A CERTIFICATION SYSTEM FOR SUSTAINABLE COPPER PRODUCTION

Master’s Thesis

submitted in fulfilment of the requirements for the academic degree “Master of Science” at the University of Graz for the

“Erasmus Mundus Master's Programme in Industrial Ecology“

by

SANNE NUSSELDER

at the Institute of Systems Sciences, Innovation and Sustainability Research

Supervisor: Prof. Baumgartner

Second Reader: R. Aschemann

Graz, 2015

INTRODUCTION 6

Literature Review on Certification Systems for Metals 6

Outline Research 7

CHAPTER 1 - COPPER MARKET 9

1.1 Introduction 9

1.2 The Copper Supply Chain 9

1.3 Mines 10 1.3.1 Mining in Chile 11 1.3.2 Mining in China 12 1.3.3 Mining in Peru 12 1.3.4 Mining in the USA 13 1.3.5 Mining in Australia 13 1.3.6 Mining in Russia 14 1.3.7 Mining in the DRC 14 1.3.8 Mining in Zambia 15 1.3.9 Mining in Canada 15 1.3.10 Mining in Mexico 16 1.3.11 Mining in Kazakhstan 16 1.3.12 Mining in Poland 16 1.3.13 Mining in Indonesia 16 1.3.14 Conclusion Mines 17

1.4 Smelters 17 1.4.1 Smelting in China 18 1.4.2 Smelting in Japan 18 1.4.3 Smelting in Chile 18 1.4.4 Smelting in Russia 19 1.4.5 Smelting in India 19 1.4.6 Smelting in South Korea 19 1.4.7 Smelting in Poland 19 1.4.8 Smelting in Zambia 19 1.4.9 Smelting in the USA 20 1.4.10 Smelting in Germany 20 1.4.11 Smelting in Australia 20 1.4.12 Smelting in Bulgaria 20 1.4.13 Smelting in Kazakhstan 21 1.4.14 Smelting in Peru 21 1.4.15 Smelting in Canada 21 1.4.16 Smelting in Indonesia 21 1.4.17 Conclusion Smelting 22

1.5 Refiners 23 1.5.1 Refining in China 23 1.5.2 Refining in Chile 23 1.5.3 Refining in Japan 24

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1.5.4 Refining in USA 24 1.5.5 Refining in Russia 24 1.5.6 Refining in Germany 25 1.5.7 Refining in DRC 25 1.5.8 Refining in India 25 1.5.9 Refining in South Korea 25 1.5.10 Refining in Zambia 26 1.5.11 Refining in Poland 26 1.5.12 Refining in Australia 26 1.5.13 Conclusion refining 27

1.6 Conclusion 27

CHAPTER 2 - COPPER PRODUCTION TECHNOLOGIES 29

2.1 Introduction 29

2.2 Primary copper production 29 2.2.1 Mining 29 2.2.2 Comminution 30 2.2.3 Concentrating 30 2.2.4 Smelting 31 2.2.5 Converting 33 2.2.6 Combined smelting and converting 33 2.2.7 Fire refining and anode casting 33 2.2.8 Electrolytic refining 34 2.2.9 Leaching 34 2.2.10 Solvent extraction (SX) 35 2.2.11 Electrowinning (EW) 35

2.3 Secondary copper production 29 2.3.1 Pre-treatment of old scrap 36 2.3.2 Old scrap inputs into primary copper production 36 2.3.3 Secondary copper production from old scrap 37

CHAPTER 3 – SUSTAINABILITY IN THE MINING INDUSTRY 38

3.1 General sustainability definitions 38 3.1.1 Environmental sustainability 38 3.1.2 Social sustainability 39 3.1.3 Economic sustainability 40 3.1.4 Time perspective of sustainability 41

3.2 Defining sustainability for a system 41

3.3 Sustainability definitions applied to the minerals and mining industry 42 3.3.1 Environmental sustainability in the mining and metal industry 43 3.3.2 Social sustainability in the mining and metal industry 45 3.3.3 Economic sustainability in the mining and metal industry 46

CHAPTER 4 – SUSTAINABILITY ISSUES IN THE COPPER PRODUCTION PROCESS 48 3

4.1 Environmental issues - Life Cycle Assessment (LCA) 48 4.1.1 Goal and scope definition 48 4.1.2 Function, functional unit, reference flows 50 4.1.3 Inventory analysis 52 4.1.4 Impact assessment 68 4.1.5 Interpretation 74 4.1.6 Discussion and Conclusion 76

4.2 Social issues - Social Life Cycle Assessment (S-LCA) 77 4.2.1 Goal and Scope Definition 77 4.2.2 Functional unit 79 4.2.3 Life Cycle Inventory Analysis and Assessment 79 4.2.4 Interpretation 85 4.2.5 Discussion and Conclusion 86

4.3 Economic sustainability 86

CHAPTER 5 – LEGAL, POLICY AND REGULATORY ASPECTS OF COPPER PRODUCTION 88 5.1.1 OECD Guidelines 88 5.1.2 Dodd Frank Act 90 5.1.3 Draft legislative proposal EU on mineral sourcing 91 5.1.4 ISO standards 91 5.1.5 ILO Standards 92 5.1.6 Extractive Industries Transparency Initiative (EITI) 93 5.1.7 ICMM Principles for sustainable development 93 5.1.8 Global Reporting Initiative Guidelines 94 5.1.9 Legislation on free, prior and informed consent (FPIC) 96 5.1.10 Basel Convention 97 5.1.11 Conclusion 97

5.2 Country specific legislation 99 5.2.1 Chile – Mining, Smelting, Refining 99 5.2.2 China – Mining, Smelting, Refining 101 5.2.3 Peru – Mining 101 5.2.4 USA – Mining, Refining 105 5.2.5 Australia – Mining 104 5.2.6 Russia – Mining 107 5.2.7 DRC – Mining 106 5.2.8 Zambia – Mining 107 5.2.9 Japan – Smelting, Refining 109 5.2.10 Conclusion 113

CHAPTER 6 - COMMODITY CERTIFICATION SYSTEMS 114 6.1.1 Financing of certification system 114 6.1.2 Assessment 114 6.1.3 Chain-of-custody model 115 6.1.4 Targeted audience 115 6.1.5 Pass/fail versus tiered system 115 6.1.6 Unchanging versus dynamic system 116 6.1.7 Voluntary versus obligatory system 116

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6.2 Commodity certification 116 6.2.1 Conflict Free Smelter Program 116 6.2.2 Forest Stewardship Council (FSC) certification 117 6.2.3 Kimberley Process Certification Scheme (KPCS) 117 6.2.4 iTSCi 118 6.2.5 Fairtrade and Fairmined Gold 119

6.3 Certification of copper 119 Targeted consumer 119 Self-certification versus third-party certification 120 Pass/ fail system vs tiered system 120 Voluntary vs obligatory 121 Unchanging versus dynamic 121 Chain-of-custody model 121

CHAPTER 7 – CERTIFICATION SYSTEM FOR SUSTAINABLY PRODUCED COPPER 123

7.1 Summary of drawn conclusions 123 7.1.1 Sustainability issues in the copper production process 123 7.1.2 Legal, Policy and Regulatory Aspects of Copper 124 7.1.3 Commodity Certification System 127

7.2 Discussion of sustainability issues in the production of copper 128 7.2.1 Sustainability issues at the mine site 128 7.2.2 Sustainability issues at the smelting site 132 7.2.3 Sustainability indicator at the refining site 133

7.3 Indicators 134

CHAPTER 8 - CONCLUSION, UNCERTAINTIES AND FUTURE RESEARCH 136

8.1 Conclusion 136

8.2 Uncertainties 138

8.3 Future research 138

BIBLIOGRAPHY 140

Appendix 1 - Life Cycle Inventory 1 tonne Primary Copper Cathode Production - Pyrometallurgical Route 152 Appendix 2 - Life Cycle Inventory 1 tonne Primary Copper Cathode Production - Hydrometallurgical Route 154 Appendix 3 - Life Cycle Inventory 1 tonne Secondary Copper Cathode Production - Scrap in Primary 156 Smelter Appendix 4 - Life Cycle Inventory 1 tonne Secondary Copper Cathode Production - Scrap in Converter 158 Appendix 5 - Life Cycle Inventory 1 tonne Secondary Copper Cathode Production - Scrap in Secondary 163 Smelter

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Introduction According to Anglo Ashanti’s CEO, the mineral extraction sector is responsible for more than 45% of the world’s GDP (Creamer, 2012). The direct revenue of the sector amounts to 11.5% of the global GDP. Anglo Ashanti has an interest in portraying the mining sector as a, if not, the most important sector for the world economy. However fact remains that certain national economies rely heavily on the mining sector, for example the contribution in 2010 of the mining sector in Zambia, Papua New Guinea, Mauretania and Guinea to GDP was more than 20% (ICMM, 2012).

Unfortunately the industry does not only create economic benefits, it also has adverse environmental and social impacts. Mining of metals can have several impacts on the environment including; the transformation of land to mines, pollution of water and soils with chloride, sulphate, nitrate, diesel, petrol and chemicals from waste rock piles (Hester & Harrison, 1994). Air pollution may include emissions of dust particles unhealthy to humans, greenhouse gasses and metal particles (Hester and Harrison (1994), Azoue (1999)). Social impacts of metal extraction can be the degradation of the health of local communities because of waterborne diseases and mental health problems (Hester and Harrison (1994), Azoue (1999)). Also the stress on local infrastructure, service provision and housing availability can increase (Petrova & Marinova, 2013). Non-ideal working conditions in mines can lead to injury, disability and even death of mine workers (Azoue, 1999). The mining industry in certain regions is also associated with conflicts.

This is not to say that there is no progress being made by the mining industry in becoming more sustainable and in reducing its environmental and social impacts. However, as Walker and Howard (2002) state eloquently; “Whilst individual companies and mine sites have made significant advances in environmental and social performance, the advances have largely gone unrecognized and unrewarded by the market and the public because of the absence of a credible mechanism that can differentiate companies on the basis of their environmental and social performance.”

Certification systems can help in changing processes that are unsustainable because they can assist a company in justifying changes in its purchasing and sourcing practices showing that the company is reducing its risk and enhancing its brand (National Resource Council, 2010). Also a certification system can be a credible mechanism to differentiate companies based on their sustainability performance. Different forms of certification exist in different industries such as in the fishing industry, the forestry industry and the food industry. However none completely integrated certification system that looks at all aspects of sustainability exists in the metals industry, while such a system has the potential to make it easier for purchasers to make the choice for a more sustainably produced metal. As a matter of fact there is no certification or standards system being employed to address all the sustainability issues in any particular industry (National Resource Council, 2010).

By means of looking at one metal in particular the research will determine whether it is possible to develop a certification system for a metal that makes it possible to source the metal (more) sustainable and what such a certification system should look like. Copper has been chosen as a metal to be studied because it is the third most common metal in use after iron and aluminium. Out of these three metals copper is the most associated with conflict for example in the Phillipines, Peru, Pakistan and Indonesia (Scheele & ten Kate, 2015). This research will therefore answer the question; “What does a certification system for sustainable copper production look like that will create the possibility to understand the sustainability of purchased copper?” The focus of the research is on the production of cathode and anode copper and production of copper alloys is not be looked at.

The rest of this introduction will first provide a background on (academic) literature that has so far been written about certification systems for metals and finally provide an overview of the methodology used to answer the research question. Literature Review on Certification Systems for Metals Not much has to date been written about certification systems for metals. According to Young, Zhe and Dias (2013b) the metal sourcing programs that have been set up so far have achieved limited success in 6

implementing certification. According to them there are a few challenges for setting up a successful sustainability certification for the metal-sector. The first challenge is the complex nature of metal supply chains in which metals get transformed and mixed along the way. The second challenge is which chain-of-custody model to choose for a certification system. The last challenge is to determine which sustainability criteria to use for a certification system. This last challenge becomes apparent when looking at the past or current sustainable sourcing initiatives. For example Fairtrade and Fairmined gold mainly focuses at the working conditions of miners and the paying of a fair wage, the conflict free tin initiative (CFTI) focuses on sourcing conflict free tin from the Democratic Republic of Congo and the green lead initiative was focused on minimizing the amount of lead entering the environment.

As part of the Mining, Minerals and Sustainable Development (MMSD) project Walker and Howard (2002) have described when a certification system for the mining industry could work. A certification system according to them could be successful if;

 It is based on existing codes of conducts, policies and procedures  Provides a global framework, which is elaborated at the local-level to make it both specific and reflective of stakeholder needs  Provides a structure for stakeholder consultation  Can be initiated as an internal process  Facilitates integration with ISO assessments and internal management systems  It is piloted at a number of sites in a low profile way  It is gradually rolled out to include a wide group of stakeholders.

More general guidance on the construction of an environmental label is given by ISO standard 14020. In general according to this standard an environmental label should be; accurate, avoid creating unnecessary trade barriers, have scientific basis, provide information on the applied methodology, use a life-cycle-approach, allow for innovation, create a minimum administrative burden and participation costs are kept low, have an open and consensual process and provide information on products labelled. Furthermore applicants to the label should be in compliance with environmental and other relevant legislation. Outline Research The first chapter of the research gives an outline of the main countries where the different stages of copper production occur and the main technologies being applied. Thereby shedding a light on the complex supply chain as described by Young, Zhe and Dias (2013b). The technologies are further described in the second chapter.

Chapter three tackles the challenge on how to determine sustainability criteria for the certification system. A first general definition of sustainability is developed that is subsequently applied to the copper industry.

According to von Gleich (2006) it is advisable when developing a sustainability strategy to concentrate on these sustainability issues that have large impacts both in space and time. Therefore chapter four determines the largest sustainability issues in the copper supply chain. This is important because for example eco-labels for laptops have been focused on the use phase of the laptop instead of the production phase of the laptop where the larger environmental impact lies (St-Laurent et al., 2012). It is therefore important to take a life-cycle perspective. Chapter four is divided into three parts focussing on environmental, social and economic sustainability.

Chapter five looks at the regulatory framework and existing sustainability guidelines that should be taken into account when designing a certification system. The impact of the most important legal, policy and regulatory aspects on the largest sustainability issues is determined.

Chapter six gives an introduction into different certification systems. It consequently looks at the currently existing supply chain tracking systems for mined commodities and the lessons that can be learned from them. By combining both the lessons that can be learned from other supply tracking systems with the information

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gathered in the previous chapters a hypothesis is constructed on the attributes that a successful certification system for sustainable produced copper should contain.

Based on the analysis all previous chapters a summary is given in chapter seven and the criteria for the certification system are designed.

Chapter eight provides the conclusion of the research, discusses some of the uncertainties and provides suggestions for future research into the development of a certification system for sustainable metal production.

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Chapter 1 - Copper Market 1.1 Introduction In order to be able to assess the sustainability of the production of a metal we will need to consider the entire supply chain of the metal. As Ali (2006) states it is important to take into account “the shared responsibility which producers, processors and consumers in all parts of the world have towards the metal” when looking at sustainability in gold production. Therefore this first chapter provides an introduction into the copper market by giving an insight into the facilities and locations of the different steps in the copper supply chain.

The copper supply chain for both primary and secondary copper is introduced in section 1.2, after which all the different steps in this supply chain will be described in the consequent sections. The description of the facilities involved in the production of copper all over the world is limited to the facilities located in the countries that together represent at least 75% of the copper market in each of the steps of the supply chain. It is assumed that this is representative for the entire copper industry. The chapter will conclude by listing the main countries and technologies involved in the production of copper. The listed technologies will be described in chapter 2 on copper production technologies. 1.2 The Copper Supply Chain Copper that is being used in final products can originate from two sources; either from primary production and mining of new copper ores or from secondary production which includes the recycling and remelting of copper scrap and products. Figure 1.1 shows the copper production cycle.

Figure 1.1: World-wide copper production in 2010 based on (International Copper Study Group, 2014)

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Data for 2013, has not been published in a condensed way as was done for 2012. However data about production in 2013 can be retrieved from different sources. The data is summarised in table 1.1. In 2013 the amount of copper that was contained in mined copper ore was 17,900 kt according to the U.S. Geological Survey (2014) and approximately 18,100 kt according to the International Copper Study Group (2015) and the Austrian Ministry of Science (Reichl, Schatz, & Zsak, 2015) . We will assume 18,000 kt. The total amount of smelted copper (excluding copper produced via the SX-EW method) in 2013 was 16,800 kt (International Copper Study Group, 2014). This smelted material plus material produced from SX-EW production lead to the production of approximately 21,100 kt of refined copper from both primary and secondary sources (International Copper Study Group, 2015). Of this amount a bit over 3,500 kt originated from secondary refineries. In 2012 4,100 kt of scrap was generated during the fabrication of semi-finished copper products, it can be assumed that the amount in 2013 therefore lies somewhere around 4,000 kt of scrap. This high-grade copper scrap is directly re-used in semi-finished copper products and explains the difference between the refined copper that was used in 2013 (which was slightly higher than the refined copper produced) and the copper content of semi-finished products of 24,000 kt in 2013 (International Copper Study Group, 2014).

Copper product Quantity in 2013 Copper content in mined ore 18,000 kt Smelted copper (excluding leached copper production) 16,800 kt Refined copper produced 21,100 kt Refined copper used 21,400 kt Copper content semi-finished copper products 24,000 kt Table 1.1: Copper products produced in 2013 based on (USGS, 2014), (Reichl, Schatz, & Zsak, 2015), (International Copper Study Group, 2015) and (International Copper Study Group, 2014)

The numbers as presented in table 1.1 will be used throughout the rest of the report. This means that in section 1.3, mines that together account for more than 75% (or 13,500 kt) will be listed and the mining method employed described. The same will be done for smelters in section 1.4 (12,600 kt) and for the production of refined copper in section 1.5 (15,825 kt).

It is interesting to comprehend that approximately two-thirds of the total amount of copper produced since 1900 is still in use (or in stock) (Glöser, Soulier, & Tercero Espinoza, 2013). 1.3 Mines The main producers of copper in 2013 can be found in table 1.2. Mines that together account for more than 88% of copper mined in 2013 from are discussed in the rest of this section. For each country all mines in operation in 2013 that were found are listed, including data on ownership, production capacity and the type of mine. Names of mines have mainly been obtained by searching via google. Ownership, production capacity and type of mine have mainly been obtained from the owner of the mine. All sources are listed below the tables.

Country Contained copper content in Mine production 2013 Chile 5,700 kt China 1,650 kt Peru 1,300 kt USA 1,220 kt Australia 990 kt Russia 930 kt Democratic Republic of the Congo 900 kt Zambia 830 kt Canada 630 kt Mexico 480 kt Kazakhstan 440 kt Poland 430 kt Indonesia 380 kt Other 2,000 kt Table 1.2: Main Copper Mining Countries in 2013 (USGS, 2014)

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1.3.1 Mining in Chile In Chile 65% of the mining activities take place in the three northern regions (region I-III) (Schüller, Estrada, & Bringezu, 2008). Almost all reserves are porphyry reserves (Schüller, Estrada, & Bringezu, 2008). In 2000 large- scale mining in Chile was responsible for 93.7% of the copper that was extracted in Chile (Castro & Sánchez, 2003). The mines that produce more than 10 kt in Chile together produced 5,539 kt of copper contained in copper ore, as can be seen in table 1.3. The total is slightly less than the 5,700 kt given in table 1.2, but the mines listed in table 1.3 can be seen as representative of the Chilean copper sector. From the listed mines approximately 86% of the copper mined in Chile originates from open pit mined, and the other 14% from underground mines.

Mine Ownership Type Production 2013 Escondida BHP Billiton, Rio Tinto, Japan Escondida Open pit 1,194 kt Collahuasi Anglo American, Glencore Xstrata, Mitsui Open pit 445 kt Los Bronces Anglo American Open pit 416 kt El Teniente Codelco Underground 450 kt Los Pelambres Antofagasta Open pit 419 kt Radomiro Tomic Codelco Open pit 380 kt Andina Codelco Both 237 kt

Candelaria and Ojos Del Freeport McMoran One open pit and three 168 kt Salado underground mines

Caserones-Regalito Minera Lumina Open pit 16 kt Cerro Colorado BHP Billiton Open pit 74 kt Chuquicamata Codelco Open pit 339 kt El Abra Freeport McMoran Open pit 156 kt El Soldado Anglo American Open pit 52 kt El Tesoro Antofagasta Open pit 103 kt Gabriela Mistral Codelco Open pit 128 kt Mantos Blancos Anglo American Open pit 55 kt Mantoverde Anglo American Open pit 57 kt Michilla Minera Michilla Both 38 kt Quebrada Blanca Teck Resources, Inversiones Mineras, ENAMI Open pit 56 kt Salvador Codelco Both 54 kt Spence BHP Billiton Open pit 152 kt Zaldivar Barrick Gold Open pit 127 kt Esperanza Antofagasta Open pit 177 kt Lomos Bayas Glencore Xstrata Open pit 74 kt Ministro Hales Codelco Open pit 34 kt Carmen de Andacollo Teck Resources, ENAMI Open pit 81 kt Punta del Cobre Pucobre Underground 38 kt both mines Pucobre Mantos de Cobre Pucobre Underground 38 kt both mines Pucobre Sagasca HMC Underground 19 kt Table 1.3: Contained copper content in mined ore from Chile in 2013 (Production volumes per company from (Cochilco, 2014), exact volumes per mine from annual reports companies)

The average copper grade of the copper sulphide ore was 0.9% in 2012 (Reyes-Bozo, et al., 2014), the average ore grade for all copper ores mined in Chile is unknown.

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1.3.2 Mining in China Unlike copper mining in the rest of the world the largest part of the copper mining in China takes place in underground copper mines according to Streicher-Porte and Althaus (2010). In 2010 70-80% of the copper was mined from underground mines, 10-20% from open-pit mines and 2% of the minerals were processed by means of SX-EW (Streicher-Porte & Althaus, 2010). Because most Chinese companies do not publish annual or production reports, little is known about whether or not this division is still the same in 2013. When looking at the mines listed in table 1.4 the majority of the copper mined actually seems to originate from open pit mines. However the mines listed only represent 20% of the total mining production in China in 2013 as given in table 1.2 and can thus not be seen as very representative. It is therefore assumed that 80% of all copper mined in China originates from underground mines and 20% from open pit mines.

Mine Ownership Type Production 2013 Ashele Zijin Mining Group Open pit 32 kt Zijinshan Zijin Mining Group Both 31 kt Qinghai Deemi Zijin Mining Group Open pit 24 kt Dexing Jiangxi Copper Company Open pit All copper mines Jiangxi 209 kt Yongping Jiangxi Copper Company Open pit All copper mines Jiangxi 209 kt Wushan Jiangxi Copper Company Underground All copper mines Jiangxi 209 kt Chengmenshan (includes Jiangxi Copper Company Open pit All copper mines Jiangxi 209 kt Jinjiwo mine) Dongxiang Jiangxi Copper Company Underground All copper mines Jiangxi 209 kt Yinshan Jiangxi Copper Company Probably underground All copper mines Jiangxi 209 kt Gyama China Gold International Both Approx. 25 kt Yulong Western Mining Open pit 10 kt Table 1.4: Contained copper content in mined ore from China in 2013 based on (Zijin Mining Group, 2014), (AA Stocks, 2015) and (Lafitte, 2013)

The average ore grade for mines between 2006 and 2008 in China was 0.85% (Streicher-Porte & Althaus, 2010). A more recent figure is not available. The copper that is mined in China is unlikely to leave the country. In 2009 the demand for copper in China was 4,100 kt of which only 25% could be supplied from Chinese mines (Lafitte, 2013). 1.3.3 Mining in Peru In 2013 a bit more than 1,300 kt of copper was mined in Peru (Minesterio de Energía y Minas, 2013). All mines producing copper in Peru have been listed in table 1.5, and it becomes apparent that 92% of the production originates from open pit mines.

Mine Ownership Type Production 2013 Antamina Compania Minera Antamina owned by Glencore Xstrata, Open pit 461 kt BHP Billiton, Teck Resources and Mitsubishi Corporation Cerro Verde Freeport McMoran via Sociedad Minera Cerro Verde Open pit 261 kt Cuajone Southern Copper Open pit 158 kt Tintaya Glencore Xstrata Open pit 12 kt Toquepala Southern Copper Open pit 149 kt Antapaccay Glencore Xstrata Open pit 139 kt Cerro Lindo Milpo Underground 37 kt Marcapunta Norte / Colquijirca El Brocal Underground 28 kt Condestable Southern Peaks Mining Underground 18 kt Cobriza Doe Run Underground 20 kt Carolina / cerro corona Gold fields la Cima Open pit 31 kt Table 1.5: Contained copper content in mined ore from Peru in 2013 based on (Minesterio de Energía y Minas, 2013)

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1.3.4 Mining in the USA The copper contained in ore mine in the USA was 1,220 kt in 2013 as given in table 1.2. The mines given in table 1.6 together account for a bit over 1,200 kt and can therefore be taken as a proxy for the total copper production in the USA. At least 97% of the copper contained in ores in the USA originated from open pit mines in 2013.

Mine Ownership Type Production 2013 Morenci Freeport McMoran and Sumitomo Open pit 301 kt Bingham Canyon Rio Tinto via Kennecott Utah Copper Company Open pit 211 kt Bagdad Freeport McMoran Open pit 98 kt Chino Freeport McMoran Open pit 78 kt Mission Complex ASARCO Open pit 53 kt Ray Complex ASARCO Open pit 103 kt Robinson KGHM Open pit 49 kt Safford Freeport McMoran Open pit 66 kt Sierrita Freeport McMoran Both 78 kt Miami Freeport McMoran Open pit 28 kt Silver Bell ASARCO Open pit 20 kt Tyrone Freeport McMoran Open pit 39 kt Mineral Park Mercator Minerals Open pit 19 kt Phoenix Newmont Open pit 31 kt Pinto Valley BHP Billiton until October, Capstone mining rest of 2013 Open pit 30 kt Table 1.6: Contained copper content in mined ore from USA in 2013 based on (Freeport-McMoran, 2014b), (Rio Tinto, 2014a), (Grupo Mexico, 2014), (KGHM, 2015a), (Mercator Minerals, 2014), (Newmont, 2014), (BHP Billiton, 2014a) and (Capstone Mining, 2014b) 1.3.5 Mining in Australia The copper contained in ore mined in Australia was 990 kt in 2013 as given in table 1.2. The mines listed in table 1.7, together account for 82% of this production and will therefore be taken as a proxy for the total Australian copper ore mined in 2013. From the ore mined in 2013 76% originated from underground mines and the other 24% from open pit mines.

Mine Ownership Type Production 2013 Olympic Dam BHP Billiton Underground 166 kt Ernest Henry Glencore Xstrata Underground 204 kt both Ernest Henry and Mt Isa Mt Isa Glencore Xstrata Open pit 204 kt both Ernest Henry and Mt Isa Mt Lyell Vedanta Resources Underground 26 kt for 2012-2013 Prominent Hill OZ Minerals Both 73 kt Cobar Glencore Xstrata Underground 46 kt Cadia Valley Newcrest Both 53 kt Northparkes Rio Tinto Both 51 kt Telfer Newcrest Both 26 kt DeGrussa Sandfire Both 64 kt Golden Grove MMG Two underground and one open pit 34 kt Nifty Aditya Birla Both 37 kt Kanmantoo Hillgrove resources Open pit 14 kt Tritton Straits Underground 23 kt Table 1.7: Contained copper content in mined ore from Australia in 2013 based on (BHP Billiton, 2014a), (GlencoreXstrata, 2014), (Vedanta, 2014b), (OZ Minerals, 2014), (Newcrest, 2014), (Rio Tinto, 2014a), (Sandfire Resources, 2015), (MMG, 2014b), (Aditya Birla Minerals, 2014), (Hillgrove resources, 2014) and (Straits, 2014)

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1.3.6 Mining in Russia In 2013 930 kt of copper contained in ore was mined in Russia as given in table 1.2. Data on Russian copper mines has proven difficult to find because companies do not publically publish production results, therefore the mines listed in table 8 only account for 29% of the copper mined in Russia. Because no further data has been found on the division of underground and open pit mines in Russia it is assumed that 80% of the copper mined in Russia originates from underground mines and 20% from open pit mines. This estimate should be updated if new data are obtained.

Mine Ownership Type Production 2013 Oktyabrsky Norilsk Nickel Underground 257 kt total all Norilsk Nickel mines Polar Division, 50% from this mine Taimyrsky Norilsk Nickel Underground 257 kt total all Norilsk Nickel mines Polar Division, 23% from this mine Komsolsmky Norilsk Nickel Underground 257 kt total all Norilsk Nickel mines Polar Division, 24% from this mine Zapolyarny Norilsk Nickel Both 257 kt total all Norilsk Nickel mines Polar Division, 3% from this mine Severny Norilsk Nickel Both Approx. 15 kt Table 1.8: Contained copper content in mined ore from Russia in 2013 based on (Norilsk Nickel, 2014) 1.3.7 Mining in the DRC In 2013 900 kt of copper contained in ore was mined in the Democratic Republic of the Congo as given in table 1.2. When adding the production of the mines given in table 1.9, it appears that more than 900 kt was mined. It is therefore possible to assume that the table contains all copper mines in the DRC. The mined copper in the DRC originated for 79% from open pit mines, 15% underground mines and 6% tailings in 2013. The tailings will be considered as open pit mining.

Mine Ownership Type Production 2013 Frontier ENRC Open pit 33 kt Ruashi Jinchuan Group via Metorex and Gécamines Open pit 35 kt Kolwezi TLP ENRC Tailings 52 kt both Kolwezi and Lonshi Lonshi ENRC Open pit 52 kt both Kolwezi and Lonshi Tenke Fungurume Freeport McMoran, Lundin Mining and Gecamines Open pit 210 kt Katanga Glencore Xstrata via Katanga mining limited Both 254 kt Mutanda Glencore Xstrata Open pit Mutanda and Kansuki together 150 kt Kansuki Glencore Xstrata Open pit Mutanda and Kansuki together 150 kt Kinsevere MMG Open pit 62 kt Etoile Shalina Resources Open pit 21 kt Dikulushi Mawson West Open pit 21 kt Shituru Shituru Mining owned by Baritex Resources and Open pit 22 kt Gecamines Table 1.9: Contained copper content in mined ore from DRC in 2013 based on (ENRC, 2014), (Jinchuan Group International Resources, 2014), (Lundin Mining, 2014), (Katanga Mining, 2014), (PR Newswire, 2014), (MMG, 2014a), (Shalina Resources, 2015), (Mawson West, 2014) and (Province du Katanga, 2014)

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1.3.8 Mining in Zambia The copper contained in ore mine in Zambia was 830 kt in 2013 as given in table 1.2.Table 1.10 lists all the mines in Zambia that produced copper ore in 2013 together accounting for 830 kt. 53% of the produced ore originates from open pit mines and the other 47% from underground mines.

Mine Ownership Type Production 2013 Kansanshi First Quantum Minerals and Zambia Consolidated Two open pit mines 271 kt Copper Mines (ZCCM) Konkola Konkola Copper owned by Vedanta Resources and Underground 200 kt, all three mines of Konkola ZCCM Copper Nchanga Konkola Copper owned by Vedanta Resources and Both 200 kt all three mines of Konkola ZCCM Copper Nampundwe Konkola Copper owned by Vedanta Resources and Underground 200 kt all three mines of Konkola ZCCM Copper Nkana Mopani Copper Mines owned by Glencore, First Underground 112 kt for all Mopani Copper Mines Quantum Minerals and ZCCM Mufulira Mopani Copper Mines owned by Glencore, First Underground 112 kt for all Mopani Copper Mines Quantum Minerals and ZCCM Baluba China Non-Ferrous Metals Corporation (CNMC), ZCCM Underground 16 kt Mulyashi CNMC, ZCCM Open pit 24 kt Chambishi CNMC, ZCCM Underground 28 kt Lumwana Barrick Open pit 118 kt Chibuluma Jinchuan via Metorex, ZCCM Underground 18 kt Lubambe African Rainbow Minerals (ARM), Vale, ZCCM Underground 45 kt Table 1.10: Contained copper content in mined ore from Zambia in 2013 based on (Fessehaie & Morris, 2013), (Ruffini, 2006), (First Quantum Minerals, 2014), (Konkola Copper Mines, 2015a), (Konkola Copper Mines, 2015b), (Konkola Copper Mines, 2015c), (Moore Stephens, 2014), (Counter Balance, 2010), (ZCCM, 2015), (CNMC, 2014), (Barrick, 2015), (Metorex Group, 2015) and (Lubambe Copper Mine Limited, 2013) 1.3.9 Mining in Canada The copper contained in ore mined in Canada was 630 kt in 2013 as given in table 1.2. The mines given in table 1.11 provide more than 80% of this amount of copper. Of the mined ore approximately 40% originates from open pit mines and 60% from underground mines. This will be taken as a proxy for the total copper contained in ore in Canada in 2013.

Mine Ownership Type Production 2013 Levack/Morisson KGHM Underground 19 kt Sudbury Vale Underground 103 kt Voisey’s Bay Vale Open pit 36 kt Minto Capstone Mining Both 17 kt Huckleberry Imperial Metals and Japan Group Open pit 19 kt Gibraltar Taseko and Cariboo Open pit 55 kt Mount Polley Imperial Metals Open pit 17 kt Highland Valley Teck Resources Open pit 113 kt Duck Pond Teck Resources Underground 14 kt Copper Mountain Copper Mountain Mining and Mitsibishi Open pit 30 kt Materials New Afton New Gold Both 33 kt 777 Hudbay Minerals Underground All three mines Hudbay Minerals 30 kt Lalor Hudbay Minerals Underground All three mines Hudbay Minerals 30 kt Reed Hudbay Minerals, VMS Ventures Underground All three mines Hudbay Minerals 30 kt Kidd Creek Glencore Xstrata Underground 37 kt Table 1.11: Contained copper content in mined ore from Canada in 2013 based on (KGHM, 2014b), (Vale , 2014), (Capstone Mining, 2014a), (Imperial Metals, 2015a), (Taseko, 2014), (Imperial Metals, 2015b), (Teck Resources, 2014), (Copper Mountain Mining, 2014), (New Gold, 2014), (GlencoreXstrata, 2014) and (Hudbay Minerals, 2014)

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1.3.10 Mining in Mexico The copper contained in ore mined in Mexico was 480 kt in 2013 as given in table 1.2. Table 1.12 lists four mines that together account for more than half of this production. Based on this mines it is assumed that 90% of the production in Mexico originates from open pit mines.

Mine Ownership Type Production 2013 La Caridad Southern Copper Open pit 139 kt Buenavista Southern Copper Open pit 116 kt Maria Minera Frisco Open pit 13 kt Tayahua Minera Frisco Underground 13 kt Table 1.12: Contained copper content in mined ore from Mexico in 2013 based on (Southern Copper, 2014) and (Minera Frisco, 2014) 1.3.11 Mining in Kazakhstan The copper contained in ore mined in Kazakhstan was 440 kt in 2013 as given in table 1.2. The mines listed in table 1.13 account for almost 85% of this production and will thus be taken as a proxy for the entire copper mining production in Kazakhstan in 2013. A bit more than 80% of the copper originated from underground mines and the other 20% from open pit mines.

Mine Ownership Type Production 2013 Akbastau KAZ Minerals Open pit 39 kt Nurkazgan West KAZ Minerals Underground 19 kt Sayak KAZ Minerals Most likely to be underground 16 kt Shatyrkul KAZ Minerals Underground 16 kt Konyrat KAZ Minerals Open pit 14 kt Orlovsky KAZ Minerals Underground 54 kt Yubileyno-Snegirikhinsky KAZ Minerals Underground 19 kt Artemyevsky KAZ Minerals Underground 19 kt Zhezkazgan North KAZ Minerals Open pit 17 kt Zhezkazgan East KAZ Minerals Underground 27 kt Zhezkazgan South KAZ Minerals Underground 40 kt Zhezkazgan West KAZ Minerals Underground 29 kt Stepnoy KAZ Minerals Underground 23 kt Zhomart KAZ Minerals Underground 41 kt Table 1.13: Contained copper content in mined ore from Kazakhstan in 2013 based on (KAZ Minerals, 2014) 1.3.12 Mining in Poland The copper contained in ore mined in Poland in 2013 was 430 kt as given in table 1.2. Table 1.14 shows the production of two mines in Poland. Production data for the third copper mine in Poland Legnica have not been found, but the mine is also an underground mine. It is therefore assumed that all copper mine in Poland originates from underground mines.

Mine Ownership Type Production 2013 Polkowice-Sieroszowice KGHM Underground 205 kt Lubin KGHM Underground 68 kt Table 1.14: Contained copper content in mined ore from Poland in 2013 based on (KGHM, 2015b) and (KGHM, 2015c) 1.3.13 Mining in Indonesia As shown in table 1.2 the copper contained in ore in 2013 mined in Indonesia was 380 kt. Data for the Grasberg mine as given in table 1.15 shows that even more was produced from that one mine. It is therefore assumed that all copper mined in Indonesia originates from an open pit mine.

Mine Ownership Type Production 2013 Grasberg Freeport-McMoran Open pit 401 kt Table 1.15: Contained copper content in mined ore from Indonesia in 2013 based on (Freeport-McMoRan, 2014a)

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1.3.14 Conclusion Mines The main copper mining countries that produce 5% or more of the contained copper content in mined ore are Chile (32%), China (11%), Peru (9%), the USA (8%), Australia (7%), Russia (6%), the DRC (6%) and Zambia (6%).

The division of production of copper mine production in the most important copper producing countries over underground and open pit mines can be found in table 1.16. Based on the previously made analyses it can be concluded that approximately 35% of the copper mined in the world originates from underground mines and 65% from open pit mines.

Country Contained copper content From Underground From Open pit Chile 5,700 kt 798 kt 4902 kt China 1,650 kt 1320 kt 330 kt Peru 1,300 kt 104 kt 1196 kt USA 1,220 kt 37 kt 1183 kt Australia 990 kt 752 kt 238 kt Russia 930 kt 744 kt 186 kt DRC 900 kt 135 kt 765 kt Zambia 830 kt 390 kt 440 kt Canada 630 kt 378 kt 252 kt Mexico 480 kt 48 kt 432 kt Kazakhstan 440 kt 352 kt 88 kt Poland 430 kt 430 kt 0 kt Indonesia 380 kt 0 380 kt

Total 15,880 kt 5,488 kt 10,392 kt Percentage of total 100% 35% 65% Table 1.16: Copper contained in ore originating from underground and open pit mines in 2013, contained copper content based on table 1.2 1.4 Smelters The main copper smelting countries in 2013 can be found in table 1.17, the data are an estimate made based on a diagram and have therefore be rounded off to three significant digits for the first three countries and two significant digits for the other countries. For each country the smelters in operation in 2013 for which production numbers were found in 2013 are listed, including data on ownership and furnace and converter type. Data for the smelters that have been found account for almost 77% of all copper smelted in the world in 2013. Names of smelters have mainly been obtained by searching via google. Ownership, production capacity and production technologies have mainly been obtained from the owner of the smelter. All sources are listed below the tables.

Country Smelter production 2013 China 5,680 kt Japan 1,560 kt Chile 1,350 kt Russia 860 kt India 610 kt South Korea 600 kt Poland 540 kt Zambia 530 kt USA 520 kt Germany 460 kt Australia 430 kt Bulgaria 330 kt Kazakhstan 320 kt Peru 310 kt Canada 280 kt Indonesia 270 kt Brazil 260 kt Mexico 220 kt Iran 220 kt Spain 220 kt Table 1.17: Main Copper Smelting Countries in 2013 (International Copper Study Group, 2014)

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1.4.1 Smelting in China In 2012 China accounted for more than 43% of the world copper demand (Minter, 2013). In 2009 only 25% of the Chinese copper demand could be supplied from Chinese copper mines (Lafitte, 2013), the other 75% therefore needs to originate from outside China. Thus not only does China import cathode and anode copper it also imports copper concentrates and large amounts of copper scrap that are being smelted and refined in China.

Mixing of inputs in copper smelters is not very common in China (Streicher-Porte & Althaus, 2010). The largest part of the smelters in China has environmental technology; air emissions coolers, fabric filters, hot electrostatic precipitators, cyclones and scrubbers for off gases (Streicher-Porte & Althaus, 2010). Only the older installations lack scrubbers (Streicher-Porte & Althaus, 2010).

No adequate data has been found for the production of Chinese copper smelters in 2013. By capacity it seems as if the largest copper smelters either have a Outotec flash furnace (Guixi, Shandong Fengxiang, Biayin, Shandong Xiangguang) or use the Ausmelt technology (Jinchuan smelter, Huludao, Chifeng Jinjian, Yantai Penghui) ( (Streicher-Porte & Althaus, 2010) and (Schlesinger, King, Sole, & Davenport, 2011)). In a study published in 2010 probably referring to data from 2008 or 2009 Streicher-Porte and Althaus (2010) state that based on assessing 89% of all smelters in China, 40% of the smelters were using the Outotec smelting technology, 2% was still reverberatory, 31% used Isasmelt or Ausmelt, 3% a blast furnace, 12% the Vanuykov process and 12% a bath smelter. No data was available for the converter type. 1.4.2 Smelting in Japan All smelters operating in Japan in 2013 are listed in table 1.18. Of the total produced copper in 2013, approximately 8% was produced using an Ausmelt furnace, 67% using an Outotec flash furnace, 20% using the Mitsubishi continuous process and the other 5% a combination of a reverberatory and Mitsubishi smelter. Most of the produced matte (80%) is afterwards converted using a Pierce smith converter, and 20% are converted in the Mitsubishi continuous process.

Smelter Ownership Furnace Type Converter Type Production 2013 Saganoseki/Oita Pan Pacific Copper Outotec Flash Pierce Smith Approx. 536 kt Naoshima/Kagawa Mitsubishi Mitsubishi Continuous Mitsubishi Converter Approx. 298 kt Onahama/Fukushima Dowa and Mitsubishi Reverberatory, Mitsubishi Pierce Smith Approx. 92 kt Smelter Tamano Hibi Kyodo Smelting Outotec Flash Pierce Smith Approx. 44 kt Toyo Sumitomo Outotec Flash Pierce Smith 435 kt copper cathode Kosaka Dowa Holdings Ausmelt Likely to be Pierce Smith Approx. 114 kt Table 1.18: Main copper smelters in Japan based on (Schlesinger, King, Sole, & Davenport, 2011), (Mitsubishi, 2015), (Sumitomo Metal Mining, 2014) and (Reuter, 2013). Production is based on doubling the production referred to by Reuters (2012) unless specified differently. 1.4.3 Smelting in Chile All smelters operating in Chile in 2013 are listed in table 1.19. Despite the fact that production data for the Codelco smelters and the Paipote smelter are unknown a conclusion can be drawn on the technology being used. Approximately 23% of the copper smelted in Chile was smelted by means of a Noranda Continuous smelter, 11% with an Outotec Flash furnace and the other 66% with a Teniente smelter. All copper is afterwards converted with a Pierce Smith converter.

Smelter Ownership Furnace Type Converter Type Production 2013 Altonorte Glencore Xstrata Noranda Continuous Pierce Smith 309 kt Chuquicamata Codelco Outotec Flash, Teniente Pierce Smith Unknown Caletones Codelco Teniente Pierce Smith Unknown Potrerillos Codelco Teniente Pierce Smith Unknown Chagres Anglo American Outotec Flash Pierce Smith 145 kt Las Ventanas Codelco Teniente Pierce Smith Unknown Paipote Enami Teniente Pierce Smith Unknown Table 1.19: Main copper smelters in Chile based on (Schlesinger, King, Sole, & Davenport, 2011), (Anglo American Chile), (GlencoreXstrata, 2014) and (Anglo American, 2014)

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1.4.4 Smelting in Russia Hardly any data was obtained for the smelting procedure in Russia. The only smelter for which data was found is the Norilsk Nickel smelter which is given in table 1.20. Based on this information no conclusion can be drawn on the technology being used in Russia. Data for Russia will therefore not be used to determine the average copper smelting technologies used in the world.

Smelter Ownership Furnace Type Converter Type Production 2013 Cooper Norilsk Nickel Outotec Flash, Vanyukov Unknown Approx. 320 kt (Norilsk Nickel, 2014) Table 1.20: Main copper smelters in Russia, Furnace type (Schlesinger, King, Sole, & Davenport, 2011) 1.4.5 Smelting in India All copper smelters in India are listed in table 1.21. If it is assumed that the production from the Birla copper smelter is spread evenly over the three furnaces being used, approximately 65% is being smelted in an Isasmelt or Ausmelt furnace, 19% in an Outotec Flash furnace and 16% in a Mitsubishi Continuous smelter. All of the converting in India is assumed to have happened in a Pierce Smith converter.

Smelter Ownership Furnace Type Converter Type Production 2013 Birla Copper Aditya Birla via Hindalco Outotec Flash, Ausmelt, Pierce Smith 320 kt in cathode Mitsubishi Continuous Tuticorin Vedanta via Sesa Sterlite Isasmelt Pierce Smith Approx. 310 kt in anode Ghatsila Hindustan Copper Outotec Flash Unknown 16 kt in cathode both Khetri and Ghatsila Khetri Hindustan Copper Outotec Flash Unknown 16 kt in cathode both Khetri and Ghatsila Table 1.21: Main copper smelters in India based on (Schlesinger, King, Sole, & Davenport, 2011), (Davenport, Jones, & Partelploeg, 2010), (MMC, 2015), (Hindustan copper, 2015), (Vedanta, 2014b), (IsaSmelt, 2015b) and (Hindalco (2013a), (2013b), (2013c), (2014)) 1.4.6 Smelting in South Korea Despite the fact that there are two different copper smelters in Korea; Onsan and Sukpo no production data or furnace and converter type of these smelters have been found. Therefore smelting in South Korea will not be used to estimate the technologies being used in copper smelting. 1.4.7 Smelting in Poland All copper smelters in Poland are listed in table 1.22. Because production data has only been found for both of smelters together, it is assumed that half of the copper is smelted at Głogów and the other half at Legnica. This means that half of the copper in Poland is produced by means of the Outotec Flash direct to copper smelter and the other half by means of a blast furnace. The converting happens for 50% in a Pierce Smith converter and for 50% in a Hoboken converter.

Smelter Ownership Furnace Type Converter Type Production 2013 Głogów KGHM Outotec-direct-to-blister Hoboken converter 565 kt cathode copper both Głogów and Legnica Legnica KGHM Blast furnace Pierce Smith 565 kt cathode copper both Głogów and Legnica Table 1.22: Smelters in Poland based on (Schlesinger, King, Sole, & Davenport, 2011), (Sulphuric Acid on the Web, 2011) and (KGHM, 2014a) 1.4.8 Smelting in Zambia All copper smelters in operation in 2013 in Zambia are listed in table 1.23. Of the copper smelter in Zambia approximately 66% was smelted in an Isasmelt furnace and 34% in an Outotec Flash direct to copper smelter. All converting is assumed to take place in a Pierce Smith converter.

Smelter Ownership Furnace Type Converter Type Production 2013 Mufulira Glencore Xstrata Isasmelt Pierce Smith 212 kt copper cathode Nchanga Vedanta via Konkola Copper Mines Outotec-direct-to-blister Unknown 216 kt in 2012/2013 Chambishi CNMC and Yunnan Isasmelt Unknown 201 kt Table 1.23: Smelters in Zambia based on (Schlesinger, King, Sole, & Davenport, 2011), (Vítková, et al., 2010), (GlencoreXstrata, 2014), (Vedanta, 2014b), (IsaSmelt, 2015a) and (CNMC, 2014)

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1.4.9 Smelting in the USA All copper smelters in operation in 2013 in the USA are listed in table 1.24. Approximately 31% is produced with an Outotec furnace, 23% using the Inco Flash furnace and 46% using a combination of an Isasmelt and ELKEM electric furnace. The latter will be characterised solely as an Isasmelt process. 31% of the converting in the USA happened in an Outotec converter, 23% in a Pierce Smith converter and 46% in a Hoboken converter.

Smelter Ownership Furnace Type Converter Type Production 2013 Kennecott Rio Tinto Outotec Flash Outotec converter 192 kt Hayden ASARCO Inco Flash Pierce Smith 145 kt in 2012, same assumed for 2013 Miami Freeport McMoran Isasmelt and ELKEM electric furnace Hoboken converter Approx. 290 kt1 Table 1.24: Smelters in USA based on (Schlesinger, King, Sole, & Davenport, 2011), (Rio Tinto, 2014b), (ASARCO, 2015a), (Freeport- McMoran, 2014b) and (Freeport-McMoran, 2015c) 1.4.10 Smelting in Germany All copper smelters in operation in 2013 in Germany are listed in table 1.25. These smelters operated by Aurubis smelt for 78% using an Outotec Flash smelter and for 22% in an Isasmelt smelter in combination with a TBRC smelter. The latter is characterised as an Isasmelt smelter. It is assumed that half of the copper converted at the Hamburg converter is converted in a Pierce Smith converter and the other half in an Isasmelt converter. This means that approximately 61% is converted in an Isasmelt converter and the other 39% in a Pierce Smith converter.

