not return a definite answer to

whether or not the feed material comes from “covered countries”.

钨的供应绝大部分来自较大规模的知名工业矿区。一般而言，除非供应商不予回应，RCOI都能就原料是否来自 “争端国家”给出明确的答案。

Therefore, for a non‐responsive supplier material that continues to be supplied after January 1, 2013 will

be labeled temporarily as “origin undetermined”, and the supplier will be asked to provide adequate

input into the RCOI during the year of 2013. If adequate input for an RCOI is provided, the material will

become TI‐CMC compliant under step I or OECD compliance through due diligence under step III will be

required.


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因此，对于不予回应的供应商，2013 年 1 月 1 号后仍继续被供应的材料会暂时标记为“无法确定

原产地”，且供应商需要在 2013 年期间为合理原产地调查提供足够的证明。如果供应商为 RCOI

提供了足够的证明，那么原料就会成为第一步骤中符合 TI‐CMC 标准的原料或如第三步骤所示，需

要开展符合经合组织标准的尽职调查。

If the supplier is unable or unwilling to provide adequate input into the RCOI, supply from this

supplier will be phased out in 2013, and the material obtained by that time will remain labeled as

“origin undetermined”.

如果供应商未能或不愿意为 RCOI 提供足够的证明，那么这一供应商会被取消 2013 年的供

货资格，此前供应的所有材料仍将被标记为“无法确定原产地”。

If material continues to be supplied by a non‐responsive supplier, that will be a basis for

termination of TI‐CMC membership.

如果不予回应的供应商仍然继续供应原料，那么 TI‐CMC 可取消其会员资格。

STEP III – Origin from the DRC or Adjoining Countries

第三步 ‐ 原产地为刚果（金）或周边国家

If RCOI determines that concentrates originate from the DRC or adjoining countries (“covered countries”

in the sense of the SEC rules):

如果RCOI确定精矿产自刚果（金）或周边国家（SEC规则定义的“争端国家”）：

The Company

公司将

Reports that a part of its intake of concentrates originates from the DRC or the adjacent

countries to the TI‐CMC program administrator;

向 TI‐CMC 项目管理员报告其使用的精矿有一部分产自刚果（金）或周边国家；

Applies the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from

Conflict‐Affected and High‐Risk Areas on the portion of its supply pertaining to this definition;

This includes the necessity of 3rd party auditing as per OECD guidelines;

应用“经合组织有关争端及高风险地区的可信赖矿产供应链尽职调查指导方针”关于其供

应部分的定义，其中包括根据 OECD 指导方针开展第三方审核的必要性；

Reports the full outcome of the review under OECD guidelines to the administrator; and

将根据 OECD 指导所做的审查结果详细报告管理员；和

Reports on its Due Diligence and makes the findings of the 3rd party audit available to the public.

报告尽职调查的结果，向公众公开第三方审核的结果。


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If the 3rd party auditor concludes that the company meets the requirements of the OECD guidance, the

material becomes TI‐CMC compliant. The audit should be repeated in bi‐annual intervals unless the

company changes its supply policy or sourcing strategy in any material way, upon which a re‐audit

should be undertaken as soon as reasonably possible.

如果第三方审核者认为该公司符合经合组织指导方针的要求，那么这批原料便成为符合 TI‐CMC 标

准的材料。这一审核必须每两年举行一次，如果该公司的供应政策或采购政策有了实质性的改

变，则需尽快进行重新审核。

Membership of the smelter‐level facility in iTSCi (ITRI Tin Supply Chain Initiative) or a CFSP validation

audit that has been concluded while the company was sourcing from the Covered Countries are

considered to demonstrate that the company meets the requirements of the OECD guidance including

the relevant 3rd party audit requirements.

iTSCi（ITRI 锡供应链计划）冶炼厂性质的会员工厂或在从争端国家采购时已完成 CFSP 认证审核的

会员均视为已证明该企业符合 OECD 指南，包括相关第三方的审核要求。

Other Provisions

其他规定

Toll Conversion

原料转化收费

Due to the complexity of the process and to balance capacity constraints, toll conversion is a common

feature in the tungsten industry: For a fee, a “refinery level“ company will process raw materials, often

scrap, supplied and owned by another company. The amount of tungsten in the batch will generally

slightly decrease (recovery of individual processes is generally below 100%). For example company A

sends a batch of scrap containing 4000kg of W to company B and receives after toll conversion 3800kg of

W in form of APT against a conversion charge of USD X per kg of W redelivered.

