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As revised, DIN ISO14040:2009–11 [125] defines the concept of life-cycle assessment as follows:
“Life-cycle assessment (LCA) is a technique for assessing the potential environmental impacts
of a product system during part of all of its lifetime by compiling and evaluating an inventory
of relevant energy and material inputs and environmental releases (materials and energy flows
entering and exiting a process).” [126]
Life-cycle analysis uses different investigative frameworks depending on the application and
market sector or target group.
The various categories of life-cycle assessment are (Fig. 7.1):
1. Operation assessment
a) “gate-to-gate”: environmental impacts of a product/material due to processing and/
or production within the operation (Fig. 7.1: gray frame). In this assessment category,
the environmental profile of a product or process is often mentioned.
b) “cradle-to-gate”: environmental impacts of a product/material from planting and/or sup-
plying it for processing and production to the point of shipment (Fig. 7.1: blue frame).
2. Life-cycle or Product Analysis
c) “cradle-to-user”: considers the environmental impacts of a product/material from
planting and/or supply to processing, production, transport and distribution to the
ultimate buyer/store shelf (Fig. 7.1: brown frame)
V Failure
Design K
(building, machine, part,
packaging, product) G
Utilization
If costs are also included in the scope of assessment, we speak of efficiency LCA. All three
pillars of sustainability (ecology, costs, and social aspects) considered together are referred to
as SEEBALANCE® (SocioEcoEfficiency).
In principle, the greater the scale of assessment is, the greater is the effort and expense of
assessment. However, informational value increases with the scope of the test.
There are four fundamental phases in any life-cycle assessment:
The first three phases are required, whereas the last phase is an optional element.
I.
Definition of
goal and test Applications:
scale
Research and
development
Product
II. improvement
Life cycle IV.
inventory Analysis Strategic
analysis (LCI) planning
Economical
decisions
Political decision
III.
Impact Marketing
evaluation
The precise goal of LCA is determined in this phase. The LCA goal can be formulated in
various ways, depending on the client or target group. This first step toward life-cycle assess-
ment, i. e., determining its goal and scope of testing, should also take into consideration any
applications that may be expected. The following aspects play a role in this:
• To whom will the results be made available?
• What should be the scope of the test?
• What are the reasons for doing LCA?
• What is the object of study?
Subsequently, the system limits and level of detail are defined. This means determining just
what is to be considered. For example, at a particular processing step for a component, should
only the materials and energy flows be considered for the actual processing sequence? Or
should the materials and energy flows be investigated that are relevant to manufacturing the
machine and/or the materials flows of the entire plant/factory? The data obtained are then
calculated down to the functional unit.
By materials stream, we mean the materials, operating materials, imissions and emissions
that go into the process and/or or come from it. By-products or the particular process and/or
process step also have to be taken into consideration.
A further important element is the formulation of the concrete object of assessment or the
system function and base of reference, i. e., in processes, the function considered, and in
parts, the functional unit. By functional unit we mean that LCA is relevant to a particular
Module
Operating input
(e.g., fermentation)
Intermediate product
Energy input
Waste for treatment
Water emissions
Soil emissions
Air emissions
• Eutrophication
• Eco-toxicity
• Human toxicity
quantity, namely to the usefulness provided by the product system tested. Then all input and
output flows over the entire life-cycle are calculated down to this predefined functional unit.
In the first step of analysis, called assumptions and limitations, estimated or guideline values
are entered manually in the corresponding data sheets for, e. g., missing data that could not
be detected.
Finally, the categories of effects and impacts to be considered (cf. Fig. 7.4) are also defined.
This means the determination of what particular environmental effects will be investigated
and/or considered in greater detail. Later the previously gathered data are assigned to these
categories of effect and impact.
In the second phase, the process chains of the product system under analysis are modeled by
breaking them down into individual working steps, called modules in experts’ jargon. Then
the input and output data specific to the process are collected along with the module energy
flows in the system under analysis. Using a fermentation process as a typical example, Figure
7.3, “Module description diagram” describes the input flows entering the process as substance
flows. At this point, the input materials are the raw materials and/or base materials from a
previous process as well as operating materials such as water, coolant or acids, and energy.
A life-cycle analysis also includes the upstream environmental effects and impacts from the
manufacture of all input streams, not just the environmental effects from the actual process.
In the diagram, the materials flows of recyclable products are represented in grey. Besides
the desired intermediate or final product, by-products are also incurred in several processes.
In this way, the toxic emissions to be assessed for the intermediate product resulting from
7.1 Methods of Life-Cycle Assessment (LCA) 249
the process are lowered in the particular module and/or its usefulness increased. The flows
represented in red are all outputs that contribute to any environmental effects. For multi-
functional processes with more than one product or different by-products a method must
be chosen to share and allocate the impacts. The most commonly used methods are system
expansion and allocation. System expansion means to calculate the impact of a by-product by
expanding the system analyzed to include also the production of the by-product by alternative
routes. Allocation means portioning the overall environmental impact between the desired
main product and the co-product(s) either according to their mass or price ratio.
