GN04:
WEEE Evidence and
National WEEE Protocols
Guidance
Guidance on how to issue evidence of the reuse and treatment of WEEE, how
to use the national WEEE protocols for small mixed WEEE and large domestic
appliances, and how to meet the recovery and recycling targets for WEEE.
Contents
Page
1
Contents
Abbreviations
3
Summary of Rules for Issuing WEEE Evidence
4
Section 1 – WEEE Evidence Notes
5
1.
What are WEEE Evidence notes?
5
2.
How are evidence notes issued?
7
3.
When can evidence notes be issued?
7
4.
Who can evidence notes be issued to?
8
5.
How often can evidence notes be issued?
9
6.
What tonnage does evidence have to cover?
9
7.
Meeting the UK Recovery and Recycling targets
9
8.
Keeping records to support evidence notes you issue
10
Section 2 – Operators carrying out reuse activities
11
9.Testing and repair for reuse
11
Section 3 – Requirements for the treatment of WEEE
11
10. Best available techniques for recovery, recycling and treatment
(BATRRT)
11
Section 4 - Batteries in WEEE
12
11.
12
Accounting for waste batteries in WEEE
Section 5 – WEEE Protocols
13
12.
Using the National WEEE protocols
13
13.
Further applications of the SMW protocol
16
14.
Developing alternative protocols
17
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GN04 Evidence and National Protocols Guidance 2013 v3.1
Section 6 – Meeting the recovery and recycling targets
18
15.
Meeting the recovery and recycling targets
18
16.
Demonstrating you have met the targets
19
17.
Reprocessor recycling efficiencies
21
Further Information and contact details for the agencies
22
18.
22
2
Further Information and contact details for the agencies
GN04 Evidence and National Protocols Guidance 2013 v3.1
Abbreviations used in this document
AATF
ATF
AE
BIS
CAS
DCF
Defra
EEE
LA-DCF
LDA
LHA
PCS
SMW
WEEE
3
Approved Authorised Treatment Facility
Authorised Treatment Facility
Approved Exporter
Department for Business, Innovation and Skills
Civic Amenity Site
Designated Collection Facility
Department of the Environment, Food and Rural Affairs
Electrical and Electronic Equipment
Local Authority Designated Collection Facility
Large Domestic Appliances
Large Household Appliance
Producer Compliance Scheme
Small Mixed WEEE
Waste Electrical and Electronic Equipment
GN04 Evidence and National Protocols Guidance 2013 v3.1
Summary of Rules for Issuing WEEE Evidence Notes

All evidence must be generated through the Settlement Centre, and will be
formally issued when a unique reference number has been allocated to the
evidence note. The Settlement Centre is at www.weee-sc.org.uk

Evidence notes can only be issued by “approved authorised treatment facilities”
(AATFs) and “approved exporters” (AEs)

Evidence notes can be issued when obligated WEEE has been received at an
AATF. Only the first receiving AATF may issue evidence on WEEE

An AATF cannot issue treatment evidence notes for WEEE received and treated
by an ATF. AATFs cannot issue evidence notes where WEEE has previously
been treated by another AATF

An AE can only issue evidence notes when whole untreated WEEE has been
received for export for reuse overseas

Evidence notes can only be issued on separately collected household and nonhousehold UK WEEE assigned to a producer compliance scheme (PCS) – this is
known as „obligated WEEE‟

Where an unaligned Local Authority designated collection facility (DCF)
delivers WEEE to an AATF, evidence notes can be issued to that DCF

Evidence can only be issued on WEEE collected from a DCF or via regulation
32, 39, 40A and subsequently delivered to the AATF site or AE

Evidence for a compliance period can be issued up until 31 January of the
following year

Evidence must be issued in tonnes or kilograms and rounded to the nearest
kilogram. The operator can set their preference for tonnes or kilograms in the
user maintenance section of the Settlement Centre

The weight of any waste batteries contained in equipment must be deducted
from the total weight of WEEE received before issuing any WEEE evidence

When using the protocol for Small Mixed WEEE (SMW): 6.08% from the tonnage
of each delivered load will be non-WEEE and should not appear on the evidence
note. This includes 0.06% for the weight of batteries

AEs cannot issue evidence where they export WEEE materials that have been
previously treated by an AATF or where they export whole WEEE for treatment,
recovery or recycling

An AATF may issue evidence for WEEE treated for reuse at a refurbishment
ATF, but there must be a contract in place and the paperwork must be fully
auditable