由于加工流程的复杂性和平衡产量限制，原料转化收费是钨业的共同特点：“精炼厂性质”的公

司会对另一家公司提供并拥有的原料收费加工，通常是废料。一批加工的原料钨含量一般会略有

下降（单个流程的钨回收率通常低于100%）。例如，A公司将一批含4000千克钨的废料发给B公

司，转化后获得含3800千克钨的APT，转化收费为回收的每千克钨X美元。


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The following rules shall apply to toll conversion:

以下规则适用于原料转化收费：

Any “refinery‐level” company adopting TI‐CMC must apply TI‐CMC rules as laid out above under

steps 1 to 3 when providing tolling services to an unrelated third party, i.e., all feed to its own

refining operations is “non‐conflict” and covered by adequate scrutiny with respect to

determination of material type and Reasonable Country of Origin.

向无关第三方提供收费服务时，所有采用 TI‐CMC 的“精炼厂性质”的公司必须应用前述第

1‐3 步列出的 TI‐CMC 规则，即其精炼加工的所有原料都是“无争端“的，且经过详细审查

，确定了原料类型和合理原产国。

If conflict free material (compliant under TI‐CMC) is sent for toll conversion to another “refinery

level” operation owned by an unrelated third party, then the product returned is presumed

conflict free.

如果无关第三方将其拥有的无争端原料（符合 TI‐CMC 标准）发给另一家“精炼厂”付费转

化，则收回的加工后产品可被视为无争端。

TI‐CMC Registration and Reporting

TI‐CMC登记和报告

The Tungsten Industry’s Conflict Mineral Commitment (TI‐CMC) program is based on a voluntary

commitment by a tungsten refiner to adopt, implement and adhere to the TI‐CMC principles and

framework, which includes self‐assessments and reporting on progress.

钨业争端矿物承诺（TI‐CMC）计划基于自愿承诺，钨精炼厂自愿承诺采用、贯彻并坚持TI‐CMC原

则和框架，其中包括自我评估和报告进展情况。

The TI‐CMC focuses on “smelter‐level” companies as Corporate Members. In the case of tungsten,

“smelter‐level” generally means a “refiners”. A “smelter‐level” refiner is a company with one or more

facilities with the ability to convert tungsten containing ores (such as wolframite and scheelite), tungsten

concentrates, or tungsten bearing scrap (secondary material) into tungsten containing intermediates

such as Ammonium Para‐Tungstate (APT), Ammonium Meta‐Tungstate (AMT), ferrotungsten, and

tungsten oxides for direct sales or further processed into tungsten containing products (such as W

powder or W‐carbide powder).

TI‐CMC 关注冶炼厂性质企业会员。从钨的层面来讲，“冶炼厂性质”通常意味着一个“精炼

厂”。一个“冶炼厂性质”的精炼厂指的是一家公司具有一个或多个能够将钨矿石（例如黑钨矿

和白钨矿）、钨精矿或含钨废料（次生原料）转化成含有中间产品的钨，例如可用于直接出售或

再加工成含钨产品（例如钨粉末或钨炭粉末）的仲钨酸铵钨、偏钨酸铵、钨铁和钨氧化物。


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TI‐CMC invites any other company with a vested interest in the use of tungsten products or powders

downstream of the “smelter‐level” to become a Supporting Member, and as such, to acknowledge the

important role TI‐CMC is playing to encourage the conflict‐free supply of tungsten into the downstream

supply chain.

TI‐CMC 诚邀在冶炼厂下游钨产品或钨粉使用中有既得利益的公司成为支持会员，也通过此举证明

TI‐CMC 在鼓励下游供应链实现无争端钨供应过程中发挥了重要作用。

To be listed as a company that supports and adheres to TI‐CMC, the individual company must sign the TI‐

CMC letter of commitment (Exhibit 2), available at: [www.ti‐cmc.org], and submit it to the attention of

the TI‐CMC administrator. The letter should be printed on official company letterhead, if available, and

signed by the company’s President, Chief Executive Officer, or other official with the authority to sign on

behalf of the company.

要成为支持和坚持TI‐CMC的会员公司，公司必须签署TI‐CMC承诺书（附录2），可访问www.ti‐

cmc.org下载，提交给TI‐CMC管理员。承诺书应打印在公司正式信笺上，请公司总裁、首席执行官

或其他有权代表公司签署的负责官员签字。

By signing the letter of commitment, the company agrees to implement the TI‐CMC framework within its

organization.

公司签署承诺书，即表明其同意在企业内部实施TI‐CMC框架。

Together with the application form, the company will provide:

除申请表外，公司还应提供：

‐ A Commitment to Conflict Free Sourcing (Conflict‐Free Policy), which should be publically

available on the company’s web page.

