Introduction
Since the establishment of the European Raw Material Initiative in 2008 and the publication of the first list of Critical Raw Materials (CRM or CRMs) in 2011 by the Ad hoc Working Group on defining CRM, numerous European projects have addressed segments of the value chain of these CRM, while other initiatives have contributed to organize (part of) the related community into clusters and associations. This has led to the production of important knowledge that has unfortunately been disseminated in many documents as part of “grey literature”.
2017 Critical raw materials list
Antimony | Baryte | Beryllium | Bismuth | Borate | Cobalt | Coking coal |
|---|---|---|---|---|---|---|
Fluorspar | Gallium | Germanium | Hafnium | Helium | Heavy Rare Earth Elements (HREE) | Indium |
Light Rare Earth Elements (LREE) | Magnesium | Natural graphite | Natural Rubber | Niobium | Platinum group metals (PGM) | Phosphate rock |
Phosphorus | Scandium | Silicon metal | Tantalum | Tungsten | Vanadium |
Main producers of CRM in the world (From the CRM ad hoc group report 2014)
The CRM, as defined by the EU, are selected according a methodology established by the Joint Research Centre.1 This methodology relies on the supply risk (based on trade, supply chain approach, import dependency, recycling and substitution ) and the economic importance (based on a detailed allocation of raw material applications corresponding to the EU’s statistical classification of economic or NACE sectors, and substitution index). All the data used for the assessment was and must be public, and commonly cover the previous four years. This criticality assessment is therefore a picture at a given time based on the past. It does not consider the potential primary or secondary resources available in Europe or the future trends in the demand for one or the other elements.
In order to have a better knowledge on each CRM value chain and to determine action to be taken to increase the EU independency in the supply of these CRM, it was deemed important to identify, collect, and gather the existing data on identified resources, value chains, and future trends. Where necessary and possible, data has been and will continue to be updated.
After 18 months of collaborative work (SCRREEN was launched in November 2016), the state of the art on the different CRM value chains has been established and SCRREEN is now working on identifying key innovation pathways on the most relevant CRM for the EU. This paper is therefore a collective work. The Network is an open structure in which new members can enter following the stakeholder analysis or the composition of the CRM list.
Objectives and Organisation of the SCRREEN Project
Structure and organisation of SCRREEN
The Expert Network is organized in six Expert Groups (EGs) covering all the expertise of the Network as outlined in Fig. 2. These Experts contribute through consultations, workshops, networking, and clustering activities with other related EU projects and initiatives. The broad coverage of the Experts allows a multi-stakeholder dialogue with potentially wide-ranging societal, economic, geopolitical, and environmental implications.
identifying primary and secondary resources, as well as substitutes of CRMs and their respective qualities available for Europe (mapping, assessing, quantifying) in an international context;
estimating the expected EU demand of various CRMs in the future, and identifying major trends;
providing policy and technology recommendations for actions to improve the production of primary/secondary CRMs and actions for their potential substitution in order to secure their supply and decrease the relative dependence upon their imports; and
allowing for possible changes in the CRM list by offering flexibility through value chain approaches and efficient solutions for integrating relevant stakeholders in the Network.
The fragmentation of the associated stakeholders into numerous associations, networks, infrastructures, each covering a part of the value chain, often with overlaps;
Despite the numerous initiatives, currently several CRMs and their value chains are poorly addressed in European R&D&I projects;
Knowledge is created from many sources, making it difficult to easily identify and access;
Continually changing factors affecting availability as well as the industrial and societal needs for raw materials impact which materials are classified as CRM for Europe;
Lack of continuity or availability of longer term investments to see a new technology through all the way to market, partly due to a disconnect between industry and policy; and
Lack of harmonization of regulations and standardization, particularly in WEEE and EoL product treatment.
As such, one of the prime objectives for SCRREEN is to provide structured information at a single, accessible place through a dedicated knowledge management portal based on the Raw Material Information System (RMIS) strategy. It is also expected that SCRREEN’s work will lead to detailed reports being publicly available.
A schematic view of the SCRREEN approach and methodology
reflecting on the major trends in the future demand;
establishing a state of the art of the CRM value chains including details of the resources, mining, processing, recycling , applications, and substitution based on existing knowledge;
identifying the gaps in technology and policy, analysing the innovation potential along the value chains, including primary and secondary sources as well as substitution ;
proposing improvement in the standardisation of WEEE (and other specific waste) treatment; and
organizing and optimizing the management of the knowledge, which is currently split amongst numerous sources, in relation with the European Union Raw Materials Knowledge Base objective.2
These actions support the definition of global objectives and strategies, and hold a potential for export of eco-innovative solutions and seizing new markets in accordance with the European Innovation Partnership on Raw Material (EIP-RM) objectives as described in its Strategic Implementation Plan (SIP).
