1 Supporting Information for: 2 Rethinking China’s Strategic Mineral Policy on Indium: 3 Implication for the Flat Screens and Photovoltaic Industries 4 Huabo Duan1, Jiayuan Wang1, Lili Liu2, Qifei Huang3, and Jinhui Li2* 5 1 College of Civil Engineering, Shenzhen University, Shenzhen 518060, China. 6 2 7 Tsinghua University, Beijing 100084, China. E-mail: jinhui@tsinghua.edu.cn; Tel: +8610-62794143 8 State Key Joint Laboratory of Environment Simulation and Pollution Control, School of Environment, 3 State Key Laboratory of Environmental Criteria and Risk Assessment, Chinese Research Academy of 9 10 Environmental Sciences, Beijing 100012, China 1. Production, Trade, Consumption and EoL Production Generation 11 The quantification of indium’s overall lifecyc flows inlcudes four phases: (1) 12 production flows; (2) trade flows ; (3) consumption flows, and; (4) end of life flows. A 13 simpified flow chart and system boundary description can be found in figure S1. The 14 approaches for the first three steps are mainly data collection and processing. Consumption Indium use Domestic Market Supply Semi-products or Components Flat panel products Primary Indium Indium production Finished product assembly CIGS module Secondary Indium Domestic consumption Other uses Manufacturing Loss 17 Collection Export dominated EoL products (Generation): Collected for processing Reserve Supply Chain 15 16 Reuse or Storage Processing for recovery Export Import Export/Import Kept balance Recovery loss Export/import Neglected Foreign market share Figure S1. Flows of Indium metal and system boundary consideration 18 The Sales Obsolescence Mode (SOM) approach, which is developed in our previous 19 work, is used to calculate generation quantities of end-of-life (EoL) electronics (Flat screen 1 1 products) [1]. A flowchart of the life cycle of electronics is shown in Figure S2 as a guide 2 for key definitions in this study. The term “generation” refers to products coming directly 3 out of use (retired) or post-use storage destined for collection or disposal. Thus, “generation” 4 is consistent with the term “ready for EOL management”. One generation pathway for items 5 is disposal (F), including landfills and incinerators. Another generation pathway already 6 mentioned is collection for processing in a working (H) or an obsolete (G) state. 7 assumption is made that after two terms of use, items are obsolete. The waste processor, 8 having collected the EoL electronics whole unit, opts either to prepare it for reuse by a new 9 user in China (C), recover parts and materials from the item (I) and transfers them to 10 downstream vendors (some of which may be in foreign countries), or export the EoL 11 product as a whole unit (J). The focus of this study is on EoL electronics that are whole 12 units. “Whole Units” refers to intact monitors, TVs, mobile phones, etc. that may or may 13 not have been refurbished. Thus, this excludes disassembled products that may be exported 14 as several different commodity material or product streams. An 15 16 Figure S2. Life cycle flow chart of electronic products[1] 17 Unlike previous studies, this study includes uncertainty in input quantities and then 18 propagates that uncertainty into outputs using Monte Carlo simulations. Generation 19 quantities are modeled and then combined for the various products types. This is done 20 because these types have different consumption, use, and end of use disposition habits. The 21 basic approach for quantifying generation and collection includes the following steps: 22 (1) Determine the sales of a product in a China over a time period. 23 (2) Determine the typical distribution of lifespan for the product over a time period 24 25 using survey-based data (but from literature). (3) Determine the annual markets shares for each type of electronic in terms of sizes 2 1 distribution, such as screen inches of monitor and TVs. 2 (4) Determine the content of Indium in flat panel screens. 