关键矿产采购进入“可追溯”阶段：锂和镍买家应向上游索取哪些证据？
关键矿产的“可追溯”不是多收几张证书，而是能把矿山、加工、精炼、材料和最终产品之间的证据链连起来。
OECD于9月9日发布锂和镍供应链追溯报告。对90家关键矿产价值链企业的调查显示，接近四分之三计划增加追溯系统投资；超过60%的受访者把客户需求和品牌声誉列为主要驱动因素之一。同时，实施成本、系统不互通、保密和数据质量仍是主要障碍。
买家应该索取哪些证据？
| 层级 | 建议核查 |
|---|---|
| 直接供应商 | 企业主体、工厂、质量体系 |
| 材料加工 | 精炼/冶炼地点、批次记录 |
| 上游来源 | 矿区/生产区域、供应链关系 |
| 交易链路 | 采购单、发票、运输与交接记录 |
| 风险验证 | 审计、尽调、异常和整改记录 |
“有追溯系统”为什么还不够？
采购团队还要问三个问题：
第一，数据能不能对应到具体批次？ 如果所有文件只写公司层面的“负责采购”，却不能对应到这批镍或锂，就难以支持产品级判断。
第二，系统之间能不能对得上？ 供应商ERP、矿产追溯平台、审计报告和买家系统若使用不同ID，人工匹配本身就会成为风险。
第三，异常怎么处理？ 追溯的价值不在“从未出错”，而在出现来源变化、数据缺口或高风险供应商时能否迅速定位。
RFQ可以新增的字段
- Material origin / source region；
- Refining / processing location；
- Batch or lot identification；
- Traceability method；
- Audit or due-diligence evidence；
- Data update frequency；
- Change notification mechanism。
对电池采购意味着什么？
即使最终采购的是电芯、模组或整机，关键材料的来源透明度也会越来越影响法规、客户审核和供应安全。买家应优先在高价值、高风险或长期合同中建立材料映射，而不是一次性要求所有小供应商做到端到端数字追溯。
适用边界
不同矿产、国家和法规对追溯深度要求不同。本文提供采购管理框架，不等同于任何特定法规的合规结论。
FAQ
必须追到矿山吗？
不一定。追溯深度应与材料风险、法规和客户要求匹配。
区块链是不是唯一办法？
不是。供应链映射、批次记录、审计和质量数据同样可以构成有效证据。
最先从哪里开始？
先把关键材料、加工地点和直接上游建立成可更新的供应链地图。
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参考来源
Key takeaway
Critical mineral traceability is not about collecting a few more certificates. It is about connecting the evidence chain from mines and processing sites to refining, materials, and final products.
On September 9, the OECD released a report on traceability in lithium and nickel supply chains. A survey of 90 companies across the critical-minerals value chain found that nearly three quarters planned to increase investment in traceability systems. More than 60% of respondents identified customer demand and brand reputation as key drivers. At the same time, implementation cost, lack of system interoperability, confidentiality, and data quality remain major barriers.
What evidence should buyers request?
| Level | Recommended checks |
|---|---|
| Direct supplier | Legal entity, factory, and quality system |
| Material processing | Refining or smelting location and batch records |
| Upstream source | Mine or production region and supply-chain relationships |
| Transaction trail | Purchase orders, invoices, transport records, and handover records |
| Risk verification | Audits, due diligence, exceptions, and corrective-action records |
Why is having a traceability system not enough?
Procurement teams still need to ask three questions.
First, can the data be linked to a specific batch? If every document only describes responsible sourcing at the company level but cannot be linked to the nickel or lithium in the purchased batch, it cannot support a product-level decision.
Second, can different systems be reconciled? If the supplier ERP, mineral traceability platform, audit report, and buyer system use different identifiers, the manual matching process becomes a risk in itself.
Third, how are exceptions handled? The value of traceability is not that mistakes never occur. It is the ability to quickly locate a change in origin, a data gap, or a high-risk supplier.
Fields to add to an RFQ
- Material origin or source region
- Refining or processing location
- Batch or lot identification
- Traceability method
- Audit or due-diligence evidence
- Data update frequency
- Change notification mechanism
What does this mean for battery procurement?
Even when the final purchase is a cell, module, or finished machine, visibility into the source of critical materials will increasingly affect regulation, customer audits, and supply security. Buyers should first build material maps for high-value, high-risk, or long-term contracts instead of requiring every small supplier to implement end-to-end digital traceability immediately.
Scope and limits
Traceability depth varies by mineral, country, and regulation. This article provides a procurement-management framework and is not a compliance conclusion for any specific regulation.
FAQ
Must traceability reach the mine?
Not always. The required depth should match the material risk, applicable regulation, and customer requirements.
Is blockchain the only solution?
No. Supply-chain mapping, batch records, audits, and quality data can also form effective evidence.
Where should buyers start?
Start by building an updatable supply-chain map of critical materials, processing locations, and direct upstream sources.
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