AATFs cannot issue evidence on WEEE or WEEE materials subsequently
exported, unless the exporter is an Approved Exporter
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GN04 Evidence and National Protocols Guidance 2013 v3.1
This guidance supplements the information and guidance in WMP7 Application Guidance Note1 for approved authorised treatment facilities
(AATFs) and approved exporters (AEs).
SECTION 1 – EVIDENCE
1.
What are WEEE Evidence Notes?
The Waste Electrical and Electronic Equipment Regulations, 2006 (as amended) “the WEEE regulations” - put an obligation on producers of electrical and
electronic equipment, who place products onto the UK market, to ensure that a
proportion of waste EEE arising each year is reused or treated and recovered or
recycled at the end of its life. Producers have to join a Producer Compliance
Scheme (PCS) and the PCS must meet the obligations on behalf of their members
by obtaining evidence of reuse of whole appliances, and treatment of WEEE.
WEEE evidence means evidence that WEEE has been accepted for reuse or
treatment. Only AATFs can issue evidence that WEEE has been received for
reuse or for treatment. Only AEs can issue evidence that WEEE has been
exported for reuse as a whole appliance. Evidence is issued in the form of
evidence notes, which for AATFs show the amount of WEEE received and for AEs
the amount of WEEE accepted for export.
Obligated WEEE
Evidence can only be issued against separately collected UK WEEE that has been
delivered to an AATF or AE by or on behalf of


a PCS
a local authority DCF (where there is no contract with a PCS and where
permission has been sought and granted by the Department for
Business (BIS)
This is known as obligated WEEE.
WEEE that is not obligated
Any other WEEE entering AATFs or AEs, for example direct from a business enduser or WEEE mixed with other wastes (not separately collected), will not have a
producer obligation placed on it and must not have evidence issued against it.
Such WEEE is classified as non-obligated WEEE.
1
5
The WMP7 Guidance Note can be obtained from our web site
GN04 Evidence and National Protocols Guidance 2013 v3.1
Household and non-household WEEE
Evidence notes can be issued on both WEEE arising from households, known as
B2C, and WEEE from businesses and industry (non-household), known as B2B,
for reuse or treatment in the UK or for reuse (as whole appliances) abroad. There
are separate evidence notes for each type of WEEE.
B2B as B2C WEEE
Regulation 2 of The Waste Electrical and Electronic Equipment Regulations 2006
(as amended) defines WEEE from private households as:
"WEEE from private households" means WEEE which comes from private
households and from commercial, industrial, institutional and other sources which,
because of its nature and quantity, is similar to that from private households".
This means that household (B2C) evidence can be issued on non-household
(B2B) WEEE which because of its nature and quantity is similar to that from
households. However, the decision to classify B2B WEEE as B2C WEEE must
always be made at the point of collection, and must be justified. The Government
Guidance Notes on the WEEE Regulations (URN 09/1446) suggest two criteria for
differentiating EEE from users other than private households from EEE from
private households in Annex B. One of those criteria is that the EEE due to its
features is not used in private households and a list of examples of such EEE is
provided in that Annex
Examples of items EEE which could meet the “nature” criteria so that when
discarded can be properly considered “WEEE from private households” are:

Domestic refrigerators

Kettles

Gas discharge lamps

Desktop computers

Domestic microwave ovens

televisions
These items are all of a nature that they could come from private households, but
if they are disposed of by businesses then the number of them being disposed of
will determine whether they can be treated as B2C WEEE. For example, a private
household will likely only have one or two domestic refrigerators both of which
could be disposed of on one occasion but more likely individually and over a
number of years, so a business disposing of more than this number and with any
more frequency than a private household is unlikely to be able to justify that the
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GN04 Evidence and National Protocols Guidance 2013 v3.1
refrigerators should be classed as B2C WEEE. It is not acceptable for businesses
to dispose of WEEE in small lots simply to pass on their obligation into B2C
WEEE.
The list given above is not intended to be exhaustive, and the agencies will
monitor the issuing of B2C evidence on WEEE from businesses on a case by case
basis in the course of routine compliance monitoring. Where B2C evidence has
been issued we would expect to see an audit trail which justifies the classification
of B2B WEEE as B2C.
2.
How are evidence notes issued?
The Secretary of State for Business Innovation and Skills (BIS) approved the
format for the evidence note and this is automatically generated when evidence
notes are issued on the Settlement Centre. The Settlement Centre is a secure
website where AATFs and AEs can log in and enter evidence details that will
generate evidence notes. PCSs also have access to the system and can see how
much evidence they have been allocated from AATFs and AEs.
Settlement Centre link: https://www.weee-sc.org.uk/
The Settlement Centre provides two separate formats (from a drop down menu)
for household and non-household WEEE Evidence.
Household and nonhousehold evidence should be input onto the Settlement Centre separately and
not mixed on the same evidence note.
Details on the evidence note:






Unique reference number
AATF or AE operator name
Operator address
Scheme or LA-DCF name
Statement to say that WEEE has been received for treatment, recovery
and/or recycling, or reuse as a whole appliance, or exported
Tonnes or kilograms of WEEE covered by the WEEE evidence note, broken
down by category.
The evidence note will be generated when all the fields have been completed.
This includes the tonnage and category of WEEE for which the evidence note is
being issued. Evidence notes can be issued for a minimum of 1kg and there is no
maximum.
Once the AATF or AE has raised the evidence note within the Settlement Centre it
will be sent to the PCS for approval.
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GN04 Evidence and National Protocols Guidance 2013 v3.1
3.
When can evidence notes be issued?
3.1
Evidence notes for the reuse of WEEE in the UK
Evidence of the reuse of whole appliances in the UK can be issued when WEEE
whole appliances have been received by an AATF. For example when a number
of computer monitors or fridges have been received at the AATF and they will be
segregated from general WEEE and be refurbished for reuse by the AATF or at
another ATF which specialises in reuse and refurbishment, and does not treat
WEEE.
3.2
Evidence notes for the treatment of WEEE
Treatment evidence notes can only be issued by an AATF. Evidence must be
issued by the first receiving AATF. For example when small mixed WEEE (SMW)
from a DCF has been received at the AATF and will be treated at the site and the
WEEE materials will be sent to other sites for recovery or secondary treatment. An
AATF cannot issue WEEE treatment evidence notes on WEEE received and
treated at another ATF.
3.3
Export of whole appliances for Reuse
AEs can issue evidence notes for the reuse of WEEE whole appliances overseas.
Where WEEE whole appliances are exported for reuse overseas the exporter
must comply with the Council Regulation 1013/2006/EC (the Waste Shipments
Regulation) and follow the Revised Correspondent’s Guidelines No.1.
Important! It is an offence to issue more evidence than WEEE received for
treatment or accepted for export therefore operators must keep records that show
how much WEEE has been received for reuse, treatment and recovery or
recycling, and from whom. When issuing evidence of WEEE received the operator
must be satisfied that the WEEE will be treated, recovered or recycled.
4.
Who can WEEE Evidence notes be issued to?
The WEEE Regulations detail to whom WEEE evidence can be issued. This list is
repeated below, along with details of when evidence can be issued to that person:
PCS
AATFs and AEs are most likely to issue evidence to the PCS that delivered the
WEEE to the site. However, the regulations do not place any requirement on the
AATF/AE to only issue evidence to the PCS delivering the WEEE. Commercial
and contractual arrangements will dictate which evidence is issued to each PCS.
A producer under regulation: 10(8)
Evidence may be issued to an individual producer only when their PCS has its
approval withdrawn under Regulation 44 which means the producer must meet its
own obligations. We will inform AATFs and AEs if this happens and which
producers are affected.
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GN04 Evidence and National Protocols Guidance 2013 v3.1
Operator of a designated collection facility:
Evidence may be issued to the operator of a non-aligned local authority
designated collection facility (DCF) where they have approval from BIS. Evidence
must not be issued to a private DCF.
5.
How often can evidence notes be issued?
Evidence notes can be issued as often or as infrequently as required. It may
depend on the type of evidence being issued and to whom it is issued. The
frequency of issue is a matter of agreement between the AATF or AE and the PCS.
6.
What tonnage can evidence cover?
Evidence could cover any value from 1 kilogramme of a single category upwards
e.g. it could cover 1000 tonnes across multiple categories. The tonnage covered
by the evidence is a matter of agreement between the AATF or AE and the PCS or
DCF.
7.
Meeting the UK Recovery and Recycling Targets
The amendment regulations that came into force on 1 January 2010 transferred
the obligation to meet recovery and recycling targets for WEEE from the PCS to
the AATFs.
AATFs must now be able to demonstrate that WEEE received for treatment and
recovery has met the statutory recovery and recycling targets. The agencies will
assess compliance by AATFs with this requirement through compliance monitoring
inspections and through the Independent Auditors Report. AATFs should keep
documentary evidence to show that the recovery and recycling targets for each
category of WEEE have been met.
The recovery and recycling targets for WEEE are:
Categories 1 and 10
Recovery - at least 80% recovery by average weight in tonnes of the equipment
Recycling – at lease 75% reuse and recycling of components, materials and
substances by the average weight in tonnes of the equipment
Categories 3 and 4
Recovery - at least 75% recovery by average weight in tonnes of the equipment
Recycling – at lease 65% reuse and recycling of components, materials and
substances by the average weight in tonnes of the equipment
Categories 2, 5, 6, 7 and 9
Recovery - at least 70% recovery by average weight in tonnes of the equipment
Recycling – at lease 50% reuse and recycling of components, materials and
substances by the average weight in tonnes of the equipment
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GN04 Evidence and National Protocols Guidance 2013 v3.1
Gas discharge lamps
Recycling – at least 80% reuse and recycling of components, materials and
substances by the average weight in tonnes of the equipment
There are no recovery and recycling targets for category 8 medical equipment.
AEs do not need to meet the recovery and recycling targets – although they may
need to keep supporting information to show that exported WEEE or WEEE
materials have been sent to a reprocessor and that the recovery targets have
been met. This information would be needed by the AATFs who issue the
evidence on that WEEE. AEs who issue evidence for export of WEEE for reuse
are expected to recover 100% of that WEEE.
See Section 6 for more information.
8.
Keeping records to support the evidence notes you issue
In order to comply with the conditions of approval in Schedule 8 of the Regulations
and regulation 53, AATFs and AEs will need to keep records to support the
evidence notes issued, and to show that the recovery and recycling targets have
been met for the WEEE which has been treated in the UK or exported. This
information will be checked during compliance monitoring audits by the
environment agencies and should be kept for at least four years. As part of
satisfying the requirement to have systems and procedures in place that ensure
the accuracy of quarterly returns and evidence notes, operators must satisfy the
agencies about the records they use when they make an application for approval
as an AATF or AE.
We have deliberately chosen not to be prescriptive about the type of information to
back-up the evidence notes issued, this is to allow flexibility for operators in how
they wish to demonstrate that evidence notes have been issued correctly and that
the recovery and recycling targets are being met. The types of documents that
could be used include:













10
Details of testing and repair methodology
Protocols and weights to support reuse evidence
Input and output records
duty of care waste transfer notes
weighbridge tickets
contracts
sampling records
input logs
invoices
treatment types
receipts and
transfer and consignment notes for movement of
materials
bills of lading
WEEE and WEEE
GN04 Evidence and National Protocols Guidance 2013 v3.1

reprocessor process details and reprocessor recycling efficiency.
For WEEE that is exported we would expect the AE to hold customs documents
(including container numbers when containers are used), bills of lading, shipment
details, Waste Shipment Regulations documents (such as Annex VII documents) ,
invoices, contracts and records of receiving site for example. Photographs of
WEEE arriving at site and/or leaving the site may also be used as supporting
proof. This list is not exhaustive. The AATF or AE should ensure they have
detailed and accurate records for any transactions. They should also ensure that
descriptions of WEEE on transfer notes and other documents are detailed and
accurate and not generic references. Any records held should also provide a link
to the category and type of evidence issued.
Where the AATF is also the AE undertaking the export, they will need
documentation to show the transfer from treatment to WEEE derived materials to
export of those materials.
Records and supporting documents will also be needed for any WEEE that has not
been recovered to show it has been disposed of in an environmentally sound
manner.
Section 2 – Operators Carrying out Reuse Activities
9. Testing and repair for reuse
If you are carrying out reuse activities you must be able to show us how you
determine that the WEEE you receive or export is capable of being reused,
including copies of any testing or repair protocols you use. BSi have developed a
standard for repair and refurbishment of WEEE number PAS141 2011 .PAS141
2011 is also supported by a series of reuse protocols issued by WRAP.
You must also tell us how you determine the weights and categories of WEEE that
are reused and how you account for WEEE which cannot be reused. You must not
issue evidence upon receipt unless you know that the WEEE received can be
reused.
If you are issuing reuse evidence on behalf of another ATF you must provide us
with full details of the testing and repair regime at that site and have a full audit trail
for all the evidence issued. We expect this audit trail to include details and proof of
existing markets where the reused WEEE has been sold on to.
Section 3 – Requirements for the treatment of WEEE
10. Best available techniques for recovery, recycling and treatment
(BATRRT)
AATF operators must treat WEEE using BATRRT. Guidance on BATRRT can be
found on the Defra website. The Defra guidance note describes treatment
methods which must be followed for WEEE.
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GN04 Evidence and National Protocols Guidance 2013 v3.1
Section 4 – Batteries in WEEE
11.
Accounting for waste batteries in WEEE
In 2009 new Producer Responsibility regulations were introduced for waste
batteries by the Waste Batteries and Accumulators Regulations 2009 , bringing in
a system for reporting of batteries placed on the market, and treatment and
recycling of waste batteries.
Important!: Batteries must be reported separately and cannot be included in
the weight of EEE or the weight of WEEE.
All AATFs and AEs must meet the BATRRT requirements of the WEEE Directive,
which includes the removal of batteries. AATFs and AEs must ensure evidence is
only issued on the amount of WEEE received. Waste batteries must not be
included in this weight, or in the weight of WEEE reported each quarter.
Where possible the actual weight of batteries recovered from WEEE should be
deducted from the total weight of WEEE received. However, it is recognised that
this is not always possible, due to the treatment processes carried out by AATFs.
Where an AATF is treating mixed WEEE or where single WEEE streams are bulk
treated with mixed streams and the actual weight of batteries cannot be deducted
from each load please follow the appropriate guidance below.
AATFs and AEs using site specific protocols
Where AATFs and AEs are using site specific protocols they will also need to
deduct an amount for batteries. Where possible the actual amount of batteries
removed from the WEEE should be deducted from the total. Site specific protocols
must be approved by us – see 14.
AATFs carrying out continuous bulk processes
Where AATFs treat all WEEE received in a continuous bulk process it will be
difficult to assign the separated batteries to any specific input load or category.
Where this is the case it is acceptable for the Small Mixed WEEE protocol weight
of 0.06% to be deducted from the weight of WEEE before evidence is issued.
Alternatively an operator could develop their own site specific protocol.
AATFs and AEs accepting single category WEEE streams
Where AATFs and AEs accept single category WEEE whole batteries must be
removed from the WEEE either prior to the treatment of the WEEE or during the
treatment process. This is a requirement of BATRRT. The tonnage of batteries
removed must then be deducted from the tonnage of WEEE received to derive
that actual tonnage of WEEE treated and on which evidence can be issued.
AATFs who send WEEE to other facilities for treatment
Where AATFs don't treat all the WEEE received and some categories of WEEE
are sent to other ATFs for treatment either in the UK or overseas the weight of
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GN04 Evidence and National Protocols Guidance 2013 v3.1
batteries must be deducted before evidence is issued. Battery weight data will
need to be collected from the second or subsequent treatment sites.
Documentary evidence
All AATFs and AEs must maintain an auditable records system which demonstrate
that the weights of any waste batteries in the WEEE received on their site, are
deducted from the tonnage of WEEE received. The amount of WEEE evidence
issued should match the amounts of WEEE treated, recovered and recycled,
minus the weight of batteries
Quarterly data returns to the agencies must not include the weight of batteries.
Any new methodology that has been adopted should be available for scrutiny by
the agencies.
Please note: AATFs and AEs are not required to report weight of batteries
received in WEEE, nor split the weight of the batteries into the battery categories
listed in the Batteries Regulations
Section 5 – WEEE Protocols
12.
Using the National WEEE protocols
In 2007 Defra established protocols to assist AATFs with proportioning the WEEE
received from DCFs into the 13 categories required for reporting and evidence
purposes.
In line with the government published DCF Code of Practice, DCFs collect WEEE
in 5 separate streams:
A - Large household appliances (LDA)
B - Cooling appliances
C - Display equipment containing cathode ray tubes
D - Gas Discharge Lamps
E - All other WEEE (normally referred to as small mixed WEEE SMW)
Protocols were developed for the two mixed category waste streams:

Small Mixed WEEE from DCFs (SMW)

Large Domestic Appliances from DCFs (LDA)
in order to remove the burden of having to carry out categorisation of WEEE on
receipt.
The protocols provide an average percentage breakdown by category that can be
applied to the total WEEE received. Without the protocol, segregation of SMW
materials prior to processing would be required for each load processed. The
protocols can also be used to apportion the materials derived from the treatment of
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GN04 Evidence and National Protocols Guidance 2013 v3.1
each category type. Details can be found in the National WEEE Protocols
document.
When can the protocols be applied?
The protocols can only be applied by AATFs receiving either SMW or LDA for
treatment from LA-DCFs. There is an exception for the use of the SMW protocol –
see Section 11.The protocols cannot be applied to reuse operations, and cannot
be used where WEEE received is separated into fractions, for reuse and
treatment.
The protocols must not be used by any AATFs receiving pre-segregated WEEE
belonging to a single category, or individual items within a category, e.g. mobile
phones.
Where the LDA or SMW Protocols are not applicable AATFs should be using
actual weights or developing site specific sampling and inspection plans.
Using the SMW protocol
The percentages listed in the table below may be used to apportion the weight of
SMW received from DCFs to categories.
Category
Percentage %
1
2
3
4
5
6
7
8
9
10
11
12
13
Non-WEEE
batteries
Total
12.60
22.37
21.78
22.30
-1
12.24
1.47
0.002
0.02
-1
0.953
0.193
0.002
6.02
0.06
100%
1. Category 5 - is 0% as household lighting is not classed as EEE. The 1.66%
household lighting detected in the sampling is included in the 6.0 non-WEEE total.
The 0.02% of Cat 10 detected has also been included in the non WEEE category
– see the WEEE protocols document for details of this.
2. Categories 8, and 13 - are 0% . They were not detected within the SMW
protocol trial.
3. Categories 11 and 12 – we have used the data as reported in the WEEE
Scheme Forum sampling even though we would not normally expect to find these
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GN04 Evidence and National Protocols Guidance 2013 v3.1
items in a SMW waste stream from a DCF. You should take steps to ensure that
these items are excluded if they are not acceptable under your permit conditions.
To obtain each category apportionment apply the following method :
Total tonnage of SMW received x Category %
Worked example
An AATF receives 4466 tonnes of SMW from a number of DCFs. The SMW
protocol is used to calculate how much evidence may be issued and for which
categories. You can do this as a simple one-step calculation and there is no need
to deduct the weight of batteries first.
Calculation for Category 1:
12.6 % of 4466 = (4466 x 0.126) = 562.72 tonnes
Repeat the calculation for each category percentage including the non-WEEE
fraction which must be removed from the total tonnage on which evidence can be
issued along with the deduction for batteries.
Category
1
2
3
4
5
6
7
8
9
10
11
12
13
Non-WEEE
Batteries
Totals
Percentage %
Tonnage
12.60
22.37
21.78
22.30
0.00
12.24
1.47
0.00
0.02
0.00
0.95
0.19
0.00
6.02
0.06
100%
562.72
999.04
972.69
995.92
0.00
546.64
65.65
0.0
0.89
0.00
42.43
8.49
0.0
268.85
2.68
4466
Based on the above application of the protocol to the 4466 tonnes of SMW
received by the example AATF, they can only issue a maximum of 4,194.47 tonnes
of evidence.
Using the Large Domestic Appliance (LDA) Protocol
The trials undertaken to establish the LDA protocol established that the collections
of LDA only contained 87% of WEEE. The 13% non WEEE is made of
contamination (1%) contained with the WEEE (clothing, lint, water, food waste etc)
and gas cookers (12%).
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GN04 Evidence and National Protocols Guidance 2013 v3.1
Worked example
During a single month the AATF clears 2,789 tonnes of LDA from a DCF.
Using our example, the AATF will have received 2,426.43 tonnes of WEEE out of
the 2,789 tonnes cleared from the DCF. The following table summarises the
application of the protocol apportionment data.
Category
Category 1 LDA
Non-WEEE
Totals
Percentage
87%
13%
100%
Tonnage
2426.43
362.57
2789
LDA and SMW co-mingled from a DCF
Due to some DCFs having space constraints for WEEE, BIS have allowed for
DCFs with limited capacity to co-mingle LDA and SMW in the same collection skip.
An operator can apply both Defra Protocols if WEEE is received in co-mingled
deliveries from a DCF. However, the operator must have accurate data on the
percentage split of SMW and LDA within the load.
We will accept two options for deriving data on the percentage split, these are:
1) Hand sort into discrete loads of LDA and SMW and apply each protocol to
the weight of each group received, ensuring that the Non-WEEE fractions
for both Protocols are applied to each load.
2) Sample on a regular basis a representative tonnage and establish an
average percentage split between LDA and SMW. The required frequency
will be discussed and agreed as part of approval of applications. It maybe
the case that different frequencies are agreed for different sources of the
LDA. The derived average split(s) can then be applied to future receipts.
The Protocols can then be used ensuring that the Non-WEEE fractions as
set out in each protocol are still applied when deriving the WEEE treatment
and recovery/recycling tonnages.
AATFs receiving mixed SMW and LDA should set out in their sampling and
inspection plan how they will calculate the percentage split.
13.
Further applications of the SMW protocol
The agencies have agreed that the SMW protocol can be used on SMW WEEE
that has not been collected from DCFs providing the following conditions can be
met:
1. The WEEE must be a small waste stream of less than 500 tonnes per
annum
2. The WEEE must have been separately collected from households and must
be comparable in composition to SMW WEEE from a DCF
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GN04 Evidence and National Protocols Guidance 2013 v3.1
3. The WEEE must have been collected as part of a contract with a Producer
Compliance Scheme
Examples of waste streams where the SMW protocol can be used by agreement
with the agencies subject to a total annual limit of 500 tonnes for all waste
streams:
Waste
Stream
SMW
SMW
SMW
14.
Source
Retailer –take
back
Kerbside /
bring-bank
B2C
collections
Mixed B2B
SMW
Category
apportionment
SMW protocol
SMW protocol
SMW protocol
Developing alternative protocols
If an operator wishes to use a WEEE protocol other than the SMW or LDA
protocols they will need to secure an acknowledgement from us.
Proposals for a protocol should be submitted to us by the end of September in the
year preceding the compliance period. We will consider any proposals for
protocols submitted during the compliance period for use in the same year but
they cannot be retrospectively applied.
The following sets out the steps for securing acknowledgement of a protocol:




Send a formal submission to propose a methodology to the relevant agency
we will determine if the methodology is adequate and provide information if
any changes were necessary
The operator will need to undertake the sampling which underpins the
protocol, and we may want to observe the sampling
the results are presented to us and if acceptable the protocol is
acknowledged
Once acknowledged the protocol can be used as a basis to issue evidence notes.
The protocol should contain the following:



17
minimum sampling requirements as a percentage of the tonnage for a
particular waste stream
frequency of sampling –
the use of other data - e.g. if a retailer or producer holds accurate records
of the items he has disposed of through a returns process
GN04 Evidence and National Protocols Guidance 2013 v3.1
If a group of AATFs or AATF operators, trade bodies or other associations want to
agree a more widely applicable plan as the basis for issuing evidence notes they
should seek acknowledgement from us. The protocol could then be used by any
AATF/AE fulfilling the protocol criteria.
Individual AATFs and AEs can continue to submit their individual sampling and
inspection plans as part of their applications for approval. Any such sampling and
inspection plans agreed will apply only to the sites which form part of the approval.
Section 6.
15.
Meeting the recovery and recycling targets
Meeting the recovery and recycling targets
The Waste Electrical and Electronic Equipment Regulations 2006 (as amended)
(the WEEE Regulations) require that the operator of an approved authorised
treatment facility (AATF) that is issuing evidence on WEEE received, must be able
to show that the recovery and recycling targets specified in Part 2, paragraph 12,
of Schedule 8 are being achieved – see table below.
This is a condition of your approval, and you must demonstrate to the agencies
that the recovery and recycling targets are have been met. This will normally be
by:

site input and output records of WEEE or WEEE derived materials received
and leaving the AATF for recovery and recycling at a third party site