3 (5) Calculate how many flat panel products (units) are predicted to be generated in a 4 given year using the sales and lifespan information; calculate the total screen size 5 (cm2) of generated waste by multiplying unit size by the quantities; and calculate 6 the weight of generated waste by multiplying metals content (mg/cm2) by the 7 quantities. 8 These generation calculation steps roughly comprise a SOM (alternatively known as 9 market supply method). Studies cover different products, time periods, geographical 10 regions, and vary in complexity 11 1.1 Production and trade data (domestic market supply) collection and 12 processing 13 1.1.1 Production and trade data of Flat screen products 14 Several sources offer annual production volume, export and import data as shown in 15 Table S1, including ‘Yearbook of China Information Industry’ (Ministry of Industry and 16 Information Technology) [2], ‘Yearbook of China Statistics’ (National Bureau of Statistics 17 of China) [3]. Domestic supply here refer to manufacturer shipments into the domestic 18 channel (Equation 1: Domestic Supply (Sales) (S)= Production Volume (P) – Export (E)+ 19 Import (I) ), see Table S2. The domestic supply data in surrounding years (from 2013 to 20 2015) with projection were allowed to vary uniformly one standard deviation from the mean 21 (uniform distribution), by given an approximate 10% of Correlation of Variances (COV). 22 Equation 1: Supply data calculation ππ¦ = ππ¦ − πΈπ¦ + πΌπ¦ 23 24 Prediction model: an association between the domestic supply of electronics and the 25 corresponding variables (only time series parameter is considered in this study) is to be 26 expected. Based on this assumption, the Pearson product moment correlation coefficient 27 was initially applied to find the coefficient of determination (π 2) between the independent 28 variables. Subsequently, to test the hypothesis of independence between the selected 29 explanatory variables, the Student t test was applied on the π 2 coefficient of the variable. 30 Because the analysis included one variable, and the variable displayed a linear distribution, 31 a multiple linear regression analysis was applied to determine the probable shape of the 32 relation between variable and to estimate the sales quantity of electronics, which 33 corresponds to the values of the analyzed variable. From this, it may be ascertained that the 34 generation of sales may be explained by a multiple linear equation having the form of 35 Equation 2 (Prediction model). 3 π = π½0 + π½1 π + π½2 π 2 … + π 1 2 Where Y is the dependent variable; π½0 is the intercept; π is the independent variable; 3 π½1 , π½2 are regression parameters; and ε is residuals. The data projection can be found in 4 Table S3. 5 Table S1 Production volume (In China) Year 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 6 LCD TVs PDP TVs Laptop 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 0 0 7 1 1 8 1 1 79 283 3 1,492 1,636 Year LCD monitor 5,146 21,731 77,270 130,760 107,020 134,790 112,510 127,840 106,570 119,040 111,578 LCD TVs 165 202 808 4,530 9,950 17,579 29,425 67,653 89,375 104,010 114,183 PDP TVs 18 112 194 770 680 1,089 3,509 1,911 2,141 3,121 2,139 LCD TVs 101 202 808 2,354 5,024 9,948 18,161 50,072 61,174 71,684 68,358 PDP TVs 11 95 96 535 42 533 2,249 1,297 1,649 2,634 1,944 Laptop 1,170 12,870 27,500 45,650 59,120 86,710 108,590 150,090 185,840 238,974 252,890 Table S2 Domestic Supply Data (In China) Year 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 7 LCD monitor LCD monitor LCD TVs 1 679 745 PDP TVs Laptop Year 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 0 0 2 0 0 2 0 0 17 62 LCD monitor 2,343 8,289 64,071 60,686 54,445 34,411 38,621 49,724 59,355 58,942 70,213 