State of the Art on Current CRM Value Chains
During the first 18 months of the SCRREEN initiative, the work consisted of identifying and/or collecting data on each CRM. SCRREEN’s first actions were to officially establish and organize the Expert Network, and coordinate the Network and the clustering with other EU projects in the field. These actions lead to the successful launch event during the Raw Materials Week in Brussels on November 7 2017. The main outputs of the collaborative work achieved are briefly outlined below, for which detailed reports can be found on SCRREEN’s website.
Current Uses of CRMs
Three different views on the application of CRMs in Europe were analyzed. The first stage included reviewing various European and international studies on the use of individual CRMs in industries and applications from an economy-wide perspective. This approach provided full coverage of the use of critical materials , including dissipative uses, with data that applies in almost all cases, specific to the EU. The downside with this approach however is that the detail in these studies is often limited to bulk economic sectors (e.g. ‘electronics’), while few cases link the data to the product level in which the CRMs are actually embedded (e.g. ‘plasma TV screens’). By combining the highest level of detail in the available data, a comprehensive synthesis table on the economy-wide use of CRMs was drafted.
This assessment increased the attention paid to product-level CRM content detail. The product content, in terms of grams CRM per product, is covered in many recent reports and ongoing European research projects. Product-oriented analysis allows for more practical policy-relevant conclusions for waste management and substitution strategies. However, the current focus on product groups seems to be limited to automobiles, consumer appliances, and energy technologies, while the review of economy-wide uses indicated a number of other important CRM applications such as in chemicals, glasses, and construction materials. Expanding the knowledge base on CRM content in products would be an important step in closing the gap between bottom-up and top-down views on the use of CRMs.
In today’s growing technology-enabled world, entire economies have an indirect dependence on CRMs. Further analysis has shown that manufacturing of machinery and equipment appears to be a very important category of CRM use and which also generates a high added-value. Other applications with both a high-CRM dependence and a high share in the European added-value are metals (particularly steel ), chemical applications, and glass production.
The issue of economic dependence was further explored by analyzing European trade flows for two CRM-related raw material groups: ‘other non-ferrous metals ’ and ‘precious metals ’. The results showed that Europe has a high import dependence on ‘other non-ferrous -metals’ (mainly from China). The situation is different for ‘precious metals ’ as domestic extraction provides enough supply to fulfil European demand with some export capacity.
This view on import dependence was further expanded by short case studies on the European flows of eight CRMs, attempting to disaggregate flows throughout the full supply chain. Though the reliability of the present data is limited due to various underlying assumptions, the illustrative exercise clearly indicated that for many CRMs, European import dependence is not only high for the raw materials, but also on the production and trade of semi-finished and finished products. It has also been determined that properly identifying these CRM dependencies throughout the full supply chain is a challenge that cannot be met with the reports and databases that are currently available. Expanding and linking existing Eurostat databases with the CRM Knowledge Data Platform currently being developed in SCRREEN and the JRC Raw Materials Information System (RMIS 2.0) is being considered as a logical step to accomplish such.
The different views on the current European CRM use serve as a starting point for the assessment of trends in CRM use, expected future CRM demands, and provide the focus of two further deliverables in the SCRREEN project. All the information is reported in report D2.1 [1] available on the SCRREEN website. This report constitutes a snapshot of the European situation, based on the most recent literature and the list of critical raw materials as published in the year 2014 since this work was done before the publication of the 2017 list.
Mapping of the Primary Resources
Europe has been a significant mining region in the past, with some commodities still being mined. However, the opening of new mines in the EU is presently rare. The mine production of CRM within the EU + Norway ranges from 3% (helium) to 40% (tungsten ) of the EU demand for these commodities. Refinery production is larger for commodities such as boron chemicals, cobalt , gallium, germanium , hafnium, indium and silicon metal, however the raw materials for such are largely produced outside the EU.
