vvEPA
United States
Environmental Protection
Agency
May 2004
EPA530-K-04-004
www.epa.gov/osw
Plug-In to eCycling
Guidelines for Materials Management
-------
Purpose
As part of an effort by EPA to develop national guidance for the management of "end-of-life"
electronics, the Agency has drafted the following guidelines for use in the Plug-In To eCycling
Campaign. The Campaign and its pilots will be used by the Agency to "test" these guidelines
and allow the Agency to have real world information about what practices will most effectively
protect human health and the environment, while at the same time enabling practicable programs
for management of end-of-life electronics.
These guidelines are intended to be used as a framework for considering the acceptance of
partners to the Plug-In Campaign. The Agency developed these guidelines based on what we
believe, on a general basis, to be the most important elements for protection of human health and
the environment in managing end-of-life electronics. However, the Agency is open to the
possibility that not all aspects of these guidelines are critical in all cases of end-of-life
management. That is, the Agency recognizes that, on a facility-specific basis, there may be
practices that do not conform with every element of these guidelines, yet these practices may
also ensure the protection of human health and the environment.
Vital to the success of the Campaign, as well as any program for improved management of end-
of-life electronics, is the availability of adequate markets for reuse and recycling. Thus, these
guidelines are not intended to be a barrier to delivering reusable equipment or industrial
feedstock materials to legitimate markets and environmentally sound facilities, wherever they
exist.
Applicability of Guidelines
These guidelines are applicable to all Plug-In partners who, through contracts or other
arrangements, utilize reuse, refurbishment, recycling or disposal services. Plug-In partners take
appropriate due diligence measures to ensure that downstream facilities and operations use
practices that are consistent with these guidelines. The guidelines are applicable to all activities
undertaken by a Plug-In partner, not just those that are undertaken as part of a Plug-In To
eCycling pilot.
The guidelines are not written to directly address collection activities. Rather, the guidelines
address activities that ensue following collection: reuse, refurbishment, recycling and disposal,
as well as the responsibilities of the Plug-In partner to ensure that such activities are conducted
consistent with these guidelines.
2
-------
Companies or other entities that perform recycling or related processing activities (other than
collection) are not eligible to become Plug-In partners at this time. In order for the Agency to
form Plug-In partnerships directly with processors and recyclers, the Agency would specifically
request certain data and other information from these entities and/or request that such
information be kept at the facility that would document the consistency of their operations with
these guidelines. In order to minimize the burden on the public for information gathering
pursuant to federal activities, the Paperwork Reduction Act of 1995 requires that the Agency
obtain approval from the Office of Management and Budget (OMB) for such information
gathering activities. Unfortunately, development of such an information gathering request by
EPA, as well as the OMB approval process, would require 6 months to a year to complete. Thus,
the Agency is not now in a position to request, receive and review information from processors
and recyclers regarding the consistency of their operations with these guidelines. As an
alternative, it is the intent of the Agency to work towards the establishment of a third-party
organization to function as an entity for review and recognition of processors and recyclers of
end-of-life electronics. The Agency also will not accept as Plug-In partners entities who are
primarily engaged in the landfill or incineration of end-of-life electronics, as these disposal
operations are not the primary focus of the Plug-In To eCycling program.
Due Diligence
The guidelines call for due diligence efforts on the part of Plug-In partners regarding the
handling and disposition of end-of-life electronics. However, the guidelines do not incorporate
the same level of due diligence under all circumstances. Rather, the level of due diligence
recommended is commensurate with the risk of the activities involved, as well as being aimed at
fulfillment of certain waste and material management goals under Plug-In. For example, the
guidelines call for due diligence to provide assurance that incineration and landfill of any form
of e-waste is minimized and, if utilized, is safe; whereas, the due diligence steps for reuse,
refurbishment and recycling focus on only those used electronics that contain or consist of
materials that, if mismanaged, are most likely to present hazards to human health or the
environment. Thus, reuse is the most favored management option, followed by recycling and,
least desirable, landfilling or incineration.
Guidelines 1-4 below pertain to all end-of-life electronics for which Plug-In partners have
responsibility. Among other things, guidelines 1-4 call for due diligence regarding any
electronic products or components that are sent to incineration or land disposal. However,
guideline 5, regarding reuse and refurbishment, and guideline 6, regarding recycling, only
pertain to certain "designated materials," as defined in the relevant footnote. Designated
materials are those that are of concern because they contain or consist of materials that, when
mismanaged, may present hazards to human health or the environment.
Thus, no guidelines beyond those of 1-4 apply to the reuse, refurbishment or recycling of end-of-
life electronics that, either in processed or unprocessed form, do not contain or consist of
designated materials. The Agency encourages the processing (including sorting) of used
-------
electronics to enhance the value of output streams, often resulting in the generation of multiple
commodity streams that do not contain or consist of designated materials.
