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Extended Producer Responsibility for Closing Material Loops JESSIKA LUTH RICHTER LUTH JESSIKA Extended Producer Responsibility Closing for Material Loops Extended Producer Responsibility for Closing Material Loops Lessons from energy-efficient lighting products JESSIKA LUTH RICHTER LICENTIATE DISSERTATION |IIIEE | LUND UNIVERSITY The transition to a low-carbon economy requires enabling technologies in- cluding energy-efficient lighting products. Previous research has highlighted the need for increased collection and recycling of lamps to reduce mercury emissions, to avoid unnecessary negative environmental impacts, and to reco- ver the critical materials they contain. Extended Producer Responsibility (EPR) policies aim to address these issues by promoting collection and recycling of waste products, closing material loops, and providing ecodesign incentives. This licentiate thesis contributed to EPR research with detailed knowledge about the performance of EPR policies for energy-efficient lamps in Europe. Using a theory-based evaluation approach, both the performance in relation to EPR goals as well as challenges perceived by key stakeholders were analyzed. Factors contributing to high operational performance and best practices in the Nordic countries were identified, as well as areas for further improvement. The research also examined opportunities and barriers for closing critical material loops from waste lamps, with considerations of value discussed in the context of prior and future EPR research. Lund University International Institute for 357268 Industrial Environmental Economics ISBN 978-91-87357-26-8 ISSN 1402-3016 789187 9 Extended Producer Responsibility for Closing Material Loops Lessons from energy-efficient lighting products Jessika Luth Richter LICENTIATE DISSERTATION by due permission of the Faculty of Engineering, Lund University, Sweden. To be defended at IIIEE, Lund University. December 21, 2016, 1 pm. Faculty opponent Professor Harri Kalimo Organization Document name LUND UNIVERSITY LICENTIATE THESIS Date of issue 21 December 2016 Author: Jessika Luth Richter Sponsoring organization Title and subtitle: Extended Producer Responsibility for Closing Material Loops: lessons from energy-efficient lighting products Abstract The transition to a low-carbon economy requires enabling technologies including energy-efficient lighting products. It is increasingly recognized that a sustainable economy is not only low-carbon and energy efficient, but also resource efficient. Previous research has highlighted the importance and need for increased collection and recycling of lamps, to reduce mercury emissions, to avoid unnecessary negative environmental impacts, and to recover the critical materials they contain. Extended Producer Responsibility (EPR) policies aim to address these issues by promoting collection and recycling of waste products, closing material loops and providing ecodesign incentives. This licentiate thesis contributed to EPR research with detailed knowledge about the performance of EPR policies for energy-efficient lamps in Europe. Using a theory-based evaluation approach, both the performance in relation to EPR goals as well as challenges perceived by key stakeholders, were analyzed. Factors contributing to high operational performance and best practices in the Nordic countries were identified, as well as the areas for further improvement. The research also examined opportunities and barriers for closing critical material loops from this waste stream and found that EPR policies have been an important enabler for development of commercial scale recycling of rare earth elements (REE) from waste lamp phosphors in Europe. It is argued that both wider adoption and improved performance of EPR systems are necessary to increase potential secondary supply of REE from this waste stream. However, the feasibility of recycling REE is also dependent on complex considerations of value and contextual factors such as competition with primary supply, material prices, and markets for recycled materials. The value of waste lamps is further mapped and examined from different stakeholder perspectives. These considerations of value are discussed in the context of prior and future EPR research. Key words: extended producer responsibility, lamps, WEEE, policy evaluation, critical materials, circular economy Classification system and/or index terms (if any) Supplementary bibliographical information Language: English ISSN and key title: 1402-3016 IIIEE Dissertations ISBN: 978-91 -87357-26-8 Recipient's notes Number of pages: 97 Price Security classification I, the undersigned, being the copyright owner of the abstract of the above-mentioned dissertation, hereby grant to all reference sources permission to publish and disseminate the abstract of the above-mentioned dissertation. Signature Extended Producer Responsibility for Closing Material Loops Lessons from energy-efficient lighting products Jessika Luth Richter Cover by Jenifer Martino Copyright Jessika Luth Richter International Institute for Industrial Environmental Economics ISBN 978-91-87357-26-8 ISSN 1402-3016 Printed in Sweden by Media-Tryck, Lund University Lund 2016 Table of Contents Acknowledgements .................................................................................................. i Abstract .................................................................................................................. iii List of Papers .......................................................................................................... iv Other Publications ....................................................................................................v Abbreviations ......................................................................................................... vi 1. Introduction ..........................................................................................................1 1.1 Problem Statement ................................................................................4 1.2 Research Aim and Questions ................................................................5 1.3 Scope and Limitations ..........................................................................6 1.4 Structure of Thesis ...............................................................................7 2. Theories and Concepts .........................................................................................8 2.1 Product Life Cycle and Value Chains ......................................................8 2.2 Extended Producer Responsibility ...........................................................9 2.3 Policy Evaluation ...................................................................................10 3. Research Design ................................................................................................12 3.1 Research Approach ................................................................................12 3.2 Analytical Framework ............................................................................13 3.2.1 EPR evaluation ...........................................................................13 3.2.2 Case studies ................................................................................14 3.2.3 Value analysis .............................................................................16 3.3 Data Collection .......................................................................................17 3.3.1 Literature review ........................................................................17 3.3.2 Quantitative data .........................................................................17 3.3.3 Interviews ...................................................................................18 4. Findings and Discussion ....................................................................................19 4.1 Measuring Performance by Statistics .....................................................20 4.2 Improved Waste Management................................................................21 4.2.1 Culture and behaviour ................................................................22 4.2.2 Incentives for further improvement ............................................23 4.3 Efficient Use of Resources and Retrieval of Valuable Secondary Resources .....................................................................................................24 4.3.1 Critical materials ........................................................................26 4.3.2 Value considerations ..................................................................29 4.4 Ecodesign ...............................................................................................32 5. Conclusions and Future Research .......................................................................35 5.1 Research Questions Revisited ................................................................35 5.2 Future Research ......................................................................................37 References ..............................................................................................................39 Appendix A: List of Interviews and Correspondence ............................................48 Appendix B: Interview Guides ...............................................................................50 Sample interview protocol for producer responsibility organisations ..........50 Sample interview protocol for national waste management associations ....52 Sample interview protocol for lamp
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