Occurrences and deposits of all non-biotic CRM are known in the EU28 countries, Norway, and Greenland. Although a number of these have been in production at some point, many are currently considered either mined out, uneconomical, or insufficiently explored to complete a feasibility study. New exploration activities are taking place in the countries that still have active mines (the Nordic countries, Ireland, Spain, Portugal, Greece, Germany and Eastern Europe) and the United Kingdom, in which tungsten production has recently re-started. However, finding and investigating potential ore deposits to the knowledge level required for mining decisions is a time- and investment-consuming process that can take decades. In addition to the financial and technical obstacles, the establishment of new mines is hindered by prolonged permitting procedures, increasing environmental activism, and significant community pushback in most EU countries.
Reliable resource data for most commodities is generally sparse and new data generated by exploration and mining companies is not collected in most EU member states, excluding the Nordic countries. SCRREEN’s findings in this area provides strong support for CRM exploration and extraction within the EU, with significant potential for such raw materials in potentially economic concentrations within the European bedrock. This work is reported in report D3.1 [2] available on the SCRREEN website.
Mapping of the Secondary Resources
Current knowledge of global primary and secondary CRM mining and industry resources is somewhat limited to data on resource estimates and production. Global production data is available along with national data for some countries, as well as for some producing companies. However, this data is usually only for a limited selection of CRM. Data on many minerals and metals produced in relatively small quantities is scarce or unavailable.
The SCRREEN Expert Network also found that open access trade data available from UN COMTRADE (global trade), EUROSTAT, and national statistical authorities are difficult to process and analyse. This data only allows for an assessment of the EU or national consumptions. Metal and mineral contents are hidden in manufactured or semi-manufactured goods, alloys, concentrates, waste, and scrap/EoL products, and as such are not individually identified and recorded in trade statistics .
It is necessary to assess real consumption needs of CRM within the EU, the potential of secondary resources, the need for substitution products and technologies which consider complex supply chains and the environmental and sustainability implications, including policies.
Data related to primary raw and mineral-based waste (mining and industrial) materials, including CRM, are only partially available in Europe. This limited data is often dispersed amongst a variety of institutions, including governmental agencies, universities, non-governmental organisations, and industries. In the case of the latter, now defunct or historical industries and mines have had documentation lost altogether. When available, the data are often stored in databases or analogue form using non-standardised architecture and vocabulary, making attempts of compilation difficult and time consuming. The aim of the INSPIRE Directive 2007, “Establishing an Infrastructure for Spatial Information in the European Community”, is to mitigate these concerns through measures that address exchange, sharing, access, and use of interoperable spatial data and services at both national and European levels. Implementation in the EU Member States has just started.
Despite increasing attention on CRM recycling in the political and legislative arenas, current recycling efficiencies are far from sufficient to fulfil the vision of a “circular economy ”,3 where extracted CRM sustainability are expected to be used as efficiently and economically as possible during manufacturing and throughout the entire life cycle. This is particularly valid for most of the critical metals as shown in the UNEP report on Recycling Rates of Metals (2011).
As long as the recycling efficiency for most of CRM is very low, primary sources and recycling of mineral-based waste will play the main role in CRM supply in the nearest future. SCRREEN’s expert findings on the mapping of secondary sources can be found in report D3.2 [3] available on the SCRREEN website.
Production Technologies
The relevant CRM production lines, from primary and secondary resources and the main industrial actors, have been listed worldwide. The SCRREEN Expert Network has analysed and recognized major flow sheets of mineral and metallurgical processing, and has identified the current main challenges related to CRM recovery techniques. The Networks findings can be found in reports D4.1 [4] and D4.2 [5] available on the SCRREEN website.
Substitution Profiles
Substitution in the context of raw material criticality generally refers to the ability to achieve essentially the same function in a product or service by means other than applying the usual raw material. In simple terms, the availability of suitable substitutes can be seen as a reasonable way to avoid particular products (and services requiring these products) from being delayed or even stopped from getting to market because of bottlenecks in raw material supply.
The Expert Network examined the substitution options available for selected critical raw materials in 20 substitutability profiles. While not in their entirety non-substitutable, a significant fraction of CRM demand is for applications where they play a key function not currently attainable by other means, or without being detrimental to competitiveness.
The Expert Networks findings in this area can be found in report D5.1 [6] available on the SCRREEN website.
Relevant Business and Policy Issues for Europe Pertinent to CRMs
While CRMs remain a very important input for European industry, SCRREEN has shown that a sustained, stable, and sustainable CRM supply for the industry is undermined by numerous factors. These include market and supply risks, trade barriers, price fluctuations/non-transparent price formation, inelastic supply of companion metal CRMs, illegal mining/trade, insufficient incentives/conditions to invest in EU mining projects, and low resource efficiency measures.