无争端采购（无争端政策）的承诺，应公布在公司主页上。

‐ A copy of the Supplier Code of Conduct or statement in procurement documents relevant to

conflict‐free sourcing.

供应商守则副本或在采购文件中提供有关无争端采购的声明

‐ A General Outline of the Company’s policies and efforts to assure conflict‐free sourcing and their

implementation in day‐to‐day operations , including implementation of and commitment to TI‐

CMC. This should include an account of planned initiatives and forward looking changes of the

supply strategy with respect to conflict minerals (if any).

本公司的政策和举措，确保无争端采购以及这些政策在日常经营中的实施，包括钨业争端

矿物理事会的实施及其对该理事会的承诺。应包括一个报告，说明计划的举措以及有关争

端矿物的预计供应战略变化（如果有的话）。


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‐ In case the company sources from the ‘covered countries”, the results of an independent (3rd

party) audit confirming that the company’s sourcing policy complies with the OECD Due

Diligence Guidance for Responsible Supply Chains of Minerals from Conflict‐Affected and High‐

Risk Areas.

如果公司原料来自“争端国家”，您必须提供独立（第三方）的审核结果，确定公司的采

购政策符合经合组织有关争端及高风险地区的可信赖矿物供应链尽职调查指导方针。

The company submits annually a self‐assessment to the TI‐CMC administrator, providing an account of

its activities with respect to conflict‐free sourcing by only processing materials which are TI‐CMC

compliant as defined in the Guidelines.

公司每年向TI‐CMC管理者提交一份自我评估，提供一份该公司无争端采购活动的自述，即只加工

符合TI‐TMC规定的原料。

The company will also provide annually a self‐declaration reporting the origin of its raw materials, based

on RCOI, retroactively on an annual basis (with the first such statement due upon application), and with

RCOI to consider only supplies from the Covered Countries and Mozambique, South Africa and Kenya

after 31 January 2013 in the following classification:

公司每年还要提供一份报告其原料产地的自我声明，该声明为基于合理原产国调查进行的年度回

顾（第一份这类声明在申请日当天发布），合理原产国调查只考虑2013年1月31日以后来自争端国

家和莫桑比克、南非和肯尼亚的供货，包括以下几类：

[a] Only secondary raw materials (recycling of scrap)

只包括次生原料（循环利用废料）

[b] Supply (direct or through intermediates) includes mined ore from countries outside of the

Covered Countries and Mozambique, South Africa or Kenya.

原料供应（直接或通过中间商）包括来自争端外国家和莫桑比克、南非和肯尼亚以外国家

的矿石。

[c] Supply (direct or through intermediates) includes mined ore from countries outside of the

Covered Countries but including Mozambique, South Africa or Kenya.

原料供应来自（直接或通过中间商）争端外国家，但包括莫桑比亚、南非或肯尼亚。

[d] Supply (direct or through intermediates) includes mined ore including supplies from the Covered

Countries, but excluding the DRC.

原料供应（直接或通过中间商）包括来自争端国家但不包括来自刚果（金）的矿石。

[e] Supply (direct or through intermediates) includes mined ore from the DRC.

原料供应（直接或通过中间商）包括来自刚果（金）的矿石。


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Annual reporting of activities and the RCOI outcome shall be on basis of calendar years in order to match

the requirements of the SEC reporting schedule. A form to facilitate reporting (Exhibit 3) can be found on

the TI‐CMC website [www.ti‐cmc.org]. Forms are to be submitted at latest by 31 March of each year.

活动的年度报告和合理原产地调查结果应基于日历年，以符合美国证券交易委员会的报告进度要

求。可在TI‐CMC网站[www.ti‐cmc.org]上找到方便报告的表格（参见附录3）。提交表格的时间最晚

不超过每年的3月31日。

Corporate Members that change their sourcing policy with respect to the country of origin classes [a] to

[e] listed above are required to provide an updated RCOI statement within two weeks of that decision

and in any case before the first deliveries are received at the smelter site. Should a smelter start sourcing

from the “Covered Countries”, it is required to provide proof of OECD compliance within six months of

the first deliveries.

改变其在以上所列[a]‐ [e]级原产国有关采购政策的公司会员须在做出该决定的两周内提供合理原产

国调查结果更新，在任何情况下都应在冶炼厂站点收到首批原料前完成。如某个冶炼厂要开始从

“争端国家”采购，须在首次交付后六个月内提供OECD合规性证明。

The signed letters of commitment will be posted on the website and the company should also post the

letter on its company website if it has one.

