http://www.legislation.gov.uk/id/eur/2012/493

Commission Regulation (EU) No 493/2012

of 11 June 2012

laying down, pursuant to Directive 2006/66/EC of the European Parliament and of the Council, detailed rules regarding the calculation of recycling efficiencies of the recycling processes of waste batteries and accumulators

(Text with EEA relevance)

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Directive 2006/66/EC of the European Parliament and of the Council of 6 September 2006 on batteries and accumulators and waste batteries and accumulators and repealing Directive 91/157/EEC1, and in particular Article 12(6)(a) thereof,

Whereas:

(1)

Recycling processes which, as part of a sequence or as standalone processes, recycle waste lead-acid, nickel-cadmium and other batteries and accumulators should achieve the minimum recycling efficiencies set out in Annex III, Part B to Directive 2006/66/EC.

(2)

Detailed rules supplementing Annex III, Part B to Directive 2006/66/EC should be laid down for calculating recycling efficiencies.

(3)

It is appropriate to define the recycling process as one which starts after collection and possible sorting and/or preparation for recycling of the waste batteries and accumulators received by a recycling facility and finishes when output fractions are produced to be used for their original purpose or for other purposes without undergoing further treatment and have ceased to be waste. In order to encourage the improvement of existing and development of new recycling and treatment technologies, the recycling efficiencies should be achieved by each recycling process.

(4)

It is necessary to define the preparation for recycling as a preliminary operation prior to recycling in order to distinguish it from the recycling process of waste batteries and accumulators.

(5)

The recycling efficiencies of the recycling processes of waste batteries and accumulators should be calculated by reference to the chemical composition of the input and output fractions and having regard to the latest technical and scientific developments and made publicly available.

(6)

It is necessary to harmonise the information to be reported by recyclers in order to monitor compliance with the recycling efficiency requirements across the European Union.

(7)

Recyclers of waste batteries and accumulators need at least 18 months to adapt their technological processes to the new recycling efficiencies calculation requirements.

(8)

The measures provided for in this Regulation are in accordance with the opinion of the Committee established by Article 39 of Directive 2008/98/EC of the European Parliament and of the Council2,

HAS ADOPTED THIS REGULATION:

Article 1Scope

This Regulation shall apply to the recycling processes carried out to waste batteries and accumulators from 1 January 2014.

Article 2Definitions

F1(1)

For the purposes of this Regulation, the following definitions shall apply:

(1)
‘recycling process’ means any reprocessing operation as referred to in Article 3(8) of Directive 2006/66/EC which is carried out on waste lead-acid, nickel-cadmium and other batteries and accumulators and results in the production of output fractions as defined in point 5 of this Article. The recycling process does not include sorting and/or preparation for recycling/disposal and may be carried out in a single facility or in several facilities;
(2)
‘preparation for recycling’ means treatment of waste batteries and/or accumulators prior to any recycling process, which shall, inter alia, include storage, handling, dismantling of battery packs or separation of fractions that are not part of the battery or accumulator itself;
(3)
‘recycling efficiency’ of a recycling process means the ratio obtained by dividing the mass of output fractions accounting for recycling by the mass of the waste batteries and accumulators input fraction expressed as a percentage;
(4)
‘input fraction’ means the mass of collected waste batteries and accumulators entering the recycling process as defined in Annex I;
(4A)
F2“waste battery or accumulator” means any battery or accumulator which is waste within the meaning of Article 3(1) of the Waste Framework Directive, as read with Articles 5 and 6 of that Directive;
(4B)
“disposal” means any of the applicable operations provided for in Annex 1 to the Waste Framework Directive;
(4C)
“Directive 2006/66/EC” means Directive 2006/66/EC of the European Parliament and of the Council on batteries and accumulators and waste batteries and accumulators, as last amended by Directive (EU) 2018/849 of the European Parliament and of the Council;
(5)
‘output fraction’ means the mass of materials that are produced from the input fraction as a result of the recycling process, as defined in Annex I without undergoing further treatment, that have ceased to be waste or that will be used for their original purpose or for other purposes, but excluding energy recovery.