Laptop 255 1,649 3,035 12,636 11,661 14,624 10,395 40,169 48,981 70,754 45,714 Table S3 Domestic Supply Data (In China) (Projection, mean values) Year 2013 2014 2015 2016 2017 2018 LCD monitor 53,141 54,913 56,394 57,531 58,328 58,845 LCD TVs 75,246 84,033 92,820 101,606 110,393 119,180 PDP TVs 1,428 1,235 1,035 888 795 743 4 Laptop 66,773 76,504 86,596 96,989 107,622 118,436 Mobile phone 300,501 333,400 375,495 420,098 467,210 516,829 2019 2020 59,158 59,335 127,967 136,753 716 703 129,372 140,369 568,957 623,593 100% Zhejiang Shannxi 80% Qinghai Guangdong 60% Liaoning Henan Jiangsu 40% Guangxi Yunnan 20% Hunan 0% 2010 1 2 2011 2012 2013e 2014e 2015e Million units Figure S3. Geographical distribution of indium production in China [4] 4.0 3.5 3.0 Export Import Outputs 2.5 2.0 1.5 1.0 0.5 0.0 3 4 5 2005 2006 2007 2008 2009 2010 2011 2012 Year Figure S4. Export and import of LCD screens (as a component of display panel) 1.1.2 PV CIGS thin film modules 6 Based on GBI Research estimates and projection, from a mere 14 MW production in 7 2001, the market has grown to reach 2141 MW in 2009, at a Compound Average Growth 8 Rate (CAGR) of 58%. The market outlook for the coming decade appears promising as the 9 major thin film producing countries - Japan, China, and the US - are announcing aggressive 10 support for renewable energy expansion through incentives and regulations. In the 5 1 retrospect, the thin film module production is projected to grow at the rate of 24% from 2 2009 to reach 22,214 MW of production by 2020 (Table S4). 3 4 Table S4 Global and China CIGS thin film modules production and projection Year Global Thin Film Market shares Global CIGS China Production of CIGS Production Production* (GM) (%) (GM) (GM) 2005 0.15 13.0% 0.02 0.01 2006 0.3 15.4% 0.05 0.02 2007 0.5 17.8% 0.09 0.04 2008 1.1 20.2% 0.22 0.11 2009 2.25 22.6% 0.51 0.25 2010 2.4 25.0% 0.60 0.30 2011 2.8 27.4% 0.77 0.38 2012 3.75 29.8% 1.12 0.56 2013 5.1 32.2% 1.64 0.82 2014 6.1 34.6% 2.11 1.06 2015 7.1 37.0% 2.63 1.31 2016 8.65 37.6% 3.25 1.63 2017 10.6 38.2% 4.05 2.02 2018 13.1 38.8% 5.08 2.54 2019 17.2 39.4% 6.78 3.39 2020 22.1 40.0% 8.84 4.42 5 *, It is estimated the CIGS thin film modules production volume in China accounts for 50% of the 6 global market (conservative estimates): in the years between 2007 and 2010, China PV 7 manufacturing outputs account for 27%, 33%, 38% and 48% of Global total outputs respectively, 8 and the market shares kept increasing [5]. 9 1.2 Determine the distribution of lifespan for the product over a time period 10 This method for determining typical distributions of lifespans for the product is a 11 refinement of the model developed by Matthews et al. which accounts for two use stages 12 (initial and reused), and accounts for different fates after each stage [6]. 13 The primary difference is the incorporation of a distribution of lifespan lengths and 14 path probabilities so that both data quality uncertainty and variation are considered. The 15 steps are as follows: 16 i. Combine literature and industry estimates for the distribution of lengths of each 6 1 lifespan stage(s) (eg., B. Initial Use, E. Reuse Storage) in Figure S5 (repeated 2 above for convenience) to arrive at a mean estimate with uncertainty for each 3 lifespan stage. 4 5 ii. Define pathways to generation (Figure S6) involving combinations of lifespan stages related to Figure S2. 6 This method is somewhat of an underestimate, because we do not estimate the second 7 round of generation of products that underwent formal domestic reuse. A full model 8 inclusive of the second round of generation is presented in Figure S6; initial sensitivity 9 analyses suggest that the result is not very sensitive to the exclusion of the second round of 10 generation. 