签署的承诺书须在网站上公布，如果公司有网站的话也应在公司网站上公布。

In addition, the following information will be posted on the TI‐CMC web page: Company name, Non‐

Conflict Policy, membership category and issuance date of membership.

此外，在TI‐CMC网页上还会公布如下信息：公司名称、无争端政策、会员类别和会员资格起始日

期。

An annual fee of USD 2500 shall be payable by the company to the TI‐CMC administrator for the

purposes of administering the TI‐CMC program for each year that the company remains listed. A reduced

fee of USD 1500 will be levied from companies located in countries with more than 5 smelter‐level

companies.

会员公司每年必须向TI‐CMC管理者缴纳2500美元作为TI‐CMC项目管理会费，如果会员公司所属国

家有五个以上冶炼性质的公司，则每年可缴纳1500美元的会费。


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A company may request at any time to have its name removed from the TI‐CMC directory. The

administrator shall remove a company from the TI‐CMC company directory in the event that a company

fails to submit a report on progress as required by TI‐CMC or upon the failure to pay its annual dues. In

addition, the administrator may remove any company from the TI‐CMC directory in accordance with the

delisting procedures in the event a company disregards its commitment (e.g., the company is named or

sanctioned by a government authority due to its sourcing practices or activities).

公司可随时要求将其名字从TI‐CMC名录中删除。如果公司未能按TI‐CMC要求提交进展报告或缴纳

年费，管理员应将公司从TI‐CMC公司名录中删除。此外，如果公司无视自己的承诺，管理员可以

依据除名流程将任何公司从TI‐CMC名录中删除（例如，公司因采购做法或活动受到政府相关部门

的点名批评或处罚）。

“Unified Approach” – Validation by CFSP

“统一模式”– 经 CFSP 认证

In collaboration with the CFSI, TI‐CMC encourages its corporate members to undertake voluntary

independent validation in line with the Conflict Free Smelter Program (CFSP). This provides validation

that is widely‐recognized by the downstream industry.

TI‐CMC与CFSI合作，鼓励其会员公司按照无争端冶炼厂计划（CFSP）自愿采取独立的验证，这一模

式提供的验证深受下游行业的认可。

Together with its application for TI‐CMC membership, a company seeking category A membership must

commit to undertake a CFSP audit within 2 years of enrolling with TI‐CMC as determined by issuance of

TI‐CMC membership. Prior to the end of that initial 2 year interval, the company is expected to complete

and pass its CFSP compliance audit in cooperation with CFSI.

公司要获得A类会员资格，不仅需要提交TI‐CMC会员资格申请书，还必须承诺在登记成为TI‐CMC会

员的两年内进行一次CFSP审核，具体日期由会员资格起始日期决定。在最初的两年结束之前，该

公司预计要与CFSI合作一起完成并通过CFSP的合规性审核。

Upon issuance of its TI‐CMC membership as a as category A member, the company will be listed by the

CFSP as ‘‘TI‐CMC Category A member in‐progress toward CFSP validation” on the CFSI website and for

use in the CFSI Conflict Minerals Reporting Template and similar reporting tools, as long as the company

remains a TI‐CMC member, works towards CFSP compliance audit, and for a maximum of two years.

自被宣布为TI‐CMC的A类会员当日起，只要公司仍为TI‐CMC会员，并仍努力成为CFSP审核合格的公

司，公司就被CFSP列为“向CFSP认证迈进的TI‐CMC A类会员”公布在CFSI网站上，并可作为CFSI争

端矿物报告模板和类似的报告工具使用，最大有效期为两年。


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A company that fails to complete and pass the CFSP audit in the 2‐year time period or becomes

unresponsive and thus, is removed from the ‘‘TI‐CMC Category A member in‐progress toward CFSP

validation” listing of CFSI cannot be re‐listed as category A member before it has completed CFSP

auditing and been found CFSP compliant.

未能在两年内完成和通过CFSP审核或者不予回应的公司，将从“向CFSP认证迈进的TI‐CMC A类会

员”CFSI列表中除名，在其未完成CFSP审核并被证明符合CFSP规定之前不能重新被列为A类会员。

Once a TI‐CMC category A member company completes and passes its initial CFSP validation, their CSFP

compliant smelter status is valid for three years as long as the TI‐CMC membership remains active and

unless the company uses feed from the Covered Countries in its upstream supply chain, in which case

yearly CFSP re‐audits are required.