The suppliers of software programs for life-cycle analysis usually have comprehensive
databanks for the individual modules or processes, e. g., for conventional plastics. If the
corresponding data sets are not stored, then preparing the life-cycle inventory is the most
time-consuming part of the job. In case of a very limited availability of process data for
novel biopolymers, the impact data could be estimated with a so called generic approach.
The first step of the generic approach is the preparation of process flow diagrams represent-
ing the biopolymer production routes. These diagrams contain standard modules such as
fermentation, ultrafiltration, extraction, evaporation, or drying. For each of these processing
units all inputs and outputs are assessed [127]. In conclusion, the individual data are put in
relationship to the corresponding module and ultimately to the functional unit (e. g., 1 kg
biopolymer).
The first step in impact evaluation is classifying the inventory data according to their par-
ticular categories of effect and impact. Environmental effects are distinguished according to
their spatial impact, i. e., as global, regional, and local environmental impacts (Fig. 7.4). As
the dimensions grow smaller, the psychological strain and readiness to act will grow because
regional and local environmental impacts tend to exhibit their negative effects where they are
caused, and because local effects are felt immediately. Conversely, the psychological pressure
resulting from global environmental impairments is too small to initiate concrete measures
on a national political level. This can be seen, e. g., in the tedious discussions surrounding the
signing of the Kyoto Protocol by all nations, or the implementation of the measures agreed
upon for reducing greenhouse gas emissions by binding negotiated agreements. Another
example is the particulate filters introduced in the European automobile industry. This
measure reduces local, i. e., inner city, emissions of unburned carbon particles; but on the
other hand, particulate filters and/or the recombustion of carbon particles lead to increased
fuel consumption and the release of additional globally impacting carbon dioxide. Figure 7.4
provides an outline of the most important categories of effect and impact.
The following effect categories are the ones mainly considered within the framework of life-
cycle assessments in general and for biopolymers in particular:
• Acidification Potential → AP
Acidification describes a drop in the pH value of precipitation, caused by, e. g., SO2 and NOx
from exhaust gases in the air being dissolved in rain. The effects include damage to limestone
buildings and forest dieback due to damage to tree roots in the soil. The reference substance
250 7 Life-Cycle Assessment for Biopolymers
for acidification is sulfur dioxide (SO2), which is why the reference unit is the equivalent in
kilograms of SO2.
• Eutrophication Potential → EP
Eutrophication means the input of nutrients in bodies of water by phosphoric and nitrogen
compounds from agricultural fertilizing as well as from combustion processes and from waste
water. The impacts include the regression of plants and microorganisms that require a low
level of nutrition as well as strong algal bloom in bodies of water. As the algae subsequently
die, the oxygen dissolved in the water becomes exhausted, so that all living beings that depend
on it are the next to die. The reference substance for eutrophication is phosphate (PO4), which
is why the reference unit for eutrophication is the equivalent in kilograms of PO4.
Table 7.1 Effect-Oriented Assessment of Typical Emissions for Various Reference Substances
PO4- 1
P 3.06
NO3 0.13
NH4 0.33
N 0.42
C2H4 Ozone formation
C2H4 1
NO3 0.832
R11 Ozone degradation
R11 1
Halon-1201 1.4
Tetrachloromethane 1.2
Methyl bromide 0.64
CO2 Greenhouse-gas potential
CO2 1
CH4 21 – 25
N2O 296 – 310
FCKW 11 CFCl3 3,800
FKW Up to 14,800
SF6 22,200 – 22,800
SO2 Acidification
SO2 1
NH3 1.88
NOx 0.7
HCl 0.88
HF 1.6
252 7 Life-Cycle Assessment for Biopolymers
substances of the category are converted). Taking nitric oxide as the example, it can also be
seen that, in the various effect categories, they have different potentials vis-à-vis the particular
reference substance representative of that category. In Table 7.1, the reference substances of
the individual effect category are given the value 1. However, the individual effect potential
is not to be equated with the actual share in global change, because the emitted amounts of
the various gases differ strongly. Thus the impact category “global warming” has the refer-
ence substance CO2, i. e., the global warming from an emission is calculated in equivalent
kilograms of CO2 that cause the same global warming effect as the emission under study.
For this, other greenhouse gases are also recalculated to their equivalent in CO2. That means
that, e. g., one kg N2O goes into the equation as approx. 300 equivalent kilograms of CO2.
Also significant here is the dwell time of a substance in the atmosphere. The known impact
of a substance is assumed for this time. For example, sulfur fluoride has a dwell time of 3,600
years [125, 128]. Its impact potential is also correspondingly high.