F32.

In paragraph 1, “the Waste Framework Directive” means Directive 2008/98/EC of the European Parliament and of the Council on waste, as last amended by Directive (EU) 2018/851, read in accordance with paragraphs 3 and 4.

3.

Article 5 is to be read as if—

(a)

in paragraph 1, “Member States shall take appropriate measures to ensure that” were omitted;

(b)

after paragraph 1 there were inserted—

“1A.
Any decision as to whether a substance or object is a by-product must be made—
(a)
in accordance with any regulations setting out detailed criteria on the application of the conditions in paragraph 1 to specific substances or objects; and
(b)
having regard to any guidance published by the appropriate authority or the competent authority for the purposes of this Article.”;

(c)

paragraphs 2 and 3 were omitted.

4.

Article 6 is to be read as if—

(a)

in paragraph 1, “Member States shall take appropriate measures to ensure that” were omitted;

(b)

after paragraph 1 there were inserted—

“1A.
Any decision as to whether a substance or object has ceased to be waste must be made—
(a)
in accordance with any regulations or F4assimilated direct legislation setting out detailed criteria on the application of the conditions in paragraph 1 to specific types of waste; and
(b)
having regard to any guidance published by the appropriate authority or the competent authority for the purposes of this Article.”;

(c)

in paragraph 2—

(i)

the first subparagraph were omitted;

(ii)

in the second subparagraph, for “Those detailed criteria” there were substituted “Any detailed criteria set out in guidance as referred to in paragraph 1A”;

(iii)

the third and fourth subparagraphs were omitted;

(d)

paragraph 3 were omitted;

(e)

in paragraph 4—

(i)

in the first subparagraph—

(aa)

in the first sentence, for the words from the beginning to “Member State”, there were substituted “Where criteria have not been set out as referred to in paragraph 1A(a), the competent authority”;

(bb)

the second sentence were omitted;

(ii)

in the second subparagraph—

(aa)

for “Member States” there were substituted “The competent authority”;

(bb)

“by competent authorities” were omitted.

5.

In this Article—

“appropriate agency” means—

(a)

in relation to England, the Environment Agency;

(b)

in relation to Wales, the Natural Resources Body for Wales;

(c)

in relation to Scotland, the Scottish Environment Protection Agency;

“appropriate authority” means—

(a)

in relation to England, the Secretary of State;

(b)

in relation to Wales, the Welsh Ministers;

(c)

in relation to Scotland, the Scottish Ministers.

Article 3Calculation of recycling efficiency

1.

The method set out in Annex I shall be used to calculate the recycling efficiency of a process for recycling waste lead-acid, nickel-cadmium and other batteries and accumulators.

2.

The method set out in Annex II shall be used to calculate the rate of recycled lead content for any recycling process.

3.

The method set out in Annex III shall be used to calculate the rate of recycled cadmium content for any recycling process.

4.

Recyclers shall report the information shown in Annex IV, Annex V and Annex VI, as applicable, on an annual basis and shall send it to the F5competent authority by no later than four months from the end of a calendar year concerned. Recyclers shall send their first annual reports no later than the 30 April 2015.

5.

Reporting on the recycling efficiency shall cover all individual steps of recycling and all corresponding output fractions.

6.

Where a recycling process is carried out at more than one facility, the first recycler is responsible for submitting the information required under point 4 to the F6competent authority.

F7Article 4Entry into force

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F8...

Done at Brussels, 11 June 2012.

For the Commission

The President

José Manuel Barroso

ANNEX IMethod for the calculation of the recycling efficiency of the recycling process of waste batteries and accumulators

1.The recycling efficiency of a recycling process is calculated as follows:

R_{E} = \frac{{Σ m}_{output}}{m_{input}} × 100

, [mass %]

where:

R_E
calculated recycling efficiency of a recycling process for the purpose of Article 12(4) of Directive 2006/66/EC [in mass %];
m_output
the mass of output fractions accounting for recycling per calendar year;
m_input
the mass of input fractions entering the battery recycling process per calendar year.