Smelter Ownership Furnace Type Converter Type Production 2013 Hamburg Aurubis Outotec Flash Pierce Smith, Isasmelt Average of 2013/2014 and 2012/2013 years, 360 kt cathode, anode unknown Lünen Aurubis Isasmelt and TBRC Isasmelt Average of 2013/2014 and 2012/2013 years, 199 kt cathode, anode unknown Table 1.25: Smelters in Germany based on (Schlesinger, King, Sole, & Davenport, 2011) and (Aurubis, 2014a)

1.4.11 Smelting in Australia All smelters operating in Australia in 2013 are listed in table 1.26. Approximately 56% of the copper was smelted in an Isasmelt furnace and the other 44% in an Outotec-direct-to-blister furnace. Converting happened mainly (56%) in a Pierce Smith converter and for 44% in the Outotec-direct-to-blister furnace.

Smelter Ownership Furnace Type Converter Type Production 2013 Mount Isa Glencore Xstrata Isasmelt Pierce Smith 208 kt Olympic dam BHP Billiton Outotec-direct-to-blister Outotec-direct-to-blister 166 kt copper cathode Table 1.26: Smelters in Australia based on (Schlesinger, King, Sole, & Davenport, 2011), (BHP Billiton, 2014a) and (GlencoreXstrata, 2014) 1.4.12 Smelting in Bulgaria There was only one copper smelter in use in Bulgaria in 2013, the Pirdop smelter. This smelter used the Outotec Flash furnace and a Pierce Smith converter.

Smelter Ownership Furnace Type Converter Type Production 2013 Pirdop Aurubis Outotec Flash Pierce Smith 354 kt Table 1.27: Smelters in Bulgaria based on (Schlesinger, King, Sole, & Davenport, 2011) and (Aurubis, 2014b)

1 All copper contained in mill production from mines in USA is assumed to be refined at El Paso, no other imports assumed 20

1.4.13 Smelting in Kazakhstan Table 1.28 lists data on some of the copper smelters used in Kazakhstan. No other data was obtained, while these smelters do not produce less than the total amount of copper smelted according to table 1.17. Therefore copper smelting in Kazakhstan will not be used in the determining of the technology used for copper smelting.

Smelter Ownership Furnace Type Converter Type Production 2013 Zhezkazgan KAZ Minerals Electric Arc Furnace Pierce Smith 76 kt Balkhash KAZ Minerals Vanyukov Pierce Smith 188 kt Table 1.28: Smelters in Kazakhstan based on (Renaissance Capital, 2010) and (KAZ Minerals, 2014) 1.4.14 Smelting in Peru There was only one copper smelter in operation in Peru in 2013; the Ilo smelter. This smelter uses the Isasmelt technology for smelting and Pierce Smith technology for converting.

Smelter Ownership Furnace Type Converter Type Production 2013 Ilo Southern Copper Isasmelt Pierce Smith 322 kt Table 1.29: Smelter in Peru based on (IsaSmelt, 2015c) and (Southern Copper, 2015) 1.4.15 Smelting in Canada There was only one copper smelter in operation in Canada in 2013; the Horne smelter. This smelter processes secondary material by means of a Noranda smelter and converter.

Smelter Ownership Furnace Type Converter Type Production 2013 Horne Glencore Xstrata Noranda smelter Noranda converter 206 kt Table 1.30: Smelter in Canada based on (Canadian Mining Journal, 2000) and (GlencoreXstrata, 2014) 1.4.16 Smelting in Indonesia There was only one copper smelter in operation in Indonesia in 2013; the Gresik smelter. Therefore even though production data are unknown it is possible to say that all copper was produced using the Mitsubishi continuous process.

Smelter Ownership Furnace Type Converter Type Production 2013 Gresik PT Smelting, partly owned by PT Freeport, Mitsubishi Continuous Mitsubishi Converter Unknown Mitsubishi and Nippon Mining Table 1.31: Smelter in Indonesia based on (PT Smelting, 2005)

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1.4.17 Conclusion Smelting The main countries involved in copper smelting producing 5% or more of the smelted copper in the world are China (34%), Japan (9%) and Chile (8%). Table 1.32 gives the main technologies being used that account for more than 5% of the smelted copper in the world. Outotec-direct-to-blister has been included because this process involves converting, and can therefore be seen as a main converting technology as well. The other bath smelting technologies besides the Teniente and Ausmelt/Isasmelt technologies include Noranda, Vanyukov and Mitsubishi smelting. The reverberatory, Inco and blast furnaces are not major technologies anymore and are also unlikely to become more popular in the future and will therefore not be further discussed in this research.

Country Smelter copper Outotec Outotec- direct- Teniente Ausmelt / Other Bath (Noranda, content to-blister Isasmelt Vanyukov, Mitsubishi) China 5,680 kt 2,273 kt 0 kt 0 kt 1,761 kt 1,362 kt Japan 1,560 kt 1,045 kt 0 kt 0 kt 125 kt 312 kt Chile 1,350 kt 149 kt 0 kt 891 kt 0 kt 310 kt India 610 kt 116 kt 0 kt 0 kt 397 kt 97 kt Poland 540 kt 0 kt 270 kt 0 kt 0 kt 0 kt Zambia 530 kt 0 kt 180 kt 0 kt 350 kt 0 kt USA 520 kt 161 kt 0 kt 0 kt 239 kt 0 kt Germany 460 kt 359 kt 0 kt 0 kt 101 kt 0 kt Australia 430 kt 0 kt 189 kt 0 kt 241 kt 0 kt Bulgaria 330 kt 330 kt 0 kt 0 kt 0 kt 0 kt Peru 310 kt 0 kt 0 kt 0 kt 310 kt 0 kt Canada 280 kt 0 kt 0 kt 0 kt 0 kt 280 kt Indonesia 270 kt 0 kt 0 kt 0 kt 0 kt 270 kt

Total 12,870 kt 4,433 kt 639 kt 891 kt 3,524 kt 2,631 kt Percentage of total 100% 34% 5% 7% 27% 20% Table 1.32: Technologies used in copper smelting in 2013, smelter copper content based on table 1.17

It is more difficult to draw a conclusion on the converting technologies being used in the world because no data is available for converters being used in China, the main copper smelting country. In the other countries being discussed, the largest amount of converting is done by means of Pierce Smith converters. All other converter types seem to account for less than 5% of the total converted copper, and therefore only Outotec-direct-to- blister and the Pierce Smith converter will be described used in the rest of this research.

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1.5 Refiners The main copper refining countries in 2013 can be found in table 1.33, the data are an estimate made based on a diagram and have therefore be rounded off to three significant digits for the first four countries and two significant digits for the other countries. More than 75% of the refineries in the world are covered and for each country the refineries in operation in 2013 for which production numbers were found in 2013 are listed, including data on ownership and technology being used. Names of refineries have mainly been obtained by searching via google. Ownership, production capacity and production technologies have mainly been obtained from the owner of the refinery. All sources are listed below the tables.

Country Refinery production 2013 China 6,500 kt Chile 2,750 kt Japan 1,470 kt USA 1,030 kt Russia 890 kt Germany 690 kt Democratic Republic of the Congo 630 kt India 620 kt South Korea 610 kt Zambia 580 kt Poland 570 kt Australia 480 kt Belgium 390 kt Mexico 370 kt Peru 360 kt Spain 340 kt Kazakhstan 330 kt Canada 310 kt Brazil 260 kt Bulgaria 220 kt Table 1.33: Main Copper Refining Countries in 2013 (International Copper Study Group, 2014) 1.5.1 Refining in China Mixing of inputs in refining is not common in China (Streicher-Porte & Althaus, 2010). Most refineries use wet or semi-dry scrubbers to prevent acid mist emissions (Streicher-Porte & Althaus, 2010).

No data was found on the refinery production in China and therefore also no conclusion can be drawn on the exact technologies used in the production. However since in 2009 at maximum 25% was mined from own mines as described in section 1.4.1, this is the maximum that can be produced using SX-EW technology. At least some of these mines will also use concentrating instead of SX-EW. Therefore it can be assumed that at least 80% of the copper refined in China is produced by means of electrolytic refining. The other 20% could possibly be produced using SX-EW technology. The leaching method is therefore unknown. 1.5.2 Refining in Chile Because of the lack of data published by Codelco on the cathode production of their individual refineries, it is impossible to make an estimate of the technology used in Chile for refining. However, according to Schüller et al. (2008) approximately 30% of all copper cathode produced in Chile is produced by means of SX-EW. It is assumed that this is still the case in 2013.

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1.5.3 Refining in Japan Table 1.34 lists all refineries in Japan except for the Hitachi refinery for which production data is unclear. However this refinery uses the electrowinning technique. Therefore it can be stated that all refineries in Japan use the electrowinning technique.

Refinery Ownership Method Production 2013 Saganoseki/Oita Pan Pacific Copper Electrowinning Approx. 536 kt Naoshima/Kagawa Mitsubishi Electrowinning Approx. 298 kt Onahama/Fukushima Dowa and Mitsubishi Electrowinning Approx. 92 kt Tamano Hibi Kyodo Smelting Electrowinning Approx. 44 kt Toyo Sumitomo Electrowinning 435 kt copper cathode Kosaka Dowa Holdings Electrowinning Approx. 114 kt Table 1.34: Refineries in Japan in 2013 based on (Sumitomo Metal Mining, 2014) and doubling the production of Reuters (2012) 1.5.4 Refining in USA Table 1.35 lists all copper refineries in the USA that were operating in 2013. Of the total amount of cathode copper produced approximately 57% was produced by means of electrolytic refining and the other 43% by means of SX-EW. The largest part of the leaching appears to have occurred from heap leaching, but the exact amount is unclear.

Refinery Ownership Method Production 2013 Amarillo Asarco Electrorefining 130 kt2 Garfield Rio Tinto via Kennecott Utah Copper Electrorefining 194 kt El Paso Freeport McMoran Electrorefining Approx. 290 kt3 Ray Asarco Unknown leaching method, SX-EW 29 kt Silver Bell Asarco In-situ and dump leaching, SX-EW 20 kt (Grupo Mexico, 2014) Morenci Freeport-McMoran Dump and heap leaching, SX-EW Total all Freeport McMoran Electrowinning facilities 403 kt Chino Freeport-McMoran Dump leaching, SX-EW Total all Freeport McMoran Electrowinning facilities 403 kt Tyrone Freeport-McMoran Dump leaching, SX-EW 39 kt Sierrita Freeport-McMoran Dump leaching, SX-EW Total all Freeport McMoran Electrowinning facilities 403 kt Bagdad Freeport-McMoran Dump leaching, SX-EW Total all Freeport McMoran Electrowinning facilities 403 kt Safford Freeport-McMoran Unknown leaching method, SX-EW Total all Freeport McMoran Electrowinning facilities 403 kt Miami Freeport-McMoran Unknown leaching method, SX-EW Total all Freeport McMoran Electrowinning facilities 403 kt Table 1.35: Refineries in USA in 2013 based on (Rio Tinto, 2014a), (Freeport-McMoran, 2015a), (Freeport-McMoran, 2014b), (Grupo Mexico, 2014), (ASARCO, 2015b), (Schippers, Glombitza, & Sand, 2014) and (Marsden, 2008) 1.5.5 Refining in Russia Table 1.36 lists two copper refineries in Russia. Data for other refinery plants in Russia could not be found. There are at least four more refineries in Russia of which three are owned by the Russian Copper Company; Kyshtym, Novgorods and Uralgidromed. The first two are electrolytic refining facilities and the latter is a SX-EW plant that processes pregnant leach solution from in-situ leaching. Another electrolytic refinery, Pyshma, is owned by UNMC. Because of the limited data no conclusion can be drawn on the production method for copper refining in Russia.

Refinery Ownership Method Production 2013 Cooper Norilsk Nickel Electrorefining 297 kt Monchegorsk Norilsk Nickel Electrorefining 62 kt Table 1.36: Refineries in Russia in 2013 based on (Norilsk Nickel, 2014)

2 Total of 586 kt produced in 2013 by Grupo Mexico (Grupo Mexico, 2014) minus the amount produced at the other two refining facilities, Ilo and la Caridad 3 All copper contained in mill production from mines in USA is assumed to be refined at El Paso, no other imports assumed 24

1.5.6 Refining in Germany Two copper refineries in Germany have been found. These two refineries owned by Aurubis produce copper by means of electrorefining. It is unlikely that there is another large refinery in Germany but the estimated production does not entirely add up to the amount that was produced in Germany in 2013 as was given in table 1.33. If there is another refinery it is unlikely that it is an SX-EW refinery since Germany does not have any copper mines and therefore it can be concluded that all copper cathode produced in Germany is produced in an electrolytic refinery.

Refinery Ownership Method Production 2013 Hamburg Aurubis Electrorefining Average of 2013/2014 and 2012/2013 years, 368 kt Lünen Aurubis Electrorefining Average of 2013/2014 and 2012/2013 years, 196 kt Table 1.37: Refineries in Germany in 2013 based on (Aurubis, 2014a) 1.5.7 Refining in DRC Table 1.38 lists all the refinery operations on which data was found in operation in 2013. It is possible that there are one or two small SX-EW plants that are not listed in the table, but this is unlikely since the refineries in the table account for more than 97% of all copper refined in the DRC in 2013. All copper in the DRC was produced by means of SX-EW. The leaching process is probably agitation leaching, but no conclusion can be drawn.

Refinery Ownership Method Production 2013 Tenke Fungurume Lundin Mining Probably agitation leaching, SX-EW 210 kt Kinsevere MMG Probably agitation leaching, SX-EW 62 kt Mutanda Glencore Xstrata Probably agitation leaching, SX-EW Mutanda and Kansuki together 150 kt Luilu Katanga Mining Probably agitation leaching, SX-EW 136 kt Ruashi Jinchuan Probably agitation leaching, SX-EW 35 kt Usoke Shalina Resources Probably agitation leaching, SX-EW 19 kt Table 1.38: Refineries in DRC in 2013 based on (Schlesinger, King, Sole, & Davenport, 2011), (Lundin Mining, 2014), (MMG, 2014a), (PR Newswire, 2014), (Katanga Mining, 2014), (Jinchuan Group International Resources, 2014) and (Shalina Resources, 2015) 1.5.8 Refining in India All refineries in operation in 2013 in India are listed in table 1.39. All refineries used electrorefining.

Refinery Ownership Method Production 2013 Birla Aditya Birla via Hindalco Electrorefining 320 kt Tuticorin Vedanta Resources via Sesa Sterlite Electrorefining 283 kt both Tuticorin and Silvassa Silvassa Vedanta Resources via Sesa Sterlite Electrorefining 283 kt both Tuticorin and Silvassa Khetri Hindustan Copper Electrorefining 16 kt both Khetri and Ghatsila Ghatsila Hindustan Copper Electrorefining 16 kt both Khetri and Ghatsila Table 1.39: Refineries in India in 2013 based on (Hindalco (2013a), (2013b), (2013c), (2014)), (Sesa Sterlite (2013a), (2013b), (2014)) and (Hindustan copper, 2015) 1.5.9 Refining in South Korea There is only one copper refinery in South Korea, the Onsan refinery owned by LS-Nikko Copper. Copper is produced here by means of electrorefining.

Refinery Ownership Method Production 2013 Onsan LS-Nikko Copper Electrorefining Unknown Table 1.40: Refinery in South Korea

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1.5.10 Refining in Zambia All refineries found to produce copper cathode in Zambia are listed in table 1.41. It is possible that there are one or more small SX-EW plants that are not included in this list. However the listed refineries account for at least 93% of all copper cathode produced in Zambia. When assuming that when both SX-EW and electrorefining are used both account for half of the production, at least 27% is produced by means of electrorefining and the other 73% is likely to have been produced with SX-EW. The most common leaching method appears to be agitation leaching, but no conclusion can be drawn.

Refinery Ownership Method Production 2013 Mufulira Glencore Xstrata In-situ leaching, heap leaching, SX-EW and 212 kt electrorefining Chambishi ENRC Probably agitation leaching, SX-EW 20 – 25 kt Sable Glencore Xstrata Probably agitation leaching, SX-EW 15 kt Kansanshi First Quantum Minerals Pressure oxidation leaching, SX-EW 100 kt Nkana Konkola Copper Mines Agitation leaching, SX-EW and electrorefining 188 kt both Nchanga and Nkana Nchanga Konkola Copper Mines Probably agitation leaching, SX-EW 188 kt both Nchanga and Nkana Mulyashi CNMC, ZCCM Agitation leaching and heap leaching, SX-EW 24 kt Table 1.41: Refineries in Zambia in 2013 based on (Steven, 2009), (Steelguru, 2012), (GlencoreXstrata, 2014), (Schlesinger, King, Sole, & Davenport, 2011), (ENRC, 2014), (First Quantum Minerals, 2014), (Young, Taylor, & Anderson, 2008), (Vedanta (2013a), (2013b) , (2013c), (2014a) and (2014b)), (USGS, 2013) and (ZCCM, 2015)

1.5.11 Refining in Poland All refined copper produced in 2013 in Poland was produced in one of the two refineries owned by KGHM. Both of these used electrorefining as a method.

Refinery Ownership Method Production 2013 Głogów KGHM Electrorefining 565 kt both Głogów and Legnica Legnica KGHM Electrorefining 565 kt both Głogów and Legnica Table 1.42: Refineries in Poland in 2013 based on (KGHM, 2014a) 1.5.12 Refining in Australia All refined copper produced in Australia in 2013 was produced either at the Townsville electrolytic refinery, the Olympic dam electrolytic refinery or by means of SX-EW at the Olympic dam mine. This means that almost 98% of all copper refined in Australia is produced by means of electrorefining. The leaching method is unknown.

Refinery Ownership Method Production 2013 Townsville Glencore Xstrata Electrorefining 267 kt in 2012, same assumed in 2013 Olympic Dam BHP Billiton Leaching method unknown, SX-EW, electrorefining 174 kt of which 11 kt from SX-EW Table: 1.43: Refineries in Australia in 2013 based on (Xstrata Copper North Queensland Operations, 2013) and (BHP Billiton (2013) and (2014b))

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1.5.13 Conclusion refining The main countries involved in copper refining, accounting for 5% or more of the world cathode copper production are China (31%), Chile (13%), Japan (7%) and the USA (5%).

Table 1.44 shows an approximation of the technologies used in the production of copper cathode. It is very likely that more refined copper is produced using electrorefining because the amount of SX-EW production in China is based on an estimate. The amount of SX-EW production in Chile could be slightly higher than is portrayed in the table, but is unlikely to be very much higher because some large refineries in Chile are known to use electrorefining. Therefore it can be concluded that at least 77% of the world copper cathode is produced using electrorefining.

Country Refined copper content Electrorefining SX-EW China 6,500 kt 5,200 kt 1,300 kt Chile 2,750 kt 1,925 kt 825 kt Japan 1,470 kt 1,470 kt 0 kt USA 1,030 kt 587 kt 443 kt Germany 690 kt 690 kt 0 kt DRC 630 kt 0 kt 630 kt India 620 kt 620 kt 0 kt South Korea 610 kt 610 kt 0 kt Zambia 580 kt 157 kt 423 kt Poland 570 kt 570 kt 0 kt Australia 480 kt 456 kt 24 kt

Total 15,930 12,285 3,645 Percentage of Total 100% 77% 23% Table 1.44: Technologies used in copper refining refined copper content based on table 1.33

No conclusion can be drawn on the leaching method applied in most SX-EW operations, especially because data from China is lacking. However according to Schlesinger, King, Sole and Davenport (2011) vat leaching is only applied commercially in one place in the world and pressure oxidation leaching is also rarely applied. It can therefore be stated that heap, dump and agitation leaching are widely applied leaching methods. 1.6 Conclusion The main countries and production technologies involved in the different production steps of copper have been discussed in this chapter. Table 1.45 shows a summary of the main copper producing countries.

Mining Smelting Refining Chile (32%) China (34%) China (31%) China (11%) Japan (9%) Chile (13%) Peru (9%) Chile (8%) Japan (7%) USA (8%) USA (5%) Australia (7%) Russia (6%) DRC (6%) Zambia (6%) Table 1.45: Main countries producing 5% or more of the copper produced in the respective production step in 2013

By analysing 88% of the copper mines in the world it can be concluded that from those mines 35% of the copper is mined from underground mines and for 65% from open pit mines. It can be assumed that approximately the same balance holds for the other mines in the world that have not been studied.

The main copper smelting technologies that have been determined by looking at more than 75% of the copper smelters in the world appear to be the Outotec Flash Smelter, the Outotec-direct-to-blister smelter, the El Teniente smelter, the Ausmelt or Isasmelt smelter and other bath smelters such as the Noranda, Vanyukov and Mitsubishi continuous smelters. The other smelting technologies are not predominant and are unlikely to increase in use in the future. Therefore these technologies will not be discussed in chapter 2 when the copper production technologies are introduced.

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The main used copper converting technology appears to be the Pierce Smith converter, although important data for China on this matter are missing. In other countries other converting technologies however account for less than 5% of the converted copper and will therefore not be discussed further.

Based on the studying of more than 75% of the world’s copper smelters it can be concluded that at least 77% of the world copper cathode production is produced using the electrorefining method. This means that at maximum 23% of the copper production is produced using SX-EW and therefore leaching. Unfortunately no conclusion can be drawn on the most prevalent leaching methods used in copper production. However since neither pressure oxidation leaching nor vat leaching are widely applied commercially only heap, dump and agitation leaching will be described in the next chapter.

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Chapter 2 - Copper Production Technologies 2.1 Introduction This chapter gives an introduction into the main technologies that are used in the production of copper. The technologies that in chapter 1 have been shown to be used in 75% of the countries involved in the production of copper will be described below. The production technologies involved are separated into the production of primary copper (Section 2.2) and the production of secondary copper (Section 2.3). It must be noted that it is impossible to make a clear distinction between the two production systems because mixing of feed occurs. All technologies involved in the production of secondary copper that mainly depend on scrap inputs will therefore be described in Section 2.3 and all other technologies in Section 2.2. 2.2 Primary copper production Primary copper can be produced via two different methods; the pyrometallurgical route and the hydrometallurgical route. For both routes extraction of raw resources by means of mining is necessary, but the routes deviate from each other afterwards. Mining of copper containing ores will therefore first be described in section 2.2.1 before the different steps in the pyrometallurgical route are described in section 2.2.2 to 2.2.8 and the steps of the hydrometallurgical route in section 2.2.9 to 2.2.11. 2.2.1 Mining The most important copper deposits are porphyry copper deposits (Ayres, Ayres, & Masini, 2006). Copper exists in a large number of different ore minerals. Minerals include; bornite, brochantite, chalcocite, chalcopyrite, covelite, cuprite, enargite, malachite, azurite and chrysocolla (Spitz & Trudinger, 2009). The main copper mineral that is mined is chalcopyrite (Woodcock, Sparrow, & Bruckard, 2007). Ores that are referred to as oxide ores are most commonly weathered products of these sulphide ores.

Much has been said about declining ore grades in the copper industry and the depletion of copper resources. It is true that the global average ore grade from current mines has declined since 2003, however initial head grades have not shown a tendency to decline (Crowson, 2012). The grade that is being treated has declined over time (Crowson, 2012), a possible explanation for this is that treating lower grade ores has become economically feasible because of new technologies (Wellmer & Wagner, 2006). In 2007 the average copper concentration in mined ore was approximately 0.75% (Crowson, 2012). A few years later the average grade of copper mines according to Norgate and Jahanshahi (2011) lies somewhere below 0.9%.

Less than 3% of the copper in the world originates from artisanal mining (Wagner, et al., 2007), which means that the largest part of copper mining occurs in large scale copper mines. Copper is mainly mined from surface or open-pit mines but can also be mined by means of underground mining methods as it is contained in hard rock. All rocks above the ore deposit that the mining operations is aiming for is called overburden. There are three main types of surface mining; open pit mining, strip mining and placer mining (Rankin, 2011). Strip mining and placer mining are hardly used in the mining of copper. Most open pit mines are developed in the shape of a bowl, with benches that enable working space at different levels and help stabilise the walls (Rankin, 2011).

Underground mining is mostly used for deep ore bodies where an open pit would demand the excavation of a large amount of overburden. In underground mining ventilation and water drainage is very important. There a three types of underground mining methods; the unsupported methods, supported methods and caving methods. In the former type no artificial support is needed, while in the second artificial supports such as rock bolts are needed to keep the underground mine stable. When using a caving method the mine is designed to collapse.

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In both surface and underground mines drilling and blasting is necessary because of the high strength of rocks in which copper minerals are contained. Drilling is done by means of a drilling jumbo (2-6 used per mine) either as hydraulic or pneumatic drilling. The drilled holes are then loaded with explosives. Explosives that are often used in mining are ANFO (Ammonium Nitrate Fuel Oil), slurries, emulsions or gelatine. ANFO often consist out of 94.5% ammonia nitrate and 5.5% diesel fuel. Slurries contain water gel, AN particles, fuel oil, TNT and nitroglycerin. Emulsions are aqueous nitrates dispersed in fuel oil. Gelatines are a combination of nitroglycerin and nitrocotton forming a blasting gelatine. Especially ANFO and emulsions are often used in both surface mines and large underground mines. After the blasting the ore is hauled out of the pit by means of shovels, draglines, excavators or front-end loaders. The material is then transported by means of haul trucks or a belt. There are approximately 10-22 haul trucks used per mine.

After the mining of the ore, the stones need to be sized down to make them suitable to transport outside of the mine. Crushing is mostly done by means of compression in gyratory, jaw or cone crushers. These crushers can be used in sequence to achieve an ore size of about 25 mm at the end of the line. A pneumatic or hydraulic impact breaker is often used to break up large rocks that can be fed into the primary crusher which is often a jaw or gyratory crusher. The secondary and tertiary crushing is carried out by cone crushers. The primary crushing is often done inside the mining pit to minimise the amount of ore being carried to the surface.

Pyrometallurgical route Sulphide ores are mostly treated via the pyrometallurgical route (Schüller, Estrada, & Bringezu, 2008). Oxide ores cannot be treated with this method because froth flotation used for concentration is difficult with oxides and because oxide ores are lower on sulphur content which is needed in the flash smelting process. 2.2.2 Comminution After mining of the copper, the mined ores need to be broken up into smaller pieces to make it suitable for the production of copper concentrates. The comminution of ores include blasting, crushing and grinding. Both blasting and crushing have been discussed in section 2.2.1 on mining of copper ore since these operations typically happen within the mining pit before the smaller pieces of ore are transported from the mine towards the grinding mill.

Grinding is done to liberate the copper containing mineral grains from the rest of the rock. The amount of grinding needed is dependent on the sizes of different minerals contained in the rock. There are three main types of grinding mills used; semi-autogenous (SAG), autogenous (AG) and ball mills (Schlesinger, King, Sole, & Davenport, 2011). The grinding cycle mostly exists of either a SAG or an AG mill combined with one or two ball mills (Schlesinger, King, Sole, & Davenport, 2011). Grinding is done wet, to make it easy to integrate the process with the flotation process.

In the SAG or AG mill the rock grinds itself, in case of the SAG mill approximately 0.15 m3 of 13 cm diameter steel or iron balls are added to the mill per 0.85 m3 of ore to help the grinding (Schlesinger, King, Sole, & Davenport, 2011). The SAG mill is the most commonly used mill (Schlesinger, King, Sole, & Davenport, 2011). The ball mills that are used after the SAG mill grind the rock by means of iron or steel balls with a diameter between 5-10 cm (Schlesinger, King, Sole, & Davenport, 2011). Based on ore volume, approximately 0.25 m3 of iron is used per 0.75 m3 of ore (Schlesinger, King, Sole, & Davenport, 2011). Hydrocyclones are used to control the size of the produced particles. Particles that are too large are being recycled for re-grinding. 2.2.3 Concentrating Ores ranging in grade from 0.7-1.9% are first concentrated by means of beneficiation (Schüller, Estrada, & Bringezu, 2008). Copper concentrate enrichment can be at most 34.5% for CuFeS2 (Woodcock, Sparrow, & Bruckard, 2007), the concentration grade for other minerals can go up to 45% (Schüller, Estrada, & Bringezu, 2008). The average concentration grade lies between 20 and 30% (Krüger, 2006). Besides copper, concentrates contain between 25-35% sulphur and 25-35% iron (Ayres, Ayres, & Masini, 2006).

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Froth flotation is the main technique for concentrating sulphide ores. A flotation cell resembles a large washing machine. The ore is first conditioned so that is becomes water repellent by means of a collector chemical. Air is then bubbled up through the slurry and the hydrophobic copper minerals attach to the bubbles which rise to the surface. Because of the addition of frothers the air bubbles do not immediately break and release the copper back into the slurry. The froth can then be skimmed from the top of the water. This process is carried out several times to separate oxide from sulphide minerals, non-copper from copper minerals and different copper minerals from each other. To be able to separate non-copper from copper sulphide minerals modifiers are used to modify the surface of non-copper sulphides so that the collectors do not attach to their surface. Because of the different mineral compositions of ores, the exact chemical concentrations and flotation process can differ significantly. Some chemicals are shown in table 2.1.

Chemical group Chemical Concentration Collectors Xanthate 5 – 350 g / tonne of ore Dithiophosphate 10 – 250 g / tonne of ore Mercaptobenzothiazole 25 – 250 g / tonne of ore Thionocarbamate 10 – 15 g / tonne or ore

On average: 10 – 50 g / tonne of ore pH - Modifiers Calcium oxide 200 – 2,400 g / tonne of ore Sodium carbonate 500 – 2,500 g / tonne of ore Sulphuric acid 250 – 2,500 g / tonne of ore Activators Copper sulfate 100 – 2,500 g / tonne of ore Sodium sulfide 250 – 500 g / tonne of ore Frothers Synthetic alcohol (e.g. methyl isobutyl carbinol or MIBC) 25 – 50 g / tonne of ore Polyglycols 5 – 100 g / tonne of ore Table 2.1: Chemicals used in copper flotation, concentrations based on (Woodcock, Sparrow, & Bruckard, 2007) and (Schlesinger, King, Sole, & Davenport, 2011)

The flotation process produces a product containing 75% water which needs to be dewatered before producing the final concentrate (Schlesinger, King, Sole, & Davenport, 2011). The slurry is thickened by means of gravity and for faster thickening sometimes organic flocculants such as polyacrylamides are added (Schlesinger, King, Sole, & Davenport, 2011). After the thickening process, more water is removed by means of different filters until the concentrate contains approximately 8% water (Schlesinger, King, Sole, & Davenport, 2011).

Approximately 98% of the ore fed to a concentrator comes out as flotation tailings (Schlesinger, King, Sole, & Davenport, 2011). These tailings typically contain 0.02-0.15% copper when dry (Schlesinger, King, Sole, & Davenport, 2011). Tailings are most commonly stored in tailing dams (Edraki, et al., 2014). Other methods of tailings management include raised embankments, dry-stacking of thickened tailings on land, backfilling into mines and direct disposal into rivers, lakes or the ocean (Edraki, et al., 2014).

2.2.4 Smelting Many different smelting procedures exist, but all procedures include the following steps (Woodcock, Sparrow, & Bruckard, 2007). The first step is combining copper concentrate with a flux containing oxygen, limestone and silica to cause oxidation of the concentrates (Ayres, Ayres, & Masini, 2006). Afterwards the matte settles through the slag layer so that most copper ends up in the matte and most iron oxides in the slag. Lastly the matte is tapped out of the furnace, also slag is periodically removed. In general slag produced during the process contains mainly ferrous oxide, ferric oxide and silica. Smaller amounts of alumina, calcia and magnesia can be present (Woodcock, Sparrow, & Bruckard, 2007). Off-gas is continuously tapped off. Leached and cemented copper oxide (CuSO4) can be fed to the smelter furnaces, however this has not been a popular route since the SX-EW technology was developed (Schüller, Estrada, & Bringezu, 2008).

The matte that is produced typically contains 45 – 75% copper (Woodcock, Sparrow, & Bruckard, 2007). The off-gas contains sulphur dioxide, nitrogen and small amounts of carbon dioxide, water and volatilized compounds contained in dust (Woodcock, Sparrow, & Bruckard, 2007).

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Outotec Flash smelting Flash smelting is the most common smelting technology (Woodcock, Sparrow, & Bruckard, 2007). The products from flash smelting include matte with a concentration of 55-65% copper, slag containing between 1-2% copper and off-gas containing 30-70% sulphur dioxide by volume (Woodcock, Sparrow, & Bruckard, 2007). Because the off-gas is rich in sulphur dioxide it is relatively easy to capture and process so as to make sulphuric acid.

There are two types of flash smelting the Outotec process and the Inco process (Streicher-Porte & Althaus, 2010), the Outotec process is often referred to as the Outokumpu process (Schlesinger, King, Sole, & Davenport, 2011). Of the two the Outotec process is more common (Streicher-Porte & Althaus, 2010), it accounts for 34% of the total smelted copper in 2013 as determined in chapter 1. The Outotec process uses pre-heated or oxygen-enriched air containing between 45-88% of oxygen (Schlesinger, King, Sole, & Davenport, 2011), the process uses some hydrocarbons to operate (Woodcock, Sparrow, & Bruckard, 2007). A matte containing 65% copper is typically produced (Schlesinger, King, Sole, & Davenport, 2011). Advantages of the Outotec process are the possibility to recover the heat from the off-gas and to recycle the dust (Schlesinger, King, Sole, & Davenport, 2011).

El Teniente and other submerged tuyere bath smelters Submerged tuyere smelting includes the lowering of several tuyeres into a bath containing both molten matte and slag to blow in a flux containing silica and oxygen-enriched air. This leads to the oxidation of iron and sulphur and removal of impurities that mostly end up in the slag and off-gas. There are three different submerged tuyere smelters that are in use; El Teniente, Noranda and Vanuykov.

The submerged tuyere smelter technologies account for approximately 15% of the world’s copper smelting (Schlesinger, King, Sole, & Davenport, 2011), of which the El Teniente smelter accounted for approximately 7% of the world production in 2013 as determined in chapter 1. The El Teniente smelter is the primary smelting method in Chile (Schlesinger, King, Sole, & Davenport, 2011). The Noranda and Vanyukov technologies are used much less often. Table 2.2 shows the difference between the three technologies.

Technology Copper grade matte Copper grade slag SO2 grade off-gas Oxygen enrichment Noranda 70 – 74% 6% 16 – 20% by volume 40% by volume El Teniente 72 – 74% 6 – 10% 25% by volume 40% by volume Vanuykov 45 – 74% 0.7 – 2% 25 – 40% by volume 50 – 90% by volume Table 2.2: Submerged Tuyere smelting technologies based on (Schlesinger, King, Sole, & Davenport, 2011) and (U.S. Congress, Office of Technology Assessment, 1988)

Isasmelt / Ausmelt Besides the submerged tuyere bath smelting, there are other types of bath smelting in which concentrates and scrap can be fed into a furnace to melt while oxygen-enriched air is pumped in via a top submerged lance (TSL). The matte/slag is tapped periodically in the Isamelt process and continuously in the Ausmelt process. This mixture is transported to a separating furnace that can either run on fossil fuels or on electricity. The matte that is produced contains 60% copper and the slag 0.7% copper. The off-gas contains approximately 25% SO2. Oxygen enriched air contains 30-65% oxygen. The matte can either be processed using a conventional Pierce Smith converter or can be converted in the same furnace, as is done with secondary copper production.

Other types of bath smelting The Mitsubishi process is older but very similar in operation. It is a continuous process that includes a converting furnace as last step of the product line. In the smelter the oxygen enriched air contains 55% oxygen. Off-gas 25- 30% SO2. The converter produced slag containing 14% copper and off-gas containing 25- 30% SO2. Oxygen enriched air contains 30-35% oxygen (Schlesinger, King, Sole, & Davenport, 2011). Scrap metal can be added in the process (Krüger, 2006).

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2.2.5 Converting Molten copper-iron matte is converted to form a blister copper with a grade between 96 and 99% (Schüller, Estrada, & Bringezu, 2008). 90% of the converting happens in the Pierce Smith converter (Schlesinger, King, Sole, & Davenport, 2011). In the Pierce Smith converter, converting happens in two stages. In the first stage iron is oxidised and combined with a flux containing silica to form an iron silica slag. In the second stage the copper sulphide is converted into copper by oxidising the sulphur. The entire process is autothermal and the energy is produced from the iron and sulphur oxidation (Schlesinger, King, Sole, & Davenport, 2011). The produced slag contains 4-8% copper which can be recovered by settling or froth flotation (Schlesinger, King, Sole, & Davenport, 2011). The off-gas contains 8-12% SO2 by volume and also includes other impurities. Some leakage of SO2 may occur during charging and pouring of the converter. The matte blister copper produced in the Pierce Smith converter contains 99% copper (Schlesinger, King, Sole, & Davenport, 2011). The oxygen enriched air that is used in the process, in half of the cases contains approximately 29% oxygen by volume (Schlesinger, King, Sole, & Davenport, 2011). Some scrap can be added in the process.

Alternative converters that have less fugitive emissions of SO2 include; the Hoboken converter, flash converting, Noranda continuous converting, Mitsubishi top-blown converter, Ausmelt TSL and Isamelt batch converting (Schlesinger, King, Sole, & Davenport, 2011). However since these technologies are used so little as determined in chapter 1, they are not further described. 2.2.6 Combined smelting and converting Smelting and converting can also be combined in one process, making it possible to save energy and collect SO2 more easily. These processes are often called continuous direct-to-copper smelting processes. These processes produce a slag containing approximately 25% copper (Schlesinger, King, Sole, & Davenport, 2011). There is only one single furnace direct-to-copper smelting process; the Outotec flash smelting and converter. This technology produces 99% blister copper, slag containing between 12 and 28% copper and off-gas containing 16-41% SO2 by volume (Schlesinger, King, Sole, & Davenport, 2011). The oxygen blast into the furnace contains 65-95% oxygen (Schlesinger, King, Sole, & Davenport, 2011). 2.2.7 Fire refining and anode casting In fire refining the oxygen and sulphur still present in the blister copper is removed. The sulphur is oxidised and the oxygen is removed by means of hydrocarbon reduction with natural gas, hydrogen or ammonia (Ayres, Ayres, & Masini, 2006). There is two different types of furnaces that are used; rotary furnace refining and hearth furnace refining (Schlesinger, King, Sole, & Davenport, 2011). The first is the most commonly used in primary copper production and the latter in secondary copper production. The fire refined copper with a grade of more than 99% copper is consequently cast in open moulds. If the blister quality going into the process was high enough further refining is not necessary.

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2.2.8 Electrolytic refining In electrolytic refining, either fire refined anodes, anodes from the electrolytic refinery itself, copper or stainless steel sheets are used as cathodes. An aqueous solution of sulphuric acid and CuSO4 is used as an electrolyte. The electrolyte may also include some chlorine and organic addition agents. The anodes are hung vertically between the cathode sheets in tanks filled with the electrolyte. An electric current is run through the solution and the copper corrodes from the anode onto the cathode, this process takes 7 to 10 days (Schlesinger, King, Sole, & Davenport, 2011). Impurities such as gold, lead, tin, selenium, tellurium and PGMs end up in the slime at the bottom of the cell (Schlesinger, King, Sole, & Davenport, 2011). Other impurities such as arsenic and bismuth dissolve into the electrolyte but do not plate with the copper. The electrolyte is bled through a purification circuit to prevent accumulation of these elements. After deposition the copper is stripped and washed. Electrolytic refining produces a cathode copper with a 5N or 5N+ grade (Schüller, Estrada, & Bringezu, 2008).

Material Concentration Copper 40 – 50 g per liter Sulphuric acid 170 – 200 g per liter Nickel 10 – 20 g per liter Arsenic 20 g per liter Chlorine 0.02 – 0.05 g per liter Protein colloids 50 – 120 g / tonne of cathode copper Thiourea 30 – 150 g / tonne of cathode copper Table 2.3: Composition electrolyte for electrolytic refining based on (Schlesinger, King, Sole, & Davenport, 2011)

Hydrometallurgical route The hydrometallurgical route is most often used for oxide ores with an ore grade of 0.5 to 1.5% (Schüller, Estrada, & Bringezu, 2008). This method can also be used for sulphide ores containing less than 0.4% copper (Ayres, Ayres, & Masini, 2006) which contain the chalcocite (Cu2S) mineral. Hydrometallurgical processing is increasing (Schüller, Estrada, & Bringezu, 2008) and the SX-EW technology is expected to increase because of declining ore grades and the increasing economic feasibility of extracting low-grade oxide and sulphide ores (Five Winds International, 2011). Currently this methodology is used in the production of no more than 23% of the total copper cathode production, as was concluded in chapter 1.

The method involves first leaching, then solvent extraction and consequent electrowinning (Schüller, Estrada, & Bringezu, 2008). The process is also called the SX-EW technology. The end product of this process is copper cathode with a grade of at least 4N (Schüller, Estrada, & Bringezu, 2008). All operations take place on one site (Schüller, Estrada, & Bringezu, 2008).

2.2.9 Leaching Leaching is done by flooding crushed ore with sulphuric acid, forming a pregnant leach solution containing copper sulphate (Ayres, Ayres, & Masini, 2006). Different copper minerals require different leaching times because of their respective solubility. For example brochantite, azurite, malachite, native copper, chrysocolla and cuprite are readily soluble in sulphuric acid, while covellite, chalcocite, chalcopyrite and bornite leach slow to very slow (Rubinstein and Barsky (2002) and Dreier (1999)). The latter minerals are therefore not often leached unless they are of a very low grade and pyrometallurgical processes are not economically feasible. Leaching times can therefore vary from a few days to several years (Schlesinger, King, Sole, & Davenport, 2011).

There are different leaching methods applied to copper ores. Since it was not possible to determine the most common leaching method being applied in chapter 1, the following main leaching methods employed for leaching copper minerals will be described shortly; dump leaching, heap leaching and agitation leaching. In-situ leaching will not be described because it can be considered an alternative mining method, which as was concluded in chapter 1 was hardly used. Leaching continues naturally because the sulphuric acid also reacts with iron pyrites often present in the ores producing more sulphuric acid and ferric sulphates (Ayres, Ayres, & Masini, 2006).

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Heap or dump leaching is the treatment of lumpy ores, such as copper ores, in dumps. The area below such a dump often has a slope so that the pregnant leach solution moves towards the solution collectors. The area below is mostly covered with insulating materials such as a PE or PVC layer. A drainage system is put in place made of plastics that are inert to the acidity of the pregnant leach solution. Heap leaching uses more infrastructure because it is used to treat oxides with higher grades than dump leaching, leading to the recovery of more copper. Dump leaching is also often called run-of-mine or ROM-leaching and is used for ores containing less than 0.5% copper (Schlesinger, King, Sole, & Davenport, 2011). Dump leaching is also used to leach remaining copper from tailings that would otherwise become waste.

Agitation leaching is only applied for ores that contain very easily dissolvable copper minerals or high copper grades. Leaching is carried out in tanks and is much more expensive than heap or dump leaching because it requires more infrastructure. However the extraction of copper from ores with this method can approach 100% (Schlesinger, King, Sole, & Davenport, 2011) and is therefore suitable for higher grade oxide ores. It is applied in the Copperbelt in Zambia and Congo as well as at Tintaya in Peru (Schlesinger, King, Sole, & Davenport, 2011). 2.2.10 Solvent extraction (SX) The produced pregnant leach solution is too dilute to process using electrowinning, so it first needs to be concentrated. The solution typically contains 1-6 kg of copper per m3 and 0.5 – 5 kg of sulphuric acid per m3 as well as dissolved impurities. Concentration can either be done by means of cementation or by solvent extraction. Cemented copper which is formed by reacting copper sulphate with iron to create ferrous or ferric sulphate and precipitated copper. Cemented copper becomes powder or flakes. The cemented copper can be fed into a smelter as was mentioned under the pyrometallurgical processing route. The most common method for concentrating of copper sulphate is by means of solvent extraction. This process is divided into extraction and stripping. In the extraction process an extractant dissolved in a kerosene diluent (e.g. ketoximes, modified aldoximes, modified aldoxime-ketoxime mixtures and aldoxime-ketoxime mixtures) is used to combine with the copper to form a complex (Schlesinger, King, Sole, & Davenport, 2011). The concentration of the extractant in the diluent ranges from 5 – 35% by volume (Schlesinger, King, Sole, & Davenport, 2011). The copper-containing organic complex forms a layer with the water and can be drained off. The draining and consequent breaking down of the complex is called stripping (Schlesinger, King, Sole, & Davenport, 2011). An electrolyte containing 175 – 190 gram of sulphuric acid per litre is produced (Schlesinger, King, Sole, & Davenport, 2011). The electrolyte barely contains any impurities. 2.2.11 Electrowinning (EW) The sulphuric acid and dissolved copper sulphate are put through electrowinning. The copper solution is used as the electrolyte, while lead alloyed with calcium or tin is used as anode (Schlesinger, King, Sole, & Davenport, 2011). The cathode is either copper or stainless steel. The copper that attaches to the cathode in 6 to 7 days is stripped. Oxygen is liberated in this process regenerating sulphate iron as sulphuric acid. The acid can be recycled for leaching. Smoothing agents are dissolved in electrolytes to promote smooth plating. Generally guar gum, 150 – 400 gram per tonne of cathode is being used (Schlesinger, King, Sole, & Davenport, 2011).

2.3 Secondary copper production Currently 45% of the produced copper is secondary copper (Schüller, Estrada, & Bringezu, 2008). According to Five Winds International (2011) 85% of the global refined copper was generated in primary refineries and 15% in secondary refineries in 2008. Recycling of copper can be divided into the recycling of home scrap (material that primary producers cannot sell), recycling of new scrap (material generated during manufacturing) and recycling of old scrap (material from EoL products containing copper). These three forms of secondary copper are recycled in different ways.

Home scrap produced at anode or cathode furnaces is directly re-melted in these furnaces and semi-finished copper products are often remelted and recast. New scrap contains copper that has either been alloyed, or has a coating or covering applied to it. The most common way of recycling this scrap is internally via remelting and recasting, in case of extensive coating or covering this material is recycled in the same way as old scrap. 35

Old scrap requires pre-treatment before the contained copper can be extracted and can arise from copper containing products such as; electronics, cooling equipment, consumer products, electric and non-electric cars, other forms of transportation, telecommunication, power utility, buildings and plumbing (Glöser, Soulier, & Tercero Espinoza, 2013). Table 2.4 shows the approximate copper content of different copper containing End- of-Life (EoL) products.

EoL Category Copper content EoL vehicles (ELV) 1-2.1% Construction and demolition 0.3% Waste electrical and electronic equipment (WEEE) 2-20% Industrial electrical equipment waste 5-80% Industrial non-electrical equipment waste Likely to be small Municipal solid waste 0.05-0.2% Table 2.4: Copper content of EoL products containing copper, copper content based on (Schlesinger, King, Sole, & Davenport, 2011)

Copper from old scrap can either be produced as part of the primary copper production route or in especially designed secondary copper smelters. Estimates for recovery from old scrap range from 40 to 73% in different locations in the world (Schlesinger, King, Sole, & Davenport, 2011). 2.3.1 Pre-treatment of old scrap Of the stock that is still in use approximately 70% is used in electrical applications (Glöser, Soulier, & Tercero Espinoza, 2013). From the total 55% percent is used in buildings, 15% in infrastructure, 10% in industry and 10% in equipment manufacturing (Glöser, Soulier, & Tercero Espinoza, 2013). This means that two important end-of- life streams of copper containing products that contain a decent amount of copper are ELVs and WEEE. The treatment of these two types of old scrap will be described below.

ELV are first partly disassembled to remove either highly valuable or highly dangerous materials. The rest of the vehicles are shredded. The shredded material is then processed in a number of steps, first by means of magnets to remove all ferrous metals and consequently by means of an eddy-current separator to separate the non- ferrous material from the remaining plastics and other materials often ending up in the auto shredder residue (ASR). The produced non-ferrous metal fraction can either be processed further by means of eddy-current separators to separate different metals, can be fed directly into a copper smelter where other metals (mainly zinc and aluminium) are lost because of oxidation or can be hand-sorted in a developing country.

Larger WEEE is processed in almost the same fashion as ELV; they are first disassembled, then shredded and then the materials are sorted. The only difference is that materials from printed circuit boards (PCBs) are not liberated by means of shredding and therefore need to be treated separately. PCBs can either be smelted or treated by means of hydrometallurgical processes. The latter is increasingly frowned upon because of the environmental and health impacts but still occurs in developing countries. Examples of this are large waste dumps in Ghana. For smaller WEEE such as mobile phones they can be directly be fed to a secondary copper smelter, however they are also still being dumped in waste dumps where the plastics are burned off. An example of the treatment of mobile phones in a secondary smelter is at Umicore in Hoboken, Belgium. 2.3.2 Old scrap inputs into primary copper production Scrap copper can be added at three locations in the primary copper making process; the converting furnace and smelting and anode furnace (Schlesinger, King, Sole, & Davenport, 2011). Not all primary copper smelters are suitable for scrap smelting but the Noranda smelter, Mitsubishi smelter, the Isasmelt smelter and the Ausmelt smelter are. A Noranda smelter can handle 10% or more scrap (Schlesinger, King, Sole, & Davenport, 2011). The type of scrap that is used in primary smelters for this is often referred to as low grade scrap which still contains plastics and other materials besides copper. Low-alloyed scrap can be added to primary converters where it is used to mitigate excessive heat produced in the reaction (Schlesinger, King, Sole, & Davenport, 2011). Between 0 to 35% scrap can be added (Schlesinger, King, Sole, & Davenport, 2011) . Higher grade scrap can directly be added to the anode furnace, this is however not done very often (Schlesinger, King, Sole, & Davenport, 2011).