Because equipment for reuse often contains designated materials, guideline 5 will be applicable
to many reuse markets. However, to maximize reuse, the elements of guideline 5 are relatively
simple—the Plug-In partner ensures that equipment meets legitimate reuse specifications, is
packaged to protect its value, and that proper business records are kept of the transaction. The
only other guideline having relevance to reuse is guideline 4(a)—the Plug-in partner ensures that
export of reusable equipment is in conformance with the laws of importing and transit countries.
Guidelines 1-5 are applicable to equipment for refurbishment.
GUIDELINES for MATERIALS MANAGEMENT
All electronics
1. The Plug-In partner1 ensures that reuse, refurbishment and recycling techniques are used to the
full extent practicable, i.e., recognizing technical and economic feasibility, in an effort to
minimize incineration and land disposal of electronic equipment and components. The Plug-In
partner ensures that proper business records are kept demonstrating that incineration and land
disposal are minimized.
2. Where incineration or land disposal is unavoidable, the Plug-In partner ensures that:
a. Consideration is first given to whether the waste has value for energy recovery. For
certain wastes, such as plastics, incineration with energy recovery is preferable over incineration
without energy recovery or landfill. For wastes that have value for energy recovery, but for
which energy recovery is technically or economically infeasible, the Plug-In partner ensures that
a reasonable case of infeasibility has been made.
b. The wastes (including those generated at refurbishment and recycling operations,
smelters, etc.) are managed safely at facilities that are fully licensed for treatment and disposal
purposes by all appropriate governing authorities. The Plug-In partner ensures that there is
written evidence substantiating this.
c. Landfills and incinerators have an environmental management system in place, as is
described in guideline 6(b) below for certain recycling facilities.
3. The Plug-In partner ensures that all applicable federal and state requirements pertaining to the
transport, processing and management of electronic products and components are complied with.
4. In the case of export of any electronic products and components, the Plug-In partner ensures
that:
a. Any applicable requirements of the U.S., as well as applicable requirements of
4
-------
importing and transit countries, are complied with, and proper business records are kept
documenting such compliance.
b. Prior to export, the materials listed below are removed and handled separately, unless:
i. The export is for purposes of reuse or refurbishment, or
ii. The Plug-In partner has documented and regularly monitored controls in place to
assure that the materials will be removed in member countries of the OECD:
(1) Batteries.
(2) Mercury- and PCB-containing lamps and devices.
(3) Circuit boards, unless they are contained in hand-held electronic equipment, such as
cellular phones, PDAs, etc. (Note: Under U.S. rules, minimal quantities of mercury and
batteries that are protectively packaged to minimize dispersion of metal constituents do
not need to be removed from whole circuit boards).
(4) CRTs and CRT glass, both of which are adequately processed for use as an industrial
feedstock material prior to export.
Note: The U.S. is not currently a party to the Basel Convention, although the U.S. is a member
of the OECD. International trade in hazardous wastes is governed by existing agreements under
both OECD and Basel, as well as by the laws of exporting, importing and transit countries.
Trade in end-of-life electronics that are considered hazardous wastes intended for recovery
between the U.S. and any OECD country are governed by the OECD control system, as
implemented through the laws and regulations of the member countries. Because the U.S. is not
a party to the Basel Convention, federal law does not yet include obligations for U.S. exporters
of end-of-life electronics that are considered hazardous wastes under the Basel Convention.
However, U.S. exporters should be cognizant that Basel Convention requirements could affect
them, as implemented by the laws of importing and transit countries. In addition, the importing
and transit countries may have other laws and regulations that could affect U.S. exporters and
their transactions. Until such time as the U.S. becomes a party to the Basel Convention, no
country that is a party to Basel but not a member of OECD can legally accept hazardous waste
exported from the U.S. absent a bilateral agreement between the governments under Article 11
of the Basel Convention. At this time, the U.S. has no bilateral agreements with any countries
outside of the OECD that provide for the export of hazardous waste. Current U.S. rules
regarding the export of hazardous wastes can be found at 40 CFR Part 262, Subparts E andH.
"Designated materials" for reuse or refurbishment
5. This guideline applies to designated materials2 that are directed to reuse or refurbishment.3
However, it is only intended to apply to those shipments of designated materials (such as the
following intact equipment: monitors, televisions, CRT bulbs, CPUs, laptops, printers and cell
phones) that have been prescreened to meet legitimate reuse or refurbishment specifications.
Unscreened shipments for evaluation of reuse/refurbishment potential and shipments containing
some reusable (or refurbishable) and some non-reusable (or non-refurbishable) equipment are
-------
considered shipments for recycling and are addressed in guideline 6. In the case of
refurbishment, guidelines 1-4 and 6 apply to any components that are subsequently determined
to be unusable.
For designated materials that are directed to reuse or refurbishment, the Plug-In partner ensures
that:
a. All items in the shipment meet legitimate reuse or refurbishment specifications.
b. All items in the shipment meet the specifications of the consignee.
c. All items in the shipment are packaged in a manner that is consistent with preservation
of the used equipment for reuse or refurbishment. That is, the packaging protects the used
equipment in storage and transport, such that the value of the used equipment for reuse or
refurbishment is not diminished.
d. Proper business records are kept that document the transfer of the used equipment to
the consignee for reuse or refurbishment purposes, including:
i. Name and address of consignee.
ii. Description of shipment content and conformance with consignee product
specifications.
iii. Product specifications of consignee.
iv. If for-profit transaction, amount paid for the consigned material.