2.The recycling efficiency of a recycling process is calculated separately for the following waste battery types:

lead-acid batteries and accumulators,
nickel-cadmium batteries and accumulators, and
other batteries and accumulators.

3.The recycling efficiency is calculated on the basis of the overall chemical composition (at elemental/compound level) of the input and output fractions. The following applies in respect of the input fraction:

recyclers shall determine the share of different types of waste battery or accumulator present in an input fraction by conducting a sorting analysis of the fraction (by continuous or representative sampling),
the chemical composition of each type of waste battery or accumulator present in the input fraction is determined on the basis of the chemical composition of new batteries and accumulators when placed on the market or on the basis of available data of recyclers or on information provided by the battery producers,
recyclers shall determine the overall chemical composition of the input fraction by applying the chemical composition analysis to the types of batteries or accumulators present in the input fraction.

4.

Emissions to the atmosphere are not accounted for the recycling efficiency.

5.The mass of output fractions accounting for recycling is the mass, on a dry weight basis, of the elements or compounds contained in fractions resulting from the recycling of waste batteries and accumulators per calendar year [in tonnes]. The following may be, inter alia, accounted for output fractions:

the carbon which is actually used as a reducing agent or which is a component of an output fraction of the recycling process, if it results from the input waste batteries and accumulators, on the condition that it is certified by an independent scientific authority and made publicly available. The carbon which is used for energy recovery is not accounted for the recycling efficiency,
the oxygen, used as an oxidising agent, if it results from the input waste batteries and accumulators and if it is a component of an output fraction of the recycling process. The oxygen coming from the atmosphere is not accounted for the recycling efficiency,
battery and accumulator materials contained in slag suitable and used for recycling purposes as defined in Article 3(8) of Directive 2006/66/EC other than landfill construction or backfilling operations, provided that this is in line with national requirements.

6.The mass of input fractions entering the battery recycling process is the mass of collected waste batteries and accumulators on a dry weight basis entering the recycling process per calendar year [in tonnes], including:

fluids and acids,
the mass of external jacket of waste batteries and accumulators,

and excluding:

the mass of outer casings belonging to battery packs.

F97.

For the purposes of point 1, Directive 2006/66/EC is to be read as if “waste battery or accumulator” had the meaning given by Article 2(1)(4A).

8.

In point 3, “producer” means any person that, irrespective of the selling technique used, including by distance contract, places batteries or accumulators, including those incorporated into appliances or vehicles, on the market for the first time within Great Britain on a professional basis.

9.

In point 8—

(a)
“appliance” means any electrical or electronic equipment, as defined by Article 3(1)(a) of Directive 2012/19/EU of the European Parliament and of the Council on waste electrical and electronic equipment (WEEE) as last amended by Directive (EU) 2018/849, which is fully or partly powered by batteries or accumulators or is capable of being so;
(b)
“distance contract” has the meaning given in regulation 5 of the Consumer Contracts (Information, Cancellation and Additional Charges) Regulations 2013;
(c)
“placing on the market' means supplying or making available, whether in return for payment or free of charge, to a third party within Great Britain and includes import into Great Britain.

ANNEX IIMethod for the calculation of the rate of recycled lead content

1.The rate of recycled lead content is calculated as follows:

R_{Pb} = \frac{{Σ m}_{Pb output}}{m_{Pb input}} × 100

, [mass %]

where:

R_Pb
calculated rate of recycled lead (Pb) from a recycling process for the purpose of Article 12(4) of Directive 2006/66/EC [in mass %];
m_{Pb output}
the mass of Pb in output fractions accounting for recycling is the share of Pb contained in these fractions which results from the recycling of lead-acid batteries and accumulators per calendar year [in tonnes];
m_{Pb input}
the mass of Pb in the input fraction entering the battery recycling process is defined as the yearly average Pb content of waste lead-acid batteries and accumulators multiplied by the input mass of lead-acid batteries and accumulators per calendar year [in tonnes].

2.

In the output fraction the lead (Pb) contained in slag at the end of the recycling process is not accounted for the rate of recycled lead content.

F103.