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2.3.3 Secondary copper production from old scrap There are two types of secondary copper smelters; high-grade copper smelters and black-copper smelters (Schlesinger, King, Sole, & Davenport, 2011). The former version is mainly located in China and can use reverberatory furnaces or the Contimelt process. Both of these processes are not used widely as was described in the previous chapter and will therefore not be described further. Black copper smelters can again be subdivided into Kaldo furnaces or TBRC furnaces and top submerged lance furnaces such as Ausmelt or Isasmelt. The former are hardly used as smelter as was described in chapter 1. When using the Ausmelt or Isasmelt process for the recycling of copper old scrap, the converting happens in the same furnace and the plating of electronic scrap or Auto Shredding Residue (ASR) can be used as fuel besides coal, fuel oil or natural gas. The products produced after the converting has been done in the Ausmelt or Isamelt process includes rough copper (95-97% copper), slag still containing 10-30% copper and off-gas containing 0.5-1.5% copper (Schlesinger, King, Sole, & Davenport, 2011).

Fire refining is very similar to fire refining for primary copper, but impurities are higher in the anode. The electrolyte purification facilities therefore need to be more extensive (Schlesinger, King, Sole, & Davenport, 2011), the same processes are used as in primary production.

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Chapter 3 – Sustainability in the mining industry To be able to design a certification system for the sustainable production of copper, it is necessary to define exactly what is meant with sustainable production. To do so this chapter will start by introducing the general concept of sustainability, continue with defining sustainability for a system and end with the describing of a sustainable mining and metals industry of which the copper industry is a part. The first two sections parts of the chapter are based on a literature review and the last part of the chapter also includes the input of a number of experts that have been interviewed on the topic besides literature on sustainability in the mining and metals industry.

The interviews were open interviews with 5 experts with different backgrounds, including people from the mining industry, NGOs, government and academia. The open interviews were structured around the question: “What does a sustainable mining and metals industry look like according to you and how can the current industry develop to become more sustainable?” 3.1 General sustainability definitions Sustainability and sustainable development are terms that are used interchangeably, but the easiest way to relate the two to each other is to see sustainable development as a route to sustainability. The most cited definition of sustainable development was coined by the Brundtland commission in 1987; “Sustainable development is development that meets the needs of the present without compromising the ability of future generations to meet their own needs” (Brundtland & World Commission on Environment and Development, 1987). An important part of this definition is the time perspective of sustainability, sustainability incorporates long-term thinking as opposed to instant satisfaction.

In the attempt to define the concept further, sustainability is often divided into three pillars; economic, environmental and social sustainability (Drexhage & Murphy, 2010). A popular way of describing the three pillars of sustainability is as people, planet, profit (or prosperity) and has been attempted to be incorporated into business accounting by means of the triple bottom line (TBL). The framing of sustainability in each of these three categories is elaborated on in the rest of this section, the time perspective is discussed separately. 3.1.1 Environmental sustainability Theories on environmental sustainability are often categorised into two different streams; strong and weak sustainability. Strong sustainability includes all theories in which (at least some part of) nature is portrayed as having intrinsic value making it irreplaceable by other means of capital such as social and economic capital. Functions that cannot be substituted by man-made capital are often called critical natural capital (Cabeza Gutés, 1996). Human, environmental and economic capital need to be sustained independently of each other and that means that the health of ecosystems is not allowed to decline and could even be strengthened under this vision of sustainability (Giurco & Cooper, 2012).

In weak sustainability natural capital is replaceable and it is assumed that all services and materials provided by nature can be replaced or duplicated by man-made services. A system can be seen as sustainable when materials and services of an equal or greater value are being created than those that are being used to do so. Or as it was formally defined by Pearce and Atkinson (1993) ; “[…] an economy is sustainable if it saves more than the combined depreciation on [natural and man-made] capital”. Therefore under weak sustainability benefits can be created by transferring natural capital to other forms of capital. To make this concept viable it is necessary to place a value on services that nature provides, this idea has developed into the notion of ecosystem services. A summary of a large part of the research conducted to quantify ecosystem services is provided by Costanza et al. (1997).

A practical implementation of environmental sustainability can be found in The Natural Step Framework. This framework states that something is sustainable if; concentrations of substances from the earth’s crust are not systematically increasing, concentrations of substances produced by society are not systematically increasing and there is no systematic degradation of nature and natural processes (The Natural Step, 2015). Something 38

similar is incorporated in the concept of eco-efficiency. This framework has three broad objectives (Rankin, 2011); reduce the consumption of resources, reduce the impact on nature and increase product or service value. Environmental sustainability will in this report further-on be defined in terms of weak sustainability taking into account resource depletion, pollution and the maintenance of eco-system services and biodiversity. 3.1.2 Social sustainability The main idea behind sustainable development is creating a society in which the needs of people are met, both now and in the future. This means that a society can only be called sustainable if “people are not subject to conditions that systematically undermine their capacity to meet their needs” (The Natural Step, 2015). There is a general agreement that this is what should be addressed under the social pillar of sustainability, the difficulty however lies in defining the needs of people that should be addressed and the conditions that could undermine the capacity to meet those needs.

Human needs are often divided into basic needs and extended needs. One of the human rights as defined in the Declaration of Human Rights that was published in 1948 is the right to an adequate standard of living. This adequate standard of living provides for the adequate provision in the need for food, clothing, housing, medical care and social services to secure against a lack of livelihood in circumstances beyond the control of a person. These needs can be considered basic needs. Extended needs include needs such as sell-fulfilment and recreation.

In an attempt to operationalise the social pillar of sustainable development and in line with the life cycle assessment (LCA) methodology applied to the environmental pillar the United Nations Environmental Programme (UNEP, 2009) has developed a framework for social life cycle assessment (S-LCA). UNEP has defined social sustainability along the lines of the different stakeholders involved. Stakeholders considered are workers, the local community, society, consumers and value chain actors. Each of these stakeholders can be impacted in different ways during the production of a product, resulting in a large number of subcategories based on which social sustainability can be assessed. Also Boström (2012) mentions a large number of issues that are part of the social pillar of sustainability. Both of these incorporate basic needs, extended needs and tackle issues that could undermine the capacity to meet those needs.

According to Kates, Parris and Leiserowitz (2005) three different approaches exist in defining social sustainability; social development, human development and social justice. Topics that are part of social development are social cohesion and cultural diversity. Human development is more concerned with education and employment while the social justice approach looks at equity and rights.

Another way of categorising the issues that are part of the social pillar of sustainability is described by Murphy (2012). By doing a literature study of primary texts that incorporate social sustainability such as statements of the United Nations and the European Union, the following four categories were distinguished; equity, awareness for sustainability, participation and social cohesion. Since the awareness for sustainability is not really part of the social pillar of sustainability only the other three categories will be shortly described. Equity can be defined as the distribution of welfare goods and opportunities on a national, international and intergenerational basis. Participation deals with the inclusion of as many social groups as possible in decision making processes. Lastly, social cohesion can be referred to as the harmonious coexistence of different people in a society.

Both of these approaches can be seen as means by which to provide extended needs, or necessary conditions before extended needs can be provided for. It seems as if participation and social cohesion could be part of the social development approach, and as if the social justice approach and the equity category are similar. Therefore table 3.1 categorises some of the topics that are part of social sustainability according to Boström (2012) and UNEP (2009) as well as issues mentioned by some of the experts into; social development, human development and equity.

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Social development Human development Equity Social cohesion Infrastructure Fair distribution of income Social recognition Employment Fair distribution of environmental “bads” and goods” Cultural diversity Education Equality of rights Community attachment, belonging and Security Freedom of expression identity Community capacity for the development Attractive housing and public realm Right to assembly and association of civil society and social capital Right to safe and healthy working conditions Table 3.1: Categorisation of topics that are considered part of social sustainability based on Boström (2012) and UNEP (2009) 3.1.3 Economic sustainability To be able to reach sustainability in the previous two pillars investments will be needed. Of course one could argue that by limiting consumption in the developed world to subsistence level, money could be freed for development in other parts of the world. However interesting this idea, it is unlikely to happen in the current economic system. Therefore to be able to meet the human needs of everyone on this planet it is necessary to have economic growth (Kates, Parris, & Leiserowitz, 2005). According to Stavins et al. (2003) and Goerner et al. (2009) economic sustainability includes efficiency and resilience. To be able to understand the basis for sustained economic growth, economic theories concerning efficiency and resilience will be discussed below.

In economic theory the concept pareto optimality is often used to describe a situation in which the allocation of resources is in such a way that when the allocation is changed someone would get worse off. A distinction can be made between strong and weak pareto optimality. The former is described above but the latter concerns a situation in which not only does no-one get worse off when the allocation of resources is changed but also a situation in which everyone is gaining at least a little. A pareto set is a set of all the distributions of resources that are pareto optimal. Economic efficiency involves optimisation of resource use, energy use and capital use.

Pareto optimality only describes efficiency of resource distribution but does not involve a notion of fair distribution, nor does it generally take into account optimising the use of social and environmental capital. Also optimisation tends to only occur for the current situation or the near time future but hardly includes optimisation over a longer time period. The degradation of social and environmental capital to be able increase the amount of financial and manufactured capital of course does not lead to a resilient system now or in the future.

In an attempt to also incorporate the optimisation of social and environmental capital the idea of natural capitalism arose. Natural capitalism includes a number of assumptions that differ from conventional capitalism according to Hawken et al. (1999). Some of the assumptions that seem relevant for the discussion of economic sustainability and have not already been discussed under the previous two pillars of sustainability are;

 “One of the keys to the most beneficial employment of people, money and the environment is radical increases in resource productivity.  Human welfare is best served by improving the quality and flow of desired services delivered, rather than by merely increasing the total dollar flow.  Economic […] sustainability depends on redressing global inequities of income and material well- being.” (Hawken, Lovins, & Lovins, 1999).

Another attempt at dealing with the shortcomings of conventional economic efficiency notions is the term dynamical efficiency. The term aims to describe a situation in which optimisation occurs in such a way that current economic growth is balanced with future economic growth. The idea of dynamic efficiency incorporates intergenerational equity and thus the idea in the earlier described Brundtland definition that the needs of future generations should not be disregarded when attempting to meet the needs of current generations.

Economic sustainability can thus be achieved by optimising the use of financial, manufactured, human and natural capital both now and in the future. This includes improving resource productivity, improving the quality and flow of services and addressing global inequities in income and resources. 40

3.1.4 Time perspective of sustainability The time perspective of sustainability does not only include intergenerational equity as described before, but also includes the pre-cautionary principle. This principle, defined in the Rio Declaration in 1992, says that if there is high potential threats that the lack of full scientific certainty will not be used to postpone measures to prevent environmental or social degradation (United Nations, 1992). Simply put sustainability involves taking measures that might not be entirely necessary to prevent future harm. 3.2 Defining sustainability for a system According to Costanza and Patten (1995) “a sustainable system is one which survives or persists.” The questions to be answered then to be able to determine if a system or industry in this case is sustainable are; what system, for how long and when do we assess if the system has persisted? In their often cited paper Costanza and Patten state that the assessing of a system can only be done after changes have been implemented. Which means that sustainability is assessed based on predictions of what would make a system persist. Therefore the definition of sustainability of a system often ends up as a list of preferred characteristics. Furthermore it is important to measure sustainability on a life span that is consistent with the time and space scale of the system. Therefore the following section will describe the characteristics that are preferred for the mining and metals industry to exist.

While determining these characteristics and in further chapters an industrial ecology framework will be taken into account. Industrial ecology places industrial activities into the context of the ecosystems that support it. The concept of industrial ecology can according to Harper and Graedel (2004) be applied in three different ways; conceptually, operational and systemic. In the case of systemic industrial ecology an existing system can be examined. This approach has the advantage that behaviour often emerges within a system that may not be predicted by studying the individual parts of the system (Harper & Graedel, 2004).

Industrial ecology has a number of core elements (Lifset & Graedel, 2002) ;

 A biological analogy. The idea that industrial systems can be modelled after ecosystems so that all materials can remain in the system so that no waste is created.  A system perspective is taken to ensure that all aspects of system are considered so that sub- optimisation can be prevented.  Assumes that technology can both be a part of the problem and of the solution.  Companies possess the technological expertise to be agents of environmental improvement.  Forward looking to avoid irreversible damage, being prospective instead of retroactive.  Decouple resource use and environmental impact from economic growth and population growth.

These core elements can be applied to the minerals and mining industry in general and the production of copper in particular. When determining what sustainability is for the minerals and mining industry it should be therefore be taken into account that resource use should be decoupled from economic growth for the system to remain sustainable in the future. When determining the environmental and social impacts of copper production it is important to take a systems perspective and thus to look at the complete production system of copper as will be done in the next chapter. Throughout the entire report it is assumed that companies can and have the expertise to make changes in their production system so that both the environmental and social impacts of copper production can be limited. Of course within the boundaries of current legislation as described in chapter 5. In general a certification system for sustainable copper production is aimed at preventing irreversible damage in the future so that future generations can still benefit from the use of copper in products without having to suffer from environmental and social impacts that have been caused in its production in the past.

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3.3 Sustainability definitions applied to the minerals and mining industry The definitions of sustainability and sustainable development as described in the previous sections cannot directly be applied to the minerals and mining industry. This is mainly the case because minerals are inherently non-renewable resources, and strong sustainability oriented definitions of sustainability are thus unlikely to contribute to a development towards a more sustainable minerals and mining industry (Moran & Kunz, 2014). As with broader applicable definitions of sustainability, a wide range of different definitions of sustainability as it pertains to the minerals and mining industry exist. According to Moran et al. (2014) there is confusion abound and clearer definitions are needed to be able implement systems that can provide radical improvements in the minerals industry.

Han Onn and Woodley (2014) constructed a discourse analysis of different definitions of sustainability that are used in relation to the mining industry. Their paper provides a good overview of different types of definitions that exist and is thus worth describing in some detail. Han Onn and Woodley (2014) have categorised the found definitions into three categories which they have labelled first, second and third tier definitions.

The first tier, or perpetual sustainability, defines a process as being sustainable if it can continue everlastingly. In the mining industry such a general definition can be applied in two different ways. When only looking at the economic pillar of sustainability a business in the minerals and mining industry is sustainable when a company can endlessly create value for its immediate shareholders. It can and has been argued by among others Whitmore (2006) that mining does not necessarily lead to development, especially not if only the economic pillar of sustainable development is taken into account. However if a definition of strong environmental sustainability is applied to the minerals and mining industry, the industry is inherently unsustainable because materials are extracted at a higher rate than they can be replaced. The time frame under which minerals will be depleted can be extended by technological advancement but will never make it possible for mineral extraction to last forever. It must also be noted that new technologies leading to more efficient extraction of minerals have not in all cases benefitted local communities (Whitmore, 2006), showing again that taking a limited definition of sustainability is not useful for the mining and metals industry.

The second tier, or transferable sustainability, includes all pillars of sustainability and takes a more weak sustainability approach by allowing for the transferal of natural capital into other forms of capital. Economic development, environmental sustainability as in protecting or improving the natural world and social sustainability in which people have access to resources to meet current and future needs are considered. A business can be considered to be sustainable when striving to meet the triple bottom line in a safe and efficient way.

The last and third tier is referred to as transitional sustainability. Definitions that fall under this tier take into account the entire value chain and look beyond the viability of a single mine, commodity or process of extraction. This means that besides the triple bottom line environmental, social and economic well-being after the closure of a mine is also taken into account, thus incorporating the time perspective of sustainability as discussed in the first section of this chapter. If this is done properly the benefits of the minerals and mining industry can help transition a society and the environment to a sustainable future.

Since defining sustainability for the mining industry along the lines of the third tier is the most inclusive definition of sustainability, this definition will be studied in more detail. Again, as was done in the first section of this chapter, sustainability will be discussed in three parts; environmental, social and economic.

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3.3.1 Environmental sustainability in the mining and metal industry

Resource depletion Mining involves the depleting of non-renewable resources. In the case of metals and copper in particular there is no indication that innovations will lead to extensive substitution (von Gleich, 2006). According to WWF (2014), in a study on the critical materials needed for the transition to a 100% sustainable energy future, copper is not critical for one particular energy technology but is critical for the system as whole. Mainly because it is necessary for the energy infrastructure. Therefore when considering long-term sustainability the depletion of copper stocks is an issue because copper resources must be left to future generations so that the application of necessary copper is sustained (Messner, 2006).

However according to Bond (2014) this is not an eminent threat for most metals because there is still the ability to discover additional resources and to recover metals from low ore bodies as well as recycle metals. Wellmer and Wagner (2006) therefore state that we should be more concerned with renewable resources than with non-renewable resources.

According to von Gleich (2006) strategies towards a sustainable metal industry will have to focus on handling metals within the technosphere by maximising recycling and between the ecosphere and the technosphere by stretching the resource basis and avoiding dissipative losses. There are many other scholars and policy papers laying the focus on the possibility of recycling of metals because they are in theory infinitely recyclable (See Giurco et al. (2014), Whitmore (2006), Rajaram and Parameswaran (2005), Fleury and Davies (2012)). Copper can be completely recycled without quality degradation when the material passes the refining stage (von Gleich, 2006), it can even be argued that it is easier to extract copper from urban stocks because of the low ore grades of naturally occurring copper (Kleijn, 2015).

The recyclability of a product is besides the waste stream in which it is mixed and the physical properties of the materials dependent on the design of the products. Some of the products in which copper is used such as electronic equipment are difficult to recycle because of the complexity of the products. This could pose a problem in the future. Stewardship for metals should therefore focus on the recyclability of copper in products and minimisation of resource use (Rankin, 2011) as well as maximising benefits and minimising losses and risks (ICMM, 2009a). The International Council on Mining & Metals (ICMM) is aiming towards a more integrated approach of stewardship in which the ownership of the material remains with one company (Koch, 2015). This is a very different approach than is taken in for example the paper industry when the product degrades with every recycling step and the focus consequently lies more on the protection of the resources to supply the product in the future.

Since the focus of this research is on the production of copper and not the design of the product in which the copper is used or the recycling strategies, the largest part of the issues discussed above are not relevant for defining what sustainably produced copper is (Kleijn, 2015). As Rankin (2011) states stewardship strategies for metals can be divided into strategies for the resource, material and product stock. This strategy for the resource stock which focusses on the resource base is within the scope of this research is; “Maximise resource use efficiency through extracting maximum value from mined products and causing no long-term environmental impact” (Rankin, 2011). Part of this strategy aimed at resource depletion is to mine the least quantity and create the most value with this material.

It can be concluded that a certification system for sustainably produced copper should include the minimisation of copper losses within the production process and should stimulate the use of copper from secondary production.

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Pollution According to von Gleich (2006) it is not resource scarcity but the impact of the extraction and the production of metals that are the decisive limiting factors in the metals industry. “A sustainable metals industry does not exceed the carrying capacities of regional and global ecosystems with its emissions in air water and soil” (von Gleich, 2006). In the before mentioned stewardship of metals Rankin (2011) mentions that the production of waste as well as the dispersion of toxic substances into the environment should be limited. Other authors discuss similar notions about pollution (Giurco, McLellan, Franks, Nansai, & Prior, 2014).

Pollution (both emissions and waste) that can occur in several stages of metal production can be found in table 3.2.

Mining Concentrating Smelting and Refining Waste rock Emissions from tailings (heavy metals, SX plant emissions (volatile organic reagents, sulphur and ARD runoff) compounds) Dust (particulates, heavy metals) Emissions from concentrating chemicals EW emissions (acid mists) (flotation reagents) Acid rock drainage (ARD), alkaline drainage Emissions from leaching chemicals (acid, Electro-refining residues or saline drainage pregnant leach solution) Emissions from fuel use incl. oil and grease Dust Fumes from furnaces (SO2) leakage Emissions from explosives use Indirect emissions from reagent and Slag electricity production Spent tires and batteries Waste water Spent furnace refractories Waste water Waste water Indirect emissions from explosives and Indirect emissions from electricity electricity production production Table 3.2: Potential pollution during metal production based on Rankin (2011), Spitz and Trudinger (2009) and National Mining Association (2012).

Acid rock drainage (ARD) or acid mine drainage is caused by the oxidation of sulphide rocks, creating acids such as sulphuric acid. The environmental impact of this acid is mainly due to the dissolution of heavy metals from rock because of the acid.

Since most large mining companies are from North America or Australia it can be said that pollution norms should be set at the level at which they are set in the native country (Kleijn, 2015). The same can be done for the other stages of the production process of copper. Only in that case can the production of copper be called sustainable.

Maintenance of eco-system services and biodiversity During the production of metals degradation of higher regional or global life-preserving functions could occur (Messner, 2006). Besides pollution that can impact the maintenance of eco-system services and biodiversity there is also a number of other impacts that the mining industry can have. The most important ones as described by Spitz and Trudinger (2009) are discussed below.

Metals and minerals operations can have large impacts both on surface and groundwater level. This could either be by direct (ground)water draw or by changing hydrologic and hydrogeological regimes. There are not only direct impacts of metals and minerals operations, but the energy provision of these operations often also demand large amounts of water as is the case with coal fired power plants and hydropower dams have large impacts on the flow regimes of a river.

Erosion and degradation of valuable top soil may occur because of the area needed for the mining and minerals operations, the waste production as well as the supporting transport and infrastructure. Reducing agricultural output or forestry resources. It could also lead to the loss of rare natural habitats and rare endangered species. Therefore besides minimising the impacts on water systems and the natural productivity of the land it is important to refrain from intervening in especially sensitive ecosystems according to von Gleich (2006).

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3.3.2 Social sustainability in the mining and metal industry In the case of mining and possibly also in the case of other mineral processing facilities there are three steps that should be taken according to Whitmore (2015) before a facility can be called sustainable. Communities should be consulted by free and prior consent, the benefits to communities should be determined and the costs to the community should be mitigated. In general the benefits should outweigh the costs. Communities should have the possibility to say no the development of a part of the minerals and mining industry in their surroundings (Whitmore, 2006). To be able to make an informed decision transparency should exist about the investment agreement that a company makes with the government (Zimmermann, 2015). In general an agreed process should exist in a region based on which a decision can be made about whether or not the situating of a new activity in an area is deemed acceptable (Moran & Kunz, 2014).

In determining the benefits and mitigating the costs the aspects of social sustainability as discussed in section 3.1 should be taken into account. The mining and minerals industry can have profound impacts on the possibility of people to meet their basic human needs. Especially housing and a loss of livelihood could occur because of the resettlement of people. Strong arguments are needed before people are resettled and it is important to consider all other options besides resettlement (Whitmore, 2015). In cost mitigation it is important that the local communities and the companies have an open discussion based on equal standing (Zimmermann, 2015). A problem that arises in the mining and processing of minerals is that the impacts of the production are often not in the same locations as the benefits of the use of the metals (Moran and Kunz (2014) and Kleijn (2015)). Therefore it is important to mitigate all impacts and make sure that the benefits outweigh the costs to local communities.

A large number of issues that could occur because of the situating of a mine in the surrounding can be found in table 3.3. All but the noise and vibration from blasting and equipment use could also occur in the case of a smelter or refinery.

Social development Human development Equity Loss of cultural heritage and religious sites Noise and vibration from blasting and Unequal wealth distribution equipment use Effects on aesthetics and landform Potential increase in disease vectors Rapid growth in local wages Uncontrolled influx of people Increased potential for respiratory Creation of a mini-state within a disorders developing country Disruption of societal organizations Disruption to infrastructure

Loss of traditional values and norms Table 3.3: Potential social issues because of the situating of a mine in the region based on (Spitz & Trudinger, 2009), (Moran, Lodhia, Kunz, & Huisingh, 2014) and (Sargentini, 2015)

The local community should benefit from a mine in its vicinity by providing employment and visible infrastructure (Sargentini, 2015). Human development could also be caused by providing education, security and attractive housing and public realm as determined in table 3.1.

Another aspect that is important is that when people are employed within the minerals and mining industry their labour conditions should be good (Kleijn, 2015). In mines instability of the mine and possible landslides (Spitz & Trudinger, 2009) should be prevented at all times. Also additional hazards could occur because of process chemicals and explosives. The right to assembly and association can also be considered important for workers as it was mentioned in table 3.1.

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It can be concluded that social sustainability in the mining and metals industry is mainly discussed in terms of impacts on local communities and workers. The other stakeholders as determined by UNEP are not deemed applicable to the facility level of copper production and are therefore disregarded. Important social aspects to consider for the community stakeholder are; the possibility to say no to a facility, the mitigation of resettling costs by providing attractive alternative housing and compensation for loss of livelihood and the mitigation of the other impacts of the facility as described in table 3.3 by providing benefits to the community. Benefits could include local employment, education, health care, visible infrastructure and safety. For the workers at the facility good labour conditions are important which could include the absence of child labour and forced labour, the provision of a living wage, the absence of excessive working hours and good health and safety standard at the workplace. Lastly the right to freedom of peaceful assembly and association is important. 3.3.3 Economic sustainability in the mining and metal industry When looking at sustainability from a corporate perspective, the economic aspect is very important. If a mining or metals plant is not economically feasible than it will not remain in existence for a long time. Therefore it is necessary that a mode of operation is not only sustainable from an environmental and social perspective but that demands set by these sustainability pillars do not limit the profitability of a site too much. According to Kleijn (2015) copper that is being produced in line with the earlier defined social and environmental sustainability can only be considered sustainable if it can compete with other types of copper that are being produced. An aspect of proving this competitiveness is by showing that a company might actually lose money by not having a social license to operate or not dealing with the environment adequately (Zimmermann, 2015).

As discussed in section 3.1.3 economic sustainability includes improving resource productivity, improving the quality and flow of services and addressing global inequities in income and resources. The resources for which productivity can be optimised in case of the mining and metal industry are mainly direct and indirectly used energy and water (Ranking (2011) and Guirco et al. (2014)). Also the use of other materials into the industry can be optimised. Even though tackling global inequities might be a bit much to ask for from the mining and metal industry, the industry could at least make sure that it does not create more inequity than already exists and attempt to increase the prosperity of the communities surrounding their facilities. Lastly the aspect of improving the quality and flow of services is outside of the scope of this study, since the actual production of products and thus creation of services only occurs after the direct production of copper.

3.3.4 Time aspect Future harm that could be created when a mine or other facility that is part of the supply chain of copper includes loss of livelihood, contamination of the environment because of waste that has been left behind as well as abandoned facilities which do not look aesthetic and might be dangerous. These three aspects will be discussed below.

Economic diversification An issue with the mining industry is the depletion of resources, not necessarily for the mining industry as a whole but for individual countries and communities (Moran, Lodhia, Kunz, & Huisingh, 2014). Especially countries that are reliant on metal production such as Chile and Poland will be threatened by exhaustion of their mining reserves (Boryczko, Holda, & Kolenda, 2014). Therefore the dependence of economies on one commodity or one facility in a region should be minimised when the facility reaches its end-of-life stage (Messner, 2006) so that communities are not left with a major economic gap (Zimmermann, 2015). It is thus important to invest in economic diversification (Han Onn and Woodley (2014) and Waye et al. (2009)). Economic diversification or benefitting from local commodity extraction could also occur when the commodity production chain is integrated and products are produced in the same country as the commodity is extracted (Custers, 2013). This way a country or region can benefit as much as possible from its resources. Individual facilities can contribute to economic diversification by investing in community development via education and infrastructure provision.

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Waste In the case of mining it is important that they are closed in such a way that they will never become an environmental liability (Rankin, 2011). This especially means cleaning up tailing ponds, and might include starting a fund at the initiation of a mine for mine closure so that in case the mining company goes bankrupt there is still a guarantee that the finances for cleaning up the waste are available (Kleijn, 2015). Another environmental aspect to take into account at mines is the possibility of groundwater rebound which may pollute the environment (Spitz & Trudinger, 2009). The same idea can be applied to other facilities in the copper supply chain.

Land reclamation Even though it will be difficult to completely restore a site to its original state, an attempt should be made to do so. At the minimum the land should be able to be used for different purposes after mining (Han Onn & Woodley, 2014), smelting or refining.

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Chapter 4 – Sustainability issues in the Copper Production Process

This chapter will determine the sustainability issues associated with the production of copper. Sustainability as defined in the previous chapter will be applied to environmental sustainability in section 4.1, to social sustainability in section 4.2 and to economic sustainability in section 4.3. 4.1 Environmental issues - Life Cycle Assessment (LCA) As discussed in the previous chapter the most important aspects of sustainable copper production are; minimising copper losses during production, minimising pollution and minimising water and land use so that no long-term environmental impacts are caused. The life cycle assessment (LCA) methodology as described by Bauman and Tillman (2004) will be used to determine the environmental hotspots of copper losses, pollution and water and land use within the copper production chain. The methodology will also be used to compare the production of primary and secondary copper to see if secondary copper production is not only beneficial from a resource depletion point of view but also when looking at pollution, water and land use. Section 4.1.1 gives the goal and scope definition, section 4.1.2 the function, functional unit and reference flows, section 4.1.3 the inventory analysis, section 4.1.4 the impact assessment, section 4.1.5 the interpretation and 4.1.6 the discussion and conclusion. 4.1.1 Goal and scope definition

Goal definition The goal of this LCA is to answer the question; “What are the environmental hotspots in the production chain of copper?” To do this, all the main technologies as defined in chapter 1 are studied by means of an attributional cradle-to-gate LCA. The environmental hotspots will be used as a basis to develop a certification system for sustainably produced copper.

Scope definition

Temporal coverage The study looks at the current environmental impact of the production of copper. This means that where possible to most recent data will be used.

Geographical coverage The geographical scope for this study is the entire world because as determined in chapter 1 the copper supply chain involves many different countries all over the world.

Technology coverage The technology covered in this LCA are the main copper producing technology as determined in chapter 1 and discussed in chapter 2. Table 4.1 to 4.3 show copper producing technologies that can substitute each other in one of the production stages. Table 4.1 refers to pyrometallurgical production route, table 4.2 to the hydrometallurgical production route and table 4.3 to the production of secondary copper. From these different technologies different alternatives have been formulated that all produce one tonne of cathode copper.

Mining Smelting Converting Open pit Outotec flash smelter Pierce Smith converter Underground Outotec direct-to-blister Outotec direct-to-blister smelter smelter El Teniente Ausmelt/Isasmelt Bath smelter (Noranda, Vanyukov, Mitsubishi continuous) Table 4.1: Main technologies in the pyrometallurgical production of copper

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Mining Leaching Open pit Dump leaching Underground Heap leaching Vat leaching Agitation leaching Pressure oxidation leaching Table 4.2: Main technologies in the hydrometallurgical production of copper

Pre-processing scrap Smelting & Converting & Refining WEEE Some scrap in primary other bath smelter & Pierce Smith Converter & Primary refining ELV Secondary Isasmelt & Secondary refining Smelting & some scrap in Pierce Smith Converter & Primary refining Table 4.3: Main technologies secondary copper production

The construction and production of infrastructure is disregarded in this study. Transportation between the mining, smelting and refining stages are not taken into account because it is not necessary to look at when determining the environmental hotspots in the production process.

Impact categories According to Awuah-Offei and Adekpedjou (2011) besides the standard categories for LCA when constructing an LCA of mining it is important to take into account land-use impacts as well as energy and water depletion. The standard categories according to them are global warming, ozone depletion, human toxicity, fresh water aquatic ecotoxicity, acidification and eutrophication (Awuah-Offei & Adekpedjou, 2011). This is in line with the conclusions drawn in chapter 3. Therefore the following environmental impact categories are taken into account:  Climate Change  Ozone Depletion  Acidification  Eutrophication  Toxicity (both for humans and ecotoxity)  Land-use  Water depletion  Copper resource depletion

Mode of analysis employed The LCA conducted is a cradle-to-gate contributional LCA.

Overall level of sophistication of the study The study is as extensive as possible within the research time span of 5 months. 4.1.2 Function, functional unit, reference flows The functional unit for the LCA is 1 tonne of cathode copper. Cathode copper can be produced via different production routes. By looking at the environmental impact of different production routes an understanding can be reached on the range of these impacts that are caused by the use of different technologies. The alternatives or reference flows for this study will therefore be;

1) 1 tonne of cathode copper produced via open pit mine – communition – concentrating - Outotec flash smelter - Pierce Smith converter - fire refining - electrolytic refining 2) 1 tonne of cathode copper produced via open pit mine – communition – concentrating - El Teniente smelter - Pierce Smith converter - fire refining - electrolytic refining 3) 1 tonne of cathode copper produced via open pit mine – communition – concentrating – Ausmelt/Isasmelt smelter - Pierce Smith converter - fire refining - electrolytic refining 4) 1 tonne of cathode copper produced via open pit mine – communition – concentrating – Other bath smelter - Pierce Smith converter - fire refining - electrolytic refining

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5) 1 tonne of cathode copper produced via open pit mine – communition – concentrating - Outotec direct-to-blister smelter - fire refining - electrolytic refining 6) 1 tonne of cathode copper produced via underground mine – communition – concentrating - Outotec flash smelter - Pierce Smith converter - fire refining - electrolytic refining 7) 1 tonne of cathode copper produced via underground mine – communition – concentrating - El Teniente smelter -Pierce Smith converter - fire refining - electrolytic refining 8) 1 tonne of cathode copper produced via underground mine – communition – concentrating – Ausmelt/Isasmelt smelter - Pierce Smith converter - fire refining - electrolytic refining 9) 1 tonne of cathode copper produced via underground mine – communition – concentrating – Other bath smelter - Pierce Smith converter - fire refining - electrolytic refining 10) 1 tonne of cathode copper produced via underground mine – communition – concentrating - Outotec direct-to-blister smelter - fire refining - electrolytic refining 11) 1 tonne of cathode copper produced via open pit mine – communition – dump leaching – solvent extraction – electrowinning 12) 1 tonne of cathode copper produced via open pit mine – communition – heap leaching – solvent extraction – electrowinning 13) 1 tonne of cathode copper produced via open pit mine – communition – agitation leaching – solvent extraction – electrowinning 14) 1 tonne of cathode copper produced via underground mine – communition – dump leaching – solvent extraction – electrowinning 15) 1 tonne of cathode copper produced via underground mine – communition – heap leaching – solvent extraction – electrowinning 16) 1 tonne of cathode copper produced via underground mine – communition – agitation leaching – solvent extraction – electrowinning 17) Underground mining – Noranda / Mitsubishi smelter where 20% pre-treated ELV scrap is added – Pierce Smith converter – fire refining – electrolytic refining 18) Open pit mining - Noranda / Mitsubishi smelter where 20% pre-treated ELV scrap is added – Pierce Smith converter – fire refining – electrolytic refining 19) Underground mining – Noranda / Mitsubishi smelter where 20% pre-treated WEEE scrap is added – Pierce Smith converter – fire refining – electrolytic refining 20) Open pit mining - Noranda / Mitsubishi smelter where 20% pre-treated WEEE scrap is added – Pierce Smith converter – fire refining – electrolytic refining 21) 1 tonne of cathode copper produced via open pit mine – communition – concentrating - Outotec flash smelter - Pierce Smith converter where 30% pre-treated ELV scrap is fed in - fire refining - electrolytic refining 22) 1 tonne of cathode copper produced via open pit mine – communition – concentrating - El Teniente smelter - Pierce Smith converter where 30% pre-treated ELV scrap is fed in - fire refining - electrolytic refining 23) 1 tonne of cathode copper produced via open pit mine – communition – concentrating – Ausmelt/Isasmelt smelter - Pierce Smith converter where 30% pre-treated ELV scrap is fed in - fire refining - electrolytic refining 24) 1 tonne of cathode copper produced via open pit mine – communition – concentrating – Other bath smelter - Pierce Smith converter where 30% pre-treated ELV scrap is fed in - fire refining - electrolytic refining 25) 1 tonne of cathode copper produced via underground mine – communition – concentrating - Outotec flash smelter - Pierce Smith converter where 30% pre-treated ELV scrap is fed in - fire refining - electrolytic refining 26) 1 tonne of cathode copper produced via underground mine – communition – concentrating - El Teniente smelter - Pierce Smith converter where 30% pre-treated ELV scrap is fed in - fire refining - electrolytic refining 27) 1 tonne of cathode copper produced via underground mine – communition – concentrating – Ausmelt/Isasmelt smelter - Pierce Smith converter where 30% pre-treated ELV scrap is fed in - fire refining - electrolytic refining

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28) 1 tonne of cathode copper produced via underground mine – communition – concentrating – Other bath smelter - Pierce Smith converter where 30% pre-treated ELV scrap is fed in - fire refining - electrolytic refining 29) 1 tonne of cathode copper produced via open pit mine – communition – concentrating - Outotec flash smelter - Pierce Smith converter where 30% pre-treated WEEE scrap is fed in - fire refining - electrolytic refining 30) 1 tonne of cathode copper produced via open pit mine – communition – concentrating - El Teniente smelter - Pierce Smith converter where 30% pre-treated WEEE scrap is fed in - fire refining - electrolytic refining 31) 1 tonne of cathode copper produced via open pit mine – communition – concentrating – Ausmelt/Isasmelt smelter - Pierce Smith converter where 30% pre-treated WEEE scrap is fed in - fire refining - electrolytic refining 32) 1 tonne of cathode copper produced via open pit mine – communition – concentrating – Other bath smelter - Pierce Smith converter where 30% pre-treated WEEE scrap is fed in - fire refining - electrolytic refining 33) 1 tonne of cathode copper produced via underground mine – communition – concentrating - Outotec flash smelter - Pierce Smith converter where 30% pre-treated WEEE scrap is fed in - fire refining - electrolytic refining 34) 1 tonne of cathode copper produced via underground mine – communition – concentrating - El Teniente smelter - Pierce Smith converter where 30% pre-treated WEEE scrap is fed in - fire refining - electrolytic refining 35) 1 tonne of cathode copper produced via underground mine – communition – concentrating – Ausmelt/Isasmelt smelter - Pierce Smith converter where 30% pre-treated WEEE scrap is fed in - fire refining - electrolytic refining 36) 1 tonne of cathode copper produced via underground mine – communition – concentrating – Other bath smelter - Pierce Smith converter where 30% pre-treated WEEE scrap is fed in - fire refining - electrolytic refining 37) 1 tonne of cathode copper produced via pre-treatment ELV scrap – Ausmelt/Isasmelt – Secondary copper refining 38) 1 tonne of cathode copper produced via pre-treatment WEEE scrap – Ausmelt/Isasmelt – Secondary copper refining

These reference flows are depicted in figure 4.1-4.5. 4.1.3 Inventory analysis

Economy-environment system boundary Direct environmental emissions from the foreground processes are assumed to cross the economy-environment system boundary. All other environmental emissions originate from background processes that are represented by EcoInvent V2.2 processes. The economy-environment boundaries as defined in the EcoInvent database are taken into account.

Flowchart The foreground processes are represented in the following flowcharts (figure 4.1-4.5). The dashed line represents the system boundaries.

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Figure 4.1: Flow chart of the pyrometallurgical process. 1. Open pit mining / Underground mining, 2. Outotec Flash smelter / El Teniente smelter / Isasmelt smelter / Other bath smelter / Outotec direct-to-blister smelter, 3. Pierce Smith converter unless for Outotec direct-to- blister smelter where converting happens in the smelter.

Figure 4.2: Flow chart of the hydrometallurgical process. 1. Open pit mining / Underground mining, 2. Heap leaching / Dump leaching / Agitation leaching

Figure 4.3: Flow chart of the pyrometallurgical process where scrap is added to the smelter. 1. Open pit mining / Underground mining, 2. Pre-processing ELV scrap / Pre-processing WEEE scrap

Figure 4.4: Flow chart of the pyrometallurgical process where scrap is added to the Pierce smith converter. 1. Open pit mining / Underground mining, 2. Outotec Flash smelter / El Teniente smelter / Isasmelt smelter / Other bath smelter 3. Pre-processing ELV scrap / Pre-processing WEEE scrap

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Figure 4.5: Flow chart of secondary copper production. 1. Pre-processing ELV scrap / Pre-processing WEEE scrap

Data collection and relating data to unit processes

Mining As described in chapter 1 approximately 35% of the world copper is mined from underground mines and the other 65% from open pit mines. Very little mining happens by means of in-situ leaching. Table 4.4 shows the inputs that are needed to mine ore from an open pit or an underground mine and table 4.5 gives the outputs.

Diesel used in underground mines per tonne of ore is 0.0027 tonne per tonne of ore according to Memary et al. (2012), however Norgate and Haque (2010) state that it is 2.8 kg of diesel per tonne of ore. Despite the difference not being very large, the highest estimate of Norgate and Haque (2010) is used. For the open pit mine the estimate of Memary et al. (2012) 0.002 tonne per tonne or ore is used.

Two very different numbers for the use of blasting agents have been found. Norgate and Haque (2010) state that 0.4 kg of blasting agent (ANFO) is used per tonne of ore in an underground mine. In Chile in 2000 according to Schüller, Estrada and Bringezu (2008) on average 24.2 kg of explosive was used per tonne or ore, since Chile mainly has open pit mines and is the largest producer of copper in the world it can be stated that this is an average of the use of explosives in open pit mines in 2000. It is likely that this amount has declined and therefore a number of 20 kg is assumed. All other input data are derived from of Memary et al. (2012).

Land-use According to Martens, Rurhberg and Mistry (2002) land-use for the mining of one kiloton of ore is approximately 20 m2. Of this 42% is used for tailing ponds, 17% for leaching facilities, 13% for the waste ore, 10% for the open pit, 16% for the facilities and 2% is due to land-slides. For this study it is assumed that 41% of the land is used in the mining phase. Only 31% is assumed to be used in underground mining and 41% in open pit mining, because the mining activities for the underground mine take place underground.

Open pit Underground Electricity 20 kWh 95 kWh Water 580 kg 1,160 kg Diesel 2 kg 2.8 kg Blasting agent (ANFO, 94.4% ammonia 20 kg 0.4 kg nitrate and 5.6% diesel fuel) Land 8.2 m2 6.2 m2 Table 4.4: Inputs per tonne of ore mined based on data from (Memary, Giurco, Mudd, & Mason, 2012), (Norgate & Haque, 2010) and (Martens, Rurhberg, & Mistry, 2002)

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Production data of ANFO are not available in EcoInvent V2.2 and no data have been found on ANFO production. Therefore the production of ANFO is approximated with the production of ammonium nitrate and the use of 5.6% diesel fuel. According to Yara (2014) in the production of AN in Europe approximately 7.8 tonne of CO2 equivalent is emitted per tonne of N as opposed to 8.1 tonne in Russia. Emissions originate from the energy used in the process and N2O emissions. The world production is assumed to emit 8 tonne of CO2 equivalent per tonne of N, or 2.8 tonne per tonne AN. Inputs into the production process are estimated based on data obtained about the production of the CAN fertilizer Nutramon produced by OCI Nitrogen (Nusselder J. , 2014), the production of heavy fuel oil and natural gas have been excluded because they could potentially be included in the estimate from Yara. Data from OCI Nitrogen are production sensitive data and are therefore not printed in this report.

During the mining of copper not only ore needs to be removed but also overburden and other waste rock is extracted. According to Norgate and Haque (2010) 30 kg of waste rock is removed per tonne of ore in underground mining and on average 0.84 tonne of overburden is removed in Chile per tonne of copper ore (Schüller, Estrada, & Bringezu, 2008). Because 84% of the copper mined in Chile originates from open pit mines as discussed in chapter 1 the latter is assumed to be applicable to open pit mines. The waste rock is assumed to be non-sulphidic. If we assume that the grade of copper ore is still the same as it was in 2007 namely 0.75% (Crowson, 2012), then one tonne of copper ore contains 7.5 kg of copper.

Open pit Underground Waste rock 840 kg 30 kg Copper contained in ore 7.5 kg 7.5 kg Table 4.5: Outputs per tonne of ore mined based on data from (Schüller, Estrada, & Bringezu, 2008) and (Norgate & Haque, 2010)

Because hardly any data is available on the emissions of the mining stage, all European mines producing copper have been studied and are their weighted emissions per tonne ore mined are given in table 4.6. The Rudnik and Talvivaaran mines has been disregarded because these mines apply leaching. European mines have been chosen because emission data are publicly available in the European Pollutant Release and Transfer Register, unlike those in other regions in the world. The averages will be assumed to be applicable to both open pit and underground mines worldwide. Because also communition and concentrating generally happens at the mine site the given emissions also cover the direct emission in those production stages.

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Cu to Zn to Cu to Ni to N to NOx to PM10 As to Pb to Zn to Hg to Cd to Mine air air water water water air to air water water water water water Aitik4 - - 14 E-7 7 E-7 18 E-4 ------Polkowice- 4 E-5 - - - - 0.02 ------Sieroszowice5 Lubin6 48 E-6 ------Kevitsa7 - - - - - 0.05 - - Aguablanca8 ------0.1 - - - - - Zincgruvan9 ------15 E-6 9 E-5 18 E-4 - -

Pyhäsalmi10 12 E-4 17 E-5 18 E-5 ------16 E-4 19 E-7 4 E-6 Veliki krivelj11 - - 14 E-4 11 E-4 - - - - - 64 E-5 - 1 E-6 Ellatzite12 - - 16 E-4 7 E-5 - - - - - 12 E-5 - -

Average 4 E-4 17 E-5 8 E-4 4 E-4 18 E-4 0.035 0.1 15 E-6 9 E-5 1 E-3 19 E-7 25 E-7 Table 4.6: Emissions in kg per tonne of ore mined based on data from the European Pollutant Release and Transfer Register for 2011

Communition (grinding) As described in chapter 2 the grinding of copper ore happens in different consequent mills. The most commonly used ones are the SAG and the ball mill. According to Norgate and Haque (2010) in total 18.5 kWh electricity is needed for the grinding of one tonne of ore. However when looking at a few of the case studies described by Marsden (2008) the total amount of electricity used for the grinding which involves three ball mills a SAG mill and a HPGR grinder is almost twice as high or approximately 34.4 kWh of electricity per tonne of ore. The higher estimate will be used.

In the most commonly used grinding mill the SAG, the rock grinds itself but iron balls are added to the mill to help the grinding (Schlesinger, King, Sole, & Davenport, 2011). According to Norgate and Haque (2010) 1.4 kg of grinding media are used per tonne of ore. Both Schüller, Estrada and Bringezu (2008) and Classen et al. (2009) state that the amount being used is approximately half of this amount. The highest number will be used.

Input Quantity Electricity 34.4 kWh Iron balls (grinding media) 1.4 kg Table 4.7: Inputs per tonne of ore being grinded based on data from (Marsden, 2008) and (Norgate & Haque, 2010)

4 34,300 kt ore mined in 2012 (Boliden, 2012) emission data obtained from European Pollutant Release and Transfer Register for 2012 allocated per tonne 5 Approximately 200 kt copper produced in 2012 see chapter 1 originating from an ore with an ore grade of 2.5% (KGHM, 2015b), emission data obtained from European Pollutant Release and Transfer Register for 2012 allocated per tonne 6 Approximately 70 kt copper produced in 2012 see chapter 1 originating from an ore with an ore grade of 1.28% (KGHM, 2015c), emission data obtained from European Pollutant Release and Transfer Register for 2012 allocated per tonne 7 3,138 kt ore mined in 2012 (First Quantum Minerals, 2012), emission data obtained from European Pollutant Release and Transfer Register for 2012 allocated per tonne 8 755 kt ore mined in 2012 (Lundin Mining, 2013), emission data obtained from European Pollutant Release and Transfer Register for 2012 allocated per tonne 9 1111 kt ore mined in 2012 (Lundin Mining, 2013), emission data obtained from European Pollutant Release and Transfer Register for 2012 allocated per tonne 10 Approximately 1,400 kt ore mined (First Quantum, 2014), emission data obtained from European Pollutant Release and Transfer Register for 2012 allocated per tonne 11 Production assumed to be 6,000 kt, emission data obtained from European Pollutant Release and Transfer Register for 2012 allocated per tonne 12 Production assumed to be 13,000 kt, emission data obtained from European Pollutant Release and Transfer Register for 2012 allocated per tonne 56

Concentrating According to Reyes-Bozo et al. (2014) 30 gram of frothers were used per tonne of ore in froth flotation in 2012. This is very similar to what Woodcock, Sparrow and Bruckard (2007) say about synthetic alcohols such as methyl isobutyl of which between 25 and 50 gram is used per tonne of ore. 30 gram will be used in this study. When looking at collectors according to Schlesinger, King, Sole & Davenport (2011) on average 10 to 50 grams is used per tonne of ore, which is in line with the amount of 50 grams that was used per tonne of ore used in Chile in 2012 (Reyes-Bozo, et al., 2014). The most commonly used collector is xanthate, so it is therefore assumed that 50 gram of xanthate is used as collector per tonne of ore.

As a pH-modifier calcium oxide is used. According to Woodcock, Sparrow and Bruckard (2007) between 200 and 2,400 gram of calcium oxide is used per tonne of ore, this is similar to the estimate of Norgate and Haque (2010) that 1.36 kg of lime is used per tonne of ore. A medium amount of 1.1 kg of calcium oxide from lime is assumed to be used. The depressants that are used in concentrating are not taken into account in this LCA because they are very mineral specific. These chemicals such as sodium cyanide however can also have a profound impact on the environment.

