Regulation (EU) 2023/1542 · Article 77 · Annex XIII
电池护照
Learning notes on what the EU battery passport actually asks for — where the data has to come from, who has to hand it up the chain, and what has to exist before the gate closes.
关于欧盟电池护照的学习笔记：真正要求什么、数据从哪里来、供应链上谁向上传递什么，以及在门槛关闭之前必须先建立起什么。
Regulation (EU) 2023/1542 — the Batteries Regulation — replaced the old Batteries Directive and, in Article 77 together with Annex XIII, created the battery passport: an electronic record attached to an individual battery, reached through a QR code on the battery itself, resolved by a unique identifier registered with the Commission.
It is not a certificate and not a PDF. It is a live data object: some fields are fixed at manufacture (chemistry, masses, carbon footprint, recycled content), some keep changing through life (state of health, ownership, repurposing events). The economic operator that places the battery on the EU market creates it, keeps it accurate, and keeps it reachable.
It is also the first Digital Product Passport to go live in EU law. The ESPR framework (Regulation (EU) 2024/1781) will use the same grammar for textiles, steel, electronics — so whatever is built for batteries becomes the template for everything after.
欧盟《电池与废电池法规》(EU) 2023/1542 取代了原电池指令，其第 77 条与附件 XIII 设立了"电池护照"：这是附着于每一颗具体电池的电子记录，通过电池上的二维码访问，并以在欧盟委员会登记册中登记的唯一标识符解析。它不是证书，也不是一份 PDF，而是一个动态数据对象：部分字段在制造时固定（化学体系、材料质量、碳足迹、再生成分），部分字段终身更新（健康状态 SoH、所有权、梯次利用事件）。由"将电池投放欧盟市场的经济经营者"负责建立、维护与保持可访问。它同时是欧盟第一个真正落地的数字产品护照（DPP）——ESPR 法规 (EU) 2024/1781 之后会以同样的语法覆盖其他产品。
Identify — unique identifier per battery, QR data carrier, registered in the EU registry.
Declare — Annex XIII fields: composition, carbon footprint, recycled content, due diligence, durability, dismantling.
Stay alive — updated over the battery's life, accessible to repairers, remanufacturers, second-life operators and recyclers until the battery is recycled.
三件事：识别（唯一标识符 + 二维码 + 登记册）、申报（附件 XIII 字段：成分、碳足迹、再生成分、尽职调查、耐久性、拆解信息）、持续存活（终身更新，向维修方、再制造方、梯次利用方与回收方开放，直至电池被回收）。
The obligation attaches to the battery, not to the finished device — but it is triggered the moment that battery is placed on the EU market, including when it arrives inside a vehicle or a product. So the question "is my phone in scope?" is really "what battery category is inside it, and who placed it on the market?"
义务附着在电池上，而不是整机上；但只要电池被投放欧盟市场（包括装在整车或整机里进来），义务即触发。所以"我的产品是否在范围内"实际上要问：里面是哪一类电池？是谁把它投放市场？
Traction batteries in M, N, O category vehicles. The passport travels with the pack — and must be linkable to the vehicle it went into.
整车动力电池。护照跟随电池包，并需与整车建立可追溯关联。
Grid and behind-the-meter storage, forklifts, telecom backup, marine, heavy machinery.
储能系统、叉车、通信备电、船舶、工程机械等，容量大于 2 kWh。
E-bikes, e-scooters, e-mopeds — light means of transport, regardless of energy.
电动自行车、电动滑板车、电动轻便摩托车等轻型交通工具电池，不设容量门槛。
Mobile phone, laptop/PC, power tool, appliance cells. Not in the passport scope — but still face labelling and QR information duties, CE and conformity, restricted substances, collection targets, and above all Article 11 removability & replaceability by the end user, which also bites from 18 Feb 2027.
手机、笔记本/PC、电动工具、家电电池属于便携式电池，不在护照范围内；但仍需满足标签与二维码信息、CE 与合格评定、限用物质、回收目标等要求，尤其是第 11 条"终端用户可拆卸、可更换"要求，同样自 2027 年 2 月 18 日适用。
The economic operator placing the battery on the EU market: the manufacturer, or the importer / authorised representative if the manufacturer sits outside the EU. For an EV, that is normally the vehicle manufacturer or its EU importer — which means a brand company can own a passport obligation for a battery it did not make. The cell and pack makers do not carry the legal duty in that construction; they carry the data that makes it possible.