For the purposes of point 1, Directive 2006/66/EC is to be read as if “waste battery or accumulator” had the meaning given by Article 2(1)(4A).

ANNEX IIIMethod for the calculation of the rate of recycled cadmium content

1.The rate of recycled cadmium content is calculated as follows:

R_{Cd} = \frac{{Σ m}_{Cd output}}{m_{Cd input}} × 100

, [mass %]

where:

R_Cd
calculated rate of recycled cadmium (Cd) from a recycling process for the purpose of Article 12(4) of Directive 2006/66/EC [in mass %];
m_{Cd output}
the mass of Cd in output fractions accounting for recycling is the share of Cd contained in these fractions which results from the recycling of nickel-cadmium batteries and accumulators per calendar year [in tonnes].
m_{Cd input}
the mass of Cd in the input fraction entering the battery recycling process is defined as the yearly average Cd content of waste nickel-cadmium batteries and accumulators multiplied by the input mass of nickel-cadmium batteries and accumulators per calendar year [in tonnes].

2.

In the output fraction the cadmium (Cd) contained in slag at the end of the recycling process is not accounted for the rate of recycled cadmium content.

3F11.

For the purposes of point 1, Directive 2006/66/EC is to be read as if “waste battery or accumulator” had the meaning given by Article 2(1)(4A).

ANNEX IVReporting on recycling efficiencies for lead-acid batteries and accumulators

1.For lead-acid batteries and accumulators input into the recycling process the following information shall be reported:

Recycling efficiency of a battery recycling process (lead-acid batteries)
Calendar year
Facility3
Name
Street
City
Country
Contact person
E-mail
Tel.
Description of the complete battery recycling process4:

Facility treating the waste batteries and accumulators after collection, eventual sorting and preparation for recycling.

Description of the complete battery recycling process, no matter if carried out by one or several facilities (including a description of the individual recycling steps and their output fractions).

Input to the complete battery recycling process5
Description of waste batteries and accumulators	EWC code(optional)	Mass6	Overall composition of input		m_input
Description of waste batteries and accumulators	EWC code(optional)	t/a	Element or compound	mass %	[t/a]
			Element or compound	mass %	[t/a]
			Elements or components, which are not part of the input fractions

			Impurities10
			Outer casing of battery pack
			Water (H₂O)
			Other
			Elements or components, which are part of the input fractions
			Lead (Pb)
			Sulphuric acid (H₂SO₄)
			Plastics
			Other


			m_input, total7

			m_output, Pb7
			m_output, total7

Recycling efficiency (R_E)8:	m_output/m_input		mass %
Degree of recycled Pb (R_Pb)9:	m_{Pb output}/m_{Pb input}		mass %
Notes:

Description of waste batteries and accumulators as received after collection, eventual sorting and preparation for recycling.

Wet mass of waste batteries and accumulators as received after collection, eventual sorting and preparation for recycling (the mass of separated impurities and outer casing of battery packs as well as the water content as specified in the field ‘overall composition’ shall be subtracted for the calculation of the recycling efficiency).

Examples of impurities include plastic, ebonite chips, items/pieces of iron, fibres from electronic scrap, molten aluminium.

Data transferred from Annex IV(2).

Calculated according to the formula for RE based on data reported according to Annex IV(2).

Calculated according to the formula for R_Pb based on data reported according to Annex IV(2).

2.For the individual steps of the recycling process of lead-acid batteries and accumulators the following information shall be reported:

Process step	1
Calendar year
Facility11
Name
Street
City
Country
Contact person
E-mail
Tel.
Description of the individual process step:

Facility carrying out an individual process step.

Input (waste batteries or waste batteries fractions)12
Description of input	EWC code(optional)	Mass
Description of input	EWC code(optional)	t/a



Output
(1) Intermediate fractions13
Description of fraction	EWC code(optional)	Mass14	Further treatment	Recipient15	Further process step
Description of fraction	EWC code(optional)	t/a	Further treatment	Name
					1_1
					1_2
					1_3
					1_4
					1_5
					1_6
					1_7
					1_8
					1_9
					1_10
(2) Final output fractions accounting for recycling16
Element or compound17	Fraction (non-waste) containing the element or compound	Concentration of the element or compound in the fraction	Mass of the element or compound, which results from batteries input	Fate of the fraction
Element or compound17	Fraction (non-waste) containing the element or compound	mass %	t/a	Fate of the fraction


		m_output, Pb
		m_output, total
Notes:

For step 1 = the same as input into the complete battery recycling process.