The electricity used in flotation is according to Norgate and Haque (2010) 7.5 kWh per tonne, however according to Marsden (2008) approximately 4 kWh is used for both flotation and regrinding. The highest estimate will be used. All inputs per tonne of ore needed for concentrating are given in table 4.8.

Input Quantity Electricity 7.5 kWh Water 630 kg Collector (xanthate) 0.05 kg Frother (synthetic alcohol) 0.03 kg Lime 1.1 kg Table 4.8: Inputs per tonne of ore in concentration plant based on data from (Norgate & Haque, 2010), (Reyes-Bozo, et al., 2014)

According to Schlesinger, King, Sole & Davenport (2011) approximately 98% of ore fed to the concentrator comes out as flotation tailings. That means that per tonne of ore approximately 0.98 tonne or tailings are produced. This is very similar to the amount mentioned by (Norgate & Haque, Energy and greenhouse gas impacts of mining and mineral processing operations, 2010) that state that 37 tonne of tailing is produced per tonne of concentrate with a concentrate grade of 27.3%. When assuming that one tonne of ore contains 7.5 kg copper and that the concentration efficiency is 90% (Rankin (2011) and Schlesinger, King, Sole and Davenport (2011)), 6.75 kg of copper contained in concentrate is produced from one tonne of ore mined. The rest must then be considered tailings, which contain 0.75 kg of copper. All outputs from the concentrating process are given in table 4.9.

Output Quantity Tailings (sulphidic) containing 0.75 kg copper per tonne of tailings 994.25 kg Copper contained in concentrate 6.75 kg in 20 kg, so 20 kg concentrate with 33.75% copper concentration grade Table 4.9: Outputs per tonne or ore in concentration plant

This large amount of tailings need to be managed, which demands for inputs and creates outputs. Table 4.10 gives an overview of the inputs and table 4.11 of the outputs for the operation of a tailings impoundment where 100% of the tailings are submerged under water to prevent desulphurization. None of the outputs is already incorporated in the emissions associated with mining as given in table 4.6. At closure this tailings plant can be covered and planted with trees. In this study only the operation and not the construction and closure of the facility are taken into account. Data are obtained from a study done by Reid et al. (2009) at a tailings facility in Canada and divided by the functional unit.

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According to Classen et al. (2009) 0.051 m2 is needed for the tailings facility per tonne of tailings produced. This means that per tonne of copper in the concentrating plant approximately 0.05 m2 is needed.

Input Quantity Land 0.05 m2 Quicklime 0.697 kg Diesel at plant 0.055 kg Diesel for transport 0.0141 kg Electricity 1.432 kWh Water 65.1 kg Table 4.10: Inputs per tonne of ore in concentrating plant for tailings management

Output Quantity CO2 to air 0.8 kg Ammonia to water 0.00942 kg BOD5 to water 0.00137 kg Ca-ion to water 0.000567 kg Cl to water 0.00532 kg COD to water 0.00152 kg DOC to water 0.000503 kg Hydrocarbons unspecified to water 0.00499 kg Si to water 0.000677 kg Na ion to water 0.00257 kg Sulfate to water 0.000506 kg Sulfuric acid to water 0.229 kg Suspended soils unspecified to water 0.0208 kg TOC to water 0.000504 kg Ca to soil 0.0000123 kg C to soil 0.00000916 kg Cl to soil 0.0000987 kg Oil unspecified to soil 0.000356 kg Na to soil 0.00000619 kg Table 4.11: Outputs per tonne of ore in concentrating plant of tailings management

Smelting For all smelting and converting technologies it is assumed that 3 tonne of concentrate produced in the previous process is used to produce 1 tonne of copper anode.

Outotec Flash According to Lehtonen (2013) flash smelting uses approximately 4.14 GJ per tonne of refined copper produced. Of this approximately 36% is used directly in the flash smelter, 28% to produce the needed oxygen, 29% for the acid plant, 2% for the secondary and fugitive gas handling and 5% for secondary cooling. In the same paper Lehtonen gives the normalization factor of 1.0225 that he has applied to convert anode copper to 100% copper. The data in table 4.12 for electricity originating from Lehtonen has been converted back to the production of anode copper.

Data for fuel use, sand flux, oxygen and water use are based on the average inputs of eight Outotec flash smelters from Goonan (2005); Toyo (Japan), Tamano (Japan), Saganoseki (Japan), Onsan (South Korea), Hamburg (Germany), Guixi (China), Chagres (Chile) and Camacari (Brazil). The fuel use is assumed to be half coal and half natural gas. The number obtained for oxygen is very similar to that which is mentioned by Lehtonen (2013) who states that approximately 880 kg oxygen is used per tonne of copper anode. The water use mentioned by Goonan (2005) is only based on water used in the acid plant, it is assumed that no further water is used.

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Input Quantity Electricity 4.05 GJ (Lehtonen, 2013) or 1125 kWh Mixed fuel 37.5 kg Oxygen 978 kg Sand flux 248 kg Water 534 kg Table 4.12: Inputs into Outotec flash smelter per tonne of copper anode

Data for SO2 and CO2 emissions and the produced slag are also based on the average of Outotec flash smelters from Goonan (2005). The other emissions are based on an average of the Hamburg Aurubis13, Harjavalta14 and Pirdop15 smelters from the European Pollutant Release and Transfer Register in 2012 per tonne of cathode. Emissions for anode production are assumed to be the same as for cathode production.

Output Quantity Slag 1,500 kg (1-2% copper (Woodcock, Sparrow, & Bruckard, 2007)) SO2 to air 37 kg CO2 to air 175 kg As to air 0.00105 kg (No data for Pirdop smelter) Cd to air 0.000259 kg (No data for Pirdop smelter) Cu to air 0.00709 kg CO to air 3 kg (No data for Pirdop and Harjavalta) Hg to air 0.0000314 kg (No data for Pirdop and Harjavalta) NOx to air 0.495 kg (No data for Pirdop and Harjavalta) Pb to air 0.00597 kg (No data for Pirdop and Harjavalta) Zn to air 0.00417 kg (No data for Pirdop and Harjavalta) As to water 0.000443 kg Cd to water 0.000273 kg F to water 0.481 kg (No data for Pirdop and Harjavalta) Cu to water 0.0028 kg Hg to water 0.0000105 kg (No data for Pirdop) Ni to water 0.00345 kg (No data for Pirdop) Pb to water 0.000375 kg Zn to water 0.00471 kg Sulphuric acid 2,500 kg Table 4.13: Outputs from Outotec Flash smelter per tonne of anode

It has been chosen to not allocate the impacts over the production of sulphuric acid and copper because the price of sulphuric acid is not more than 1% of the price of copper and some sulphuric acid is used in the next production steps.

Outotec direct-to-blister There are only three large Outotec direct-to-blister plants in the world; Glogow II (Poland), Nchanga (DRC) and Olympic Dam (Australia). The data in tables 4.14 and 4.15 are based on data on the average of Glogow II and Olympic dam from Goonan (2005), the electricity data are based on Fthenakis, Wang & Kim (2009). Mixed fuel inputs are assumed to be half from coal and half from natural gas use.

Input Quantity Electricity 6.3 GJ (19 GJ energy of which approximately 33% electricity16) or 1,750 kWh Mixed Fuel 55 kg mixed fuel Oxygen 1510 kg Sand flux 10 kg Water 250 kg Table 4.14: Inputs into Outotec-direct-to-blister smelter per tonne of copper anode

13 Production assumed to be 360 kt in 2012 same as in 2013 14 Production of 125 kt copper in 2012 (Boliden, 2012) 15 Production assumed to be 350 kt the same as in 2013 16 Based on balance between energy inputs in table 11 of (Fthenakis, Wang, & Kim, 2009) 59

SO2 and CO2 emissions as well as slag and sulphuric acid produced are an average from the same smelters from Goonan (2005). Other emissions are from the European pollutant and transfer register in 2012 for the Glogow smelter17 per tonne of copper cathode. It is assumed that the emission for 1 tonne of anode is the same as for 1 tonne of cathode.

Output Quantity Slag 1,200 kg (12-28% copper (Schlesinger, King, Sole, & Davenport, 2011)) SO2 to air 30 kg CO2 to air 41 kg As to air 0.00209 kg Cd to air 0.000682 kg Cu to air 0.00452 kg CO to air 0.00295 tonne NOx to air 0.0016 tonne Pb to air 0.0057 kg PM10 to air 0.389 kg As to water 0.462 kg Cd to water 0.00154 kg Cl to water 6.624 kg Cr to water 0.000892 kg F to water 0.877 kg Hg to water 0.00139 kg Ni to water 0.0175 kg Pb to water 0.108 kg P to water 0.0175 kg Zn to water 0.137 kg Sulphuric acid 1,200 kg Table 4.15: Outputs from Outotec-direct-to-blister smelter per tonne of copper anode

It has been chosen to not allocate the impacts over the production of sulphuric acid and copper because the price of sulphuric acid is not more than 1% of the price of copper and some sulphuric acid is used in the next production steps.

El Teniente The El Teniente smelter is used in Chile. Input data for the El Teniente smelter are based on data from three large smelters in Chile as given by Goonan (2005); Caletones, Les Ventanes and Potretillos. At Caletones approximately 20 kg of mixed fuel is used per tonne of anode (Goonan, 2005), while one is used at Les Ventanes and Potretillos. It is assumed that 10 kg of mixed fuel is used on average of which half is natural gas and half is heavy fuel oil. Electricity use is based on Schüller, Estrada and Bringezu (2008) which give data for the production of copper cathode, it is assumed that the same amount of energy is used for the production of cathode as for the production of anode. The electricity use is a maximum because electricity is also needed for the refining.

Input Quantity Electricity 4,526 MJ (Schüller, Estrada, & Bringezu, 2008) or 1257 kWh Fuel 5 kg heavy fuel oil 5 kg natural gas Oxygen 590 kg Sand flux 103 kg Water 513 kg Table 4.16: Inputs into El 6eniente smelter per tonne of copper anode

Because El Teniente smelters are not used in Europe there is far less data available on the emission of these smelters. Outputs are given in table 4.17. SO2 and CO2 emissions to air and the slag and sulphuric acid produced are based on the average of the El Teniente smelters given by Goonan (2005). No other emissions have been found.

Output Quantity Slag 1,800 kg (6-10% copper (Schlesinger, King, Sole, & Davenport, 2011))

17 Calculated with a maximum production of 465 kt in 2012 60

SO2 to air 317 kg CO2 to air 90 kg Sulphuric acid 2,000 kg Table 4.17: Outputs from El Teniente smelter per tonne of copper anode

It has been chosen to not allocate the impacts over the production of sulphuric acid and copper because the price of sulphuric acid is not more than 1% of the price of copper and some sulphuric acid is used in the next production steps.

Isasmelt Input data for the Isasmelt technology are based on data from the Kunming, Miami and Mount Isa smelters from Goonan (2005). It is assumed that of the fuel used half is coal and half is natural gas because the lance is mostly heated with coal and the feed with natural gas (Schlesinger, King, Sole, & Davenport, 2011). Electricity use is based on the electricity use of the Mufulira smelter in Zambia as reported by (Burrows, Partington, Sakala, & Mascrenhas, 2012).

Input Quantity Electricity 3456 MJ or 960 kWh Fuel 46.5 kg coal 46.5 kg natural gas Oxygen 1,200 kg Sand flux 317 kg Water 527 kg Table 4.18: Inputs into Isasmelt smelter per tonne of copper anode

Output data for Isasmelt technology for the SO2 and CO2 emissions and the production of slag and sulphuric acid based on the average of the Isasmelt technologies given by Goonan (2005). All other emissions are based on the emissions for Lunen in 2012 given by the European pollutant and transfer register. Data are per tonne of copper cathode produced, these emissions are assumed to be the same for copper anode production.

Output Quantity Slag 1,900 kg SO2 to air 151 kg CO2 to air 485 kg As to air 0.000513 kg Cd to air 0.000186 kg Cu to air 0.0169 kg Hg to air 0.000734 kg NOx to air 1.714 kg Pb to air 0.0099 kg Zn to air 0.0153 kg F to air 0.0266 kg Sulphuric acid 2,240 kg Table 4.19: Outputs from Isasmelt smelter per tonne of copper anode

It has been chosen to not allocate the impacts over the production of sulphuric acid and copper because the price of sulphuric acid is not more than 1% of the price of copper and some sulphuric acid is used in the next production steps.

Other bath smelters Inputs into the other bath smelter process is based on an average of the Altonorte and Norilsk Nickel or Copper smelter as given by Goonan (2005). According to Schlesinger, King, Sole and Davenport (2011) the Altonorte smelter uses coal, while the Norilsk Nickel smelter uses natural gas therefore it is assumed that half of the fuel consumed is coal and half natural gas. Electricity use has not been found, but since the process of both the Noranda smelter and the Vanyukov smelter is quite similar to the El Teniente process, the same electricity use is assumed as given in table 4.16.

Input Quantity Electricity 4526 MJ or 1257 kWh Fuel 47.5 kg coal 61

47.5 kg natural gas Oxygen 1,190 kg Sand flux 260 kg Water 590 kg Table 4.20: Inputs into the other bath smelter process per tonne of copper anode

Outputs from the other bath smelters process are given in table 4.21. The CO2 emissions to air, slag and sulphuric acid production are based on the average of the smelters using another bath smelter technology from Goonan (2005). The SO2 emissions are based on an average of those smelters as well as the emissions from the Horne smelter (Canada) given in the Canadian pollutant register for 201318. All other emissions are solely based on the Canadian pollutant register.

Output Quantity Slag 3,200 kg SO2 to air 87 kg CO2 to air 112 kg As to air 0.0921 kg Cd to air 0.00204 kg Cr to air 0.00241 kg Cu to air 0.417 kg CO to air 0.46 kg Hg to air 0.0000631 kg NOx to air 1.05 kg Pb to air 0.219 kg PM10 to air 1 kg PM2.5 0.917 kg Zn to air 0.0922 kg As to water 0.000947 kg Cd to water 0.000325 kg Cr to water 0.000515 kg Cu to water 0.0126 kg Hg to water 0.0000121 kg Ni to water 0.00183 kg Pb to water 0.00085 kg Zn to water 0.0291 kg Sulphuric acid 3,200 kg Table 4.21: Outputs from the other bath smelter process per tonne of copper anode

It has been chosen to not allocate the impacts over the production of sulphuric acid and copper because the price of sulphuric acid is not more than 1% of the price of copper and some sulphuric acid is used in the next production steps.

Converting All outputs for the converting of copper have already been taken into account as part of the smelting process, since converting always happens at the smelting site. Inputs into the process include silica flux and lime stone. No energy is required because the process is autothermal as described in chapter 2. These inputs are given in table 4.22 and are based on an average of the converting processes at Altonorte and Norilsk smelters as given by Goonan (2005).

Input Quantity Silica flux 100 kg Lime stone 500 kg Table 4.22: Inputs into the Pierce Smith converter per tonne of copper anode

18 Emissions allocated over 206 kt produced in 2013 as specified in chapter 1. 62

Fire refining and anode casting The only input into the fire refining and casting process is hydrocarbons for the reduction of oxygen from the blister copper. According to Schlesinger, King, Sole and Davenport (2011) 2,000-3,000 MJ of hydrocarbons are used in the furnace per tonne of copper anode produced. The highest input is assumed to originate from the combustion of natural gas. All emissions are covered under the next production step, because both production steps tend to happen in the same place.

Electrolytic refining Inputs into electrolytic refining that are given in table 4.23 are based on Lehtonen (2013). The electricity used of 400 kWh per tonne of copper cathode is at the high end of the scale given by Schlesinger, King, Sole and Davenport (2011). No data has been obtained on the quantity of natural gas or other form of hydrocarbons for the heating of the electrolyte. The sulphuric acid is assumed to originate from the smelting process or to be recirculated from the process itself, so no environmental burden is associated with it.

Input Quantity Electricity 400 kWh Sulphuric acid (0.66% in water) 2,450 kg Oxygen 3 kg Na2CO3 0.05 kg Na2B4O7 1 kg Sulphuric acid 31kg Anode copper 1,020 kg Anode SO4 0.2 kg Water 56 kg Table 4.23: Inputs into the electrolytic refinery per tonne of copper cathode based on data from (Lehtonen, 2013) and (Schlesinger, King, Sole, & Davenport, 2011)

Outputs of the electrolytic refining process are given in table 4.24 and are based on Lehtonen (2013). The water vapour combined with CO2 that are emitted according to Lehtonen are assumed to completely consist out of CO2. The combination of NiSO4, water and sulphuric acid that becomes a waste is assumed to be spent electrolyte.

Output Quanitity Heavy metal dust 3 kg Slag 100 kg Cu3As 7 kg Sulphuric acid 98% 10 kg Sulphuric acid 70% 30 kg CO2 2 kg Spent electrolyte (NiSO4, water and sulphuric acid) 40 kg Table 4.24: Output from electrolytic refining per tonne of copper cathode based on data from (Lehtonen, 2013)

Leaching To leach one tonne of ore according to Reyes-Bozo et al. (2014) approximately 0.12 m3 of water is needed. This is very similar to the number given by Simpson, Aravena and Deverell (2014) who refer to the use of 0.13 m3 per tonne of ore. The latter is used for all leaching processes.

Data on the amount of sulphuric acid used as leaching agent for the different leaching methods was difficult to obtain. According to Szymanowski (1993) 5.5 kilogram of sulphuric acid is needed for the production of one kilogram of copper cathode. It is assumed that this amount of sulphuric acid applies to the use of heap leaching. This would with a total recovery of 70% of the copper in ore account to almost 1 kg of sulphuric acid per kg of copper cathode, and thus 7.5 kg per tonne of ore leached. The same amount is assumed to be used for dump leaching. In the case of agitation leaching a lot less sulphuric acid is used. In the example of one plant in Zambia between 10 to 15 kg of leaching agent were used for the extraction of one tonne of copper (Sikamo, Kumar, Toshniwal, & Banda, 2008). The higher end of the range is used, assuming a total efficiency of 80%. This would amount to approximately 0.1 kg of sulphuric acid per kg of copper leached from ore.

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Of the 20 m2 of land necessary per tonne of ore mined, approximately 17% is associated with leaching facilities (Martens, Rurhberg, & Mistry, 2002). Data is given for heap leaching, and the land-use is assumed to be the same for dump leaching. However agitation leaching is done in tanks and thus requires less land, therefore it is assumed that only one-third of the land used for heap leaching would be required if agitation leaching is applied.

Input Dump Heap Agitation Water 130 kg (Reyes-Bozo, et al., 2014) 130 kg (Reyes-Bozo, et al., 130 kg (Reyes-Bozo, et al., 2014) 2014) Sulphuric acid 7.5 kg 7.5 kg 0.75 kg Land-use 3.4 m2 3.4 m2 1.1 m2 Table 4.25: Inputs per tonne of ore leached

According to Fhtenakis, Wang and Kim (2009) the recovery of copper by means of dump leaching is 30-70% and of heap leaching 70-80%. According to Schlesinger, King, Sole & Davenport (2011) the recovery of copper from dump leaching is between 35-75% and of heap leaching up to 90%, agitation leaching can yield 85-100% of the copper in the ore. It will be assumed that dump leaching has a yield of 50%, heap leaching of 80% and agitation leaching of 90%. The rest of the rock material becomes tailings. This estimate is in line with the average amount of tailings produced in Chile per tonne of copper ore, which is approximately 995 kg per tonne (Schüller, Estrada, & Bringezu, 2008). Table 4.26 shows the outputs from the leaching of copper ore.

Output Dump Heap Agitation Copper contained in 3.75 kg 6 kg 6.75 kg pregnant leach solution Tailings 996.25 kg (containing 3.75 kg 994 kg (containing 1.5 kg 993.25 kg (containing 0.75 kg copper) copper) copper). Table 4.26: Output per tonne of ore leached

Because approximately the same amount of tailings is produced per tonne of ore leached as per tonne of ore that was concentrated, the same inputs and outputs are considered for tailings management and data can be found in tables 4.10 and 4.11.

Solvent extraction Electricity is used in both leaching and solvent extraction for the pumping of the solutions and in the solvent extraction for the skimming and stripping of the material. Together according to Fhtenakis, Wang and Kim (2009) this accounts for 2,500 kWh per tonne of copper cathode. Other inputs into the process are extractant and diluent. In Chile on average 20 kg of kerosene as diluent and 2.3 kg of extractant per tonne of copper cathode is used (Schüller, Estrada, & Bringezu, 2008). The amounts appear to be higher outside of Chile where for example at the Chingola mine 4 kg of extractant and 40 kilogram of diluent is used (Sikamo, Mulenga, Zimba, & Katuta, 2008). However because little data is available outside of Chile and a large part of the SX-EW production occurs in Chile the data of Schüller, Estrada and Bringezu are used. Table 4.27 shows the input per tonne of copper produced. The efficiency of SX-EW was 86% at the end of the last century (Szymanowski, 1993). Because more recent data has not been found it is assumed that the extraction efficiency of SX-EW is 90%. This is in line with the estimate of SX-EW residues being 0.1 tonne for the production of one tonne of copper cathode (Rankin, 2011).

Input Quantity Electricity 2,500 kWh Kerosene 20 kg Extractant (aldoxime/ketoxime) 2.3 kg Copper contained in pregnant leach solution 1,100 kg Table 4.27: Inputs per tonne of copper cathode

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Because of the assumed extraction efficiency, 0.1 tonne of copper is lost per tonne of copper cathode produced. No other data on outputs have been found.

Output Quantity Copper content lost in SX-EW 100 kg Table 4.28: Outputs per tonne of copper cathode

Electrowinning Electricity use for electrowinning ranges somewhere between 2000 and 2600 kWh per tonne of copper cathode (Habashi, 1997). More recent estimates are closer to 2000 kWh (Fhtenakis, Wang, & Kim, 2009). Besides electricity smoothing agents are used. According to Schlesinger, King, Sole and Davenport (2011) somewhere between 150 and 400 gram of guar gum is used per tonne of copper cathode. In Chile the average lies at 253 gram (Schüller, Estrada, & Bringezu, 2008). For this study 250 gram will be used. In Chile also 290 grams of cobalt are added per tonne of copper cathode (Schüller, Estrada, & Bringezu, 2008), since no other data have been found this number will be used. Table 4.29 shows all the inputs.

Input Quantity Electricity 2,000 kWh Guar gum 0.25 kg Cobalt 0.29 kg Table 4.29: Inputs per tonne of copper cathode based on data from (Fhtenakis, Wang, & Kim, 2009) and (Schüller, Estrada, & Bringezu, 2008)

No output data have been found for electrowinning.

Pre-treatment old scrap

WEEE For the treatment of WEE data has been obtained from an LCA conducted by Bigum, Brogaar and Christensen (2012). According to them 44 kg of copper can be found in one tonne WEEE, other outputs include iron, aluminium and precious metals. 15.5% of the impacts of the separation can be allocated to the copper based on economic allocation. 60% of the copper is recovered in the process. Their LCA related data is presented in tables 4.30 and 4.31.

Input Quantity Electricity 66 kWh Table 4.30: Inputs for the pre-treatment of 1 tonne of WEEE

Output Quantity Copper in scrap recovered 26.4 Al to air 0.001 kg Sb to air 0.0001 kg Br to air 0.0002 kg Cd to air 0.00002 kg Cl to air 0.0003 kg Cr to air 0.00005 kg Cu to air 0.0004 kg Fe to air 0.005 kg Pb to air 0.0004 kg Hg to air 0.0000001 kg Ni to air 0.0004 kg P to air 0.00001 kg Polychlorinated biphenyls 0.000002 kg Sn to air 0.0003 kg Zn to air 0.001 kg Table 4.31: Outputs for the pre-treatment of 1 tonne of WEEE

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ELV This dismantling of a car reduces the weight of the car to 55-70% of its original weight. After a car has been dismantled it still contains between 36-70% metals and 12-32% becomes auto shredder residue (ASR) (Sakai, et al., 2014). It will be assumed that 70% of the car is made up of metals and that 30% becomes residue. Of the total car weight of the dismantled car copper makes up 1-2.1% (Schlesinger, King, Sole, & Davenport, 2011). The higher estimate of 2% copper content will be used. The rest of the metal content is assumed to be steel. According to Funazaki, Taneda, Tahara and Inaba (2003) the average weight of a car is 1,190 kg.

This means that an average car after dismantling contains approximately 17 kg of copper and 570 kg steel, when assuming that dismantling reduces the weight of the car to 70% of its original weight. Part of this is retrieved and a part ends up in the ASR. Somewhere between 3.5 and 60,000 mg of copper are lost to ASR (Sakai, et al., 2014). Since this is a very wide range a guess is made that 10 gram of copper is lost per kilogram of ASR produced, because ASR generally ends up in a landfill (Sakai, et al., 2014). This means that approximately 2.5 kg of copper is lost to the ASR and that thus 14.5 kilogram of copper is retrieved per ELV vehicle being recycled. It is assumed that 90% of the steel is retrieved, and recycling of an ELV then gives about 530 kg of steel. Table 4.32 shows the outputs produced during the recycling of an ELV, emissions are from Funazaki, Taneda, Tahara and Inaba (2003) and include emissions from energy use.

Output Quantity Copper to smelter 14.5 kg Iron to further recycling 530 kg Copper contained in ASR 2.5 kg CO2 to air 100 kg CFC-12 to air 0.418 kg NO2 to air 0.3 kg Table 4.32: Outputs for the pre-treatment of one ELV

These outputs will be allocated based on economic allocation where it is assumed that copper is worth 20 times more than steel. This means that 35% of the impact can be allocated to copper.

Smelting scrap in Noranda and Mitsubishi smelter No data have been found on the smelting of pre-treated scrap in a Noranda or Mitsubishi smelter. It is therefore assumed that there are no extra emissions and that the pre-treated scrap can replace 20% of the copper concentrates in the other smelter process. This means that only 2.4 tonne of concentrates are used for the production of 1 tonne of anode, and that thus approximately 0.2 tonne of copper needs to originate from copper scrap.

Smelting scrap in converter No data have been found in the smelting of scrap in a Pierce Smith converter. It is therefore assumed that there are no extra emissions and that 30% of the copper entering the Pierce Smith converter originates from copper scrap. This means that only 70% originates from the smelter. The same other inputs are assumed.

Secondary copper production in Ausmelt/Isasmelt In the secondary production of copper in the Ausmelt or Isasmelt furnace copper can be produced solely from scrap. Converting in this furnace happens in the same furnace, as is the case at the Umicore Isasmelt furnace. Because of the plastic content often still present in electronic scrap no extra fuel inputs are required. It is assumed that 95% of the copper is recovered in this way, at the Umicore facility more than 95% is recovered (Hageluken, 2007). This process produces rough copper instead of anode copper, containing a 95-97% copper grade (Schlesinger, King, Sole, & Davenport, 2011). Therefore one tonne of copper contained in scrap is needed. The rest of the inputs and outputs are assumed to be exactly the same as the Ausmelt/Isasmelt process defined earlier.

Extra refining is needed to produce copper cathode, so the rough copper is treated in a secondary refinery afterwards.

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Secondary refinery Bigum, Brogaard and Christensen (2012) have conducted an LCA of WEEE recycling and included a life cycle inventory of a precious metals refinery where copper with a grade of 98.7% went in. The grade if the secondary smelter defined in the previous process is a bit lower and it is therefore assumed that to produce 1 tonne of copper cathode 1.05 tonne of rough copper are needed. All other inputs and outputs are also multiplied by 1.05. The input sulphuric acid is assumed to be burden free because it is created during the secondary smelting process. Besides copper other materials are produced from this process, creating an economic allocation of 27.8% of the burden to the copper production. Tables 4.33 and 4.34 show the inputs and outputs into the process.

Input Quantity Rough copper 1,050 kg Electricity 325.5 kWh Natural gas 0.042 MJ Sulphuric acid 42 kg Table 4.33: Inputs per tonne of copper cathode based on (Bigum, Brogaard, & Christensen, 2012)

Output Quantity Copper cathode 1 tonne Other economic outputs Unknown As to air 0.000063 kg Cu to air 0.000105 kg Pb to air 0.00021 kg Ni to air 0.000042 kg PM2.5 0.00315 kg PM2.5-PM10 0.0021 kg PM10 0.000945 kg As to water 0.000084 kg Cd to water 0.0525 kg Cu to water 0.00105 kg Pb to water 0.0000735 kg Hg to water 0.000000105 kg Ni to water 0.000105 kg Zn to water 0.000315 kg Table 4.34: Outputs per tonne of copper cathode based on (Bigum, Brogaard, & Christensen, 2012)

Results of inventory analysis All emissions to soil have been modelled as being emitted to industrial soil, and all emissions to water as being emitted to an unspecified water body. Lime has unless specified as quicklime been modelled as limestone, silica flux as silica sand and water as drinking water unless in the case of mining when it is assumed to originate from the environment. Because no emission of sulphuric acid to water was available in EcoInvent V2.2 it has been modelled as acidity to water and heavy metal dust as PM10 emissions.

The waste rock produced in mining has not been taken into account as a separate emission because both the land-use for waste rock disposal and emissions from mining have already been taken into account. The production of oxygen is not modelled because the electricity use for the production of oxygen is already included in the processes. The disposal of slag is not modelled because no data has been found on where the slag is disposed in the different processes. However it is likely that a part of the emissions of the disposal are included in the modelled emission from the processes.

Some data has been omitted because no data have been found on their production either from EcoInvent V2.2 or from other sources for economic inputs and because no associated emissions could be found for environmental outputs from EcoInvent. These are listed in table 4.35.

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Input/Output Process Sort Collector Concentrating Economic input Frother Concentrating Economic input Anode SO4 Electrolytic refining Economic input Extractant Solvent extraction Economic input Guar gum Electrowinning Economic input Ammonia to water Concentrating Environmental output Calcium to soil Concentrating Environmental output Fluorine to air Smelting Environmental output Cu3As Electrolytic refining Environmental output Spent electrolyte Electrolytic refining Environmental output CFC-12 to air Pre-processing ELV scrap Environmental output Table 4.35: Omitted data

The complete inventory table with all the modelled environmental outputs contributing for 1% or more to one of the impact categories can be found in Appendix 1 (for reference flow 1-10), Appendix 2 (for reference flow 11-16), Appendix 3 (for reference flow 17-20), Appendix 4 (for reference flow 21-36) and Appendix 5 (for reference flow 37 and 38). 4.1.4 Impact assessment

Selection of impact categories and presentation of impact results The environmental impacts as described in the goal and scope definition are taken into account as midpoint categories. By using potentials from ReCiPe 2008 (see (Goedkoop, et al., 2008)) the environmental impact is calculated in CMLCA. The Hierarchist approach is chosen, which mostly uses a 100 year time horizon.

For the environmental impact category copper depletion an own calculation is made, based on the total amount of copper contained in ore needed for the production one tonne of copper cathode.

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Results of impact assessment

Pyrometallurgical

Impact category 1 2 3 4 5 6 7 8 9 10 Unit

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Natural land 500 500 500 500 500 380 380 380 380 380 m2 transformation

Freshwater 1.59E+04 1.59E+04 1.62E+04 1.60E+04 1.62E+04 1.40E+04 1.40E+04 1.43E+04 1.41E+04 1.42E+04 kg P-Eq eutrophication

Terrestrial 6.79E+01 3.54E+02 185 120 61.8 93.3 379 210 145 87.2 kg SO2-Eq

acidification

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Water depletion 167 1.67E+02 166 167 169 213 214 213 214 215 m3

Climate change 1.53E+04 1.53E+04 1.56E+04 1.54E+04 1.55E+04 1.30E+04 1.29E+04 1.32E+04 1.30E+04 1.32E+04 kg CO2-Eq

Freshwater 110 110 109 112 255 191 192 190 193 336 kg 1,4-DCB-Eq

ecotoxicity

Human toxicity 4.57E+03 4.40E+03 4.58E+03 1.50E+04 1.31E+04 8.33E+03 8.16E+03 8.34E+03 1.88E+04 1.69E+04 kg 1,4-DCB-Eq

Ozone depletion 0.000525 0.000522 0.000536 0.000544 0.000544 0.000837 0.000834 0.000848 0.000856 0.000856 kg CFC-11-Eq

Copper resource 1,133 1,133 1,133 1,133 1,133 1,133 1,133 1,133 1,133 1,133 kg depletion

Table 4.36: Impacts of the pyrometallurgical production of copper. Numbers 1-10 refer to functional units.

Impact category Mining & Concentrating Smelting & Refining Communition Converting Natural land 97-99% 1% 0% 0% transformation Freshwater eutrophication 82-86% 6-7% 5-9% 3% Terrestrial acidification 6-56% 1-5% 40-92% 0-2% Water depletion 21-38% 58-75% 2-5% 1%

Climate change 82-86% 6-7% 5-8% 3% Freshwater ecotoxicity 29-81% 8-24% 4-60% 1-3% Human toxicity 22-85% 3-14% 5-73% 1-3% Ozone depletion 72-84% 6-10% 5-11% 5-8% Table 4.37: Contribution per production stage per impact category for the pyrometallurgical production of copper

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The largest environmental impact for the pyrometallurgical production of copper happens in the mining and communition stage. Since mining, communition and concentrating mainly happen at the same site, it can be concluded that for copper to be produced sustainably changes need to be made at the mine site. The impacts during the smelting and converting stage that are larger than 20% are in the terrestrial acidification, human toxicity and freshwater ecotoxicity impact categories. The impacts in the refining stage are negligible.

Hydrometallurgical

Impact category 11 12 13 14 15 16 Unit Natural land -1,370 -856 -611 -738 -461 -410 m2 transformation Freshwater eutrophication 2.99E+04 1.96E+04 1.76E+04 2.62E+04 1.73E+04 1.55E+04 kg P-Eq Terrestrial acidification 85.3 57 37.1 134 87.7 64.4 kg SO2-Eq Water depletion -154 -103 -93.3 -245 -160 -144 m3 Climate change 2.88E+04 1.89E+04 1.69E+04 2.42E+04 1.60E+04 1.44E+04 kg CO2-Eq Freshwater ecotoxicity 210 143 129 368 242 217 kg 1,4-DCB-Eq Human toxicity 8.40E+03 5.81E+03 5.22E+03 1.57E+04 1.04E+04 9.28E+03 kg 1,4-DCB-Eq Ozone depletion 0.000952 0.00064 0.00057 0.00156 0.00102 0.000906 kg CFC-11-Eq 1 Copper resource depletion 2,198 1,373 1,223 2,198 1,373 1,223 Kg Table 4.38: Impacts of the hydrometallurgical production of copper. Numbers 11-16 refer to functional units.

Impact category Mining & Leaching Solvent Electrowinning Communition extraction Natural land 64-88% 10-30% 2-4% 1-2% transformation Freshwater eutrophication 81-88% 2-4% 5-10% 4-7% Terrestrial acidification 49-81% 4-36% 5-16% 3-12% Water depletion 41-64% 26-44% 5-12% 3-9% Climate change 81-89% 2-4% 5-10% 4-7% Freshwater ecotoxicity 61-81% 9-17% 5-15% 4-11% Human toxicity 67-87% 3-8% 6-18% 4-13% Ozone depletion 74-88% 2-7% 5-14% 3-9% Table 4.39: Contribution per production stage per impact category for the hydrometallurgical production of copper

The largest environmental impacts in the hydrometallurgical production route occur in the mining stage. The impacts in the leaching stage mostly fall in the natural land transformation, terrestrial acidification and water depletion categories. The impacts in the solvent extraction and electrowinning stages contribute less than 20% to the overall environmental impact and will therefore not be considered further.

Secondary production – Scrap in primary smelter

Impact category 17 18 19 20 Unit Natural land -304 -400 -304 -400 m2 transformation Freshwater eutrophication 1.20E+04 1.36E+04 1.18E+04 1.34E+04 kg P-Eq Terrestrial acidification 135 115 136 115 kg SO2-Eq Water depletion -173 -135 -175 -138 m3 Climate change 1.11E+04 1.30E+04 1.09E+04 1.28E+04 kg CO2-Eq Freshwater ecotoxicity 158 92.3 161 96 kg 1,4-DCB-Eq Human toxicity 1.72E+04 1.42E+04 1.75E+04 1.45E+04 kg 1,4-DCB-Eq Ozone depletion 0.000705 0.000455 0.000718 0.000468 kg CFC-11-Eq Copper resource depletion -4.51 -3.81 -4.54 -3.83 Kg Table 4.40: Impacts of the pyrometallurgical production of copper where 20% scrap is added to the smelter. Numbers 17-20 refer to functional units.

Impact category Mining & Concentrating Smelting & Pre-treatment Refining Communition Converting scrap Natural land 99-100% 1% 0% 0% 0% 70

transformation Freshwater eutrophication 78-81% 6-7% 7-8% 2-4% 3-4% Terrestrial acidification 16-29% 2% 68-80% 1-2% 1% Water depletion 20-38% 57-74% 4-5% 0-2% 1% Climate change 78-82% 6-7% 6-8% 2-4% 3-4% Freshwater ecotoxicity 60-78% 13-22% 7-12% 0-4% 2-3% Human toxicity 18-33% 3% 63-77% 0-2% 1% Ozone depletion 67-80% 6-9% 8-13% 0-3% 6-9% Table 4.41: Contribution per production stage per impact category for the pyrometallurgical production of copper where 20% scrap is added to the smelter.

The production of copper when smelting some scrap in the furnace has less impact in every impact category when comparing with the completely primary production process for the production of copper in the other bath smelter process. This was to be expected because mining, communition and concentrating together account for the largest part of the environmental impacts of the production of copper and less material needs to be treated here when secondary material is used in the process.

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Impact category 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 Unit

------

Natural land 350 350 350 350 350 350 350 350 266 266 266 266 266 266 266 266 m2 transformation

Freshwater 1.20E+04 1.20E+04 1.22E+04 1.21E+04 1.17E+04 1.17E+04 1.19E+04 1.18E+04 1.07E+04 1.07E+04 1.09E+04 1.07E+04 1.04E+04 1.04E+04 1.06E+04 1.04E+04 kg P-Eq eutrophication

Terrestrial 49.1 249 131 85.3 49.5 249 131 85.7 66.9 267 149 103 67.3 267 149 103 kg SO2-Eq

acidification

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Water depletion 117 117 117 118 120 121 120 121 150 150 149 150 153 153 152 153 m3

Climate change 1.16E+04 1.16E+04 1.18E+04 1.16E+04 1.13E+04 1.12E+04 1.14E+04 1.13E+04 9.95E+03 9.93E+03 1.01E+04 9.97E+03 9.60E+03 9.58E+03 9.78E+03 9.63E+03 kg CO2-Eq

Freshwater 77.8 78.1 76.9 79.2 83.3 83.6 82.4 84.7 135 135 134 136 140 141 139 142 kg 1,4-DCB-Eq

ecotoxicity

Human toxicity 3.24E+03 3.12E+03 3.25E+03 1.05E+04 3.59E+03 3.48E+03 3.60E+03 1.09E+04 5.87E+03 5.76E+03 5.88E+03 1.32E+04 6.22E+03 6.11E+03 6.24E+03 1.35E+04 kg 1,4-DCB-Eq

Secondary production – Scrap in primary converter

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Ozone 0.00038 0.000378 0.000388 0.000393 0.000399 0.000398 0.000407 0.000413 0.000598 0.000597 0.000606 0.000612 0.000618 0.000616 0.000625 0.000631 kg CFC-11-Eq depletion

Copper 795 795 795 795 795 795 795 795 795 795 795 795 795 795 795 795 kg

resource depletion

Table 4.42: Impacts of the pyrometallurgical production of copper where 30% scrap is added to the converter. Numbers 21-36 refer to functional units.

The production of copper when smelting some scrap in the converter has less impact in every impact category when comparing with the completely primary production process for the same smelter and mining technology.

Impact category Mining & Concentrating Smelting & Pre-treatment Refining Communition Converting scrap Natural land 99% 1% 0% 0% 0% transformation Freshwater eutrophication 75-81% 6-7% 5-8% 4-7% 4% Terrestrial acidification 6-51% 1-5% 42-92% 0-3% 0-2% Water depletion 20-39% 57-74% 2-4% 0-3% 1-2% Climate change 75-82% 6-7% 5-8% 3-7% 4% Freshwater ecotoxicity 60-81% 13-23% 4-10% 07% 2-4% Human toxicity 21-85% 3-14% 5-73% 0-10% 1-4% Ozone depletion 67-83% 6-9% 5-11% 0-5% 6-11% Table 4.43: Contribution per production stage per impact category for the pyrometallurgical production of copper where 30% scrap is added to the converter.

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Secondary production – Scrap in secondary smelter

Impact category 37 38 Unit

Climate change 1,040 711 Kg CO2-eq Ozone depletion 0.00000863 0.0000283 Kg CFC-12-eq

Terrestrial acidification 46.3 46.7 Kg SO2-Eq Freshwater eutrophication 1,050 757 Kg P-eq Human toxicity 203 540 Kg 1,4-DCB-eq Freshwater ecotoxicty 2.8 8.05 Kg 1,4-DCB-eq Natural land transformation -0.0218 -0.0618 M2 Water depletion -1.69 -4.68 M3 Table 4.44: Impacts of the pyrometallurgical production of secondary copper. Numbers 37 and 38 refer to functional units.

The production of copper from secondary sources is always better than the production of primary copper, no matter which production route is used for the production of primary copper. For all impact categories the primary production has at least 8 times more environmental impact except for the terrestrial acidification where the primary production has only about 1.2 times more impact.

Impact category Pre-treatment Smelting & Refining scrap Converting Climate change 53-68% 28-41% 4-7% Ozone depletion 66% 26-76% 8-24% Terrestrial acidification 3% 96-97% 0% Freshwater eutrophication 54-67% 29-40% 5-7% Human toxicity 62% 31-83% 6-17% Freshwater ecotoxicity 65% 25-72% 10-28% Natural land 2% 27-77% 8-23% transformation Water depletion 64% 28-78% 8-22% Table 4.45: Contribution per production stage per impact category for the pyrometallurgical production of secondary copper.

The contribution analysis given in table 4.45 is a bit skewed because for the pre-treatment of ELV scrap the emissions that were found only contribute to the climate change, terrestrial acidification and freshwater eutrophication impact categories. All the other impact categories for the pre-treatment of scrap are based only on the pre-treatment of WEEE scrap. 4.1.5 Interpretation

Contribution analysis The conclusions drawn in the previous section have been assessed for their contributions. That means assessing all impact categories for mining, freshwater ecotoxicity, natural land transformation and water depletion for concentrating, terrestrial acidification, human toxicity and freshwater exotoxicity for smelting & converting and natural land transformation, water depletion and terrestrial acidification for leaching. Lastly terrestrial acidification for secondary smelting is looked at.

The main contribution to the impacts of mining and communition are the land-used for the mining, the production of ANFO and the production of the electricity used in the process. Even though the amount of land- used in mining is based on one single source, the order of magnitude is very likely. Therefore the mining and communiton stage will always be the most land-use intensive phase of the production. The land-used in mining can thus be considered an important impact. The amount of ANFO used especially in open pit mining is based on old data and the emissions are based on the quite efficient production of AN in the Netherlands and carbon dioxide emissions for production in Russia. The sensitivity to the carbon dioxide emissions for the production is Russia and the amount of ANFO will be checked in the sensitivity and uncertainty analysis. The electricity use process is based on the average electricity supplied in Western Europe, which is mainly supplied with coal, nuclear and hydropower. In Chile, the largest copper mining country, electricity is mainly generated in hydropower plants, coal-fired power plants or natural gas power plants (Central Energia, 2010). The sensitivity

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of the type of electricity generation use will be checked in the sensitivity and uncertainty analysis by changing the electricity generation to 1/3 hydropower, 1/3 natural gas combustion and 1/3 coal combustion.

The main contribution to the impact categories for concentrating are the direct water use for water depletion, emissions from tailings management and energy use for freshwater ecotoxicity. The direct water use is based on average data for water use in Chilean concentrating plants in 2012 and can therefore be considered accurate. The emission contributing most to the freshwater ecotoxicity is the chlorine leaking from the tailings pond. The emissions is based on a relatively new study on a well-managed tailings facility in Canada. It is very well possible that more emissions can originate from tailing ponds in different parts of the world, and that also other impact categories such as terrestrial acidification would become more important for concentrating. The sensitivity to the type of electricity used in the concentrating stage will be assessed in the sensitivity and uncertainty analysis in the same fashion as for the electricity use in the mining and communition stage.

The main contributions to the impact categories for smelting and converting are the SO2 emissions to air for terrestrial acidification, arsenic and lead emissions to air as well as energy use for human toxicity and chlorine emissions to water as well as energy use for freshwater ecotoxicity. Both SO2, arsenic and heavy metal emissions to air are known to be associated with smelting and converting. Their emissions are based on the averaging of actual emission data from pollutant registers in Europe and Canada, there is a possibility that the emissions in other parts of the world are even higher. The chlorine emissions are solely based on chlorine emissions from direct-to-blister smelter technology, which is hardly used. The sensitivity of the conclusion on the large chlorine emissions will be assessed in the sensitivity and uncertainty analysis. The sensitivity to the electricity generation will also be assessed.

The main contributions to the impact categories for leaching are the land use for tailings management in natural land transformation, the direct water use for water depletion and the sulphuric acid production in for terrestrial acidification. The land use for tailings management can actually be considered on the low side of the spectrum since another study estimates the use of 8.4 m2 per tonne of copper ore treated for concentration (Martens, Rurhberg, & Mistry, 2002), it can therefore be considered unlikely that any less land will be needed for the disposal of tailings. Data on the direct water use in leaching are based on two different sources, of which one originates from recent average data for mines in Chile. It can thus be considered accurate. The amount of sulphuric acid used was difficult to find and the number is thus rather arbitrary. The sensitivity of the conclusion to the amount of sulphuric acid used will therefore be assessed in the sensitivity and uncertainty analysis.

Consistency check In general most data chosen has been based on different data sources or very reliable data sources. Some assumptions besides the large contributors above that could potentially have an impact on the conclusions drawn are the concentrating efficiency and the leaching efficiencies. Both of these efficiencies are based on the book by Schlesinger, King, Sole & Davenport (2011), which can be considered the best available and most up-to- date description of the extractive metallurgy of copper.

Completeness check As discussed under the header results of inventory analysis, there is a number of data missing that could potentially have an impact on the drawn conclusions.

Acid mine drainage has not been taken into account and the sulphuric acid to water from the tailings management was not available as an EcoInvent process and was therefore modelled as acidity. It must be noted that acid mine drainage could occur at mine sites both in the pit itself, from the waste rock body and from the tailings produced during concentrating or leaching. This could increase the relative impact of terrestrial acidification from mining and leaching as opposed to the other process steps and thus minimise the impact of the SO2 emissions from the smelting stage.

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The environmental impact of the concentrating stage could be larger because the production of both the collector and the frother have not been taken into account because of a lack of data. However because such limited amount is needed, it is very well possible that this would have no impact. The same argumentation holds for the extractant in solvent extraction and the guar gum in electrowinning.

The environmental impact of both fire refining and electrolytic refining could be larger than what is estimated now because a number of the environmental outputs and economic inputs have not been taken into account because of a lack of data. Especially the environmental fate of the slag and spent electrolyte could have an impact.

However since the impact of mining in all impact categories is so large, it is unlikely that this changes the conclusion that mining is the process phase where the largest environmental impact occurs, especially because acid mine drainage has not been taken into account.

Sensitivity and uncertainty analysis To assess the sensitivity of the drawn conclusions to the chosen electricity production, the process chosen from EcoInvent before is replaced by one-third hydropower generation, one-third natural gas combustion and one- third coal combustion. These changes do have a significant impact on several indicators, however the conclusions remain largely the same. The only difference is that water depletion at the mine site for mining and grinding has become less, and is therefore not necessary to consider. However since concentrating does use a lot of water and this happens primarily at the mine site, water use at the mine site will be taken into account nonetheless.

Changing the CO2 emissions from the production of ANFO from 2.8 tonne CO2 to 2.5 tonne CO2 per tonne of ammonium nitrate produced has a slight impact on the freshwater eutrophication and climate change indicators. However since the dominance of the mining stage in both of these categories were very large this does not have an impact on the conclusion. The same holds when changing the input of ANFO into open pit mining from 20 kg to 10 kg per tonne of ore.

The chlorine emissions from the Outotec direct-to-blister smelter did indeed have a large impact on the freshwater ecotoxicty. When no chlorine is emitted the freshwater ecotoxicity becomes irrelevant for the smelting and converting stage. Therefore this category will not be taken into account as being important.

When varying the amount of sulphuric acid used during leaching by either doubling or halving the amount in all of the three processing methods significant changes occur in freshwater eutrophication, terrestrial acidification, climate change, human toxicity and ozone depletion. However this has no impact on the drawn conclusions because the relative impact of leaching on climate change, freshwater eutrophication, human toxicity and ozone depletion is very low. The impact of terrestrial acidification was already high and this is likely to remain this way. 4.1.6 Discussion and Conclusion It can be concluded that the largest environmental impacts in the production of copper occur at the mining site where also the concentrating takes place. Large contributors to these environmental impacts are the use of explosives, the electricity use, the land use and water use. The environmental impacts at the smelter that are relatively large fall in the terrestrial acidification and human toxicity categories. The main contributors to these impacts are the SO2, arsenic and lead emissions to air.