an audit trail which shows that the WEEE has been delivered to a third party
for recovery and recycling and that the targets have been met
Recovery and recycling targets for categories of WEEE
WEEE
Category
1
2
3
4
5
6
7
8
9
10
11
12
13
18
Description
Large household appliances
Small household appliances
IT and telecommunications equipment
Consumer equipment
Lighting equipment
Electrical and electronic tools (with the
exception of large-scale stationary
industrial tools)
Toys, leisure and sports equipment
Medical devices (with the exception of
all implanted and infected products)
Monitoring and control instruments
Automatic dispensers
display screens
cooling appliances
gas discharge lamps
Targets
recovery
80%
70%
75%
75%
70%
70%
recycling
75%
50%
65%
65%
50%
50%
70%
no target
50%
no target
70%
80%
80%
75%
no target
50%
75%
75%
65%
80%
GN04 Evidence and National Protocols Guidance 2013 v3.1
The evidence required will vary according to the type of WEEE derived materials
arising as a result of any treatment activity and the agencies will take a pragmatic
approach to this. When you make an application for approval you must provide us
with evidence which will assure us that you can meet the recovery and recycling
targets. If you are unable to do so your application may be refused. If there are any
changes made to this information provided through the compliance year, you must
inform the agency in writing.
The agencies have agreed an audit process with industry representatives based
on a mass balance of inputs and outputs from the site. The aim of this process is
to use a consistent method of auditing whether the targets have been met, so that
operators know what to expect. If you can show you have met the targets by an
alternative method, which suits you better, that is acceptable.
If, following approval, you are unable to demonstrate that the targets are being
met, or the evidence shows that the recovery and reuse falls below the targets,
your approval may be suspended.
The agencies will monitor AATFs by site audit to determine whether the recovery
and recycling targets have been met.
16.
Demonstrating that you have met the recovery and recycling targets
There is no explicit requirement for you to calculate the exact percentage of
recycling/recovery achieved for each category. You only have to be able to
demonstrate that the minimum targets for recovery and recycling set out in the
WEEE Regulations have been achieved. This suggests that it might be best to
start with those product streams that can be easily tracked (e.g. metals) and only
address the more difficult ones (e.g. mixed plastics) if that is necessary to achieve
the targets. With mixed waste streams like cables, it may be enough simply to
assume that all the metal content is recycled, again only assessing the insulation if
it is essential to meeting the targets. This will suffice as long as audit can
demonstrate the recovery routes of these materials in line with treatment activities.
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GN04 Evidence and National Protocols Guidance 2013 v3.1
Recovery and recycling targets example using a mass balance
The table below shows the inputs and outputs of an AATF. The figures can be used
to calculate if the target has been met.
Recovery and recycling targets calculation
Input
(t)
Output
material
(t)
% of
input
SMW
100.0
metal
glass
plastic
other
Non- recyclable
Total
100.0
70.0
12.5
10.0
5.0
2.50
100.0
70.0
12.5
10.0
5.0
2.50
100.0
Amount
recycled
%
100
100
50
80
0.0
Amount
recycled
(t)
70.0
12.5
5
4
0
91.5
In this example 100 tonnes of SMW was treated leading to a series of material
outputs sent for reprocessing. To calculate whether the recovery targets for the
categories in the SMW have been met use the following formula.
% recovered/recycled = total amount recycled (tonnes) x 100 = 91.5 x 100 =
91.5%
Total amount input (tonnes)
100
The highest recovery target for any of the categories is 80%. Because the overall
recovery/recycling rate in this case was 91.5% all the targets for categories in
SMW can be accepted as being met.
Alternatively, the flow chart below shows how meeting the targets can be
demonstrated using a step-by-step process starting the largest output, by weight,
first. Good quality material outputs can be assumed to be 100% recycled if the
reprocessor meets the recycling efficiency standards described in section 17.
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GN04 Evidence and National Protocols Guidance 2013 v3.1
Recovery and recycling targets flow chart
Is the AATF able
to demonstrate a
mass balance
Yes
Deduct from
recovery target
No