For subsequent steps = intermediate fractions from the previous process step.

Intermediate fractions = fractions destined for subsequent step(s) in the recycling process.

Resulting from the batteries input (dry mass).

Facility to which the intermediate fraction is handed over or — if the further process step is carried out internally — the same as 1.

Final output fractions accounting for recycling = that have ceased to be waste and that will be used for their original purpose or for other purposes without undergoing further treatment, but excluding energy recovery. See also examples in Annex I(5).

Elements and compounds if they were component of the batteries input (waste battery). See special provisions and examples in Annex I(5). For lead (Pb) in slag see the provision in Annex II(2). Lead must be entered as ‘Pb’.

ANNEX VReporting on recycling efficiencies for nickel-cadmium batteries and accumulators

1.For nickel-cadmium batteries and accumulators input into the recycling process the following information shall be reported:

Recycling efficiency of a battery recycling process (nickel-cadmium batteries)
Calendar year
Facility18
Name
Street
City
Country
Contact person
E-mail
Tel.
Description of the complete battery recycling process19:

Facility reprocessing the waste batteries and accumulators after collection and eventual sorting.

Description of the complete battery recycling process, no matter if carried out by one or several facilities (including a description of the individual recycling steps and their output fractions).

Input into the complete battery recycling process20
Description of waste batteries and accumulators	EWC code(optional)	Mass21	Overall composition of input		m_input
Description of waste batteries and accumulators	EWC code(optional)	t/a	Element or compound	mass %	[t/a]
			Element or compound	mass %	[t/a]
			Elements or components, which are not part of the input fractions

			Impurities25
			Outer casing of battery pack
			Water (H₂O)
			Other
			Elements or components, which are part of the input fractions
			Cadmium (Cd)
			Nickel (Ni)
			Iron (Fe)
			Plastics
			Electrolyte

			m_input, total22

			m_output, Cd22
			m_output, total22

Recycling efficiency (R_E)23:	m_output/m_input		mass %
Degree of recycled Cd (R_Cd)24:	m_{Cd output}/m_{Cd input}		mass %
Notes:

Description of waste batteries and accumulators as received after collection and eventual sorting and preparation for recycling.

Wet mass of waste batteries and accumulators as received after collection and eventual sorting (the mass of separated impurities and outer casing of battery packs as well as the water content as specified in the field ‘overall composition’ shall be subtracted for the calculation of the recycling efficiency).

Examples of impurities include plastic, ebonite chips, items/pieces of iron, fibres from electronic scrap, molten aluminium.

Data transferred from Annex V(2).

Calculated according to the formula for RE based on data reported according to Annex V(2).

Calculated according to the formula for R_Cd based on data reported according to Annex V(2).

2.For the individual steps of the recycling process of nickel-cadmium batteries and accumulators the following information shall be reported:

Process step	1
Calendar year
Facility26
Name
Street
City
Country
Contact person
E-mail
Tel.
Description of the individual process step:

Facility carrying out an individual process step.

Input (waste batteries or waste batteries fractions)27
Description of input	EWC code(optional)	Mass
Description of input	EWC code(optional)	T/a

Output
(1) Intermediate fractions28
Description of fraction	EWC code(optional)	Mass29	Further treatment	Recipient30	Further process step
Description of fraction	EWC code(optional)	t/a	Further treatment	Name
					1_1
					1_2
					1_3
					1_4
					1_5
					1_6
					1_7
					1_8
					1_9
					1_10
(2) Final output fractions accounting for recycling31
Element or compound32	Fraction (non-waste) containing the element or compound	Concentration of the element or compound in the fraction	Mass of the element or compound, which results from batteries input	Fate of the fraction
Element or compound32	Fraction (non-waste) containing the element or compound	mass %	t/a	Fate of the fraction


		m_output, Cd
		m_output, total
Notes:

For step 1 = the same as input into the complete battery recycling process.