一旦TI‐CMC的A类会员公司完成并通过了最初的CFSP认证，只要这些TI‐CMC会员公司仍然活跃，他

们的CFSP合规冶炼身份有效期就为三年，如果该公司使用了争端国家上游供应链的给料，则需要

重新开展年度CFSP审核。

Timely interaction with the CFSI regarding the CFSP auditing is the responsibility of each individual

member.

每位会员均有责任就CFSP审核事宜及时与CFSI进行交流。

A Living Document

动态变化的文件

A working group comprised of representatives of tungsten companies, a CFSI representative, the TI‐CMC

program administrator and with advice of legal counsel will periodically review the development of the

supply streams and other industry matters relevant to the TI‐CMC, and update the framework whenever

deemed necessary. This may occur, for example, due to changes in legislation, regulations or the

situation in the DRC or other areas affected by conflict.

由全球领先的钨公司代表和TI‐CMC项目管理员组成的一个工作组接受法律顾问的意见，定期对供

应流和与TI‐CMC相关的其他行业事务的发展进行审查，并在必要时随时更新框架。例如，更新的

原因可能使法律法规或者刚果（金）或其他受争端影响地区的情况发生变化。

TI‐CMC is committed to ongoing cooperation with CFSI with respect to validation of the non‐conflict

status of its category A members through CFSP auditing.

TI‐CMC 致力于与 CFSI 展开持续合作，通过进行 CFSP 审核以验证协会 A 类成员的原料无争端情

况。

(issued April 2013, amended November 2013, and November 2014)

（2013 年 4 月发布，2013 年 11 月和 2014 年 11 月修订）


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Exhibit 1:

附录 1：

About Tungsten

钨的简介

Tungsten or Wolfram is the 74th element in the periodic table under the symbol W. The name tungsten

comes from Swedish tungsten meaning heavy stone and Wolfram originates from German volfrahm

meaning wolf’s froth. Tungsten has some unique properties making tungsten indispensable to a wide

range of products that require hardness, high density, high wear and high temperature resistance.

钨在化学元素周期表中排第74位，符号W。钨的英文名tungsten来自瑞典语tung sten，意为沉重的

石头，又名wolfram，源于德语wolf rahm，意为狼的泡沫。钨具备一些独特的性质，这使其成为一

系列需要高硬度、高密度、高耐磨性和耐高温产品不可或缺的组成元素。

Properties and Applications

特性及应用

Tungsten is extremely hard, very dense and next to carbon it has the highest melting point of all

elements (3422oC), the lowest coefficient of expansion the highest tensile strength and the lowest vapor

pressure. Tungsten finds its use in a wide range of products ranging from tools for the production of cars,

planes, trains and circuit boards, light bulbs, cell phones, dentist drills, darts, golf clubs to jewelry, huge

mining drills, power plants and nuclear reactors.

钨极其坚硬，相当致密，在所有元素中的熔点仅次于碳（钨的熔点为3422 oC)），膨胀系数最低，

拉伸强度最高，气态压力最低。钨的应用广泛，钨制成的工具可以生产汽车、飞机、火车和电路

板，钨还用于灯泡、手机、牙科钻头、飞镖和高尔夫球棒，还有珠宝、大型采矿钻头、发电厂和

核反应堆。

Primary Raw Materials – Tungsten Mining

初级原材料——钨矿

Tungsten occurs in nature as Wolframite; a very brittle, brown to black mineral (Fe,MnWO4) and

Scheelite a milky white mineral (CaWO4). China currently holds more than 60% of the worlds’ known

tungsten reserves. Other countries with significant known tungsten resources include Russia, Canada,

Kazakhstan and the US6. China is also responsible for the largest fraction of tungsten mine production

(~80%). Tungsten is currently also mined in Canada, Russia, Austria, Spain, Portugal, Peru, Vietnam,

Thailand, Columbia, Bolivia, Brazil and several countries in Africa including Rwanda, Uganda, Burundi and

the Democratic Republic of the Congo (DRC). Tungsten is mined from deposits containing 0.2%‐1.5%

6 US Geological Survey, Minerals Commodities Summary: Tungsten, January 2012 , available under http://minerals.usgs.gov/minerals/pubs/commodity/tungsten/mcs‐2012‐tungs.pdf 美国地质调查，物品概述矿产：钨，2012年月1 ，请访问： http://minerals.usgs.gov/minerals/pubs/commodity/tungsten/mcs‐2012‐tungs.pdf


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WO3. The tungsten is concentrated at the mine to an ore concentrate containing 30‐73% WO3 which is

then sold to tungsten refiners.