As a first step the AATF
should determine a mass
balance. It is not essential that
a mass balance is established.
See notes.
What is the % by weight
of process loss, i.e waste
Deduct
Count 100%
towards target
Yes
Examine the largest
output material by
weight? Is it good quality
recyclate? e.g. clean
material
Yes
Examine the next largest
output material by
weight? Is it good quality
recyclate?
Add
Count 100%
towards recovery
Add
Deduct the %
recovered from
the total
In total do these
outputs demonstrate
the target for each
category has been
met?
If the material is of
doubtful quality you must
find out the exact
recycling efficiency
Yes
No
The AATF has
met the targets
Continue to look at
other material
outputs
Notes: it is not essential to use a mass balance if you can show the targets have been met using
another method
17. Reprocessor recycling efficiencies
When making a recovery target calculation you will need to take into account the
recycling efficiency of the reprocessor. The agencies have a set of acceptable
standards for recycling of different materials – see the table below. The efficiency
with which the reprocessor can recycle the material output will depend on the
process employed by the reprocessor and the quality of the material output.
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GN04 Evidence and National Protocols Guidance 2013 v3.1
Where the material output is of good quality e.g. metal or glass you can assume
that it has been 100% recycled if it has been received for recycling by a
reprocessor who meets the recycling efficiency in the table below.
Acceptable reprocessor recycling efficiencies
Waste received by a reprocessor
Paper and cardboard
Glass (at the container works)
Glass (at the cullet processing facility)
Steel (from the foundry, basic oxygen
steelmaking*, and electric arc - see the
note below)
Plastics
Aluminium
Percentage of waste which must
actually be recycled (% recycling
efficiency)
85
98
96
98
75
98
*Note: Basic oxygen steelmaking uses pure oxygen to produce steel from liquid blast-furnace iron
and scrap. The electric-arc method uses electricity at a high current to melt scrap steel
into liquid steel.
If the recycling efficiency of the reprocessor meets the minimum percentages set
out above you can assume that the material has been 100% recycled for the
purpose of meeting the recovery targets. If the reprocessor recycling efficiency
falls below the minimum you will need to take this into account in your recovery
target calculation. In the recovery targets example above the reprocessor recycling
efficiency for plastic was 50%, well below the acceptable efficiency, so the 50%
figure should be used in the calculation.
18.
Further information and contact details for the agencies
Links to The Regulations
The Waste Electrical and Electronic Equipment Regulations 2006 SI3289
http://www.opsi.gov.uk/SI/si2006/20063289.htm
The Waste Electrical and Electronic Equipment (Amendment) Regulations, 2007
SI3454,
http://www.opsi.gov.uk/si/si2007/uksi_20073454_en_1
The Waste Electrical and Electronic Equipment (Amendment) Regulations, 2009
SI2957,
http://www.opsi.gov.uk/si/si2009/uksi_20092957_en_1
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GN04 Evidence and National Protocols Guidance 2013 v3.1
The Waste Electrical and Electronic Equipment (Amendment)(No.2) Regulations,
2009 SI 3216
http://www.opsi.gov.uk/si/si2009/uksi_20093216_en_1
The Waste Electrical and Electronic Equipment (Amendment) Regulations, 2010
SI1155
http://www.opsi.gov.uk/si/si2010/uksi_20101155_en_1
Guidance notes, application forms and contact details for the agencies
Government Guidance Notes (Department for Business, Innovation and Skills) on
the Waste Electrical and Electronic Equipment Regulations –
http://www.bis.gov.uk/files/file54145.pdf
BATRRT guidance – Defra BATTRT guidance
AATF and AE application forms and guidance can be obtained from:
Environment Agency - How to become an approved authorised treatment facility
(AATF) or approved exporter (AE)
For England and Wales, contact the Environment Agency
http://www.environment-agency.gov.uk/weee
Email: [email protected]
Telephone: 03708 506 506
For Scotland, contact the Scottish Environment Protection Agency:
http://www.sepa.org.uk/waste/waste_regulation/producer_responsibility.aspx
Email: [email protected]
Telephone: 01786 457700
For Northern Ireland, contact the Northern Ireland Environment Agency:
http://www.ni-environment.gov.uk/waste-home/regulation/regulations_weee.htm
Email:[email protected]
Telephone: 028 9056 9837
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GN04 Evidence and National Protocols Guidance 2013 v3.1