For subsequent steps = intermediate fractions from the previous process step.

Intermediate fractions = fractions destined for subsequent step(s) in the recycling process.

Resulting from the batteries input (dry mass).

Facility to which the intermediate fraction is handed over or — if the further process step is carried out internally — the same as 1.

Final output fractions accounting for recycling = that will be used for their original purpose or for other purposes without undergoing further treatment, see also examples in Annex I(5).

Elements and compounds if they were component of the batteries input (waste battery). See special provisions and examples in Annex I(5). For cadmium (Cd) in slag see provisions in Annex III(2). Cadmium must be entered as ‘Cd’.

ANNEX VIReporting on recycling efficiencies for other batteries and accumulators

1.For other batteries and accumulators input into the recycling process the following information shall be reported:

Recycling efficiency of a battery recycling process (other batteries)
Calendar year
Facility33
Name
Street
City
Country
Contact person
E-mail
Tel.
Description of the complete battery recycling process34:

Facility treating the waste batteries and accumulators after collection, eventual sorting and preparation for recycling.

Description of the complete battery recycling process, no matter if carried out by one or several facilities (including a description of the individual recycling steps and their output fractions).

Input into the complete battery recycling process35
Description of waste batteries and accumulators	EWC code(optional)	Mass36	Overall composition of input		m_input
Description of waste batteries and accumulators	EWC code(optional)	t/a	Element or compound	mass %	[t/a]
			Element or compound	mass %	[t/a]
			Elements or components, which are not part of the input fractions

			Impurities39
			Outer casing of battery pack
			Water (H₂O)
			Other
			Elements or components, which are part of the input fractions
			Metals (e.g. Fe, Mn, Zn, Ni, Co, Li, Ag, Cu, Al)
			Mercury (Hg)
			Carbon
			Plastics
			Electrolyte

			m_input, total37

			m_output, total37

Recycling efficiency (R_E)38:	m_output/m_input		mass %
Notes:

Description of waste batteries and accumulators as received after collection, eventual sorting and preparation for recycling.

Examples of impurities include plastic, ebonite chips, items/pieces of iron, fibres from electronic scrap, molten aluminium.

Data transferred from Annex VI(2).

Calculated according to the formula for R_E based on data reported according to Annex VI(2).

2.For the individual steps of the recycling process of other batteries and accumulators the following information shall be reported:

Process step	1
Calendar year
Facility40
Name
Street
City
Country
Contact person
E-mail
Tel.
Description of the individual process step:

Facility carrying out an individual process step

Input (waste batteries or waste batteries fractions)41
Description of input	EWC code(optional)	Mass
Description of input	EWC code(optional)	t/a

Output
(1) Intermediate fractions42
Description of fraction	EWC code(optional)	Mass43	Further treatment	Recipient44	Further process step
Description of fraction	EWC code(optional)	t/a	Further treatment	Name
					1_1
					1_2
					1_3
					1_4
					1_5
					1_6
					1_7
					1_8
					1_9
					1_10
(2) Final output fractions accounting for recycling45
Element or compound46	Fraction (non-waste) containing the element or compound	Concentration of the element or compound in the fraction	Mass of the element or compound, which results from batteries input	Fate of the fraction
Element or compound46	Fraction (non-waste) containing the element or compound	mass %	t/a	Fate of the fraction


		m_output, total
Notes:

For step 1 = the same as input into the complete battery recycling process.

For subsequent steps = intermediate fractions from the previous process step.

Intermediate fractions = fractions destined for subsequent step(s) in the recycling process.

Resulting from the batteries input (dry mass).

Facility to which the intermediate fraction is handed over or — if the further process step is carried out internally — the same as 1.

Final output fractions accounting for recycling = that will be used for their original purpose or for other purposes without undergoing further treatment, see also examples in Annex I(5).

Elements and compounds if they were component of the batteries input (spent battery). See special provisions and examples in Annex I(5).