钨在自然界中的表现形式为黑钨矿（一种很脆的矿物，棕色到黑色不等——Fe,MnWO4）和白钨矿

（一种乳白色矿物——CaWO4）。中国目前拥有世界已知钨储量的60%以上。钨资源比较丰富的其

他国家包括俄罗斯、加拿大、哈萨克斯坦和美国。中国的钨矿产量也是世界最大的（约占80%）。

目前，加拿大、俄罗斯、奥地利、西班牙、葡萄牙、秘鲁、越南、泰国、哥伦比亚、玻利维亚、

巴西和包括卢旺达、乌干达、布隆迪和刚果（金）民主共和国在内的一些非洲国家也在开采钨。

钨矿含0.2% ‐ 1.5%的三氧化钨。钨矿在矿厂被浓缩提炼成精矿，含有30%‐73%的三氧化钨，这种精

矿随后被卖给钨精炼厂。

Tungsten Production

钨的生产

Wolframite and Scheelite cannot be readily melted into a pure tungsten metal as is the case for most

other metals but requires methods that are more sophisticated. Ammonium Paratungstate (APT), a

white powder produced by chemical processing of ore concentrate is the most important precursor for

the majority of tungsten products. Other primary products from ore concentrate include ferro‐tungsten

produced by high temperature fusion, which is a master alloy for the production of tungsten‐containing

steels. APT is used for making W oxides, W carbide and tungsten metal powders that all can be further

treated to making various parts and products.

黑钨矿和白钨矿无法直接熔融成纯的金属钨，大多数其他金属也都是这种情况，需要更复杂的工

艺对钨矿进一步加工。仲钨酸铵（APT）是对精矿进行化学处理产生的一种白色粉末，是绝大多数

钨产品最重要的先导物质。精矿生产的其他初级产品包括高温融合产生的钨铁，它是用于生产含

钨钢的母合金。APT用于生产钨的氧化物，钨的碳化物和钨的金属粉末，这些产品都可以进一步加

工，制成各种零部件和产品。


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Tungsten as a Conflict Mineral

钨是争端矿物

Statistics by ITIA and USGS demonstrate that mines in the “covered countries” as defined by the Security

and Exchange Commission supply only about 1% of the annual tungsten feed into the downstream

industry, and only a fraction of this might come from mines truly supporting conflict. Most of the

production from the “covered countries” is from artisanal and small scale mining operations. Significant

efforts to assure traceability of production from these mines have been undertaken by various

international, public and industry organisation. This has been highlighted by the semi‐annual OECD‐

ICGLR‐UN GoE multi‐stakeholder meetings.

ITIA和USGS的统计数据表明，SEC定义的“争端国家”给下游行业供应的钨只占到总供应量的1％左

右，其中只有一小部分可能来自于真正支持争端的矿区。“争端国家”大部分的钨产量来自个体

和小规模采矿作坊。众多国际组织、公众和行业组织为确保这些矿区生产的矿物具有可追溯性付

出了巨大努力。每半年举行一次的OECD‐ICGLR‐UN联合召开的GoE多方利益相关者会议已经强调了

这一点。

Because tungsten cannot be readily processed by melting or other simple processes, all tungsten leaves

the “covered countries” as concentrate. Thus, scrap and other secondary raw materials are Conflict Free

Tungsten sources.

由于钨不易通过熔化或其他简单工艺进行加工，这使得“争端国家”只能以浓缩精矿形式输出钨

原料。因此，废料和其他次生原料都属于无争端钨资源。

Wolframite often occurs together with Tin; one of the other Conflict Minerals whereas Scheelite is not

known to exist in the Conflict Region and scheelite can therefore be classified as a source of Conflict Free

Tungsten.

黑钨矿常与锡共存，锡也属于争端矿物，而冲突地区目前尚未发现白钨矿，因此白钨矿可以被归

类为无争端钨资源。


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Tungsten raw material in‐take and end‐use distribution in 2011 (scaled)

(based on statistics of USGS and ITIA)


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2011 年钨原料入量和最终用户分布（图形大小与产量成比例）

（基于ITIA和USGS的统计数据）


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Exhibit 2: Commitment Letter

附录 2：承诺书

[Company letter‐head]

[公司信头]

[Date]

[日期]

Tungsten Industry—Conflict Minerals Council c/o Refractory Metals Association Metal Powder Industries Federation 105 College Road East Princeton, NJ 08540‐6692

钨业争端矿物理事会

难熔金属协会

金属粉末工业联合会

新泽西州普林斯顿105 College Road East，08540‐6692

Dear Mr. Sedor: 亲爱的戴尔先生：

I am pleased to confirm that [name of company] supports the principles of the Tungsten Industry’s Conflict Mineral Commitment (TI‐CMC) and will adhere to the TI‐CMC framework.