11 12 Figure S5. Probability tree diagram of informal paths leading to generation. Letters and colors 13 refer to lifespan stages in Figure S2. The probabilities of a path to a lifespan stage are 14 represented by P ( lifespan stage), or its complement P(lifespan stage’). Some probabilities are 15 conditional on previous pathways, P (lifespan stage| previous lifespan stage) [1] 16 7 1 2 3 Figure S6. Probability tree diagram of informal and formal paths leading to generation [1] iii. Combine the lengths of the lifespan stages to calculate the lengths of each 4 pathway to generation and estimate the probability of each pathway to generation. 5 In Table S5 below, the equations for determining the mean path length and mean path 6 probability are found for each of the six pathways to generation. 7 Table S5: Equations used to calculate mean path length and mean path probability 8 9 10 11 12 Six Paths (π) Mean Path Length ππ Mean Path Probability π·(π) Path B, D, C, E ππ΅ + ππΆ + ππ· + ππΈ 1*P(D)*P(C|D)*P(E) Path B, D, C, E’ ππ΅ + ππΆ + ππ· 1*P(D)*P(C|D)*P(E’) Path B, D, C’ ππ΅ + ππ· 1*P(D)*P(C’|D) Path B, D’, C, E ππ΅ + ππΆ + ππΈ 1*P(D’)*P(C|D’)*P(E) Path B, D’, C, E’ ππ΅ + ππΆ 1*P(D’)*P(C|D’)*P(E’) Path B, D’, C’ ππ΅ 1*P(D’)*P(C’|D’) iv. Determine the overall mean lifespan by aggregating the paths to generation probabilistically. Estimate the variance of the lifespan distribution from literature. The generation model only incorporates a single mean path length, and so in Equation 2, the overall weighted mean of lifespan for all six paths π is presented. 8 1 2 Equation 2: Overall weighted mean of lifespan for all six paths π 6 πππ£πππππ = ∑ π(π) ∗ ππ 3 π=1 4 1.3 Market shares by product sizes 5 In terms of the statistics data released by ZDC [7], the market shares (historical data, 6 most from 2004 to 2013) divided by ‘sizes’ can be available. The market shares data are all 7 shown in Figure S7. The typical size of a panel in mobile phone is set as 1.3 to 2.9 inch [8], 8 with a uniform distribution assumption in this study. LCD Monitors (By screen size) 60% 40% 20% 0% Other >55 55 52 47 46 42 40 37 32 <30 100% 80% Market Sahres (%) 80% Market Sahres (%) LCD TVs (By screen size) Other 27 24 23 22 21 20 19 17 15 <15 100% 60% 40% 20% 0% PDP TVs (By screen size) Laptop(By screen size) 100% 100% Other Other 80% 65 Market Sahres (%) Market Sahres (%) 80% 60 60% 55 50 40% 46 42 20% 60% 20% 11 12 13.3 12.5 10 &11.6 0% 10 15.6 14 40% 32 9 16&17.3 0% Figure S7. Market shares of monitors, laptops and TVs 1.4 Content of indium and its consumption (use) estimates Tables S6 and S7 show the content of indium in flat screen products and PV CIGS solar cell respectively. 9 1 2 3 Table S6 Indium content in flat screens Sources mg In/m2 Sources mg In/m2 Martin 2009 Becker, Simon-Hettich et al. 2003 Becker, Simon-Hettich et al. 2003 Bogdanski, 2009 Bogdanski, 2009 546 Böni et al., 2012 234 150 Takahashi et al., 2009 4408 187 Wang, 2009 408 50 IUTA & FEM, 2011 696 150 Götze & Rotter, 2012 780 4 *, This table is an updated version of Böni and Widmer’ s work [9] (not only cited the previous work, 5 including their own), which inlcudes the work by Gotze, R.; Rotter (2012) [10] and Buchert et al., 6 2013[11]. 7 Table S7 Indium content in PV CIGS solar cell [12] Sources mg In/WP Fthenakis (2009) Conservative (Max) Fthenakis 2009) Most ikely (Mean) Fthenakis(2009) Optimistic (min) 11.0 8.1 6.3 8 A range of estimates of the metal use of for indium exist in the literature. However, as 9 we discuss in detail below, assumptions about efficiency, material thickness or utilisation 10 differ between studies. The key factors are as follows: Quantity of material per Wp, 11 expressed in g/Wp and a function of [13]: 12 – Density of active material of CIGS. 13 – Thickness of active layer, measured in microns (μm). 