In the hydrometallurgical processing route the emissions generated at the leaching site contributing to a high relative impact of terrestrial acidification, water depletion and natural land transformation in the production process of copper. The main contributors to this impact category are; the land used for tailings management, the direct water use and the sulphuric acid production used in leaching.

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The exact final impact on the environment is hard to determine. The use of land is not in itself an environmental problem. However when natural land or even worse protected land area is converted to be used for mining, it could have a devastating effect on biodiversity. However this is very site-specific. The same holds for water use, the impact of water use on the region highly depends on the local climate. For example most mines in Chile are situated in the arid northern regions of the country where the water use of mines can have a large impact on the local environment. 5% of Chile’s water use goes into the copper industry (ten Kate, 2009).

It must be noted that the studied production process of copper is for the general production of copper, and does not take into account accidents that could have an impact on the environment. Accidents that could occur are for example tailing dam breaks, leakage of fuel at the mine site or large effluent discharges. Also the non- efficient enforcement of certain environmental legislation can lead to disposal of untreated waste water in water bodies, seepage of heavy metals and other toxic substances from tailing impoundments and acid rock mine drainage from waste rock piles as is the case at the Dexing mine in China (IPEN and Green Beagle, 2015). 4.2 Social issues - Social Life Cycle Assessment (S-LCA) Social life cycle assessment is a relatively new framework which is still under development (Benoit, et al., 2010). The framework as developed by UNEP (2009) is used as methodology in this report in combination with the LCA methodology above to make the two types of analysis compatible.

Social impacts can be assessed both qualitatively and quantitatively. Quantitative assessment of the social impacts of two different products or technologies can be done based on quantitative indicators such as the hours of work needed to produce a product (Lehmann, Zschieschang, Traverso, Finkbeiner, & Schebek, 2013). An example of quantitative assessment of social impacts of the production of one product is given by Manik, Leahy and Halog (2013) who quantified the perceived gap between socially sustainable practices and the real perceived practices in the production of palm oil biodiesel in Indonesia. Aggregation of qualitative data on individual indicators into sub-categories may take place via summarising data (Benoit, et al., 2010). Since no direct product comparison but rather a relative impact in several parts of the production system will be assessed by means of the LCA only qualitative data will be collected. Therefore it has been chosen to combine the inventory analysis and the assessment since the latter is the summary of the former.

Section 4.2.1 describes the goal and scope definition of the S-LCA, section 4.2.2 combines both the life cycle inventory analysis and assessment, section 4.2.3 interprets the results and section 4.2.4 provides a conclusion. 4.2.1 Goal and Scope Definition

Goal Definition The goal of this S-LCA is to answer the question; “What are the social hotspots in the production chain of copper?” To do this the production of cathode copper will be assessed from cradle-to-gate based on indicators that will be developed based on the sustainability definition specified in chapter 3. The social hotpots will be used as a basis to develop a certification system for sustainably produced copper.

Scope Definition Temporal coverage The temporal coverage of this study is the current social impact of the production of copper. Data will be collected for the period 2000-2015 because data on earlier social issues might not be representative for the current situation.

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Geographical coverage The geographical scope for this study is the entire world because as determined in chapter 1 the copper supply chain involves many different countries all over the world. As an approximation to the world production of copper this study will look at the main countries in the copper supply chain. Table 4.46 gives an overview of those countries as they were determined in chapter 1.

Mining Smelting Refining Chile (32%) China (34%) China (31%) China (11%) Japan (9%) Chile (13%) Peru (9%) Chile (8%) Japan (7%) USA (8%) USA (5%) Australia (7%) Russia (6%) DRC (6%) Zambia (6%) Table 4.46: Main countries in the copper supply chain

Impact categories The following impact categories are taken into account and have been develop based on (UNEP, 2009), (Lehmann, Zschieschang, Traverso, Finkbeiner, & Schebek, 2013) and the social sustainability definition in the mining and metal industry as defined in chapter 3 of this research. The stakeholder groups addressed are as discussed in chapter 3 the workers and communities at/surrounding the production sites. The time aspect of sustainability is also taken into account and is categorised as having an impact on the community.

Communities - Possibility to say no - Mitigation of resettling costs - Mitigation of impacts of the facility - Decent facility closure

Workers - Good labour conditions - Freedom of peaceful assembly and association

The indicators used to assess these impact categories are given in table 4.47.

Stakeholder group Impact Category Indicator Communities Possibility to say no Possibility to say no to facility or expansion of facility (yes/no) Transparent investment agreement (yes/no) Mitigation of resettling costs People being resettled (yes/no) Mitigation deemed sufficient (yes/no) Mitigation of impacts of facility Mitigation deemed sufficient (yes/no) Local employment creation (yes/no) Education initiatives (yes/no) Healthcare provision (yes/no) Electricity supply (yes/no) Decent facility closure Closure plan (yes/no) Financial insurance in case company becomes insolvent (yes/no) Workers Freedom of peaceful assembly and Union workers treated well (yes/no) association Good labour conditions Child labour (yes/no) Forced or compulsory labour (yes/no) Living wage (yes/no) Injury / death because of health and safety procedures (yes/no) Table 4.47: Social sustainability indicators

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Mode of analysis employed A cradle-to-gate analysis is done. Data is collected on the above elaborated on indicators for all mines, smelters and refineries mentioned in chapter 1 in the main copper producing countries. Data is collected from the Business and Human Rights Resource Centre by searching for the facilities and from google by searching for the facility in combination with one of the following search words; protest, resettlement, local employment, electricity supply, health care, education, closure plan, closure fund, strike, child labour, forced labour, wage, incident, injury, death. Other reports have been used as background material.

The production of input materials and energy supply that were studied in the LCA are excluded from this analysis. The production of infrastructure and transport of intermediate transport are also disregarded.

4.2.2 Functional unit The functional unit for the S-LCA is the production of cathode copper. Copper cathode can be produced in different countries where different legislation applies. By looking at different facilities all over the world a range can be determined of the social impacts caused by the production of copper. 4.2.3 Life Cycle Inventory Analysis and Assessment

Flowchart

Figure 4.6: Flow chart of pyrometallurgical copper production. The dashed line represents the system boundaries.

Figure 4.7: Flow chart of hydrometallurgical copper production. The dashed line represents the system boundaries.

The mining as defined in both flow charts will be looked at under the header mining, and both pyrometallurgical refining and SX-EW will be discussed under the header refining.

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Data collection

Mining

Possibility to say no to facility or expansion of facility Data on the possibility of surrounding communities to say no to the development of projects is difficult to find. Many of the mines are relatively old and have been constructed more than 15 years ago. However there are indications that the possibility to say no is still widely ignored in new mines that are constructed and in expansion projects. For example in case of the expansion of the Cerro Colorado mine in Chile rights of indigenous peoples to prior and informed consent have not been taken into account (OCMAL, 2014), also the construction of a tailings dam for the Los Pelambres mine proceeded without consent of the surrounding communities (Sargent, 2013). At the Gyama mine in Tibet, local communities have protested after which the region has been put under surveillance by Chinese authorities (RepRisk, 2014). In general it appears that consent of communities is not needed before the construction or expansion of a mine. However communities are known to prolong the process of mine construction or expansion (Quiroga, 2014).

Transparent investment agreement No publically available investment agreements have been found for any of the mines. It is possible that this is partly due to the fact that many mines are relatively old.

People being resettled As mentioned in the previous paragraph many mines are relatively old and resettlement issues are therefore outdated. Therefore resettlement issues have not been found for mines in the USA and Australia. No resettlement issues have been found for Russian mines, possibly because the search has been conducted in English instead of Russian. However in many newer mines resettlement issues have occurred. The number of people being resettled for a mine be substantial; 1000 people (tailings dam for the Konkola mine) and even almost 30.000 people for Katanga mining (SRK Consulting, 2009). Forceful removal of people from their lands has occurred at Gyama and forced eviction of artisanal miners at Tenge Fungurume (Radio Okapi, 2010), Ruashi (ICMM, 2010) and Lonshi and Kolwezi mines (Lee, 2013).

Mitigation for resettlement Compensating evicted communities sometimes does not happen at all, as was the case at the now closed Luiwishi mine in the DRC (FiDH, 2013). If compensation occurs it is often deemed inadequate by local communities (see (Lafitte, 2013) and (Amnesty International, 2013) and (CEE Bankwatch, 2010)). Even if communities are eventually relatively happy with the resettled houses the resettling process remains stressful and can take a long time. People that were resettled for the Tenke Fungurume mine have lived in tents for almost 2 years before being able to enter their new homes (ACIDH, 2011).

Mitigation for other impacts on communites The other impact that was mainly referred to besides resettlement was the impact of environmental emissions on the health of communities. Toxic wastes and acidic water have been known to leak from several mining sites. For example in the case of the Ruashi mine in the DRC these impacts have been mitigated afterwards (ACIDH, 2011), but not sufficiently so (Radio Okapi, 2014). After a toxic spill at the Antamina mine affected citizens were treated at the hospital but according to locals not all affected citizens were treated and information about the impact on their health was held back (Briceno, 2012). In some cases environmental liability has been denied completely by the mining firm (Pery Support Group, 2014). Mitigation of health impacts on communities seems to mainly happen if regulation on mitigation is enforced, as is for example the case in Chile, the USA and Australia (see for example (La Tercera, 2013) and (Portilla, 2009)).

Local employment creation Employment of locals happens often in developed countries, or if the mining company originates from the region itself. However especially in developing countries mining companies use expatriate workers or more educated workers from different parts of the country.

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Education, health care and electricity provision Benefits for communities arise from investments into health care, education and electrification. Funds have been set up by several companies for investment in sustainable development such as at the Antamina mine (Prescott, 2010), the Las Bambas mine (Prescott, 2010) and the Tenge Fungurume mine (ACIDH, 2014). However in many instances the local communities do not have an input on the allocation of the funds spend on their behalf (see for example (Salcedo, 2012)). In some cases investments only happens partially (ACIDH, 2011), in many instances the health care provided by companies is only accessible for their employees and possibly their partner and children (CEE Bankwatch, 2010). In other cases little investments happen in the surrounding communities as is the case with the Chinese companies present in Zambia (ACIDH, 2010).

Closure plan Closure plans are developed for most mines. However the implementation of these plans is not always enforced. In Chile for example there is a large number of sites that have not been cleaned up (Ciudadano, 2015), and approximately one-third of all abandoned tailing dams are in a deficient condition and might cause problems in the future (OECD, 2005a).

Closure funds Closure funds or financial security funds hardly exist in case clean-up doesn’t happen sufficiently or a mining company is unable to carry out its obligations. In Chile and China financial security does not exist ( (Bastida & Sanford, 2010) and (Clark & Cook Clark, 2005)). In the USA there is a number of states that oblige mines to have a closure fund (Clark & Cook Clark, 2005).

Union workers treated well Union members are often treated differently, promoted less often and their contracts are less often prolonged. These issues have arisen in Chile (El Morro cotudo, 2012), the DRC (Peyer & Mercier, 2012) and Peru (Observatorio de Conflictos Mineros en el Peru, 2014). According to Custers (2015) collective bargaining is difficult in Chile because unions have to be organised according to section of the company or sub-contractor. In Zambia miners have even been known to be fired or fined when standing up for better working conditions (Human Rights Watch, 2011). No issues seem to occur in the USA and Australia, and no data have been found for Russian and Chinese mines.

Child labour Children have not been found to work in Chile (U.S. Department of State, 2013a), Peru, Australia and the USA. In the DRC and Zambia artisanal miners are often children (U.S. Department of State, 2013b). In the DRC 40% of the miners working are children below the age of 15, and especially Chinese companies have been known to purchase material from Congolese buyers that is mined by child miners (ACIDH, 2010). Data on child labour in mines in Russia and China have been hard to obtain.

Forced and compulsory labour No data on incidents of forced labour have been found at any of the copper mines (Chile (International Trade Union Confederation, 2009)). However instances of working hours of more than 10 hours a day have been found in the DRC (Peyer & Mercier, 2012) and Zambia (Human Rights Watch, 2011).

Living wage Mine workers in Chile, Peru, Zambia and the DRC have complained about their wages not being sufficient to provide a decent living. The largest problems arise among workers of sub-contractors who tend to earn less than permanent workers (see for example (La Tercera, 2013), (CEE Bankwatch, 2010), (El Morro cotudo, 2012) and (Human Rights Watch, 2011)). According to Custers (2015) mining companies use many different sub- contractors to limit costs, for example Chiquicamata has more than 400 sub-contractors.

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Health and safety procedures Health and safety procedures are not always dealt with in the right way. In developing countries they are widely disregarded. One often heard problem is the lack of ventilation in underground mines ( (Peyer & Mercier, 2012) and (CEE Bankwatch, 2010)). In Chile the working conditions are mostly good except for in the smaller mines ( (Bustamante, 2010) and (OECD, 2005a)). This for example caused the trapping of 33 mine workers in the San Jose mine (which has now been closed) in 2010 (The Santiago Times, 2013). Another incident frequently occurring at copper mines are landslides killing or injuring workers (Radomiro Tomic (Industriall, 2013), Gyama (Lafitte, 2013) and (Cental Tibetan Administration, 2013).

Smelting

Possibility to say no to facility or expansion of facility Because smelters in Chile and Japan are relatively old, no issues have been found. It is possible that no issues have occurred. Data on other Chinese facilities was difficult and therefore no conclusion can be drawn on Chinese smelters.

Transparent investment agreement No publically available investment agreements have been found for any of the smelters.

People being resettled No data have been found on people being resettled for any of the smelters, therefore no mitigation has needed to occur. Data on Chinese facilities was difficult to find so some issues might have occurred there.

Mitigation for other impacts on communities The only indicator where issues have been found is on the mitigation of other impacts on communities. For example pollution by sulphur dioxide emissions have been known to cause adverse health impacts at the Ventanes smelter in Chile (Las Segunda Online, 2011). Also impacts of secondary copper smelting in China has caused health problems in Guiyu where WEEE is recycled (Vlaskamp, 2015) and in Taizhou (Minter, 2013). Mitigation of these impacts has not occurred.

Closure plan and closure funds No closure plans or closure funds have been found for any of the smelters.

Union workers treated well No instances of the ill treatment of union workers in Japan or Chile at smelters have been found. No data have been found for China, but in general the right to assemble and to bargain collectively are severely limited in China ( (U.S. Department of State, 2013d) and (International Trade Union Confederation, 2012)).

Child labour and forced and compulsory labour Chile labour and forced or compulsory labour seems not to exist in copper smelters in Japan and Chile. It is unclear whether or not this is the case in China because data was hard to obtain. However in China in general large amounts of children are still working and forced labour is prevalent ( (International Trade Union Confederation, 2012) and (U.S. Department of State, 2013d)).

Living wage Hardly any complaints have been found about the absence of a living wage in copper smelters in Chile and none have been found in Japan. It is unclear whether or not this is the case in China because data was hard to obtain.

Health and safety procedures Hardly any issues have been found with health and safety procedures in Chile and Japan. Issues occur in secondary smelters in Guiyi and Taizhou in China where sulphur dioxide emissions cause respiratory problems among workers ( (Vlaskamp, 2015) and (Minter, 2013)).

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Refining

Possibility to say no to facility or expansion of facility Hardly any issues have been found on the possibility to say no to the construction of a refinery. This is probably the case because the refineries in Japan and the USA are relatively old. A protest has been staged in China against the construction of a copper refinery in Shifang (Blanchard, 2012). The plant is currently operational, showing that there was no possibility to say no. Because of the limited data found on Chinese refineries no conclusion can be drawn on the possibility to say no to the construction of a refinery.

Transparent investment agreement No data have been found on investment agreements for newly constructed refineries

People being resettled One instance of resettlement has been found at the Shifang refinery in China (Lin & Wei'ao, 2012). For this refinery 2,000 people were resettled. Resettlement of subsistence farmers has occurred at the Mufulira site in Zambia (CEE Bankwatch, 2010), but it is unclear if this is associated with the mining or the SX-EW plant. The latter were not compensated. Compensation in the Shifang case is unclear.

Mitigation for other impacts on communities Several issues have been found to occur at refineries that have not been compensated for. These include a failure of tailings slurry pipeline (Obasi, 2007), leakage of solvent when being transported to the electrowinning plant (Das & Rose, 2014) and release of sulphur dioxide because of a power failure (Lusaka Times, 2008).

Local employment creation No data have been found on local employment creation.

Education, health care and electricity provision Several annual and sustainability reports of companies owning refineries state that they have invested in education and health care. For example First Quantum minerals claims to have set up an HIV schooling initiative, invests in malaria control and the rehabilitation of health clinics (First Quantum Minerals, 2014). No instance of electricity provision has been found.

Closure plan and closure fund No specific data have been found on closure plans or closure funds for refineries. However of an SX-EW plant is situated at a mine site, it closure might be organised in the mine closure plan.

The only issues seem to arise at SX-EW plants and are associated with working conditions (see (Gaete, 2007) and (Human Rights Watch, 2011)). However since these are mostly situated at mine sites some of the issues for mining might also apply to SX-EW plants.

Union workers treated well Issues with unions have been found at mines that include SX-EW plants in Zambia and Chile (See for example (Human Rights Watch, 2011)). No issues have been found in the USA or Japan. However in the USA in general accesses to peaceful assembly, association and collective bargaining is effectively denied (International Trade Union Confederation, 2010a) and the discrimination of union workers is prevalent (International Trade Union Confederation, 2010a).

Child labour and forced labour No instances of child labour or forced labour have been found. Children as discussed earlier have been known to work as artisanal miners, but do not seem to work at the SX-EW plants.

Living wage No issues have been found on the provision of a living wage at refineries in Chile, Japan and the USA. Not enough data has been found on refineries in China. Issues with living wage may arise at SX-EW plants present at mine-sites where not enough wage is paid.

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Health and safety procedures No health and safety issues have been found at refineries. Limited data were available on refineries in China. It is possible that health and safety issues arise at SX-EW plants when they are situated at the mine site.

Impact assessment In general it appears as if the largest social impacts lie in the mining stage, however because of a lack of data for the other production stages no definitive conclusion can be drawn. In general it does seem possible to conclude that social issues are more acute in developing countries than in developed countries. This is in line with what Dong, Burritt and Quian (2014) state; “In the mining sector, disclosure issues are acute, particularly in the developing world where the mining sector faces its biggest test in applying the same standards of practice and performance ethics and behaviour as in developed countries.” The rest of this section will describe the main issues found.

Possibility to say no In general it has proven difficult to obtain information on the possibility to say no against the opening of existing facilities. Partly because existing facilities are quite old and because of course if there would have been a possibility to say no some facilities might not have been constructed. However some instances have been found for mines and one for a smelter where protest by local communities have not been heard and construction has proceeded. No data have been found on transparent investment agreements. However if protests are not heard, than the presence of a transparent investment agreements does not help a local community.

Mitigation of resettling costs No conclusion can be drawn on the extent to which people are being resettled for copper producing facilities. However instances of large numbers of people being resettled for the construction of mines have been found. These resettlements are not always compensated well. No resettlements have been found for smelting facilities, but limited data was available for Chinese facilities. One instance of resettlement for a refinery has been found, and if copper is electrowon at an SX-EW plant situated at a mine, part of the mine resettlement should be allocated to the refining.

Mitigation of impacts of facility Mitigation of environmental pollution does not always occur at mine sites, smelters and refineries. Mitigation happens mostly if this is enforced or brought to court. Benefits for local communities arise from investments in education and health care and because of employment creation. However the extent to which this occurs in all production steps and is deemed sufficient by local communities is unclear.

Decent facility closure In the case of mining closure plans mostly exist. However execution of these plans is not always enforced and closure funds making sure that enforcement happens hardly exist. Both for smelting and refining no closure plans have been found.

Freedom of peaceful assembly and association At the mining stage several issues have been found with union rights. Union rights are often treated differently and collective bargaining is often not allowed. No issues have been found at the smelting or electrolytic refining stage. However no data has been found for Chinese facilities, where issues might have occurred. Also if an SX- EW plant is situated at a mine, the same issues might arise as in the mining stage.

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Good labour conditions Child labour happens at artisanal mines and sometimes industrial scale miners purchase ore from traders that deal with artisanal miners. No instances of the direct us of child labour or forced or compulsory labour has been found in the mining, smelting of refining stage. However data for China were not obtained. Problems with living wages occur mainly when sub-contractors are used at a mining site, the use of sub-contractors also appears to lead to more health and safety issues. No wage issues have been found at smelters and refiners. Health and safety issues are a large problem in the mining stage where injury and death occurs regularly. No issues have been found at the refining stage and some issues arise at secondary copper smelters. 4.2.4 Interpretation

Completeness check All issues as defined at the beginning of section 4.2 have been studied. However because data collection was more challenging than envisioned it is very difficult to draw a conclusion on the social hotspots in the production of copper.

Because of the language barrier it was difficult to obtain data on Chinese facilities, while these facilities provide a large part of the produced copper world-wide. There is a possibility that less data have also been found for issues in countries where the main language in use is not English. The designed data collection method is also limited because of a limited amount of search terms being applied. On some indicators hardly any data were ound, it is possible that this is due to the search term applied.

Besides it must be noted that cultural differences could also lead to less protest against facility in one country as opposed to another country. That does not have to mean that the social issues experienced differ per country, but just that expression of issues is less culturally engrained.

Consistency check Because the S-LCA is a relatively new methodology, some issues could arise with the indicators. For most of the indicators it is quite obvious that they pose a negative social impact. However the use of an indicator for child labour has been debated. In some cases child labour could provide necessary income to a family without severely impacting the child. According to Arvidsson, Baumann and Hildenbrand (2015) the “[…] contemporary use of working hours and child labour in SLCA does not consider problems related to loss of income.” In some cases child labour can be considered more beneficial than the alternative. A difference between developed and developing countries can clearly be distinguished in this issue. In developing countries the income of the child is generally not necessary to make ends meet in a family.

Because child labour has primarily been determined to exist in artisanal mining in Zambia and the DRC, one can wonder if it is necessary to ban the purchasing of ore from artisanal miners. This could severely impact families in these countries. Banning the use of artisanal miners from the production chain of cobalt is strongly advised against by the Öko-Institut especially because of this reason (Tsurukawa, Prakash, & Manhart, 2011).

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4.2.5 Discussion and Conclusion Because of a lack of data and issues with the data collection procedure all social issues that have been found will be taken into account when designing a certification scheme for sustainably produced copper. Table 4.48 gives an overview of the found issues.

Issues Stage No possibility to say no Mining, Smelting, Refining No transparent investment agreement Mining, Smelting, Refining Forceful resettlement Mining, Smelting, Refining Inadequate compensation resettling Mining, Smelting, Refining Inadequate compensation environmental pollution and Mining, Smelting, Refining consequential health impacts No closure plan Mining, Smelting, Refining No closure fund Mining, Smelting, Refining Mistreatment of union workers (no promotion, no extension of Mining, Smelting, Refining contract, intimidation) No collective bargaining Mining, Smelting, Refining Child labour (unless in artisanal mining) Mining, Smelting, Refining No forced or compulsory labour Mining, Smelting, Refining Differentiated wage and/or health and safety conditions and/or Mining union rights for sub-contracted workers No living wage Mining, Smelting , Refining No sufficient ventilation / presence of toxic fumes (Underground) mining, Smelting, Refining Presence of toxic substances Mining, Smelting, Refining Landslides / subsidence / rock cave ins Mining No sufficient safety protection clothing Mining, Smelting, Refining Table 4.48 Social issues found in the production process of copper

A copper facility to be sustainable should also provide benefits to the local community whether this is employment creation, health care or education provision. These benefits should be included in the investment agreement and be agreed on by the local community. 4.3 Economic sustainability As described in the previous chapter for the production of copper to be economically sustainable the production needs to be economically feasible and the facility needs to increase the prosperity of the surrounding communities and improve its resource productivity. Preferably this would happen while also being environmentally and socially sustainable. However it must be noted that overambitious environmental standards could lead to a decline in mining activity (Newbold, 2006). The same is likely to be the case for social standards and also have an impact on smelting and refining activities.

This section will therefore assess if there is room for investment into environmental and social sustainability in the copper production without losing the profitability of copper production. If in the worst case consumers would not want to pay a premium for sustainably produced copper the amendments to the current production would need to be paid from the normal economic setting of copper production.

According to Schlesinger, King, Sole and Davenport (2011) the production of copper from an ore grade of 0.5% from an open pit mine via the pyrometallurgical route in 2011 was 6 US dollar per kilogram while the production via the hydrometallurgical route was 2 US dollar per kilogram excluding investment in mine infrastructure and mine operation. Table 4.49 shows a cost breakdown per part of the production process where the investment in mine infrastructure and operation of a mine is included for the hydrometallurgical route.

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Cost category Pyrometallurgical production Hydrometallurgical production Investment costs infrastructure 4 US $ 1.8 US $ Operating mine 0.5 US $ 0.5 US $ Operating concentrator 1 US $ - Operating smelter 0.3 US $ - Operating electrolytic refinery 0.1 US $ - Operating leaching plant - 0.5 US $ Operating solvent extraction - 0.1 US $ Operating electrowinning - 0.15 US $ Other 0.1 US $ 0.05 US $ Total 6 US $ 3.1 US $ Table 4.49: Production costs per kg of copper cathode based on (Schlesinger, King, Sole, & Davenport, 2011)

Both the investment costs and the operating costs for an underground mine are higher than those for an open pit mine. Operating costs can be up to 5 times higher (Schlesinger, King, Sole, & Davenport, 2011). When calculating all the different variants given by Saramak, Tumidajsku and Skorupska (2010) the range for underground mining in Poland seems to be somewhere between 1 dollar and 3.5 dollar per kilo of copper19. If it is assumed that investments costs are twice as high, the costs for the production of copper via the pyrometallurgical route would become approximately 9 dollar per kg and for the hydrometallurgical route 7 dollar per kg.

The concentrating costs consist for 30% of water and energy use, 10% of reagents use and 15% of grinding media. The smelter costs consist for 30% of electricity and for 20% of hydrocarbon use. The electrolytic refining costs consist for 40% out of electricity and 15% of natural gas use (Schlesinger, King, Sole, & Davenport, 2011). It can be assumed that the costs for mining operation are mainly associated with hydrocarbon use. Half of the leaching plant operation costs consist of sulphuric acid use (Schlesinger, King, Sole, & Davenport, 2011). In general it can therefore be concluded that operating costs can be reduced when resource productivity is increased. Because this would increase profitability copper producing companies are likely to aim for optimization. Such investments can be mutually advantageous both for communities and mining companies. For example in Chile a mining company has built a dam to provide community with water which at the same time functions as a backup water service to the mine (Bond, 2014).

The current price for copper cathode on the market in April 2015 is a bit above 6 dollar per kg. However the price has been as low as 5.7 dollar per kg in February 2015 (Index Mundi, 2015). Therefore with the production of copper via the hydrometallurgical route there is room for investment into sustainability. The production of copper via the pyrometallurgical also becomes profitable and investment into sustainability is possible if the ore grade is 0.75% as opposed to 0.5%. Underground mining could be profitable and investment should be possible when the ore grade is 1% or higher and involves the mining and selling of precious by-products such as gold and silver which are often associated with copper.

From the current copper production as described in chapter 1 approximately 23% is produced via the hydrometallurgical route. Of this approximately 60% is produced from open pit mines, mainly in Chile. Which means that for 13.8% of the copper produced worldwide it is possible to invest in sustainability. However also in the more expensive underground mines it is possible to make a substantial amount of profit. For example from the Olympic Dam mine, smelter and refinery in Australia copper cathode was produced via the pyrometallurgical route making a profit of 410 million after the deduction of all taxes (BHP Billiton, 2015). It must be noted that this mine produced considerable amounts of by-products and that the copper grade is above 0.5%. For this mining project no social issues have been encountered in the S-LCA in the previous section and Australian environmental legislation and enforcement of this regulation can be deemed adequate. It can therefore be stated that it is possible to produce copper sustainably.

19 Assuming an overall copper recovery of 80%, copper content of ore of 1.25% and cost of 130 PLN per tonne of ore mined for the higher range and a recovery of 80%, copper content of 2.23% and cost of 65 PLN per tonne of ore mined. Exchange rate from PLN to US dollar at 0.26 USD / PLN. 87

Chapter 5 – Legal, Policy and Regulatory Aspects of Copper Production

This chapter gives an outline of the most important legal, policy and regulatory aspects of the entire supply chain of copper. Section 5.1 discusses general laws, policies and regulations while section 5.2 outlines those that are relevant for the most important countries involved in the copper supply chain that were determined in chapter 1.

5.1 General laws, policies, regulations, guidelines etc. 5.1.1 OECD Guidelines The OECD Guidelines for Multinational Enterprises provide a guideline for responsible business. These guidelines are not legally binding on companies but the OECD countries20 and signatory countries21 that have signed the Declaration on International Investment and Multinational Enterprises are required to ensure that the guidelines are implemented and observed by companies vested in their country.

The guidelines state that companies should obey domestic law and the OECD guidelines unless the latter are an infringement on domestic law. Table 5.1 gives an overview of the guidelines that fit into the sustainability definition that was defined in chapter 3. The guidelines apply to all companies in all sectors of the economy. Each signatory country has set up a national contact point (NCP) that promotes the guidelines and handles complaints against companies. Complaints are filed mainly by NGOs and have been known to be successful now and then (OECD Watch, 2013).

20 Australia, Austria, Belgium, Canada, Chile, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Israel, Italy, Japan, Korea, Luxembourg, Mexico, the Netherlands, New Zealand, Norway, Poland, Portugal, Slovak Republic, Slovenia, Spain, Sweden, Switzerland, Turkey, the United Kingdom, and the United States.

21 Argentina, Brazil, Colombia, Costa Rica, Egypt, Jordan, Latvia, Lithuania, Morocco, Peru, Romania and Tunesia. 88

OECD Guideline Contribute to economic, environmental and social progress with a view to achieving sustainable development Respect the human rights of those affected by activities Avoid causing or contributing to adverse impacts in own activities and address them when they occur Seek to prevent or mitigate adverse impacts associated with through business relationships Cooperate with remediation when adverse human rights impacts have been caused Encourage local capacity building through close cooperation with the local communities Refrain from seeking or accepting exemptions to regulatory requirements concerning human rights, environment, taxation and other issues Refrain from discriminating against or disciplining workers who make legitimate reports to management or public authorities about violations Conduct risk-based due diligence Engage in meaningful consultation with local communities, workers and relevant stakeholders Abstain from improper involvement in local political activities Disclose information on issues regarding workers and stakeholders Respect worker’s rights to create or join a trade union Recognise trade unions of workers’ choosing for the purpose of collective bargaining and engage in constructive negotiations to reach agreement on terms and conditions of employment Contribute to the abolition of child labour Contribute to the elimination of all forms of forced or compulsory labour Observe labour standard not less favourable than those observed in the host country by comparable employers and which at least satisfy the basic needs of the workers and their families Take adequate steps to ensure occupational health and safety Employ local workers and provide training with a view to improving skill levels as much as possible Encourage ‘human capital formation’ particularly by creating employment opportunities and facilitating training opportunities for employees Prepare an Environmental Impact Assessment (EIA) when impacts may be significant and when subject to decision by a competent authority Maintain an environmental management system that includes monitoring, evaluating and verifying environmental, health and safety impacts of activities and objectives Engage in adequate and timely communication and consultation with the communities directly affected by the enterprises’ environmental, health and safety policies Not offer bribes, directly or indirectly, to obtain or retain business or other undue advantage Contribute to the development of local and national innovative capacity Undertake science and technology development in host countries to address local market needs Employ and train host country personnel in science and technology capacities Make timely tax payments Fully comply with tax law Table 5.1: Guidelines in line with definition of sustainability given in chapter 3, based on (OECD Watch, 2013).

Besides the OECD guidelines there is an OECD Due Diligence guidance for responsible supply chains of minerals from conflict-affected and high-risk areas. This guidance is a translation of the second pillar of the UN Guiding principles into a five-step framework. These five steps give companies a framework for the responsible sourcing of tin, tantalum, tungsten and gold from conflict-affected and high-risk areas. Even though not legally binding the guidance has been applied in many different forms, some of which are legally enforceable. The due diligence guidance is for example the recommended due diligence framework for implementation of Dodd Frank section 1502 which is discussed in section 5.1.2.

The five steps of the OECD Due Diligence Guidance are (OECD, 2013a); 1) Establish strong company management systems 2) Identify and assess risks in supply chain Risks that should be identified in the supply chain and the strategy to deal with these risks are listed in table 5.2. 3) Design and implement a strategy to respond to identified risks 4) Carry out independent third-party audit of supply chain due diligence at identified points in the supply chain 5) Report on supply chain due diligence

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Risks Strategy Non-state armed groups or public or private security force Suspend or discontinue engagement with supplier commits torture, cruel, inhuman and degrading treatment Non-state armed group or public or private security force uses Suspend or discontinue engagement with supplier forced or compulsory labour Non-state armed group or public or private security force uses Suspend or discontinue engagement with supplier worst forms of child labour (See section 5.1.5) Non-state armed group or public or private security force commit Suspend or discontinue engagement with supplier gross human rights violations Non-state armed group or public or private security force uses Suspend or discontinue engagement with supplier commit war crimes Non-state armed group has illegal control over a mine site, Suspend or discontinue engagement with supplier transportation route or point where minerals are traded Non-state armed group charges illegal taxes or extort money for Suspend or discontinue engagement with supplier access to mines, along transportation routes of at points where minerals are traded Non-state armed group charges illegal tax of extort to Suspend or discontinue engagement with supplier intermediaries, export companies or international traders Public or private security forces have illegal control over a mine Devise, adopt and implement risk management plan. After failed site, transportation route or point where minerals are traded attempts at mitigation after six months from the adaptation of the risk management plan suspend or discontinue engagement with supplier Public or private security forces charges illegal taxes or extort Devise, adopt and implement risk management plan. After failed money for access to mines, along transportation routes of at attempts at mitigation after six months from the adaptation of the points where minerals are traded risk management plan suspend or discontinue engagement with supplier Public or private security forces charges illegal tax of extort to Devise, adopt and implement risk management plan. After failed intermediaries, export companies or international traders attempts at mitigation after six months from the adaptation of the risk management plan suspend or discontinue engagement with supplier Public or private security forces hired to maintain the rule of law, Devise, adopt and implement risk management plan. After failed including safeguarding human rights, providing security to mine attempts at mitigation after six months from the adaptation of the workers, equipment and facilities and protect the mines or risk management plan suspend or discontinue engagement with transportation routes from interference with legitimate extraction supplier and trade do not adhere to the Voluntary Principles on Security and Human Rights in their approach to vulnerable groups and artisanal miners in particular. Bribing and misrepresentation of the origin of minerals Mitigate risk through measureable steps taken in reasonable timescales. After failed attempts at mitigation suspend or discontinue engagement with supplier Money laundering of money resulting from or connected to the Mitigate risk through measureable steps taken in reasonable handling of minerals derived from illegal taxation or extortion of timescales. After failed attempts at mitigation suspend or minerals at points of access to mine sites, along transportation discontinue engagement with supplier routes or at points where minerals are traded Non-disclosure of taxes, fees and royalties are disclosed in Mitigate risk through measureable steps taken in reasonable accordance with the principles of the EITI (See section 5.1.6) timescales. After failed attempts at mitigation suspend or discontinue engagement with supplier Table 5.2: Risks in supply chain and strategy to deal with these based on (OECD, 2013a) 5.1.2 Dodd Frank Act The Dodd Frank Act or the Dodd Frank Wall Street Reform and Consumer Protection Act is a large piece of legislation which includes some sections that can be considered important when looking at resource extraction. The part of the legislation that has been most widely discussed is section 1502 which requires companies listed on an American stock exchange to state whether or not their products contain tungsten, tantalum, tin or gold that has funded armed groups in the Democratic Republic of the Congo or one of its neighbouring countries (Angola, Zambia, Tanzania, Burundi, Rwanda, Uganda, Sudan, Central African Republic and Congo (Brazzaville).

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Section 1502 of the Dodd Frank act can be seen as a precedent in setting legal requirements for companies to conduct due diligence, however the section has led to criticism too (Steinweg & ten Kate, 2013). The due diligence of companies is mostly carried out by means of the OECD due diligence guidance that was discussed in the previous section (Group of NGOs, 2014). Two months after the implementation of the law in September 2010 the impact of section 1502 was noticeable on the economy in the DRC (Custers, 2013). It led to a de facto embargo of all minerals from the DRC leaving the local population with no viable source of income. This result is likely caused by firstly the ban on mineral exports announced by president Kabila in September 2010, the exclusive focus of Dodd Frank on the DRC and the conservative interpretation by companies to regard due diligence as 100% guaranteed conflict free (Steinweg & ten Kate, 2013). Manhart and Schelicher (2013) also state that section 1502 led to the collapse of many artisanal and mineral trade structures on which a large part of the population was dependent

Section 1503 and 1504 are also relevant for the extraction industry. Section 1503 demands operators of mines to report on health and safety related issues of mines and section 1504 demands disclosure of payments made by resource extraction companies to governments. The latter can be seen as a legislation that enforces the Extractive Industries Transparency Initiative (EITI), which is discussed in section 5.1.6. 5.1.3 Draft legislative proposal EU on mineral sourcing The EU is developing legislation in line with the American Dodd Frank Act. The current draft includes opt-in self- certification for tin, tantalum, tungsten and gold into the EU. According to a group of NGOs (2014) this certification would not lead to enough pressure for companies to amend their practices and it does not tackle the entire issue because end-user companies that first place component parts or finished products containing the material on the market are not included in the legislation. Argumentation has been made to also include other materials (such as copper) involved in fuelling conflict into the legislation into the legislation (Scheele & ten Kate, 2015). 5.1.4 ISO standards The ISO standards that are relevant to the mining industry and thus to the companies in the copper supply chain are the ISO 9000 and ISO 14000 series (UNEP, 2000). The ISO 9001 standard is aimed at approving a company’s internal quality management while ISO 14001 is aimed at approving that a company has an auditable environmental management system. Both of these standards can be certified per site. The certification is a process certification and is not aimed at measuring performance.

To be able to obtain ISO 9001:2008 certification an organisation must issue and maintain documentation for the procedures for; the control of documents, the control of records, internal audits, control of nonconforming products, corrective action and preventive action. When a site has obtained ISO 9001:2008 certification it can thus for example be stated that the company has thought about and documented a procedure for tailing dam leakage. In general the quality management system in place needs to demonstrate the ability of the company to consistently provide products that meet customer and statutory and regulatory requirements.

To be able to obtain ISO 14001:2004 certification an organisation must document, implement, maintain and improve its environmental management system. Also a company must set environmental objectives which it implements and maintains. Besides it is necessary to establish procedures to prevent emergency situations and to adequately respond to emergencies that might occur that have an impact on the environment. Even though being certified as conforming to ISO 14001:2004 does not mean that a company performs environmentally well it does mean that documentation should be available to check the environmental performance of a company.

When a company in the copper industry is certified as conforming to the ISO 9001:2008 and 14001:2004 guidelines it means that it act in line with regulation that is applicable to its operations and that it measures its environmental performance and that it aims to meet certain environmental targets.

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5.1.5 ILO Standards The international labour organisation (ILO) standards consist of 8 fundamental conventions which have to be ratified by countries to make them legally binding. Another important standard for the mining industry is the convention on safety and health in mines. The standards will be shortly discussed below and the countries that are important in the copper supply chain that have ratified the conventions are listed in table 5.3.

Country in Copper supply chain Conventions ratified Chile All but 176 China 100, 111, 138, 182 Japan 29, 87, 98, 100, 138, 182 Peru All USA 105, 176, 182 Australia 29, 87, 98, 100, 105, 111, 182 Russia All DRC All but 176 Zambia All Table 5.3: Ratifications of fundamental ILO conventions based on (ILO, 2015)

Convention 29: Forced Labour Convention (ILO, 1930) The convention states that signatory countries should supress the use of forced and compulsory labour in all its forms in the shortest possible time period. Exceptions to this are compulsory military service, normal civic obligations in a country, work or service as a consequence of a conviction in a court of law, work in the case of an emergency and minor communal services.

Convention 87: Freedom of Association and Protection of the Right to Organise Convention (ILO, 1948) The convention states that signatory countries should make sure that workers can join and establish organisations of their own choosing and that workers’ and employers’ organisations are free and public authorities refrain from interfering.

Convention 98: Right to Organise and Collective Bargaining Convention (ILO, 1949) The convention states that signatory countries should make sure that workers have adequate protection against acts of anti-union discrimination in their employment. Also workers’ and employers’ organisations should be protected against interference by each other. The convention does not apply to public servants.

Convention 100: Equal Remuneration Convention (ILO, 1951) The convention states that signatory countries should make sure that all workers for work of equal value are equally remunerated.

Convention 105: Abolition of Forced Labour Convention (ILO, 1957) The convention states that signatory countries supress and do not make use of forced or compulsory labour as a means of political coercion or as punishment for holding certain views, as a method to use labour for economic development, as a means of labour discipline, as a punishment for having participated in strikes or as a means of racial, social, national or religious discrimination.

Convention 111: Discrimination (Employment and Occupation) Convention (ILO, 1958) The convention states that signatory countries must pursue a national policy designated to promote equality of opportunity and treatment in employment and occupation which includes access to vocational training, access to employment and to particular occupations and terms and conditions of employment.

Convention 138: Minimum Age Convention (ILO, 1973) The convention states that signatory countries must pursue a national policy to ensure abolition of child labour. The minimum working age is not allowed to be lower than 15 years old and or the age of completion of compulsory schooling. In some cases the minimum age is allowed to be 14 years old. The minimum age of employment that is unhealthy or unsafe is not allowed to be less than 18 years old.

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Convention 176: Safety and Health in Mines Convention (ILO, 1995) The convention states that signatory countries should make sure that there is supervision of health and safety at mines. Employers should in ensuring health and safety in their mines among other things make sure that ground stability is maintained in the mine, ensure adequate ventilation in underground mines and provide safety equipment at no cost.

Convention 182: Worst Forms of Child Labour Convention (ILO, 1999) The convention states that signatory countries must eliminate the worst of child labour. The worst forms of child labour are; forms of slavery, prostitution, pornography, work in illicit activities such as trafficking of drugs and work that is likely to harm the health, safety or morals of children. 5.1.6 Extractive Industries Transparency Initiative (EITI) The EITI standard aims at promoting open and accountable management of natural resources. The requirements for a country to become EITI Compliant are (EITI International Secretariat, 2015);

 Having a multi-stakeholdergroup that monitors the progress and takes steps to act on lessons learned and review the outcomes and impact of EITI implementation.  Timely publication of EITI Reports which fully discloses all taxes and other payments made by oil, has and mining companies to any level of government. These reports should include contextual information about the extractive industries and be actively promoted, publicly accessible and should contribute to public debate.  Having a credible assurance process in place that applies international standards.

The revenue streams to government that should be included in the report are; production entitlement of the government and of state-owned companies, profit taxes, royalties, dividends, bonuses, licence fees, rental fees, entry fees and other significant payments. Also mention should be made on infrastructure provisions and social expenditures of companies.

Peru, Congo and Zambia are EITI compliant countries, the USA is a candidate for becoming EITI compliant (EITI, 2015). The other important countries in the copper supply chain are neither. 5.1.7 ICMM Principles for sustainable development The International Council for Mining & Metals (ICMM) has developed ten sustainable development principles to which all its members have agreed to adhere in 2003. These principles are (ICMM, 2003a); 1) Implement and maintain ethical business practices and sound systems of corporate governance 2) Integrate sustainable development considerations within the corporate decision-making process 3) Uphold fundamental human rights and respect cultures, customs and values in dealings with employees and others who are affected by our activities. 4) Implement risk management strategies based on valid data and sound science 5) Seek continual improvement of our health and safety performance 6) Seek continual improvement of our environmental performance 7) Contribute to conservation of biodiversity and integrated approaches to land use planning. 8) Facilitate and encourage responsible product design, use, re-use, recycling and disposal of our products 9) Contribute to social, economic and institutional development of the communities in which we operate 10) Implement effective and transparent engagement, communication and independently verified reporting arrangements with our stakeholders

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These principles have been under critique for its one-sideness and non-inclusivity of the effected communities and indigenous peoples in particular (Whitmore, The emperors new clothes: Sustainable mining?, 2006) as well the vagueness of the principles which as formulated in such a way that mining companies are not bound by them (Moody, 2007). Indeed the ICMM in a later update states that free prior and informed consent is important (ICMM, 2013), but that no statement is being made on the possibility of indigenous peoples to say “No” to having a new mine, smelter or refinery open in their territory. Although the critique of vagueness might be true for some of the principles, both in the original principles and the clarifications published in the years after some concrete statements have been made. The following is a non-exhaustive list of these that are in line with the sustainability definition as described in chapter 3. - Implement EITI by submitting a completed international-level self-assessment form to the EITI Secretariat and providing data in the appropriate way in the countries that have committed themselves to EITI (ICMM, 2009b).

 Do not use forced and compulsory child labour (ICMM, 2003a).  Ensure fair remuneration and work conditions (ICMM, 2003a), what constitutes “fair” is not specified.  Measure progress in greenhouse gas emissions reductions and report these emissions (ICMM, 2011).  Provide for safe storage and disposal of residual waste and process residues (ICMM, 2003a).  Rehabilitate land disturbed in accordance with appropriate post-mining land uses (ICMM, 2003a), what constitutes “appropriate” is not defined (ICMM, 2003a).  Design all operations so that adequate resources are available to meet the closure requirements of all operations (ICMM, 2003a). Exactly what the closure requirements are, is unclear.  No exploration and mining in World Heritage properties. Existing operations in and operations close to World Heritage properties aim at not putting the integrity of these properties at risk (ICMM, 2003b).  Provide an overview of work on partnerships to contribute to social, economic and institutional development (ICMM, 2010).  Report on economic, social and environmental performance and contribution to sustainable development (ICMM, 2003a).

Despite these principles not being legally binding or all encompassing, they can be considered important for some of the companies in the copper industry. Companies that are both a member of the ICMM and of ICA (the International Copper Association) are; AngloAmerican, Antofagasta Minerals, BHP Billiton, Codelco, Freeport McMoran, Glencore, Mitsubisihi Materials Corporation, Rio Tinto, Sumitomo Metal Mining and Teck. These companies have therefore committed themselves to adhering to the principles and statements described above. 5.1.8 Global Reporting Initiative Guidelines The Global Reporting Initiative (GRI) guidelines were first published in June 2000 by CERES (Coalition for Environmentally Responsible Economies) and UNEP. These guidelines are aimed at making sustainability reporting of companies more comprehensible. The current version of the guidelines that are relevant for the copper mining sector are the GRI guidelines version 4 (published in 2013) and the Mining and Metals Sector Disclosures document which was first published in 2010 (GRI, 2013). Guidelines are divided into core and comprehensive indicators. The ICMM obliges its members to publish a report in line with the GRI version 4 Core Guidelines and the Mining and Metals Sector Disclosure Guideline (ICMM, 2015).

Tables 5.4-5.7 provide an overview of all the core indicators and specific indicators for the mining and metals section that are relevant based on the conclusions of chapter 4.