我很高兴地确认[公司名称]支持钨业的争端矿物承诺（TI‐CMC）原则，并承诺遵照TI‐CMC框架。

With this communication, we express our commitment to advance the TI‐CMC principles and to implement the TI‐CMC supply management system to ensure that tungsten raw materials are sourced in a transparent manner, in accordance with law, and in line with the OCEDDue Diligence Guidance for Responsible Supply Chains of Minerals from Conflict‐Affected and High‐Risk Areas where applicable, and helping facilitating our clients fulfill their reporting obligations under SEC rules. We are committed to making TI‐CMC part of the tungsten sourcing strategy, culture and day‐to‐day operations of our company.

谨以此承诺书表明我司致力于推进TI‐CMC原则，实施TI‐CMC供应链管理系统，以确保以透明的方

式依法开展钨原材料的采购，并将严格遵照“经合组织有关争端及高风险地区的可信赖矿产供应

链尽职调查指导方针”，为我们的客户履行SEC规则的报告义务提供便利。我们致力于让TI‐CMC成

为我司钨采购战略、文化和日常运营的重要组成部分。


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We recognize that a key requirement for participation in TI‐CMC is the annual submission of a TI‐CMC progress report that describes our company’s efforts to implement the TI‐CMC framework. Annual reporting and self‐assessment shall be preferentially in line with the business year of the company, with reporting at latest three month after the end of the business year, and for the first time at latest 18 months after becoming member. At the same time, we will also report on the origin of our supply within the five categories as outlined in the TI‐CMC policy via a self‐declaration.

我们意识到，加入TI‐CMC的一个关键要求是每年提交TI‐CMC进展报告，介绍我司为实施TI‐CMC框

架所作的努力。年度报告和自我评估应当与公司的营业年度相一致，报告最晚于营业年度结束后

的三个月内提交，首次提交报告时间最晚不超过成为会员后的18个月内。同时，我们也将通过自

我声明按照TI‐ CMC政策中规定的五个类别就我们的原料来源做出报告。

We also commit to undergo CFSP compliance auditing within a period of 2 years from the start of our TI‐CMC membership, and thus become Category A member. We understand that it is our responsibility to establish contact with the CFSP program and to undertake all required steps in order to achieve CFSP compliance in a timely manner. I understand my company will be delisted as a TI‐CMC member company if I fail to execute all the requirements identified in accordance with the member category and the timelines specified within the TI‐CMC framework. [remove entire last paragraph if applying for Category B membership only]

我们还承诺在成为TI‐CMC会员后的两年内将接受CFSP合规审计，并由此成为A类会员。我们理解我

们有责任及时与CFSP项目建立联系并执行所有实现CFSP合规所需的必要流程。我理解如果我无法

执行TI‐CMC框架会员类别和时间表中所列出的全部要求，我的公司将被取消TI‐CMC会员资格。 Sincerely yours, [Signature] [Name Mr. /Ms. _____] [Title* CEO/Managing Director] * The letter must be signed by an official with authority to execute.

顺颂商祺

[签名]

[姓名 _____先生/女士]

[职务*首席执行官/总经理]

*信件必须由公司最高级别执行长官签字


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Exhibit 3: RCOI Annual Reporting Form

Tungsten Industry ‐ Conflict Mineral Council Annual Reporting Form MUST be submitted by 28 February each year Return to: [email protected]

附录 3：合理原产地调查年度报告表

钨业争端矿物理事会

年度报告表

最晚提交日期为每年 2 月 28 日返回：[email protected]

Member company / smelter location(s)

会员公司/冶炼厂地点

Note: if a company operates more than one smelter‐level facility, and the individual sites do not follow an identical sourcing policy, a clear distinction between the different smelter facilities has to be made in the following!

注：如果某个公司经营多个冶炼厂性质的工厂，个别站点不遵循统一采购政策，必须填写下表进

行区分！

Company name / location; smelter name(s), location(s)

公司名称/地点; 冶炼厂名称、地点


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Annual Self‐Assessment

In 20___ (fill in year), the following activities to assure ongoing compliance with conflict‐free sourcing

and the TI‐CMC guidance were undertaken.

年度自我评估

在20___（填写年份），开展了以下活动确保继续符合无争端采购政策并遵循了TI‐CMC指导。

Brief account of annual activities to maintain and strengthen the sourcing

practices with respect to conflict‐free supply.

