可追溯性在关键矿产供应链中的作用（英）_78页_5mb

IEA/OECD Critical Minerals Traceability Report Summary

This report outlines the role of traceability in ensuring sustainable and responsible critical mineral supply chains, which are essential for the energy transition. Traceability systems enable tracking mineral origins, processing paths, and environmental, social, and governance (ESG) data, aiding policy implementation and due diligence. Key findings include:

1. Traceability Systems

   • Function as part of risk-based due diligence to address harms from mining, such as environmental damage, human rights issues, and governance risks.
   • Require suitable technical infrastructure (e.g., digital tracking, interoperability protocols) and standardized data collection.

2. Policies and Regulations

   • Emerging regulations, such as the EU Battery Regulation, promote recycled content and transparency, but face challenges with data verification and implementation gaps.
   • Countries vary in traceability requirements, with efforts such as China’s Rare Earth Management Regulation and Indonesia’s SIMBARA platform enhancing domestic oversight.

3. Supply Chain Components

   • Effective systems involve technical infrastructure (e.g., blockchain, RFID tagging), data standardization (e.g., UN Transparency Protocol), supply chain collaboration, and governance mechanisms.
   • Challenges include high costs for small actors, ESG data reliability issues, and difficulties blending materials (e.g., in cobalt or graphite supply chains).

4. Roadmap for Policymakers

   • Step 1: Define policy objectives (e.g., sustainability, ESG compliance) and understand supply chain contexts.
   • Step 2: Choose focus products based on national roles (mineral production vs. import).
   • Step 3: Determine information to collect (origin, path, custody, physical evolution).
   • Step 4: Identify operators to involve (e.g., miners, smelters, downstream users).
   • Step 5: Promote interoperability through protocols allowing flexible data-sharing tools.
   • Step 6: Establish trust mechanisms with verifiable credentials and oversight.
   • Step 7: Use incentives like funding or tax credits to encourage adoption.
   • Step 8: Engage with foreign stakeholders to ensure cross-border collaboration.

简要内容说明

1. 定义：

   • 可追溯性：追踪矿物的来源、路径和所有权，可用于证明行为的可持续性，但不等同于尽职调查（D&C）。

2. 动态：

   • 越来越多国家出台法规推动矿产溯源系统，而中国、印尼和瑞士等国家正在开发自己的标准和平台。

3. 技术：

   • 如区块链和RFID都被提出来用于追溯，但实际应用仍面临数据分析等问题。

4. 挑战：

   • 类别：
     • 小企业负担不起复杂系统；
     • 数据不透明、质量差；
     • 区块链等技术导致隐私和数据本地化问题 (尤其在中国)。

如需更详细信息，请参考原始报告。