The holder of a quantity of minerals that are mined. The Lot is initially constituted at the Mine Site. In local/national practice, the “Lot” can be named in different ways, as Bag, as Package, etc. However, the form of packaging is not relevant for the data model used for tracing, but intended for transport, processing, or sale.

In the CoC, the “lot” is redefined all the time when there is a transformation involving an aggregation or disaggregation. During all operations through the CoC, each Lot is “bagged, tagged and sealed”. When a lot is transformed, a new Lot emerges with its own Tag and has reference to the original Bags which were the input for the forming of the lot.

Cardinality	Technical term	Business term	Description	Semantic data type
1..1	lotNumber	Lot Number	Lot number given by the CoC actor from which the lot originates. It is not necessarily captured in a Tag.	Identifier
1..1	dateRegistration	Date of registration	Date when the registration was created	Date
1..1	timeRegistration	Time of registration	Time (hh:mm:ss) when the registration was created	Time
1..1	creator	Lot Creator	The business entity that created the lot. Equivalent to current custodian.	MD.04 Business Entity
1..1	mineral	Contained Mineral	Identifier of the mineral contained in the bag	MDC.03 Mineral
1..1	concentration	Percentual concentration	Approximate mineral concentration (grade), in percent	Decimal
1..1	mass	Lot weight	Weight of the Lot	Decimal
0..1	packageType	Type of packaging	Describes how the Lot is packaged (as bag, barrel, container, etc)	String
0..1	nrOfPackages	Number of packages	In case a lot is composed of more packages	Decimal
1..1	unitOfMeasurement	Unit of measurement	The unit of measure shall be chosen from the lists in UN/ECE Recommendation N°. 20	MDC.07 Unit of Measurement
Production — Information Requirements for Mine Site Operators for each Lot
0..1	mineSiteId	Mine Site	Identifier of the mine site where the ore was extracted. REQUIRED when operation is Production.	MD.01 Mine Site
1..n	creatorRole	Lot Creator Role	The role(s) of the entity in the CoC	MDC.05 CoC Roles
0..1	recipient	Lot Recipient	Customer or recipient details	MD.04 Business Entity
1..n	originatingOperation	Lot Creation Operation	The operation(s) that determined the creation of the Lot	MDC.06 Originating Operations
0..n	inputLot	Lots that form this lot	Collection of input lots	MD.12 Lot
0..1	tag	Associated tag	Associated tag. REQUIRED for Production	MD.11 Tag
0..n	taxPaid	Taxes paid	Taxes, fees, royalties	MD.13 Tax
0..1	dateSealed	Date sealed	The date when the lot is sealed	Date
0..1	dateShipped	Date shipped	The date when the lot is shipped	Date
Purchase — Information Requirements
0..1	purchaseNumber	Purchase number	Unique purchase order number	Identifier
0..1	purchaseDate	Purchase date	Date of purchase	Date
0..1	responsibleStaff	Responsible staff	Staff verifying origin	String
Processing — Information Requirements
0..1	dateIn	Date received	Date processor took possession	Date
0..1	transportationMethod	Transportation method	Method of transport	String
0..1	transportationRoute	Transportation route	Route used	String
0..1	transportCompany	Transport Company	Transport company	String
0..1	exportCertificateId	Export certificate ID	ICGLR Certificate number	MD.03 Export Certificate

Lot Rules #

Correspondence with RCM Appendix B #

The model proposes a normalisation of the definition of the Lot in the entire CoC. The correspondences with the RCM Appendix B specification are as follows:

1. Standard Information Requirements for Mine Site Operators for each Lot:

• 1.1. A unique mine operator lot number → lotNumber
• 1.2. Identification of the mine owner and operator → mineSiteId
• 1.3. Identification of the customer or recipient → recipient (BusinessEntity)
• 1.4. Description of material → mineral, concentration, mass
• 1.5. Taxes → taxPaid
• 1.6. Date sealed → dateSealed
• 1.7. Date shipped → dateShipped
• 1.8. Responsible staff → responsibleStaff

2. Additional Information Requirements for Designated Minerals Sourced from other Industrial Mines:

• 2.2. Purchase order number → purchaseNumber
• 2.3. Mine site → mineSiteId
• 2.4. Description → mineral, concentration, mass
• 2.5. Taxes → taxPaid
• 2.6. Purchase date → purchaseDate
• 2.7. Responsible staff → responsibleStaff

3. Additional Information Requirements for Mixed Lots:

• 3.2. Mixed Lot number → lotNumber
• 3.3. Description → mineral, concentration, mass
• 3.4. Purchase references → by reference
• 3.5. Responsible staff → responsibleStaff

Note: A mixed lot has only one identifier; original lots are referenced recursively.

4. Information Requirements for Mineral Processors:

• 4.1.1. Purchase number → purchaseNumber
• 4.1.2. Lot number → lotNumber
• 4.1.3. Mine site → mineSiteId
• 4.1.4. Description → mineral, concentration, mass
• 4.1.5. Taxes → taxPaid
• 4.1.6. Date received → dateIn
• 4.1.7. Transport method → transportationMethod
• 4.1.8. Route → transportationRoute
• 4.1.9. Responsible staff → responsibleStaff
• 4.2.1. Outgoing Lot number → lotNumber
• 4.2.2. Creator → creator
• 4.2.3. Recipient → recipient
• 4.2.4. Description → mineral, concentration, mass
• 4.2.5. Taxes → taxPaid
• 4.2.9. Date sealed → dateSealed
• 4.2.10. Date shipped → dateShipped
• 4.2.11. Transport company → transportCompany
• 4.2.13. Export certificate → exportCertificateId