义务主体是"把电池投放欧盟市场的经济经营者"：制造商，或制造商在欧盟境外时的进口商／授权代表。对电动汽车而言，通常是整车厂或其欧盟进口方——这意味着品牌方可能要为自己并未生产的电池承担护照义务。电芯厂、电池包厂在这种结构下不承担法定义务，但承担让义务得以履行的数据。
Several dates in this regulation are conditional — they apply on a fixed date or a set number of months after the relevant delegated / implementing act enters into force, whichever is later. Treat the ones marked watch as moving until you have read the adopted act.
本法规中有若干日期是条件式的：以固定日期与"授权/实施法案生效后 N 个月"两者中较晚者为准。标记为 watch 的项目，在正式法案发布前应视为可变。
法规生效，原电池指令 2006/66/EC 逐步废止。
法规总体开始适用：CE 标识、限用物质、安全、经济经营者义务。
电动汽车电池碳足迹声明（第 7 条）：名义日期 2025-02-18，但取决于计算规则授权法案，实际为该法案生效后 12 个月。需持续跟踪
供应链尽职调查（第 47–53 条）：原定 2025-08-18；2025 年欧委会"简化法案"提出延后。改动供应商审核计划前，务必确认最终通过的文本与日期。需核实
标签要求（附件 VI 第 A 部分）适用；登记册访问权限相关法案应到位。物理标识设计需更早冻结。
电池护照正式适用。范围内电池若无护照、唯一标识符与二维码载体，不得投放欧盟市场。第 11 条便携式与轻型交通工具电池的可拆卸／可更换要求同日适用。
可充电工业电池（>2 kWh）碳足迹声明；钴、铅、锂、镍再生成分申报（第 8 条）——同样取决于授权法案。需跟踪
再生成分最低比例开始生效（指示性：钴 16%、铅 85%、锂 6%、镍 6%），2036 年进一步提高。这是提前数年的采购决策，而非报表问题。
The data cannot be back-dated. A battery built in 2026 carries the evidence you captured in 2026 — or it carries a gap.
数据无法追溯补录。一颗 2026 年下线的电池，只能携带 2026 年当时采集到的证据——否则它携带的就是一个缺口。
Annex XIII splits the content by who is allowed to see it. That split is the single most useful thing to internalise, because it decides your data architecture: one dataset, three access tiers, one resolver.
附件 XIII 按"谁有权查看"划分内容。这一划分是最值得先想清楚的事，因为它决定了数据架构：一套数据、三级访问权限、一个解析服务。
Battery and manufacturer identity, place and date of manufacture, weight, category, chemistry; hazardous substances; critical raw materials; carbon footprint (total and per life-cycle stage, kg CO₂e/kWh, performance class, link to the study); recycled content shares (Co, Li, Ni, Pb — pre- and post-consumer); renewable content; rated capacity, expected lifetime, cycle life, temperature range, round-trip efficiency; a link to the published due diligence report.
电池与制造商标识、生产地点与日期、重量、类别、化学体系；有害物质；关键原材料；碳足迹（总量与各生命周期阶段、kg CO₂e/kWh、性能等级、研究报告链接）；再生成分比例（钴、锂、镍、铅，消费前／消费后）；可再生成分；额定容量、预期寿命、循环次数、温度范围、往返效率；尽职调查报告链接。
The evidence behind Part 1: technical documentation, test reports, conformity assessment records, verification statements. This is where your audit trail is inspected — and where "we have a number but not the record behind it" fails.
支撑第 1 部分的证据：技术文件、检测报告、合格评定记录、核验声明。这是审核追溯被检查的地方——"有数字但没有背后的记录"在此失效。
Detailed composition down to cell chemistry; part numbers and sources for spares; safe dismantling and disassembly instructions; and dynamic data — state of health, full-cycle count, negative events, temperature extremes, depth-of-discharge history.
细化至电芯化学体系的成分；备件料号与来源；安全拆卸与拆解说明；以及动态数据——健康状态 SoH、满充放循环次数、异常事件、极端温度、放电深度历史。
Static fields are a documentation problem. Dynamic fields are a product and connectivity problem: the BMS must expose them, someone must transport them, and the passport must keep accepting updates for years after the sale — including after the battery changes owner or is repurposed.