14 – % of material in layer, in this case measuring the share of Indium in CIGS and 15 16 17 calculated by formula weight. – Efficiency, a measure of the amount of energy captured per square meter under standard test conditions (STC), being an energy intensity of 1000W/m2. 18 – Utilisation, a measure of efficiency of material use in the manufacturing process. 19 These factors can be combined in the following mathematical relationship: 20 21 Equation 3: Metal demand of indium contained in CIGS thin film modules for per Wp production. 22 ππ·−πΆπΌπΊπ−ππ = 10 ππΉπ‘ ππΌππΆ π 1 Where ππ·−πΆπΌπΊπ−ππ is the indium material requirement in mgβ ππ, ρ is the density of 2 the active layer material, πΉ is the % of material in layer, π‘ is the thickness of the layer in 3 microns (μm), π is the utilisation factor, πΌππΆ is solar insolation under standard conditions 4 (1000W per m2) and π is the electrical conversion efficiency of the PV CIGS thin film 5 modules [12]. 6 Differently, the quantity of indium generated in year y is based on the sales 7 (production volume in China) in year y and the indium content (an unchangable value with 8 a uniform distribution) in the product that sold in year y, see Equation 4. Here, π¦ is the 9 year, and π is th content of indium in each products (π). Accordingly,The total demand of 10 11 12 Indium is shown in Equation 5. Equation 4: Indium use calculated in Flat Screens (FS) ππ·−πΉπ = ∑ ππ¦πΉπ ∗ ππ π 13 14 15 Equation 5: Indium use in a given year (π²) calculated ππ·−π (π¦) = ππ·−πΉπ (π¦)+ππ·−πΆπΌπΊπ (π¦) 1.5 Prediction of EoL products and scrap indium metals generation 16 The quantity of e-waste generated in year y is based on the sales in year s and the 17 probability µ(y − s)that a product sold in year s is generated in year y. The probability 18 distribution µ(y − s) is created using parameters from the lifespan estimates. Here, a 19 lognormal distribution was assumed. Equation 5 shows the how the quantity is calculated. 20 The materials composition and metals contents are further estimated when the mass 21 fractions and metals contents are multiplied, see Equaiton 6 and 7. Here, π is screen size of 22 each electronic (cm2), π is the type of electronics; π is conent of indium (mg/cm2). 23 Equation 5: Quantity of flat panel e-waste generated in year y π¦ 24 πΊππππππ‘ππ(π¦π−π€ππ π‘π ) = ∑ πππππ (π ) ∗ µ(π¦ − π ) π 25 26 Equation 6 and 7: Quantity of flat panel screen area and scrap indium generated in year y π¦ 27 πΊππππππ‘ππ(π¦π πππππ ππππ ) = ∑ πππππ (π ) ∗ µ(π¦ − π ) ∗ ∑ ππ π π¦ 28 πΊππππππ‘ππ(π¦πππππ’π ) = ∑ πππππ (π ) ∗ µ(π¦ − π ) ∗ ∑ ππ ∗ π π 11 1 1.6 Data and intermediate results 2 1.6.1 Life span 3 Ideally, lifespan stage assumptions would be disaggregated by electric and electronic 4 type, owner type, and purchase year and distinguishing first use, reuse, and storage. 5 However, lifespans were modeled separately for the following types: TVs, monitors, laptop 6 and mobile phone. The relevant estimates for each electronic from Table S8 were included 7 in the development of lifespan stage length estimates. 8 Table S8 Modeled Lifespan Stage Lengths (Years) Sources D. Initial C. E. Reuse Use Storage Reuse Storage TVs (LCD Huang et al, 2006 µ 6.94 3.47 3.47 1.74 screen) [14] σ 2.31 1.16 1.16 0.58 Laptop Zheng, 2009 [15] µ 4.31 2.16 2.16 1.08 σ 1.67 0.84 0.84 0.42 Huang et al, 2006 µ 2.78 1.39 1.39 0.70 Yin, 2014 [16] σ 1.45 0.73 0.73 0.36 Mobile phone 9 B. Initial 1.6.2 Probability of Paths Leading to Generation 10 With a goal of modeling generation in two decades (2005 to 2025), the analysis 11 included lifespan stage estimates from twenty one years prior in 1989, which allows for a 12 generous total lifespan of electics (such as TVs) purchased in 1989. Because most of the 13 data sources only reported the total life span and do not differentiate the electric and 14 electronic type, lifespan stage estimates for each type were only included the survey data 15 provided by Huang, et al., 2006 [14], Streicher et al., 2011 [17] and Song et al., 2012 [18]. 