The role of research and innovation in ensuring a safe and sustainable supply of critical raw materials in the EU

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Table of Contents

• Cover 1
• EPRS_STOA_STUD_762848_R_I_CRM_inside 3
• Critical raw materials 5
• Role of R&I and cooperation in securing CRM supply 7
• Conclusions 9
• Policy options 9
• 1. Introduction 17
• 2. Methodology and resources used 18
• 2.1. Literature review 18
• 2.2. Patent analysis 18
• 2.3. Interviews and stakeholder inputs 19
• 3. Synthesis of the research results and findings 20
• 3.1. Critical raw materials (CRM) 20
• 3.1.1. What are critical raw materials? 20
• Strategic raw materials (SRM) 22
• 3.2. Relevance of critical raw materials 24
• 3.2.1. Supply of CRMs to the EU 25
• 3.2.2. Mitigation measures 27
• 3.2.3. EU policy framework for CRMs 28
• 3.2.1. Sustainability issues of CRMs 32
• How CRMs contribute to increased sustainability 32
• Sustainability challenges of CRMs 32
• Public controversies surrounding CRMs 33
• 3.3. Role of R&I and cooperation in securing CRM supply 34
• 3.3.1. CRM supply and value chains 34
• 3.3.2. How is R&I essential for CRM supply? 37
• R&I along the CRM supply and value chain 37
• R&I in exploration 37
• R&I in mining 37
• R&I in processing 38
• R&I in manufacturing 39
• R&I in recycling 40
• Policy scenarios and cross-cutting issues 40
• Policy scenarios 40
• The JRC-study 41
• The IEA study 42
• Further and cross-cutting R&I issues 42
• 3.3.3. R&I and sustainability of CRM supply 43
• 3.3.4. Possible impact of R&I initiatives 45
• Overview of R&I CRM initiatives 45
• ERA-MIN 46
• EIT RawMaterials 46
• EU R&I framework programmes 46
• Horizon Europe review 47
• Projects on mineral exploration in Europe 47
• Projects on mining and extraction of CRM 47
• Processing and refining CRMs 48
• Manufacturing of technologies with CRMs 48
• Substitution and usage optimisation 49
• Recycling and recovery of CRMs 49
• Key insights, limitations and gaps 50
• 3.4. Positioning of the EU in R&I for a sustainable CRM supply and use 50
• 3.4.1. EU global competitiveness 50
• Overall trends 51
• Exploration 51
• Mining (extraction) 52
• Processing 52
• Mining-specific transport technologies 53
• Environmental 53
• Recycling 54
• Relative importance of mining patents in overall national patenting 55
• 3.4.2. Global cooperation 55
• 3.4.3. Strategic partnerships outside the EU 59
• Science and science diplomacy 59
• Established forums for international cooperation 59
• R&I in international raw materials policy instruments 60
• R&I in EU raw materials diplomacy 60
• Table 1 – Overview of international CRM agreements with an R&I component 61
• Figure 1 – Conceptual matrix and indicators used in the determination of Critical Raw Materials for the EU. 21
• Figure 2 – Latest criticality matrix for the EU, including critical (in the top right quadrant, blue lettering) and strategic raw materials (marked separately in turquoise). 23
• Figure 3 – Use of critical and strategic raw materials in the EU. The length of the bars corresponds to the share in use by each application (named for share ≥ 10%) and the colours match applications to broad industries (defined by 2-digit NACE codes)... 24
• Figure 4 – EU sourcing of critical and strategic raw materials at the extraction and processing stages. The length of the bars corresponds to the share in supply by each country (named for share ≥ 10% of EU sourcing) and the colours correspond to the ... 26
• Figure 5 – Current status of substitution and recycling in the EU. Column "EI" refers to the substitute cost-performance and column "SR" to substitute availability. 27
• Figure 6 – Simplified conceptual supply chain for critical raw materials. 36
• Figure 7 – Evolution of EU research and innovation initiatives. 45
• Figure 8 – Number of transnational patent applications in the field of exploration 51
• Figure 9 – Number of transnational patent applications in the field of mining (extraction) 52
• Figure 10 – Number of transnational patent applications in the field of processing 52
• Figure 11 – Number of transnational patent applications for mining-related transport technologies 53
• Figure 12 – Number of transnational patent applications in mining-related environmental technologies 53
• Figure 13 – Number of transnational patent applications in recycling 54
• Figure 14 – Number of transnational patent applications in mining (top axis) and share of these in total patents of the respective countries (bottom axis) 55
• Figure 15 – Share of transnational patent applications in exploration to processing (left) and recycling (right) for the EU and its Member States as well as selected third countries. 57
• Figure 16 – Co-patenting between the EU and its Member States and third countries (only includes global links for EU Member States, neither links among each other nor with EU-27 aggregate). 58
• 4. Conclusions 63
• 5. Policy options and their assessment 64
• Table 2 -Assessment of R&I policy options 68
• References 75
• Annex A – List of CRM relevant EU policies 81
• Annex B – Specific actions along the CRM value chain 82
• Enabling exploration 82
• Improving efficiency in extractive industries 82
• Improving capacities for value creation in processing and refining 82
• Improving efficiency and resilience in manufacturing 82
• Improving capacities for recycling and enabling circularity 83
• Internationalisation 83
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