静态字段是文档问题；动态字段是产品与联网问题：BMS 必须输出、必须有传输通道、护照在售后多年仍需持续接收更新——包括电池易主或梯次利用之后。
A passport is the visible end of a compliance chain that starts two or three tiers upstream. The sequence below is the one most programmes end up building, in roughly this order.
护照只是合规链条露出水面的一端，链条起点在上游两三级。多数项目最终大致按以下顺序搭建。
Decide who places on the market. Per legal entity, per battery model, per EU market route. This decision assigns the passport obligation and must be written into contracts — not assumed.
确定"投放市场"的主体：按法律实体、按电池型号、按入欧路径逐一确认，并写入合同，不可默认。
Fix identity and carrier. Unique identifier scheme, QR content and resolver (GS1 Digital Link is the common choice), physical marking location, durability of the marking, and the fallback if a hosting system is retired.
固化标识与载体：唯一标识符编码方案、二维码内容与解析服务（常用 GS1 Digital Link）、物理标识位置与耐久性，以及托管系统停用时的兜底方案。
Map every Annex XIII field to a source system. PLM, MES, ERP, LCA tool, supplier portal, BMS telemetry. Every field gets one owner, one system of record, one update frequency.
把附件 XIII 每一个字段映射到源系统：PLM／MES／ERP／LCA 工具／供应商门户／BMS 遥测。每个字段一个责任人、一个记录系统、一个更新频率。
Collect and compute. Material masses from BOM; carbon footprint per the PEF-based delegated rules using plant-level primary data; recycled content by mass balance; due diligence records from the mineral chain.
采集与计算：从 BOM 取材料质量；按基于 PEF 的授权规则、使用工厂级一手数据计算碳足迹；以质量平衡法计算再生成分；从矿产链取得尽职调查记录。
Verify. Carbon footprint declaration and recycled content are verified through a notified body under the Annex VIII modules; the due diligence policy is third-party verified and the report published. Book notified-body capacity early — it is finite.
验证：碳足迹声明与再生成分依附件 VIII 模块经公告机构验证；尽职调查政策由第三方核验并公开报告。公告机构产能有限，需尽早预约。
Declare and mark. Technical documentation file, EU declaration of conformity, CE marking, then registration of the unique identifier in the Commission registry and the passport going live at the moment of placing on market.
申报与标识：技术文件、欧盟符合性声明、CE 标识；随后在欧委会登记册登记唯一标识符，并在投放市场当刻使护照生效可访问。
Keep it alive. Dynamic data pipeline for SoH and events; update duties when the battery is repaired, repurposed or remanufactured — at which point the responsibility can transfer to a different operator.
持续维护：SoH 与事件的动态数据管道；电池经维修、梯次利用或再制造后仍需更新，此时责任可能转移至其他经营者。
Close it. The passport ends when the battery is recycled — but recyclers need Part 3 access before that, so the access-rights model has to work for parties you have no contract with.
终止：电池被回收时护照终止；但回收方在此之前需要第 3 部分访问权——因此访问权模型必须对没有合同关系的第三方也成立。
Primary data provenance. For carbon footprint, plant electricity and process energy must be traceable to invoices, meters and contractual instruments — and the rules on what counts as supplier-specific electricity are strict.
Chain of custody model. Segregated, controlled blending or mass balance — declare which one, and be able to reconcile input tonnage to output claims for the same accounting period.
Version control. A model-level LCA applied to millions of serial numbers still has to be reproducible at a given date. Freeze, version, and record which passport used which version.
审核最常追问的三点：一手数据来源（工厂电力与工艺能耗需可追溯至发票、计量与购电合同工具，且"供应商特定电力"的认定规则严格）；监管链模型（隔离法／受控混合／质量平衡——须声明所采用的方法，并能在同一核算期内将投入吨位与产出声明对上）；版本控制（型号级 LCA 套用到数百万序列号，仍须在某一日期可复现——冻结、版本化，并记录每份护照使用了哪个版本）。
Read this downward as an obligation, and upward as a data flow. Each tier has one checkpoint that, if missed, cannot be repaired at the tier below it.