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General Standard Disclosures Sub-Category Indicator Organizational Profile Report total workforce by region and gender. Report whether a substantial portion of the organization’s work is performed by workers who are legally recognized as self-employed, or by individuals other than employees or supervised workers, including employees and supervised employees of contractors. Report the percentage of total employees covered by collective bargaining agreements. Stakeholder Engagement Report key topics and concerns that have been raised through stakeholder engagement, and how the organization has responded to those key topics and concerns, including through its reporting. Report the stakeholder groups that raised each of the key topics and concerns. Table 5.4: Relevant General Disclosures GRI 4

Economic

Sub-Category Indicator Economic Performance Economic value retained preferably per country Direct economic value distributed (operating costs, employee wages and benefits, payments to providers of capital, payments to governments and community investments) preferably per country Market Presence Comparison for all significant locations of operation between the local minimum wage to the organization’s entry level wage by gender Proportion of total workforce from local community in significant locations of operation Proportion or senior management hired from the local population at significant locations of operation Indirect Economic Impacts Development and impact of infrastructure investments and services supported Significant indirect economic impacts (both positive and negative) such as availability of products and services for those on low incomes and jobs supported in the supply chain or distribution channel. Procurement Practices Proportion of spending on local suppliers at significant locations of operation Table 5.5: Relevant Economic Indicators GRI 4 and Mining and Metals Sector Disclosure Guideline

Environmental Sub-Category Indicator Materials Percentage materials used that are recycled input materials Non-renewable materials used by weight or volume Energy Energy consumption within the organisation; fuel consumption both renewable and non-renewable in joules including fuel type used, electricity, heating, cooling and steam consumption in joules or watt-hours, electricity, heating, cooling and steam sold in joules or watt-hours and total energy consumption in joules. Energy intensity ratio Water Total water withdrawal by source (surface water, ground water, rainwater, waste water and municipal water supplies) Water sources significantly affected by withdrawal of water (incl. size of water source, whether or not the source is in a protected area, biodiversity value, value of water source to local communities and indigenous peoples) Percentage and total volume of water recycled and reused Biodiversity Impact of activities on biodiversity in protected areas and areas of high biodiversity value outside protected areas (construction of plants, mines and infrastructure, pollution, introduction of invasive species, reduction of species, habitat conversion) Amount of land (owned or leased, and managed for production activities or extractive use) disturbed or rehabilitated. Include also impacts that are identified as a consequence of any resettlement and closure activities. Emissions Direct greenhouse gas emissions including from mobile sources and on-site stationary sources Energy indirect greenhouse gas emissions Greenhouse gas emissions intensity Emission of ozone-depleting substances NOx emissions including from mobile sources and on-site stationary sources SOx emissions including from mobile sources and on-site stationary sources VOC emissions including from mobile sources and on-site stationary sources PM / dust emissions including from mobile sources and on-site stationary sources Effluents and Waste Type of tailings facilities Total water discharge by quality and destination Total amounts of overburden, rock, tailings and sludges produced and their associated risks and disposal methods Total number and volume of significant spills of tailings, slimes, acids and fuel spillage Table 5.6: Relevant Environmental Indicators GRI 4 and Mining and Metals Sector Disclosure Guideline

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Social Sub-Category Indicator Labour practices Number of strikes and lock-outs exceeding one week’s duration by country and Decent Work Types of injury and rates or injury, occupational diseases, lost days and absenteeism, and total number of work related fatalities by region and by gender Average hours of training per year per employee by gender and by employee category Supplier Assessment for Labour Practices Significant actual and potential negative impacts for labour practices in the supply chain and actions taken Human Rights Total number of incidents of discrimination and corrective actions taken Operations where freedom of association and collective bargaining may be violated and measures to improve Operations where child labour occurs and measures to improve Operations where forced or compulsory labour happens and measures to improve Total number of operations taking place in or adjacent to indigenous peoples’ territories, and number and percentage of operations or sites where there formal agreements with indigenous peoples’ communities Society Community economic development processes, such as access to services and social infrastructure, capital and natural resources and access to further education and skills training. Percentage of operations which implemented local community engagement, impact assessments and development programs Operations with significant actual and potential negative impacts on local communities Number and description of significant disputes relating to land use, customary rights of local communities and indigenous peoples Number (and percentage) of company operations where artisanal and small-scale mining takes place on, or adjacent to the site; the associated risks and the actions taken to manage and mitigate these risks Sites where resettlement took place, the number of households resettled in each, and how their livelihoods were affected in the process Number and percentage of operations with closure plans Table 5.7: Relevant Social Indicators GRI 4 and Mining and Metals Sector Disclosure Guideline 5.1.9 Legislation on free, prior and informed consent (FPIC) A group that is often hit hard when a mine, smelter or refinery is build are the local communities and then mainly the indigenous peoples. The rights of these people are mainly described in the UN Declaration on the Rights of Indigenous Peoples (UNDRIP) and the ILO convention on Indigenous and Tribal people (convention number 169). Besides explicitly stating that the rights of indigenous peoples to their own culture should be recognised both of these documents refer to the right to free, prior and informed consent of projects that will have a large impact on their livelihood.

FPIC is often said to consist of the following (Buxton & Wilson, 2013);

 “People are ‘not coerced, pressured or intimidated in their choices of development’  ‘ their consent is sought and freely given prior to authorisation of development activities’  ‘ they have full information about the scope and impacts of the proposed development activities on their lands, resources and well-being’, and  ‘their choice to give or withhold consent over developments affecting them is respected and upheld’ “

As can be seen in table 5.8 from the main countries involved in the copper supply chain only Russia has not in some form committed itself to FPIC. However since having voted in favour of UNDRIP is not legally binding also in China, Japan, the USA, the DRC and Zambia FPIC is not enforceable.

Country in Copper supply chain UNDRIP ILO convention National Law Chile Yes Yes Probably not China Yes No Probably not Japan Yes No Probably not Peru Yes Yes Yes (Buxton & Wilson, 2013) USA No No Probably not Australia Yes No Yes (Buxton & Wilson, 2013) Russia Abstention No No (Corpuz, Masardule, & Todyshev) DRC Yes No Probably not Zambia Yes No Probably not Table 5.8: Commitments of the main countries in the copper supply chain to FPIC

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5.1.10 Basel Convention The Basel Convention is aimed at reducing the dumping if hazardous wastes of developed countries into developing countries. The original convention therefore specifies a list of wastes that are characterised as hazardous if they possess certain characteristics such as toxic or acidic. Before these hazardous wastes are allowed to be exported to a developing country written consent must be given by the country of import and the transit country.

Among the wastes that are considered hazardous are most forms of waste electrical and electronic equipment and wastes that include copper compounds and acidic solutions. Therefore most wastes that are produced in the copper supply chain are not allowed to be exported unless consent is given by the importing country. Of the main countries involved in the copper supply chain only in the United States the Basel Convention did not come into force. An amendment to the original Basel convention which is ratified by Chile, China, Peru, Zambia and Congo completely bans the import and export of hazardous wastes from these countries. 5.1.11 Conclusion A large number of regulations and policies have been described above. A part of these different legislations have a direct impact on the most important sustainability issues that were determined in the previous chapter. Table 5.9 gives an overview of the policies and legislation that have an impact on some of the determined issues.

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Issues Policy or Legislation impacting issue Possibility to say no Free Prior and Informed Consent is legally binding in Chile, Peru and Australia. Transparent investment agreement Companies in Peru, Zambia and Congo need to publicly show their revenue streams to the government under EITI. ICMM members commit themselves to submitting this data in countries that want to be EITI compliant. Forceful resettlement Free Prior and Informed Consent is legally binding in Chile, Peru and Australia. Adequate compensation for resettling Partly enforceable under OECD guidelines. Adequate compensation environmental pollution and Partly enforceable under OECD guidelines. consequential health impacts Decent facility closure. ICMM members commit themselves to appropriate land rehabilitation and to manage all operations so that adequate resources are available to meet closure requirements. Also they commit to the safe disposal and storage of residual waste and process residues. Decent treatment of union workers Partly enforceable under OECD guidelines. Enforceable in Chile, Japan, Peru, Russia, DRC and Zambia and other countries that have ratified the ILO convention. Collective bargaining Partly enforceable under OECD guidelines. Enforceable in Chile, Japan, Peru, Australia, Russia, DRC and Zambia and countries that have ratified the ILO convention. Child labour Partly enforceable under OECD guidelines. Enforceable in Chile, China, Japan, Peru, Russia, DRC and Zambia and countries that have ratified the ILO conventions. ICMM members commit themselves to not using child labour. Child labour in the supply chain caused by the funding of armed groups or private security forces needs to be made public under the Dodd Frank Act for American companies. No forced or compulsory labour Partly enforceable under OECD guidelines. Enforceable in Chile, Peru, USA, Australia, Russia, DRC and Zambia and countries that have ratified the ILO conventions. ICMM members commit themselves to not using forced labour. Forced or compulsory labour in the supply chain caused by the funding of armed groups or private security forces needs to be made public under the Dodd Frank Act for American companies. No differentiation in wage and/or health and safety The same wage is enforceable in Chile, China, Japan, Peru, Australia, Russia, DRC and conditions and/or union rights for sub-contracted Zambia if the ILO convention signed. workers Living wage Partly enforceable under OECD guidelines Sufficient ventilation Partly enforceable under OECD guidelines. Enforceable for mining in Zambia, Russia, Australia, USA and Peru and countries where the ILO convention is signed. Presence of toxic substances Partly enforceable under OECD guidelines. Enforceable for mining in Zambia, Russia, Australia, USA and Peru and countries where the ILO convention is signed. Landslides / subsidence / rock cave ins Partly enforceable under OECD guidelines. Enforceable for mining in Zambia, Russia, Australia, USA and Peru and countries where the ILO convention is signed. Sufficient safety protection clothing Partly enforceable under OECD guidelines. Enforceable for mining in Zambia, Russia, Australia, USA and Peru and countries where the ILO convention is signed. Explosives use ICMM members have committed themselves to measuring and reporting on progress in greenhouse gas emission reduction and to measuring and reporting progress on environmental sustainability. Environmental performance is furthermore measured if the ISO-14001 certification is obtained by a site. Electricity use ICMM members have committed themselves to measuring and reporting on progress in greenhouse gas emission reduction and to measuring and reporting progress on environmental sustainability. Environmental performance is furthermore measured if the ISO-14001 certification is obtained by a site. Land use ICMM members have committed themselves to measuring and reporting progress on environmental sustainability. Environmental performance is furthermore measured if the ISO-14001 certification is obtained by a site. Members of ICMM have agreed not mine in World Heritage properties. Water use ICMM members have committed themselves to measuring and reporting progress on environmental sustainability. Environmental performance is furthermore measured if the ISO-14001 certification is obtained by a site. Sulphuric acid use ICMM members have committed themselves to measuring and reporting progress on environmental sustainability. Environmental performance is furthermore measured if the ISO-14001 certification is obtained by a site. SO2, arsenic and lead emissions to air ICMM members have committed themselves to measuring and reporting progress on environmental sustainability. Environmental performance is furthermore measured if the ISO-14001 certification is obtained by a site. Acid mine drainage ICMM members have committed themselves to measuring and reporting progress on environmental sustainability. Environmental performance is furthermore measured if the ISO-14001 certification is obtained by a site. Contribute to sustainable development Employing of local population and providing training for them is partly enforceable under the OECD guidelines. Besides ICMM members have committed themselves to contributing to sustainable development and to reporting their progress. Table 5.9: General policies and legislation that have an impact on sustainability issues in the copper supply chain

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In general ICMM members publish reports in line with GRI 4 requirements, which can be a good source of information to determine whether or not some of the sustainability issues occur at a production site. 5.2 Country specific legislation

5.2.1 Chile – Mining, Smelting, Refining

Sector legislation Before being allowed to explore or mine a certain area a permit is needed from the Chilean state who owns or minerals. This is legislated in the Mining Code. A mine requires an EIA before it can be developed (Five Winds International, 2011). If it affects more than one region the National Environmental Commission (CONAMA) conducts the review, otherwise it is conducted by the Regional Environmental Commission (COREMA). There is no mine-closure legislation in Chile, the issue only needs to be addressed in the EIA before opening of the mine (Clark & Cook Clark, 2005). Legislation on financial security for mine closure does not exist (Bastida & Sanford, 2010).

Because water in Chile is limited and the largest amount of mines in Chile are situated in deserts a permit must also be obtained for the use of water (Baker & Mckenzie, 2010).

Air quality standards The air quality standards in Chile are defined in the Chilean Air Quality Standards. The air quality standards for the most important emissions can be found in table 5.10.

Pollutant Standard Averaging time CO 10 mg/m3 8 hour 30 mg/m3 1 hour Pb 0.5 μg/m3 Annual NO2 53 ppb Annual 213 ppb 1 hour PM10 150 μg/m3 24 hour 50 μg/m3 Annual PM2.5 50 μg/m3 24 hour 20 μg/m3 Annual O3 0.061 ppm 8 hour SO2 0.031 ppm Annual 0.096 ppm 24 hour Table 5.10: Air quality standards, data from (Diaz-Robles, Saavedra, Schlappacasse, & Cereceda-Balic, 2011)

Special emissions standards have been set for copper smelters that will need to be reached in 2018. Table 5.11 gives an overview of the standards as well as an approximation of the emission standard per produced tonne of copper.

Smelter Emission standard Emission SO2 per tonne Emissions standard As Emission As per tonne

SO2 per year copper per year copper Caletones 47,680 t - 130 t - Chuquicamata 49,700 t - 476 t - Potretillos 24,400 t - 157 t - Altonorte 24,000 t 0.0777 t 126 t 0.408 kg Ventanas 14,650 t - 48 t - Chagras 13,950 t 0.0962 t 35 t 0.241 kg Hernán Videla Lira 12,880 t - 17 t - Ministro Hales 548 t - 1 t - Table 5.11: Emission standards per copper smelter, emission standards for 2018 from (Sanchez, 2013) and emissions per tonne of copper calculated based on production given in chapter 1.

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Water quality standards Water emissions standards in Chile are differentiated between emissions to different types of water bodies. Table 5.12 shows the emissions standards that are most relevant to the copper industry.

Pollutant Maximum Maximum Maximum Maximum Maximum Maximum emission without emissions into emissions into emission into emission into emission into treatment plant inland water lakes marine water marine water aquifer with into sewage bodies bodies inside bodies outside medium system protection of protection vulnerability areas areas Al 10 mg / L 5 mg / L 1 mg / L 1 mg / L 10 mg / L 5 mg / L As 0.5 mg / L 0.5 mg / L 0.1 mg / L 0.2 mg / L 0.5 mg / L 0.01 mg / L B 4 mg / L 0.75 mg / L - - - 0.75 mg / L Cd 0.5 mg / L 0.01 mg / L 0.02 mg / L 0.02 mg / L 0.5 mg / L 0.002 mg / L Cyanide 1 mg / L 0.20 mg / L 0.5 mg / L 0.5 mg / L 1 mg / L 0.2 mg / L Cu 3 mg / L 1 mg / L 0.1 mg / L 1 mg / L 3 mg / L 1 mg / L Hexavalent Cr 0.5 mg / L 0.05 mg / L 0.2 mg / L 0.2 mg / L 0.5 mg / L 0.05 mg / L Cr 10 mg / L - 2.5 mg / L - 10 mg / L - Sn - - 0.5 mg / L 0.5 mg / L 1 mg / L - Fluoride - 1.5 mg / L 1 mg / L 1.5 mg / L 6 mg / L 1.5 mg / L Hydrocarbons 20 mg / L 10 mg / L 5 mg / L 10 mg / L 20 mg / L - Fe - 5 mg / L 2 mg / L 10 mg / L - 5 mg / L Mn 4 mg / L 0.3 mg / L 0.5 mg / L 2 mg / L 4 mg / L 0.3 mg / L Hg 0.02 mg / L 0.001 mg / L 0.005 mg / L 0.005 mg / L 0.02 mg / L 0.001 mg / L Mo - 1 mg / L 0.07 mg / L 0.1 mg / L 0.5 mg / L 1 mg / L Ni 4 mg / L 0.2 mg / L 0.5 mg / L 2 mg / L 4 mg / L 0.2 mg / L Pb 1 mg / L 0.05 mg / L 0.2 mg / L 0.2 mg / L 1 mg / L 0.05 mg / L Sulfates 1,000 mg / L 1,000 mg / L 1,000 mg / L - - 250 mg / L Sulfides 5 mg / L 1 mg / L 1 mg / L 1 mg / L 5 mg / L 1 mg / L Zn 5 mg / L 3 mg / L 5 mg / L 5 mg / L 5 mg / L 3 mg / L Table 5.12: Water emissions standards based on (Ministerio de Obras Publicas, 2004), (Ministerio Secretaria General de la Preseidencia, 2001) and (Ministerio Secretaria General de la Presidencia, 2003)

Labour legislation

Assembly, association and collective bargaining Chile ratified the ILO conventions on freedom of association and protection of the right to organise and the right to organise and collective bargaining (ILO, 2015). The freedom of association is set in the constitution and is generally respected (U.S. Department of State, 2013a). The freedom of assembly is enforced but permission must be obtained for strikes (U.S. Department of State, 2013a), strikers are also not well protected (International Trade Union Confederation, 2009). Collective bargaining is not well protected by law and it is often up to the employer to decide if collective bargaining is allowed (International Trade Union Confederation, 2009). Collective bargaining is allowed per sub-contractor or division of a company (Custers, 2015), making it difficult to gain leverage.

Child labour Children can work when they are between 15 and 18 years old if they have permission from their parents and have finished school or are enrolled in secondary education. The work they do at this age can only be light work and can be done for maximum of 30 hours a week (International Trade Union Confederation, 2009). These laws are enforced well in the formal economy, however enforcement in the informal economy is lacking (U.S. Department of State, 2013a).

Forced labour Forced labour is prohibited in Chile (International Trade Union Confederation, 2009) and legislation is effectively enforced (U.S. Department of State, 2013a). However some forced labour still exists in the informal sector (U.S. Department of State, 2013a).

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Living wage A minimum wage exists in Chile which provides for an income above the poverty line set by the government. The law is well enforced in the formal sector (U.S. Department of State, 2013a). The minimum wage is not enough to provide a decent living in Chile (Guzi & Osse, 2013).

Occupational health and safety Health and safety standards are set in law, and there is a special law for the mining sector. Labour legislation for mining in Chile is effectively enforced at the federal level by the National Geology and Mining Service (Five Winds International, 2011). 5.2.2 China – Mining, Smelting, Refining

Sector legislation Smelters are not allowed in areas that are drinking water source protection zones, natural preservation sites, tourist sites or ecological function protection zones. Also copper smelters cannot be situated in middle and large cities and outskirts, less than 1 kilometre from a civil concentrated area or close to health resorts, hospitals, medicine producers or electronic producers (Shang, Zhao, Duan, & Zhou, 2010).

Under the environmental protection law an environmental impact assessment is required before a smelter facility can be opened. A license to discharge pollutants is also necessary (Shang, Zhao, Duan, & Zhou, 2010).

Reclamation and rehabilitation of mining sites is obligatory in China, but no bond or financial safeguard is set up to safeguard this regulation (Clark & Cook Clark, 2005).

Air quality standards The ambient air quality standards are set in law and are shown in Table 5.13. Besides these standards there are specific standards for the copper industry, standards for copper smelting are given in table 5.14 and for sulphuric acid plants in table 5.15.

Pollutant Standard in Industrial area Averaging time 3 SO2 0.1 mg / m Annual 0.25 mg / m3 Daily 0.7 mg / m3 Hour PM10 0.15 mg / m3 Annual 0.25 mg / m3 Daily 3 NOx 0.10 mg / m Annual 0.15 mg / m3 Daily 0.30 mg / m3 Hour 3 NO2 0.08 mg / m Annual 0.12 mg / m3 Daily 0.24 mg / m3 Hour CO 6 mg / m3 Daily 20 mg / m3 Hour 3 O3 0.20 mg / m Hour Table 5.13: General ambient air quality standards based on (National Environmental Protection Agency, 1996)

Pollutant Existing Greenfield 3 3 SO2 960 mg / m 400 mg / m PM 100 mg / m3 80 mg / m3 As 0.5 mg / m3 0.4 mg / m3 Sulphuric acid 45 mg / m3 40 mg / m3 Pb 0.7 mg / m3 0.7 mg / m3 F 9 mg / m3 3 mg / m3 Hg 0.012 mg / m3 0.012 mg / m3 Table 5.14: Air emission standards for copper smelters based on (Ministry of Environmental Protection, 2010)

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Pollutant Existing (single / double contact) Greenfield 3 3 SO2 960 / 860 mg / m 400 mg / m PM 50 mg / m3 50 mg / m3 As 0.5 mg / m3 0.4 mg / m3 Sulphuric acid 45 mg / m3 40 mg / m3 Pb 0.7 mg / m3 0.7 mg / m3 F 9 mg / m3 3 mg / m3 Hg 0.012 mg / m3 0.012 mg / m3 Table 5.15: Air emission standards for sulphuric acid plants based on (Ministry of Environmental Protection, 2010)

Water quality standards There are special water emission standards for the copper industry. Table 5.16 shows the maximum permitted pollutants to water.

Pollutant Existing (direct / indirect) Greenfield (direct / indirect) Copper 0.5/1 mg / liter 0.2/0.5 mg / liter Lead 0.5 mg / liter 0.2 mg / liter Cadmium 0.1 mg / liter 0.02 mg / liter Arsenic 0.5 mg / liter 0.1 mg / liter Mercury 0.05 mg / liter 0.01 mg / liter Nickel 0.5 mg / liter 0.5 mg / liter Zinc 2 / 4 mg / liter 1.5 / 4 mg / liter Sulphur 1 mg / liter 1 mg / liter Table 5.16: Water emissions standards based on (Ministry of Environmental Protection, 2010)

Technology legislation There is technology legislation on the smelting technology that is allowed to be used. Permitted technologies are; advanced flash smelting, Isasmelt, Noranda/Baiyin, integrated furnaces or bottom smelting furnace of which the intellectual property is held by the smelting company (Shang, Zhao, Duan, & Zhou, 2010). Blast furnaces have been banned since 2007. All plants should have an acid plant, dust collection and waste heat recycling facility (Shang, Zhao, Duan, & Zhou, 2010). The acid plant may be weak-acid scrubbing, double contacts or triple contacts (Shang, Zhao, Duan, & Zhou, 2010). Table 5.17 shows the minimum requirements for copper smelters.

Requirement Greenfield project Existing Gross recovery copper > 97% > 96% Blister recovery rate > 98% > 97% Water recycling > 95% > 90% Water use < 25 tonne / tonne < 28 tonne / tonne Land use < 4 m2 - Sulphur capture gross > 98% > 98% Sulphur recovery > 96% > 95% Total energy use < 550 kg coal eq. / tonne Meet greenfield requirement within 2 years Total electricity use < 285 kWh / tonne Idem Blister energy use < 900 kg coal eq. / tonne Idem Blister electricity use < 310 kWh / tonne Idem Table 5.17: Requirements for copper smelters based on data from (Shang, Zhao, Duan, & Zhou, 2010)

Labour legislation

Assembly, association and collective bargaining The right to assembly is set in Chinese law but is severely limited by the government (U.S. Department of State, 2013d). Freedom of association exists but a permit is needed to be allowed to set up an organisation preventing the formation of autonomous labour organisations (U.S. Department of State, 2013d). Collective bargaining is seldom allowed (International Trade Union Confederation, 2012).

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Child labour China ratified both ILO conventions on child labour (ILO, 2015). Child labour is prohibited below the age of 16 in all sectors, and children between 16 and 18 years old are not allowed to work in mines (U.S. Department of State, 2013d). However there is a large amount children working because law enforcement is ineffective (International Trade Union Confederation, 2012).

Forced labour Forced labour is prohibited in China but is still prevalent (U.S. Department of State, 2013d).

Living wage Minimum wages in China are set by local and provincial governments. These wages are above the rural poverty line set by the state (U.S. Department of State, 2013d). The minimum wage however does not provide a living wage (Guzi & Osse, 2013).

Occupational health and safety There are health and safety standards, but these are widely disregarded (International Trade Union Confederation, 2012). The law on prevention and control of occupational diseases requires employers to provide free health check-ups for employees working in hazardous conditions. There is poor enforcement of this law (U.S. Department of State, 2013d). There is also a law on safety in mines (ILO, 2013a), if general health and safety standards are widely disregarded it seems unlikely that the law on safety in mines is well enforced.

5.2.3 Peru – Mining

Sector legislation The general Mining Law regulates mining in Peru. Concessions need to be obtained from the Ministry of Energy and Mines and an environmental impact study needs to be filed before approval is given to start an operation. The OEFA (environmental evaluation and oversight agency) monitors the compliance. A closure plan must be submitted and proof of compliance with the closure plan must be given while the mine is still operating by means of for example a trust. Enforcement of regulation is paid for partly by a fee paid by the mining companies both to OEFA and OSINERCMIN (EY Peru, 2014).

Community investment is obligatory in different forms; 8% of the net profit of mining companies need to go to an educational, social or recreational fund for workers (EY Peru, 2014) and under de Canon Minero Law 50% of the income tax paid by companies distributed over different levels of government to develop public services (Ministerio de Economia y Finanzas, Peru, 2015).

Air quality standards There are no specific air emissions standards for copper mining. Peru’s general air quality standards are shown in table 5.18. According to Southern Copper Corporation it is impossible to meet the sulphur dioxide standards with current technology in copper smelters (Street Insider, 2013).

Pollutant Standard Averaging time 3 SO2 20 μg / m 24 hours PM10 50 μg / m3 Annual 150 μg / m3 24 hours PM2.5 25 μg / m3 24 hours CO 10000 μg / m3 8 hours 30000 μg / m3 1 hour 3 NO2 100 μg / m Annual 200 μg / m3 1 hour 3 O3 120 μg / m 8 hours Pb 1.5 μg / m3 month Table 5.18: Air quality standards from (Presidente de la Republica, 2001) and (Presidente de la Republica, 2008)

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Water quality standards There are specific emission standards for the amount of pollutants allowed water discharges from mines. Table 5.19 gives an overview of the standards.

Pollutant Standard Averaging time Cyanide 20 mg / L Hour 16 mg / L Year As 0.1 mg / L Hour 0.08 mg / L Year Cd 0.05 mg / L Hour 0.04 mg / L Year Hexavalent Cr 0.1 mg / L Hour 0.08 mg / L Year Cu 0.5 mg / L Hour 0.4 mg / L Year Fe 2 mg / L Hour 1.6 mg / L Year Pb 0.2 mg / L Hour 0.16 mg / L Year Hg 0.002 mg / L Hour 0.0016 mg / L Year Zn 1.5 mg / L Hour 1.2 mg / L Year Table 5.19: Emission standards concentration pollutants in water discharge from mines (Presidente de la Republica, 2010)

Labour legislation

Assembly, association and collective bargaining The right to assembly, association and collective bargaining are set in law but the laws are not always abided by (U.S. Department of State., 2013e).

Child labour The minimum age for employment in Peru is 14 years. Certain jobs can be done by 12-14 year olds, but for no more than 4 hours a day. 15 to 17 year olds are allowed to work 16 hours a day when they can prove that they attend education. The minimum age to be working in the mining industry is 16 years old. Everyone younger than 18 years old needs a permit to be able to work that must be demanded by the parents. These laws are not always enforced because of a lack of resources (U.S. Department of State., 2013e).

Forced labour Forced labour is prohibited in Peru, but the legislation is not effectively enforced because of a lack of resources (U.S. Department of State., 2013e). Forced labour also exists in the mining industry (U.S. Department of State., 2013e).

Living wage A minimum wage exists, but there is a lack of enforcement (U.S. Department of State., 2013e). The minimum wage is not enough to provide a decent living (Guzi & Osse, 2013).

Occupational health and safety Health and safety standards exist but are not always enforced because of a lack of resources (U.S. Department of State., 2013e).

Other No more than 20% of the personnel in a company situated in Peru is allowed to be expatriates and the wages for expatriates may not exceed more than 30% of the total pay-roll cost (EY Peru, 2014).

Other Free, prior and informed consent is set in national law (Buxton & Wilson, 2013)

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5.2.4 USA – Mining, Refining

Sector legislation It is necessary to obtain a permit before mining is allowed. The Mining Law states that the plan of preparation needs to be approved and in most cases an Environmental Impact Assessment is needed. It is obligatory to determine if there are no endangered or threatened species present in the area under the Endangered Species Act. If endangered species are present the impact on these should be determined. Under federal law a permit must be obtained to store hazardous waste such as mine tailings for more than 90 days.

States have different legislation for reclamation. Western states have regulation on for example requirements for closure of tailings disposal areas and spent ore areas, requirements for revegetation and requirements for financial assurance. However there is also a number of states that do not have a financial bond that can provide for reclamation nor a provision in case a mine is abandoned (Clark & Cook Clark, 2005). The EPA is responsible under the Comprehensive Environmental Response, Compensation and Liability Act (CERCLA) to clean up old dangerous mining sites or toxic waste that have not been closed or removed properly.

Air quality standards Air quality is regulated by the National Ambient Air Quality Standards under The Clean Air Act (OECD, 2005b). Major point polluters need to require a permit before they are allowed to emit (OECD, 2005b). There is no specific legislation for emissions from copper mines and copper refineries. There are however emission standards for copper smelters. Table 5.20 table shows the ambient air quality standards.

Pollutant Concentration Averaging time O3 0.080 ppm 8 hours PM10 150 μg / m3 24 hours PM2.5 65 μg / m3 24 hours SO2 0.14 ppm 24 hours 3 NO2 100 μg / m Annual CO 10 mg / m3 8 hours Table 5.20: Air quality standards in the USA (OECD, 2005b)

Water quality standards Before a mine or refinery is allowed to emit pollutants into water it needs to obtain a permit. The pollutant levels permitted are either legislated under state legislation but are always equal or less to the emissions legislated under the Federal Water Pollution Act. These emissions are technology-based effluent limits.

Emission of process wastewater to navigable water is prohibited from mines that employ dump, heap, in situ or vat leaching processes. Emission limits for mine drainage and froth flotation are given in table 5.21.

Pollutant Mine drainage Froth flotation effluent Cu 0.15 mg / liter 0.15 mg / liter Zn 0.75 mg / liter 0.5 mg / liter Pb 0.3 mg / liter 0.3 mg / liter Hg 0.001 mg / liter 0.001 mg / liter Cd 0.05 mg / liter 0.05 mg / liter Table 5.21: Emission limits of pollutants in mine drainage and froth flotation effluent in the USA (Federal Government, 2013a)

Emissions into navigable waters are also prohibited from copper refineries. Table 5.22 shows the emission limits for electrolytic copper refining.

Pollutant Emission Cu 0.0017 kg / tonne refined copper Cd 0.00006 kg / tonne refined copper Pb 0.0006 kg / tonne refined copper Zn 0.0012 kg / tonne refined copper As 0 kg / tonne refined copper Ni 0 kg / tonne refined copper Table 5.22: Emission limits of pollutants emitted to water (Federal Government, 2013b) 105

Labour legislation

Assembly, association and collective bargaining Access to peaceful assembly, association and collective bargaining is effectively denied in the USA (International Trade Union Confederation, 2010a). Discrimination of union workers is prevalent (International Trade Union Confederation, 2010a).

Child labour The USA has ratified the ILO convention on the abolition of the worst forms of child labour (ILO, 2015). The minimum working age in the USA is 16 years. Children that are younger may work on a farm that is owned or operated by one of their parents (International Trade Union Confederation, 2010a).

Forced labour The USA ratified the ILO convention on the abolition of forced labour (ILO, 2015). Forced labour is prohibited under USA law but sometimes occurs mainly among immigrant workers (International Trade Union Confederation, 2010a).

Living wage The minimum wage in the USA is enough to provide a decent living (Guzi & Osse, 2013).

Occupational health and safety Occupational health and safety standards are legislated in both federal and state laws. The main federal law is the Occupational Safety and Health Act (ILO, 2013b).

5.2.5 Australia – Mining

Sector legislation Environmental assessment before the issuing of a mining permit is obligatory under federal law (Five Winds International, 2011). Each of the states have mine closure policies which in all cases include security bonds (Cochilco, 2002). However not all states have provisions for abandonment of the site (Clark & Cook Clark, 2005).

Air quality standards Air quality is legislated under the National Environmental Protection Measure for Ambient Air Quality (Five Winds International, 2011). Table 5.23 gives an overview of the air quality standards. No specific emission legislation for copper mines have been found.

Pollutant Standard Averaging time O3 0.080 ppm 4 hours PM10 50 μg / m3 24 hours PM2.5 25 μg / m3 24 hours SO2 0.080 ppm 24 hours NO2 0.030 ppm Annual CO 9 ppm 8 hours Pb 0.5 μg / m3 Annual Table 5.23: Air quality standards Australia (OECD, 2007)

Water quality standards Water management is primarily the responsibility of States and Territories which each have their own water legislation (OECD, 2007). No clear data has been found on general pollution limits to water.

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Labour legislation Labour legislation in Australia is a patchwork because each of the states have their own legislation and their own inspectorate (Five Winds International, 2011).

Assembly, association and collective bargaining The right to assembly, association and collective bargaining are largely implemented and enforced (International Trade Union Confederation, 2011a). However these rights or not set in domestic law (U.S. Department of State, 2013f).

Child labour The minimum working age differs per state but children must at least stay in school until they turn 15 (International Trade Union Confederation, 2011a). This legislation is well enforced (U.S. Department of State, 2013f).

Forced labour Australia ratified the ILO conventions on compulsory labour and it is set in domestic law (U.S. Department of State, 2013f). Compulsory labour hardly exists (International Trade Union Confederation, 2011a).

Living wage A minimum wage exists and is well enforced in Australia (U.S. Department of State, 2013f). Together with welfare payments the minimum wage provides enough income for a decent living (U.S. Department of State, 2013f).

Occupational health and safety Occupational health and safety standards are legislated by nine different laws in different territories (ILO, 2013c). Laws apply to every workplace and the legislation is enforced (U.S. Department of State, 2013f).

Other Free, prior and informed consent is set in national law (Buxton & Wilson, 2013) 5.2.6 Russia – Mining

Sector legislation Mining permits are regulated under the Subsoil Law. Production permits can be obtained in a tender or an auction. Mine closure is incorporated into individual mining agreements and there are hardly any procedures to ensure that these agreements are actually upheld once a mine is closed (Clark & Cook Clark, 2005).

Air quality and water quality standards In all environmental quality standards in Russia the level of permissible pollution is mostly overly ambitious and therefore not enforced (OECD, 2006). Not surprisingly levels of compliance are very low and therefore temporary emission limit values are agreed on per facility. High charges are associated with noncompliance, corruption is prevalent (OECD, 2006). Plans have been made to improve the legislation by for example introducing process standards, but implementation has been slow (OECD, 2006).

Labour legislation

Assembly, association and collective bargaining The freedom of assembly is set in the constitution but is restricted by local authorities. The freedom of association is also set in law but barriers are raised (U.S. Department of State, 2013g).

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Child labour Child labour is prohibited for children under 16 in most cases. Children 14 may work under certain conditions when the parents agree. Under 18 years no dangerous work, overwork or work during night time is allowed. This legislation is not effectively enforced (U.S. Department of State, 2013g).

Forced labour Forced labour is prohibited but is not effectively enforced (U.S. Department of State, 2013g).

Living wage The minimum wage is set in law but is not enough for subsistence (U.S. Department of State, 2013g).

Occupational health and safety Occupational health and safety is legislated in the Labour Code and then especially chapters 33 until 36. Some specific occupational risks are legislated in separate acts (ILO, 2013d). The labour inspection is understaffed and training is needed of inspectors (U.S. Department of State, 2013g), therefore the law is not always enforced (ILO, 2013d).

5.2.7 DRC – Mining

Sector legislation Mining in the DRC is regulated in the Mining Law and a Mining Regulation. Before the permitting of a mine a mitigation and rehabilitation plan, an EIS, environmental management plan and environmental adjustment plan need to be submitted. For mine closure a provision for rehabilitation is made and these funds can be confiscated if rehabilitation does not occur.

Air quality and water quality standards There is no environmental law in the DRC, the norms are incorporated per sector as is the case for the mining industry into the Mining Law. During the operation of a mine an annual report needs to be published including environmental impact of the mine. Besides an independent environmental audit needs to be carried out every two years paid for by the title holder. The mining site is inspected by the Directorate for the protection of the Mining Environment (DPEM).

Despite the well sounding legislation, legislation is hardly enforces because of three reasons; lack of state representation in areas where mining occurs, lack of means and expertise of DPEM and corruption. The effectiveness of legislation can be seen from for example the fact that in 2006 all applications where approved. There is no accurate data on environmental impact but according to same it can be seen as “relatively catastrophic” (Mazalto, 2009).

Labour legislation

Assembly, association and collective bargaining The constitution states that workers can form and join unions. In several cases employers have set up unions for their employees so that independent unions do not materialise. Even though it is not allowed by law, discrimination of workers that are part of unions occurs regularly (International Trade Union Confederation, 2010b). Freedom of assembly is incorporated in the constitution but is sometimes restricted, the freedom of association is also part of the constitution and is generally respected (U.S. Department of State, 2013h).

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Child labour The DRC has ratified the ILO conventions on child labour. The minimum working age is 15 years old if there is consent of the parents. Under 16 it is not allowed to work more than 4 hours a day or to work under hazardous conditions. Regulation is hardly enforced and most rural child labour can be found in mines, stone quarries and subsistence agriculture (International Trade Union Confederation, 2010b). This is mainly due to a lack of budget (U.S. Department of State, 2013h). The minimum working age allowed without parental consent is 18 (U.S. Department of State, 2013h).

Forced labour The DRC has ratified the ILO conventions on forced labour and they have been incorporated into laws and the constitution. In practice forced labour is widespread, also among mineworkers (International Trade Union Confederation, 2010b). People in the mining sector are forced to work as a means of levying taxes and debt repayment (U.S. Department of State, 2013h).

Living wage A minimum wage exists but not sufficient because it has not been updated despite devaluation of currency and increase in cost of living. (U.S. Department of State, 2013h)

Occupational health and safety Occupational health and safety is regulated by a part of the Labour Code which is called Safety and Health at Work but they are not always enforced (ILO, 2014). Most international mining companies enforce health standards (U.S. Department of State, 2013h).

5.2.8 Zambia – Mining

Sector legislation To receive a large-scale mining license proposals for employment and training of Zambian citizens and an environmental protection plan needs to be submitted (KPMG International, 2013). According to Five Winds International (2011) an environmental impact assessment is necessary and mine closure and post-mining is legislated. Financial bonds are required to ensure that mine closure happens according to legislation (Clark & Cook Clark, 2005). A new industrial plant or an extension of an existing plant that is likely to cause air pollution should obtain a license to be able to emit.

Air quality standards Air quality standards are legislated under the environmental Protection and Pollution control act. The effectiveness of the standards are hampered by a shortage of skilled inspectors and resources to physically inspect the mining sector (Five Winds International, 2011). Table 5.24 gives an overview of the standards.

Pollutant Standard Averaging time 3 SO2 500 mg / m 10 minutes 350 mg / m3 1 hour 125 mg / m3 24 hours 50 mg / m3 6 months PM10 70 mg / m3 24 hours 3 NOx 400 mg / m 1 hour 150 mg / m3 24 hours CO 100 mg / m3 15 minutes 60 mg / m3 30 minutes 30 mg / m3 1 hour 10 mg / m3 8 hours Pb 1.5 mg / m3 3 months 1 mg / m3 12 months Table 5.24: Air quality standards in Zambia (Government of Zambia)

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Water quality standards Water quality and pollutant standards are legislated under the environmental Protection and Pollution control act. The effectiveness of the standards are hampered by a shortage of skilled inspectors and resources to physically inspect the mining sector (Five Winds International, 2011). Table 5.25 gives an overview of the standards.

Pollutant Standards Cyanides 0.2 mg / L Sulphates 1500 mg / L Sulfite 1 mg / L Sulphide 0.1 mg / L Cl 800 mg / L F 2 mg / L Al 2.5 mg / L Antimony 0.05 mg / L As 0.5 mg / L Ba 0.5 mg / L Be 0.5 mg / L Boron 0.5 mg / L Cd 0.5 mg / L Hexavelant Chromium 0.1 mg / L Cobalt 1 mg / L Cu 1.5 mg / L Fe 2 mg / L Pb 0.5 mg / L Magnesium 500 mg / L Manganese 1 mg / L Hg 0.002 mg / L Molybdenum 5 mg / L Ni 0.5 mg / L Se 0.02 mg / L Si 0.1 mg / L Ti 2 mg / L Zn 10 mg / L Total hydrocarbons 10 mg / L Table 5.25: Pollutant standards for emission to water from affluent and waste water in Zambia (Government of Zambia)

Labour legislation

Assembly, association and collective bargaining The right to assembly, association and collective bargaining is set in the constitution and in law. However the police may decide when and where rallies may be held and registration of unions are obligatory (U.S. Department of State, 2013b).

Child labour The minimum age for employment is 15 and for hazardous work 18. However it is still common that children under 15 work in the informal sector, also in the mining sector (U.S. Department of State, 2013b).

Forced labour Forced labour is prohibited in Zambia. There are examples of forced labour, but no general picture for the entire country exists (U.S. Department of State, 2013b).

Living wage A minimum wage provisions exist but it is not enough to live on and the legislation is not well enforced (U.S. Department of State, 2013b).

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Occupational health and safety The occupational health and safety in Zambia is regulated in the Factories Act and the Occupational Health and Safety Act (ILO, 2013e). Zambia is signatory to the Safety and Health in Mines Convention of the ILO, but has not completely implemented the convention. Issues with compliance have been found in the Chinese operated mines (ILO, 2015).

5.2.9 Japan – Smelting, Refining

Sector legislation Japan does not have sector specific legislation for the smelting and refining of metals such as copper. However there are some laws that are relevant for the sector. An EIA is always required for industrial estate development projects with an area of 100 hectares or larger and for waste disposal sites larger than 30 hectares under the Environmental Impact Assessment Law (Ministry of Environment. Government of Japan.)

It is obligatory to submit a filling listing the to-be emitted substances and the emission processing methods when constructing or amending a facility (OECD, 2010).

Air quality standards The Air Pollution Control Law and the Environmental Quality Standards for Air legislate general air quality standards (Ministry of the Environment. Government of Japan., 2015). The air quality standards are given in the table 5.26. Regulation is generally abided by (OECD, 2010).

Pollutant Standard Averaging time O3 0.06 ppm 4 hours PM10 100 μg / m3 24 hours SO2 0.04 ppm 24 hours NO2 0.04 ppm Annual CO 20 ppm 8 hours Table 5.26: Air quality standards in Japan (OECD, 2007)

Both the emission of cadmium and lead is further legislated for a copper smelters and refiners. Not more than 1 mg of cadmium and 10 mg of lead may be emitted per Nm3 (Ministry of the Environment, 1998). There is a levy that is imposed on SOx emissions of installations that were active in 1987, some if not all of the copper smelters and refineries were already in place in that year (OECD, 2010).

Water quality standards There are no specific water emission standards for copper smelters and refineries. General water standards are set in the water pollution control law and the environmental quality standards for water pollution. These standards are divided into regulation of water quality to protect human health and regulation to protect the living environment (Ministry of the Environment. Government of Japan., 2015). The regulation are generally abided by (OECD, 2010). Table 5.27 gives environmental quality standards for human health because they are stricter than the standards for formulated to protect the environment.

Pollutant Standard Cd 0.01 mg / L Pb 0.01 mg / L Hexavalent Cr 0.05 mg / L As 0.01 mg / L Hg 0.0005 mg / L Table 5.27: Water quality standard in Japan (Ministry of the Environment)

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Labour legislation

Assembly, association and collective bargaining Freedom of assembly, association and collective bargaining are set in law. However it is difficult for non-regular workers to utilise this right (International Trade Union Confederation, 2011b).

Child labour Japan ratified the ILO conventions on child labour and the ban on child labour is part of the constitution (U.S. Department of State., 2013c). Education is compulsory for children until the age of 15 and children under 18 years old are not allowed to do hazardous work. Light work is allowed for children between 13 and 15. (International Trade Union Confederation, 2011b). Children under 13 years old are only allowed to work in the entertainment industry (U.S. Department of State., 2013c).

Forced labour Forced labour is prohibited in Japan and indeed hardly exists (International Trade Union Confederation, 2011b).

Living wage There is a minimum wage in place that is enforced (U.S. Department of State., 2013c). It is arguable if the minimum wage is enough to make a decent living (Guzi & Osse, 2013).

Occupational health and safety The Industrial Safety and Health (ISH) standards are regulated in the Industrial Safety and Health act. No data has been found on the quality and enforcement of the legislation.

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5.2.10 Conclusion National legislation can also have an impact on the different sustainability issues. Table 5.28 shows the issues that are covered by national legislation.

Issues Policy or Legislation impacting issue Possibility to say no Free Prior and Informed Consent is legally binding in Chile, Peru and Australia. Forceful resettlement Free Prior and Informed Consent is legally binding in Chile, Peru and Australia. Decent facility closure In China, Peru, Australia and some states in the USA mine closure and reclamation are obligatory. In Peru and some states in the USA an insurance for mine closure is obligatory.

Decent treatment of union workers Enforceable in Chile, Japan, Peru, Russia, DRC and Zambia that have ratified the ILO convention. Collective bargaining Enforceable in Chile, Japan, Peru, Australia, Russia, DRC and Zambia that have ratified the ILO convention. Child labour Enforceable in all countries for a minimum age of 15 years old. In some countries the minimum working age for working in mines or unsafe environments is higher, such as is the case in China where a mine worker needs to be at least 18. No forced or compulsory labour Enforceable in Chile, Peru, USA, Australia, Russia, DRC and Zambia that have ratified the ILO conventions. No differentiation in wage and/or health and safety The same wage is enforceable in Chile, China, Japan, Peru, Australia, Russia, DRC and conditions and/or union rights for sub-contracted Zambia that have ratified the ILO convention. workers Living wage Minimum wages are set in legislation but not always enforced or enough to provide a decent living. Sufficient ventilation Enforceable for mining in Zambia, Russia, Australia, USA and Peru that have ratified the ILO convention. Presence of toxic substances Enforceable for mining in Zambia, Russia, Australia, USA and Peru that have ratified the ILO convention. Landslides / subsidence / rock cave ins Enforceable for mining in Zambia, Russia, Australia, USA and Peru that have ratified the ILO convention. Sufficient safety protection clothing Enforceable for mining in Zambia, Russia, Australia, USA and Peru that have ratified the ILO convention. Electricity use In China less than 285 kWh per tonne of copper produced is allowed to be used for the smelting and refining of copper. Land use In China smelters are not allowed in natural preservation areas and ecological function protection zones. Water use A permit for water use is obligatory in Chile. In China 90% of the water used at a smelter needs to be recycled and less than 28 tonnes of water can be used per tonne of copper produced. SO2, arsenic and lead emissions to air Arsenic and sulphuric acid emissions are regulated per smelter in Chile. For sulphuric acid the amount lies approximately at 0.07 tonne per tonne of copper produced and for arsenic at 0.24 kg per tonne of copper produced. More than 95% of all sulphuric acid produced at a smelter must be captured in China, other specific smelter emissions are regulated in China as concentrations. Specific lead emissions regulation for smelters exist in Japan. Acid mine drainage Specific acid mine drainage emissions are regulated in the USA as well as emissions from froth flotation. Contribute to sustainable development In Peru at least 8% of the net profit of a mine needs to be invested for community development and no more than 20% of the personnel is allowed to be expatriates to ensure local employment. Table 5.28: Country specific legislation that has an impact on sustainability issues in the copper supply chain

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Chapter 6 - Commodity Certification Systems

This chapter poses a hypothesis of a suitable certification system for sustainably produced copper. This chapter and thesis in general does not deal with the question whether a certification system of copper is the best method to approach the sustainability issues encountered in the supply chain as described in chapter 3. Rather this thesis asks what a certification system should look like that will give the purchaser of copper anode or cathode the possibility to understand the sustainability of the copper it purchases. However some critique is worth mentioning because it is important to take it into consideration if a system is ever to be implemented.

The main critique on commodity certification in general is that it is costly. According to Sargentini (2015) legislation can reach the same results as certification but is much less expensive. Some others have argued that instead of investing in costly chain-of-custody systems it is better to invest directly in supporting responsible mining in for example the DRC (Manhart & Schelicher, 2013).

Another point of critique that if we start certifying certain materials, then who makes the choice on which materials to certify. In many cases there are simply too many materials in an end-product to certify all of them (Henry & Shinya, 2001). Even if it were possible to certify all materials, this would lead to the certification for a mobile phone of approximately 50 different materials (Nusselder S. , 2013). With data on 50 different materials it is difficult to determine the sustainability of an entire product.

Section 6.1 will characterize certification by looking at describing the means of financing a certification system, the assessment, the chain-of-custody model, the targeted audience, pass/fail system versus a tiered system, an unchanging versus an dynamic system and a voluntary versus an obligatory system. Section 6.2 will describe five different commodity certification systems already in place and describe their strengths and weaknesses. The last section will describe a feasible certification system for sustainably produced copper.

6.1 Characterization of certification 6.1.1 Financing of certification system “Financing is probably the most significant internal challenge to the viability of standards systems and their ability to bring about sustainability impacts.” (Steering Committee of the State-of-Knowledge Assessment of Standards and Certification, 2012)

The financing of a certification system can be divided into two phases; the costs for the development phase and the running costs of the certification system. The costs for the development phase are often paid for by philanthrophy (large foundations such as the WWF), by large companies who participate or by governments (National Resource Council, 2010). The running costs of a certification scheme both involve compliance to the scheme of the companies under certification and the costs for assessing the compliance. The former is often born by the companies and the latter can either be provided by the same stakeholders as in the development phase or by means of a revenue generating activity such as licensing. In general a certification scheme should be cost-efficient and balance the cost of assessment with the comprehensibility of the scheme (Solomon, Schiavi, Horowitz, Rouse, & Rae, 2006). 6.1.2 Assessment The assessment of compliance with the criteria for certification can be done by a third-party or can be assessed by the companies themselves. Third-party certification lead to the most credible schemes (National Resource Council, 2010) that gain the widest possible acceptance by stakeholders and provides public legitimacy (Walker & Howard, 2002).

However, third party certification is the most costly and therefore also hybrid forms have appeared. For example another company in the same sector can carry out the assessment while a third party only assesses the methodology applied and deals with complaints.

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6.1.3 Chain-of-custody model A chain-of-custody model is the traceability method applied to ensure that a product labelled as sustainable actually originates from a sustainable source. The four different models that are generally distinguished (LaChappelle, 2013) are shortly described below.

The identity preservation model is the most strict chain-of-custody model in which a certified product can be traced back all the way to the particular operation where it was produced. In case of wood this would entail tracing the wood of an IKEA wardrobe back to the plantation where the tree originates from.

The product segregation method allows for the mixing of different certified sources. This means that the individual origin of the product cannot be known to the end user. This model is also sometimes referred to as the bulk-commodity model.

In a mass balance model certified and non-certified materials are allowed to be mixed in the supply chain as long as the mass or the percentage of the amount of goods that is certified is disclosed. Such a model could lead to the packaging description stating that 30% of the content is from certified organic origin.