"Designated materials" for recycling
6. The Plug-In partner ensures that all designated materials that are directed to recycling4 are
processed by facilities that meet the guidelines herein. The Plug-In partner ensures that proper
business records are kept that demonstrate that all downstream processing and recycling
operations, including smelters, that receive designated materials, use practices that are consistent
with these guidelines. For any processing and recycling facilities that receive designated
materials, the Plug-In partner ensures that:
a. Facilities are fully licensed by all appropriate governing authorities. The degree of
licensing necessary will vary depending upon the particular jurisdiction, as well as the size and
nature of the facility. In some cases, extensive environmental permitting may be required by the
governmental authorities, whereas in other cases perhaps only a business license is needed.
b. Facilities have an environmental management system (EMS) in place. EPA recognizes
that flexibility for small businesses is necessary and that, in some cases, a fully developed and
certified EMS may be unnecessary. In lieu of a fully developed and certified EMS (e.g., using
ISO, EMAS or industry standards, such as those of the IAER), a facility has a written plan
describing the facility's risk management objectives for environmental performance and
compliance and its plans for attaining these objectives based on a "plan-do-check-act" continual
6
-------
improvement model. Regular re-evaluation of environment, health and safety (EH&S)
objectives and monitoring of progress toward achievement of these objectives is conducted and
documented at all facilities. EPA also recognizes that a fully developed EMS may not yet be in
place for many facilities. In any case, a written plan describing risk management objectives and
plans for attainment based on a "plan-do-check-act" model is in place.
c. Facilities take sufficient measures to safeguard occupational and environmental health
and safety. Such measures may be indicated by local, state, national and international
regulations, agreements, principles and standards, as well as by industry standards and
guidelines. Except as noted below, such measures for all facilities include:
i. EH&S training of personnel.
ii. An up-to-date, written hazardous materials identification and management plan that
specifically addresses at least the following: lead, mercury, beryllium, cadmium,
batteries, toner, phosphor compounds, PCBs, and brominated flame retardants and other
halogenated materials, with particular focus on possible generation of by-product dioxins
and furans.
iii. Where materials are shredded or heated, appropriate measures to protect workers, the
general public and the environment from hazardous dusts and emissions. Such measures
include adaptations in equipment design or operational practices, air flow controls,
personal protective devices for workers, pollution control equipment or a combination of
these measures.
iv. An up-to-date, written plan for reporting and responding to exceptional pollutant
releases, including emergencies such as accidents, spills, fires, and explosions.
v. Liability insurance for pollutant releases, accidents and other emergencies.
vi. Completion of an EH&S audit, preferably by a recognized independent auditor, on an
annual basis. However, for small businesses, greater flexibility may be needed, and an
audit every three years may be appropriate.
d. Facilities have a regularly-implemented and documented monitoring and
recordkeeping program that tracks key process parameters, compliance with relevant safety
procedures, effluents and emissions, and incoming, stored and outgoing materials and wastes.
e. Facilities have an adequate plan for closure. The need for closure plans and financial
guarantees is determined by applicable laws and regulations, taking into consideration the level
of risk. Closure plans should be updated periodically, and financial guarantees should ensure
that the necessary measures are undertaken upon definite cessation of activities to prevent any
environmental damage and return the site of operation to a satisfactory state, as required by the
applicable laws and regulations.
-------
1 "Plug-In partner" means a manufacturer, retailer, government agency, non-profit, or other entity
who (1) is not a recycler nor performs recycling activities (other than collection), (2) through
contracts or other arrangements, utilizes reuse, refurbishment, recycling or disposal services, and
(3) has a Plug-In To eCycling partnership agreement with EPA.
2 "Designated materials" means any electronic products and components containing or consisting
of circuit boards, shredded circuit boards, CRTs, batteries, and mercury- and PCB-containing
lamps and devices. However, this definition does not include circuit boards that have been
processed to the point where they no longer are readily identifiable as circuit boards or shredded
circuit boards (such as after burning/melting), as well as CRT glass that has been adequately
processed for use as an industrial feedstock material. In these cases, the economic value of the
material has been enhanced significantly through processing; thus, commodities of value have
been created and concern for the subsequent environmental mismanagement of this material is
greatly decreased.
3 "Refurbishment" means the repair, reconditioning or upgrading of an end-of-life product or
component for the purpose of equipment reuse. Refurbishment of end-of-life electronics
includes replacement of components or parts that are part of a larger piece of electronic
equipment, aesthetic improvements, such as polishing and removal of scratches, and upgrading
of the equipment by installation of new operating systems, memory, or software.
4 "Recycling" facilities include any non-disposal facilities that receive designated materials under
conditions that do not conform with guideline 5 above for legitimate reuse or refurbishment.
------- |