16 The mean µ and standard deviation σ for each lifespan stage for each type are shown in 17 Table S9. 18 Table S9 Probability of Paths Leading to Generation Reuse Storage rate Types Mean Monitor Std Laptop Mean (1)(2) Std Mobile Mean after rate+ processing+ P(D’) P(C) P(C’) P(E) P(E’) P(F) P(F’) P(H) P(H’) 35% 65% 52% 48% 9% 91% 90% 10% 10% 90% 22% 8% 78% 9% (1)(2)(4) processing P(D) 4% (1)(3) Reuse rate rate Source# TVs & Reuse Storage rate* Collected 35% 46% 1% 54% 5% 65% 55% 6% 9% 94% 2% 45% 12 9% 90% 1% 10% 9% 91% 90% 10% 90% 1% 10% 10% 90% Std phone 5% 27% 1% 9% 1% 1 *, Reuse Storage rate is assumed half of Initial Storage rate. #; (1) Streicher et al., 2011[17]; (2) 2 Huang et al., 2006 [14]; (3) Song et al., 2012 [18]; (4) Li et al., 2012[19]. +, We assumed roughly 3 90% of collected after processing rate and 10% of Reuse rate after processing in this study based on 4 interview with recyclers and experts. 5 6 1.6.3 Production of FS products and generation of E-waste estimates and prediction 7 Figure S8 shows the production forecasting curves for production volume of Chinese 8 LCD TVs, monitors and laptops. It is predicted that the market demand volume of LCD 9 monitors, LCD TVs, and laptops will continuously increase in next few years while the 11 demand volume for LCD monitors, LCD TVs, PDP TVs, and laptops will reach 130, 222, 12 1.1 and 643 million pieces, respectively. Million units Plasma Display Panel (PDP) TVs will keep decreasing slightly. By 2020, China’s market Production volume 10 700 600 LCD monitor 500 LCD TV 400 Laptop 300 PDP TVs 200 100 0 Year 13 14 Note: Several sources offer annual production volumes of FS (1992 to 2012) , including the 15 Yearbook of China Industry Information from the Ministry of Industry and Information 16 Technology, the Yearbook of China Statistics from the National Bureau of Statistics of 17 China. The data after 2012 are predicted (see the projection method in SI). The volume 18 prior to 2000 seems quite small, as listed in Table S3. 19 Figure S8. 20 are not shown here but listed as table in SI , but listed as table in SI as the production volume are 21 much greater than other products. 22 thin film modules are aslo provided in SI) Production and Prediction of FS in China (ππ¦πΉπ ) (1990 to 2020) (Note: Mobile phones The numbers of production capacity and projection of PV CIGS 13 1 Figure S9 shows that approximately 468 thousands (stdev: 195 thousands) of used FS and 360 thousand (stdev: 191 thousand) tons of monitors and TVs were domestically 3 manufactured in 2015, accounting for four-fifths of the total manufactured quantity across 4 indium-containing consumer electronics. Uncertainty parameters were modelled for each 5 estimate and error bars represent one standard deviation from the mean (67% confidence 6 interval). It is estimated that in 2020, 1,252 thousand (stdev: 353 thousand) tons of EoL FS 7 products will be manufactured domestically. Quantity Million tons 2 1.6 1.4 Mobile Phone 1.2 Laptop 1.0 PDP TVs LCD TV 0.8 LCD monitor 0.6 0.4 0.2 0.0 2005 8 9 10 11 Figure S9. 2010 Year 2015 2020 Estimates of FS E-waste Generation -πΊππππππ‘ππ(π¦π−π€ππ π‘π ) - in China (2005 to 2025). Error bars represent one time standard deviation with 67% confidence. 1.6.3 Indium consumption 12 14 Tons Indium Use (Theory demant) 500 450 400 350 300 250 200 150 100 50 - LCD monitor LCD TV PDP TVs Laptop Mobile Phone PV (CIGS) Year 1 2 Figure S10. Indium use (consumption, theory demand) by various flat screens and PV (CIGS) 12,000 Quantity (Tons) 10,000 8,000 2020 2018 2016 2014 2012 2019 2017 2015 2013 2011 6,000 4,000 2,000 0 Indium use Indium use (0% loss, (10% loss) theoertical use) Indium use (30% loss) Indium use (50% loss) Reserves (China) Reserves (World) Scenarios 3 4 Figure S11. 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