The last and least strict model is the book-and-claim model. In this case certifications of origin are sold by the producer of a good to a retailer without tracking the entire supply chain. In this case the retailer can only state that it is supporting for example sustainably produced fish because there is no physical link between the origin and the end product. 6.1.4 Targeted audience The targeted audience of a certification system can differ from end-users, to retailers, to large-scale purchasers.

Not all products are suitable to certify for end-users because they might not be purchased per piece be end- users. Research has shown that end-users are mainly prone to buying sustainably certified products if they believe this has a health benefit for them (Steering Committee of the State-of-Knowledge Assessment of Standards and Certification, 2012). Another incentive for end-users to change their purchasing is when gross human rights violations are involved such as is the case in the certification of conflict free tin and diamonds.

In general certification is the most successful in sectors where there are large-volume producers and large-scale purchasers (National Resource Council, 2010). If the latter is the case targeting certification at large-scale purchasers might be beneficial because large companies might want to limit their risk of changing legislation or bad reputation by attempting to purchase more sustainably. A government could also be a large scale purchaser and according to the Steering Committee of the State-of-Knowledge Assessment of Standards and Certification (2012) procurement policies of governments that require certified product purchases are frequently cited as the best way for governments to support certification. 6.1.5 Pass/fail versus tiered system A certification procedure can either focus on a set of standards to all of which a company must adhere or can implement a tiered system. A certification system that involves one pass or fail judgement might be easier to implement and be less costly in terms of assessment while a tiered system can provide a pathway to sustainability that also brings the low performing companies on board (Steering Committee of the State-of- Knowledge Assessment of Standards and Certification, 2012). A tiered system can appear in different forms. Cradle-to-cradle certification demands a product certified as silver to meet different standards than a product certified as gold. Differentiation can occur either in the amount of standards that need to be met or the type of standards that need to be met.

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6.1.6 Unchanging versus dynamic system In regulatory approaches is often difficult to incorporated changing best practices in certain industries or changing product formulas because this requires frequent revision of legislation (National Resource Council, 2010). A certification system has the benefit that it could in principle be dynamic and be updated in line with changing sector practices. However having a dynamic system has the downside that it can become confusing which standards should be adhered to by companies and what a certificate stands for the targeted audience. A dynamic system therefore require more stakeholder participation to remain its legitimacy. 6.1.7 Voluntary versus obligatory system A voluntary system has both strengths and weaknesses as opposed to an obligatory system or even to legislation as referred to in the introduction of this chapter. A short description of some of the strengths and weaknesses as described by Walker and Howard (2002) are given below.

The strengths of voluntary systems are that they are more flexible than legislation and can stimulate continuous improvement because of examples set by innovative companies in a sector. A voluntary system can also be more efficient as companies can choose an own means of implementation, thus saving a government on costs of implementation. Lastly a voluntary system can learn companies in a certain sector that environmental improvements can pay-off.

However, for companies to be willing to voluntarily participate in a certification scheme the certification scheme needs to add value. Value of a certification system can be created by reducing reputational risk and by providing good marketing opportunities towards consumers. A voluntary approach becomes less attractive to companies when the easier and least expensive measures have been taken. If voluntary initiatives are implemented and seen as an alternative to legislation by government, a sector can stop feeling the urgency to change because of the perceived diminishing threat of more stringent legislation. A last point of critique that is often uttered is that voluntary schemes mainly serve as a means to highlight existing good practices without creating actual change. 6.2 Commodity certification Lessons can be learned from commodity certification systems that already exist. This section will look at the following five certification systems and determine their strengths and weaknesses based on literature and interviews; the conflict free smelter program (CFSP), the forest stewardship council (FSC) certification, Kimberley certification, ITRI and fairtrade and fairmined gold. 6.2.1 Conflict Free Smelter Program The conflict free smelter program (CFSP) was set up in 2011 by the Electronic Industry Citizenship Coalition (EICC) and Global e-Sustainability Initiative (GeSI). A certified smelter or refinery ensures that there is no conflict in its supply chain because of the sourcing of tin, tantalum or tungsten from the Eastern DRC and surrounding region.

The main requirements that a smelter needs to meet to be certified are (Manhart & Schelicher, 2013);

 Implement the OECD Due Diligence Guidelines and the implementation must be verified by independent third party reviews.  Implement a conflict-free policy in internal operating requirements.  Assure that suppliers provide documentation regarding the mine of origin and subsequent trading partners.  Define criteria to exclude low-risk materials such a secondary materials.  Define procedures to deal with minerals and metals that are inventoried.

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The program is financed by means of large corporate donors and membership fees and the assessment is done by a third-party. The program is not a full chain-of-custody approach because the smelter or refinery facility is assessed and the product is not followed to the end user (Young & Dias, Conflict-free minerals supply-chain to electronics, 2012), however in this first part of the supply chain a product segregation model is used. The system is voluntary but a strong incentive has been created by the Dodd Frank section 1502 as described in the previous chapter.

According to Young and Dias (2012) a major challenge for the scheme has been “the presence of metal trader that do not process materials but nonetheless participate in the supply chain and may complicate and even obscure the chain-of-custody of materials due to commercial confidentiality.” Especially in developing countries many traders are present in supply chains because small scale and artisanal mining is involved in the mining of minerals. Because of the fuzzy supply chain it has proven difficult to certify a lot of smelters, which means that so far only a bit over 60 smelters have been certified. For larger companies this number is too small to be able to source their materials entirely conflict free. For example HP deals with 200 different smelters in their supply chain (Heath, 2014). This demand for certification cannot be met.

Another issue that CFSP deals with is that at this point only four or five of the certified smelters source (some of) their minerals from inside the DRC (Heath, 2014). It seems as if, similar to what happened because of Dodd Frank section 1502, there is a de facto embargo of minerals from the DRC. One can ask if this is eliminating conflict or causing new conflict in the country because of a stagnating economy. 6.2.2 Forest Stewardship Council (FSC) certification The Forest Stewardship Council (FSC) certification was initiated in 1993 as an attempt to prevent the fast disappearance of tropical forests because of (illegal) logging. The program was initially financed by the WWF and B&Q (a large wood retailer in the United Kingdom) but currently by means of membership fees and services. The assessment is carried out by third-parties that are accredited by the council. Different certificates are possible that each use a different chain-of-custody model; FSC mix (mass balance model), FSC recycled (segregation) and FSC (identity preservation).

The targeted user is the end-user of the wood products. One downside of the certification system is that there is a weak demand for FSC certified products (Forrer & Mo, 2013), possibly because of the weak link that is perceived between a tree and a wardrobe. Also the largest part of the ethical consumers are situated in Europe and North America while the largest market for wood products is currently in Asia.

Another issue with the FSC scheme is that it is hardly applied in developing countries. A large part of the forestry in Europe and North America is FSC certified but the certification procedure is often too costly for smaller farmers in developing countries (Forrer & Mo, 2013).

However the FSC certification system has built up a high level of credibility because of the wide range of stakeholders being involved (Walker & Howard, 2002). The uptake is also likely to increase when governments make it a prerequisite for their wood procurement (Walker & Howard, 2002). The scheme has also has a positive spill over effect in influencing forest legislation in different countries (Forrer & Mo, 2013).

Another lesson that can be learned from forestry schemes such as FSC is according to Henry and Shinya (2001) that the co-mingling of virgin and recycled metals would make it very difficult and expensive to establish chain- of-custody. 6.2.3 Kimberley Process Certification Scheme (KPCS) The Kimberley Process Certification Scheme (KPCS) was set up to prevent the trade in blood diamonds; diamonds that were mainly originating from Liberia financing warlords. All countries that are signatory countries to KPCS have stated that they will not import diamonds that are not labelled with a Kimberley certificate. All diamonds produced in a country thus need to be labelled with a Kimberley certificate to proof that they do not fund warlords and promote conflict. It is up to each country to design their own chain-of-custody system within their borders. 117

Even though joining the system is voluntary as a country it is necessary to join to be able to trade with the largest diamond importing countries. The system is enforceable at national level because of the obligation for a country to become compliant to incorporate certain legislation into national law (Sub-Regional Office for Eastern Africa, 2013). The system is governed by a general assembly held each year with all the member states, with one country chairing KPCS every year. The chairing country is responsible for carrying out and supervising recommendations made by the general assembly in the previous year.

The Kimberley system led to less smuggling (Sargentini, 2015) and more transparency in the world wide diamond trade (Wright, 2012). However smuggling still occurs (Moore), for example in the DRC where diamonds from the Republic of Congo are labelled at Kinshasa airport to originate from areas of the DRC where not rebel related violence occurs (Koch, 2014).

The system could have been a lot more successful if;

 There would have been a powerful secretariat that keeps track of whether or not recommendations are being implemented (Koch (2014) and the Sub-Regional Office for Eastern Africa (2013)). The current revolving chair system leads to a lack of continuity (Moore).  There would have been an independent third-party verification system (Koch (2014) and the Sub- Regional Office for Eastern Africa (2013)). The current verification system includes assessments of compliance by other states.  There would have been serious sanctions to countries that do not abide by the made agreements (Koch, 2014). No serious sanctions are being implemented because decisions at the general assembly need to be made based on consensus, making it possible for one country to block penalties for non- compliance by a friendly state (Moore).  There would have been chain-of-custody from the mine until the export of the diamonds in every country (Sub-Regional Office for Eastern Africa (2013) and Moore ()). The internal control system is currently often hampered because of limited capacity, technological shortcomings and corruption (Moore).

Another serious downside to the system is the scope of the system. KPCS currently only focusses on the export of rough diamonds that have funded violence committed by rebel groups (Moore). Arguments have been made to change the scope of the system to for example also include human rights abuses committed by governments (Partnership Africa Canada, 2014). However this has proven to be difficult because of the governance system of the KPCS in which a consensus must be reached between all parties involved before a decision can be made. The yearly meetings make it possible to have the system evolve (Moore) and deal with problems that are unforeseen when the scheme was set up (Sub-Regional Office for Eastern Africa, 2013), but progress is slow. 6.2.4 iTSCi The ITRI Tin Supply Chain initiative (iTSCi) was set up by the International Tin Research Institute (ITRI) in 2009 because the tin industry was afraid of its reputation for tin sourced from Congo (Custers, 2013). iTSCi certifies tin that does not fund rebel groups in the DRC and adjoining countries. The system consists of chain of custody data collection, risk assessment by an independent assessor of all supply chain operators and mine sites and a third party audit. The system focusses on the entire supply chain from the mining of tin until the end-user. At each stage a tag is added in every step of the supply chain which reports the mine or origin, the quantity produced and the method of extraction, the location of consolidation, the trade, processing and upgrading, identification of intermediaries, consolidates and other actors in the supply chain (Manhart & Schelicher, 2013).

There are still some loopholes in the monitoring system because unpaid staff members are overseeing the distribution process of the tags, making them prone to corruption (Enough Team, 2013). Tags are known to be misused (Manhart & Schelicher, 2013).

Because of the extensive data collection, monitoring system and complicated supply chain, the system is relatively expensive. Criticism has been heard about the fees charged to get certified (Manhart & Schelicher, 2013). However the largest part of the system is funded by means of export taxes (Custers, 2013) and not by means of fees. 118

The demand for certified tin cannot be met by the system because of the limited funding, capacity building problems, logistic challenges and inadequacy of local infrastructure (the Sub-Regional Office for Eastern Africa (2013) and OECD (2013b)). 6.2.5 Fairtrade and Fairmined Gold FT/FM Standard was published by the Alliance for Responsible Mining (ARM) and the Fairtrade Labelling Organization (FLO) in 2010. The system looks at both social and environmental responsibility and aims at better workplace safety, better prices for gold mines and the better management of mercury and cyanide in gold production. The program has so far certified two mining organisations in Peru and is working on certifying nine more spread over Uganda, Kenya and Tanzania. The program only focusses on artisanal and small-scale gold producers.

The targeted audience for the system are western retailers or end-users. However one downside to the system is that according to Hilson (2008) gold that is produced by artisanal miners is mostly collected by first local and later national governments and rarely leaves the country. Governments all over the world use gold to smooth out their trade balance and by creating a market for gold originating from artisanal and small-scale mines could have a detrimental effect on the host country (Hilson, 2008).

Another issue with the fairtrade and fairmined gold initiative is especially that it is targeted at ASM. Several issues arise, first of in most cases artisanal mining happens illegally while for a system to be certified legal local organisations will need to be formed (Hilson, 2008). Furthermore because of the small quantities being produced by ASM it is difficult to assess the entire supply chain, because it exists of many different steps (Hilson, 2008). It is just the exact nature of ASM that makes it difficult to develop an efficient certification system for fairtrade and fairmined gold originating from these kind of mines.

A last issue is that the very high standards set by the initiative are difficult to achieve for many small miners (Sub-Regional Office for Eastern Africa, 2013). This could be a possible explanation for the limited amount of mines that have been certified. 6.3 Certification of copper Based on the discussion in section 6.1 and 6.2 of this chapter and that what has been learned about the copper industry so far a hypothesis for a possible copper certification system is developed below. Targeted consumer Since the use of copper for end-users does not pose health risks that could be decreased by purchasing sustainably produced copper there is not likely to be a large demand from small-scale consumers to purchase sustainable copper rather than conventional copper. It is also not a commodity of which the production is perceived to involve gross human rights violations, or as Judith Sargentini (2015) stated it in an interview “there is not enough conflict in copper”. A last issue with targeting a certification scheme at small-scale consumers is that there is no direct link between copper and end-users. This lack of a strong link was already perceived in the construction of the FSC certification system and will thus definitely be the case with copper since the use of copper in many products is not visible to consumers.

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However according to Young, Zhe and Dias (2013a) the driver for a certification system for metals are the end- users. Therefore aiming the certification system at large-scale purchasers such as governments and multinationals is more likely to make the system successful. According to Glöser, Soulier, & Tercero Espinoza (2013) approximately 35% of all new copper is being used in buildings, 15% in infrastructure, 10% for industrial purposes, 12.5% in transport and 27.5% in consumer products and electronics. Since in most countries the government has a monopoly on the construction of infrastructure and is responsible for almost half of the newly constructed building, a government can be assumed to be responsible for 25% of the use of new copper in most countries. This would mean that if a government would proclaim that it would only procure sustainably certified copper a decent market could be created. Manhart and Schelicher (2013) believe that a market could be created for conflict-free materials from the DRC if downstream users commit themselves to purchasing a certain quantity. The same process could work for copper.

Multinationals might see the necessity of purchasing more sustainably produced copper if pressure would be put in them from certain pressure groups or they might choose to brand themselves as being more sustainable. Lastly they might believe that legislation could change in the future making sustainable supply chain management obligatory.

It is however important that a decent amount of copper can be certified as being at least partly sustainable so that large scale consumers when wanting to purchase sustainable copper have the possibility to do so in bulk amounts. This was a problem that was encountered in the CFSP program where HP could not purchase all of its tin, tantalum and tungsten from conflict free smelters because simply not enough smelters had been certified. Self-certification versus third-party certification From the analyses of the five commodity certification schemes in this chapter it becomes apparent that all but one, the Kimberley certifications scheme, have third-party certification. One of the points of critique on the Kimberley scheme is that it would benefit enormously from implementing a third-party certification. Despite the fact that third-party certification is quite expensive it can be deemed necessary to gain the widest possible acceptance and to provide public legitimacy. The latter is especially important when the end-user of the certification scheme is a government which is prone to a large amount of public scrutiny.

It is possible to note that in the certification process it is important to empower workers and communities to perform (a part) of the monitoring (Moody, 2007). This could actually limit financial necessity if for example local NGOs would be accredited to carry out monitoring in cooperation with the local communities. Pass/ fail system vs tiered system It appears that a tiered system is preferable because of several reasons. First of all if a government or large scale producer is chosen to be the targeted audience of the scheme then as discussed above it is necessary to be able to meet the demand of these consumers. Therefore a relatively large amount of sustainably produced copper will need to be available. As it seems and was presented in chapter 3 at this point there are not many complete copper supply chains that do not involve any sustainability issues. A tiered system might make it possible to certify copper as on different levels of sustainability.

Another reason to choose a tiered system over a pass/fail system is to make sure that not a de facto embargo is created on copper from certain countries where for example labour legislation is not well enforced. The idea of creating a certification scheme for sustainable copper is after all not to only make sure that the targeted consumer is ensured that the purchased copper is produced sustainably but also to move the entire copper industry towards becoming more sustainable. Tiered approaches can provide a pathway towards sustainability in which as many actors as possible are included (Steering Committee of the State-of-Knowledge Assessment of Standards and Certification, 2012).

To not make assessment more costly than would be the case in a pass/fail system it is recommendable to set different levels of sustainability based on the amount of standards that should be met per level. For example completely sustainable copper should meet all criteria, while copper that will receive a silver standard will only

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need to meet 80% of the criteria. It is advisable to make a choice on the amount of copper that should fall outside of the scheme and set the percentage of criteria to be met accordingly. Voluntary vs obligatory All of the discussed schemes above are voluntary schemes, none of the commodities need to be certified to get access to a part of the market. Even in the case of the Kimberley scheme there are still countries that have not committed themselves to not importing rough diamonds from that are not Kimberley certified. However partial obligation of the use of certification by restricting access for non-certified products to the market can severely help the penetration of a certification in the market.

Also some issues cannot be solved only by means of certification. For example of absent regulation in the past has caused environmental problems, these problems are unlikely to be solved by implementing a certification scheme (Walker & Howard, 2002). A certification scheme for sustainable copper must therefore never be seen in isolation of other initiatives at improving the sustainability of the copper industry including legislation, but making the scheme obligatory is not a necessity to have certification help in changing in the copper industry. Unchanging versus dynamic Despite much critique that has been uttered about the Kimberley certification system there is a possibility to change and update the system. The FSC certification is less dynamic but involves the possibility of setting specific criteria or guidelines tailored to different regions. Both of these systems make that more stakeholder are able to participate in the development of a system thus creating larger acceptance of the criteria. Schlamann et al. (2013) that have evaluated different biofuel certification schemes state that the involvement of multiple stakeholders is a key to improving these standards in these systems.

However constructing a dynamic system might not only create larger acceptance of a certifications scheme it can also make sure that unforeseen problems that arise can be dealt with. As was seen in the fairtrade and fairmined gold certification scheme certifying artisanal and small scale mining is not an easy task and the costs and technical nature of complying with certain standards might be too high for smaller enterprises in the supply chain (Henry & Shinya, 2001). Even though ASM comprises only 0.5% of the copper mining market (Dorner, Franken, Liedtke, & Sievers, 2012), it is important that the interest of small enterprises will be incorporated in the end and therefore several amendments are likely necessary. Other issues are also likely to arise since no certification system for metals exists as of yet that aims at all encompassing sustainability instead of focusing on only a part of sustainability.

A last reason for choosing a dynamic system over an unchanging system is that if the system is tiered the best way is to slowly improve sustainability of an entire industry is to make the tiers shift. This can be compared to slowly moving up a ladder so that both the top performers and the lowest performers in the sector keep improving.

It can therefore be concluded that a dynamic system is the most suitable for a commodity certification system for sustainably produced copper. Walker and Howard (2002) say that voluntary initiatives in general should strive for continual improvement. Chain-of-custody model Several difficulties arise in the tracing of metals. One of the issues is that supply chains are often long and that especially the presence of actors in the supply chain that do not process materials can complicate things. In case of the Dodd Frank act it was a hurdle to create a list of all known processing facilities because of the large amount of actors involved in artisanal mining and guerrilla smelting (Department of Commerce USA, 2014). The same problem is likely to arise in the production of copper, although less pronounced because less artisanal mining involved in the production of copper. According to Moody (2007) observing standards at a specific mine is likely to be much easier than to follow the output once it leaves the site. Despite this difficulty it seems necessary to follow the material through the entire supply chain as emitting are part of the chain may cause problems as can be seen with the Kimberley certification system.

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Also in the case of metals as opposed to for example food once a metal has been smelted or refined it is impossible to distinguish copper that originates from one country from that sourced from another country. Supplied from all over the world are often mixed at the smelter and even more so at the refinery (Prendergast & Lezhnev). In the case of copper this could be complicated further because of the relatively large amount of recycled copper as percentage of total copper be refined. This has proven to make chain-of-custody more difficult in the case of forestry products.

Commodities that have high prices are favourable for smuggling (Manhart & Schelicher, 2013). Smuggling of diamonds and tin has for example happened under certification schemes. This could possibly cause issues with the trustworthiness of a certification scheme if smuggled materials are mixed with certified materials. However since copper is a heavy resource it is less prone to smuggling than is the case with for example gold (Koch, 2015). Moody (2007) has come to the same conclusion stating that there should be ample opportunity to track the passage of metals and minerals that are produced on a huge scale such as copper all the way from the mine site to the end user.

To keep financial needs at a minimum and to minimise the information that needs to be passed through the supply chain it is recommendable to choose a mass balance model. In this case material could be certified at the mine, certified at the smelter and certified at the refiner not needing to add extra certification procedures at each of the actors handling copper in between. A refiner at the end stage in this case can be certified as having produced 30% of its copper cathode throughout the supply chain as completely sustainable, 20% as being silver sustainable and 10% as being bronze sustainable. This would allow the refiner to sell 60% of its copper as being sustainable while the other 40% will need to be sold as conventional copper. This would not make it possible to track the copper all the way back to the mine in which it was produced but would give a guarantee that copper is produced sustainably. Recycled copper that is added somewhere in the chain can be certified as being completely sustainable since it was determined in chapter 4 that producing (partially) recycled copper is always better than producing primary copper.

Financing The last and most difficult part of the design of the scheme is how to finance it. For the scheme to function it is necessary to pay local personnel enough to prevent corruption and prevent certification of non-sustainable copper as being sustainably produced. It has been determined in chapter 3 that it is financially possibly to produce copper in a sustainable manner and thus the compliance costs can be carried by the companies involved in the copper supply chain. However this does not ensure the payment of the development phase of the certification system and the assessing of compliance. It is unlikely that companies will carry those costs if it is not legislated. The scheme will therefore need to be either paid for by the paying of a premium for sustainably produced copper by a large purchaser such as a government, by revenue generating activities or by a large foundation. The latter is not very sustainable in the long run. No clear conclusion can be drawn on the financing of the certification system because it is of yet unclear if a government or other large purchaser would be willing to pay more for their copper or if revenue generating activities can be developed. However to make a certification scheme financially possible it is advisable to keep the assessment costs for certification as low as possible.

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Chapter 7 – Certification System for Sustainably Produced Copper

This chapter will provide an initial criteria list for the certification of sustainably produced copper. Section 7.1 will summarise the conclusions drawn from the previous chapters and section 7.2 will discuss the main issues that need to be tackled in the certification system and describe findings from the previous chapters and literature that are important to consider when designing an indicator and section 7.3 will provide a list of suggested indicators based on the previous two sections. 7.1 Summary of drawn conclusions

7.1.1 Sustainability issues in the copper production process

Environmental issues In general it can be concluded that the production of secondary copper, or primary copper where secondary material is blended in is always better than their comparable primary copper production methods.

The largest environmental impacts in the primary production of copper occur at the mining site both in the mining and communition of ore as well as the concentrating of the ore. The main contributors to these environmental impacts are the use of explosives, the electricity use, the land used and the water use. The environmental impacts at the smelter that are relatively large fall in the terrestrial acidification and human toxicity categories. The main contributors to these impacts are the SO2, arsenic and lead emissions to air. In the hydrometallurgical processing route the emissions generated for leaching contribute to a high relative impact of terrestrial acidification, water depletion and natural land transformation in the production process of copper. The main contributors to this impact category are; the land used for tailings management, the direct water use and the production of the sulphuric acid used in leaching.

The use of land is not in itself an environmental problem. However when natural land or even worse protected land area is converted to be used for mining, it could have a devastating effect on biodiversity. However this is very site-specific. The same holds for water use, the impact of water use on the region highly depends on the local climate.

Other potential large environmental impacts in the production of copper on which little data was available is the acid mine drainage from the mining site. Also accidental environmental emissions can occur that are not in line with the general copper production practices, the impacts of these emissions must be minimised.

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Social issues Table 7.1 shows the main social issues and the associated stages. These issues need to be minimised for copper production to be sustainably produced. Besides a copper facility should provide benefits to the local community via employment creation and health care or education provision. These benefits should be included in the investment agreement and be agreed on by the local community.

Issues Stage No possibility to say no Mining, Smelting, Refining No transparent investment agreement Mining, Smelting, Refining Forceful resettlement Mining, Smelting, Refining Inadequate compensation resettling Mining, Smelting, Refining Inadequate compensation environmental pollution and Mining, Smelting, Refining consequential health impacts No closure plan Mining, Smelting, Refining No closure fund Mining, Smelting, Refining Mistreatment of union workers (no promotion, no extension of Mining, Smelting, Refining contract, intimidation) No collective bargaining Mining, Smelting, Refining Child labour (unless in artisanal mining) Mining, Smelting, Refining No forced or compulsory labour Mining, Smelting, Refining Differentiated wage and/or health and safety conditions and/or Mining union rights for sub-contracted workers No living wage Mining, Smelting , Refining No sufficient ventilation / presence of toxic fumes (Underground) mining, Smelting, Refining Presence of toxic substances Mining, Smelting, Refining Landslides / subsidence / rock cave ins Mining No sufficient safety protection clothing Mining, Smelting, Refining Table 7.1 Social issues found in the production process of copper

Economic sustainability It has been concluded that it is currently possible to produce at least 13.8% of the copper worldwide socially and environmentally sustainably while still being economically profitably. 7.1.2 Legal, Policy and Regulatory Aspects of Copper

General laws, policies and regulations A part of the above described issues in the production of copper are regulated under general laws, policies and regulations. Table 7.2 gives and overview of the policies and legislation that have an impact on the determined issues.

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Issues Policy or Legislation impacting issue Possibility to say no Free Prior and Informed Consent is legally binding in Chile, Peru and Australia. Transparent investment agreement Companies in Peru, Zambia and Congo need to publicly show their revenue streams to the government under EITI. ICMM members commit themselves to submitting this data in countries that want to be EITI compliant. Forceful resettlement Free Prior and Informed Consent is legally binding in Chile, Peru and Australia. Adequate compensation for resettling Partly enforceable under OECD guidelines. Adequate compensation environmental pollution and Partly enforceable under OECD guidelines. consequential health impacts Decent facility closure. ICMM members commit themselves to appropriate land rehabilitation and to manage all operations so that adequate resources are available to meet closure requirements. Also they commit to the safe disposal and storage of residual waste and process residues. Decent treatment of union workers Partly enforceable under OECD guidelines. Enforceable in Chile, Japan, Peru, Russia, DRC and Zambia and other countries that have ratified the ILO convention. Collective bargaining Partly enforceable under OECD guidelines. Enforceable in Chile, Japan, Peru, Australia, Russia, DRC and Zambia and countries that have ratified the ILO convention. Child labour Partly enforceable under OECD guidelines. Enforceable in Chile, China, Japan, Peru, Russia, DRC and Zambia and countries that have ratified the ILO conventions. ICMM members commit themselves to not using child labour. Child labour in the supply chain caused by the funding of armed groups or private security forces needs to be made public under the Dodd Frank Act for American companies. No forced or compulsory labour Partly enforceable under OECD guidelines. Enforceable in Chile, Peru, USA, Australia, Russia, DRC and Zambia and countries that have ratified the ILO conventions. ICMM members commit themselves to not using forced labour. Forced or compulsory labour in the supply chain caused by the funding of armed groups or private security forces needs to be made public under the Dodd Frank Act for American companies. No differentiation in wage and/or health and safety The same wage is enforceable in Chile, China, Japan, Peru, Australia, Russia, DRC and conditions and/or union rights for sub-contracted Zambia if the ILO convention signed. workers Living wage Partly enforceable under OECD guidelines Sufficient ventilation Partly enforceable under OECD guidelines. Enforceable for mining in Zambia, Russia, Australia, USA and Peru and countries where the ILO convention is signed. Presence of toxic substances Partly enforceable under OECD guidelines. Enforceable for mining in Zambia, Russia, Australia, USA and Peru and countries where the ILO convention is signed. Landslides / subsidence / rock cave ins Partly enforceable under OECD guidelines. Enforceable for mining in Zambia, Russia, Australia, USA and Peru and countries where the ILO convention is signed. Sufficient safety protection clothing Partly enforceable under OECD guidelines. Enforceable for mining in Zambia, Russia, Australia, USA and Peru and countries where the ILO convention is signed. Explosives use ICMM members have committed themselves to measuring and reporting on progress in greenhouse gas emission reduction and to measuring and reporting progress on environmental sustainability. Environmental performance is furthermore measured if the ISO-14001 certification is obtained by a site. Electricity use ICMM members have committed themselves to measuring and reporting on progress in greenhouse gas emission reduction and to measuring and reporting progress on environmental sustainability. Environmental performance is furthermore measured if the ISO-14001 certification is obtained by a site. Land use ICMM members have committed themselves to measuring and reporting progress on environmental sustainability. Environmental performance is furthermore measured if the ISO-14001 certification is obtained by a site. Members of ICMM have agreed not mine in World Heritage properties. Water use ICMM members have committed themselves to measuring and reporting progress on environmental sustainability. Environmental performance is furthermore measured if the ISO-14001 certification is obtained by a site. Sulphuric acid use ICMM members have committed themselves to measuring and reporting progress on environmental sustainability. Environmental performance is furthermore measured if the ISO-14001 certification is obtained by a site. SO2, arsenic and lead emissions to air ICMM members have committed themselves to measuring and reporting progress on environmental sustainability. Environmental performance is furthermore measured if the ISO-14001 certification is obtained by a site. Acid mine drainage ICMM members have committed themselves to measuring and reporting progress on environmental sustainability. Environmental performance is furthermore measured if the ISO-14001 certification is obtained by a site. Contribute to sustainable development Employing of local population and providing training for them is partly enforceable under the OECD guidelines. Besides ICMM members have committed themselves to contributing to sustainable development and to reporting their progress. Table 7.2: General policies and legislation that have an impact on sustainability issues in the copper supply chain

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In general ICMM members publish reports in line with GRI 4 requirements, which can be a good source of information to determine whether or not some of the sustainability issues occur at a production site.

Country specific legislation National legislation can also have an impact on the different sustainability issues. Table 7.3 shows the issues that are covered by national legislation.

Issues Policy or Legislation impacting issue Possibility to say no Free Prior and Informed Consent is legally binding in Chile, Peru and Australia. Forceful resettlement Free Prior and Informed Consent is legally binding in Chile, Peru and Australia. Decent facility closure In China, Peru, Australia and some states in the USA mine closure and reclamation are obligatory. In Peru and some states in the USA an insurance for mine closure is obligatory.

Decent treatment of union workers Enforceable in Chile, Japan, Peru, Russia, DRC and Zambia that have ratified the ILO convention. Collective bargaining Enforceable in Chile, Japan, Peru, Australia, Russia, DRC and Zambia that have ratified the ILO convention. Child labour Enforceable in all countries for a minimum age of 15 years old. In some countries the minimum working age for working in mines or unsafe environments is higher, such as is the case in China where a mine worker needs to be at least 18. No forced or compulsory labour Enforceable in Chile, Peru, USA, Australia, Russia, DRC and Zambia that have ratified the ILO conventions. No differentiation in wage and/or health and safety The same wage is enforceable in Chile, China, Japan, Peru, Australia, Russia, DRC and conditions and/or union rights for sub-contracted Zambia that have ratified the ILO convention. workers Living wage Minimum wages are set in legislation but not always enforced or enough to provide a decent living. Sufficient ventilation Enforceable for mining in Zambia, Russia, Australia, USA and Peru that have ratified the ILO convention. Presence of toxic substances Enforceable for mining in Zambia, Russia, Australia, USA and Peru that have ratified the ILO convention. Landslides / subsidence / rock cave ins Enforceable for mining in Zambia, Russia, Australia, USA and Peru that have ratified the ILO convention. Sufficient safety protection clothing Enforceable for mining in Zambia, Russia, Australia, USA and Peru that have ratified the ILO convention. Electricity use In China less than 285 kWh per tonne of copper produced is allowed to be used for the smelting and refining of copper. Land use In China smelters are not allowed in natural preservation areas and ecological function protection zones. Water use A permit for water use is obligatory in Chile. In China 90% of the water used at a smelter needs to be recycled and less than 28 tonnes of water can be used per tonne of copper produced. SO2, arsenic and lead emissions to air Arsenic and sulphuric acid emissions are regulated per smelter in Chile. For sulphuric acid the amount lies approximately at 0.07 tonne per tonne of copper produced and for arsenic at 0.24 kg per tonne of copper produced. More than 95% of all sulphuric acid produced at a smelter must be captured in China, other specific smelter emissions are regulated in China as concentrations. Specific lead emissions regulation for smelters exist in Japan. Acid mine drainage Specific acid mine drainage emissions are regulated in the USA as well as emissions from froth flotation. Contribute to sustainable development In Peru at least 8% of the net profit of a mine needs to be invested for community development and no more than 20% of the personnel is allowed to be expatriates to ensure local employment. Table 7.3: Country specific legislation that has an impact on sustainability issues in the copper supply chain

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7.1.3 Commodity Certification System

Targeted consumer Aiming the certification system at large-scale purchasers such as governments and multinationals is most likely to make the system successful. If a government would proclaim that it would only procure sustainably certified copper a decent market could be created. However it is important that a decent amount of copper can be certified as being at least partly sustainable so that large scale consumers when wanting to purchase sustainable copper have the possibility to do so in bulk amounts.

Self-certification versus third-party certification Despite the fact that third-party certification is quite expensive it can be deemed necessary to gain the widest possible acceptance and to provide public legitimacy. The latter is especially important when the end-user of the certification scheme is a government which is prone to a large amount of public scrutiny. Empowering workers and communities or local NGO’s to perform a part of the monitoring can limit monitoring costs.

Pass/ fail system vs tiered system A tiered system is preferable because of several reasons. First of all if a government or large scale producer is chosen to be the targeted audience of the scheme then as discussed above it is necessary to be able to meet the demand of these consumers. Therefore a relatively large amount of sustainably produced copper will need to be available. As it seems and was presented in chapter 3 at this point there are not many complete copper supply chains that do not involve any sustainability issues. A tiered system might make it possible to certify copper on different levels of sustainability. Another reason to choose a tiered system over a pass/fail system is to make sure that not a de facto embargo is created on copper from certain countries where for example labour legislation is not well enforced. Tiered approaches can provide a pathway towards sustainability in which as many actors as possible are included. To not make assessment more costly than would be the case in a pass/fail system it is recommendable to set different levels of sustainability based on the amount of standards that should be met per level. For example completely sustainable copper should meet all criteria, while copper that will receive a silver standard will only need to meet 80% of the criteria. It is advisable to make a choice on the amount of copper that should fall outside of the scheme and set the percentage of criteria to be met accordingly.

Voluntary vs obligatory Partial obligation of the use of certification by restricting access for non-certified products to the market can severely help the penetration of a certification in the market. However this is not very likely to occur, otherwise only legislation would be used to solve some of the sustainability issues in the supply chain. It must be noted that past issues are unlikely to be solved by implementing a certification scheme. But making the scheme obligatory is not a necessity to have certification help in changing in the copper industry.

Unchanging versus dynamic Constructing a dynamic system might not only create larger acceptance of a certifications scheme it can also make sure that unforeseen problems that arise can be dealt with. Even though ASM comprises only 0.5% of the copper mining market is important that the interest of small enterprises will be incorporated in the end and therefore several amendments are likely necessary. Other issues are also likely to arise since no certification system for metals exists as of yet that aims at all encompassing sustainability instead of focusing on only a part of sustainability. A last reason for choosing a dynamic system over an unchanging system is that if the system is tiered the best way is to slowly improve sustainability of an entire industry is to make the tiers shift. This can be compared to slowly moving up a ladder so that both the top performers and the lowest performers in the sector keep improving.

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Chain-of-custody model It seems necessary to follow copper through the entire supply chain as emitting are part of the chain may cause problems. Since it is impossible to distinguish copper that originates from one country from that sourced from another country and because of the large amount of recycled copper being produced a mass balance model seems to be the most optimum chain-of-custody model. A mass balance model would also keep the financial needs at a minimum because less information will need to pass through the supply chain. Copper could be certified at the mine, certified at the smelter and certified at the refiner not needing to add extra certification procedures at each of the actors handling copper in between. A refiner at the end stage in this case can be certified as having produced 30% of its copper cathode throughout the supply chain as completely sustainable, 20% as being silver sustainable and 10% as being bronze sustainable. This would allow the refiner to sell 60% of its copper as being sustainable while the other 40% will need to be sold as conventional copper. This would not make it possible to track the copper all the way back to the mine in which it was produced but would give a guarantee that copper is produced sustainably. Recycled copper that is added somewhere in the chain can be certified as being completely sustainable since it was determined in chapter 4 that producing (partially) recycled copper is always better than producing primary copper.

Financing It has been determined that it is financially possibly to produce copper in a sustainable manner and thus the compliance costs can be carried by the companies involved in the copper supply chain. However this does not ensure the payment of the development phase of the certification system and the assessing of compliance. It is unlikely that companies will carry those costs if it is not legislated. The scheme will therefore need to be either paid for by the paying of a premium for sustainably produced copper by a large purchaser such as a government, by revenue generating activities or by a large foundation. The latter is not very sustainable in the long run. No clear conclusion can be drawn on the financing of the certification system because it is of yet unclear if a government or other large purchaser would be willing to pay more for their copper or if revenue generating activities can be developed. However to make a certification scheme financially possible it is advisable to keep the assessment costs for certification as low as possible. 7.2 Discussion of sustainability issues in the production of copper The issues as discussed in the previous sections have been categorised per site; the mine site, smelter site and refinery site. The mine site includes open pit and underground mining, communition, concentrating and leaching, the smelter site includes both primary and secondary smelting as well as pre-treatment of end of life products containing copper and the refinery site includes both SX-EW and electrolytic refining. 7.2.1 Sustainability issues at the mine site

Electricity use As described in section 7.1 the electricity used at the mine site has a large environmental impact. The impact can be reduced by minimising the amount of electricity used and by changing the electricity source. Reducing of electricity use at mining sites falls into four categories; heat recovery for example from diesel generators and concentrate dryers, shutting down unnecessary equipment for example by tailoring the ventilation to the demand needed, preventing leaking of compressed air and the shift to renewable electricity supply (Levesque, Millar, & Paraszczak, 2014). According to McLellan, Corder, Giurco, & Ishihara (2012) the potential of hydropower for use at mines is large and also wind power has the potential to replace some electricity generation. An example of the use of solar panels at a mine site can be found at the Rössing mine in Namibia, where two solar-powered lighting set are installed (Rössing Uranium Limited, 2014). It must be noted that the generation of power from hydroelectric dams may also cause large environmental and social impacts (see Trussart, Messier, Roquest, & Aki, 2002 and Bhat, & Prakash, 2009).

It is difficult to set a standard for the quantity of electricity used per tonne of ore mined and processed at the mining site because mining sites differ substantially. It can therefore be concluded that for a mine site to be sustainable it must make an attempt to minimise the electricity use at the site and purchase its electricity as 128

much as possible from renewable sources thereby taking into account the environmental impact of hydro- electric dams.

The reduction of electricity use is a cost efficient measure for mining companies. Reduction in electricity use and the change from conventional to renewable energy sources can in most cases be assessed by looking at sustainability reporting of mining companies because ICMM members have committed themselves to measuring and reporting their progress in greenhouse gas emissions and an environmental management system needs to be in place if the mine site wants to be ISO-14001 certified.

Land use It has been concluded in section 7.1 that the land used at the mining site has a large environmental impact. Besides the direct land-use, mining towns often have a pull effect on the surrounding communities creating an indirect pressure on the surrounding areas (Mwitma, German, Muimba-Kankolongo & Puntodewo, 2012). However, the impact of land transformation differs per geographical area and it would therefore not contribute to the sustainable production of copper to determine the quantity of land area that is allowed to be transformed. Instead it is important that the land that is used is not situated in sensitive areas.

According to Goodland (2012) there are five different no-go zones for mining; indigenous peoples reserves, conflict zones (especially armed conflict), fragile watersheds, areas of high biodiversity and rare habitats and cultural property. Situating a mine in a fragile water sheds and in areas of high biodiversity and rare habits can have significant environmental impacts. The other three no-go zones will be discussed under the headers possibility to say no (indigenous peoples reserves, cultural property) and transparent investment agreement (conflict zones). Areas of high biodiversity and rare habits may include conservation areas, IUCN categories I-IV, national parks, UNESCO world heritage sites and other types of protected areas.

ICMM members have agreed not to mine in UNESCO world heritage sites. National legislation also exists, for example in China copper smelters are not allowed to be situated in a natural preservation area and it would be logical to extend this notion to mine sites as well. Developing an indicator for mining in fragile watersheds is more difficult if a fragile watershed falls outside of any form of natural protected area. However the impact on a watershed is caused by water use and toxic spills (Goodland, 2012) an indicator will be developed for those under the headers water use, acid mine drainage and accidental emissions. It can therefore be concluded that a sustainable mine site cannot be situated in a UNESCO world heritage site or a natural protection area of any form.

Water use As described in section 7.1 the water use in the mining stage can have a large environmental impact. Water use can also impact the availability of water to local communities. The water use at the mine is largely a function of ore grade (Rankin, 2011). The exact impact of water use can differ per geographical area. It is important that water use does not impact biodiversity, and as described under the header land use an area is especially sensitive if it is situated in a fragile watershed. Also according to Goodland (2012) for mining to be responsible, water needed for the irrigation of food crops must have priority over the water need for mines.

Different strategies can be attempted to minimise water use at the mine site; limiting overall demand and recycling water. In general it can be concluded that the water supply to local communities especially for the irrigation of food crops may not be hindered and that overall water use must be minimised no matter what the geographical area. The water needed by local communities will need to be determined by collaborating with the impacted communities. Besides for every mining area it will need to be determined what quantity of water can be extracted to not impact the biodiversity and/or fragile watershed. As Walker and Howard (2002) local communities should play an important role in determining the local level specifics for certain indicators.

The current GRI standards can be used to assess if these criteria are met. The following three indicators can be useful: 129

 Total water withdrawal by source  Water sources significantly affected by the withdrawal of water  Percentages and total volume of water recycled and reused

Explosives use As determined in section 7.1 the use of ANFO has a large environmental impact. This impact mainly originates from the ammonium nitrate production during which laughing gas is emitted into the atmosphere. In modern facilities the largest part of the laughing gas is captured and not released into the environment. It can therefore be concluded that both the use of explosives must be minimised and that where possible explosives must be purchased from facilities that remove laughing gas from their off-gas.

Sulphuric acid use As described in section 7.1 the use of sulphuric acid at the mine site has a large environmental impact. It should therefore be attempted to minimise the use of sulphuric acid and where possible use sulphuric acid that is produced at a nearby smelter or other industrial facility that produces sulphuric acid to minimise its SO2 emissions. The latter is in line with the biological analogy of industrial ecology as described in chapter 3, because products remain within the system and no waste is created.

Acid mine drainage and accidental emissions Even though no data was found on the impact of acid mine drainage it can potentially have a large environmental impact. There are two methods of treating mined material in such a way that the environmental impact of AMD is minimised; minimise the formation of AMD by preventing the oxidation of pyrite and by treating of the acid formed by for example lime or microbes (Rankin, 2011). To ensure that once pyrite has been oxidised not too much effluent enters the environment it is important to set emission limits for water emitted from mines either directly into streams or into groundwater.

Accidental emissions from mine sites can occur besides the general environmental impact. The accidental emissions that were encountered in chapter 4 were; emissions from the ore-flotation plant, seepage from tailings, tailing dam failure and release of non-treated waste water. In general an attempt must be made to minimise accidental emissions. According to Davies, Martin, & Lighthall (2000) there are no unknown causes for any of the tailing dam failures, they could all have been prevented with the existing knowledge. The same is likely to be the case for other accidental emissions.

To prevent seepage from tailings an impermeable underlayer to prevent leakage of the tailingspond is important (Rankin, 2011). The chance of tailing dam failure can be minimised by limiting the storage of water within the tailing pond (Rankin, 2011). All waste water must in general be treated by means of e.g. filtration and precipitation to prevent polluting of the environment.

Legislation on emissions from mines or into water bodies in general can be found in almost all main copper producing countries. Also IRMA, the Standard for Responsible Mining, designed by the Initiative for Responsible Mining Assurance (IRMA , 2014) provides emissions standards. The IRMA standard has been developed based on consultation of a wide range of stakeholders. A combination of these emissions standards can be made to as indicators for the sustainable production of copper. It will be chosen to combine the most stringent emission standards. In general it can be concluded that if emissions are above the limits described above the local communities must be compensated. These limits also apply after mine closure. ICMM members have committed themselves to the safe disposal and storage of residual waste and process residues. According to Martin et al. (2002) it is in general less expensive to prevent tailing dam failure than to mitigate the effects afterwards.

Possibility to say no As determined in section 7.1, local communities should have the possibility to say no to the construction of a mine site in their vicinity. A mine site can thus not be considered sustainable if it is not agreed upon by the local

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communities. Although not always enforced, this is legally binding for indigenous communities in Chile, Peru and Australia.

Transparent investment agreement To be able to make an informed decision about whether to agree to a mining site in the vicinity it is important that there is a transparent investment agreement between the government and the mining company. Companies in Peru, Zambia and Congo need to submit information on the revenue streams to the governments in those countries to the EITI. ICMM members have committed themselves to submitting this data. Operation in line with the EITI at the mining site is also part of the IRMA Standard (IRMA , 2014).

Forceful resettlement and compensation of resettlement Even if the community agrees to a mine site, some people might still need to be resettled. As determined in section 7.1 a mine cannot be considered sustainable if forced resettlement occurs. In general an attempt must be made to minimise resettlement and the impacts of the resettlements have to be mitigated in agreement with the affected communities. The IRMA Standard (IRMA , 2014) includes the necessity to attempt to minimise resettlement and the community consultation in case of resettlement.

Facility closure As determined in section 7.1 the mine facility needs to be closed properly when operation ceases. The assurance that this happens adequately can be given by a combination of a closure plan and a financial assurance that the facility is closed in line with the closure plan. The transferability of insurance bonds with the sale of the company needs to be clarified in advance (Goodland, 2012).

A decent closure plan should include (Franks, Boger, Côte, & Mulligan, 2011);

 Making mining wastes physically, geographically, chemically and radiologically stable  Making mining wastes that interact with the environment inert  Isolate mining wastes that are not inert  Contain mining wastes  Mining wastes should be managed to minimise post-closure management

In China, Peru, Australia and some states in the USA mine closure and reclamation are obligatory. In Peru and some states in the USA an insurance for mine closure is obligatory. ICMM members have committed themselves to appropriate land rehabilitation and to manage all operations so that adequate resources are available to meet closure requirements. Also they have committed to the safe disposal and storage of residual waste and process residues.

Labour rights As determined in section 7.1 labour rights issues have occurred at mining sites. A large part of these labour rights is set in different domestic legislations such as the right to formation of a labour union, peaceful striking, equal treatment of union members, collective bargaining and no forced or compulsory labour.

Prohibition of child labour under the age of 15 is regulated in all copper producing countries, some coutnries have more stringent legislation. Child labour in the supply chain caused by the funding of armed groups or private security forces needs to be made public under the Dodd Frank Act for American companies.

Most countries have a minimum wage provision that is also enforced. But this minimum wage does not always equal a living wage. Provision of a living wage is furthermore partly enforceable under the OECD guidelines. The IRMA standard also state that workers should be paid either the legal minimum wage plus statutory benefits or the payment of a living wage (IRMA , 2014). The living wage should be determined per site based on the local circumstances and in collaboration with the labour union.

Health and safety standards can be problematic at mine sites. However the provision of adequate protection clothing, the enforcement of decent health and safety standards and the prevention of landslides are set in domestic law of some countries and are partially enforceable under the OECD guidelines. The IRMA Standard 131

(IRMA, 2014) states that all mining companies should comply with the ILO convention on health and safety in mines.

Sub-contracted workers are often treated differently; a different wage is paid, different health and safety conditions apply and union rights are less likely to be granted. Under the IRMA Standard (IRMA, 2014) the operating company at the mine site is responsible for the compliance of subcontractors to legislation and the other IRMA standards. Also the right to equal treatment of different workers is set in domestic law in several countries.

In general it can be concluded that it should be possible to design indicators for labour rights at mine sites that can be certified as sustainable production sites for copper because they are generally adopted in national legislation.

Benefits to local community Benefits to the local community can arise from the investment in local infrastructure, job provision, education provision and health care provision. These benefits can be divided into employment provision and investment into the services for the local community.

Peru has developed legislation on the investment that a company makes into the local community. This legislation includes the necessity to invest a minimum of 8% of the net profit into community development and the prohibition of more than 20% of the workforce at the facility consisting of expatriates. Employing of local population and providing training for them is partly enforceable under the OECD guidelines. Besides ICMM members have committed themselves to contributing to sustainable development and to reporting their progress. 7.2.2 Sustainability issues at the smelting site

Smelter emissions The most occurring emissions from smelters are SO2, lead and arsenic emissions. Other accidental emissions can occur. Especially in the treatment of end of life copper products and the smelting of those environmentally harmful methods are applied. In China for example incineration and acid-treatment is often used for WEEE and illegal dumping of worthless waste occurs (Mo, Wen, & Chen, 2009), improper treatment of ELV is also common causing environmental pollution (Sakai, et al., 2014). It is important to discourage the use of such practices, while still encouraging the recycling of copper material.