向下读是义务传递，向上读是数据回流。每一层都有一个检查点——一旦漏掉，下一层无法补救。
Checkpoint: is this entity the economic operator placing the battery on the EU market? If yes, it owns the passport — including for cells it never touched.
Product BOM link; battery serial ↔ VIN / product serial map; EU market release plan and volumes; contractual data clauses with the pack supplier.
Signed supply agreements with Annex XIII data annexes; EU declaration of conformity; registry entry for each unique identifier.
Live passport at the moment of handover; QR reachable and resolving; access-rights model published.
Checkpoint: serial genealogy from pack → module → cell, and a BMS that can actually export the dynamic fields.
Pack BOM and masses; module/cell genealogy from MES; SoH algorithm and parameter definitions; pack-level assembly energy; dismantling sequence and safety instructions.
MES traceability records; safety and abuse test reports; pack LCA report; disassembly documentation with torque/HV isolation steps.
Pack-level Annex XIII dataset + serial map + dynamic-data interface specification.
Checkpoint: plant-level primary energy data captured per production line, per period — this is the field that cannot be reconstructed later.
Cell BOM and material masses (Co, Li, Ni, Mn, graphite, Cu, Al); electricity and thermal energy per cell; supplier-specific power contracts; scrap and yield; cycle-life and durability test data.
Energy invoices and meter records; guarantees of origin / PPA documentation; PEF-compliant LCA model and dataset; IEC 62660 / UN 38.3 and safety test reports.
Verified cell carbon footprint (kg CO₂e/kWh), recycled content shares, durability parameters, hazardous substance declaration.
Checkpoint: what exactly does a supplier's "recycled content" claim mean — pre-consumer production scrap, or post-consumer recyclate?
Precursor composition; energy per tonne of CAM; recycled feed tonnage in and product tonnage out; declared origin of each metal unit.
Mass-balance ledger per accounting period; chain-of-custody certificates; supplier cradle-to-gate LCA / EPD; management-system certifications.
Cradle-to-gate dataset per material + recycled share substantiation that survives a notified-body review.
Checkpoint: a complete, named smelter and refiner list — the level at which mineral due diligence is actually auditable.
Refinery site list with country and capacity; feed origin declarations; site energy mix; volumes per period.
Third-party responsible-sourcing assessments; audit reports and corrective-action status; chain-of-custody certificates; grievance-mechanism records.
Verified refiner list + risk assessment feeding the published due diligence report and the passport's due diligence link.
Checkpoint: mine-level traceability and conflict-affected / high-risk area screening; for recyclate, a clean pre- vs post-consumer classification at the point of entry.
Mine site, country, mineral and volume; artisanal vs industrial source; black mass origin, feedstock type and recyclate mass.
Mine-level attestations and site assessments; transport and waste-transfer documentation; recycler mass-balance statements and recycling efficiency records.
Chain of custody that closes the loop into Annex XIII due diligence and recycled content fields — the deepest data the passport reaches.
Counted backwards from 18 February 2027. Owners are indicative internal functions — the point is that each item has one name against it, with defined data and evidence inputs.
以 2027-02-18 倒推。责任方为参考性内部职能——关键在于每一项都要落到唯一责任人，并明确其数据与证据输入。
范围与义务主体确认；按附件 XIII 逐字段做"已有／部分／缺失"差距评估，并定位每个缺失字段的现持有方。
确定标识与解析架构、数据模型与字段责任人；将附件 XIII 数据条款写入询价、定点与供货协议；对齐 LCA 方法学并立即启动工厂级一手数据采集。
选一个型号打通全链路试点；预约公告机构并完成预演验证；完成 T3–T5 供应商审核与尽职调查报告发布；对无法提供证据的供应商及早升级——换供应商比补报表耗时得多。
全型号、全工厂推广，量产二维码标识；完成唯一标识符登记、技术文件与符合性声明；动态数据管道上线并明确售后更新路径；演练市场监管问询——任一字段背后的证据能否在数日内调出。
Not a scare list — just the mechanics of how lateness actually shows up, in the order it usually does.
A battery in scope without a passport cannot lawfully be placed on the EU market. That is a shipment problem and a launch-date problem, enforced through market surveillance, withdrawal and national penalties.