Further effect and impact categories include, e. g., resource consumption (the sum of exhaust-
ible primary energy carriers and mineral resources), land use or water consumption, or human
and eco-toxicity.
Upon concluding effect and impact estimation, normalization can be performed as an option.
Normalization means calculating the share in the overall effect. This shows the ratio of the
corresponding emission to the emission of the substance caused per inhabitant in one year in,
e. g., Europe. The results are usually presented in relation to the reference substance. In this
way, a diagram can be created to show whether and how great the environmental effects and
impacts of the material/product/process to be tested lie above or below those of the reference
material.
The results of the life-cycle inventory and the estimation of effect and impact are interpreted
according to the goal and scope of testing in the analysis.
Analysis is defined according to DIN EN ISO 14044 [125] as follows:
“Life cycle interpretation is the final phase of the LCA procedure, in which the results of an
LCI or an LCIA, or both, are summarized and discussed as a basis for conclusions, recom-
mendations and decision-making in accordance with the goal and scope definition.”
Some important elements of analysis are:
• Identifying significant parameters based on inventory data and effect/impact estimation
• Calculating the ratio of effect indicators to one or more reference values (normalization)
• Data quality analysis
• Drawing conclusions from the data and results collected
• Making recommendations based on the conclusions
This information can be applied in many ways. Often, a distinction is made between internal
and external use. Internal use means that life-cycle assessments can serve to aid in making
decisions regarding economic and strategic issues. Moreover, process and product optimiza-
tion on the basis of life-cycle assessments play a large role in an economic and especially in
7.2 Data for the Life-Cycle Assessment of Biopolymers 253
an environmental sense. For instance, the significance of individual life-cycle phases can be
better evaluated with the aid of life-cycle assessments. By external use, we mean that positive
marketing effects based on life-cycle assessments can be achieved thanks to the sustainability
of a product. The consumer is informed about the environmental compatibility of a product
and the efforts of its manufacturer. This gives the operation and its products a high ranking.
External effect also means a direct contribution to environmental protection. Life-cycle assess-
ment reports can also contribute directly to environmental protection as well as to political
decision making. Such decisions can also make their way into new legislation. Simultaneously,
a sustained awareness can also be advanced externally, i. e., publicly, and the public sensitized
for certain environmental issues. The first three steps in life-cycle assessment are performed
in sequence and are required components of any life-cycle assessment. Based on the results of
these three steps, the fourth step of evaluating, ordering and weighting, is usually performed
by calculating the ratios of impact indicators to one or more reference values (e. g., standard-
ization as a relationship of the environmental burden per EU citizen).
Life-cycle assessments are usually prepared using special software (e. g. in Germany: Gabi
from PE International or Umberto from IFEU Institut Heidelberg).
such as global warming potential or energetic resource consumption. At the same time, the
available data often exhibit a very wide range of variation, as in the case of PHAs.
In the following, the minimum and maximum values are presented for the impact categories
greenhouse gas emissions, energy input (non renewable energy use), eutrophication, and
acidification potential, water and land use per kg of each biopolymer material compared to
various conventional plastics (Fig. 7.5a-f). Data from the Association of Plastics Manufac-
turers in Europe (APME, now PlasticsEurope) serve as the reference values for conventional
plastics [129].
The values for biopolymers are based on various sources [17, 74, 83, 100, 127, 130–133] and as
well as our own research/evaluations [134, 135].
When the different effect categories are compared for biopolymers and conventional plastics
in an LCA, the biopolymers exhibit slight environmental advantages in most categories.
Only with regard to land use, which is not relevant for conventional petro-based polymers,
biopolymers show clearly higher ecological impact. The biopolymers tend to emit somewhat
fewer greenhouse relevant gases and have lower energy inputs. These advantages are due
to their environmentally positive supply of renewable resources as polymer raw materials.
However, where the processing energy for polymerization/polymer manufacture is involved,
biopolymers usually exhibit no significant advantages over conventional plastics. For example,
the fermentative manufacture of polyhydroxyalkanoate or polylactide corresponds almost
exactly to that of PET. Both types require similar processing energy for so-called downstream
processing to isolate and purify the polymer raw material or, in the case of PLA, for lactic acid
Figure 7.5a Greenhouse gas emissions for biopolymers compared with conventional plastics
7.2 Data for the Life-Cycle Assessment of Biopolymers 255
Figure 7.5b Energy input (non renewable eergy use = NBEU) for manufacturing biopolymers
compared with conventional plastics
Figure 7.5c Eutrophication potential for biopolymers compared with conventional plastics
256 7 Life-Cycle Assessment for Biopolymers
50000
40000
30000
20000
10000
Figure 7.5d Acidification potential for biopolymers compared with conventional plastics
600
500
400
300
200
100
Figure 7.5e Water use for biopolymers compared with conventional plastics
7.2 Data for the Life-Cycle Assessment of Biopolymers 257
Figure 7.5f Land use for biopolymers compared with conventional plastics
and its polymerization. With respect to global warming emissions, a considerable portion of
the total CO2 emissions arises during the course of polymer manufacture. However, for future
generations of PLA, virtually no relevant emissions will result, thanks to the manufacturers’
efforts to utilize wind power or biomass from PLA manufacture as regenerative CO2-neutral
energy sources for electric power. Crediting CO2 certificates is causing the wide range of
variation among individual values for PLA. It is also controversial, because these certificates
are not biopolymer-specific, i. e., they could just as well be positively credited to the manu-
facture of conventional polymers.