If emissions standards are set for the emission of SO2, lead and arsenic is can be assumed that when these standards are met, other emissions damaging to human health and the environment are unlikely to occur. This is the case because for the reduction of lead and arsenic emissions the off gas needs to be filtered while also capturing other emissions. Also to be able to produce sulphuric acid, impurities will need to be removed from the off gas.

Technology specific legislation for emissions from smelters is in place in China and is based on relatively new technology and the newest available abatement techniques (Shang, Zhao, Duan, & Zhou, 2010).

If accidental emissions occur, adequate compensation should be provided.

Possibility to say no As determined in section 7.1, local communities should have the possibility to say no to the construction of a smelting site in their vicinity. A smelting site can thus not be considered sustainable if it is not agreed upon by the local communities. Although not always enforced, this is legally binding for indigenous communities in Chile, Peru and Australia.

Transparent investment agreement To be able to make an informed decision about whether to agree to a smelting site in the vicinity it is important that there is a transparent investment agreement between the government and the company. Companies in 132

Peru, Zambia and Congo need to submit information on the revenue streams to the governments in those countries to the EITI. ICMM members have committed themselves to submitting this data.

Forceful resettlement and compensation of resettlement Even if the community agrees to a smelting site, some people might still need to be resettled. As determined in section 7.1 a smelter cannot be considered sustainable if forced resettlement occurs. In general an attempt must be made to minimise resettlement and the impacts of the resettlements have to be mitigated in agreement with the affected communities.

Facility closure Not much has been written about the decent closure of smelting facilities, possibly because their continued existence after closure does not pose as large a risk to the environment as is the case with a closed copper mine. Non-the-less it is decent practice to develop a closure plan for the facility and provide financial assurance that this closure plan will be implemented.

Labour rights The same labour rights issues occur at the smelting site as at the mining site, and they will therefore not need to be discussed again. Of course however landslides are not an issue at smelters, where the presence of toxic fumes is more prevalent than at the mine site. For example very bad working conditions have been found in WEEE treatment facilities in Pakistan (Umair, Björklund, & Ekener Petersen, 2015), similar conditions can be assumed to also exist in China and other low wage countries. Decent health and safety standards should be implemented at the smelter site to prevent toxic fumes from damaging human health.

Benefits to local community A smelting facility should also provide a benefit to the local communities. Because little has been written about this, the same take will be used as was described for the mine site. 7.2.3 Sustainability indicator at the refining site

Accidental emissions If accidental emissions occur, adequate compensation should be provided.

Possibility to say no As determined in section 7.1, local communities should have the possibility to say no to the construction of a refining site in their vicinity. A refining site can thus not be considered sustainable if it is not agreed upon by the local communities. Although not always enforced, this is legally binding for indigenous communities in Chile, Peru and Australia.

Transparent investment agreement To be able to make an informed decision about whether to agree to a refining site in the vicinity it is important that there is a transparent investment agreement between the government and the company. Companies in Peru, Zambia and Congo need to submit information on the revenue streams to the governments in those countries to the EITI. ICMM members have committed themselves to submitting this data.

Forceful resettlement and compensation of resettlement Even if the community agrees to a refining site, some people might still need to be resettled. As determined in section 7.1 a refinery cannot be considered sustainable if forced resettlement occurs. In general an attempt must be made to minimise resettlement and the impacts of the resettlements have to be mitigated in agreement with the affected communities.

Facility closure Not much has been written about the decent closure of refining facilities, possibly because their continued existence after closure does not pose as large a risk to the environment as is the case with a closed copper

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mine. Non-the-less it is decent practice to develop a closure plan for the facility and provide financial assurance that this closure plan will be implemented.

Worker rights The same labour rights issues occur at the refinery as at the mine site except for landslides, and they will therefore not need to be discussed again.

Benefits to local community A refining facility should also provide a benefit to the local communities. Because little has been written about this, the same take will be used as was described for the mine site. 7.3 Indicators

The following indicators together ensure sustainably produced copper and are based on the discussion and description in section 7.2. The choice has been made to provide a global framework in which local communities play an important role in determining the local level specifics for certain indicators, in line with what Walker and Howard (2002) suggest. This also means that these communities could be involved in the assessment of the indicators, which would limit the costs. The indicators can furthermore be assessed by looking at the reported data from companies. In general ICMM members have committed themselves to measuring and reporting progress on environmental sustainability and companies must measure environmental performance if a site has obtained ISO-14001 certification. Reports published based on the GRI 4 format make it easier to compare data obtained from different sites with each other.

Indicator Stage Attempts are made to minimise electricity use Mining Purchase electricity as much as possible from renewable sources (taking into account the environmental Mining impact of hydro-electric dams) Facility is not situated in a UNESCO world heritage site Mining Facility is not situated in a natural protection area Mining Attempts are made to minimise water use Mining Water supply to local communities is not hindered (need of local communities has to be determined site Mining specific in collaboration with the communities) Water use does not impact biodiversity and/or fragile watershed (no-impact to be determined in Mining collaboration with the local communities) Attempts are made to minimise explosives use Mining Explosives are where possible bought from a facility that removes laughing gas in its off-gas Mining Attempts are made to minimise the use of sulphuric acid Mining Where possible sulphuric acid is bought from a nearby smelter or other facility that produces sulphuric Mining acid to minimise its SO2 emissions Emissions to water may not exceed22: Mining 1. Maximum of 0.15 mg of copper per liter 2. Maximum of 0.75 mg of zinc per liter 3. Maximum of 0.01 mg of lead per liter 4. Maximum of 0.001 mg of mercury per liter 5. Maximum of 0.005 mg of cadmium per liter 6. Maximum of 0.2 mg of aluminium per liter 7. Maximum of 0.005 mg of antimony per liter 8. Maximum of 0.02 mg of arsenic per liter 9. Maximum of 0.05 mg of chromium per liter 10. Maximum of 0.3 mg of iron per liter 11. Maximum of 0.05 mg of manganese per liter 12. Maximum of 0.01 mg of molybdenum per liter 13. Maximum of 0.02 mg of nickel per liter 14. Maximum of 0.01 mg of selenium per liter 15. Maximum of 0.1 mg of silver per liter 16. Maximum of 0.002 mg of thallium per liter 17. Maximum of 0.025 mg of uranium per liter

22 The emission limits are a combination of the most stringent emission limits for acid mined drainage set in law in the USA (Federal Government, 2013a), the emissions to marine water bodies inside protection areas in Chile (Ministerio Secretaria General de la Preseidencia, 2001) and the ground water quality criteria defined in IRMA (IRMA , 2014). 134

18. Maximum of 0.1 mg of vanadium per liter 19. Maximum of 0.5 mg of cyanide per liter 20. Maximum of 0.5 mg of tin per liter 21. Maximum of 1.5 mg of fluoride per liter 22. Maximum of 10 mg of hydrocarbons per liter 23. Maximum 1 mg of sulphides per liter Attempts are made to minimise accidental emissions Mining, Smelting, Refining Environmental and health impacts of accidental emissions are mitigated in agreement with the local Mining, Smelting, Refining communities 23 More than 95% of the SO2 produced at the smelter is captured and converted to sulphuric acid Smelting 24 SO2 emissions may not be more than 460 mg per m3 Smelting 25 Arsenic emissions may not be more than 0.5 mg per m3 Smelting 26 Lead emissions may not be more than 0.7 mg per m3 Smelting The local community has given its consent for the presence of the facility Mining, Smelting, Refining The investment agreement between the (local) government and the facility is publically available Mining, Smelting, Refining An attempt is / has been made to minimise resettlement for the facility Mining, Smelting, Refining No forceful resettlement has occurred for the facility Mining, Smelting, Refining Impacts of resettlement have been mitigated in agreement with the local communities Mining, Smelting, Refining A closure plan has been developed for the facility Mining, Smelting, Refining A financial assurance is in place for the adequate closure of the facility Mining, Smelting, Refining Workers are allowed to form a union and to strike peacefully Mining, Smelting, Refining Union members are treated no differently than other workers Mining, Smelting, Refining Collective bargaining is allowed at the facility Mining, Smelting, Refining No children work at the facility that are younger than 15 years old Mining, Smelting, Refining All workers are paid a living wage (determined based on local circumstances and in collaboration with the Mining, Smelting, Refining labour union) No forced or compulsory labour is used Mining, Smelting, Refining Adequate protection is provided (determined in agreement with the labour union) Mining, Smelting, Refining Health and safety conditions are deemed sufficient (determined in agreement with the labour union) Mining, Smelting, Refining - Specifically looking at toxic fumes Smelting No landslides or uncontrolled ground subsidence or cave-ins have occurred at the facility putting workers Mining in danger Sub-contracted workers are entitled to the same labour rights and health and safety standards as the Mining, Smelting, Refining ordinary workforce A minimum of 8% of the net profit of the facility is invested in community development Mining, Smelting, Refining No more than 20% of the workforce at the facility consists of expatriates Mining, Smelting, Refining Table 7.4: Proposed indicators that should be assessed to ensure the sustainable production of copper

23 Based on Chinese technology standards for smelters (Shang, Zhao, Duan, & Zhou, 2010) 24 Based on Chinese technology standards for smelters (Shang, Zhao, Duan, & Zhou, 2010) 25 Based on Chinese technology standards for smelters (Shang, Zhao, Duan, & Zhou, 2010) 26 Based on Chinese technology standards for smelters (Shang, Zhao, Duan, & Zhou, 2010) 135

Chapter 8 - Conclusion, uncertainties and future research

This last chapter will provide a conclusion on what a possible certification system for sustainably produced copper could look like. Section 8.1 provides the conclusion, section 8.2 discusses some of the uncertainties that still remain and section 8.3 provides some suggestions for future research into the topic of sustainability certification for metals. 8.1 Conclusion

By means of looking at one metal in particular this research has determined that it is possible to develop a certification system for a metal that makes it possible to source (more) sustainably produced copper.

For a certification system for copper to work it should be aimed at a large-scale purchaser such as a government or multinational. To gain the widest possible acceptance of the system a third-party certification system is necessary. Furthermore the system should be tiered, to ensure both that enough certified copper will be available at the start-up of the system and to include as many actors as possible. The tiers can be shifted to ensure for continued improvement of the standards. An obligatory scheme would be preferable, but it is not a necessity to have certification help in changing the copper industry. The system will need to be dynamic to account for earlier made mistakes in the design process of the certification system, such an approach can also lead to larger acceptance of the scheme. The chain-of-custody model should be a mass balance model where copper production is certified at the mine site, smelter site and refinery. Recycled copper can always be certified as sustainable.

The compliance costs for abiding by the certification scheme can be carried by the copper industry, however financial means will need to be secured for the development phase of the certification and the continued assessing of compliance with the scheme. No clear conclusion can be drawn on the financing of the scheme, however it is advisable to keep the assessment costs for certification as low as possible.

The following table shows the proposed indicators for the certification system that have been determined by combining a designed sustainability definition for the copper industry with the environmental and social hotpots in the production system determined by means of an LCA and an S-LCA and the current existing policies and legislation applicable to the copper industry.

Indicator Stage Attempts are made to minimise electricity use Mining Purchase electricity as much as possible from renewable sources (taking into account the environmental Mining impact of hydro-electric dams) Facility is not situated in a UNESCO world heritage site Mining Facility is not situated in a natural protection area Mining Attempts are made to minimise water use Mining Water supply to local communities is not hindered (need of local communities has to be determined site Mining specific in collaboration with the communities) Water use does not impact biodiversity and/or fragile watershed (no-impact to be determined in Mining collaboration with the local communities) Attempts are made to minimise explosives use Mining Explosives are where possible bought from a facility that removes laughing gas in its off-gas Mining Attempts are made to minimise the use of sulphuric acid Mining Where possible sulphuric acid is bought from a nearby smelter or other facility that produces sulphuric Mining acid to minimise its SO2 emissions Emissions to water may not exceed27: Mining 1. Maximum of 0.15 mg of copper per liter 2. Maximum of 0.75 mg of zinc per liter 3. Maximum of 0.01 mg of lead per liter 4. Maximum of 0.001 mg of mercury per liter

27 The emission limits are a combination of the most stringent emission limits for acid mined drainage set in law in the USA (Federal Government, 2013a), the emissions to marine water bodies inside protection areas in Chile (Ministerio Secretaria General de la Preseidencia, 2001) and the ground water quality criteria defined in IRMA (IRMA , 2014). 136

5. Maximum of 0.005 mg of cadmium per liter 6. Maximum of 0.2 mg of aluminium per liter 7. Maximum of 0.005 mg of antimony per liter 8. Maximum of 0.02 mg of arsenic per liter 9. Maximum of 0.05 mg of chromium per liter 10. Maximum of 0.3 mg of iron per liter 11. Maximum of 0.05 mg of manganese per liter 12. Maximum of 0.01 mg of molybdenum per liter 13. Maximum of 0.02 mg of nickel per liter 14. Maximum of 0.01 mg of selenium per liter 15. Maximum of 0.1 mg of silver per liter 16. Maximum of 0.002 mg of thallium per liter 17. Maximum of 0.025 mg of uranium per liter 18. Maximum of 0.1 mg of vanadium per liter 19. Maximum of 0.5 mg of cyanide per liter 20. Maximum of 0.5 mg of tin per liter 21. Maximum of 1.5 mg of fluoride per liter 22. Maximum of 10 mg of hydrocarbons per liter 23. Maximum 1 mg of sulphides per liter Attempts are made to minimise accidental emissions Mining, Smelting, Refining Environmental and health impacts of accidental emissions are mitigated in agreement with the local Mining, Smelting, Refining communities 28 More than 95% of the SO2 produced at the smelter is captured and converted to sulphuric acid Smelting 29 SO2 emissions may not be more than 460 mg per m3 Smelting 30 Arsenic emissions may not be more than 0.5 mg per m3 Smelting 31 Lead emissions may not be more than 0.7 mg per m3 Smelting The local community has given its consent for the presence of the facility Mining, Smelting, Refining The investment agreement between the (local) government and the facility is publically available Mining, Smelting, Refining An attempt is / has been made to minimise resettlement for the facility Mining, Smelting, Refining No forceful resettlement has occurred for the facility Mining, Smelting, Refining Impacts of resettlement have been mitigated in agreement with the local communities Mining, Smelting, Refining A closure plan has been developed for the facility Mining, Smelting, Refining A financial assurance is in place for the adequate closure of the facility Mining, Smelting, Refining Workers are allowed to form a union and to strike peacefully Mining, Smelting, Refining Union members are treated no differently than other workers Mining, Smelting, Refining Collective bargaining is allowed at the facility Mining, Smelting, Refining No children work at the facility that are younger than 15 years old Mining, Smelting, Refining All workers are paid a living wage (determined based on local circumstances and in collaboration with the Mining, Smelting, Refining labour union) No forced or compulsory labour is used Mining, Smelting, Refining Adequate protection is provided (determined in agreement with the labour union) Mining, Smelting, Refining Health and safety conditions are deemed sufficient (determined in agreement with the labour union) Mining, Smelting, Refining - Specifically looking at toxic fumes Smelting No landslides or uncontrolled ground subsidence or cave-ins have occurred at the facility putting workers Mining in danger Sub-contracted workers are entitled to the same labour rights and health and safety standards as the Mining, Smelting, Refining ordinary workforce A minimum of 8% of the net profit of the facility is invested in community development Mining, Smelting, Refining No more than 20% of the workforce at the facility consists of expatriates Mining, Smelting, Refining Table 8.1: Proposed indicators that should be assessed to ensure the sustainable production of copper

28 Based on Chinese technology standards for smelters (Shang, Zhao, Duan, & Zhou, 2010) 29 Based on Chinese technology standards for smelters (Shang, Zhao, Duan, & Zhou, 2010) 30 Based on Chinese technology standards for smelters (Shang, Zhao, Duan, & Zhou, 2010) 31 Based on Chinese technology standards for smelters (Shang, Zhao, Duan, & Zhou, 2010) 137

8.2 Uncertainties There are some uncertainties with the conclusions drawn in the previous section. First of all the sustainability definition for the minerals and mining sector as given in chapter 3 is relatively subjective. Even though based on a large amount of literature and consultation with experts there is possibility that some stakeholders may not agree with the definition. In that case the constructed sustainability indicators does not provide an assurance that copper is produced sustainably. The sustainability definition would therefore benefit from input from more different experts coming from different stakeholder groups.

Secondly the choice has been made in the LCA methodology to define a large environmental impact that should be considered in the certification system as an impact in a production stage that contributes 20% or more to an impact category. This choice is rather arbitrary and in this way some environmental impacts of the production of copper are excluded that could be considered by some to be important to mitigate before the production of copper can be deemed sustainable. The choice was however made to limit the complexity of the proposed certification scheme. Also some of the technologies that are not mayor production technologies such as non state-of-the art recycling technologies could have a large impact which is not taken into account. One of these that especially needs mentioning is the recycling of copper bearing materials in low-wage countries by means of technologies that are not preferential for the environment. No data have unfortunately be found on the exact environmental impact of these technologies. Because the difference between primary and secondary copper appeared to be so large in the LCA, it has been concluded that copper partly produced from secondary material is always better than primary copper. However there is a possibility that if the environmental impact of the pre- processing of these secondary materials is extremely hazardous that it is not always better to use secondary materials.

Thirdly the S-LCA methodology applied appeared to be insufficient to determine social hotspots in the production process of copper because it could not be used to weigh different impacts against each other. This is in general a problem with using qualitative indicators. An attempt could be made to reiterate the S-LCA while using quantitative indicators. Another issue with the S-LCA methodology was the dependency on secondary data, more reliable conclusions could be drawn if primary data is collected from production sites.

Fourthly the proposed indicators as given in table 8.1 and then especially the emission standards are based on combining different existing emissions standards from different countries. This methodology can be seen as arbitrary and the conclusion drawn would therefore benefit from contrasting these emission standards with literature on the fate of substance into the environment and their environmental impact.

Lastly the success of the certification scheme hinges on whether or not financing of the scheme is possible. An important aspect in this is the necessity for a large scale purchaser of copper to demand sustainably produced copper. Also initial funding will need to be secured to set up the certification scheme, and it is questionable if this is possible. 8.3 Future research The uncertainties discussed above could be partly decreased by more research into the opinions of experts on the sustainability definition applied, the assessment of the necessity to include more environmental sustainability indicators based on environmental impacts that contributes less than 20% to an impact category, by consulting experts on the environmental impact of pre-processing of secondary copper material in low wage countries and by applying a different S-LCA methodology in which the relative impact of different social impacts could be weighted. Also assessing the social sustainability by conducted for example interviews with communities around and workers at copper production sites would increase the reliability of the conclusions drawn in the S-LCA. Lastly the proposed emission standards would benefit from a comparison with literature on ecotoxicology.

Furthermore an assessment is needed into the financial viability of the certification scheme including an assessment on the willingness of large scale copper purchasers to pay a premium for sustainably produced

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copper. Also the designed scheme would highly benefit from more research into the visions of different stakeholders on the designed indicators.

In general a similar assessment as has been done in this research could be carried out for different metals. Doing so could increase the understanding of the possibility to set up certification systems for metals in general and could help in contrasting such schemes with other commodity certification schemes.

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153

Appendix 1 – Life Cycle Inventory 1 tonne Primary Copper Cathode Production – Pyrometallurgical Route

Elementary Flow 1 2 3 4 5 6 7 8 9 10 Transformation, from unknown[resource_land] -1.25E+03 -1.25E+03 -1.25E+03 -1.25E+03 -1.25E+03 -945 -945 -945 -945 -945 Carbon dioxide, fossil[air_low population density] 1.28E+04 1.27E+04 1.30E+04 1.28E+04 1.28E+04 8.37E+03 8.33E+03 8.64E+03 8.36E+03 8.45E+03 Nitrogen oxides[air_high population density] 2.93 2.94 2.91 2.98 3.08 5.67 5.69 5.66 5.73 5.82 Arsenic, ion[water_river] 0.00289 0.00292 0.00287 0.00292 0.003 0.00489 0.00492 0.00487 0.00492 0.005 Water, river[resource_in water] -92.4 -92.8 -91.9 -92.9 -94.3 -130 -131 -130 -131 -132 Carbon dioxide, fossil[air_high population density] 1.97E+03 1.98E+03 1.95E+03 2.00E+03 2.05E+03 3.69E+03 3.71E+03 3.68E+03 3.72E+03 3.78E+03 Sulfur dioxide[air_high population density] 3.04 3.07 3.01 3.08 3.19 6.02 6.05 5.98 6.05 6.16 Nitrogen oxides[air_low population density] 13 12.6 14.2 13.7 12.9 19.6 19.1 20.7 20.2 19.4 Sulfur dioxide[air_low population density] 54.8 341 171 106 48.6 71.5 357 188 123 65.3 Methane, fossil[air_low population density] 1.25E+01 1.23E+01 1.28E+01 1.30E+01 1.31E+01 21.7 21.5 22 22.3 22.4 Cadmium[air_low population density] 0.000296 3.21E-05 0.000221 0.00211 0.000729 0.000323 5.88E-05 0.000248 0.00214 0.000755 Copper[air_low population density] 0.068 0.0608 0.078 0.486 0.0654 0.0684 0.0611 0.0784 0.486 0.0657 Lead[air_low population density] 0.00656 0.00047 0.0106 0.224 0.0063 0.00695 0.000867 0.011 0.224 0.0067 Vanadium[air_high population density] 0.00753 0.00761 0.00743 0.00762 0.00793 0.0149 0.015 0.0148 0.015 0.0153 Water, well, in ground[resource_in water] -52.4 -52.5 -52.4 -52.6 -52.8 -61.2 -61.3 -61.2 -61.4 -61.6 Arsenic, ion[water_ground-] 0.0034 0.00344 0.00335 0.00344 0.00359 0.00679 0.00683 0.00674 0.00683 0.00698 Arsenic[air_low population density] 1.29E-03 2.20E-04 7.38E-04 9.42E-02 2.36E-03 1.49E-03 0.00042 9.38E-04 9.44E-02 2.56E-03 Arsenic[air_low population density, long-term] 0.000373 0.000377 0.000368 0.000378 0.000394 0.000744 0.000748 0.000739 0.000749 0.000765 Carbon dioxide, fossil[air_unspecified] 235 234 235 236 235 267 267 267 268 268 Ethane, 1,2-dichloro-1,1,2,2-tetrafluoro-, CFC-114[air_low 6.14E-05 6.20E-05 6.05E-05 6.22E-05 6.47E-05 0.000122 0.000123 0.000121 0.000123 0.000126 population density] Mercury[air_low population density] 2.05E-04 1.75E-04 9.19E-04 2.39E-04 1.82E-04 3.72E-04 0.000342 1.09E-03 4.07E-04 3.50E-04 Mercury[air_unspecified] 0.000505 0.000505 0.000505 0.000505 0.000505 0.000518 0.000518 0.000518 0.000519 0.000519 Methane, bromochlorodifluoro-, Halon 1211[air_low population 3.35E-05 3.26E-05 3.55E-05 3.63E-05 3.57E-05 6.00E-05 5.91E-05 6.20E-05 6.28E-05 6.22E-05 density] Methane, bromotrifluoro-, Halon 1301[air_low population 2.14E-05 2.16E-05 2.13E-05 2.15E-05 2.16E-05 2.87E-05 2.89E-05 2.87E-05 2.88E-05 2.89E-05 density] Methane, chlorodifluoro-, HCFC-22[air_low population density] 0.000155 0.000152 0.000161 0.000165 0.000165 0.000286 0.000283 0.000292 0.000296 0.000296 Nitrogen oxides[air_unspecified] 1.08 1.08 1.08 1.09 1.08 1.56 1.56 1.56 1.57 1.56 Titanium[air_low population density, long-term] 0.0046 0.00465 0.00453 0.00466 0.00485 0.00917 0.00922 0.00911 0.00923 0.00942 Water, lake[resource_in water] -21.8 -21.8 -21.8 -21.8 -21.7 -21.8 -21.8 -21.8 -21.9 -21.8 Arsenic, ion[water_ground-, long-term] 0.0201 0.0203 0.0199 0.0204 0.0212 0.0395 0.0397 0.0393 0.0398 0.0406 Arsenic, ion[water_unspecified] 0.00273 0.00228 0.00228 0.00325 0.474 0.00274 0.00228 0.00228 0.00325 0.474 Barium[water_ground-, long-term] 0.215 0.217 0.213 0.218 0.227 0.426 0.428 0.424 0.429 0.438 Beryllium[water_ground-, long-term] 0.00752 0.0076 0.00744 0.00763 0.00794 0.0149 0.0149 0.0148 0.015 0.0153 Bromine[water_river] 0.0174 0.0176 0.0174 0.0175 0.0177 0.0278 0.028 0.0278 0.0279 0.0281 Cobalt[water_ground-, long-term] 0.108 0.109 0.107 0.11 0.114 0.214 0.215 0.213 0.215 0.22 Manganese[water_ground-, long-term] 4.11 4.15 4.06 4.17 4.34 8.12 8.16 8.07 8.17 8.34 Mercury[water_ground-, long-term] 0.00148 0.00149 0.00146 0.0015 0.00156 0.00293 0.00294 0.00291 0.00295 0.00301 Molybdenum[water_ground-, long-term] 0.0221 0.0223 0.0218 0.0224 0.0233 0.0435 0.0438 0.0433 0.0439 0.0448 Molybdenum[water_unspecified] 6.34E-10 6.32E-10 6.36E-10 6.39E-10 6.35E-10 4.35E-10 4.33E-10 4.38E-10 4.40E-10 4.36E-10 Nickel, ion[water_ground-, long-term] 0.491 0.496 0.485 0.498 0.517 0.959 0.964 0.954 0.966 0.986 Nickel, ion[water_unspecified] 0.0641 0.0605 0.0605 0.0624 0.0784 0.0641 0.0606 0.0606 0.0624 0.0784 Phosphorus[water_unspecified] 6.77E-06 6.77E-06 6.77E-06 6.79E-06 0.0179 7.73E-06 7.73E-06 7.73E-06 7.75E-06 0.0179 Selenium[water_ground-, long-term] 0.0161 0.0163 0.016 0.0164 0.017 0.0319 0.0321 0.0317 0.0321 0.0328 Vanadium, ion[water_ground-, long-term] 0.0547 0.0551 0.0542 0.0552 0.0568 0.0923 0.0927 0.0919 0.0929 0.0944 Chlorine[water_unspecified] 0.804 0.804 0.804 0.804 7.56 0.804 0.804 0.804 0.804 7.56

155

Appendix 2 – Life Cycle Inventory 1 tonne Primary Copper Cathode Production – Hydrometallurgical Route

Elementary Flow 11 12 13 14 15 16 Unit Transformation, from unknown[resource_land] m2 -3.42E+03 -2.14E+03 -1.52E+03 -1.84E+03 -1.15E+03 -1.02E+03 Carbon dioxide, fossil[air_low population density] 2.42E+04 1.57E+04 1.41E+04 1.57E+04 1.04E+04 9.36E+03 kg Nitrogen oxides[air_high population density] 6.54 4.49 3.47 11.9 7.83 6.43 kg Arsenic, ion[water_river] 0.00555 0.00377 0.00339 0.00944 0.0062 0.00555 kg Water, river[resource_in water] -102 -69.1 -62.6 -175 -115 -103 m3 Carbon dioxide, fossil[air_high population density] 3.47E+03 2.42E+03 2.15E+03 6.82E+03 4.52E+03 4.01E+03 kg Sulfur dioxide[air_high population density] 33.5 21.4 5.2 39.3 25 8.41 kg Propylene oxide[air_high population density] 1.31E-05 8.38E-06 3.63E-06 1.45E-05 9.23E-06 4.38E-06 kg Nitrogen oxides[air_low population density] 24 16 14.4 36.7 23.9 21.4 kg Sulfur dioxide[air_low population density] 32.3 22.6 20.6 64.8 42.9 38.6 kg Methane, fossil[air_low population density] 22.2 15.3 13.9 40.2 26.5 23.9 kg Vanadium[air_high population density] 0.0147 0.0103 0.00915 0.029 0.0192 0.0171 kg Water, well, in ground[resource_in water] -4.06E+01 -26.7 -24.1 -57.7 -3.74E+01 -33.5 m3 Arsenic, ion[water_ground-] 0.0064 0.0045 0.00413 0.013 0.00862 0.00779 kg Sulfur dioxide[air_unspecified] 5.57E-01 0.352 0.304 0.601 3.79E-01 0.328 kg Ammonia[air_unspecified] 0.15 0.103 0.0898 0.26 0.172 0.151 kg Arsenic[air_low population density] 6.02E-04 0.000406 0.00027 0.00099 6.49E-04 0.000485 kg Arsenic[air_low population density, long-term] 7.02E-04 0.000494 0.000453 0.00142 9.44E-04 0.000853 kg Carbon dioxide, fossil[air_unspecified] 4.71E+02 300 253 534 3.40E+02 288 kg Ethane, 1,2-dichloro-1,1,2,2-tetrafluoro-, CFC-114[air_low population density] 0.000115 8.11E-05 7.44E-05 0.000233 0.000155 0.00014 kg Mercury[air_unspecified] 0.000982 0.000615 0.000544 0.00101 0.000631 0.000558 kg Methane, bromochlorodifluoro-, Halon 1211[air_low population density] 5.10E-05 3.58E-05 3.28E-05 0.000102 6.80E-05 6.13E-05 kg Methane, bromotrifluoro-, Halon 1301[air_low population density] 4.34E-05 2.82E-05 2.45E-05 5.76E-05 3.71E-05 3.24E-05 kg Methane, chlorodifluoro-, HCFC-22[air_low population density] 0.00025 0.000176 0.000161 0.000505 0.000335 0.000302 kg Nitrogen oxides[air_unspecified] 2.20E+00 1.46 1.21 3.13 2.05E+00 1.72 kg

156

Titanium[air_low population density, long-term] 0.00864 0.00608 0.00558 0.0175 0.0116 0.0105 kg Water, lake[resource_in water] -11.9 -7.46 -6.63 -12.1 -7.55 -6.71 m3 Arsenic, ion[water_ground-, long-term] 3.93E-02 0.0274 0.0243 0.077 5.10E-02 0.0452 kg Arsenic, ion[water_unspecified] 4.43E-03 0.00277 0.00246 0.00443 2.77E-03 0.00246 kg Barium[water_ground-, long-term] 0.406 0.285 0.261 0.815 0.541 0.488 kg Beryllium[water_ground-, long-term] 0.0144 0.0101 0.00912 0.0286 0.019 0.017 kg Bromine[water_river] 0.036 0.0237 0.0203 0.0562 0.0363 0.0315 kg Cobalt[water_ground-, long-term] 0.208 0.146 0.131 0.413 0.274 0.245 kg Manganese[water_ground-, long-term] 7.85 5.5 4.98 15.6 10.4 9.3 kg Mercury[water_ground-, long-term] 0.00279 0.00196 0.00179 0.0056 0.00372 0.00335 kg Molybdenum[water_ground-, long-term] 0.0425 0.0298 0.0267 0.0842 0.0558 0.0499 kg Nickel, ion[water_ground-, long-term] 0.933 0.653 0.593 1.84 1.22 1.1 kg Nickel, ion[water_unspecified] 0.118 0.0735 0.0653 0.118 0.0735 0.0653 kg Selenium[water_ground-, long-term] 0.0312 0.0218 0.0196 0.0617 0.0409 0.0366 kg Vanadium, ion[water_ground-, long-term] 1.05E-01 0.071 0.064 0.178 1.17E-01 0.105 kg Zinc, ion[water_ground-, long-term] 1.03E+00 0.718 0.627 1.99 1.32E+00 1.16 kg Zinc, ion[water_ground-, long-term] 1.03E+00 0.718 0.627 1.99 1.32E+00 1.16 kg Chlorine[water_unspecified] 1.56 0.975 0.866 1.56 0.975 0.866 kg

157

Appendix 3 – Life Cycle Inventory 1 tonne Secondary Copper Cathode Production – Scrap in Primary Smelter

Elementary Flow 17 18 19 20 Unit Transformation, from unknown[resource_land] -756 -998 -756 -998 m2 Carbon dioxide, fossil[air_low population density] 7.32E+03 1.08E+04 7.00E+03 1.05E+04 kg Nitrogen oxides[air_high population density] 4.69 2.5 4.82 2.62 kg Water, river[resource_in water] -106 -75.5 -107 -77.2 m3 Carbon dioxide, fossil[air_high population density] 3.07E+03 1.69E+03 3.15E+03 1.76E+03 kg Sulfur dioxide[air_high population density] 4.93 2.55 5.05 2.67 kg Nitrogen oxides[air_low population density] 18.1 12.9 16.9 11.7 kg Sulfur dioxide[air_low population density] 116 103 117 104 kg Methane, fossil[air_low population density] 18.4 11 18.8 11.4 kg Cadmium[air_low population density] 0.00213 0.00211 0.00228 0.00226 kg Copper[air_low population density] 0.474 0.474 0.477 0.477 kg Zinc[air_low population density] 0.116 0.116 0.124 0.123 kg Lead[air_low population density] 0.224 0.224 0.227 0.227 kg Water, well, in ground[resource_in water] -49.5 -42.4 -49.9 -42.8 m3 Arsenic[air_low population density] 0.0943 0.0941 0.0943 0.0941 kg Carbon dioxide, fossil[air_unspecified] 2.16E+02 190 218 192 kg Ethane, 1,2-dichloro-1,1,2,2-tetrafluoro-, CFC-114[air_low population density] 1.00E-04 5.16E-05 0.000103 5.43E-05 kg Mercury[air_unspecified] 4.15E-04 0.000405 0.000416 0.000405 kg Methane, bromochlorodifluoro-, Halon 1211[air_low population density] 5.28E-05 3.16E-05 5.40E-05 3.28E-05 kg Methane, bromotrifluoro-, Halon 1301[air_low population density] 2.32E-05 1.74E-05 2.35E-05 1.76E-05 kg Methane, chlorodifluoro-, HCFC-22[air_low population density] 2.47E-04 0.000142 0.000253 0.000148 kg Nitrogen oxides[air_unspecified] 1.28E+00 0.898 1.31 0.922 kg Water, lake[resource_in water] -1.75E+01 -17.5 -17.5 -17.5 m3 Arsenic, ion[water_ground-, long-term] 3.25E-02 0.0169 0.0333 0.0178 kg Barium[water_ground-, long-term] 3.50E-01 0.181 0.36 0.191 kg

158

Beryllium[water_ground-, long-term] 1.22E-02 0.00634 0.0125 0.00667 kg Bromine[water_river] 0.0226 0.0143 0.0229 0.0145 kg Cobalt[water_ground-, long-term] 0.176 0.091 0.18 0.0958 kg Manganese[water_ground-, long-term] 6.66E+00 3.46 6.84 3.64 kg Nickel, ion[water_ground-, long-term] 7.88E-01 0.413 0.809 0.434 kg Nickel, ion[water_unspecified] 5.03E-02 0.0503 0.0503 0.0503 kg Selenium[water_ground-, long-term] 0.0262 0.0136 0.0269 0.0143 kg Vanadium, ion[water_ground-, long-term] 7.55E-02 0.0453 0.0771 0.047 kg Zinc, ion[water_ground-, long-term] 8.31E-01 0.436 0.854 0.458 kg Zinc, ion[water_unspecified] 1.51E-01 0.151 0.151 0.151 kg Chlorine[water_unspecified] 0.643 0.643 0.643 0.643 kg

159

Appendix 4 – Life Cycle Inventory 1 tonne Secondary Copper Cathode Production – Scrap in Primary Converter

Elementary Flow 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 Unit

------

Transformation, from 873 873 873 873 873 873 873 873 662 662 662 662 662 662 662 662 m2 unknown[resource_land]

Carbon dioxide, fossil[air_low 9.72E+03 9.69E+03 9.91E+03 9.71E+03 9.24E+03 9.21E+03 9.43E+03 9.23E+03 6.65E+03 6.62E+03 6.83E+03 6.64E+03 6.17E+03 6.14E+03 6.35E+03 6.16E+03 kg population density]

Nitrogen oxides[air_high population 2.11 2.12 2.15 2.29 2.28 2.33 4.03 4.05 4.02 4.07 4.21 4.23 4.25 kg density] 2.1 2.3 4.2

Arsenic, ion[water_river] kg

0.00205 0.00206 0.00203 0.00207 0.00218 0.00216 0.00345 0.00346 0.00343 0.00347 0.00358 0.00356

0.0022 0.0022 0.0036 0.0036

Water, river[resource_in water] m3

------

65.1 65.4 64.7 65.5 67.6 67.9 67.3 91.5 91.8 91.1 91.9 94.3 93.7 94.4

- -

68 94

Carbon dioxide, fossil[air_high 1.45E+03 1.46E+03 1.44E+03 1.47E+03 1.57E+03 1.58E+03 1.56E+03 1.59E+03 2.66E+03 2.67E+03 2.65E+03 2.68E+03 2.78E+03 2.79E+03 2.76E+03 2.80E+03 kg population density]

Sulfur dioxide[air_high population 2.16 2.19 2.14 2.19 2.35 2.37 2.32 2.37 4.24 4.27 4.22 4.27 4.43 4.45 4.41 4.46 kg density]

Nitrogen oxides[air_low population kg density] 11.4 11.1 12.2 11.9 9.64 9.34 10.5 10.1 15.7 16.8 16.4 14.2 13.9 14.7

16 15

Sulfur dioxide[air_low population 38.6 239 120 74.4 39.6 240 121 75.5 50.3 250 132 86.1 51.3 251 133 87.2 kg

density]

Methane, fossil[air_low population 8.97 8.86 9.19 9.38 9.61 9.51 9.84 15.4 15.3 15.7 15.8 16.1 16.3 16.5 kg density] 10 16

160

Benzene[air_low population density] 0.0161 0.0163 0.0159 0.0163 0.0176 0.0178 0.0174 0.0178 0.0315 0.0317 0.0313 0.0317 0.0332 0.0328 0.0332 kg

0.033

0.000208 0.000155 0.000441 0.000257 0.000389 0.000226 0.000174 0.000275 0.000408 Cadmium[air_low population density] 2.29E 4.16E kg

0.00148 0.00171 0.00046 0.00173

0.0015

- -

05 05

Copper[air_low population density] kg

0.0476 0.0426 0.0546 0.0523 0.0472 0.0593 0.0479 0.0428 0.0549 0.0525 0.0474 0.0595

0.345 0.341 0.345

0.34

Zinc[air_low population density] kg

0.0219 0.0189 0.0298 0.0847 0.0335 0.0306 0.0415 0.0964 0.0225 0.0196 0.0305 0.0854 0.0342 0.0312 0.0421 0.0971

Lead[air_low population density] kg

0.000335 0.000613

0.00459 0.00926 0.00487 0.00768 0.00954 0.00528

0.0074 0.0121 0.0123

0.157 0.005 0.161 0.157 0.162

Vanadium[air_high population kg

density] 0.00535 0.00541 0.00528 0.00541 0.00584 0.00576

0.0059 0.0059 0.0105 0.0106 0.0104 0.0106 0.0111 0.0109 0.0111

0.011

Water, well, in ground[resource_in m3

------

36.8 36.9 36.8 37.4 37.5 37.4 37.5 42.9 43.1 43.6 43.6 43.5 43.7

water] - - -

37 43 43

Arsenic, ion[water_ground-] kg

0.00241 0.00244 0.00238 0.00244 0.00264 0.00267 0.00261 0.00267 0.00479 0.00482 0.00475 0.00482 0.00502 0.00504 0.00498 0.00505

Arsenic[air_low population density] kg

0.000905 0.000157 0.000918 0.000533 0.000296 0.000659 0.000673

0.00052 0.00017 0.00104 0.00106 0.00031

0.0659 0.0659 0.0661 0.0661

161

Arsenic[air_low population density, 0.000265 0.000268 0.000262 0.000269 0.000293 0.000287 0.000294 0.000525 0.000528 0.000522 0.000529 0.000553 0.000547 0.000554 kg

0.00029 0.00055 long-term]

Carbon dioxide, kg

fossil[air_unspecified] 165 165 165 166 168 168 168 168 188 188 188 189 190 190 191 191

Ethane, 1,2-dichloro-1,1,2,2- kg tetrafluoro-, CFC-114[air_low 4.36E 4.41E 4.31E 4.42E 4.77E 4.82E 4.72E 4.83E 8.63E 8.67E 8.57E 8.68E 9.04E 9.08E 8.98E 9.09E population density]

------

05 05 05 05 05 05 05 05 05 05 05 05 05 05 05 05

Mercury[air_low population density] 0.000145 0.000124 0.000645 0.000169 0.000158 0.000137 0.000658 0.000182 0.000262 0.000241 0.000762 0.000287 0.000275 0.000254 0.000775 0.000299 kg

Mercury[air_unspecified] kg

0.000354 0.000354 0.000354 0.000354 0.000355 0.000355 0.000355 0.000355 0.000363 0.000363 0.000363 0.000363 0.000364 0.000364 0.000364 0.000364

Methane, bromochlorodifluoro-, 2.52E 2.45E 2.66E 2.72E 2.70E 2.63E 2.84E 2.89E 4.37E 4.31E 4.51E 4.57E 4.55E 4.49E 4.69E 4.75E kg Halon 1211[air_low population

------

density] 05 05 05 05 05 05 05 05 05 05 05 05 05 05 05 05

Methane, bromotrifluoro-, Halon 1.51E 1.52E 1.50E 1.51E 1.54E 1.56E 1.54E 1.55E 2.02E 2.03E 2.02E 2.02E 2.06E 2.07E 2.05E 2.06E kg 1301[air_low population density]

------

05 05 05 05 05 05 05 05 05 05 05 05 05 05 05 05

Methane, chlorodifluoro-, HCFC- 0.000115 0.000113 0.000119 0.000122 0.000124 0.000122 0.000128 0.000131 0.000206 0.000205 0.000211 0.000214 0.000215 0.000213 0.000222 kg

0.00022 22[air_low population density]

Nitrogen oxides[air_unspecified] kg

0.769 0.769 0.769 0.778 0.805 0.805 0.805 0.815

1.11 1.14 1.14 1.14 1.15

1.1 1.1 1.1

Titanium[air_low population density, kg

0.00327 0.00331 0.00323 0.00331 0.00358 0.00361 0.00353 0.00362 0.00647 0.00643 0.00651 0.00678 0.00681 0.00673 0.00682 long-term] 0.0065

162

Water, lake[resource_in water] m3

------

15.2 15.2 15.2 15.3 15.2 15.2 15.2 15.3 15.3 15.3 15.3 15.3 15.3 15.3 15.3 15.3

Arsenic, ion[water_ground-, long- 0.0143 0.0144 0.0141 0.0145 0.0156 0.0157 0.0154 0.0158 0.0279 0.0277 0.0281 0.0292 0.0293 0.0294 kg

0.028 0.029 term]

Arsenic, ion[water_unspecified] kg

0.00191 0.00227 0.00191 0.00227 0.00191 0.00227 0.00191 0.00227

0.0016 0.0016 0.0016 0.0016 0.0016 0.0016 0.0016 0.0016

Barium[water_ground-, long-term] kg

0.153 0.154 0.151 0.155 0.167 0.169 0.165 0.169 0.301 0.302 0.299 0.303 0.315 0.316 0.313 0.317

Beryllium[water_ground-, long-term] kg

0.00535 0.00529 0.00543 0.00584 0.00589 0.00578 0.00592

0.0054 0.0105 0.0105 0.0104 0.0106 0.0109 0.0111

0.011 0.011

Bromine[water_river] kg

0.0123 0.0124 0.0123 0.0124 0.0127 0.0129 0.0127 0.0128 0.0196 0.0197 0.0195 0.0197 0.0202 0.0201

0.02 0.02

Cobalt[water_ground-, long-term] kg

0.0769 0.0776 0.0847 0.0831 0.0851

0.076 0.078 0.084 0.151 0.152 0.152 0.158 0.159 0.157 0.159

0.15

Manganese[water_ground-, long- kg term] 2.92 2.95 2.89 2.96 3.19 3.22 3.16 3.23 5.73 5.75 5.69 5.77 6.02 5.96 6.04

6

Mercury[water_ground-, long-term] kg

0.00105 0.00106 0.00104 0.00107 0.00115 0.00116 0.00114 0.00116 0.00207 0.00208 0.00205 0.00208 0.00216 0.00217 0.00215 0.00218

Molybdenum[water_ground-, long- 0.0157 0.0158 0.0155 0.0159 0.0171 0.0173 0.0174 0.0307 0.0309 0.0305 0.0322 0.0323 0.0324 kg term] 0.017 0.031 0.032

Nickel, ion[water_ground-, long- kg

0.349 0.352 0.345 0.354 0.384 0.376 0.385 0.677 0.673 0.682 0.708 0.712 0.704 0.713 term] 0.38 0.68

163

Nickel, ion[water_unspecified] 0.0448 0.0424 0.0424 0.0437 0.0448 0.0424 0.0424 0.0437 0.0449 0.0424 0.0424 0.0437 0.0449 0.0424 0.0424 0.0437 kg

Selenium[water_ground-, long-term] 0.0115 0.0116 0.0113 0.0116 0.0125 0.0126 0.0124 0.0127 0.0225 0.0226 0.0224 0.0227 0.0236 0.0237 0.0234 0.0237 kg

Vanadium, ion[water_ground-, long- 0.0387 0.0384 0.0391 0.0412 0.0415 0.0409 0.0416 0.0651 0.0653 0.0647 0.0654 0.0676 0.0679 0.0673 kg

0.039 0.068 term]

Zinc, ion[water_ground-, long-term] kg

0.368 0.371 0.364 0.374 0.401 0.405 0.398 0.407 0.714 0.717 0.719 0.747 0.751 0.744 0.753

0.71

Zinc, ion[water_unspecified] kg

0.109 0.106 0.106 0.127 0.109 0.106 0.106 0.127 0.109 0.106 0.106 0.127 0.109 0.106 0.106 0.127

Chlorine[water_unspecified] kg

0.563 0.563 0.563 0.563 0.563 0.563 0.563 0.563 0.563 0.563 0.563 0.563 0.563 0.563 0.563 0.563

164

Appendix 5 – Life Cycle Inventory 1 tonne Secondary Copper Cathode Production – Scrap in Secondary Smelter

Elementary flow 37 38 Unit Transformation, from unknown[resource_land] -0.0145 -0.0356 m2 Carbon dioxide, fossil[air_low population density] 972 514 kg Water, river[resource_in water] -1.31 -3.73 m3 Carbon dioxide, fossil[air_high population density] 56.8 166 kg Nitrogen oxides[air_low population density] 2.83 1.13 kg Sulfur dioxide[air_low population density] 44.6 45.6 kg Methane, fossil[air_low population density] 0.315 0.93 kg Cadmium[air_low population density] 5.52E-05 0.000278 kg Zinc[air_low population density] 0.0045 0.0156 kg Lead[air_low population density] 0.00296 0.00741 kg Transformation, from forest, extensive[resource_land] -0.0171 -0.0506 m2 Zinc[air_high population density] 3.32E-05 7.18E-05 kg Water, well, in ground[resource_in water] -0.351 -0.916 m3 Transformation, to unknown[resource_land] -0.00032 -0.00094 m2 Arsenic, ion[water_ground-] 0.000111 0.000329 kg Transformation, to forest[resource_land] -0.0011 -0.00164 m2 Arsenic[air_low population density] 0.000179 0.000192 kg Ethane, 1,2-dichloro-1,1,2,2-tetrafluoro-, CFC-114[air_low population density] 1.99E-06 5.91E-06 kg Mercury[air_low population density] 0.00022 0.000232 kg Methane, bromochlorodifluoro-, Halon 1211[air_low population density] 8.64E-07 2.56E-06 kg Methane, bromotrifluoro-, Halon 1301[air_low population density] 2.01E-07 5.54E-07 kg Methane, chlorodifluoro-, HCFC-22[air_low population density] 4.27E-06 1.27E-05 kg Titanium[air_low population density, long-term] 0.00015 0.000443 kg

165

Transformation, from sea and ocean[resource_land] -0.00541 -0.0158 m2 Transformation, to forest, intensive, normal[resource_land] -0.0169 -0.05 m2 Water, lake[resource_in water] -0.0342 -0.039 m3 Arsenic, ion[water_ground-, long-term] 0.000635 0.00188 kg Barium[water_ground-, long-term] 0.00689 0.0204 kg Beryllium[water_ground-, long-term] 0.00024 0.000711 kg Cadmium, ion[water_unspecified] 0.0146 0.0146 kg Cobalt[water_ground-, long-term] 0.00345 0.0102 kg Manganese[water_ground-, long-term] 0.131 0.388 kg Mercury[water_ground-, long-term] 4.73E-05 0.00014 kg Methyl formate[water_river] 1.17E-12 3.43E-12 kg Nickel, ion[water_ground-, long-term] 0.0153 0.0454 kg Selenium[water_ground-, long-term] 0.000515 0.00153 kg Zinc, ion[water_ground-, long-term] 0.0162 0.0479 kg

166