Supplier data collection

Supplier data collection is the planned process of asking each supplier for specified evidence, checking what arrives, recording what is missing, and retaining the result in a form that can be audited. A general request for information does not produce comparable evidence, because each supplier will answer a different question. The collection plan must name the evidence requested, the period covered, the format, the deadline, and the person or function responsible for follow up. The record must show the request, the response, the check applied, and the gap that remains. That sequence is what turns supplier contact into due diligence evidence.

Supplier data collection means the systematic gathering of documents, declarations, test results, and traceability records from suppliers in the chain. The scope covers direct suppliers and, through them, upstream actors, for the covered raw materials in a specified battery model.

What is the legal frame for this record?

Supplier data collection sits inside that sequence, so a record that shows only one step leaves the chain of reasoning incomplete. A procurement lead collecting refiner data through a cell supplier therefore needs a file that shows the policy, the owner of the policy, the date of adoption, and the review cycle. A request to a cathode supplier should ask for the refiner identity, the material quantity, the period, and the chain of custody document, with a single deadline and a named contact for queries.

How is the chain mapped?

The map should name each tier that handles supplier data collection, record the function of each actor, and note where material changes form, such as refining, precursor production, cathode production, cell production, and pack assembly. The request log, supplier responses, and check notes should be tied to a named tier, a named site where that information is known, and a date. A procurement lead collecting refiner data through a cell supplier should record gaps on the map itself, with the reason for each gap and the next step planned. A supplier response that arrives without a period, a quantity, or a site name cannot be matched to a battery model, and the check note should record that limitation at receipt rather than at audit.

How is evidence judged?

A supplier statement, a contract clause, a third party audit summary, a mass balance record, and a chain of custody document do not carry equal weight, and the record should say which type supports each claim about supplier data collection. The request log, supplier responses, and check notes needs a source name, a collection date, a coverage period, and a statement of what was actually checked. A procurement lead collecting refiner data through a cell supplier should separate facts received from conclusions drawn, so a later reviewer can test the conclusion. A request to a cathode supplier should ask for the refiner identity, the material quantity, the period, and the chain of custody document, with a single deadline and a named contact for queries.

How is risk identified and assessed?

A red flag can be a place of origin, a processing route, a supplier practice, a change of ownership, or a gap in records for supplier data collection. A supplier response that arrives without a period, a quantity, or a site name cannot be matched to a battery model, and the check note should record that limitation at receipt rather than at audit. A procurement lead collecting refiner data through a cell supplier should date each assessment and name the person or function responsible for the next review.

How is mitigation planned and followed up?

For supplier data collection, the plan should state the risk addressed, the action chosen, the supplier or site involved, the support offered, and the evidence that will show whether the action worked. The request log, supplier responses, and check notes collected after the action should be compared with the position before the action, using the same measure where possible. A request to a cathode supplier should ask for the refiner identity, the material quantity, the period, and the chain of custody document, with a single deadline and a named contact for queries.

How is reporting checked?

The due diligence report should summarise the policy, the management system, the risks found, the actions taken, and the verification arranged for supplier data collection, without disclosing confidential commercial detail that the Regulation does not require to be published. A procurement lead collecting refiner data through a cell supplier should check that every public claim can be traced to an internal record, and that the report date, coverage period, and scope match the internal file. A supplier response that arrives without a period, a quantity, or a site name cannot be matched to a battery model, and the check note should record that limitation at receipt rather than at audit.

What does a good collection cycle look like over one year?

A good cycle starts with a request calendar that names each supplier, the evidence requested, and the deadline, aligned to the battery models in production. Responses are logged on receipt, checked for period, quantity, and site, and queried within a stated number of working days where a check fails. Mid year, the log is reviewed for overdue requests, and escalation follows a written route, from reminder to purchase condition to sourcing review. At year end, the collection record is reconciled with the map and the risk register, so a supplier that supplied material but supplied no evidence is visible as a gap, not hidden by a general statement that data was collected.

Collection ends only when the log shows a closed request or an open gap with an owner, and an unlogged request cannot be shown to have happened.