范围内电池无护照即不得合法投放欧盟市场——这是发货与上市节点问题，通过市场监管、下架与成员国处罚执行。
OEMs push the requirement into sourcing gates long before the legal date. A supplier who cannot show a data path in 2025–26 quietly stops being quoted for 2027 programmes.
整车厂会远早于法定日期把该要求前置到定点门槛。在 2025–26 年拿不出数据路径的供应商，会悄悄退出 2027 项目的报价名单。
Plant energy, yields, mass-balance ledgers and mine-level attestations exist only if captured at the time. Late programmes end up with defensible processes and undocumented history — the worst combination in an audit.
工厂能耗、良率、质量平衡台账与矿端声明只有当时采集才存在。起步太晚的项目最终是"流程可辩护、历史无记录"——审核中最糟的组合。
These are the points where reading the text and doing the work disagree, or where the text is still moving. Keeping them as questions — with an owner and a date — is more useful than closing them early.
以下是"读法条"与"做实务"容易分歧、或法条本身仍在变动之处。把它们保留为问题（并指定责任人与期限），比过早下结论更有价值。
For an EV, the passport obligation sits with whoever places the battery on the market. In your actual structure — imported vehicle, EU-assembled vehicle, imported pack, service replacement pack — is that the same entity in all four cases?
整车、整包、售后替换包等不同入欧路径下，"投放市场者"是否始终是同一法律实体？
The passport is per individual battery, but several Annex XIII fields are inherently model-level (LCA results, durability). How do you version a model-level study against millions of serials, and what happens when the study is updated mid-production?
护照按颗，但部分字段本质是型号级（LCA、耐久性）。量产中途更新研究报告时，如何做版本管理与序列号对应？
Which conformity assessment module applies to which article — internal production control versus a module involving a notified body — and does your chosen body's designation actually cover that scope?
哪一条款适用哪一合格评定模块（内部生产控制 vs 需公告机构参与的模块）？所选公告机构的指定范围是否真正覆盖？
Has the postponement of the due diligence obligations been adopted in final, published text — and if so, does your supplier audit plan still front-load the deep tiers regardless, because the passport needs the same evidence anyway?
尽职调查义务的延期是否已正式通过并公布？即便延期，供应商审核是否仍应前置——因为护照本身需要同一批证据。
Is the carbon footprint delegated act in force, what is the resulting real application date, and does your LCA model match its final rules on electricity modelling, cut-off and allocation?
碳足迹授权法案是否已生效？实际适用日期为何？现有 LCA 模型在电力建模、截止规则与分配方法上是否与最终规则一致？
When a supplier declares recycled content, is it pre-consumer production scrap or post-consumer material — and does their mass-balance accounting period reconcile to the batches you actually received?
供应商申报的再生成分是消费前废料还是消费后材料？其质量平衡核算期能否与你实际收到的批次对上？
What exactly does the QR encode, who hosts the passport, and what is the answer if that hosting party ceases to exist while the battery is still in service?
二维码具体编码什么内容？护照由谁托管？若托管方在电池服役期内消失，兜底方案是什么？
Who updates state-of-health data after the vehicle is sold? What does the BMS actually expose, through which channel, and where is the boundary between required transparency and IP or personal data?
整车售出后由谁更新 SoH 数据？BMS 实际输出哪些量、经由什么通道？强制透明与知识产权／个人数据的边界在哪里？
Batteries manufactured in 2026 but placed on the market after 18 February 2027 — how much transition stock is that, and does it carry the full passport obligation?
2026 年生产、2027-02-18 之后才投放市场的库存有多少？是否需要完整履行护照义务？
On repurposing or remanufacturing, responsibility can move to another operator. How is passport ownership transferred — technically, contractually, and in the registry?
梯次利用／再制造后责任可能转移。护照的归属在技术、合同与登记册三个层面如何完成移交？
These notes are written from public information and general supply-chain understanding. No confidential or customer-specific data is used. Conditional dates, module assignments and the status of delegated acts change — always verify against the current consolidated text on EUR-Lex before acting on any item here. 本文基于公开信息与通用供应链认知整理，不含任何保密或客户特定信息。条件式日期、合格评定模块归属及授权法案状态会变化，行动前请以 EUR-Lex 上的现行合并版本为准。