The concentration of production and reserves in a few countries presents a high risk of supply disruption to the EU due to potential export restrictions, especially considering the role of China, the dominant supplier of most CRMs and its private-public operations. This market scenario makes it difficult to create competing supply chains under free market conditions. While some companies (especially large ones) have deployed various strategies to reduce supply disruption risks, they remain vulnerable to potential new supply risks.
The EU trade policy is now advancing toward a “Trade for all” strategy which calls for the inclusion of a chapter on energy and raw materials on all new Free Trade Agreement negotiations. It is not however clear if CRMs will be given priority over other materials. EU Conflict Minerals regulations have also created higher expectations of due diligence to increase the transparency and fight against imports of CRM from non-responsible sources (e.g. tungsten , and tantalum if the 2017 CRM list is considered). However, doubts remain around the effectiveness of voluntary schemes as the regulation leaves room for downstream companies to import conflict mineral-derived products as the due diligence is voluntary. The Expert Networks findings can be found in the D7.1 [7] report available on the SCRREEN website.
Standards, Policies and Regulatory Frameworks in Europe Relevant to CRMs
The European Commission has asked EU Member States (MS) to establish and regularly update their national minerals policy (European Commission, 2011) with specific attention on CRM (European Commission, 2014, 2010; European Commission et al., 2017). It has been recommended that CRM policies equally consider primary and secondary minerals , integrating both types of minerals to facilitate domestic and foreign CRM companies doing business along the value chain.
While a majority of MSs have some form of mineral policy or strategy in place to manage the exploration, extraction , beneficiation, and trading of primary minerals , only a few MSs have policies or strategies focused on secondary raw materials. Although it has been eight years since the publication of the first CRM list in 2010, only a few MSs mention or include CRMs in the core focus of their policies. Furthermore, countries with a large CRM potential such as Italy, Poland, Portugal, or Spain do not have dedicated national policies or strategies focused on promoting and safeguarding the domestic extraction or recycling of such minerals .
The substitution of CRMs (and other minerals ) have also have not been seen as a priority in any of the mineral policies or strategies of MS. Only Germany and France, and to some extent the Netherlands and UK, have issued strategies covering CRM substitution .
In light of the above, it is strongly recommended that a paradigm shift occur to consider and include value chains in national minerals polices. In this sense, it is important to make a distinction between a ‘mining policy’ and a ‘minerals policy’. Minerals policy takes the mineral consumption approach into account, and strives for an integrated planning of the mineral resources available within a country´s territory (both primary and secondary). It seems that the MS currently have separate policies to address primary and secondary resources (if such policies exist at all). To satisfy the CRM demand of any MS economy, the CRM value chain needs fully considered.
As for regulatory frameworks, CRMs also do not appear as a priority or special focus in the national mining laws which regulate primary minerals . Considering secondary minerals , MSs are being led by EU legislation towards the inclusion of resource efficiency and recovery of minerals as a topic of increasing importance, including specific legislation on objects which contain potentially recoverable CRMs such as spent batteries , End-of-Life Vehicles (ELV), and WEEE . Yet, much progress is still required as CRMs also do not appear as a topic of special importance or focus in the national legislation.
There are few voluntary standards dedicated specifically to primary CRMs. These are international ISO standards. Other standards not dedicated to CRMs exist which may very well be helpful (e.g. terminology, sampling techniques, measurement and characterisation of CRM as trace elements in raw materials), and horizontal standards (e.g. environmental management, social responsibility). Likewise, few voluntary standards exist for secondary raw materials, and some are under development.
The findings of the Expert Network can be found in the D7.2 [8] report available on the SCRREEN website.
Conclusion, Perspective
The work performed by SCRREEN partners and expert network has collected information in a single place, and made it accessible through a dedicated knowledge management portal (http://scrreen.eu/eu-crm-knowledge-base/) based on the Raw Material Information System (RMIS) strategy. Detailed reports are publicly available on the SCRREEN website (www.scrreen.eu).
SCRREEN experts are now working at identifying the gaps/barriers in technology, substitution , and policy for the production or substitution of the CRM. In parallel, issues related with the standardisation of WEEE treatment are under consideration with recommendations expected toward the end of the project.
Acknowledgements
The SCRREEN Project has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement No 730227.
The authors warmly thank Ian London and Mike Johnson for their contribution to improving the quality of this manuscript.