In the area of the other impact categories mentioned above, PLA has the most available data.
Figure 7.6 compares the results for over-fertilization (eutrophication EP) potential, ozone for-
mation (photochemical ozone creation POPC) potential, global warming emissions (GWP),
and acidification potential (AP) from the following three different sources:
• Data for PLA manufacture by NatureWorks with energy from wind power
(NatureWorks 06)
• Data for PLA manufacture according to [136] with energy from wind power
(PE International Windkraft)
• Data for PLA manufacture according to [136] with conventional energy (PE International)
The emissions were standardized to the emissions per EU citizen. In a worst-case scenario,
that means that somewhat less than the 0.00035 of the global-warming relevant emissions
or somewhat more than the 0.00025 of the acidification relevant emissions from to the
258 7 Life-Cycle Assessment for Biopolymers
2.0
1.99 kg CO2-
Equivalents
1.5
1.0
0.0
EP POCP GWP AP
Figure 7.6 Environmental impact caused by three different methods of PLA manufacture and PP
manufacture, standardized environmental impact per EU citizen [17, 134] (courtesy of
Volkswagen AG)
manufacture of one kg PLA are released per EU citizen. For comparison, the standardized
environmental impact of PP manufacture is entered as well (data according to [136]).
It is apparent that, according to NatureWorks data [17, 131], the environmental impact in Ger-
many in all impact categories lie clearly beneath those of both scenarios compiled from the
data according to [136]. This difference becomes quite striking in the category global warming
potential (GWP). According to NatureWorks, the equivalent of only 0.29 kg CO2 is released.
When PLA is manufactured with wind power, i. e., with CO2-neutral power generation, the
equivalent of 2.77 kg CO2 is released, or quite clearly more CO2. Correspondingly, the largest
amount of global warming relevant emissions, i. e., the equivalent of 4.28 kg CO2, is released
by manufacturing with conventional energy largely generated from fossil fuels. Besides the
power requirement, the supply of thermal energy also leads to relevant emissions.
These results should be considered as general statements regarding life-cycle assessments of
biopolymers from the preparation of raw materials to the manufacture of materials (“cradle-
to-gate”, cf. Fig. 7.1: blue frame). For reliable statements, however, not only the phase of material
manufacture should be considered, but also the amount of additives used and the subsequent
processing (Fig. 7.7) and the use phase in concrete applications, including component disposal
(“cradle-to-grave” cf. Fig. 7.1: black frame). But then, even for a specific application, a conven-
tional material should not simply be substituted by a biopolymer. Unfortunately, this is often
done when biopolymers are treated as alternative materials for the same part, i. e., when they
are injected into the same mold as conventional plastics. Because most biopolymers have a
higher density, this results in environmental disadvantages, despite their positive and varied
disposal options, due to the extra weight in the use phase. This is shown by the following
7.2 Data for the Life-Cycle Assessment of Biopolymers 259
Figure 7.7 G
reenhouse gas emissions for biopolymers compared to conventional plastics, different
polymer additives, and subsequent processing technologies
AP
2,50E-03 GWP
POCP
2,00E-03
EP
1,50E-03
1,00E-03
5,00E-04
0,00E+00
Manufacturing Utilization Total
Disposal (heating oil
credit)
-5,00E-04
diagram based on an interior part of a car made from PLA [134]. Although the environmental
relevance of the different environmental impacts (which are considered equal here) are dif-
ferent, the comparison shows that the environmental impact is mainly caused by the GWP
during the use phase.
260 7 Life-Cycle Assessment for Biopolymers
Things look different, if, instead of direct 1:1 substitution, we properly select equal usefulness
of the functional unit as the reference parameter. Using PLA, for example, results in even
lighter parts with thinner walls, but the same flexural rigidity as with conventional plastics
(cf. Fig. 5.54). In this case, environmental advantages during the use phase are added to the
slight environmental advantages of biopolymers during materials generation.
Due to the effects of scaling and optimization, it can be assumed that, in the future, the envi-
ronmental advantages of biopolymers in the manufacturing phase will continue to strengthen
compared to conventional plastics.