概述维持和加强无争端矿产采购的年度活动。


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Results of the Reasonable Country of Origin Inquiries (RCOI), to be reported for each smelter‐level facility individually

合理原产地调查（RCOI）结果

每个冶炼厂性质的工厂需单独报告

YEAR: ________

Name/location(s) of smelter‐level facility—use a separate form for each location

年份：________

每个冶炼厂性质的工厂名称/地点，每个地点都单独填表

Results of the Reasonable Country of Origin Inquiry for the origin of its raw materials

(must specify at least one and all that apply)

原料合理原产地调查结果

（至少指定一个或涵盖所有）

Secondary Raw Materials (recycling of scrap)

次生原料（循

环利用废料）

Supply (such as concentrates or through intermediates) is derived from ore that …

供应（如精矿或通过中间产品）来源

did not originate from the Covered Countries [*], Mozambique, South Africa or Kenya.

非争端国家[*]，莫桑比

克、南非或肯尼亚。

originated from Mozambique, South Africa or Kenya

源于莫桑比克、南

非或肯尼亚。

originated from the Covered Countries [*] but not the DRC.

源于争端国家 [*]，但

不包括刚果（金）。

originated from the DRC.

源于刚果（金）

。

(R/S) (L1) Level 1

1级

(L2) Level 2

2级

(L3) Level 3

3级

(DRC)

刚果（金）

☐ ☐ ☐ ☐ ☐

[*] Covered Countries = Angola, Burundi, Central African Republic, Democratic Republic of Congo (DRC), Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda, and Zambia

[*] 争端国家=安哥拉、布隆迪、中非共和国、刚果（金）、刚果共和国、卢旺达、南苏丹、坦桑尼亚、乌干达和赞比亚。

This page MUST be completed for each smelter location

每个冶炼厂站点均须填写

Smelter Name / Location / Smelter ID Number–

冶炼厂名称/地点/冶炼厂 ID 号 –


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CFSP‐Compliance Audit

As a TI‐CMC category A member, you have committed to undertake a CFSP audit within 2 years of

enrolling with TI‐CMC. Your enrollment date can be found on the TI‐CMC website:

(http://www.ti‐cmc.org/memb_list.asp)

CFSP‐合规性审计

作为TI‐CMC A类会员，你已承诺在注册TI-CMC会员2年内进行CFSP审计。可在TI‐CMC的网站查找你

的注册日期：

（http://www.ti‐cmc.org/memb_list.asp）

Your due date is: _________________________

In 20____ (fill in year), which activities have you undertaken to reach this target?

你的到期日为：_________________________

在20____（填写年份），你进行了哪些活动达成这一目标？

Do you have completed CFSP Validation?

你是否已完成了 CFSP 认证？

☐ For all smelter‐level facilities.

对于所有冶炼厂性质的工厂。

☐ Only for the following smelter‐level facilities:

只针对以下冶炼厂性质的工厂：

Smelter Name / Location / Smelter ID Number–

冶炼厂名称/地点/冶炼厂 ID 号 ‐

Activities undertaken to reach CFSP compliance within two years of enrolling

with TI‐CMC.

注册 TI‐CMC 会员两年内，为符合 CFSP 开展的活动。


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If sourcing from the Covered Countries: Are the supplies OECD compliant? Check all that apply: 如从争端国家采购：

原料是否符合OECD标准？选中所有适用选项：

☐ We have completed CFSP validation for all smelter‐level facilities where the supply includes

material originating from the Covered Countries.

我们已完成所有冶炼厂性质工厂的CFSP认证，其中包括从争端国家采购的原料。

☐ We are members of iTSCi (ITRI Tin Supply Chain Initiative).

我们是iTSCi（ITRI锡供应链计划）的成员。

☐ We have commissioned an independent 3rd party audit – results are attached.

我们已委托独立的第三方审计 ‐ 结果附后。

☐

We have received the first shipment of material from the Covered Countries within the last

six months. We have aligned our management systems to the requirements of OECD

compliant sourcing and are cooperating with various organizations to demonstrate OECD

compliance. We will provide proof of compliance within six months of the first receipt of

these materials.

前六个月，我们已从争端国家收取了第一批原料。我们已根据OECD合规采购的要求调

整了我们的管理系统，正与各种机构合作证明OECD合规性。我们将在收到首批原料六

个月内提供合规证明。

Date / signed by / signature:

日期/签署方/签名：

Return form by March 31 to: Paul Sedor MPIF ‐ TI‐CMC 105 College Road East Princeton, NJ 08540 USA [email protected]

3 月 31 日前返回表格至：保罗 Sedor 美国新泽西州 08540

普林斯顿学院东路105 号 MPIF ‐ TI‐CMC [email protected]

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